Water policies for the future final report to the President and to the Congress of the United States

[From the U.S. Government Printing Office, www.gpo.gov]

D. Cases alon the Calvert County and

Lower Anne Arundel County shorelines

This area contains the shoreline between the Patuxent River mouth and

the Chesapeake Bay Rridge (Fiures 2.6 and 2.7). The sections below pres-

ent a brief physical description of the shoreline and coastal processes,

followed by a discussion of the case studies which were selected from this

area.

SHORELINE DESCRIPTIONS

Calvert County The Calvert County shoreline along the Chesapeake Bay

is composed mainly of large bluffs, hiher than 5O feet in many areas,

which extend for several thousand feet at a stretch along the water's ede.

The bluff faces are mostly exposed and eroding, hut they are covered with

vines and shrubs in a few places. Sections of the bluffs are senarated by

ravines and stream valleys which contain either woodlands or marsh.

The beaches at the base of these bluffs are of varying widths and may

contain small berms on the summer shoreline nrofiles. At Cove Point and

near Long Beach, the beach is separated from the bluffs by a wide flat

terrace which contains trees and open grassy areas.

Most of the shorefront bluffs adjacent to the main Chesaneake Bay in

Calvert County are heavily-wooded, with scattered residential develonment

in among the trees. More concentrated residential development protected by

shoreline structures can he found at the communities shown on the man.

Houses in these areas are located both along the bluffs, and on the low

berm that extends landward immediately adjacent to the beach.

2-48

WATER

POLICIES

FOR THE

FUTURE

Final Report to the President
and to the Congress of the
United States by the
National Water Commission

WASHINGTON, D.C.
June 1973

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402
Price- $9.30, domestic postpaid; $8.75, GPO Bookstore
Stock Number 5248-00006

57-

NATIONAL WATER COMMISSION
800 N. Quincy Street
Arlington, Virginia 22203
June 14, 1973
The President The Honorable The Honorable
The White House The Speaker of the House The President of the
of Representatives Senate
Dear Mr. President: Dear Mr. Speaker:. Dear Mr. President:
The firial report of the National Water Commission is presented herewith in accordance with the
provisions of Public Law 90-515, approved September 26, 1968, which established the Commission.
The report contains the Commission's conclusions and recommendations on the policies which it
believes the Nation should adopt at this point in its history for the efficient, equitable, and
environmentally responsible management of its water resources.
The Commission has examined virtually the entire range of water resources problems facing the
Nation, including the effects of water management on the Nation's economy and on its environment and
how the differences between these two major objectives can be best resolved. The problems of
reconciling Federal and State water law have been addressed, as have the problems of integrating ground
water and surface water management. Each of the important purposes for which water is used has been
studied, and appropriate policies have been drawn for improving both water-related programs and
organizational arrangements. Ways in which existing water supplies can be used more efficiently and
pres ent supplies can be augmented have also been examined. Standards by which interbasin transfers of
water and other kinds of water projects should be judged have been developed and ways in which water
management decisionmaking can be improved have been formulated. The report considers the problems
of acquiring basic water data and pursuing research so that management of the Nation's water resources
can be more knowledgeably and effectively based. Finally, the financing of future water programs as
well as the important question of how and by whom the cost of water programs should be paid are also
addressed.
Accompanying the Commission's discussion and conclusions on these and other aspects of water
resources are specific recommendations for action at the Federal, State, and local levels. Many of these
recommendations would require enactment of new legislation. Some, however, could be accomplished
by executive action alone or by action of State and local entities.
The Commission has had the cooperation of and extensive review and comments from all levels of
government, from private organizations, and from interested citizens. For this and for the broad range of
public participation incident to the preparation of this report, the Commission is grateful. It is
particularly appreciative of the cooperation of the Water Resources Council and its constituent agencies
for their helpful review and comments. Finally, the Commission acknowledges with gratitude the
valuable work of its staff; the research and analysis of universities, firms, public agencies, and individuals
who worked for the Commission under contract; and the advice and guidance received from the experts
who served the Commission as consultants.
The Commission transmits its final report to you with the earnest hope that it will contribute
importantly to the timely and wise solution of America's water resources problems.
Respectfully submitted,
d6ali
Charles F. Luce

man
@Howell Aqpphng@, @Jr OJames@ Roger C. Ernst
R@ay @James E. Murphy Josiah Wheat

The Commission

Charles F. Luce, Chairman
Chairman of the Board of Trustees and Chief Executive Officer, Consolidated Edison Company of New York,
Inc., since 1967. Native of Platteville, Wisconsin. BA, LLB, University of Wisconsin; Sterling Fellowship, Yale
Law School. Law clerk to Mr. Justice Hugo L. Black for the Supreme Court term of 1943-44. Attorney,
Bonneville Power Administration, Portland, Oregon. Private practice of law for 15 years in Walla Walla,
Washington. During 1947-61, served as general counsel for the Confederated Tribes of the Umatilla Indian
Reservation, Pendleton, Oregon. Appointed Bonneville Power Administrator in 1961. Member of U.S.
negotiating team which concluded protocols to the Treaty with Canada for cooperative development of the
Columbia River. In 1966 President Johnson appointed Mr. Luce Under Secretary of the Interior. Member,
Board of Trustees of Columbia University in the City of New York; and of the Boards of Metropolitan Life
Insurance Company, UAL, Inc., and United Airlines, Inc. Mr. Luce was appointed to the National Water
Commission on October 9, 1968.

Howell Appling, Jr.
Founder and President, Independent Distributors, Inc., a wholesale farm equipment distribution firm in
Portland, Oregon. Mr. Appling is an engineering graduate of Rice University; a former member of the State of
Oregon Land Board; former Oregon Secretary of State; Director and former President, National Farm
Equipment Wholesalers' Association; consultant to Oregon State University Agricultural Experiment Stations;
Member, State of Oregon Investment Council; former member, State of Oregon Board of Control; former
member, State of Oregon Banking Board; former water treatment engineer, Consolidated Chemical Industries,
Inc., of Houston, Texas, and Baton Rouge, La. Mr. Appling was appointed April 9, 1969, to fill the place left
vacant by Russell E. Train, who had resigned to become Under Secretary of the Interior.

James R. Ellis

Attorney and partner in the law firm of Preston, Thorgrimson, Ellis, Holman and Fletcher, Seattle,
Washington; Member, Board of Regents, University of Washington, 1965 to date, President 1971-72; Trustee;
The Ford Foundation, 1970 to date; Vice President and member of the Council, National Municipal League,
1968 to date; Member of the Council, Chairman of Emerging Issues Committee, past Chairman of Metropolitan
Government Committee and American Institute of Planners Liaison Committee, Section of Local Government
Law, American Bar Association; President, Forward Thrust, Inc., 1966 to date; President, Municipal League of
Seattle and King County, 1962-64; Member, Washington State Planning Advisory Council, 1966-72;Member,
Urban Transportation Advisory Council, U.S. Department of Transportation, 1970. Mr. Ellis was appointed to
the National Water Commission on October 30, 1970.

Roger C. Ernst
Consultant, Arizona Public Service Company, and President, Central Arizona Water Conservation District. He
also is a member of the Arizona State Water Quality Control Council and the Arizona Water Resources Council,
and President of the Association on American Indian Affairs. Mr. Ernst was formerly State Land Commissioner,
State Water commissioner, and State Engineer for Arizona. He was also formerly an Assistant Secretary of the
Interior and served as General Manager of the Wellton-Mohawk Irrigation District, and Assistant to the General
Manager of the Salt River Valley Water Users Association. He is a native of Colorado. Mr. Ernst was appointed
to the National Water Commission on November 21, 1969.

Ray K. Linsley
Professor of Hydraulic Engineering, Stanford University. Also served as Executive Head, Department of Civil
Engineering, Associate Dean, and Director of Program in Engineering-Economic Planning. Before joining the
University, Mr. Linsley worked with the Tennessee Valley Authority and with the U.S. Weather Bureau. On
leave from the University, he was Fulbright Professor at Imperial College of Science and Technology, London,
England, and Staff Assistant, Office of Science and Technology, Washington, D.C. Mr. Linsley is consultant to
various Federal agencies, State of California, World Meteorological Organization, UNESCO, and several foreign
governments. He serves as President of Hydrocomp International and has authored several textbooks in
hydrology and water resources engineering and numerous technical papers. He is a Registered Professional
Engineer in California and Connecticut. Mr. Linsley has been a member of the National Water Commission since
October 9, 1968.

James E. Murphy
Attorney and member of. the law firm of Murphy, Robinson, Heckathorn, and Phillips, Kalispell, Montana.
Native of Laredo, Missouri; Member of the Missouri House of Representatives, 1939-41. Wheat rancher and a
Director of the Conrad National Bank of Kalispell, Montana, Member of the Columbia Interstate Compact
Commission. Montana representative on the Pacific Northwest River Basins Commission from 1966 to 1969.
Member of the Montana House of Representatives 1967-73, and Chairman of its Judiciary Committee.
Co-author, Montana Water Conservancy District Act. Former member of the Republican National Committee
for Montana. Mr. Murphy was appointed to the National Water Commission on October 30, 1970.

Josiah Wheat

Partner in the law firm of Wheat, Wheat and Stafford of Woodville, Texas; Legal Counsel, Texas Water
Quality Board; Assistant General Counsel, Lower Neches Valley Authority; formerly Chairman of the Board and
twice President, Texas Water Conservation Association; Past President, State Bar of Texas; Member, House of
Delegates, American Bar Association; Fellow, American Bar Foundation; Member, Executive Committee, State
Bar of Texas Section on Environmental Law; Member, American Bar Association Special Committee on
Environmental Law; Past President, Deep East Texas Council of Governments. Mr. Wheat was appointed to the
National Water Commission on November 21, 1969.

FORMER COMMISSIONERS

Samuel S. Baxter (October 9, 1968 - October 30, 1970)
Consulting Engineer; formerly Commissioner and Chief Engineer, Water Department, City of Philadelphia,
Pennsylvania. Past National President, American Society of Civil Engineers, American Water Works Association,
and American Public Works Association.

Frank C'. Di Luzio (October 9, 1968 - November 21, 1969)
Civil Engineer, Special Assistant to the Governor of New Mexico, formerly Vice President, Edgerton,
Germeshausen and Grier, Inc., and President, Reynolds Electrical and Engineering Company, Inc. Mr. Di Luzio
was also an Assistant Secretary of the Interior and prior to his appointment to that office he was Director of the
Office of Saline Water in that Department.

Clyde T. Ellis (October 9, 1968 - October 30, 1970)
Attorney, Member of the staff of the Senate Appropriations Committee. Formerly General Manager of the
National Rural Electric Cooperative Association and before that a Representative from Arkansas in the Congress
of the United States.

Russell E. Train (October 9, 1968 - January 20, 1969)
Attorney, Chairman of the Council on Environmental Quality, Executive Office of the President. Formerly
Under Secretary of the Interior. Before that he was President, The Conservation Foundation, and a judge of the
U.S. Tax Court.

Myron A. Wright (October 9, 1968 - November 21, 1969)
Civil Engineer, Executive Vice President, Exxon Corporation; Chairman of the Board and Chief Executive
Officer, Exxon Company, U.S.A. (formerly Humble Oil and Refining Company). Past President of the Chamber
of Commerce of the United States and the National Wildlife Federation, and a governor of the U.S. Postal
Service.

APPRECIATION

The Commission wishes to take this opportunity to express its sincere appreciation to the members of the
staff and its consultants who gave so unstintingly of their time and efforts to help the Commission, to the
former members of the Commission who helped lay the ground work, and particularly to recognize the wisdom
and perspicacity of Professor Abel Wolman who helped guide the Commission in the deliberations which led to
this report.

The Commission pauses during its 44th Meeting on October 17,1972, for this photo. 1. to r. Murphy, Appling,
Ernst, Schad, Luce, James Ellis, Linsley, Wheat.

@51 IV

IvW
mow
n4
T

PROFESSIONAL STAFF*

Executive Director Theodore M. Schad
Deputy Director Howard L. Cook
Assistant Director-Programs Ralph E. Fuhrman
Assistant Director-Administration Robert N. Baker
Assistant to the Director Florence Broussard
Editor-in-Chief Myron B. Katz

Legal Division Social and Behavioral
Philip M. Glick, Legal Counsel Sciences Division
Charles J. Meyers Lyle E. Craine, Chief
Ernst Liebman (June 1969 - August 1970)
John L. DeWeerdt Dean E. Mann, Chief
Richard L. Dewsnup (September 1970 - October 1971)
Gary L. Greer Gary Taylor
William A. Hillhouse 11 Harry R. Seymour
Frank Bollman
Helen Ingram
Engineering and Environmental Ray M. Johns
Sciences Division Truman P. Price
Victor A. Koelzer, Chief John H. Stierna
Edwin B. Haycock Henry Vaux, Jr.
Alexander Bigler Ann S. Wilm
Kenneth L. Bowden
John S. Gladwell
Jack D. Lackner Forecast Division
Thomas Scott Russell G. Thompson
Richard Tucker M. Leon Hyatt
Robert E. Vincent

PRINCIPAL CONSULTANTS

Edward A. Ackerman" Ralph W. Johnson
Harvey 0. Banks Gilbert F. White
Irving K. Fox Edward Weinberg
Maynard M. Hufschmidt Nathaniel Wollman
Abel Wolman

*Members of the staff who served for a year or more. See Appendix III for complete roster of staff members, with biographical
sketches of principal staff members.
"Deceased

vii

-A6
A -llLwXl,-

TIP., C,

-wl

Prefa c e

Water is one of several resources without which a affecting the Grand Canyon of the Colorado, and to
Nation cannot satisfy the fundamental wants of its authorize study of importation of water into the
people or achieve the important national goals it sets Colorado River basin from other regions of the
for itself. Without water, life itself cannot be sus- country. The U.S. Bureau of the Budget, the prede-
taincd. But this is true of other resources as well- cessor of the present Office of Management and
sunlight, soil, air. Just as it cannot be established Budget, advised the Senate Committee on Interior
which blade of a scissors does the cutting, it cannot and Insular Affairs in May 1965 that, although it had
be determined which of several critical resources is no objection to authorization of the Central Arizona
most important to the Nation's welfare. Each is Project and the Lower Colorado River Development
indispensable. Each must be husbanded and cared for, Fund, many of the other proposals required further
protected from overuse and misuse, in order that the careful study. The Bureau pointed out that while the
people may prosper and civilization may flourish. long-range water problems of the Lower Colorado
As with most other critical resources, the rate of River basin were serious, such problems were by no
use of water in the United States is rapidly increasing. means limited to that area; they were becoming
Moreover, the Nation has experienced deterioration increasingly critical for other parts of the country as
in the quality of its surface and ground water well.
supplies. As the Nation's population expands, as it Under these circumstances, concluded the Bureau,
grows more industrialized and urbanized, competing it would be appropriate to review water resource
demands upon water increase. To determine what development problems and opportunities for the
policies the Nation should adopt at this point in its Nation as a whole, and the Bureau recommended
history so that its finite water resources yield the establishment of a national water commission. "Only
highest measure of utility to society is the mission of a national commission," it said, "can effectively
the National Water Commission and the purpose of assess the many common aspects of water problems
this report. The Commission in carrying out its that we face, and only such a commission can outline
mission has sought to look forward, not backward. It the consistent courses of action which must be
has asked, and tried to answer, whether basic water followed if this Nation is to achieve the most efficient
policies of the past are suited for conditions of the utilization of its precious water resources."
present and the foreseeable future. In no way has the Several bills to establish a national water commis-
Commission attempted to pass judgment on the sion for these purposes were promptly introduced
wisdom of past water policies for the times in which and considered by the Congress and its committees
they were fashioned. during the ensuing 3 years. On September 26, 1968,
the President approved the National Water Commis-
Background sion Act.' The text of the Act is reproduced as
The National Water Commission was established by Appendix 1.
an Act of Congress approved by the President on The National Water Commission Act
September 26, 1968. It stemmed from proposals for
water developments in the Colorado River Basin The duties of the Commission are stated in one
which raised a number of fundamental questions as to long sentence, Section 3(a) of the National Water
the future policies for water resources development in Commission Act, which says:
the United States. Congress was asked in those The Commission shall (1) review present and
proposals to authorize the Central Arizona Project in anticipated national water resource problems,
Arizona and New Mexico, to establish a Lower
Colorado River Basin Development Fund, to author- 'P.L. 90-515, September 26, 1968, 82 Stat. 868, 42 USCA
ize the Bridge' Canyon and Marble Canyon dams 1962a, note (1971 Supp.).

making such projections of water requirements 1907, and the last, until now, was the Senate Select
as may be necessary and identifying alternative Committee on National Water Resources established
ways of meeting these requirements-giving con- in 1959.2
sideration, among other things, to conservation Many of the recommendations of these earlier
and more efficient use of existing supplies, water study commissions were later enacted into law,
increased usability by reduction of pollution, although some were enacted only after they were
innovations to encourage the highest economic subsequently endorsed by other commissions after
use of water, interbasin transfers, and tech- many years had elapsed. For example, most of the
nological advances including, but not limited to, main ideas embodied in the Water Resources Planning
desalting, weather modification, and waste water Act3 in 1965 were repeatedly explored by many of
purification and reuse; (2) consider economic these forerunner study groups and can be found in
and social consequences of water resource devel- their recommendations many years earlier.
opment, including, for example, the impact of
water resource development on regional eco- Role of the National Water Commission
nomic growth, on institutional arrangements, The National Water Commission and its assignment
and on esthetic values affecting the quality of differ from the previous water policy study commis-
life of the American people; and (3) advise on sions in several significant respects. The Commission
such specific water resource matters as may be is charged with studying virtually all water problems,
referred to it by the President and the Water programs, and policies in the context of their
Resources Council. relationship to the total environment, including "es-
The Commission is composed of seven members
appointed by the President and serving at his pleas- thetic values affecting the quality of life of the
ure, with a chairman designated by the President. The American people." This required the Commission to
Commissioners serve on a part-time basis, and have look at problems and policies of State and local
other continuing occupations. They are forbidden to entities as well as those of the Federal agencies.
hold any other position as officers or employees of Another distinguishing characteristic is that the
the United States. The names and identification of members of the Commission are to be citizens who
the Commissioners appear on pages iv, v, and vi. do not serve the Federal Government in any other
The Commission is required to consult with the capacity and thus have no commitment to any
Water Resources Council regarding its studies and to Federal agency or program. In establishing the Com-
furnish proposed reports and recommendations to the mission, the Congress emphasized this point, asking
Council for review and comment. that it "exercise independent judgment',4 and that it
The Commission is authorized to make interim and "carry on deliberations without restrictions or condi-
final reports and to submit these reports simulta- tion of limitations of any kind."s
neously to the President and the Congress. The
President is required to transmit the Commission's 'For a summary of the recommendations of all but the last
final report to the Congress together with such of these earlier study groups, see U.S. CONGRESS, Senate
C, Select Committee on National Water Resources (1959).
comments and recommendations for legislation as he Reviews of National Water Resources During the Past Fifty
deems appropriate. Years, Committee Print No.,2, 86th Congress, Ist Session.
The Commission is to terminate not later than U.S. Government Printing Office, Washington, D.C.
September 26,1973. Five million dollars was author- 'P.L. 89-80, July 22, 1965, 79 Stat. 245, 42 USCA 1962a
ized to be appropriated for its work. (1971 Supp.).
'U.S. CONGRESS, Senate (1966). National Water Commis-
Earlier Water Study Coniniissions sion, Hearings before the Committee on Interior and Insular
Affairs, 89th Congress, 2d Session, May 16 and 17, 1966.
The United States has made frequent use of Sen. Henry M. Jackson quoted in a statement of Sen.
congressional or presidential study commissions to Warren G. Magnuson. U.S. Government Printing Office,
examine difficult problems and to propose solutions. Washington, D.C. p. 9.
Since the turn of the century, at least 20 national 'U.S. CONGRESS, House of Representatives (1967). Colo-
commissions or similar groups have been established rado River Basin Project, Hearings before the Subcommittee
by Congress or the President to study water re- on Irrigation and Reclamation of the Committee on Interior
and Insular Affairs, 90th Congress, Ist Session, March 13,
sources. The first was the Inland Waterways Commis- 14, 16, and 17, 1967. Representative Thomas S. Foley. U.S.
sion established by President Theodore Roosevelt in Government Printing Office, Washington, D.C. p. 182.

Conduct of the Commission's Work istration, which had statutory responsibility for finan-
cial and administrative services for the Commission.
Members of the Commission were appointed on The Executive Director served as Secretary to the
October 9, 1968, and funds to initiate the Commis- Commission.
sion's work were appropriated shortly thereafter. The Three interim reports have been made to the
Commission held its first meeting on November President and the Congress, on January 30, 1970,
21, 1968. The first members of the staff were January 22, 1971, and March 2, 1972.7 These were
appointed and began work on December 30, 1968, progress reports covering the Commission's activities
and the nucleus of the staff was assembled by the end for the preceding calendar year. They were printed
of June 1969. along with the comments of the Water Resources
In preparing to carry out its assignment, the Council, which had been furnished copies of the
Commission first consulted with the Water Resources proposed reports as called for in the National Water
Council, then laid out a preliminary program of Commission Act.
studies covering areas of water resources policy 'in Throughout its existence the National Water Com-
which the development of background information mission has endeavored to keep the public informed
appeared to be needed to form the basis for policy about its work, and copies of a review draft of the
recommendations. In the summer and fall of 1969 Commission's final report were made available to the
this preliminary program was discussed with repre- public 90 days before any final decisions were made
sentatives of the major Federal agencies having by the Commission. In addition, reports on the
responsibilities in the field of water resources, and, in background studies undertaken as a part of the
a series of public conferences, with local, State, and program of special studies have been released through
regional officials, as well as private citizens and the National Technical Information Service of the
representatives of groups interested in national water U.S. Department of Commerce, and comments were
policy. Following these conferences, the Commission invited from those interested. Through March 1,
approved a program of background studies covering 1973, more than 22,000 copies of some 60 such
22 fields of interest related to water policy. Appro- reports had been purchased. A complete list of the
priations for the first full fiscal year of the Commis- background study reports that have been released is
sion's work were made available in mid-December of included in Appendix 11 of this report.
1969 6 and work began on the background studies in A final series of regional public meetings was held
January of 1970. in early 1973 at which the Commission received the
Meetings of the Commission have been held about views of interested parties on the review draft of its
once each month since November of 1968. The size report. A total of 351 witnesses testified or filed
of the Commission's staff ranged from 19 on June 30, statements at these meetings, and, in additon, several
1969, to a maximum of 44 on June 30, 1971, thousand individuals and organizations furnished
including temporary, clerical, and administrative per- written statements commenting on the review draft
sonnel. A list of the principal members of the staff is of the report. In important respects the Commission
on p. vii, and more information is contained in has modified its report in the light of the information
Appendix III of this report. Numerous consultants and viewpoints presented at these public meetings.
were retained on a part-time basis and contracts for
research studies to provide background information Conclusion
were awarded to various individuals, universities, The report that follows reflects the Comniission's
consulting organizations, foundations, and other earnest effort to comply with the mandate given it by
organizations. Information on consultants and con- the National Water Commission Act. The report
tractors is also contained in Appendix 111. contains many recommendations for improvement of
The Commission's regular staff was organized into policies dealing with protection, development, and
three major groups: Engineering and Evironmental use of the Nation's water resources. The National
Sciences, Social and Behavioral Sciences, and Legal. Water Commission believes that adoption of these
In addition, an ad hoc Forecasting Unit functioned recommendations will lead the Nation to the utiliza-
for a little over I year, and an Administrative Division tion of its water resources in ways that will make an
handled clerical and administrative functions and optimum contribution to the welfare of its citizens.
served as liaison with the General Services Admin-
7U.S. NATIONAL WATER COMMISSION (1970, 1971, &
1972). Interim Reports Nos. 1, 2, & 3. U.S. Government
1P.L. 91-144, December 11, 1969, 83 Stat. 323, 336. Printing Office, Washington, D.C.

A@T"%' "i,
VM4 ", j'l

YNI
VA;'

Contents

Page

Letter of Transmittal

The Commission ........................................................................ iv

The Staff ............................................................................ vii
Preface ................................................................................ ix

Table of Water Equivalents ................................................... : .......... xxi

Glossary ............................................................................ xx,ii

CHAPTER I FORECASTING FUTURE DEMANDS FOR WATER ............................. I

Water Requirements vs. Demand for Water 2
Alternative Futures 3
Water Quantity ..................................................................... 4
Quality of Water 4
Water Uses 6
The Present Water Quantity Situation ................................................... 8
The Future Water Situation ....................... 9
Alternative Futures 11
Conclusions ............................................................. .......... 17

CHAPTER 2 WATER AND THE NATURAL ENVIRONMENT ................................ 19

Some Basic Ecological Principles ....................................................... 20
Environmental Effects of Reservoir Development .......................................... 21
Conclusions on Water Development Projects ......................... ................... 26
Estuaries and the Coastal Zone ......................................................... 28
Conclusions on Coastal Zones ....................................................... 32
Recommendation ................................................................. 32
Channelization ..................................................................... 32
Conclusions on Channelization ....................................................... 35
Recommendations ................................................................ 36

CHAPTER 3 WATER AND THE ECONOMY .............................................. 39

The Value of Water ................................................................. 40
Conclusions on Water Value ......................................................... 47
Regional Effects of Water Developments ................................................. 48
Conclusions on Regional Development ................................................. 61

CHAPTER 4 WATER POLLUTION CONTROL ............................................. 63

Commission Approach ............................................................... 63
The Importance of Clean Water ........................................................ 64

xiii

Page
Sources of Pollution ................................................................. 64
What is Happening to Water Quality? .................................................... 68
When is Water Polluted? .............................................................. 69
Adequacy of Technology ............................................................. 71
Costs ............................................................................ 74
Strategies for Eliminating Pollution ..................................................... 76
Who Should Pay? ................................................................... 84
Who Should Regulate? ............................................................... 85
Improving the Effectiveness of Pollution Abatement Programs ................................ 86
Problems Not Solved by Improved Regulation ............................................. 97
Pollution in Estuaries and the Coastal Zone ............................................... 100
Pollution Problems of the Great Lakes ................................................... 103
Recommendations .................................................................. 107

CHAPTER 5 IMPROVING WATER-RELATED PROGRAMS ................................. Ill

Section A Introduction ............................................................. Ill
Section B The Inland Waterway Program ............................................... 113
The Program ..................................................................... 113
Appraisal of the Program ........................................................... 114
Discussion ....................................................................... 117
Recommendations ................................................................ 120
SectionC Food and Fiber Programs: Increasing Agricultural Production Arough
Water Resource Development .......................................................... 121
Description of Federal Programs ..................................................... 122
Weaknesses of the Programs ................... 4 ..................................... 128
Supply and Demand ............................................................... 130
Discussion ...................................................................... 141
Conclusions ..................................................................... 141
Recommendation ................................................................. 142
SectionD Acreage Limitations and Subsidies in Reclamation Programs ........................ 142
Present Status of Acreage limitations ................................................. 143
Subsidy in Reclamation Programs .................................................... 145
The Problem ..................................................................... 145
Discussion and Conclusions .................................. ...................... 147
Recommendations ................................................................ 148
Section E Programs for Reducing Flood Losses ........................................... 149
The Programs . ; : * * ' ' ' * ' *I* * '.... ***'************ .... ** ... **'*''*'*'*'*** ...* ...... 150
Appraisal of Programs ............................................................. 154
Discussion ...................................................................... 159
Conclusions ..................................................................... 159
Recommendations ................................................................ 160

SectionF Municipal and Industrial Water Supply Programs ................................. 161
The Programs .................................................................... 162
Appraisal of Programs ............................................................. 165
Conclusions ..................................................................... 169
Recommendations ................................................................. 170
SectionG Power Production -The Waste Heat Problem ................................... 171
Demand for Electric Generating Facilities .............................................. 171
The Problem of Waste Heat Disposal .................................................. 171
Cooling Water Requirements ........... I ............................................. 172

xiv

CASE 18 A STONE REVETMENT NEAR THE
BAY BRIDGE

The structure was completed in 1969 at an unknown cost. The historical
rate of erosion at the site was about 3 ft./yr. from 1845-1942. Revetment,
on a 2:1 slope, consists of 30-300 lbs. stone in a 2 ft.-thick armor layer.
A bedding layer of gravel 1 ft.-thick was placed below the armor layer. There
was no filter material installed below the bedding layer. The revetment also
has a concrete cap 1 ft. x 1.5 ft.-thick installed along the top.

This structure is in generally fair to poor condition. Parts of the structure
failed during Tropical Storm David in early September 1979. The wall still
provides some protection to the property though.

2-64

Page
Evaluation of Federal Water Supply Projects ............................................ 269
Conclusions ..................................................................... 270
Recommendations ................................................................ 270
SectionE Improvements in State Water Laws to Provide Recognition for
Social Values in Water ............................................................... 271
The Lack of Legal Protection for Some Water Values ..................................... 271
Public Access to Waters and Adjacent Shorelands ........................................ 274
Coordinated Land and Water Management for Public Recreation ............................. 276
Conclusions ..................................................................... 278
Recommendations ............................................................... 278
SectionF A Permit System for Riparian States ........................................... 280
The Problem ..................................................................... 281
Enactment of Permit System ........................................................ 281
Minimum Flow ................................................................... 287
Allocation of Water in Periods of Shortage .............................................. 289
Transfer of Water Rights ........................................................... 292
Conclusions ..................................................................... 293
Recommendations ................................................................ 293
Appendix to Section F - A Comparison of the F7orida Water Resources Act
of 19 72 With the Commission's Recommended Principles .................................... 294
SectionG Reducing Water Losses by Improved Efficiency .................................. 299
Water-Saving Practices ............................................................. 299
Conclusions ...................................................................... 304
Recommendations ................................................................ 305
SectionH Reuse ofMunicipal and Industrial Wastewater ................................... 306
Reclaiming Wastewater ............................................................. 307
The Potential of Wastewater Reuse ................................................... 311
Conclusions ...................................... ........................ I ...... 314
Recommendations ................................................................ 314

CHAPTER 8 INTERBASIN TRANSFERS ................................................. 317

The Problem ..................................................................... 317
Legal Framework ................................................................. 318
Social and Environmental Considerations ............................................... 319
Economic Considerations ........................................................... 319
Area-of-Origin Protection ........................................................... 323
Institutional Arrangements .......................................................... 329
Conclusions ..................................................................... 329
Recommendations ................................................................ 331

CHAPTER 9 MEANS OF INCREASING WATER SUPPLY ................................... 335

Increasing Water Supply by Desalting .................................................... 335
Conclusions on Desalting ........................................................... 34S
Recommendations ................................................................ 346
Precipitation Augmentation ........................................................... 346
Conclusions on Precipitation Augmentation .................................... I......... 351
Recommendations ................................................................. 351
Increasing Water Supply Through Land Management ........................................ 351
Conclusions on Land Management ............................................ ......... 359
Recommendations .................................................................. 359

Xvi

Page
Overview of Potential Technology ...................................................... 359
Conclusions on Potential Technology .................................................. 362
Improving Technological Innovation .................................................... 362

CHAPTER 10 BETTER DECISIONMAKING IN WATER MANAGEMENT ....................... 365

Water Resources Planning ............................................................. 365
The Role of the Public in Water Resources Planning ......................................... 372
Evaluation as a Basis for Decisionmaking ................................................. 379
Recommendations ................................................................ 386
Authorization, Budgeting, and Appropriations ............................................. 387
Recommendations ................................................................ 394

CHAPTER11 IMPROVING ORGANIZATIONAL ARRANGEMENTS .......................... 397

Section A Introduction ............................................................. 397
Section B Federal Coordination and Review ..................................... I........ 398
The Water Resources Council ........................................................ 398
An Independent Board of Review .................................................... 406
SectionC New Functions for Federal Water Agencies ...................................... 409
Data-Gathering Services ............................................................ 410
Engineering Services ............................................................... 410
Technology Services ............................................................... 412.
Recommendations on New Functions ................................................. 413
SectionD Organizations for Water Planning and Management For River Basins and Other Regions ... 414
Intrastate Organizations ............................................................ 414
Ad Hoc and Interagency Committees and River Basin Commissions for Planning ................ 416
Interstate and Federal-Interstate Water Compacts ........................................ 418,
Federally Chartered Corporations for Multistate Water Management Activities .................. 427
Section E ne Great Lakes ......................................... ................ 433
Institutions ...................................................................... 435
Management ..................................................................... 4@37

CHAPTER 12 WATER PROBLEMS OF METROPOLITAN AREAS ............................ 441

Water Management Problems .......................................................... 442
Institutional Arrangements ............................................................ 449
Federal-State-Local Cooperation ....................................................... 453
Conclusions ....................................................................... 455
Recommendations ................................................................... 456

CHAPTER 13 FEDERALSTATE JURISDICTION IN THE LAW OF WATERS .................... 459

The Problem ................................................... I., .................. 460
Conforming Federal Uses to State Procedures .............................................. 461
Reserved Rights .................................................................... 464
The Navigation Servitude and the Role of No Compensation ....................... ......... 468
Eminent Domain Procedures ..... *........................... : .........I................. 469
Sovereign Immunity: Suits by State Officials and Individuals ................................. 469
Conclusions . . @ ........................................................................ 470
Recommendations ..................................................................... 471

xvii

Page
CHAPTER 14 INDIAN WATER RIGHTS ................................................. 473

Background ....................................................................... 473
Accepted Premises .................................................................. 476
Discussion and Recommendations ...................................................... 477
Conclusions ....................................................................... 483

CHAPTER 15 PAYING THE COSTS OF WATER DEVELOPMENT PROJECTS ................... 485

Present Federal Cost-Sharing Policies .................................................... 485
Appraisal of Present Cost-Sharing Policies ................................................ 490
Conclusions ....................................................................... 494
Recommendations .................................................................. 497

CHAPTER 16 FINANCING WATER PROGRAMS .......................................... 501

Capital Demands for Water Resources Development ........................................ 501
Alternative Methods of Financing Water Developments ............. ......................... 517
Recommendations .................................................................. 525

CHAPTER 17 BASIC DATA AND RESEARCH FOR FUTURE PROGRESS ..................... 527

Basic Data ........................................................................ 527
Conclusions on Basic Data ........................................................... 531
Recommendations ................................................................ 531
Research .......................................................................... 532
Conclusions on Research ........................................................... 537
Recommendations ........................................................ I ....... 537

APPENDIX I The National Water Commission Act .......................................... 539
APPENDIX 11 Background Studies Undertaken for the National Water Commission ................. 542
APPENDIX III The Commission Staff and its Operations ..................................... 555
APPENDIX IV Acknowledgements ...................................................... 566
Index ................................................................. 569

TABLES

Chapter I Forecasting Future Demands for Water
I - 1. -Water withdrawals for selected years and purposes ................................... 7
1-2.-Recent trends in consumptive use of water ......................................... 7
1-3.-Streamflow compared with current withdrawals and consumption ....................... 9
1-4-Projected water use by purpose .................................................. I I
1-5-Projected water use by region ................................................... 12

Chapter 3 Water and the Economy
3-1.-Proposed source of water supplies for selected potential new towns ...................... 60

Chapter 4 Water Pollution Control
4-l.-Estirnate of total costs of abatement of point-sources of pollution, 1973-83 ................ 75

Page
Chapter 5 Improving Water-Related Programs
5-I.-Status of lands in U.S. Army Corps of Engineers flood control
and major drainage programs as of December 1971 .................................... 123
5-2.-Total acreage irrigated by Bureau of Reclamation water for selected years ................. 126
5-3.-Acreages and values of crops grown on farms in Bureau of Reclamation
projects in 1969 .............................................................. 128
5-4.-Major crops eligible for various Federal agricultural programs served
by Bureau of Reclamation project facilities-1969 ................................... 129
5-5.-Farm value of major crops eligible for Federal agricultural programs
total and Bureau of Reclamation served acreage-1969 ................................ 129
5-6.-Summary of alternative futures reviewed by the Commission for
agricultural water demands ..................................................... 131
5-7.-Forecasts of regional consumptive use of water in western water
resources regions for selected alternative futures in 2000 .............................. 132
5-'8. -Forecasts of national land use for selected alternative futures in year 2000 ................. 133
5-9. -Indications of prices received by farmers for selected commodities
under alternative futures in 2000 ................................................. 134
5-10. -Irrigation cost and annual repayment charge per acre, Missouri River
Basin Project ................................................................ 146
5-1 I.-Projected growth of utility electric generating capacity ................................ 173
5 -12. -Heat characteristics of typical steam electric plants ................................... 174
5-13. -Electrical power generating technologies ........................................... 178
5-14-Selected basic information for Federal and federally assisted
reservoirs having Federal recreation facilities-1972 .................................. 193

Chapter 7 Making Better Use of Existing Supplies
7-I.-Annualized marginal costs of sewage collection and treatment in
residential areas .............................................................. 250
7-2.-Summary of residential water use, Johns Hopkins Study ............................... 252
7-3.-Price effects on residential demands, 1963-65 ....................................... 253
7-4.-Current pricing policies of water utilities ........................................... 254
7-5. -Approximate costs of secondary and advanced treatment (June 1967 Cost Levels) ........... 310

Chapter 9 Means of Increasing Water Supply
9-I.-Potential annual increase in water supply from watershed land management ................ 357

Chapter 10 Better Decisionmaking on Water Management
10-I.-Effect of different discount rates on the present worth of a future benefit
of one dollar ................................................................ 384

Chapter 12 Water Problems of Metropolitan Areas
12-I.-Estimated savings resulting from joint administration of water supply
and waste disposal ............................................................ 447
12-2. -Revenues, debt outstanding and ratios, city governments, United States,
selected years ................................................................ 450

Chapter 15 Paying the Costs of Water Development Projects
15-1-Maximurn Federal cost shares for construction agencies ............................... 491
15-2.-Maximum Federal cost shares for grant agencies ..................................... 492

Xix

Page
Chapter 16 Financing Water Programs
16-l.-Federal outlays by category and agency for water resources and related
developments ................................................................ 502
16-2. -Comparison of Federal outlays for water resources with those for other
Federal civil public works and the total U.S. budget .................................. 503
16-3.-Estimated historic Federal expenditures for water resources and related
activities ................................................................... 505
16-4.-Total historical expenditures for water resources development .......................... 506
16-5. -Projection of capital investment costs based on extrapolation of "needs"
in Framework Studies of WRC ........... 507
16-6.-Poflution control costs under standards established under the 1965
Federal Water Pollution Control Act ............. o ................................ 508
16-7.-Survey results of estimated construction cost of sewage treatment facilities
planned for the period FY 1972-1976 ............................................. 509
16-8-Projected cash outlays required in principal industries to meet water
quality standards established under the 1965 Act by 1976 ............................. 510
16-9. -Estimated water pollution control expenditures: Current levels and
required to meet water quality standards established under the 1965 Act by 1980 ........... 511
16-10.-Index of pollution control investment costs related to level of abatement .................. 512
16-1 I.-Total national costs for municipal and industrial treatment ............................. 512
16-12. -Estimated additional costs for municipal and industrial wastewater
management ................................................................ 513
16-13. -Estimated additional per capita costs for municipal wastewater
management, 1983 ........................................................... 514
16-14. -Estimated capital costs for water pollution control ................................... 516
16-15.-Summary of annual capital demands on governments under various water
resources policies ........ 0 .................................................... 517
16-16. -Government finances, revenue, direct expenditures, and debt
1960,1965,1970 ............................................................ 519
16-17-Sources of revenue -Federal, State, and local governments ............................. 520
16-18. -Indebtedness and debt transactions of State and local governments
1969-1970 ............... 0 .................................................. 521
16-19-Gross outstanding debt of State and local governments selected periods,
1950-1970 .................................................................. 522

GRAPHIC ILLUSTRATIONS

1-I.-Average annual precipitation ....................................................... 3
1-2.-Bar chart showing lowest annual runoff in the one driest year out of 20 as a
percentage of the mean annual runoff for that basin ..................................... 5
f-3. -Water resources regions used in the first National Assessment ............................... 10
4-I.-Total control costs as a function of effluent control levels ........................... - " ** 76
5-I.-Irrigation development in the 17 Western States, 1899-1969 ................................ 127
1 1-I.-Map showing area covered by River Basin Commissions, Interagency Committees,
and Federal-State Compact Commissions ............................................. 419
16-1-10-year trend in Federal water resources expenditures ..................................... 504
16-2. -Engineering News-Record Construction cost index (1913=100.0) .................. 0 ........ 515

TABLE OF WATER EQUIVALENTS

1 cubic foot ... 7.48 gallons .............................................. 62.4 lbs. of water

I acre-foot ... 43,560 cubic feet 325,851 gallons
An acre-foot covers I acre of land I foot deep

I cubic foot per second (cfs) .......................................... 449 gallons per minute

I cfs ............................................................. 646,317 gallons per day
For 24 hours ............................................................ 1.983 acre-feet
For 30 days .............................................................. 59.5 acre-feet
For I year ............................................................... 724 acre-feet

I million gallons ............................................................. 3.07 acre-feet

1 million gallons per day (mgd) ....................................... 1,120 acre-feet per year

I mgd ......................................................................... 1.55 cfs

Metric Equivalents

I U.S. gallon ............................................ f .................. 3.785 liters
A liter is a cubic decimeter, slightly more than a U.S. quart

I liter ...................................................... 0.264 U.S. gallons

1 cubic foot ............................................................. 28.317 liters
I cubic meter . . .1,000 liters .......................................... 35.315 cubic feet

I million U.S. gallons ............................................... 3,785.4 cubic meters

I acre-foot ........................................................ 1,233.5 cubic meters

xxi

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---- ---- --------
Glossary

Ability-to-pay principle - the pricing of goods or Area of origin - in the case of interbasin water
services on the basis of family income or some transfers, the area exporting water.
other measure of financial capability rather than
on the basis of benefits received. (See benefits- Assimilative capacity - the Aility of bodies of water
received principle.) to purify themselves after absorbing waste dis-
charges or to dilute such wastes and thus render
Acre-foot - the quantity of water required to cover I them innocuous.
acre to a depth of I foot; equal to 43,560 cubic
feet or 325,851 gallons. Authorization - at the Federal level, the process
whereby Congress enacts a statute approving con-
Alternative futures - a range of different future struction of a project or implementation of a
economic, social, and demographic patterns of program, frequently specifying a maximum
development, each depending on a different set of amount to be appropriated for the purpose (but
assumptions with respect to public policies, life- not appropriating the required funds).
styles, patterns of consumption, etc., and any one
of which could materialize. Contrasts with a single Benefit-cost analysis - comparison of the expected
projection of future population, production, water benefits of a water project with the anticipated
requirements, etc. costs of that project. Ordinarily, unless the com-
Appropriation (funds) - at the Federal level, the puted benefits exceed the computed costs, the
process whereby Congress enacts a statute permit- project is not considered feasible.
ting expenditure of funds, sometimes repeatedl y
over a period of several years, for construction of Benefits-received principle - the pricing of goods or
authorized projects or implementation of author- services on the basis of benefits received by users;
ized programs. those who use a service pay for the service. (See
ability-to-pay principle.)
Appropriation doctrine - the system of water law
adopted by (and dominant in) most Western Best known technology - for water pollution control
States. The basic tenets of the appropriation is a shorthand term to describe those techniques
doctrine are (1) that a water right can be acquired and methods known by the NWC staff to be under
only be diverting the water from a watercourse and consideration in the spring of 1972 when the
applying it to a beneficial use and (2) in accord- Commission's estimates of cost of various pollution
ance with the date of acquisition, an earlier control measures were prepared. Does not neces-
acquired water right shall have priority over other sarily bear any relationship to the term "best
later acquired rights. The first in time of beneficial available technology" as used in the Federal Water
use is the first in right, and the right is maintained Pollution Control Act Amendments of 1972.
only by use. Water in excess of that needed to
satisfy existing rights is viewed as unappropriated
water, available for appropriation by diversion and Biochemical oxygen demand - the requirement for
application to a beneficial use. (See riparian doc- oxygen when organic matter decomposes in bodies
trine.) of water; oxygen-demanding wastes lower dissolved
oxygen levels in water which in turn can adversely
Aquifer - a saturated underground body of rock or affect aquatic life. Also called "BOD."
similar material capable of storing water and
transmitting it to wells or springs. Biota - The flora and fauna of a region.

Xxiii

Conjunctive management - the situation where man- River Basin is all the land area which drains into
agement of two or more water resources, such as a the Columbia River. Also called "catchment area,"
ground water aquifer and a surface water body, is "watershed," or "river basin."
integrated.
Ecology - the study of the interrelationships of living
Consumptive use - water withdrawn from a supply organisms to one another and to their surround-
which, because of absorption, transpiration, evap- ings.
oration, or incorporation in a manufactured prod-
uct, is not returned directly to a surface or ground Ecosystem - recognizable, relatively homogeneous
water supply; hence, water which is lost for units, including contained organisms, their environ-
immediate further use. Also called "consumption." ment, and all of the interactions among them.

Cost allocation - the apportionment of the costs of a Effective economic demand - in an economic sense,
multipurpose water project among the various demand for a product (good or service) is reflected
purposes served. by the quantities consumers will purchase . at
alternative price levels. With respect to a water
Cost effectiveness - comparison of alternative ways project or program, effective economic demand is
to achieve a given objective in order to identify the the willingness and ability of those who benefit to
least-cost way. pay the full costs of the output of the project or
program.
Cost-sharing - the assignment of the responsibility
for paying the costs of a water project among two Effluent - the outflow of used water from a sewer,
or more entities as for example among the Federal holding tank, industrial process, agricultural activ-
Government, a State government, and individual ity, etc.; sometimes treated, other times not.
users.
Depletion - the withdrawal of water from surface or Eminent domain - the right of a government to
ground water reservoirs at a rate greater than the acquire private property for public use, even from
rate of replenishment. an unwilling owner, upon payment of compensa-
tion to the owner; occasionally conferred upon
Desaiting - the technical process of converting sea private entities vested with a public interest such as
water or brackish water to fresh water or otherwise utilities.
more usable condition by removing dissolved Estuary - the lower course of a river which flows to
solids. Also called "desalinization" and "desatina- the sea and which is influenced by the tides; or an
tion." arm of the sea itself that extends inland to meet a
Discharge - the rate of flow of a spring, stream, river flowing to the sea; the reaches of a river into
canal, sewer, or conduit. which sea water -, intrudes and mixes with fresh
water from land drainage.
Discount rate - the interest rate used in evaluation of E u.trophication - overfertilization of a water body
water (and other) projects for the purpose of 'due to increases in mineral and organic nutrients,
calculating the present value of future benefits and producing an abundance of plant life which uses up
future costs, or otherwise converting benefits and
costs to a common time basis. oxygen, sometimes creating an environment hostile
to higher forms of marine animal life.
Diversion - see "withdrawal."
Evaluation examination of a proposed water
Divide - a ridge which separates two river basins or project to determine feasibility.
drainage basins.
Evaporation - conversion of liquid water into water
Drainage basin - the land area from which water vapor.-, hence, the dissipatioln of water from water
drains into a river, as for example, the Columbia surfaces and the ground into the atmosphere.

xxiv

CASE 23 A TIMBER BULKHEAD WITH RUBBLE
GROINS ON THE LOWER SOUTH RIVER

Structure was completed in 1970 at a cost of $48.70/ft. The historical rate
of erosion at the site was 1.5 ft./yr. from 1847-1970. Structure consists of
timber bulkhead which is angular in planform. To the south alongshore, the
neighboring property has installed several 8 ft.-long concrete pipes laid out
perpendicular from the shoreline to act as groins. To the north alongshore.,
3 concrete rubble groins are present. The bulkhead is in generally good
condition. The rubble groins are extremely effective in trapping littoral
sediments, and pocket beaches are present between the groins. The concrete
pipe groins have trapped some sediments to form a smaller beach, but these
structures are not sand-tight.

2-74

scarce resources. When marginal cost pricing does some of which consume relatively large quantities
not prevail, efficiency can be improved by moving of water.
resources away from industries where prices are
below marginal costs and into industries where Point-source - a specific site from which wastewater
prices are above marginal costs. is discharged into a water body and which can be
located as to source, as with effluent, treated or
Mouth of a river - the point where a river empties otherwise, from a municipal sewage sysiem, out-
into another river or into the sea. flow from an industrial plant, or runoff from an
animal feedlot.
Multiple use - in the case of water resources,
development of a particular water resource to serve Precipitation - any form of rain or snow falling to
two or more purposes simultaneously. the earth's surface.

No discharge policy - the policy which prohibits Recycling process - in the case of water, the
discharge of any harmful substance into a water withdrawal of water for use in cooling or process-
body. Strictly applied, the policy would forbid ing and the subsequent reconditioning and reuse of
discharges which are within the capacity of a water that same water over and over, usually with
body to assimilate and render harmless. relatively small additions of "makeup" water re-
quired to compensate for losses through evapora-
Nonpoint-source - the diffuse discharge of waste into tion or otherwise.
a water body which cannot be located as to
specific source, as with sediment, certain agricul- Regulation (stream) - the artificial manipulation of
tural chemicals, and acid mine drainage. the flow of a stream, as by the storage of water and
its later release.
Nonreimbursable cost - a cost of a water project
which will not be repaid out of project revenues Reimbursable costs - those costs of a water project
but which will be borne instead by the construc- which are expected to be recovered, in whole or in
tion or operating entity and funded by the part, usually from direct beneficiaries, and repaid
government. to the funding entity.

Once-through process - the withdrawal of water Reservoir - a pond, lake, aquifer, or basin, either
from a water body for use in cooling or processing natural or artificial, in which water is stored,
and subsequent return of that water, usually at a regulated, or controlled.
higher temperature or other altered condition, into
the same body of water from which it came. Residual - material or energy flow, the value of
Contrasts with water recycling processes. which is less than the cost of using it.

Pathogenic bacteria bacteria capable of causing Return flow - the portion of withdrawn water that is
disease. not consumed by evapotranspiration and that
returns instead to its source or to another body of
water.
Peak pricing - the technique of pricing goods or
services higher at times of peak demand and lower Riparian doctrine - the system of water law histor-
at times of reduced demand to discourage con- ically recognized by the Eastern States. The ripar-
sumption "on peak" and encourage consumption ian doctrine protects landowners adjacent to lakes
"off peak," thus to make more efficient use of and streams from withdrawals or uses which
plant capacities. unreasonably diminish water quantity or quality.
Under the riparian doctrine, individuals have a
Phreatophytes - (literally, "well plants") plants that right to make reasonable use of the stream waters
send their roots down to the water table, or to the flowing by lands they own so long as that use does
capillary fringe immediately above the water table; not substantially diminish either the quantity or

xxvi

the quality of the water passing to landowners bined population of at least 50,000, the smaller of
downstream. Where diversions or uses have been which must have a population of at least 15,000.
unreasonable, they either have been enjoined or Each SMSA includes the county in which the
riparian owners adversely affected have been com- central city is located, and adjacent counties that
pensated for interference with their rights. (See are metropolitan in character and economically
appropriation doctrine.) and socially integrated with the county of the
central city.
River basin - see "drainage basin."
Storage - the impoundment in surface reservoirs or
Runoff - the part of precipitation that appears in accumulation in underground reservoirs of water
surface streams. for later use or release.

Sediment - soil or mineral material transported by Strearnflow - the discharge in a surface stream
water and deposited in streams or other bodies of course.
water.
Sustained yield - in the case of ground water
Separable costs - the costs of a water project which aquifers, the quantity of wafer which can be
can be isolated and exclusively allocated to a single withdrawn annually without, over a period of
purpose. For eample, the costs of turbine genera- years, depleting the available supply.
tors at a hydroelectric plant. (See joint costs.)
Transpiration - the process in which plant tissues
Site-specific - phenomena which occur under certain give off water vapor to the atmosphere.
conditions at a particular site but which would not
necessarily occur at another site... User charge - a charge made upon direct beneficiaries
(users) of a water project, designed to recover part
Sovereign immunity - the doctrine under which the or all of the cost of the project.
Federal Government cannot be sued without its
consent. Watershed - a geographic area which drains into a
particular water body. (See drainage basin.)
Standard metropolitan statistical area (SMSA) - an
integrated economic and social unit with a large Water table - the upper level of an underground
population nucleus. There are over 24S SMSA's in water body.
the United States. Each contains at least one
central city with 50,000 inhabitants or more, or Withdrawal - the diversion and removal of water
two adjoining cities constituting, for economic and from a natural watercourse. Also called "diver-
social purposes, a single community with a com- sion."

Xxvii

Awf

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7ft

Chapter I
Forecasting Future Demands
for Water

The United States is blessed with a bountiful irrigation water for Western farmers has disappeared.
supply of water, although it is not always in the right So, also, has the policy basis for toll-free improved
place at the right time nor of the right quality. inland waterways eroded with the development of
Because of the general abundance of water, national alternative means of transport: heavy trucks traveling
water policy has evolved over most of the past on a national highway system; pipelines carrying oil,
century as if water had no cost and there were no gas, and coal; and a national rail network in financial
limits to its availability. But as demands come cloW difficulty. Among the many other changes in national
to and in some regions even exceed supplies of water, goals noted by the Commission perhaps the most
it becomes necessary to seek ways to increase important of all is the desire to clean up our rivers
efficiency in the use of water. At the same time, there and lakes and to preserve as much as possible of the
is a great and proper national concern that water be rivers that have not yet been developed. As recently
used in ways compatible with its vital role in as a decade ago this did not seem a high priority
sustaining a healthful and esthetically pleasing natural national goal. But in the past 10 years repeated acts
environment. of the Congress, and of State and local legislative
To increase efficiency in water use andto protect bodies, have attested to the emergence of this vital
and improve its quality, and to do these things at new national policy objective.
least cost and with equity to all parts of our country It is not the Commission's function, however, to
will, in the Commission's view, require major changes decide what the Nation's social goals and objectives-
in present water policies and programs. The Com- and their relative priorities-should be. This is the job of
mission is not unmindful of the important contribu- the President, the Congress, and the State and local
tions to the Nation's development of its great water governments, working under our representative form
programs of the past such as navigation, flood of government. Programs to protect, develop, and use
control, hydroelectric power, and reclamation. But water require large public expenditures. Water pro-
the Commission, in looking to the future, has been grams are not the only social demands competing for
faced with the reality that conditions have changed limited capital resources. Housing, education, health
since the policies for those programs were established. care, aid to the indigent, transportation, energy, air
It has been compelled to conclude that these changed pollution control, national security, law enforcement,
conditions call for new policies. No longer is it a and other social demands all seek a larger share of the
national goal to stimulate settlement of the West. Nation's resources. To recommend where water pro-
That goal has been accomplished; indeed, the grams should fit into the overall priority list is
Governor of one Western State has enunciated a beyond the scope of the Commission's assignment.
policy of "visit us, but don't stay." Thus, a principal Some of the Commission's recommendations will cost
basis for policies of providing free land and cheap a great deal of money, especially its recommendations
to improve the quality of the Nation's water, which if
adopted will cost the United States Treasury more
than all of the navigation, flood control, hydro-
Traditional stream gaging methods are yielding satellite electric power, and irrigation projects undertaken by
observations for measurement of water availability the Federal Government since the formation of the
Union. The Commission hopes that its recommenda-

tions will be implemented with dispatch, but it is not non-Federal interests to fulfill a national need, the
prepared to say whether or not and the extent to Federal Government should participate vigorously in
which its recommendations regarding water should be water resource developments. At the State and local
given preference over the many other social demands governmental level, where public interest or public
upon the Nation's limited resources. Consequently, it preference calls for it, governmental participation will
has sought to recommend water policies of such have to be substantial. What the Commission recom-
nature that they can be readily adapted to whatever mends against is not public investment but unjustified
other policies and priorities are chosen to guide the public subsidy which tends to reduce efficiency,
Nation's future destiny. distort the allocation of scarce resources, encourage
Above all, the National Water Commission in its construction of projects that are uneconomic, and
deliberations and in the discussion and recom- promote the wasteful use of water. Who should
mendations of this report has sought to set a stage for finance, construct, and operate various water re-
rational decisionmaking. It has shied away from the sources developments is one question. Who should
temptation to apply simple but unrealistic solutions pay for them is another. The Commission believes
to difficult and complex problems, as appealing as that even where a public agency is the proper entity
that seems to be for many advocates of both water to finance, build, and operate a water project, the
development and water quality programs. It has tried direct beneficiaries should ordinarily be obliged to
to point out that alternatives are available, and some pay for the full costs of the facilities from which they
of the consequences of alternative courses of action. benefit.
Most importantly, it has attempted to fashion policies The Commission recommends the adoption of
for management of the Nation's precious water national policies which, within appropriate con-
resources that are both practical of achievement and straints of environmental protection and desired
responsive to the conditions the United States is patterns of land use, will encourage the use of water
likely to confront in the remaining decades of the in the most efficient and equitable way to meet the
20th century. people's demands for goods and services. And insofar
Foremost among the policies that the Commission as appropriations of Federal tax dollars for water
believes must be implemented if the Nation is to programs are concerned, the Commission rec-
achieve wise and efficient use of its water resources is ommends that they be vastly increased, but broadly
that direct beneficiaries of water facilities should be redirected from projects to control or use water to
obliged to pay the cost of such facilities unless it can projects for the improvement of water quality.
be demonstrated that user charges are impracticable WATER REQUIREMENTS VS. DEMAND
and would frustrate important national purposes. FOR WATER
User charges designed to recover all or a major
portion of the costs of water-based services are the A persistent tendency of water resources planning
primary mechanism which the Commission believes has been the issuance of single valued projections of
will prevent distortion in the allocation of economic water use into the future under a continuation of
resources. Coincidentally, user charges will discourage @resent policies, leading to astronomical estimates of
construction of projects that unnecessarily change the future water requirements.'
environment and encourage conservation practices that The amount of water that is actually used in the
help to protect the environment. User charges appear future will depend in large measure on public policies
to offer the best assurance that, insofar as water that are adopted. The National Water Commission is
programs are concerned, the United States will get its convinced that there are few water "requirements,"
money's worth, and that natural economic advantages except for relatively small amounts for drinking,
and consumer choices will be allowed to establish the cleaning, fire fighting in municipalities, and similar
pattern of production for the Nation's farms, fac- other essential social and environmental purposes.
tories, and waterways. But there are "demands" for water and water-related
By advocating user charges the Commission does services that are affected by a whole host of other
not imply opposition to Federal, State, or municipal factors and' policy decisions, some in fields far
investment in water resource development. Where 'For the most recent manifestation of this, see U.S.
interstate or international waters are involved, where WATER RESOURCES COUNCIL (1968). The Nation's
multipurpose river basin developments are involved, Water Resources. U.S. Government Printing Office, Wash-
or where there is an unwillingness or inability of ington, D.C.

FIGURE 1. - Average annual precipitation

@,A

AVERAGE ANNUAL
PRECIPITATION

0-10

10-20
ALASKA,@,
20-30
PUERTO RICO 30-40
j 40-60
Ranges from 16 Rangesfrom 30 to 210 inches 60-100
to 400 inches Over 100

Source: U.S. WATER RESOURCES COUNCIL (1968). The Nation's Water Resources. U.S. Government Printing
Office, Washington, D. C. Part 3, Chapter 2, p. 2.

removed from what is generally considered to be technological development, water pricing policies,
water policy. For example, the invention of the consumer habits and lifestyles, various governmental
kitchen garbage disposal unit greatly increased the policies, and other variables.
load on municipal sewage treatment plants, and the Although the full range of possibilities should be
decision to support the price of cotton led to vast considered in planning, developm ent, and manage-
increases in irrigated acreage on the High Plains of ment of water resources, the Commission believes it is
Texas. unrealistic to develop water policy on the basis of a
"crisis scenario" such as a severe worldwide drought
ALTERNATIVE FUTURES extending over many years. Rather than base national
water policy on such speculation, it is better to
It is impractical, and in fact undesirable, to provide for the possibility of the occurrence of such
attempt to forecast precise levels of future water use events by more direct measures, such as, for example,
on the basis of past water use. How much water a national or even a world food bank. For this reason,
will be used, where, and for what purposes will the Commission did not try to encompass all possible
depend on the policies that are adopted. A range of alternative futures in its background studies, but
"alternative futures" is possible, depending upon selected for illustrative purposes only a reasonable
population levels and distribution, per capita energy number of possible combinations of policies for
consumption, rate of national income growth, study, as referred to later.

In formulating a national water policy, two both to reduce flooding during periods of high flow
measurements of water must be considered, quantity and to provide water for desired uses during periods
and quality. The latter, of course, is a relative term of low flow or high withdrawals. Similarly, the
depending on the use which is to be made of the differences in precipitation and runoff between areas
water. have encouraged residents of relatively low-flow areas
to seek water transfers from areas where flows were
greater or the water was thought to be less fully used.
WATER QUANTITY In response, government -Federal, State, and local-
The source of all water available to the Nation is and nongovernmental entities have made major in-
precipitation. Precipitation for the 48 contiguous vestments in water control, storage, transfer, and
States averages about 30 inches a year, enough for distribution works.
most purposes, but it is neither evenly nor regularly QUALITY OF WATER
distributed. Annual precipitation varies from over
100 inches in coastal regions of the Pacific Northwest Quality determines the usability of water in any
to less than 4 inches in parts of the Southwest (Figure particular location. Over time, water quality in many
1-1). In Alaska, the normal annual precipitation of the Nation's streams and estuaries has deteriorated
ranges from about 5 inches in the extreme north to through the cumulative effects of two separate but
more than 200 inches at places along the southern often concurrent actions. The first, of great concern
panhandle. In Hawaii and Puerto Rico also there is in most of the Western United States, is the con-
great variability in precipitation from place to place. centration of dissolved solids in the streamflow. This
Only a portion of the precipitation flows from the concentration occurs because part of the water
watershed into streams or ground water basins. The withdrawn for such uses as irrigation returns to the
runoff from a watershed is more variable than stream bearing dissolved material. When water is
precipitation because consumptive use in the water- evaporated from reservoirs the salts remain and their
shed is satisfied before runoff occurs. Runoff also concentration is increased. Finally, any diversion of
varies greatly within a given year and between years. flow leaves less water to dilute high salt concentra-
Within a normal year, the ratio of maximum flow to tions due to natural causes, such as salt springs.
minimum flow may be 500 to 1. Average annual The Colorado River is an excellent example of
runoff varies from near zero in the Great Salt Lake quality deterioration caused by dissolved solids.
desert to more than 50 inches in the Olympic Generally, flows in the headwaters of the Colorado
Peninsula. It exceeds 10 inches in the third of the River are of high quality, usually with less than 50
country in which the climate is considered to be parts per million (p.p.m.) of dissolved solids, but the
humid, and it is less than I inch in the third of the concentration increases progressively downstream
country considered to be arid. from both natural and manmade causes. At Imperial
Figure 1-2 shows, for each of the major water Dam, in the Lower Colorado River Basin, the
resources regions, the lowest annual runoff of the measured flows have had an average concentration of
previous 20 years as a percentage of the mean annual about 750 p.p.m. If present trends continue, it is
runoff. In general, the lowest flow deviates least from estimated that the concentration will reach 1,250
the mean and therefore is most dependable in the p.p.m. by the year 2000, two and a half times the
Northwest, the Northeast, and the Southeast. The recommended maximum allowable concentration for
areas of greatest flow variability are the and regions municipal water supplies, and dangerously high for
of the Southwest and North Central parts of the agricultural USO.2
contiguous United States. But even in the humid The second type of water quality deterioration is
areas a series of dry years may result in serious caused by the generation and disposal of residuals by
drought conditions such as occurred in the Northeast both producers and consumers. Marketable goods are
during the period 1961 to 1966. produced and residuals, the material and energy
The Nation's water programs have primarily byproducts that are not incorporated into the
emphasized measures to offset the variability in
precipitation and strearnflow and its effect upon
water supplies. The variability in precipitation in 2U.S. BUREAU OF RECLAMATION (1972). Colorado
many basins has made it necessary to seek a means of River Water Quality Improvement Program. U.S. Govern-
controlling and regulating the natural streamflows, ment Printing Office, Washington, D.C. pp. 1, 43,45.

VARIATION IN ANNUAL RUNOFF

FIGURE 2.- Bar chart showing lowest annual runoff in the one driest year out of 20 as a percentage of the mean
annual runoff for that basin

MEAN ANNUAL
REGION NATURAL RUNOFF BGD

North Atlantic 163

Great La-k,eO

Columbia-North Pacific, 910:

L---S,o,u-th-Atl,ariti,c---G,u,lf---- 197

Tennessee

_p r Coloradq 7
13,7

125

4R 4

I Missouri' 54A

:64.,,6
@U I P- p -ir_m Lis S-S ipT -_

3
I-Rio-Grand,e----

7 --------------7
Great Basin2

-Cariforn. 65.1-

-A rk _an sas.-Wh Li 95.8,

L-Lower-Colorado@-@-- - 3,19

0 10 20 30 40 50 60 70
PERCENT OF MEAN

1 Does not include runoff from Canada
2 Does not include runoff derived from upstream regions
3 Does not include runoff from Mexico

Source: U.S. WATER RESOURCES COUNCI L @ 1968). The Nation's Water Resources. U.S. Government Printing
Office, Washington, D. C. Part 1, p. 23.

product, are frequently disposed of in water. Con- Trends in Intake Water Use
sumer use of goods results in wastes such as old Historic withdrawals and consumptive uses of
automobile bodies, disposable bottles and caris, water for major intake uses are summarized in Tables
sewage, carbon monoxide, newspapers, and heat, all 1-1 and 1-2, respectively. As indicated in Table 1-1,
of which may end up in and pollute water. Many of current withdrawals for the purposes specified are
these wastes are misplaced resources that can and over nine times greater than in the year 1900. The
should be put to use. Broadly speaking, all raw growth in these water withdrawals has been sub-
material and energy inputs to any system ultimately stantially greater than the growth in U.S. population
become residuals to be disposed of in a gaseous, over this same period: U.S. population increased
liquid, or solid state, or as energy. When these about two and one-half times and water withdrawals
residuals are disposed of in the Nation's streams they per person have increased about three and one-half
degrade water quality and may make the streamflow times.
unsuitable for other purposes, or make treatment Figures on total consumptive use of water for the
necessary before it can be used again. Water quality important intake uses are available only for more
of streams in the vicinity of many of the Nation's recent years, as shown on Table 1-2, and the data are
largest metropolitan areas is diminished in this way- less reliable, because return flows are so much more
Both concentration of dissolved solids and disposal difficult to measure than withdrawals. Consumptive
of residual wastes are of increasing concern in the uses may increase at a more rapid rate than with-
United States. The Commission's views on the
problems of water quality are discussed in Chapter 4 drawals in the future if recycling of water becomes
of this report. more common.
Although the data may not be very accurate, it is
WATER USES clear that the Nation's growing agricultural and
Water use consists of (1) intake uses, (2) onsite increasingly industrialized economy has required
uses, and (3) instrearn or flow uses. Intake uses larger and larger quantities of water to be withdrawn
include water for domestic, agricultural, and and consumed. Because this trend foretells difficult
industrial purposes-uses that actually remove water quantity and quality problems in many areas of the
from its source. Onsite USeS3 consist mainly of water Nation, the Commission has explored alternatives for
consumed by swamps, wetlands, evaporation from lessening this trend through various policy and
the surface of water bodies, natural vegetation, procedural changes. (See particularly Chapter 7.)
unirrigated crops, and wildlife. Flow uses include Table 1-1 also indicates there has been a major
water for estuaries, navigation, waste dilution, hydro- change in the relative proportion of withdrawals of
electric power and also some fish and wildlife and water used for irrigation and steam electric power
recreational uses. production in recent years. The proportion of total
Water uses are measured in two ways, by amount withdrawals used for irrigation has been declining
withdrawn and by amount consumed. Water with- steadily since 1920 when 61 percent of all with-
drawn is water diverted from its natural course for drawals were used for irrigation purposes. In contrast,
use, and may be returned later for further use. Water there has been a steady increase in withdrawals for
consumed is water that is incorporated into a product steam electric power production since 1910, but
or lost to the atmosphere through evaporation and consumptive use for this purpose is still small,
transpiration, and cannot be reused. Water consump- whereas it is high for irrigation.
tion is the more important indicator, since some part Trends in Onsite and Ftow Water Uses
of withdrawn water can usually be reused, although
not always near the point where the first withdrawal Only sparse data on important onsite and flow or
takes place. Under certain circumstances, therefore, instrearn water uses are available. Nevertheless, these
large water withdrawals over a short time period may uses, including navigation, waste disposal, recreation,
become critical, adversely affecting onsite and and conservation of fish and wildlife, have grown to
instrearn uses. great importance in our society. Unfortunately, these
uses are not measured by the more conventional
'Some onsite uses deplete water supplies before they reach types of data collection and analysis. This is
the streams, and therefore have never been measured as a especially true of water use for esthetic purposes such
part of the Nation's water supplies available for use. as inspiration and relaxation, scenic drives, and for

TABLE I-I.-Water withdrawals for selected years and purposes, United States including Puerto Rico.
(Billion gallons per day)

Total Purpose of Withdrawals
Water Public Water Rural Industrial and Steam Electric
Year Withdrawals Irrigation Utilities Domestic Miscellaneous Utilities

1900 40 20 3 2.0 10 5
1910 66 39 5 2.2 14 6
1920 92 56 6 2.4 18 9
1930 110 60 8 2.9 21 18
1940 136 71 10 3.1 29 23
1950 200 110 14 3.6 37 40
1960 270 110 21 3.6 38 100
1970 370 130 27 4.5 47 170

Source: Withdrawals reported for 1900 to 1940 are taken from PICTON, Walter L (March 1960). Water Use in the United
States, 1900-1980, prepared for U.S. Department of Commerce, Business and Defense Services Administration.
U.S. Government Printing Office, Washington, D.C. p. 2. Withdrawals reported for 1950 to 1970 are taken from
MURRAY, C Richard & REEVES, E. Bodette (1972). Estimated Use of Water in the United States in 1970,
Geological Survey Circular 676. U.S. Geological Survey, Washington, D.C. p. 10.

TABLE 1-2-Recent trends in consumptive use of water in the United States, including Puerto Rico.
(Intake Uses Only)
(Billion gallons per day)

Purpose of Use
Total Self-Supplied
Consumptive Public Water Rural Industrial and Steam Electric
Year Use Irrigation supply Domestic Miscellaneous Utilities

1960 61 52 3.5 2.8 3.0 0.22
1965 77 66 5.2 3.2 3.8 0.41
1970 88 73 5.9 3.4 5.3 1.04

Source: Figures taken from MacKICHAN KA & KAMMERER JC (1961). Estimated Use of Water in the United States,
1960, Geological Survey Circular 456. MURRAY, C Richard (1968). Estimated Use of Water in the United States,
1965, Geological Survey Circular 556. MURRAY, C Richard & REEVES, E Bodette (1972). Estimated Use of
Water in the United States in 1970, Geological Survey Circular 676. All published by U.S. Geological Survey,
Washington, D.C. Estimates of consumptive use were not tabulated before 1960.

recreation purposes such as motorboating, sailing, and summaries, such as shown on Table 1-3, fail to
white water canoeing. Successful planning for and disclose local shortages caused when water within a
management of our water resources require that these region is not available at the places where there is a
uses be taken into account. demand for it. This is particularly true within regions
There are some indicators of the importance of such as the Columbia, Missouri, and Arkansas-White-
flow and instream water use. For example, between Red, where the flow of water is from the and
1950 and 1970, there was a fourfold increase in portions to the humid portions, or where use of
traffic moving on the Nation's inland waterways 4 from ground water exceeds recharge, such as in the High
52 billion ton-miles to 204 billion ton-miles. 13e- Plains of Texas and Central Arizona.
tween 1950 and 1970, the number of recreational In most regions, annual flow available 50 percent
boats is estimated to have increased from 3.5 to 8.8 of the years is nearly the same as the mean annual
million.5 In 1965, some 42 million persons parti- flow. Table 1-3 shows that the Lower Colorado
cipated in recreational boating for a total of 265 region already uses more water than its available
million days. 6 Also in 1965, about 13 million natural supply, and the Great Basin and Rio Grande
recreation days were spent at waterfowl hunting and regions use 60 percent or more of their average
42 million persons participated in fishing activities.7 supplies. In 1 year out of 10, consumptive use in the.
Obviously, these uses must be recognized as com- latter two regions exceeds the runoff, but storage
petitive and alternative uses of the Nation's fresh facilities permit carryover of flows to cover defi-
water resources, although some of the boating and ciencies. The Upper Colorado region, although it has
fishing takes place on the oceans and estuaries. adequate water, will run short at least 1 year out of
10 because of its compact obligation to deliver water
THE PRESENT WATER QUANTITY SITUATION to the Lower Colorado region, but large amounts of
Regional withdrawal and consumptive uses of holdover storage are available. At flows available 95
water in 1970 are shown in Table 1-3 along with the percent of the years, the same three regions (Rio
water supply available in each region under four Grande, Lower Colorado, and Great Basin regions)
different availability criteria. Hence, it is possible to would face unfavorable water supply-demand
compare, for the Nation as a whole and for individual balances and the Upper Colorado, California, and
regions, water withdrawals and water consumption Texas-Gulf regions become of concern.
with mean annual runoff and with annual flows that These comparisons indicate that the six regions
have been available 50 percent, 90 percent, and 95 mentioned above would, in I year out of every 20, be
percent of the years. Comparison of the mean annual the ones most su'sceptible to drought and water
runoff with current consumptive use of water shortages if present policies are continued. Even at
indicates that the present water quantity situation is present, the Lower Colorado region faces severe water
very favorable for all regions except the Rio Grande, management problems. Consumptive use of water
Lower Colorado, and Great Basin regions. Regional currently exceeding the natural supply is made
possible through use of natural flows from outside
4U.S. ARMY CORPS OF ENGINEERS (1951). Annual the basin (runoff from the Upper Colorado region is
Report of the Chief of Engineers, volume 1. U.S. Govern- allocated for use in the Lower Colorado region under
ment Printing Office, Washington, D.C. and U.S. ARMY the terms of the Colorado River Compact), repeated
CORPS OF ENGINEERS (1972). Waterborne Commerce reuse of water, and n-dning of ground water. Large
of the United States, Calendar Year 1970, Part 5, National amounts of ground water also are being mined in the
Summaries. U.S. Army Engineer District, New Orleans, La.
p. 32. Texas-Gulf, Rio Grande, Arkansas-White-Red, and
5BOATING INDUSTRY ASSOCIATIONS & NATIONAL California regions.
ASSOCIATION OF ENGINE AND BOAT MANU- In summary, two problems are evident. First,
FACTURERS (1972). Boating '7 1, A Statistical Report on certain large and economically important regions of
America's Top Family Sport. Boating Industry Associa- the Nation either already are or potentially could in
tion, Chicago, 111. p. 8. the future be using water beyond their natural water
6U.S. BUREAU OF THE CENSUS (1970). Statistical resource. Steadily increasing municipal and industrial
Abstract of the United States. U.S. Government Printing water requirements in these areas, and potentially
Office, Washington, D.C. p. 203. others, combined with established and, in some
'U.S. DEPARTMENT OF THE INTERIOR (1971).
Selected Outdoor Recreation Statistics. U.S. Government places, expanding irrigation activities could place
Printing Office, Washington, D.C. pp. 39, 41, 109. severe strains upon limited water resources. At the

TABLE 1-3.-Strearnflow compared with current withdrawals and consumption.
(Billion gallons per day)

Annual Flow Available2
Mean 50% 90% 95% Fresh Water
Annual of the of the of the Consumptive Use Withdrawals
Region Run_Off2 Years Years Years 19701 1970'

North Atlantic 163 163 123 112 1.8 55
South Atlantic-Gulf 197 188 131 116 3.3 35
Great Lakes 63.2 61.4 46.3 42.4 1.2 39
Ohio 125 125 80 67.5 .9 36

Tennessee 41.5 41.5 28.2 24.4 .24 7.9
Upper Mississippi 64.6 64.6 36.4 28.5 .8 16
Lower Mississippi 48.4 48.4 29.7 24.6 3.6 13
Souris-Red-Rainy 6.17 5.95 2.6 1.91 .07 .3
Missouri 54.1 53.7 29.9 23.9 12.0 24

Arkansas-White-Red 95.8 93.4 44.3 33.4 6.8 12
Texas-Gulf 39.1 37.5 15.8 11.4 6.2 21
Rio Grande 4.9 4.9 2.6 2.1 3.3 6.3
Upper Colorado 13.45 13.45 8.82 7.50 4.1 8.1
Lower Colorado 3.19 2.51 1.07 0.85 5.0 7.2

Great Basin 5.89 5.82 3.12 2.46 3.2 6.7
Columbia-North Pacific 210 210 154 138 11.0 30
California 65.1 64.1 33.8 25.6 22.0 48

Conterminous
United States 1,201 87 365

Alaska 580 .02 .2
Hawaii 13.3 .8 2.7
Puerto Rico .17 3.0

Total United States 1,794 88 371

same time, many areas are facing the growing Both of these problems are viewed by the Com-
problems of water quality deterioration. mission as matters of major national concern and
Second, ground water in many areas is being mined they receive further attention in this and later
or used at rates exceeding recharge. The economy of chapters.
these areas is based upon the foundation of a
temporary and dwindling water resource. In the THE FUTURE WATER SITUATION
major ground water-using areas, substitute supplies of
water are not readily available and alternative water A comprehensive effort at projecting future water
supplies can be obtained only at relatively high cost. uses was completed by the Water Resources Council

FIGURE 3. - Water resources regions used in the first National Assessment

SOURIS-RED-
COLUMBIA-
RAINY
NORTH PACIFIC

MISSOURI UPPER
MISSISSIPI
%r
GREAT BASIN

7, UPPER
1@1 COLORADO OHIO
0

LOWER ARKANSA -WHITE-RED
COLORADO

LLJ

TEXAS-GULF 0

ALASKA

PUERTO RICO

I HAWAII

Source: U.S. WATER RESOURCES COUNCIL (1968). The Nation's Water Resources. U.S. Government Printing
Office, Washington, D. C. Part 1, p. 5.

in 1968 and its report is commonly called the First projected water uses for the regions of the United
National Assessment.8 While time and changing States shown in Figure 1-3.
circumstances have dated these projections, they do The First National Assessment also included some
serve as a limited framework for studying the future indicators of onsite and flow uses of water. These
water situation. The Water Resources Council is in uses were stated primarily in terms of specific
the process of preparing an updated National Water activities and not in terms of water consumption,
Assessment that should be available in December although estimates of flow requirements for naviga-
1975. tion on major inland waterways and of water con-
Projections of the First National Assessment are sumption by fish and waterfowl developments are
based largely on extensions of past trends, which may included. Very large increases in these uses were
not continue, especially if the Nation adopts policies projected for the future. The total traffic on inland
recommended in this report. National projections waterways was projected to increase by 170 percent
from the First National Assessment are summarized by the year 2000, on the assumptions that present
in Table 1-4. Table 1-5 summarizes the total policies would be continued and that the waterways
would retain their current share of total intercity
8U.S. WATER RESOURCES COUNCIL (1968). Tbe commerce. The First National Assessment also sug-
Nation's Water Resources. U.S. Government Printing gested that water-based recreation of all types could
Office, Washington, D.C. increase by about 170 percent between 1965 and

CASE 26 A TIMBER BULKHEAD AND STONE
REVETMENT 0N MIDDLE RIVER

Structure was completed in 1978 at a cost of $115,60/ft. The historical rate
of erosion at the site was about 2.5 ft./yr. from 1847-1936. Timber bulkhead
consists of 3 in. x 10 in. tongue-in-groove sheetpile, and walers 6 in. x 8 in.
The planform of the wall is S-shaped. A 10 ft.-wide rip rap toe has also been
installed at the base of the structure on the seaward side. This structure is
in generally excellent condition. The wall is constructed to extend very high
up the bank face and limits splashover from the worst wave conditions. The rip
rap at the toe of the structure provides added protection against wave scour and
erosion of finer-grained sands and silts of the natural bottom.

2-88

TABLE 1-5.-Projected water use by region
(Billion gallons per day)

Projected Total Withdrawals Projected Total Consumptive Use
1980 2000 2020 1980 2000 2020

North Atlantic 54.9 113.9 236.3 2.9 5.0 8.5
South Atlantic-Gulf 53.2 87.4 130.2 3.4 5.7 8.3
Great Lakes 47.9 96.6 191.0 1.9 3.2 5.5
Ohio 41.7 65.1 90.2 1.6 2.5 3.6
Tennessee 12.3 13.9 18.1 0.6 0.8 1.1

Upper Mississippi 14.8 30.6 41.3 1.1 1.8 2.6
Lower Mississippi 12.8 28.0 39.4 3.0 4.5 6.3
Souris-Red-Rainy .9 2.0 2.8 0.2 0.5 0.5
Missouri 23.3 27.9 31.6 13.2 15.0 16.4
Arkansas-White-Red 17.3 25.3 31.6 8.5 10.6 12.3

Texas-Gulf 29.1 57.3 92.6 9.4 10.9 12.3
Rio Grande 8.3 9.5 11.7 4.7 5.0 5.5
Upper Colorado 5.7 6.6 6.7 2.7 3.1 3.1
Lower Colorado 8.5 8.4 8.9 4.1 4.6 5.3
Great Basin 7.1 7.6 7.8 3.3 3.6 3.8

Columbia-North Pacific 41.4 90.1 156.7 13.6 17.3 21.6
California 56.3 120.5 244.8 29.2 32.7 38.2
Alaska 0.5 0.9 4.2 0.1 0.1 0.2
Hawaii 2.7 4.7 8.6 0.7 1.0 1.4
Puerto Rico 4.0 8.3 13.7 0.4 0.5 0.6

U.S. Total 442.7 804.6 1,368.1 104.4 128.2

Source: U.S. WATER RESOURCES COUNCIL (1968). The Nation's Water Resources. U.S. Government Printing Office,
Washington, D.C. Part 1, p. 24.

Note: Columns may not add due to rounding,

crop price support program that keeps farm land in result from changes in various factors that, super-
humid areas out of production thereby stimulates a ficially, may appear to be only remotely related to
demand for interbasin water transfers to irrigate new water. Significantly, most of these factors are within
land in dry areas, with undesirable environmental the control of society, if it wishes to exercise such
consequences, another type of crop price support control.
technique may be selected.
Because it believes the concept of alternative Effects of Change on Future Demands for Water
futures should become a basic part of all future water
resources planning and decisionmaking, the Com- The principal staff analysis had the objective of
mission asked its staff to analyze the effects of analyzing the effects of changes in policy and
changes in policy, lifestyles, and technology on future technology on future demands for water. Demand for
demands for water and water-related services. These water for cooling steam electric powerplants and in
analyses were made not for the purpose of advocating the petroleum refining industry, as well as residential
any particular course of action, but to illustrate the water demand, were considered in the study, along
very dramatic changes in water demands that can with the preliminary results of Iowa State University

model studies of demand for water for irrigated In addition, the analysis incorporated the latest
agriculture, which are discussed in Section C of available information on demand for electric power
Chapter 5. The analysis made use of an economic from the Federal Power Commission studies, on
model developed in a study undertaken for Resources water-use coefficients for steam electric power
for the Future,9 growing out of earlier work per- generation from the work of the Commission's Panel
formed for the U.S. Senate Select Committee on on Waste Heat '14 on water use in the five major
National Water Resources.' 0 The model evaluates the water-using industries, on advanced cooling methods
relationships among water quality and quantity and and accelerated rates of recirculation of water in
costs of future programs on the basis of several industry, and on agricultural demands for water from
variations in future population and industrial activity, the Iowa State University model.
to indicate the range of choice open to the Nation in
meeting future demands through combinations of Conclusions from the Analysis: The analysis shows
waste treatment and water storage for dilution of that the rate of growth of the population and the
wastes. The variables considered and the salient economy and the alternative water policies and water
conclusions from the staff's investigation are briefly use technologies that are adopted would have very
reported here.' significant effects on future water demands. The
following more specific conclusions with respect to
Variables Considered: The following variables were water use in the year 2020 were reached in the
considered: study: 1 5
1. Four levels of population for the contiguous 1. Water withdrawals in the year 2020 may range
United States (264 million, 279 million, 299 million, from 570 billion gallons per day (b.g.d.) to 2,280
and 318 million in the year 2000) and an assumed b.g.d. depending on the combination of variables that
level of productivity (output per man-hour) of the are assumed. In comparison, the Water Resources
labor force.' 2 Council projected the total withdrawals at 1,368
2. Two assumptions were made regarding waste b.g.d. under a continuation of policies and trends in
heat disposal: (a) that no temperature limitations are effect in 1968 (see Tables 1-4 and 1-5).
imposed on receiving waters at the point of discharge 2. Water consumption in the year 2020 may
and (b) that no more than 5.40 F. increase in water range from 150 to 250 b.g.d. in comparison to the
13
temperatures at the point of discharge is permitted. Water Resources Council's projection of 157 b.g.d.
3. Two assumptions were made concerning dis- (see Tables 1-4 and I-S).
solved oxygen in fresh waters of the Nation: (a) that 3. Greater recycling of industrial process water
4 milligrams (mg.) per liter would be maintained and and recirculation of water used for cooling would
(b) that 6 mg. per liter would be maintained. 13 significantly reduce water withdrawals in the Nation
4. Two assumptions were made about sewage without any substantial total increase in water con-
treatment: (a) that all wastewater discharges to sumption. This would be particularly true for steam
coastal areas and estuaries would be given primary electric power generation where the studies indicate
treatment and (b) that such treatment would be at a that water withdrawals would be four times greater in
secondary level .13 the year 2020 under a continuation of present
technology than with substantially advanced techno-
'WOLLMAN, Nathaniel & BONEM, Gilbert W (1971). The logy which would increase consumptive use only
Outlook for Water; Quality, Quantity, and National about I percent.
Growth. Published for Resources for the Future, Inc., by
The Johns Hopkins Press, Baltimore, Md. "KRENKEL, Peter A et al. (1972). The Water Use and
'OU.S. CONGRESS, Senate Select Committee on National Management Aspects of Steam Electric Power Generation,
Water Resources (1960). Water Supply and Demand, prepared for the National Water Commission by the
Committee Print No. 32, 86th Congress, 2d Session. U.S. Commission's Consulting Panel on Waste Heat. National
Government Printing Office, Washington, D.C. Technical Information Service, Springfield, Va., Accession
"For details, see THOMPSON, Russell G et al. (1971). No. PB 210 355.
Forecasting Water Demands, prepared for the National 'For more detail on the conclusions of this study, see
Water Commission. National Technical Information THOMPSON, Russell G et al. (1971). Forecasting Water
Service, Springfield, Va., Accession No. PB 206 491. Demands, prepared for the National Water Commission.
fbid,, p. 29 1. National Technical information Service, Springfield, Va.,
13These assumptions were from the Woliman-Bonem study. Accession No. PB 206 491.

4. Water withdrawals for steam electric genera- wasteful for municipalities to plan to meet future
tion cooling purposes would be significantly affected demands on the basis of a single valued projection of
by water quality standards. A limit on temperature past trends.
increase in water at the point of discharge of no more
than 5.4" F. could reduce withdrawals for this Future Agricultural Water Demands
purpose about 75 percent from the levels forecast for Much more detailed analyses of future demands for
the year 2020 based on extension of present water for agricultural purposes were made because
trends." water used for irrigated agriculture is the dominant
5. Increasing the water quality standard of dis- consumptive use of water in the United States,
solved oxygen from 4 to 6 mg. per liter for all fresh especially in the regions most likely to face water
waters in the Nation, to reflect greater concern for shortages in the future. In 1970, for example,
environmental quality, would increase the cost of irrigation accounted for 83 percent of all the water
treating wastewaters about SO percent. consumed offsite in the Nation (Table 1-2). For the.,
Future Municipal Water Demands year 2000, the Water Resources Council's projection
Results of research' ' on methods of forecasting indicates that agriculture (irrigation and livestock)
future demand for water for municipal purposes were still could account for about 73 percent of all water
also considered by the Commission as a part of its consumed offsite in the Nation (Table 14). The
analysis of alternative futures. The studies showed a future agricultural demand for water depends on a
rather substantial variation in possible future demand number of variables, including: (1) food and fiber
for water in the four cities for which such demand demand (domestic and export); (2) Federal policies
was analyzed through the use of the model developed adopted for control of farm production, resource
during the course of the study. The model took into development, and environmental quality; (3) the rate
account six factors: regulations, pricing policy, educa- of technological advance; and (4) the price of water
tion campaigns, housing patterns, supply cost, and to the various users. It is also affected to a very great
technology of demand. Using these, 96 possible extent by the way other resources, such as capital
outcomes were developed, showing possible variations required to implement modern technologies, ferti-
in total water demand in the year 2000 of up to 29 lizer, and land, are used with and as a substitute for
percent under various combinations of these factors. water.
Of all the in-house uses of water, the study found In its search for answers to how these variables
that only toilet flushing appears to be excessive at interact to influence demand for water for irrigated
present, and might offer some scope for reduction of agriculture in the Western regions, the Commission
demand through regulation. Use of water for lawn contracted with Iowa State University for an analysis
sprinkling was found in this and other studies" to be of how a series of alternative future policies would
price sensitive, and probably excessive, so that use affect demands for land and water for agriculture. By
could be reduced through a combination of improved going to Iowa State University, the Commission was
pricing and educational policies. able to take advantage of work done by that
In view of the great possibilities for reduction in University for the Tennessee Valley Authority, in
per capita water use, as well as total use, it would be developing relationships between fertilizer use and
1 6But the temperature limit would require greater use of crop production, and the Bureau of Reclamation, in
cooling towers, and an increase in consumptive use. developing relationships between water use and crop
"For details, see WHITFORD, Peter W (1970). Forecasting production.
Demand for Urban Water Supply, a dissertation submitted The analysis' 9 was made in a national context in
to the Department of Civil Engineering, Stanford Univer-
sity, Palo Alto, Calif. which land and alternative technologies over the 48
"See, for example, HOWE, Charles W and LINAWEAVER,
F Pierce, Jr (1967). The Impact of Price on Residential "For details, see HEADY, Earl 0 et al., Iowa State
Water Demand and its Relation to System Design and Price University (1971). Agricultural Water Demands, prepared
Structure, in Water Resources Research, V. 3, pp. 13-32 for the National Water Commission. National Technical
and LINAWEAVER, F Pierce, it, GEYER, John C, and Information Service, Springfield, Va., Accession No. PB
WOLFF, Jerome B (1967). A Study of Residential Water 206 790; and MADSEN, Howard C et al., Iowa State
Use, prepared for the Technical Studies Program of the University (1972). Alternative Demands for Water and
Federal Housing Administration, Department of Housing Land for Agricultural Purposes, prepared for the National
and Urban Development. U.S. Government Printing Office, Water Commission. National Technical Information
Washington, D.C. Service, Springfield, Va., Accession No. PB 211444.

CASE 28 ALUMINUM BULKHEAD ON BACK RIVER

Structure was completed in 1974 at a cost of $70.00/ft. The historical rate
of erosion at the site was about 2.5 ft./yr. from 1846-1944. Structure consists
of corrugated aluminum sheetpile 0.125 in. thick and 10.1 ft. lonq. A deadman
anchoring system is connected to the wall by tie rods 3/4 in. in diameter and
14 ft. long. This structure is in generally good condition. There is evidence
of splashover at the site, but there are no problems with flanking erosion
alongshore since the wall connects with other vertical structures on both
ends.

2-92

-777717,@

vf, "'Jo-

kN@
MV,

2@,
J,

Food-producing capacity and water supplies through the year 2000 can be compatible

future water scarcities in the West, agriculture need Other Possible Alternatives for Agriculture: Several
not use more but actually could release a fairly large reviewers of the Commission's draft report have
supply of water for industrial and urban uses. Finally, suggested that the Commission should evaluate an
the study indicates that increasing the price of water alternative future incorporating assumptions that
for irrigation in the 17 Western States would create the recent surge in food exports, Which increased the
the potential for release of substantial quantities of 1972 export level substantially above the 1967-1969
water from agriculture for uses in other sectors and average, will continue and that the masses of world
locations without putting pressure on the Nation's population will become dependent on the United
food supplies or export potentialities or having other States for their food supply. If at the same time the
than minimal effects on the cost of food to the trend toward increasing crop yields in the United
Nation's consumers.21 States were reversed and the rate of population
growth in the United States increased, there might
indeed be food shortages. Incorporation of such
"See HEADY, Earl 0 et al., Iowa State University (1971). assumptions in a model study could undoubtedly lead
Agricultural Water Demands, prepared for the National to solutions which would call for vast increases in the
Water Commission. National Technical Information
Service, Springfield, Va., Accession No. PB 206 790. pp. amount of land required for crop production. Never-
V-1 to V-3. theless, the Commission believes that for illustrative

purposes the alternative futures considered in the cast with any assurance. Thus, any projection of the
Iowa State University studies provide a realistic range future need for water based only on past trends is
of alternatives. If the Nation decides to plan for quite likely to be wrong. What must be done is to
greater crop production, such a decision should be study a variety of alternative futures in which the
based on thorough consideration of all of the possible factors affecting water use are explicitly considered.
options, looking to achieving greater production goals The alternative futures discussed in this chapter
in the most efficient way possible. And if as a matter indicate the wide ranges of policy choices, tradeoffs,
of national policy the Nation decides to increase its and flexibility in water use that are available. The
food export capability by a program of subsidizing Commission believes that all policy planning activities
the reclamation of land, a decision we do not should give consideration to a wide range of possible
iecommend, it should do so in full awareness that the choices so that there is assurance that the selected
general taxpayer would be providing an indirect course of action will, regardless of any future which
export subsidy for foodstuffs. can reasonably develop, be a sound decision for the
Nation. In the words of Rene' Dubos, "trend is not
CONCLUSIONS destiny. "2 2

Water use is responsive to many variables in policy
and technology as well as to rates of growth in the "DUBOS, Ren6 (1972). A God Within. Charles Scribner's
population and the economy which cannot be fore- Sons, New York, p. 291.

Chapter 2

Water and the
Natural Environment

The environmental effects of water projects and Yet at the same time the Nation has enjoyed
water use are receiving increasing attention, in the environmental benefits from water projects: Glen
press, in Congress, and in the courts. Stream channeli- Canyon undammed was beautiful, but so is Lake
zation; flood control, hydroelectric power, and irriga- Powell; the C&O Canal and its adjacent lands offer
tion projects; and major industrial water uses such as recreation, charm, and a slice of history in metropolitan
the cooling of thermal powerplants are attacked on Washington, D.C.; water projects have opened new
grounds ranging from their impact on fisheries and routes to natural treasures in backcountry and offer
wildlife to their esthetic unsuitability and their new fishing and recreational opportunities. Clearly,
alleged long-term effects upon the complex ecology the environmental results of water use and develop-
of interrelated river and ocean systems. ment can be good as well as bad.
The Nation has become more sophisticated in its All projects alter the natural environment. The
understanding of ecological processes and painfully challenge is to choose well, to try to foresee the
aware that past water uses and developments have environmental consequences of proposed water uses
produced some unpleasant and unforeseen results. For and projects, to evaluate the costs and benefits of
example, the invasion of the Great Lakes by sea alternatives, and to act accordingly -which includes
lamprey through the Welland Canal;' increased salin- deciding not to develop when environmental and
ity in the Colorado River as irrigation has increased other costs outweigh the benefits. On the other hand,
and the flow has decreased; and the discovery that some environmental change is inevitable, not all of
large bacterial populations, created by sewage enrich- which will be necessarily bad. Even environmental
ment of streams and lakes, can react as "environ- enhancement by various pollution control techniques
mental catalysts" with discharges of inorganic mer- has associated environmental costs which must be
cury to produce the highly toxic methyl mercury.' considered. The Nation has gone astray, however,
when it has permitted the use and development of
waters without regard for ecological processes and the
STEVENS, Harry K et al., Michigan State University environmental values associated with natural water
(1972). Recycling and Ecosystem Response, prepared for
the National Water Commission. National Technical Infor- systems. It need not continue to do so.
mation Service, Springfield, Va., Accession No. 208 669. In order to protect and achieve environmental
p. 69. quality, the Commission believes that it is necessary:
2 BEETON, AM (197 1). Man's effects on the Great Lakes, 1. To understand and be able to predict the
Ch. XIV in GOLDMAN, Charles R (197 1). Environmental primary environmental effects which a particular
Quality and Water Development, prepared for the National water program, project, or use, and the alternatives to
Water Commission. National Technical Information Ser- it, including no development, may produce.
vice, Springfield, Va., Accession No. PB 207 114. 2. To assess the secondary effects which are
likely to be produced and the broader environmental
costs and benefits which are likely to result.
Boating on scenic Lake Powell just above Aztec 3. To take environmental values and processes
Canyon in southern Utah illustrates change in recrea- into account in selecting among alternatives, so as to
tional and enprionmental values resulting from reser- accommodate those values or processes, or, where a
voir construction. conflict of values is necessarily present, to reach an

informed and balanced judgment as to what will best or physical, that limit or reduce the functioning of an
serve the public intereSt.3 organism, species, population, biotic community, or
ecosystem.
SOME BASIC ECOLOGICAL PRINCIPLES4 Ecosystems are powered largely by energy from
To understand some of the basic environmental the sun. Green plants, the primary producers, through
impacts caused by water developments and water the process of photosynthesis convert carbon dioxide
uses, it is necessary to understand some basic eco- and water into oxygen and organic chemical energy,
logical principles. which becomes the fuel for the food chain. The
Ecology is "the study of the interrelationships of productivity of each level within the ecosystem
living organisms to one another and to their surround- depends upon the productivity of the primary pro-
ings."s Interrelationship is the key concept, both ducers. Another form of power is chemosynthesis,
within ecosystems and among them. Speaking gen- where organisms derive their energy from direct
erally, although they do not conform to strict, chemical transformations. Compared with photo-
well-defined boundaries, ecosystems are recognizable, synthesis, this is usually of minor importance in most
relatively homogeneous units, including the organ- aquatic ecosystems.
isms, their environment, and all, of the interactions At each level about 10 percent of the energy is
among them. When one part of the ecosystem is passed on through the food chain. The remainder is
affected it in turn affects the other, interrelated parts. either metabolized by the organism for its own
However, ecosystems are not independent; they blend maintenance or passed on at death to decomposer
one into another, changing in space and over time, organisms such as bacteria and fungi. These decom-
and interact. Ecologists speak of the "Law of the posers play a vital part in the ecosystem in converting
Holocoenotic Environment," that there is "complete organic material back into the nutrients needed by
interrelatedness and interdependency of all life and green plants, utilizing oxygen in the system. This is
,,6 the process of natural recycling.'
physical factors in the biosphere. Ecosystems are self-regulating, relying upon feed-
Within each ecosystem each organism has its own back mechanisms to maintain order. They react to
ecological niche or role in the ecological process. If stresses or to changes in input by striking new
conditions permit, these niches will become increas- balances. For example, if additional energy is intro-
ingly specialized, creating a more diverse community. duced into the system, such as that provided by
Developments within the ecosystem are subject to organic sewage, primary production will increase,
limiting factors -substances or conditions, biological touching off further changes in production and
consumption.
'See Chapter 6 for a discussion of the National Ecosystems evolve, if permitted to do so, through
Environmental Policy Act of 1969 (NEPA) and other orderly processes, sometimes over a long period of
procedures designed to produce this decision, and Chapter time. The process of change is referred to as
10 on decisionmaking.
'The Commission's background reports for this section are succession. The early stages of succession are charac-
GOLDMAN, Charles R (197 1). Environmental Quality and terized by a relatively few small and simple organisms
Water Development, prepared for the National Water and by relatively low primary productivity, although
Commission. National Technical Information Service, it exceeds the demands upon it. As succession
Springfield, Va., Accession Nos. PB 207 113 & 207 114. continues, the system becomes more complex. More
STEVENS, Harry K et al., Michigan State University
(1972). Recycling and Ecosystem Response, prepared for production machinery (green plants) develops, but
the National Water Commission. National Technical Infor- there are more consumers of the primary production
mation Service, Springfield, Va., Accession No. PB 208 and more of the energy generated by production is
669. For a helpful description of ecological principles, see required for the maintenance of the producing
THORNE ECOLOGICAL FOUNDATION (1971). Field
Syllabus, Seminar on Environmental Arts and Sciences, organisms.
Aspen, Colorado. Mimeo, The Foundation, Boulder, Colo.
'BORN, Steven M & YANGGEN, Douglas A (1972).
Understanding Lakes and Lake Problems. Environmental 7 See generally, RICHERSON P & McEVOY J (197 1). The
Resources Unit, University of Wisconsin Extension, Madi- measurement of environmental quality, Ch. VIII, in
son. p. 12. GOLDMAN, Charles R (1971). Environmental Quality and
6THORNE ECOLOGICAL FOUNDATION (1971). Field Water Development, prepared for the National Water
Syllabus, Seminar on Environmental Arts and Sciences, Commission. National Technical Information Service,
Aspen, Colorado. Mimeo, The Foundation, Boulder, Colo. Springfield, Va., Accession No. PB 207 113.

Diversity is a characteristic of the increasingly which may be associated with reservoir construction
complex ecosystem. In general, organisms tend to and operation. Moreover, no attempt is made to
become larger and more complex. There are more predict what impacts a particular project will have,
species, and the increased competition among them because the effects are site-specific (that is, they
results in specialization; the niches are defined more likely will vary from one site to another).
precisely to those in which particular organisms are This section deals exclusively with the environ-
best adapted to compete. This diversity is important mental effects of reservoir development, some good
for the resilience of an ecosystem. The more diverse but many bad. It does not catalog or evaluate
ecosystem, with its wide variety of species adapted nonenvironmental effects of reservoirs, some bad but
to particular niches, is better able to withstand many good. Hence, the important social and eco-
stresses than are less diverse ecosystems. The stability nomic values of hydroelectric generation, slack-water
of an ecosystem is directly related to its diversity and navigation, flood control, irrigation, municipal and
complexity. Factors which limit diversity, whether industrial water supply, and recreation made possible
natural or manmade, reduce stability. by reservoir developments and discussed in detail
Succession continues until an equilibrium, or cli- elsewhere throughout this report are ignored here.
max, is attained. At this point, diversity within the This discussion of the environmental effects of reser-
ecosystem is at a maximum permitted by the limiting voirs should not be construed to indicate that the
factors of the environment, and the production of the Commission is either opposed to or invariably critical
ecosystem is balanced by the demands for energy of reservoir developments.
within it. The ecosystem has reached its carrying The emphasis here on the relatively direct, primary
capacity. However, it is not static; it is in a dynamic environmental effects of reservoirs should not
condition created by the interplay of physical, obscure an important point: reservoir development
chemical, and biological forces and limitations. The and use produce secondary effects which may have
dynamic character of ecosystems makes time an great environmental significance. For example, a
important dimension; changes, including those trig- hydroelectric project may require the mining and
gered by man's activities, may be subtle but can production of materials and the taking of land for
become critical over a long period. long-distance transmission systems, which a fossil
fueled electric plant at the load center would not-a
ENVIRONMENTAL EFFECTS OF RESERVOIR secondary environmental cost-but it may also make
DEVELOPMENT an urban fossil plant unnecessary, conserving non-
renewable fossil fuels and curtailing air pollution-
All water projects and water uses have environ- secondary environmental benefits.
mental repercussions. Reservoir development provides By the same token, the specification of possible
a good vehicle for discussing environmental impacts, adverse effects should not be taken as a general
to illustrate the problems generally, because of indictment of reservoirs. Many have produced net
widespread interest in them and the controversies environmental benefits. However, historically
which they have generated. Consider the case of emphasis has been placed upon assets. In order to
Hetch Hetchy in the early part of this century, where make a balanced evaluation of the environmental
the issue was whether to dam a river within Yosemite effects of reservoir development, it is necessary to
National Park to provide water for San Francisco; or appreciate adverse impacts as well.
the more recent controversies over proposed dams on
the Colorado River-Echo Park, Marble Canyon, and Effects in Terms of Ecological Processes
Bridge Canyon; or current issues such as the proposed
Tocks Island and Gillharn Dams and the future of the Reservoirs create new conditions for organisms,
Middle Snake. and ultimately, as adjustments are made, foster new
The purpose of this section is to suggest the range ecosystems. Some of the organisms flooded are
and magnitude of the potential environmental effects tolerant to inundation; others are not. Water currents,
generated by impounding a stream, effects which the levels, temperatures, and other characteristics will
Commission believes must be investigated and evalu- change as a stream is converted to a lake. Within the
ated in order to facilitate sound decisions about water reservoir the old stream ecosystem is replaced by a
resources. No attempt is made here to set out all new lake-like one; below the dam there is still a
possible environmental impacts, adverse or beneficial, stream, but here too conditions will be altered.

3;r
44@

Yellowtail Dam's full reservoir backs up 71 river miles of the Bighorn Canyon in Montana and Wyoming

The predictable effect of a dam and reservoir is A second possible effect is increased primary
change of the organisms within the affected eco- productivity in an impoundment. A reservoir may act
systems. A possible effect is a loss of diversity and as a "nutrient trap," holding nutrients which other-
stability. If the conversion from a stream to a lake wise would have continued downstream, thereby
system diminishes the types of habitat available, as increasing the nutrient content behind the dam, while
well it may, diversity will be reduced. Even if the decreasing it downstream. The impacts of this phe-
changed conditions are as diverse as before, some of nomenon will vary depending upon the characteristics
the previous niches may no longer exist. New and of the reservoir, such as its depth and the ratio of
different ones may succeed them. Some species which inflow to storage, and of the stream. However, under
live in a stream may not survive in a lake. Change, per some circumstances, the additional nutrients will
se, is not necessarily bad, assunting equivalent diver- accelerate eutrophication. within the lake, stimulating
sity, since new organisms may thrive. However, it is the growth of algae, acquatic weeds, and bacteria. The
important to be able to predict which organisms may upper levels of the food chain characteristically are
live and which may die. It is possible that rare species unable to expand their feeding fast enough to keep
will be lost or that keystone species (those upon pace with the increase of the primary producers.
which associated species depend for support) will be Further, many of the plants produced during ad-
eliminated, triggering significant further change. New vanced eutrophication may be inedible. When the
species may or may not be less desirable than the old, plants die, they are used directly by the decomposers
or they may prosper at the expense of some other in large quantities, a process which requires sub-
desirable species. stantial amounts of oxygen and may, in severe

F. Cases along the Upper

Eastern Shore of Chesapeake Bay

This area of the northern Chesapeake Bay shoreline (Figure 2.10)

contains portions of Cecil County and Kent County. The sections below

present a brief physical description of the shoreline and coastal

processes, followed by a discussion of the case studies which were selected

from this area.

SHORELINE DESCRIPTIONS

Eastern Cecil County The Cecil County shoreline along the Elk River

is composed of rollinq hills up to 80 feet in height. At most spots, the

land slopes gently down to the water, but some hillsides end in exposed

vertical walls of erodinq sediments. The beaches in this area are of

varying width, and contain some gravel. Enough sand is present in some

areas of the shoreline system to form wide sandy berms on the summer beach

profiles. Marshes are found in protected coves, and in the headwaters of

the Flk River.

Most shorefront areas on the western side of the Elk River contain

farmlands or woodlands. Houses are located in among the trees on hillsides

next to the shore, on low hanks Drotected by erosion-control structures, or

in open grassy areas behind a wide vegetated buffer zone.

On the eastern side of the Elk River, the terrain is generally

flatter, and shorefront areas contain banks ranging from 5 to 15 feet in

height. Areas near the entrance to the C&D Canal contain concentrated

residential shorefront development and networks of erosion-control

2-100

fishery. By the same token, releases from the epilim- thermore, removal of water from the system, particu-
nion may be too warm for some species. The larly high-quality water, leaves less flow to dilute and
temperature tolerance limits seem particularly im- carry the salt load downstream.
portant during spawning seasons. Releases from the Reservoirs almost always alter the pattern of
hypohmnion are likely to be low in dissolved oxygen, sediment deposition downstream. One of the Com-
which can have a detrimental effect downstream. mission's background studies points out that the
These effects may be mitigated by the use of variable effect of reservoirs may be either to diminish sedi-
level discharges. Knowledge about potential effects is ments downstream, where the reservoir traps up-
critical for the proper operation of the reservoir.' 0 stream sediments, or to increase them, if before
Another environmental impact of reservoir opera- impoundment a river flushed out accumulated sedi-
tion which has received attention lately is the ments downstream during times of high flow, but did
so-called "gas bubble disease" phenomenon. Waters not do so after regulation. 12 The altered sediment
flowing over a spillway entrain air which plunges to load downstream may affect the fishery, either
the depths in the stilling basin and dissolves, pro- improving or degrading it, and change the pattern of
ducing a supersaturation of the dissolved gases. deposition at the mouth of the river. Sediment
Along the Snake and Columbia Rivers, where build-up within the reservoir may also produce
hydroelectric dams stairstep downstream, the super- important effects.
saturation is not relieved between dams. Fish extract
the gases from the water through their gills, so that Effects of Changed Land Use
the dissolved gases enter the blood and tissues. Under Some of the most significant environmental im-
lower water pressures, or higher temperatures, the pacts associated with reservoirs may come from the
dissolved gases allempt to return to a gaseous state changed land use patterns which the reservoir permits
and produce bubbles which can block the blood or encourages. For example, a flood control project
vessels of a fish.' ' Spillway modifications or more may encourage people to build or to plant crops in
effective use of hydropower potential to reduce water the flood plain downstream, reducing the diversity
flowing over spillways are expected to ameliorate the and stability of that area. The lake created by the
problem. storage reservoir may act as a magnet for recreational,
residential, or commercial development, which in
Effects of Altered Flows turn increases pollution. Construction can cause
A primary purpose of constructing a reservoir is to sedimentation; development can increase runoff;
change the pattern of flows from that which existed increased recreational use may overcrowd the lake
before: capturing high flows to prevent floods or to and the surrounding area."
store runoff for water supply, and later releasing the Water development tends to generate changed land
water at a controlled rate of flow to produce uses, and these secondary developments themselves
hydroelectric power or to augment natural low flows. affect the natural environment. This relationship
These alterations in the timing and magnitude of underscores the need to coordinate water resources
flows offer significant benefits. However, they also planning with the planning for and regulation of land
have the potential for causing environmental disrup- use and water quality, points which are developed at
tion where particular levels or patterns of flow are more length elsewhere in this report."
important. Reservoir storage may lessen total flows 12 HAGAN RM & ROBERTS EB (197 1).' Ecological impacts
downstream because of increased evaporation. As of water storage and diversion projects, Ch. X1 in
water in the reservoir evaporates, the remaining GOLDMAN, Charles R (197 1). Environmental Quality and
water-and discharges from it-are more saline. Fur- Water Development, prepared for the National Water
Commission. National Technical Information Service,
Springfield, Va., Accession No. PB 207 113.
"See generally, HAGAN RM & ROBERTS EB (1971). "See generally, HENWOOD K G 97 1). impact analysis and
Ecological impacts of water storage and diversion projects, the planning process, Ch. IX in GOLDMAN, Charles R
Ch. XI in GOLDMAN, Charles R (1971). Environmental (1971). Environmental Quality and Water Development,
Quality and Water Development, prepared for the National prepared for the National Water Commission. National
Water Commission. National Technical Information Ser- Technical Information Service, Springfield, Va., Accession
vice, Springfield, Va., Accession No. PB 207 113. No. PB 207 113.
SMITH HA Jr (Summer 1972). N2 - Threat to Pacific 'See Chapter 4 on water pollution and Chapter 10, Section
Northwest Fisheries? Water Spectrum 4(2):41-47. B, on planning.

Esthetic Effects of Reservoir Development outweigh other considerations or to make the
difference on balance. It simply provides a basis for
Congress regarded esthetic values as important treating esthetics less subjectively, permitting some
establishing this Commission. The National Water evaluation of how outstanding the esthetic character-
Commission Act directs the Commission to "consider istics of a site really are.' 7 It remains for decision-
economic and social consequences of water resource makers to evaluate the esthetic considerations with
development, including, for example, the impact of other relevant considerations. However, the Com-'
water resource development on ... esthetic values mission believes that esthetic factors should be
affecting the quality of life of the American
people; . . ."'5 described as carefully and assessed as objectively as
The Commission's background study on esthetic possible, by reference to standards such as those
values 16 recognizes that an esthetic experience is in suggested in the background study. Furthermore, to
part a product of the observer's "state of mind" and identify assets of national or regional value, land and
the context of observation. However, esthetics also water resources planning should include identification
may be evaluated in terms of the environmental of and recommendations for protection or rehabilita-
stimuh. Certain basic characteristics, such as vegeta- tion of high quality esthetic settings.
tion patterns, land form definitions and the prom- Loss of Wildness' 8
inence of the waterscape, can be identified. These can
be evaluated in terms of the presence or absence of For many who love a free-flowing, undeveloped
certain attributes which produce high or low esthetic river, no list of environmental impacts, or combina-
quality. fion of impacts, such as that set out above, can
The study also suggests a classification of manmade capture the full loss when a previously undeveloped
elements and describes various ways in which devel- stream is dammed. To them, undeveloped streams are
opment may be made most compatible with the rare and valuable natural resources, worthy of protec-
esthetic characteristics of the land and water. Reser- tion for their own sake. They are examples of nature
voirs, of course, offer certain esthetic advantages of untouched by the works of man and some, at least,
their own, such as a visible increase in the amount of should be preserved that way as part of our heritage,
water in the landscape. for ourselves and for generations to come.
The Commission believes that the types of analysis The Wild and Scenic Rivers Act of 1968 is
suggested by the background study can be helpful in responsive to this concern. It established a system of
at least three situations: wild and scenic rivers to be protected from develop-
1. Where the decision already has been made to ment or from land uses which would be incompatible
construct a reservoir at a particular site, but con- with the existing primitive character of the area. The
sideration of esthetic factors can lead to a design Act designated eight rivers as immediate components
which is tailored to the important characteristics of of the system, charged the Secretaries of the Interior
the setting. and Agriculture with studying 27 more as expedi-
2. Where a choice must be made between alterna- tiously as possible, and provided for the possible
tive sites for a reservoir, and the alternatives will have inclusion of other rivers within the system. All
different esthetic impacts. Federal agencies are to consider the potential of river
3. Where the choice to be made is among areas as wild, scenic, or recreational in "planning for
different types of projects which might meet a the use and development of water and related land
particular need (or whether there should be a project resources ... The process is a slow one. A river
at all) and the esthetic characteristics of the area are "Sce also, LEOPOLD, Luna B (1969). Quantitative
significant. Comparison of Some Aesthetic Factors Among Rivers,
This approach does not provide an answer for Geological Survey Circular 620. U.S. Geological Survey,
when esthetic values may be so significant as to Washington, D.C.
See generally, NASH R (197 1). Rivers and Americans: A
National Water Commission Act, P.L. 90-5 15, September century of conflicting priorities, Ch. IV in GOLDMAN,
26, 1968, 82 Star. 868, 42 USCA 1962a note. Charles R (1971). Environmental Quality and Water
"LITTON, R Burton Jr et al. (1971). An Aesthetic Development, prepared for the National Water Corrimis-
Overview of the Role of Water in the Landscape, prepared sion. National Technical Information Service, Springfield,
for the National Water Commission. National Technical Va., Accession No. PB 207 113.
Information Service, Springfield, Va., Accession No. PB Wild and Scenic Rivers Act, P.L. 90-452, Section 5(d),
207 315. October 2, 1968, 82 Stat. 910, 16 USCA 1276(d).

IWO

A"
o
.igw

x
--04"

i Q-96

The Wild and Scenic Rivers Act of 1968 will protect scenic rivers, such as this, from incompatible use

may be added to the system only by the action of mental costs and benefits of proceeding or of denying
Congress or by the Secretary of the Interior's a license or foregoing a project. The existence of a
approval of a river corridor designated by a State . mechanism by which Congress may designate certain
legislature. Proposed additions to the system are rivers as wild or scenic should not relieve Federal
20
subject to review by interested Federal agencies. In agencies from this responsibility.
many instances, the Federal Government would be
required to acquire fee title or scenic easements in CONCLUSIONS ON WATER
the land corridor along the river to provide the DEVELOPMENT PROJECTS
management necessary to preserve the river's Potential water resources programs and projects
qualities; need to be approached carefully and analyzed com-
The Wild and Scenic Rivers Act does not provide prehensively so they do not produce unexpected and
the sole vehicle for determining that the qualities of aenvironmentally unacceptable results.
particular river reach are such that a dam should not Elsewhere, this report makes a number of recom-
be built. Under the National Environmental Policy mendations directed toward the better planning and
Act and the Federal Power Act, as interpreted by the
courts, Federal licensing and construction agencies
have an obligation, before licensing or constructing a"HILLHOUSE, William A & DeWEERDT, John L (1972).
;07F

dam, to consider whether that is the best use of the Legal Devices for Accommodating Water Resources Devel-
river or whether the river should be left in its natural opment and Environmental Values, prepared for the
National Water Commission. National Technical Informa-
state. They should decide how to act in light of all tion Service, Springfield, Va., Accession No. PB 208 835.
relevant factors, including the secondary environ- Chs. 1, 7.

evaluation of such programs and projects. These nition that nature contains intrinsic resources which
recommendations, designed to further sound projects may be utilized to our benefit but may not be
and to eliminate unsound ones, are applicable to overtaxed except at a CoSt.,,l 4 They suggested
environmental considerations as well as to econon-dc gathering appropriate data on such natural resources
ones. Since the rationale for these recommendations as terrain, water, minerals, and vegetation; by
is set out more fully in other chapters of this report, analyzing this data, unique or scarce components of
the discussion here is limited to ways in which these the landscape could be identified, as well as the most
recommendations apply to environmental considera- appropriate areas for different types of land and
tions. water use. The Task Force applied this approach to
1. Develop an adequate data base. The Commis- five major physiographic regions within the Potomac
25
sion has recommended an extensive, continuous Basin and to the Washington metropolitan area.
program for collecting and organizing data on the Innovative approaches such as this, conducted with
condition of the Nation's waters.*21 Too little is realistic consideration for the resulting plans'
known about their present characteristics and quality economic and political acceptability, offer promise.
and additional information is needed to assist intel- A later section of this report deals with the role of
26
ligent judgment about the levels of quality which the public in water resources planning. While
should be sought and the measures needed to achieve public participation serves to develop public prefer-
them. ences broadly, including economic preferences, one
However, if the Nation is to have environmentally important function is to involve members of the
sound land and water development, it may not rely public from the inception of planning in order to
upon water quality data alone, important though that identify what they believe are the important elements
is. A broader data base is needed. The ecological of environmental quality, to broaden and deepen the
processes and environmental attributes of potentially planning agency's examination of environmental
affected areas should be studied; wherever practi- effects, to suggest alternatives which the agency
cable, these studies should include the geology, soils, might not consider under traditional approaches, and,
fisheries, climate, vegetation, historical and archeo- to educate both the public and the agency.
logical resources, land uses, esthetics, and other In some situations it is helpful and practical to
relevant factors. construct and operate a model to simulate the effects
2. Conduct further research into the environ- which different actions will produce within the
mental impacts of water resource development. The system modeled. For example, in Chapter 11,
Commission has identified this as one of the Nation's Section E, the Commission recommends increased
primary water research needs." Too little is known Federal support for water quality models for the
about the environmental impacts, good and bad, of Great Lakes.
water projects. In particular, while our knowledge 4. Develop rigorously and present as clearly as
about ecological processes is expanding and becoming practicable the environmental impacts associated with
more sophisticated, there is a need for further work a proposed water resources project and the available
to improve the prediction of ecological effects of alternatives. The National Environmental Policy Act
proposed water projects and of possible modifications (NEPA) requires Federal agencies to describe the
or alternatives. environmental impacts of major proposed actions,
3. Utilize planning techniques which are sensitive including those which cannot be avoided should the
to ecological processes and environmental values. proposal be implemented, and to explore and
27
Some imaginative techniques exist. The work of the describe alternatives to the proposed action. The
Potomac Planning Task Force, assembled by The Commission believes that NEPA, if properly applied,
American Institute of Architects, provides an 24
example." The Task Force recommended an Ibid., p. 44.
"environmental approach," starting with "the recog- See also, McHARG IL & CLARKE MG (197 1). Skippack
Watershed and the Evansburg Project, Ch. XVI in GOLD-
MAN, Charles R (197 1). Environmental Quality and Water
See Chapter 17, Basic Data and Research. Development, prepared for the National Water Commis-
"See Chapter 17. sion. National Technical Information Service, Springfield,
23 POTOMAC PLANNING TASK FORCE (1967). The Va., Accession No. PB-207 114.
Potomac, A Report on Its Imperiled Future and a Guide Chapter 10, Section C,
for its Orderly Development. U.S. Government Printing "P.L. 91-190, January 1, 1970, 83 Stat. 852, 42 USCA
Office, Washington, D.C. 4321-47.

provides an important tool for planning and evaluat- should not be expected always to produce definitive
ing water resources programs and projects. However, information on every possible environmental impact
too often an environmental impact statement sub- of a proposed project and its alternatives.
mitted under NEPA reads like a justification for a Some predicted consequences, good or bad, may
particular project rather than a rigorous exploration remain as unproved possibilities, incapable of being
of impacts and alternatives. Impact statements, and established either as future fact or of being dismissed
the analysis which they reflect, should help shape with certainty. Planners and decisionmakers must
agency decisions, not simply justify them." meet their responsibilities fully and fairly to evaluate
NEPA, as interpreted by the courts, requires a the information which is available or reasonably
"rather finely tuned and 'systematic' balancing attainable, but when they have done so, the time
analysis in each instance"-an assessment of the comes for judgment of probabilities and decision on
relative weight of environmental, economic, and the best information available.
other costs and benefits .2 9 Accordingly, it is appro- 6. Monitor environmental consequences. Once
priate for development agencies to discuss the range projects are completed, the environmental impacts
of benefits which a proposed project may produce. should be monitored to obtain information which
However, an environmental impact statement which would provide a better basis for future decisions to
emphasizes the positive and talks primarily about the protect the environment when water projects are
11 environmental" benefits which a project may bring undertaken.
by providing additional water supply, flood protec-
tion, and water recreation, misses an important point.
The environmental impact statement is supposed to ESTUARIES AND THE COASTAL ZONE
be a tool for assessing and evaluating the impacts When the National Water Commission was created
which a proposed project will have upon the natural in 1968, a two and one-half year study of national
environment, so that these may be considered along oceanographic research and development authorized
with other factors." In order to serve this purpose, by Congress in 1966 was nearing completion by the
an environmental impact statement should describe in Commission on Marine Science, Engineering and
detail the nature and magnitude of the environmental Resources. The designed overlap of the two com-
impacts wl-dch a project and its alternatives may missions made it clear that Congress did not expect
produce, good and bad, and the possible combined or the National Water Commission to consider in any
synergistic effects with other existing or proposed detail the problems of the oceans." Therefore this
developments and land uses. Beyond this, the Com- report does not. Other recent Federal reports have
mission believes that an environmental impact state- discussed estuaries and the coastal zone in consider-
ment is particularly helpful when it identifies and able detail.32
discusses measures which can be taken to mitigate the However, the Nation's estuaries and coastal zone,
adverse environmental impacts of a proposed action, the areas where the rivers and oceans interact, are an
including measures which might be taken by another
government agency. " See U.S. COMMISSION ON MARINE I SCIENCE,
S. Reach a decision. Even improved programs of ENGINEERING AND RESOURCES (1969). Our Nation
data collection, research, planning, and analysis and the Sea: a Plan for National Action. U.S. Government
Printing Office, Washington, D.C.
28 See U.S. GENERAL ACCOUNTING OFFICE (1972). "See for example, U.S. DEPARTMENT OF THE IN-
Improvements Needed in Federal Efforts to Iiitplement, the TERIOR (1970). National Estuary Study, House Docu-
National Environmental Policy Act of 1969, Report to the ment 91-286, Part 11, 91st Congress, 2d Session, U.S.
Subcommittee on Fisheries and Wildlife Conservation, Government Printing Office, Washington, D.C.; U.S.
House Committee on Merchant Marine and Fisheries,, by DEPARTMENT OF THE INTERIOR (1970). The Na-
the Comptroller General of the United States, B-170186. tional Estuarine Pollution Study, Senate Document No.
General Accounting Office, Washington, D.C. 91-58, 91st Congress, 2d Session. U.S. Government Print-
"'Calvert Cliffs' Coordinating Committee v. AEC, 449 F.2d ing Office, Washington, D.C.; U.S. NATIONAL ACAD-
1109, 1113 (D.C. Cir. 197 1). EMY OF SCIENCES/NATIONAL ACADEMY OF
"See U.S. COUNCIL ON ENVIRONMENTAL QUALITY ENGINEERING (1970). Waste Management Concepts for
(May 1972). Memorandum to Federal Agencies on Pro- the Coastal Zone. National Academy of Sciences/National
cedures for Improving Environmental Impact Statements. Academy of Engineering, Washington, D.C.; U.S.
Reprinted in Environment Reporter, Current Develop- COUNCIL ON ENVIRONMENTAL QUALITY (1970).
ments [Bureau of National Affairs, Inc., Washington, Ocean Dumping, A National Policy. U.S. Government
D.C.] 3(3):82-87. Printing Office, Washington, D.C.

integral part of our river systems. Development, The Coastal Zone - An Area with Competing
preservation, or use of water in some parts of the Demands
system affects other parts, making it impossible to The term "coastal zone" describes the part of the
discuss national water policy meaningfully without continent where the land meets the sea, including the
considering the role of estuaries and the coastal zone. estuaries, marshlands, and lands adjacent to the
This section, then, discusses two matters which relate shoreline, and the adjacent sea.
to planning sound water projects, water uses and The coastal zone is subject to multiple, frequently
related development: the impact of upstream devel- competing demands. Some require changes in the
opment on estuaries and the impact of development
within the coastal zone itSelf.3 3 natural environment and ecology of the coastal zone;
others require their preservation. The coastal zone is
urbanized, industrialized, and densely populated .3 1 it
Estuaries - The Rich Mixing Zones is at the heart of commerce, a medium for shipping
The estuarine region-the intermediate zone and a place for harbors, a mecca for recreation and
between fresh water rivers and open ocean-is second homes, a logical site for powerplants and
affected by the mass movements of each but pos- other installations which require large amounts of
sesses the exclusive character of neither. Tradition- cooling water, and a disposal ground for wastes of
ally, the term "estuary" applies to the lower reaches varying character washed from upstream sources or
of a river into which sea water intrudes and mixes discharged locally by municipalities and industries. It
with fresh water from land drainage. In all estuarine is a source of vast amounts of oil, gas, and other
systems the essential process is that of mixing, of the resources. 31 It is the primary supplier of the Nation's
interchange between the waters of the ocean and fish harvest and a potentially fertile field for aqua-
fresh water from lands, with the fresh water inflow culture. It is also the location of delicately balanced
and tidal currents primarily determining the circula- estuarine ecosystems and a place where there still is
tion patterns. some solitude and wilderness.
Productivity is an important attribute of estuaries
and their associated marshlands. Rivers drop sedi- Upstream Development
ments rich in nutrients; and the interaction of the The discussion earlier in this chapter of the
tidal wedge, pushing upstream from the sea, and of potential environmental effects of reservoir develop-
the downstream currents tends to hold waterborne ment illustrates the types of impacts which upstream
nutrients in the estuaries. Tides and cuff ents flush the develop .ment may have. Where reservoirs intercept
marshes, bringing additional nutrients to the plants in sediment, for example, the creation of productive
intertidal areas; the shallow water permits good light delta land may be retarded or reversed or beaches
penetration and provides excellent conditions for may erode because of a reduction in the supply of
fixed plants growing in the estuaries; floating algae sand. Erosion control, channel lining, and other steps
add their production. As a result, the estuarine region to improve upstream conditions may have adverse
is the most biologically productive area known on effects on the estuaries and coastal zones.
34
earth. Estuaries may suffer from major alterations of
Oysters and crabs spend their lives within the fresh water inflow, particularly where they accen-
marsh-estuarine ecosystem. Two-thirds of the com- tuate natural fluctuations. Salt water intrusion may
mercial fish caught nationally spend an important
part of their fife cycle in estuaries whether spawning, "The coastal counties contain only 15 percent of the land
nursing, foraging, living there, or just passing area of the United States, but within this area is
through. The estuarine regions also provide important concentrated 33 percent of the Nation's population, with
habitat for waterfowl and wildlife. about four-fifths of it living in primarily urban areas which
form about 10 percent of the total estuarine zone area. . .
"The coastal counties have within their borders 40
percent of all manufacturing plants in the United States."
3 3See Chapter 4 for discussion of estuarine pollution and U.S. DEPARTMENT OF THE INTERIOR (1970). The
ocean dumping. National Estuarine Pollution Study, Senate Document No.
34See KETCHUM, Bostwick H & TRIPP, Bruce W (1972). 91-58, 91st Congress, 2d Session. U.S. Government Print-
Pre-Publication Summary, A Summary of the Conclusions ing Office, Washington, D.C. pp. 20-21.
and Recommendations of the Coastal Zone Workshop, "'See THEOBALD PK et al. (1972). Energy Resources of
held in Woods Hole, Mass., from May 22 to June 3, 1972. the United States, Geological Survey Circular 650. U.S.
Woods Hole Oceanographic Institute, Woods Hole, Mass. Geological Survey, Washington, D.C.

y@,n
7.
Ae

77
ell

1-11.4cl?" NOW101i,
AN
001
MI

ek
o

This aerial view of the outlet to Lake Telequance in Alaska vividly illustrates an estuarine region

reach farther upstream, increasing the salinity of the Rivers play an important role in many estuaries by
estuaries and decreasing the amount of mixing. This flushing out coffected nutrients, as well as by deposit-
change may have an adverse impact upon estuarine eco- ing nutrients from upstream. Diminished inflows
systems. For example, significant changes in the flow from upstream developments, together with the
of fresh water from the Susquehanna River into the addition of nutrients from man's activities, can upset
Chesapeake Bay could affect the Bay's oyster crop the prevailing delicate balance. It has been suggested
which thrives between certain salinity limits. On the that smaller inflows may result in greater trans-
other hand, natural fluctuations such as that experi- parency, higher temperatures, and a longer retention
enced during hurricane Agnes in 1972 sometimes have time within the estuary. These conditions may cause
EW, ,

a much greater effect than any manmade changes. eutrophication, with resulting damage to commercial

and other fish species."' Larger inflows may also ing the ecological balance and the maintenance of
cause changes within estuaries. high biological productivity which makes these areas
Moreover, altered inflows may alter the ecology of so important." This modification-dredging, filling,
marshlands which are associated with the estuaries, and development-may enhance valuable uses, but it
insofar as organisms there rely upon particular pat- also may damage estuarine ecosystems by altering
terns of inundation and salinity. circulation patterns and flows or by filling marshes
Estuaries and the coastal zone are affected by land and estuarine shallows. For example, ditching and
and water use throughout an associated river system. diking can provide fresh water impoundments for
In turn, restrictions on the use of the coastal zone waterfowl habitats in marshy backbay shorelands and
generate pressures to locate new uses upstream. open up fish access to wetland areas, but these
Therefore, the coastal zone may not rationally be operations also can alter conditions to the detriment
managed in isolation. It would not do to ban a of important species. Dredging and filling may
particular use of a site on an estuary because of its improve navigation, boating, and water circulation by
anticipated adverse effects, if the banned project were deepening watercourses, but may also destroy habitat
then located upstream, with much the same harmful and foraging areas, imposing a cost to be borne by
effect. fish and wildlife,"' and can impair the capacity of an.
Speaking generally, comprehensive river basin plan- estuary to handle discharges from industries and
ning has given too little attention to the effects of municipalities. Natural forces also affect the eco-
upstream water uses and development on the logical balance. For example, one-quarter of Mary-
estuaries into which the rivers drain. There are land's annual "loss" of approximately 400 acres of
examples of a broader approach, but comprehensive coastal wetlands has been ascribed to natural erosion
planning of this type is still in its infancy and carried and succession.
out on a very restricted scale. Water resources Until very recently the primary Federal mechanism
development plans and projects prepared by river for controlling the physical modification of estuaries
basin planning entities should include measures to was the U.S. Army Corps of Engineers dredge and fill
protect the important characteristics of estuarine and permit program under Section 10 of the Rivers and
coastal waters and of marshlands, and the costs Of Harbors Act of 1899 .4 0 This Act was construed by
these measures should be borne by project bene- the courts as authorizing the Corps of Engineers to
ficiaries where possible. deny a permit where the activity would harm fish and
wildlife or cause other environmental damage .41
Coastal Zone Development Section 13 of the Rivers and Harbors Act of 1899
was the primary statutory basis for the Corps of
The Nation's estuaries and shorelands have been Engineers' program to regulate water quality through
subjected to massive physical modification, threaten- discharge permits.

"See GOLDMAN CR (1971). Biological implications of Research Center, State University of New York, Stony
reduced fresh-water flows on the San Francisco Bay-Delta Brook, New York.
System, pp. 109-124, in SECKLER, David [ed.], Califor- "'Hedgpeth reports that the surface area of Boca Ciega Bay
nia Water, A Study in Resource Management. University of in Florida has been reduced by 20 percent since 1950 with
California Press, Berkeley. the resultant estimated loss of fisheries worth about $1.5
"Coastal wetlands near population centers have been affec- million annually. See HEDGPETH JW (1971). Protection
ted strikingly. The Department of the Interior found that of environmental quality in estuaries, Ch. XIII in GOLD-
12,635 acres, or 29 percent of the Long Island wetlands MAN, Charles R (197 1). Environmental Quality and Water
existing in 1954, were developed between 1954 and 1964. Development, prepared for the National Water Commis-
U.S. DEPARTMENT OF THE INTERIOR (1970). sion. National Technical Information Service, Springfield,
National Estuary Study, House Document No. 91-286, Va., Accession No. PB 207 114. p. 8.
Part 11, 91st Congress, 2d Session. U.S. Government Act of March 3, 1899, 30 Stat. 1151, 3 3 USCA 403.
Printing Office, Washington, D.C. Volume 3, p. 32. Later "Zabel v. Tabb, 430 F.2d 199 (5th Cit. 1970), cert. denied,
studies concluded that an additional 4,400 acres of high 401 U.S. 910 (1971); see also HILLHOUSE, William A II
tidal marsh were developed in Nassau and Suffolk counties & DeWEERDT, John L .(1972). Legal Devices for Accom-
since 1964. See O'CONNOR, Joel S & TERRY, Orville W modating Water Resources Development and Environ-
(1972). The Marine Wetlands of Nassau and Suffolk mental Values, prepared for the National Water Commis-
Counties, New York, prepared in cooperation with the sion. National Technical Information Service, Springfield,
Nassau-Suffolk Regional Planning Board. Marine Sciences Va., Accession No. PB 208 835. Ch. 6.

Section 402 of the Federal Water Pollution Control estuarine and coastal waters and marshlands.
Act, as amended in 1972, shifted responsibility for 'the cost of measures required for such protec-
the issuance of permits for discharges to the Environ- tion should be included in the joint costs of
mental Protection Agency (EPA) and to the States. proposed projects and borne by the benefici-
Section 404 of that Act provides for a permit aries of the projects, except where Federal
program, administered by the Corps of Engineers, for policy authorizes nonreimbursable allocations
the discharge of dredged or fill material at specified to be borne by the Federal Government for
disposal sites. These sites are to be determined benefits of widespread or national scope that
applying guidelines developed by the Administrator cannot be traced to particular beneficiaries.
of EPA in conjunction with the Secretary of the
Army. The Administrator is empowered to prohibit
specification of any area as a disposal site and to CHANNELIZATION
restrict the use of sites.
Additional controls on activities carried out in During the regional conferences held in January
estuarine areas are provided by the Coastal Zone and February 1973 to receive public comments on
Management Act of 1972 .42 Under this Act, States the review draft of this report, a number of witnesses
will develop and administer management programs urged that the National Water Commission give
for their coastal zones, subject to the approval of the further attention to the environmental effects of
National Oceanic and Atmospheric Administration * channelization. The witnesses then went on to level
Provision also is made for the establishment of considerable criticism against the programs of stream
estuarine sanctuaries. Federal agencies carrying out channelization conducted by the Soil Conservation
activities that affect the coastal zone must do so in a Service of the U.S. Department of Agriculture and, to
manner consistent with the State program to the a lesser degree, by the U.S. Army Corps of Engineers
maximum extent practicable. Federal agencies issuing and other water resource development agencies.
permits or providing assistance for activities affecting . Channelization is not a water program objective. It
the coastal zone also must take into account the is an engineering measure by the use of which various
State's management program. objectives, or combinations of objectives, may be
achieved. These objectives include: drainage (that is,
CONCLUSIONS ON COASTAL ZONES the reclamation of wetlands by lowering the level of
the water table); flood control (through lowering
One of the major premises of this report is that flood stages by increasing the capacity of stream
water resources and water quality planning must be channels); navigation (by increasing the natural depth
43
integrated with land use planning. This is especially of some of the larger rivers); and erosion control (by
true in the coastal zone and in upstream areas where the substitution of artificial channels for gullies or
land use affects the estuaries. Decisions about where, other eroding natural channels).
whether, and how to dredge and fill, develop real Since channelization, or channel rectification, is a
estate, preserve natural systems, locate industries, and measure used for a number of purposes, it is discussed
dispose of wastes determine to a large extent the at a number of points in this report. As a drainage
possible uses and the environmental health of the improvement measure, it is mentioned in Section C of
waters and associated shorelands of the coastal zone. Chapter 5. Its use for reducing flood damages and for
For this reason, planning for the coastal zones should making possible more intensive use of flood plain
be handled in coordination with general land use and
lands subject to frequent flooding is referred to in
water resources planning, as discussed in Chapter 10. both Section C and Section E of that chapter. Section
H of the same chapter deals with erosion and
sedimentation, and channelization is also mentioned
RECOMMENDATION in this context. And channelization for navigation
2-1. Water resources development plans and proj- would be covered under the principles enunciated in
ects should include measures to protect the Section B of Chapter 5.
Since at least two other investigations of the
effects of channelization were under way during
42 Public Law 92-583, 86 Stat. 1280, 16 USCA 1451 et seq. preparation of this report, the National Water Com-
4'See Chapter 10. mission did not attempt to duplicate the work being

G. Cases along Kent Island

and Talbot County Shorelines

This area of the northern Chesapeake Bay (Figures 2.12 and 2.13)

contains portions of the shoreline in Queen Anne's and Talbot Counties.

The sections below present a brief physical description of the shorelines

and coastal processes, followed by a discussion of the case studies which

were selected from this area.

Kent Island] The Queen Anne's County shoreline on Kent Island contains

farmland, a few heavily wooded areas, and many clusters of shorefront homes

protected by erosion-control structures. North of the Bay Bridge, the Kent

Island shoreline is composed of low rolling hills which usuallv end at the

water's edge in exposed hanks from 3 to 15 feet in height. An exception is

at Love Point, where the high around slones gently down to the water's edge.

Shorefront areas on this reach contain mostly farmland, and the few houses

that are present are separated from the water by a wide vegetated buffer

strip.

Below the Bay Bridge, many of the shoreline banks support residential

development, and shorefront areas are often landscaped, covered with lawn

grass and shrubbery, and protected hv erosion-control structures. Clusters

of homes are interspersed with tidal creeks surrounded by marsh. Farther

south, the shoreline contains farmlands and woodlands at the edges of

eroding hanks, and the beach is nearly uninterrunted by erosion-control

structures. The few groin fields that are present were filled with sand in

the summer of 198O.

2-110

done under these investigations, but made use of of the channelized flood plains are further decreased
44
information developed. by the removal of trees and other vegetation, by the
unsightly appearance of the raw ditch banks, by the
Principal Effects muddy torrents that occur during storms, and, in
It is not channelization in itself that has led to the some places, by the failure of the perennial flow that
widespread opposition to the use of this measure but existed under natural conditions. Even in urban areas
rather its environmental consequences and the down- the installation of artificial channels for flood pro-
tection not infrequently meets with criticism because
stream effects. Actually, diversion, terrace outlet, and such channels, although more hydraulically efficient,
other channels provided as erosion control measures are less pleasing to the eye than the natural channels
are rarely criticized, as they -rluce erosion and, they replace. In most cases, without expensive main-
where necessary, are protected by vegetal or artificial tenance, the new channel will return to its original
linings. meandering course.
When channelization is undertaken for the purpose A further undesirable consequence of channel
of draining wetlands or reducing the frequency of rectification in headwater valleys is an increase in the
flooding of wooded, brush-covered, or pastured flood frequency and magnitude of downstream floods. This
plain lands, undeveloped lands are frequently con- comes about because of the reduction of flood stages
verted to intensively cultivated croplands. This results in the channelized reach, for any reduction in stage in
in the loss of both valuable habitat for fish and upstream reaches decreases the temporary storage of
wildlife and the esthetic values of a natural area. flood waters in those reaches and thus increases peak
Another consequence is the acceleration of erosion flows in downstream reaches.
that results from many channelization projects. This leads also to lowering of ground wateri levels,
Excessive erosion is caused by failure to make proper by reducing the time available for infiltration of rain
provisions in the planning of such projects for bank water which is speeded downstream by the artificially
protection and other measures required to stabilize improved channels.
the new channels. The usual reason for omitting these The foregoing paragraphs constitute a brief sum-
important ancillary measures is to reduce the cost of mary of the principal adverse effects of channeliza-
the channelization project. Since the necessity for tion projects. There are, of course, benefits resulting
reducing costs is most imperative for those projects from channelization.
undertaken to bring new lands into production Fertile lands can be made available for crop
(because the resulting increase in farm income must production by drainage improvement and by reducing
exceed project costs) it is normally channelization the frequency of flood overflow through channeliza-
undertaken to drain wetlands or to decrease the tion, and in the long run the resulting enhancement in
frequency of flood overflow that gives rise to the the efficiency of the Nation's agricultural plant may
most serious erosion problems. Had the erosion and be a desirable consequence.475- Quite naturally, the
sedimentation damages been added to the cost of owners of wetlands and of rural flood plain lands
such projects some of them would have failed to meet subject to frequent flooding are desirous of increasing
the test of economic justification. their incomes by utilizing these lands for crop
Another consequence of channelization is the production, and it is nearly always increased farm
replacement of meandering natural streams by income that makes possible the favorable ratio of
systems of @straight ditches forming a severe and benefits to costs that is necessary to obtain Federal
unattractive geometrical pattern. The esthetic value assistance in planning and carrying out channelization
projects. In urban areas subject to damage and
"'For more detailed information on the subject of channel-
ization, see U.S. CONGRESS, HOUSE OF REPRESENTA-
TIVES (1971). Stream Channelization, Hearings before the 4'As pointed out in Section C of Chapter 5, however, the
Conservation and Natural Resources Subcommittee of the Commission's background studies indicate that there is no
Committee on Government Operations, 92d Congress, Ist immediate need for bringing new land into agricultural
Session. Four volumes, June 3, 4, 9, 10, and 14, 1971. production, and this suggests that until such time as an
U.S. Government Printing Office, Washington, D.C. increase in the Nation's agricultural land base is urgently
ARTHUR D. LITTLE, INC. (1972). Final Draft Report: needed, there is no need for the Federal Government to
Channel Modifications-An Environmental, Economic and subsidize projects designed to increase production of crops
Financial Assessment, prepared for the Council on En- that are in surplus or are price supported or involved in
vironmental Quality. Two volumes, March 31, 1972. programs to take. land out of production.

Failure to provide bank protection on this channel leads to excessive erosion

possible loss of life by floods there is an even more the total cost to the Nation, including the cost of the
powerful incentive for seeking Federal assistance in detrimental effects previously described? Channeliza-
increasing the capacity of stream channels. In some tion projects are similar to all other water projects in
areas, drainage projects are desired in order to still another respect: For some of them the benefits
eliminate mosquitoes and other hazards to public exceed the costs and for others the reverse is true.
health. The accrual of these and other beneficial The evidence placed before the Commission makes
effects to landowners and to nearby communities has it impossible to avoid the conclusion that in many
created interest groups that oppose the efforts of the cases insufficient weight has been given to the
environmental interests to stop channelization activi- detrimental consequences of channelization, and
ties. particularly to losses not readily expressible in
CONCLUSIONS ON CHANNELIZATION monetary terms. There appears to be a tendency fully
to evaluate all benefits that would result from
There can be no doubt that most channelization channelization projects, but to underestimate, or even
projects produce both beneficial and- detrimental to ignore, some operation and maintenance expenses
effects, just as do all other measures used in develop- and damages resulting from lowering of ground water
ing water resources. And as for all other types of tables, destruction of fish and wildlife habitat, in-
water projects, the question to be answered is this: creasing downstream sedimentation and flood
Are the benefits to the Nation sufficient to outweigh damages, and loss of esthetic values. The work

r
"=W* .7

MW
WMIKIV M.
4

A -

'IT
NAV
J

This picture of the junction of the "old" and "new channel of the Forked Deer River in Tennessee illustrates
effect of channelization on a natural environment

accomplished during the past few years by the Water aries thereof should be required to assume any costs
Resources Council in its development of principles, properly allocable to the purpose of increasing the
standards, and procedures for the evaluation of water value of private lands. This would serve to dampen
projects has made it abundantly clear that in the past the desire of landowners to make more intensive use
such evaluations have generally failed to consider all of wetlands and of lands subject to frequent inun-
of the consequences of carrying out such projects. 46 dation.
It has also made it clear that there are many The Commission urges, in Section E of Chapter 5
detrimental effects that must be added to the cost of of this report, that the use of flood plain lands be
such projects if a valid benefit to cost comparison is regulated by the States or appropriate local govern-
to be made. The Commission hopes that as the mental entities. If the recommendations of that
proce dures being developed by the Council are section are implemented, the need for future channel
perfected, and all Federal agencies are required to improvement projects, particularly in urban areas,
comply with them, the intensity of the channeliza- would be substantially reduced.
tion controversy will gradually wane.
The Commission also believes that as another
means of insuring that future channelization projects RECOMMENDATIONS
are truly in the national interest, the direct benefici-
2-2. All agencies responsible for planning and carry-
ing out channelization projects should broaden
46 A recent court decision emphasizes the need for develop- and otherwise improve their evaluation pro-
ing better information on the environmental effects of cedures, making a special effort to reflect in
channelization before proceeding with authorized projects.
See Natural Resources Defense Council, Inc. v. Grant, Civ. the cost estimates damages caused by increased
No. 754, E.D.N.C., February 5, 1973. downstream flooding and sedimentation,

lowering of ground water levels, and loss of fish Appropriations Committees of the Congress
and wildlife habitat and esthetic values. The should require the submission, by both the
full cost of continuing maintenance should also agency that would be responsible for the use of
be reflected. these funds and the Council on Environmental
2-3. All future proposals for channetization projects Quality, of statements on the probable effects
should be required to indicate the part of the of the proposed undertaking on downstream
cost thereof that is properly allocable to the flood and sedimentation problems, on ground
purpose of increasing the value of lands in water levels, on fish and wildlife habitat, and
private ownership, and no such project should on esthetic and other noneconomic values and
be approved unless and until an appropriate these Committees should provide for the fund-
non-Federal entity has agreed to assume that ing of only those projects for which, in their
part of the project cost. opinion, the benefits are sufficient to justify
2-4. In considering requests for funds to carry out both the monetary and nonmonetary costs to
previously authorized channelization plans, the the Nation.

I Ilk

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In,

CASE 34 A STONE REVETMENT, TIMBER
BULKHEADS, AND STONE GROINS
AT THE SOUTH END OF TILGHMAN
ISLAND

In 1976, the following work was accomplished: 3 new groins (40 ft., 53 ft.,
and 63 ft. long) were installed at a cost of $106.17/ft.; timber bulkhead was
replaced at a cost of $163.64/ft.; and repairs to stone revetment cost $77.88
/ft. The historical rate of erosion at the site was 8 ft./yr. from 1847-1942.
The timber bulkheads replaced sheetpile bulkheads at this site. Stone revet-
ment was installed along with filter cloth. These structures are in generally
good condition. The offshore profile is very deep at the base of the seawall,
and no beach existed at the time of the site visit in summer of 1980. There
is evidence of wave overtopping at locations along the timber bulkheads.

COPPER CAP
WALE -6
BATTEN
BOARD GRADE OF FILL, LEVEL AT + 4.0
8"x 8" WALES, BOLTED TO 20x7/8 GALV TIE ROD, W/ GALV.OGEE
NUTS ACH EN -3
ASHERS a AT EACH EN
PILE W/ 7/8" GALV. SOLT
8'3"X 1/4"GALV. WASHER
0PPOSITE SIDE. GALV
OGEE WASHER & NUT
APPROX. EXISTING
THIS SIDE GROUND LLJ
EX. STEEL SHEET PILING TREATED TIMBER PILES
8" MIN. TIP. ILL.
O"-12" BUTT
TREATED TIMBER PILES 3"x 10"x 14' T &G SHEETING 18' IN LENGTH, 5'-6"O/C
12 0 BUTT,8"MIN.TIP, FASTENED TO WALES W/
60 d GALV. SPIKES 25'IN LENGTH, 5-6"O/C

EXIS

6 3 0 -3 -6 -9 -12 -15 -18 -21 -24 -27 30 FEET

"loo-year Run-up (12.1) Nearshore profile (=18:1 vertical exageration)
"10- year " Case 34
Run-up (8.4') Survey Date:6/22/80
7 6 5 4 3 2 1

Annual"
Run-up M

Tide q0
RAnge

DISTANCE OFFSHORE (FT)
200 150 100 5O
4

2-116

illustrated dramatically by the national controversy made unfit for further use. The standard explanation
over location of the new Miami jetport in relation to for treating water so carelessly is that it costs too
water supply for the Everglades National Park. Many much to do otherwise-a reason that seems to
new facilities, such as subdivisions, shopping centers, contradict the idea that water is our most valuable
factories, highways, electric generation stations, strip resource. Obviously, water value is a complex subject.
mines, and cattle feeding operations, have enormous
potential impacts on the quantity, quality, location, Value Concepts
and timing of flows within hydrologic systems. The Value means, simply, the degree to which some-
Commission believes that proposed legislation, now thing is desirable, useful, or important. Since there is
being considered by the Congress, for Federal assist- a limited supply of water in many areas, knowledge
ance for State land use planning could be of critical of its value in alternative uses is a prerequisite to
significance for the development and use of water selecting the most valuable uses from the range of
resources. Greatly increased attention must also be choices that are available. Should water be diverted
given to the effective regulation of occupancy in for irrigation or saved for fish? Should water be
flood plains, wetlands, and coastal areas. transferred from one basin to another or should it be
Finally, the Commission believes that the self- left for uses where it originates? Should valuable
purifying capacity of water bodies is a valuable labor and materials be put into water development
national resource that has been widely abused. Within projects or should these resources be employed in
limits, water bodies can perform the valuable service other uses-roads, schools, etc.? The answers ulti-
of assimilating certain wastes and rendering them mately depend on relative values.
harmless. There is a need to develop a philosophy of
controlling the use of assimilative capacity in such a Econornic Values: Economic value has been the
way as to maintain desirable environmental standards. principal concept of value in our society. In a
This will involve tradeoffs because wastes must be competitive economy, economic values are measured
either recycled or disposed of in air, water, or landfill. by market prices. When it is working well, the market
While recycfing of wastes is frequently a desirable pricing system reveals the value that goods and
goal, disposal needs will continue and selections of services have for people, and the value of the
the disposal method will require judgments based on resources such as water used in the production of
the economic and environmental facts of each situa- these goods and services. But for various reasons
tion. The self-purification capacity of a given stream market prices are not always a good or complete
varies with the quantity, quality, location, and timing measure of the true worth of an item. Distortions of
of flow. Here is an obvious situation where land use
regulation, influencing the location of new installa- economic values can result from undesirable distribu-
tions, will indirectly influence disposal of such wastes tion of income and from assorted market imperfec-
as heat and organic matter into the Nation's water- tions such as monoply power, lack of knowledge,
ways. hidden subsidies, etc. Futhermore, social and environ-
mental factors are seldom reflected in or subject to
THE VALUE OF WATER market transactions, and hence often have inadequate
economic value attached to them.
Water is sometimes referred to as "our most In the case of water these problems are often
valuable resource." It is necessary for life. Take water important. Various institutional arrangements have
from an area and the basis for plant and animal life is been employed to allocate water by nonmarket
gone, leaving a barren desert. It is not surprising that means. But this approach also has problems because
dernands for water are often treated as "require- choices are often made without the benefit of market
ments" or "needs" that absolutely must be satisfied, prices that usually indicate economic value and assist
regardless of cost. decisionmaking.
Although it is true that life depends on water, Fortunately, it is possible to estimate economic
society does not usually act as though water had values even though market prices are not available.
value equal to life itself. The reason is that the supply Sometimes there are prices for the services of water
of water far exceeds what is required to sustain that permit an estimate of the value of the water
hurnan life. In practice, water is "used" extrava- itself. In other situations, estimates can be made of
gantly. Large quantities of water are polluted and values gained through use of water that are fairly

CASE 35 A TIMBER BULKHEAD ON KENT ISLAND
WITH ST0NE GROINS

One stone groin existed prior to the construction of the rest of the structures. The original timber
bulkhead and one groin were constructed in 1973 at a cost of $63.29/ft. and $35.80/ft., respectively.
In 1976, 493 ft. of timber bulkhead and two stone groins were added at a cost of $79.35/ft. and $54.91/ft.,
respectively, and the two existing groins were refurbished and extended at a cost of $39.92/ft. Timber
bulkheads consist of tongue-in-groove sheeting. and piles are spaced on 7.5 ft. centers. Groins were
constructed of 400-800 lbs. stone on a 1.5:1 slope with a 3 ft.-wide crest. These structures are in
generally good condition. No beach sand was observed at the site in thesummer of 1980. There is strong
wave activity in this area, and the wave crests were observed to reflect against the vertical bulkhead.
Bulkheads to the north alongshore are being forced landward by waves, and backfill is being lost through
the bulkhead wall. There is also evidence of wave overtopping and splashover at this site.

10-

8 6 4 2 0
TREATED CAPBOARD

COPPER CAP

TOP OF WHALE

6"X6" WALES BOLTED TO PILE
WITH 3/4" GALV. BOLTS A 3"X1/4
GALV. FLAT WASHER OPPOSITE
SIDE. GALV OGEE WASHERS A
NUTS THIS SIDE

BATTEN
BOARD
15 3/4" GALV TIE ROD WITH GALV
OGEE WASHER & NUT EACH END
APPROX. EXISTING GROUND
10"X 12" & TREATED TIMBER
PILES 8"6 MIN TIP 14'
IN LENGTH AT EACH WALL
PILE

3"X 10"X12' T & G SHTG
FASTENED TO WALES
WITH 60 & GALV. SPIKES
10"-12 & TREATED TIMBER PILES 5"6
MIN TIP, 20'IN LENGTH AT 7'6 O/C

-14 -12 -10 -8 -6 -4 -2 0 2 4 6 8

nearshore profile ( 18:1 vertical exaggeration
Case 35
Survey Date: 6/11/80
PROFILE1
(Between Groins)
PROFILE 2
(Between Groins- south alongshore)
"100-year"
Run-up (13.1)
"10-year"
Run-up (8.5)
"Annual"
Run-up

5 4 3 2 1 0
50 100 150 200

-1 -2 -3 CAPBOARD

2-118

of the water itself at the point of diversion from the Estimates of Water Value in Major Uses
natural supply, the costs involved in bringing it from A report prepared for the Commission by Colorado
the point of origin should be subtracted from the State University (CSU) contains estimates of water
value of water at the point of use. values in some of the major withdrawal and instrearn
uses.' The values developed in the Colorado study are
Choosing Accounting Perspective: The willingness to useful primarily because an attempt has been made to
pay or value of water depends in part upon the point compare water uses on a consistent basis, permitting a
of view or accounting perspective of the individual comparison between relative values in various uses.3
making the evaluation. From the point of view of a The generally low values presented here reflect the
private water user, water value is determined by its generally abundant supplies of water that have been
contribution to his net revenues or satisfaction. His available for economic development in the United
perspective is narrow and the consequences of his use States to the present time. As demands for various
on other individuals often do not enter into his water uses increase, more costly alternatives, such as
evaluation. A regional perspective would take into recycling processes or improved irrigation techniques,
account all the returns that occur in the region, It will tend to reduce water use per unit of production
may consider some effects that may not enter into and the values per unit of water in various uses can be
the consideration of an individual firm, such as expected to increase.
employment and economic activity induced in other
sectors of the regional economy as a result of water Crop Irrigation: Crop irrigation is one of the largest
development and use. From the national point of uses of water. Irrigation accounts for about 35
view, the goal is to increase net social income from percent of total water withdrawals and about 83
use of all national resources. All benefits and costs percent of the water consumed in the United States.
should be taken into account. Induced employment Over half of the water diverted for irrigation is
or disemployment that occurs outside of a benefited consumed through evaporation and transpiration, and
region should be evaluated as well as the more thus is not available for any subsequent use. The
apparent regional effects. water that is not consumed may return to the system
Different evaluation purposes may call for differ- after considerable delay (a month or more for much
ent accounting perspectives. Economists generally of it) at a downstream location or in a ground water
favor the national point of view where all effects, aquifer often some distance from the point of
including those that are external to individuals or diversion and sometimes degraded in quality.
regions, are taken into account. Regional estimates of The value of irrigation water depends upon envi-
value consistently tend to be higher than national ronmental conditions, the crop grown (high-valued
estimates because the beneficial economic effects of vegetables and fruit, or low-valued forages and
water resource projects are generally concentrated in grains), the stage of growth of the crop, and the
a local region, whereas detrimental effects may occur efficiency of water utilization on the farm. There are
in other regions of the Nation, and are hard to literally scores of estimates of irrigation water value
identify. resulting from many different studies. These studies
have employed a variety of concepts and perspectives
Recognizing Noncommercial Values: Much esthetic in evaluation, which means that all the estimates are
or social value is derived from water. Water provides
enjoyment for people through recreation, scenic
beauty, and the simple appreciation for nature. 'YOUNG, Robert A & GRAY, S Lee, Colorado State
Although these are difficult to evaluate, they are University (1972). Economic Value of Water: Concepts
undeniably desirable, useful, and important and thus and Empirical Estimates, prepared for the National Water
Commission. National Technical Information Service,
valuable uses of water. Estimates of the economic Springfield, Va., Accession No. PB 210 356.
value of water, including these difficult-to -evaluate Some studies have taken an alternative approach and have
benefits, can contribute much to better decisions related various measures of the value of output to the units
about water management and use even where certain of water consumed in each use. High values of production
values can only be approximated or protected by are related for such industries as printing and publishing or
clothing manufacture. See, for example, WOLLMAN,
placing limits on permissible changes in natural water Nathaniel, et al. (1962), The Value of Water in Alternative
systems, such as maintaining minimum strearriflows. Uses, University of New Mexico Press, Albuquerque, N.M.

not strictly comparable. Nevertheless, there is con- These values include the costs incurred in delivery of
siderable common ground among the studies. Most water to the residential user.
seek to estimate water value from the point of view
of the private irrigator, that is, his theoretical Industrial Water Use: Withdrawals of water by in-
willingness to pay for the water used. They com- dustry account for more than one-half of all with-
monly estimate the value of-water delivered to the drawals. Most of this water is used for disposing of
farmer's headgate rather than at point of diversion. heat or other waste, and returned to the stream. Very
The CSU study indicates a value for irrigation little water is actually consumed by industry; there-
water ranging from $15 to $40 per acre-foot at the fore, use of water by industry primarily affects water
farmer's headgate, with most estimates clustering quality. Ninety percent of water used by industry is
around $20 per acre-foot. The higher values are for cooling (principally in steam electric generating
generally for irrigation of higher-valued crops and for plants).' Most of the remaining industrial uses are
irrigation in the most and areas or in areas with concentrated in five industries: food products, pulp
longer growing seasons. In the humid East, relatively and paper, chemicals, petroleum, and primary metals.
small amounts of irrigation water are used, but it is The most appropriate method for determining the
mostly applied to high-value crops and has values in value of water in industrial uses is to examine the cost
about the same range. of alternative processes that will produce the same
The value of irrigation water may often reflect product while using less water. Internal recycling of
some farm prices that are government supported. water is a primary alternative.
Without price supports the value estimates for water The costs of recycling are usually quite low. For
used for irrigating price supported crops would be cooling uses, recycling through a cooling tower
lower. (where heat is transmitted directly to the atmos-
phere) can be accomplished at costs ranging from
Municipal Water Use: A large portion of water used $2.50 to $4.20 per acre-foot, with the higher costs
by municipalities is returned to the natural water occurring in warm or humid regions where the
system soon after its use. Since most domestic and cooling process is less efficient. The value of water for
municipal water is used for washing (clothes, dishes, once-through cooling (where warmed water is re-
streets, etc.) and carrying away wastes, quality turned to the water body) thus can be no more than
degradation can be serious unless the water is treated $2.50 to $4.20 per acre-foot, at the site of use. The
to reduce pollutants. value of the water at the point of diversion actually
Water for municipal uses usually enjoys priority will be less than that by the amount of additional
over other uses, perhaps because drinking water is cost in delivering it from that point to the plant.
essential to life. However, the amount required for Water for process uses such as washing or carrying
drinking is so small that it is insignificant in determin- dissolved materials generally is more expensive to
ing the total value of water in municipal and domestic recycle and costs may vary greatly with the nature
uses. Most water employed in municipal and domestic and extent of quality degradation occurring in the
uses is not nearly as essential as drinking water and, as process. The mean value of recycling process-water in
a result, is much less valuable. the five major water-using industries ranged from less
Estimation of the value of water for municipal and than $5 to about $26 per acre-foot, with an average
domestic uses must proceed without benefit of the of $13. Scattered estimates in minor industries are
techniques that can be employed for valuing water largely consistent with findings for the major indus-
for a production use. Nevertheless, there have been tries.
4
several studies of household demand. In general,
they support estimated values of around $100 per
acre-foot for in-house uses and about $66 in the West 'MURRAY, C Richard & REEVES, E Bodette (1972).
and $16 in the East for lawn and garden irrigation. Estimated Use of Water in the United States in 1970, U.S.
Geological Survey Circular 676. U.S. Geological Survey,
'See discussion summarizing the results of these studies in Washington, D.C. p. 5. Also, for discussion of this subject
YOUNG, Robert A and GRAY, S Lee, Colorado State see THOMPSON, Russell G, et al. (November 1971).
University (1972). Economic Value of Water: Concepts Forecasting Water Demands, prepared for the National
and Empirical Estimates, prepared for the National Water Water Commission. National Technical Information
Commission. National Technical Information Service, Service, Springfield, Va., Accession No. PB 206 491. pp.
Springfield, Va., Accession No. PB 210 356, pp. 184-198. 145-191.

41
oil, "4,
v*,
X
2.
"It
WN

V?-

lv.
ly
"j"
SA,

Ais cooling tower on the Susquehanna River pennits recycling of powerplant condenser water

Costs of water supply for industry usually are less The best measure of the value of water for
than 2 percent of production costs. In water-short wasteload assimilation is the alternative cost of
areas, because water rights or purchased supplies may providing treatment for the effluent. A given quantity
be more costly, industrial plants usually are designed of water under given stream and weather conditions
to extensively recycle the water used. Thus, generally can only assimilate a certain amount of waste
where water is more costly, the value in use will be material without exceeding quality limits. A reduc-
higher and the amounts used by a typical plant will tion in flow thus implies an increase in treatment
be less. level and treatment costs to stay within standards.
The value of water can be estimated by the change in
Waste Assimilation: Watercourses are used extensively cost that would be associated with a change in flow.
to assimilate and transport waste materials, mainly in Under minimum cost combinations of treatment
conjunction with municipal and industrial water use. and dilution, the change in cost associated with each
In fact, many streams are now overused for this additional acre-foot in flow of water would range
purpose. Nevertheless, if waste could not be disposed from about 10-15 cents per acre-foot in the water-
of in streams, it would have to be put somewhere else abundant Southeast and Pacific Northwest to about
6
and there would be added disposal costs and potential $6.50 per acre-foot in the and Southwest. These
environmental problems with land disposal or air values will tend to increase over time as the required
pollution. Thus, when streams can be used to degree of treatment is raised to secondary and
assimilate and transport waste materials, they provide tertiary levels to meet water quality standards.
a valuable service. However, use of streams for waste
assimilation degrades the quality of the water and 6 Correspondence in the Commission's files from Robert A.
may reduce its usefulness for other purposes. Young and S. Lee Gray, January 4, 1973.

Navigation: A large river such as the Mississippi or in one region they dropped to only 14 cents per
lower Columbia can be used for navigation with little acre-foot. Short-run values (where the construction
or no effect upon the water. Navigation's only costs of existing generating plants and storage dams
requirement is that sufficient water be in the critical are ignored) ranged from $3.92 per acre-foot down to
parts of the stream at the right time. In smaller 43 cents per acre-foot. These values apply to the
streams, substantial regulation of flows may be water at a typical hydropower site. In several river
required to facilitate navigation. systems the same water may pass through a number
The value of water for navigation is the difference of hydrosites before all its potential for generating
between the economic costs of water transport and electricity has been exhausted, thus multiplying the
those of the Icast-cost alternative mode of transporta- above values.
tion. In the major waterways, the Ohio or the
Mississippi, water no doubt has a positive value for Recreation: Streams or other bodies of water are an
navigation. However, for some waterways savings in important part of many recreation areas and serve a
costs are insufficient to cover the costs of construct- basic role in many recreational activities. But, as with
ing and operating navigation facilities. The value of other instrearn uses, it is difficult to define just how
water for navigation, on such waterways, when other recreation 11 uses" the water. Many recreational uses
costs are subtracted, would be zero or negative, are complementary to other uses, especially uses that
although navigation projects might still be justified to require water impoundments. Often water is used for
achieve social purposes such as transportation diversi- recreation in its natural setting and is not physically
fication. affected by being employed for recreation. Still,
recreation does use water in a sense, when a certain
Hydropower Generation: Hydropower plants account volume of water must be retained in a lake, reservoir,
for less than one-sixth of the total electric energy or stream to support recreation activities, or where
generated in the United States, and there are few recreation use precludes or limits other uses. Water-
undeveloped major hydro sites except pumped stor- based recreation itself can be a source of locally
age sites. Additional power generation will have to significant pollution. Some water may be consumed
come largely from thermal generating plants. Never- by evaporation while it is being held for recreation.
theless, in many streams water passes through one or The value of water for recreation depends on a
more powerplants. It is an important use of water. number of factors, including accessibility, setting,
Use of water for electric generation may have type of beach, and various aspects of quality. Value
substantial impact on the timing of flows within the varies greatly from case to case, ranging in a few
hydrologic system. Furthermore, the location of selected examples from a few cents per acre-foot of
diversion points for nonpower, offstream uses may water to $150 per acre-foot of water in the recreation
affect electric generation potentials and thereby the pool of a heavily-used reservoir. "The more typical
potential total value of water use from the system. range appears to lie in the area of $3 to $5 per
Hydropower may be valued by comparison with acre-foot."'
the lowest-cost alternative, usually power generation
by comparably-owned steam plants. The value of the Water Value in a Systems Context8
water for hydropower generation is the difference The value of water in alternative uses provides only
between the costs of producing the hydropower a part of the information needed for decisions about
(including transmission) and the costs of the lowest- water development and allocation. Because of the
cost alternative (also including transmission). It will
vary from site to site depending on such variables as 7YOUNG, Robert A & GRAY, S Lee, Colorado State
differences in head (the distance water falls in turning University (1972). Economic Value of Water: Concepts
turbines), transmission distances to load centers, the and Empirical Estimates, prepared for the National Water
suitability of sites for hydropower construction, Commission. National Technical Information Service,
Springfield, Va., Accession No. PB 210 356. p. 241.
strearnflow variations, storage, etc. aThis material is based on a Commission study prepared at
The value of water for hydropower generation was Washington State University in which the systems ap-
measured in a long-run perspective (using capital costs proach to valuation of water is demonstrated empirically
as well as operating costs) on the basis of the cost and for the Yakima, Columbia, and Susquehanna River basins.
efficiency characteristics of existing plants. In no case See BUTCHER, Walter R et al,.(1972). National Water
Commission. National Technical Information Service,
were regional values more than $1 per acre-foot and Springfield, Va., Accession No. PB 210 357.

F-

Water in lovely natural setting provides recreational opportunities

combinations of uses and reuses of water that are place in the system. Wise use of this natural recycling
possible within a water system, it is equally as system is one of two key principles in obtaining the
important to know how uses combine and interact in most value from the Nation's water resources. The
the total system. The possibility of using water more other principle is to give preference to high-valued
than once, either simultaneously or in sequence, uses where other factors, including system effects, are
means that the total value gained from use of a given equal.
unit of water may be several times greater than the Return flow and reuse are important factors in
value in any single use. water system evaluation. Uses that have fast and
Since water usually stays in the system or returns complete return of the water can be located in the
to it, its condition when it leaves one use can be very system so that the same physical unit of water is used
important to other water uses. "Upstream" and many times over (if damaging pollution can be
"downstream" uses are commonly used to illustrate avoided in the process). Such a use pattern can
this relationship. An upstream industry, for example, generate large values for the water in the system even
withdraws water, uses it, and returns part Of it, though each individual use of the water adds only
somewhat polluted, to the stream. The downstream small value per unit of water employed. Conversely,
user must operate with water reduced both in quality impressively high-valued uses that preclude the possi-
and quantity. The value of the water to the down- bility of other uses in the total system limit value to
stream uses may be reduced as a result. The gain in less than might be achieved if several quick turn-
value from the upstream use is not free of some costs around uses of lower value could occur throughout
in the sense of reduced values elsewhere. the system. Once the water is taken from the system
The return of water to the system after use raises by consumptive use, the possibility of gaining value
all sorts of possibilities for getting additional value from its use is also lost. In some pollution cases
from the water in another use, at another time and return water not only may be unfit for subsequent

use but may also contaminate the other water in the There is a need in river basin planning for a
system. systematic procedure for evaluating the multitude of
The siting and timing of uses takes on particular possible alternative combinations of developments
importance when water use is viewed in its system and uses that could be fitted into a river system. This
context. The importance of location is apparent when requires some form of systems analysis. Through
water is used for waste conveyance and dilution. The simulation of possible choices in a model of a basin,
potential for making valuable use of the water is systems analysis can provide important information
greater if pollution-sensitive uses can be located on likely consequences before decisions on develop-
upstream of polluting uses. Thus, value in the system ment are actually made. It could be described as a
will be greatest when waste-releasing uses which response and accounting system-the response
prevent or impair other uses are located as far as portion referring to the way that components of the
possible down the stream, leaving as much of the system are affected by various physical as well as
stream as possible to be used by other potential users. economic changes.
(Obviously, pollution-sensitive uses of estuaries can- Systems analysis of water values does not require
not be relocated to upstream sites. Hence, special care that all uses of water be valued directly in monetary
must be taken to protect estuaries from pollution.) terms. Minimum streamflows or water required, for
example, for maintenance of marshes and estuaries
Value Comparisons for Water Allocation may be valued indirectly in terms of the economic
Value estimates are useful only if they contribute values which are foregone as a result.' 0 With such
to better decisions about how water should be information, reasoned ju 'dgments may be made as to
allocated. In the relatively simple case of choosing an socially desirable actions.
allocation among competing uses that have similar CONCLUSIONS ON WATER VALUE
effects upon the water resource, a comparison of
value per unit of water used indicates the direction The comparison of water values in alternative uses
allocation should take. As water becomes relatively will become increasingly important in the years
scarcer, it will be more important to put it to its most ahead, as growing demands compete for limited
valuable uses if net social gains are to be maximized. natural supplies and values in use increase. The
Implementation of water marketing and pricing pro- opportunities for net gains by better allocations will
cedures can help greatly in this situation in encourag- be much greater. Not only will efficiency in design of
ing reallocation of water to its most valuable uses. facilities be important, but also efficiency in alloca-
A more typical situation is one in which the choice tion of the water itself. Economic values provide the
must be made between uses that employ and affect best general indication of the basic worth of water if
water in very different ways. Comparison of values is appropriate attention is given to protection of envi-
more complex in this case. Private individuals and ronmental values. Pricing policies, discussed in
even individual cities and towns lack direct incentive Chapter 7, can be most helpful in improving the
to take into consideration effects of their use that allocation of water. A systems framework is impor-
occur elsewhere and affect others. Value deter- tant, as is appropriate measurement of values in use
initiation must come from an integrated view of uses not only in terms of quantity but also quality and
if comparisons of value are to result in choices that timing and location of return flows.
maximize system value. 9 The Commission's conclusions can be summarized
River basin planning efforts are one attempt to as follows:
account for interdependencies in water systems ' I . In river basins where present and projected
Planning for whole rivers and entire river basins, demands for water indicate some element of competi-
including all uses and related activities, has done tion, the values of water in alternative uses (including
much to fit together compatibly the several uses and environmental values) should be estimated as a part
demands on a river system. However, river basin For example, if society decides on a minimum strearnflow
planning agencies need to place greater emphasis on to protect some benefits such as those of marshes and
maximizing water value at the user or consumer level. estuaries, and if as a result other potential benefits are
sacrificed, the social value of the benefits from the
minimum streaniflow must be at least as great as the value
'See Chapter 7, Making Better Use of Existing Supplies, and of the benefits foregone. Otherwise a rational society
Chapter 11, Improving Organizational Arrangements. would not have made such a choice.

of planning studies and the resulting development officials to evaluate proposed water developments in
plan should seek to maximize these values. terms of their social consequences.
2. Water resources should be analyzed as in- Disagreement exists as to whether water and water
dividual hydrologic systems taking into account the development merely pern-flts growth or whether it can
value of the various aspects of water uses including actually induce growth. It is acknowledged that no
their impact on quantity, quality, timing, and loca- area can grow and prosper without adequate water
tion. Proposed diversions and instream uses should be supplies. This does not mean, however, that water
analyzed in these same terms and evaluated on the alone can exert a controlling influence. Even in the
basis of their effects on subsequent uses within the and West, where population growth has been rapid,
system. household and industrial uses constitute only a very
3. Values of water for fish, wildlife, and esthetics small fraction of consumptive water use.
cannot now be satisfactorily determined directly by The Commission has considered the opposing
economic evaluation. However, they can be indirectly arguments, contracted for technical studies on this
determined by considering the economic values of topic, and inspected a number of areas of the Nation.
uses in the hydrologic system with and without these This section summarizes findings with respect to the
uses. These "with and without" values should be past, present, and possible future role of Federal
determined so that informed judgments can be made water resources development as a means of inducing
on balancing of all uses within the hydrologic system. population growth and redistribution and economic
The value of the uses preserved must be judged to prosperity in regions of the United States.
equal or exceed the value of alternative uses foregone. The problem is to determine whether the develop-
ment of. water resources can increase income and
employment and induce structural shifts in a region's
REGIONAL EFFECTS OF WATER economy that stimulate future economic growth. 12
DEVELOPMENTS Regional economic development is a complex eco-
Econon-dc growth and prosperity of regions within nomic and social phenomenon. It is not possible to
the United States have long been important goals of make a categorical generalization of the role of water
Federal water resources development. Water resource resource developments in inducing regional economic
development has also been viewed by some as a development. Presently available data and sophisti-
means to achieve a national policy of population cated computer models, while helpful, cannot show
distribution-primarily to encourage growth in small what would have happened in a region without a
cities and towns, thus reducing the concentration of particular water development. For example, would
people in the Nation's great cities. This concern stems California still have prospered without the huge
from the expectation that the Nation will continue to Central Valley project? Might not other forms of
have large increases in population.' 1 development have induced more growth than has
During the national and regional conferences held irrigated agriculture? Would the Upper Mississippi
by the Commission in 1969, however, a number of Valley have prospered more, as much, or less without
people questioned the effectiveness of water develop- the Upper Mississippi navigation channel? Will future
ment as a stimulus to regional economic development growth in Florida and related coastal areas really be
under present conditions. Others expressed the view hindered without the Cross Florida Barge Canal?
that more explicit recognition of regional economic While definitive answers to such questions do not
and demographic effects of proposed water develop- exist, there are important principles and criteria that
ments should be included in planning studies under- can be used to assess the regional development
taken by Federal water agencies. It was argued that effects, if any, from proposed future water develop-
inclusion of these effects would permit responsible ments. The President and the Congress must make the

'The U.S. population totaled 200 million at the time the
National Water Commission was established in 1968. 'The concern in this chapter is with the distribution of
Various official projections indicate America's population population and economic activity among regions. There is
will exceed 300 million some time in the next century. little question that water developments, such as water and
U.S. COMMISSION ON POPULATION GROWTH AND sewer lines or flood protection, can have a significant
THE AMERICAN FUTURE (1972). Population and the influence on the location of population and econon-de
American Future. U.S. Government Printing Office, activity within a particular metropolitan area. See Chapter
Washington, D.C. Ch. 1, p. 12. 12, Water Problems of Metropolitan Areas.

CASE 39 CONCRETE BULKHEAD/STONE REVETMENT
AT WADES POINT
Stone revetment was completed in 1975 at a cost of $40.22/ft. The historic
rate of erosion at the site was about 3 ft./yr. from 1847-1942. Stone revet-
ment consists of an armor layer of 250-1200 lbs. stone in a 2 ft.-thick layer.
A 10 in.-thick bedding layer was installed under the armor layer. Filter mater-
ial was used below the bedding layer. A 3 ft.-wide splash apron was also built.
This structure is holding up quite well. Alongshore, an unprotected section of
shoreline is eroding rapidly. Offshore, there are 8 groins which are submerged.
These are approximately 45 years old and were once attached to the shore. They
presently serve no useful purpose.

-12

250 TO 1200 LB ARM0R STONE
CHINKED 800 TO 1200 A ARMOR
STONE PLACED AT TOE 20' MIN. 6

10"-12"
3
NO I TO NO 2
BEDD1NG STONE
END OF FILTER CLOTH
COMPACTED FILL
FILTER CLOTH UNDER
ENTIRE STRUCTURE

-03 3 6 9 12 15
9 6 3 0 -3 -6
FEET

100-year"
Run-up (12.0) Nearshore profile(17:1 vertical exaggeration)
10-yeor Case 39 6
Run- up ( 8.0) Survey Date 6/22/80
PROFILE 1 5
"Annual PROFILE 2 ----
<
0 1 2 3 4 5 6 7

DISTANCE OFFSHORE (FT.)

200 150 100 50

150 100

ELEVATION IN FEET

2-126

tion Growth and the American Future, which re- bustion motors, and central station electric genera-
ported last year.' 5 tion have substantially reduced and in many cases
To develop a proper perspective on water resources virtually eliminated the significance of onsite water
development as related to population distribution and power. The expansion of railroads and highways
regional economic development, the past, present, made water routes relatively less important. As
and possible future role of water resources develop- regional per capita income grew, water-related basic
ment should be analyzed. industries produced proportionately less and less
income, even though aggregate water use has con-
The Past tinued to increase. Some cities that formerly de-
Historically, locations of bodies of water were pended on irrigation or waterway transportation (e.g.,
important in determining where settlements were Phoenix, Salt Lake City, Detroit, and New York)
established. The development of water resources attained sufficient size and econon-dc diversity that
contributed to the economic activity that made their continued growth became more dependent on
growth and development possible. Water-powered other factors. Thus, the relative importance of water
mills, State canals, Federal river and harbor improve- development as an inducement to economic growth
ments, and the Federal reclamation program are has tended to decline.
examples of water developments that have, in years
past, contributed to economic growth and develop-
ment. 16 In 1950, the President's Water Resources The Present
Policy Commission said:
Had it not been for the big and little reclamation The Influence of Water Policies and Programs on
projects, the West as we know it today would Population Distribution: On the whole, water re-
not exist, for impounded water alone makes source development does not appear to be an
possible not only agriculture, but the very life of effective means to implement a national policy for
the people in this vast semiarid region... the distribution of population. Under present and
... Federal reclamation projects have had much foreseeable future conditions in the United States,
to do with development of the West! ' water programs and projects are unlikely to affect
Over time, however, the importance of water significantly net migration from region to region.
location or water resource development for economic Although water projects may encourage a clustering
growth has diminished. Steam engines, internal com- of workers and their families in certain irrigated or
recreation areas, the number of people affected in
this manner is likely to be relatively small. While it is
true that iff igation projects may increase farm income
"The Commission on Population Growth and the American and enhance prosperity of residents, even very large
Future devoted about 30 percent of its published back- irrigation developments will not attract large popula-
ground studies to distributional aspects of the population tions because agriculture is not labor intensive. For
issue. They found that although population concentration example, the High Plains of Texas with about 15
increases the intensity of certain urban problems, the
origin of these problems is frequently technological and percent of the Nation's irrigated land has only about
institutional in character. The Population Commission's one-third of I percent of the Nation's population.
report reflects a general deemphasis of population distribu- Industrial development offers greater hope of regional
tion as a panacea for urban problems. See U.S. COM- development because of the greater employment
MISSION ON POPULATION GROWTH AND THE potential but, generally speaking, the need for
AMERICAN FUTURE (1972). Population and the
American Future. U.S. Government Printing Office, Federal water projects is small.
Washington, D.C. The complex and powerful forces that create
"LEGLER, John B et al., Washington University (1971). A population growth or decline in specific areas involve
Historical Study of Water Resources Policy of the Federal many factors that are beyond the influence of water
Government, 1900-1970, prepared for the National Water resource projects. For example, characteristics favor-
Commission, Washington University, St. Louis, Mo. pp. able to population growth of small communities
1-37. include: (1) location near existing metropolitan areas;
"U.S. PRESIDENT'S WATER RESOURCES POLICY (2) some minimum concentration of population; (3)
COMMISSION (1950). A Water Policy for the American
People, Volume 1, General Report. U.S. Government history of recent growth rather than decline; (4) an
Printing Office, Washington, D.C. pp. 152-153. economic base which includes manufacturing as a

basis for growth; and (5) access to metropolitan areas The Influence of Water Development on Regional
via the Interstate Highway SySteM.1 8 Economic Growth: The accomplishments of the
Although many of the Nation's metropolitan areas reclamation program in fostering irrigated agriculture
are located adjacent to a lake, river, or estuary in the West 21 and the experiences of the Tennessee
because of the important historical role of water in Valley where TVA activities stimulated growth and
economic growth, recent trends reveal that metro- relative prosperity22 have attracted proponents of
politan areas located adjacent to water demonstrate water development to the view that water develop-
no more growth potential than those not located ment by itself is an effective stimulus to economic
close to water. The same trend is observable in growth. Contrasting views, however, have also been
growing nonmetropolitan communities; the greatest expressed. Various studies have concluded that an
proportion have experienced significant growth by adequate supply of water was not a guarantee of
virtue of their location adjacent, not to water, but to growth, and further, that an apparent shortage of
a metropolitan area.' 9 water was not necessarily an impediment to rapid
23
Studies have also shown that investments in com- economic growth. It has also been shown that
munity water facilities do not directly influence there are so many opportunities for water conserva-
population growth.20 Investments in water resource tion and reuse that the physical availability of water,
developments to stimulate population growth in beyond some minimal amount, has very little in-
selected areas are not likely to be effective unless fluence on industrial location .24
other ingredients of growth exist and are simul- The availability of an inexpensive supply of water,
taneously developed. For example, Federal assistance for example, is less important for most proposed new
for the construction of water and sewer facilities plant locations than other factors that have greater
offers little real promise of influencing development direct effects on costs and revenues, such as the cost
and growth in communities not otherwise able to and availability of labor and proximity of the site to
attract commercial enterprises. markets and to raw materials. Even for industries that
are major users of water (for processing, cooling, or
transporting of products), other cost factors are
usually of greater importance in location decisions.
18RIVKIN/CARSON, INC. (1971). Population Growth in However, it has been found that regional growth is
Communities in Relation to Water Resources Policy, stimulated by water developments in certain situa-
prepared for the National Water Commission. National tions, even though water-related goods and services
Technical Information Service, Springfield, Va., Accession
No. PB 205 248. pp. 7-19. comprise a declining portion of the Nation's
"Ibid., pp. 6-17. economic activity. This can be explained by the wide
"The findings were as stated:
"The test results also show no correlation between 21U.S. CONGRESS, House Committee on Interior and
(water) expenditures and population growth by location or insular Affairs (January 19S9). Reclamation-
size of county. Neither SMSA counties nor the most Accomplishments and Contributions, a report by the
populous counties appear to be influenced in their rate of Library of Congress Legislative Reference Service, pre-
growth by water resource investment. pared by Theodore M. Schad and John Kerr Rose,
"On the other hand, the analysis shows that metro- Committee Print No. 1, 86th Congress, lst Session. U.S.
politan location is correlated with growth, confirming the Government Printing Office, Washington, D.C. pp. 28-36.
expectation that metropolitan counties and counties "GARRISON, Charles B (1971). Effect of Water Resources
peripheral to them grow more rapidly than other counties, on Economic Growth in the Tennessee Valley Region.
and they do so regardless of the intensity of water resource
investment. University of Tennessee, Knoxville. Also, WIEBE, Jacob E
"Our tests, therefore, reject the hypothesis that water (1970). Effects of Investments in Water Resources on
resources expenditures effect population growth." Regional Income and Employment. University Microfilms,
These findings, based on data from 350 sample counties Ann Arbor, Mich. (Unpublished Ph.D. dissertation at the
(or 11 percent of the more than 3,000 counties in the University of Tennessee, published on request by Univer-
U.S.), were developed from an in-depth statistical analysis sity Microfilms.)
of selected community -oriented water programs. Ex- "For example, see HOWE CW (April 1968). Water resources
penditures for irrigation facilities were not included in the and regional economic growth in the United States,
analysis. RIVKIN/CARSON, INC. (1971). Population 1950-1960. The Southern Economic Journal
Growth in Communities in Relation to Water Resources 34(4):477-489.
Policy, prepared for the National Water Commission. 2'KNEESE AV (October 1965). Economic and related
National Technical Information Service, Springfield, Va., problems in contemporary water resources management.
Accession No. PB 205 248. pp. 68-73,177-191. Natural Resources Journal 5(2):236-258.

variance in effects from water projects-partly be- ment, the greater the possible gains. However, it
cause of the widely differing economic characteristics should be recognized that there are serious problems
of the regions in which developments are located. in scheduling public works projects. A project
These effects are both short- and long-term in nature. planned to relieve unemployment will not likely be
,under construction until the econornic recession
Short-Term Effects: Construction of water projects which caused the unemployment is over.
plays a role in providing short-term impacts on a
region's economy. These short-run effects were Long-Term Effects: Short-term effects disappear
recognized by the National Resources Planning Board rapidly as project construction is completed. The real
when it urged that public works planning include measure of regional economic inducements from
"the objective of seeking through such work to water development is how they influence long-term
stabilize employment and economic activity."2 -1 Sub- growth prospects. Studies of some specific water
sequently, a large "shelf" of planned water projects resource developments illustrate the fact- that water
was developed in anticipation of a postwar de- developments vary widely in their discernible long-
pression, which did not materialize. term effects on regional economic development.
The significance of water projects as a means of
providing short-term employment opportunities was Minidoka Project - The Minidoka irrigation
investigated by Haveman and Krutilla. They con- project in Idaho produced $150 million of gross crop
cluded: value in 1970. Since 1909, when the project began,
In considering water resource development as a cumulative gross value of crops produced on
stimulant for the economy, the policy maker Athnidoka's project lands has been $3.5 billion-third
must distinguish the several different kinds of ranking Federal irrigation project in the Nation.
projects. There are substantial differences in the Dominant crops are potatoes, alfalfa hay, and sugar
structure of demands imposed upon the beets. Idaho is the leading potato producer in the
economy and each project type tends to Nation, with Minidoka project lands producing one-
21
stimulate quite different parts of the third of the State total.
economy. 26 Minidoka County is one of 16 counties, parts of
For example, construction of the powerhouse at which are included in the project. Even though this
Beaver Dam in northwestern Arkansas had a ratio of county has a predominantly rural population, a net
material, equipment, and supply cost to onsite labor population gain of 47 percent occurred during the
cost of 4.54 to 1. Therefore, much of the impact 1950 to 1960 decade; half was due to net in-
occurred at distant manufacturing locations rather migration. Yet, 14 of the other counties in the
than at the dam site. In contrast, the Painted Rock project area experienced net out-migration in the
Dam in southwestern Arizona (a large earth-fill dam) same period. Between 1960 and 1970, Minidoka
had a ratio of 1.71 to 1, thus suggesting that much County had a 9 percent gain in population, while six
more impact occurred locally per dollar of direct of the remaining 15 counties had losses.2'
labor cost.' ' In the absence of a "with-and-without" analysis it
The extent of unemployed labor, especially in the is difficult to say how these counties would have
industrial sector, is a useful measure of the short-term developed if there had not been a Minidoka project.
employment gains possible from constructing water Obviously, the Minidoka irrigation project has
development projects. The greater the unemploy- stimulated growth in southeast Idaho. However, the

2 1 U.S. NATIONAL RESOURCES PLANNING BOARD
(1941). Development of Resources and Stabilization of 211 U.S. BUREAU OF RECLAMATION (1971). Water and
Employment in the United States, House Document No. Land Resource Accomplishments 1970, 2 volumes. U.S.
142, 77th*Congress, lst Session. U.S. Government Printing Government Printing Office, Washington, D.C.
Office, Washington, D.C. p. 3. 29 U.S. BUREAU OF THE CENSUS (1962). County and City
26 See HAVEMAN, Robert H & KRUTILLA, John V (1968). Data Book 1962. U.S. Government Printing Office, Wash-
Unemployment, Idle Capacity, and the Evaluation of ington, D.C. pp. 83-93. and U.S. BUREAU OF THE
Public Expenditures: National and Regional Analyses. CENSUS (June 28, 1971). Current Population Reports,
Published for Resources for the Future, Inc., by The Johns Population Estimates and Projections, Components of
Hopkins Press, Baltimore, Md. p. 36. Population Change by County: 1960 to 1970, Series P-25,
"Ibid., Table 6, pp. 20-21. No. 461. U.S. Department of Commerce, Washington, D.C.

effects of the project were not uniform among all Tucumcari ProjeCt3l - Quay County, New
areas within the project, and it is probable that Mexico, is the home of the Tucumcari Project, a
irrigation development was not the sole cause of the moderate-sized irrigation development. About $3
changes that have taken place. million in crop value was produced in 1970 from
Tennessee River - The Tennessee River represents 35,000 acres irrigated-or $89 per acre. Alfalfa hay is
another case where major water resource develo the principal crop grown and it is used to support the
P_ local livestock-based economy. Quay County lost 12
ments have been undertaken by the Federal Govern- percent of its population during the 1950-60 decade,
ment. Through the Tennessee Valley Authority because of heavy out-migration, and suffered an 11
(TVA), public investments have been made for hydro percent population loss from 1960 to 1970. The
and steam electric power generation, navigation proportion of low-income families in Quay County
improvements, flood control facilities, fertilizer exceeded the national average by 55 percent in 1960.
production, recreation facilities, and many types of Without irrigation water, there would have been little
research and development activities. economic activity in the project area. But even with
Private investment in plants along the Tennessee irrigation, economic growth has been lirnited.
River has totaled more than $2 billion since
1933 3 0 _Most of this occurred during the 1960's .31 Monongahela River - The Monongahela River
Waterfront industries now employ more than 38,000 waterway is used primarily to transport coal and
workers. Most of this investment has been made by lignite from upstream counties in Pennsylvania and
the chemical, primary metals, and pulp and paper West Virginia to Pittsburgh and other areas via the
industries. The chemical industry is a large user of Ohio River. This waterway has been a large carrier of
water. Most of the chemical firms along the tonnage for the past 50 years. In 1969, a total of 40
Tennessee River produce products that require large million tons was shipped on the Monongahela River,
quantities of processing water and large quantities of about two-thirds more than on the Tennessee
power per dollar of value added. Many of the River.' ' However, the counties along the
chemical products can be shipped in barges. These Monongahela have experienced substantial amounts
same general characteristics-large users of processing of out-migration. Over 170,000 people left the
water and power relative to value added, and Monongahela area during the 1950's." Out-
potential for barge use-apply also to the primary migration continued, at a slower rate, between 1960
metals and pulp and paper industries. and 1970. Per capita income grew at a modest rate,
35
Much of the industrial growth in the Tennessee but remained below the national average.
Valley can be attributed to the combination of The contrast between the Monongahela region and
(1) large blocks of relatively low-cost power, (2) low- the Tennessee Valley is reflected in the character of
cost water supplies, (3) favorable market and resource
locations, (4) availability of both rail and water "Data found in: U.S. BUREAU OF RECLAMATION
transportation, (5) specific site characteristics, and (1971). Water and Land Resource Accomplishments 1970,
(6) favorable national growth of specific industries Statistical Appendix. U.S. Government Printing Office,
Washington, D.C. p. 155. and U.S. BUREAU OF THE
(e.g., chemicals). Through multipurpose develop- CENSUS (1962). County and City Data Book 1962. U.S.
ments, TVA activities contributed to some but Government Printing Office, Washington, D.C. and U.S.
obviously not all of these factors. BUREAU OF THE CENSUS (June 28, 1971). 1970
Census of Population, Advance Report, Final Population
Counts, New Mexico PC(Vl)-33, revised. U.S. Department
of Commerce, Washington, D.C.
"TENNESSEE VALLEY AUTHORITY (1971). Annual "U.S. ARMY CORPS OF ENGINEERS (1970). Waterborne
Report of the Tennessee Valley Authority, Volume I-Text, Commerce of the United States, Calendar Year 1969, Part
1971. U.S. Government Printing Office, Washington, D.C. 2, Waterways and Harbors, Gulf Coast, Mississippi River
p. 13. System and Antilles, U.S. Army Engineer District, New
"About 62 percent of the $2 billion in private investment 34 Orleans, La. pp. 18, 26.
occurred during the 1961-71 decade, or about 30 years U.S. BUREAU OF THE CENSUS (1962). County and City
after TVA was established. Since 1950, annual increments Data Book 1962. U.S. Government Printing Office,
of private investment along the waterway have generally Washington, D.C. Monongahela service area includes
been parallel to changes in national economic conditions. Marion and Monongalia Counties, West Virginia, and
See TENNESSEE VALLEY AUTHORITY (1966). Naviga- Fayette and Greene Counties, Pennsylvania.
tion and Economic Growth, Tennessee River Experience. "Based on data prepared by the Bureau of Economic
Tennessee Valley Authority, Knoxville, Tenn. Analysis, U.S. Department of Commerce.

the river traffic. Coal amounts to 80 percent of the ability of planners, engineers, and economists to
tonnage on the Monongahela River, but only 39 assess what would have happened without these water
percent on the Tennessee. The Tennessee River developments. Possibly, some of these areas would
carries chemical products, petroleum products, and have prospered even without the developments. Some
agricultural commodities in addition to coal, reflecting areas might have declined. Others may have experi-
the more diversified and growing economic base of enced little real change.
the Tennessee Valley compared to the relatively One conclusion is clear: regions differ widely in the
specialized and slow-growth economy of the type of economic impact that can result from the
36
Monongahela area. In the Monongahela River development of their water resources. Because of this
region, the ability of the waterway to foster variability, it is necessary to identify the strategic
economic growth is dependent on the demand for factors that shape the role of water development in a
coal and on coal mining technology. The influence of region's future development.
the waterway may decline as development of unit
trains becomes increasingly important as a substitute Critical Factors That Determine Water Development
for water navigation. Hopes for sustained future Effect on Regional Economic Development: Four
growth depend more on the region's ability to major factors determine the degree to which various
diversify its economic base than on improvements in types of water improvements may contribute to
the waterway. regional economic development. These factors are:
South-Central Arizona - Testimony on the review I . The extent of demand for water-related
draft of the Commission's report at several regional factors of production of goods and services,
conferences in early 1973 disclosed that notwith- such as municipal and industrial water supply,
standing substantial expansion in Federal and non- irrigated land, water-based transportation and
recreation, hydroelectric power, and flood-free
Federal irrigation projects, agriculture in many land.
project areas continues to decline in relative eco- 2. The availability of low-cost substitutes for
nomic importance. For example, in 1959, personal water-related factors of production or alter-
income from farming accounted for 7.9 percent of all natives, such as dryland agriculture, land-based
personal income in Arizona; by 1971, although farm transportation and recreation, nuclear or
earnings had increased absolutely, they had declined fossil-fuel generated energy using recycled
to only 3.7 percent of the total. In the three counties cooling water, etc.
of the Arizona Water Conservation District (which 3. The region's competitive advantage or
counties include the cities of Phoenix and Tucson), economic potential to supply water-related
farm earnings represented 14.1 percent of total goods and services to national markets.
personal income in 1950 and, despite a modest 4. The capability of the region to capitalize on
37
absolute increase, only 3.1 percent in 1969. developmental opportunities.
An Unanswered Question - Each of these illus- Market Demand - The stronger the demand for
trative cases leaves one nagging question unanswered: production dependent on specific water-related goods
What would have happened without TVA, or without and services, the greater the contribution a particular
the Minidoka or Tucumcari Projects? The answers water development can make to regional growth. The
cannot be determined with confidence. At the derived demand for water developments depends on
present time, analytical problems seriously limit the markets for the final goods and services produced.
3 6 U.S. ARMY CORPS OF ENGINEERS (1970). Waterborne The factors affecting these markets include national
Commerce of the United States, Calendar Year 1969, Part population growth, industrial activity, exports, per
2, Waterways and Harbors, Gulf Coast, Mississippi River capita use, and sensitivity of demands to price and
System and Antilles. U.S. Army Engineer District, New income changes.
Orleans, La. For example, as the Nation's population grows and
3'FIRST NATIONAL 13ANK OF ARIZONA, Marketing as personal incomes rise, water projects with
Department (1971 & 1972). Arizona Total Personal recreational facilities become more likely to stimulate
Income by Major Sources, October 4, 1972 and Personal regional growth-e specially if such projects are near
Income by Major Sources and Earnings by Broad Indus- large urban areas where population growth is greatest.
trial Sector for Selected Counties, August 26, 1971. From
data furnished by the U.S. Department of Commerce, Lake Sidney Lanier in northern Georgia (created by
Office of Business Economics. Buford Dam) had nearly 12 million visitor-days of

recreation in 1970-among the highest in the supplying water-related goods and services is another
Nation.' ' In this instance, the recreation demands of important factor. A region's competitive advantage
Atlanta's population stimulated local business depends on three important attributes: (1) the
activities related to the Federal water project. resource base, such as mineral deposits, soil fertility,
Substitutes - The second major factor that timber, labor supply, water supply, and proximity to
determines the capability of water resource develop- markets; (2) public facilities, such as industrial parks.,
ments to induce growth is the degree to which other water and sewer systems, highways and airports,
resources may be economically substituted for water- educational and cultural opportunities, etc.; and
related resources. While it is possible to substitute dry (3) the efficiency of firms in producing needed goods
land for irrigated land, rail or highway transportation and services. These attributes are included in the
for waterway transportation, and steam-generated package that industrial developers emphasize in pro-
electrical energy for hydroelectric power, the deter- moting their location to prospective firms. They are
mining factor is the relative cost of the substitute. important reasons for much of the industrial develop-
Bulk commodities such as petroleum and coal ment along the Tennessee River, the Ohio River, and
products, the principal commodities shipped on a few other major inland waterways. Navigation
inland waterways, can usually be shipped most capacity, low-cost electrical energy, and water supply,
economically by water transportation, although they although important, are merely components of the
are also shipped by other modes when water transpor- overall competitive advantages enjoyed by these
tation is not available or when the per unit cost of an areas.
alternative is competitive with water transporta- Capitalizing on Development - The fourth major
tion.3 9 The importance of pipeline transportation as factor is the capacity of a region to capitalize on
a substitute for Water transportation has been par- developmental opportunities. This capability is
ticularly evident over the past quarter centUry.4 0 dependent on: (1) the region's economic base; (2) the
Irrigated land, especially under the favorable repay- laws and institutional arrangements, such as land use
ment terms for Federal irrigation projects, often has regulation and taxation 'that serve as inducements or
lower direa costs per unit of value produced than is constraints to economic growth; and (3) the
available from nonirrigated land. complementary development activities that are under-
Substitutes must always be considered as a means taken to reinforce the advantages of any particular
of meeting demands for goods and services. water development.
Frequently, water-related goods and services have A highly developed economic base will permit
been cheaper than substitute nonwater-related goods economic activities related to water development to
and services-a factor that has tended to increase the be multiplied as private firms purchase supplies and
significance of water development as an inducement services from other firms, and sell their products.
of growth. But as low-cost substitutes for water Payette, Idaho, serves as an example where urban
services are developed, and as progressively higher- income in 1949 was estimated to be 123 percent of
cost water projects are next in line for development, the value of crops grown. In this case, the urban
cost differentials tend to narrow and the growth income was generated indirectly from irrigation on
inducements of water developments tend to diminish. Boise project land." A more recent study concerned
Competitive Advantage - The competitive the impact of irrigated agriculture on Nebraska's
advantage or, relative potential of each region for economy. It demonstrated significant economic gains
for the State's crop processors and their suppliers
"U.S. ARMY CORPS OF ENGINEERS, unpublished data during 1963.' ' Had Nebraska's economic base lacked
provided the National Water Commission. U.S. CONGRESS, House, Committee on Interior and
"'One of the major arguments in support of inland Insular Affairs (1955). The Growth and Contribution' of
navigation in the past was the competitive influence of Federal Reclamation to an Expanding National Economy,
waterway transportation in reducing rail rates. prepared by the Bureau of Reclamation, October 1954.
"Pipelines now surpass inland water transportation in terms Committee Print No. 27, 83d Congress, 2d Session. U,S.
of ton-miles shipped. LEWIS, W Cris et al., Utah State Government Printing Office, Washington, D.C. p. 10.
University Foundation (1971). Regional Economic De- "ROESLER, Theodore W et al., University of Nebraska
velopment: The Role of Water, prepared for the National (1968). The Economic Impact of Irrigated Agriculture on
Water Commission. National Technical Information the Economy of Nebraska, prepared for the Bureau of
Service, Springfield, Va., Accession No. PB 206 372. pp. Reclamation. Bureau of Business Research, Lincoln, Neb.
11166-67. p. 46.

A
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Aerial view of spectacular Lake Powell, formed by the building of Glen Canyon Dam

a crop processing capability, these gains would have Finally, the simultaneous presence of com-
been diffused and dissipated so as not to contribute plementary developmental activities reinforces the
significantly to Nebraska's economic growth. In growth inducements provided by water projects. For
general, a project area's economic base determines the example, fertilizer production at Muscle Shoals,
extent of the indirect or multiplier effects (usually Alabama, has tended to reinforce the growth
called "secondary benefits"). potential created by other TVA facilities. Similarly,
Legal and institutional arrangements constitute a recreational developments financed by private invest-
framework within which economic activities take ment or by State and Federal agencies can generate
place. Land use and business regulations vary with significant growth in tourist and recreation-related
State and local jurisdictions. The structure and sectors of the region's economy, along with other
traditions of the financing organizations may also water project benefits, as apparently was the case at
vary significantly and in turn shape the character of Georgia's Lake Sidney Lanier, Minnesota's Leech
economic development responses to water develop- Lake, and Utah's Lake Powell. The relationship of
ment projects. complementary development activities to water

resources development was explicitly recognized in ments has led to displacement of production in the
the Corps of Engineers report on water resources Southeast because the national market for cotton is
development in Appalachia. 43 There, planners limited.
estimated developmental benefits by assessing what If regional growth is due either to relocations of
would happen as a result of the entire package of existing firms or to establishment of new firms that
development activities planned for Appalachia, displace economic activity in other areas, offsets are
including improvements in highways and education, generated. In planning water programs that are
for example, as well as water resource development. intended to induce regional economic growth,
In summary, four major factors determine the planners should attempt to distinguish new growth
extent regional economic development is likely to that would not otherwise occur elsewhere from
result from proposed water developments. These growth that will produce adverse offsets in other
factors provide a means for evaluating water develop- areas.
ments, separating those that can contribute sub- Although adverse effects from regional offsets may
stantially to economic growth and development in a be serious in some instances, it does not mean water
region from those that cannot. Hence, the Com- resource developments that may generate regional
mission believes these factors should be evaluated offsets are to be invariably condemned. Relocation of
where regional economic development is to be con- private firms and the establishment of new firms
sidered in project evaluation. occurs continually, with and without "special"
inducements, and is usually due to opportunities for
ne Problem of Regional Offsets: When Federal reducing costs. Firms also often relocate to take
water developments are used to encourage econorruic advantage of changing market situations. These
growth in certain regions, offsetting declines or adjustments to cost and revenue considerations are
reductions in the pace of growth may result in other
44 essential characteristics of a competitive economy
regions. This issue is illustrated by the charges that and lead to increased economic efficiency. The net
irrigation projects in the West have displaced farmers result of these adjustments is generally reflected by
elsewhere in the Nation. The illustration often used is reduced market prices for the goods and services
that cotton production on Western irrigation develop- produced.
43The planning report was authorized in Section 206(a) of These gains in national efficiency may, however,
the Appalachian Regional Development Act of 1965, P.L. adversely affect workers or businessmen who cannot
89-4, March 9, 1965, 79 Stat 5, 15, 40 USCA App. Sec. or will not relocate. When such displacement occurs,
206(a), which states: Federal, State, and local governments may incur
"The Secretary of the Army is hereby authorized and higher expenditures for worker relocation, retraining
directed to prepare a comprehensive plan for the develop- programs, or public assistance. These considerations
ment and efficient utilization of the water and related
resources of the Appalachian region, giving special make it imperative that the executive and the
attention to the need for an increase in the production of legislative branches carefully consider the equity as
economic goods and services within the region as a means well as the efficiency aspects of regional offsets
of expanding economic opportunities and thus enhancing related to Federal water development programs.
the welfare of its people, which plan shall constitute an Water resource developments have had and will
integral and harmonious component of the regional continue to have regional offset implications, but
economic development program authorized by this Act."
The last phrase was the principal guide used in their significance depends on a number of factors
estimating benefits based on a combination of develop- including, but not limited to, market demands for the
ment activities rather than on water resources development goods and services made available as a result of water
alone. This was in contrast to then current procedures as resource development.
described in Senate Document 97. U.S. CONGRESS,
Senate (May 1962). Policies, Standards, and Procedures in Market demand is a dominant factor in deter-
the Formulation, Evaluation, and Review of Plans for Use mining the extent to which regional offsets will
and Development of Water and Related Land Resources, occur. Where market demand for the ultimate
Senate Document No. 97, 87th Congress, 2d Session. U.S. product is strong and growing, economic develop-
Government Printing Office, Washington, D.C. ment in a water project area is not likely to generate
"LEWIS, W Cris et aL, Utah State University Foundation substantial adverse effects elsewhere.
(1971). Regional Economic Development: The Role of Conversely, regional offsets are likely to be high
Water, prepared for the National Water Commission.
National Technical Information Service, Springfield, Va., when firms, capitalizing on a water, development,
Accession No. PB 206 372. pp. 11186-90. produce products for which demand is not growing or

growing only slowly-for example, agricultural com- goods and services at the least cost. Thus, each region
modities such as cotton. In this case, there is a will share in increased economic activity in relation to
46
declining national demand for acreage on which to its competitive advantage. Many diverse areas share
produce these crops. Regional offsets could be to some extent in national growth and prosperity-
expected to be significant if major new irrigation but not in a uniform pattern. The various regions of
projects are developed to produce agricultural the Nation differ in their growth characteristics and
products for which demand is weak. stage of development, as well as in their rates of
growth. Overall, however, fewer and fewer areas are
The Future completely isolated from the general trends in na-
tional prosperity. Thus, caution should be exercised
Economic growth in the future will be shaped by in considering major new water programs for the
basic market forces and governmental policies. specific purpose of proninting regional development.
Improved transportation and communication systems
have strengthened the influence of nationwide and Future Directions for Water Policy Related to Re-
international markets and of Federal economic gional Development: The Commission discerns several
policies on economic growth in each of the Nation's ways for water resource development to contribute to
component regions. Regional economic growth is regional economic growth in the future. The role
increasingly dependent on the performance of the water development can play, however, must always
national economy. reflect a basic principle. Water must be increasingly
The trend in the last few decades has been for viewed as a scarce resource, one to be developed for
regional per capita incomes to gravitate toward the regional economic growth only when:
national average. During the period from 1929 to (a) market demands indicate that the goods and
1970, national per capita income increased by more services that would be produced are needed
than 4.25 percent annually. However, regions such as by a growing economy,
the Southeast and Southwest grew at rates suf- (b) substitutes for water-related goods and serv-
ficiently higher to improve their per capita income ices are not economically competitive in
levels from 52 and 67 percent, respectively, of the meeting these demands,
national average to 81 and 89 percent of the national (c) the competitive advantage is favorable, and
average in 1970. At the same time, other regions that (d) the region is willing and economically able to
were well above the national average in 1929 grew at undertake complementary development activ-
more modest rates .4 -5 The upward trend in regional ities.
incomes stems primarily from gains in national Failure to recognize this fundamental principle will
economic performance. The narrowing of regional result either in (1) water developments poorly
differences stems primarily from the inclination of planned and ineffective for regional growth purposes
industry to gravitate toward areas of low wage rates or (2) significant economic losses in other regions as
and surplus labor and the inclination of workers to the water development merely relocates economic
gravitate to areas of high wage rates and superior activities.
employment opportunities. Water projects cannot be Management of Existing Water. Developments -
credited with making more than a minor contribution Consonant with this principle, the Commission
to these national phenomena. believes that, in the future, increased emphasis must
Obviously, as the Nation grows, industries will be placed on the management of existing water
increase their investment in capital facilities to spur developments as a means of improving regional growth
production of needed goods and services. The potential rather than relying as heavily as in the past
increased production will not occur randomly, but on new projects. A number of existing waterways, for
will occur in those areas capable of producing the example, may have potential for further development
of plant sites and barge terminal facilities that would
41 U.S. DEPARTMENT OF COMMERCE, Office of Business be attractive to industrial firms, if other factors are
Economics (May 1970). Personal income in metropolitan
and nonmetropolitan areas. Survey of current Business 46RIVKIN/CARSON, INC. (1971). Population Growth in
50(5):22-35. and U.S. DEPARTMENT OF COMMERCE, Communities in Relation to Water Resources Policy,
Office of Business Economics (August 1971). Regional and prepared for the National Water Commission. National
state income gains in 1970. Survey of Current Business Technical Information Service, Springfield, Va., Accession
51(8):30-31. No. PB 205 248. pp. 35-36.

favorable. Use of water-saving techniques or an industry and thus creating jobs." The Federal
effective transfer mechanism for water rights in assistance is directed towards nonmetropolitan areas.
irrigation areas might enable some supplemental FHA, for example, is prohibited from providing
irrigation adjacent to existing project lands without financial assistance for water and sewer projects to
new project development. If other factors suggest areas "in any city or town which has a population in
,,48
industrial development potential is favorable, excess of ten thousand inhabitants ...
protection and intensive development of a modest The Nation's rural areas differ widely in terms of
portion of a flood plain (provided that it is consistent economic or resource characteristics. Timber-
with sound land use plans) should be employed rather producing portions of the Pacific Northwest and
than establishing flood protection projects covering Upper Great Lakes, for example, are quite distinct
entire flood plains. from the coal mining areas of the Appalachian
Use of existing developments to achieve increased Mountains or the Midwest's agricultural prairies, yet
regional gains has the twofold advantage of being all are classified "rural." Each of these diverse rural
more efficient and reducing the otherwise long lead areas has certain demands for water and sewer
time required for project planning and construction. facilities, but the "needs" will vary depending on the
anticipated water use and the life styles preferred by
New Developments - New water developments, of the area's residents. In areas where rural residents live
course, will be needed in the future. Most of these in reasonably close proximity to each other,
new projects will be sought in response to traditional centralized water systems may be an efficient method
water purposes such as flood protection or water of providing water for population growth. In other
supply. Many of these future developments will not areas where residences are widely scattered,
produce significant regional gains as the relative centralized water systems may be impractical.
importance of water developments as a stimulus for The Commission does not see a need for initiation
economic growth diminishes. Some will generate of new water programs to respond to potential
significant regional offsets unless market demands are population growth in rural areas. If the Nation
increasing at a sufficiently rapid rate to absorb the chooses to adopt a rural development approach to
goods and services produced. population distribution, existing Federal water
programs could be used to provide water and water-
related services.
Population Distribution Strategies and Their
Relationship to Water Resources: In coming months
and years, public debate on a national policy on
population distribution is likely to increase. There are "The EDA program, which grew out of the area
a number of possible strategies for population redevelopment program of a decade ago, is predicated on
dispersal, among which the following are receiving the assumption that water and sewer facilities provide jobs,
considerable attention: reduce unemployment, and thus promote economic
1 . Rural development (sometimes referred to as growth. The program generally serves nonmetropolitan
rural industrialization, reversing rural-urban areas, but grants and loans have been made to Chicago and
Omaha. For an assessment of the EDA program, see the
migration, rural areas development, area re- following: U.S. DEPARTMENT OF COMMERCE,
development, and the like). Economic Development Administration (1967). Regional
2. Creation of new towns (sometimes referred to Economic Development in the United States, 3 vols. U.S.
as planned communities) to absorb future Government Printing Office, Washington, D.C. BOOZ,
increases in population. ALLEN & HAMILTON, INC., Washington, D.C. (1970).
An Evaluation of the Business Loan Program of the
3. Distribution of population in a network of Economic Development Administration, prepared for the
growth centers. Economic Development Adniinistration. U.S. Department
of Commerce, Washington, D.C. U.S. CONGRESS, House,
Rural Development - The Federal role in rural Special Subcommittee on Economic Development
Programs of the Committee on Public Works (1970).
development usually involves investment in public Evaluation of Economic Development Programs-Part 11,
facilities including sewer and water grants and loans 91st Congress, 2d Session. U.S. Government Printing
from the Economic Development Administration Office, Washington, D.C.
(EDA) and the Farmers Home Administration "Rural Development Act of 1972, P.L. 92-419, Sec. 109,
(FHA) in rural areas to assist them in attracting August 30, 1972, 86 Stai'@657, 659, 7 USCA Sec. 1926.

New Towns - New towns are not new. 49 About may see the simple extension of municipal water lines
3,000 years ago, the Greeks founded entirely new as an attractive alternative to entirely new water
"settlements for purposes of colonization, commerce, projects. The Commission believes that water de-
and absorption of population increases in the city- velopment for new towns should be viewed in the
states."" In the United States, a number of "new same way as water problems of other kinds of cities
towns" have been developed. Reston (Virginia), and towns.
Columbia (Maryland), and Jonathan (Minnesota) are Growth Centers - The Commission on Population
recent examples of privately developed new towns Growth and the American Future has endorsed a
established in an attempt to accommodate increased "growth centers" strategy for aiding the normal
population in a desirable living environment. transition of people from declining rural areas to
Water is required for new towns just as numerous urban places with job opportunities." The growth
other resources and facilities are needed. The centers concept focuses on existing communities that
question, however, is whether a "special" water have demonstrated capabilities for further expansion
program is required. in economic and population growth.
Even though a location close to surface water may The growth centers approach requires identifica-
be a desirable feature, relatively few developers of tion of an economic base or growth nucleus that can
proposed new towns intend to use specially de- provide jobs. While the characteristics of the required
veloped surface water supplies. The distribution of base might vary, it has generally been defined as a
proposed new communities by source of water supply town or city having (1) some minimum initial con-
is shown in Table 3-1. centration of people," (2) a viable economic base,
Because 91 percent of the proposed new towns and (3) a favorable rate of growth. Government
included in the sample are either within or on the development funds are then channeled to these
periphery of a metropolitan center, water planners growth centers. For example, the Appalachian
Regional Development Act authorizes investment of
TABLE 3-1. -Proposed source of water supplies for supplemental Federal grant funds for projects of
53
selected potential new towns various kinds in designated growth centers. The
theory is that growth centers have the greatest
Number of Percent potential for development and are the areas most
Water Source Communities Distribution likely to produce a satisfactory return on Federal
Ground Water Only 9 26 investment in terms of goals achieved.
Surface Water Only 6 17 The programs of EDA, under the Public Works and
Extension of Municipal 14
Water Lines Only 18 51 Economic Development Act of 1965, make certain
Combination of Sources' 2 6 U.S. COMMISSION ON POPULATION GROWTH AND
35 100 THE AMERICAN FUTURE (1972). Population Growth
and the American Future. U.S. Government Printing
Office, Washington, D.C. Ch. 12.
'One development anticipates using both ground and surface "Various minimum size standards have been argued. See
water supplies. The other anticipates temporary use of MORRISON, Peter A (1971). Dimensions of the Popula-
ground water until municipal lines are extended to reach tion Problem in the United States, prepared for the
this satellite new town. Commission on Population Growth and the American
Future. RAND Corporation, Santa Monica, Calif. pp.
Source: Sample of unnamed, proposed new towns seeking 52-53. In a few cases 5,000 people may be a sufficient
Federal financial assistance; provided by U.S. Depart- number to permit viable future growth, but in most cases
ment of Housing and Urban Development (1971). 25,000 to 100,000 people may be needed. The Com-
Letter and attachment dated July 26, 1971, from mission on Population Growth and the American Future
Samuel C. Jackson to Theodore M. Schad. Onfile, uses 25,000 as the minimum population size for a growth
National Water Commission. center, although it suggests the desirability of some
flexibility because of regional diffe.rences.
"Appalachian Regional Development Act of 1965, P.L.
49 New towns traditionally have been defined as preplanned, 89-4, March 9, 1965, 79 Stat. 5, 40 USCA App. Secs.
self-contained communities, established for specific pur- 1-405.
poses. "Public Works and Economic Development Act of 1965,
"CLAPP, James A (1971). New Towns and Urban Policy. P.L. 89-136, August 26, 1965, 79 Stat. 552, as amended
Dunellen Publishing Co., Inc., New York. p. 16. 42 USCA Secs. 3121 et seq.

redevelopment areas and economic growth centers recycling may help stretch limited water supplies and
eligible for increased grant and loan assistance. thereby assist likely areas of growth. Transfer of
Because the EDA program is generally aimed at water use (for example, from irrigation to municipal
assisting depressed areas, other criteria for eligibility and industrial uses) may offer some communities
such as high rates of unemployment and low income opportunities to meet water needs at costs far less
levels are considered along with optimum size to than the development of new supplies.
identify communities eligible for assistance. These
criteria can be modified from program to program, CONCLUSIONS ON REGIONAL DEVELOPMENT
however, to meet different purposes. Whereas 1. While water resources projects have had very
Appalachian and EDA programs were primarily significant impacts on regional economic develop-
intended to benefit depressed areas, other criteria ment and population distribution in the past, they are
could be developed to identify appropriate centers of not usually the most efficient way to accomplish
emerging growth to receive Federal assistance to these objectives and their importance is diminishing.
accommodate future population increases. 2. Under certain conditions, water development
If and when the Nation adopts a population-based may be helpful as one of several ingredients necessary
growth center strategy, Federal water development to encourage regional economic development and
programs could respond. Under existing assistance population growth, or to preserve existing develop-
programs, water supply and sewage facility invest- ment. However, water developments differ widely in
ments are generally treated separately from other the effects they induce. Congress, in making
developmental activities such as land use regulation, judgments as to whether water developments should
educational investments, transportation improve- be used to aid regional growth, should require
ments, etc. They could all be coordinated around a evaluations of certain critical growth factors in order
central theme of community (or growth center) to enhance the effectiveness of developments and
development. reduce offsetting losses in other regions. These factors
Synthesis - It is likely that all three alternatives- include: market demands, availability of substitutes
rural development, new towns, and growth centers- for water services, competitive advantage of the
will be used in some combination to affect popula- region, and the potential for capitalizing on growth
tion distribution. Regardless of the ultimate outcome, opportunities.
water resources should be planned and managed to 3. Federal water programs can be easily adjusted
respond to future changes in population and the to support whatever population distribution policy
response should be under terms that are most the Nation adopts. However, water programs are not,
efficient and equitable from a national standpoint. in and of themselves, adequate to effectuate a
Water planning, undertaken jointly with planning national policy concerning where people will live.
for land use, housing, transportation, education, and Water programs should continue to accommodate
industrial development, encourages efficiency in the future population growth and economic well-being by
construction and operation of water supply and responding to the pattern of interregional population
sewage treatment facilities, especially when invest- distribution. In some instances water programs may
ments are staged at rates comparable to actual need. influence desired population distribution provided
Existing Federal water programs, established for other controlling conditions are favorable. Where
purposes other than population- distribution, have the Congress has determined that the growth of a
potential for accommodating population dispersal particular area should be promoted in the national
objectives if the President or Congress so direct. The interest such programs may be used if they provide
application of technologies in water reuse and the most efficient way to achieve that growth.

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Chapter 4

Water Pollution Control'

The development of the Nation has exacted a high cannot be sustained. The difficult and important task
price in the deteriorating quality of its water re- is to weigh the benefits and costs of each available
sources. Rivers, lakes, and coastal waters have been alternative and to devise policies and systems which
heavily damaged by the uncontrolled discharge of will improve these choices over time.
wastes; by polluted runoff from urban, agricultural,
and mining development; and by accelerated siltation, COMMISSION APPROACH
erosion, and sedimentation. The Commission is convinced that a new ethic of
Efforts to clean up water pollution have been conservation and reuse must replace the history of
impeded by basic disagreements over goals to be exponential growth in the production of wastes. Our
sought and strategies for water quality management. 4-year study of water pollution has demonstrated the
Complexities and costs have often been obscured by environmental truth of the aphorism "there is no
the rhetoric in which oversimplified solutions are
advanced. As a basis for sound decisions about such thing as a free lunch." The Nation can no longer
programs for water quality improvement, the Ameri- rely on "cheap raw materials," "underpriced" water,
can people need to know the facts about water and "free" waste disposal to achieve its national
pollution and to understand the costs and benefits of development goals.
alternative strategies for managing water quality. It is increasingly evident that some wastes in our
In this chapter, a range of possible pollution waters need never have been produced and represent,
abatement programs is examined in the context of a in effect, misplaced resources. If appropriate regula-
total environment and a whole society. It is generally tions are enforced and polluters are required to pay
recognized that improved water quality will enhance the cost of abating their pollution, the Commission
the immediate environment, augment the useful believes that the amount of waste production will be
supply of water, and reduce costs stemming from the minimized and the costs of its treatment will be more
use of polluted water. It is also necessary to recognize equitably shared.
that matter can be altered but not destroyed and The Commission believes that for the next decade
some processes which abate the pollution of water the primary national water resource priority should
can impair other elements of the environment. The shift from water development to water quality
consumption of minerals and energy to construct and management to meet a high standard of water
operate waste treatment systems can drain supplies of quality. Regulations and expenditures should be
limited and nonrenewable resources. Many valid directed at the most effective site-specific pollution
unmet needs compete for limited tax moneys and 'In preparing this chapter, the Commission relied on
expenditures for water pollution abatement can background information from HINES, N William (197 1).
impose heavy social costs in lost opportunities for the Public Regulation of Water Quality in the United States,
solution of social problems. Water quality manage- prepared for the National Water Commission. National
ment policies which do not recognize these facts Technical Information Service, Springfield, Va., Acces-
sion No. PB 208 309, and PANEL ON WATER POLLU-
TION CONTROL (1971). Water Pollution Control in the
United States, prepared for the National Water Commis-
Polluted waters are off-limits for recreational and fish sion. National Technical Information Service, Springfield,
and wildlife use Va., Accession No. PB 212 139.

abatement rather than uniform national requirements waters frequently degrade water for a wide range of
and absolute goals. National water quality goals uses. Various organic or inorganic chemicals reaching
should be set only after analysis of the effect which waters through direct discharges and through land
their achievement will have upon other national goals. runoff disrupt the delicate food chains of lower levels
A 10-year national financial commitment to acl-deve of life and ultimately may prove toxic to people. At
water quality standards is necessary because of the the opposite extreme, chemical nutrients stimulate
sheer magnitude of the long-accumulated backlog of the growth of some aquatic organisms in nuisance
work and the need to establish equity among the quantities. Dissolved and suspended materials affect
State and local governments which have been un- the color and turbidity of water and may congest
evenly affected by prior Federal grant programs. At watercourses as they are deposited. Heat added to
the end of this period, the Federal grant program water in industrial cooling processes may have
should terminate and local and State agencies should deleterious effect on aquatic fife, and reduces
operate and improve their systems and the users of capacity to purify organic materials. Finally, the
such systems should pay the costs. escape of radioactive material into water can pose a
threat to all forms of life.
THE IMPORTANCE OF CLEAN WATER

In the past, wastes were discharged into waterways SOURCES OF POLLUTION
with little regard to the costs imposed on other users Pure water is a manufactured product. Natural
and on the public by the resulting decline in water water is not pure. Its quality is affected by a variety
quality. Limited only by the laws of public and of geologic, hydrologic, and biologic factors. Natural
private nuisance, these practices were not entirely impurities such as sediments, decaying vegetation,
satisfactory even in a frontier society with an and wastes from wild animal populations impose
abundance of clean water. Under today's increasing measurable levels of contamination on many water-
demands for high-quality water, unrestrained waste courses. Dissolved minerals rendered some of our
disposal leads to serious conflicts among potential surface and ground waters unfit for certain uses long
water uses and occasions the loss of social and before man appeared on the scene. But most of what
environmental values. 2 we call pollution today results from disposal of the
Projections of future water demands in some waste products of civilization. Controlling man-
regions of the United States make it clear that unless caused pollution is the central concern of this
major new supplies of fresh water can be developed, chapter.
increased reuse of existing water supplies will be Pollution sources are of two types: (1) waste
essential to meet these, demands. Reuse is possible discharges from identifiable points (point-sources)
because the great majority of users return water to its and (2) diffused wastes reaching water through land
source after use; however, to rely on reuse to satisfy runoff, washout from the atmosphere, or other means
increasing demands, water returned must be of (nonpoint-sources). The two differ in their amena-
sufficiently high quality that its usability is not bility to control. Discrete point-sources may be
destroyed. controlled directly while nonpoint-sources are
Impairment of water quality also seriously extremely difficult to control.
threatens in-place water uses. The maintenance of
desirable fish and wildlife populations and the Point-Sources
preservation of natural beauty require water of good
quality. The demand for water-based recreation is Municipal Sewerage Systems: The sanitary wastes
increasing dramatically and requires clean water. from an urban population of roughly 160 million
Water quality is impaired primarily by the use of people are systernatically collected through sewers
the water as a receptor of wastes. Wastes may contain and subjected to some type of treatment before being
bacteria or viruses harmful to human health. The discharged into water bodies. Municipal systems also
decomposition of organic wastes robs water of collect and treat a significant portion of the Nation's
dissolved oxygen essential to support the life process industrial wastes. Municipal effluents contain large
of aquatic creatures. Salts, acids, phenols, alkalies, amounts of organic materials, dissolved minerals, and
and other compounds present in industrial waste- often contain residues from industrial wastes. In
many places, municipal wastes do not receive
'See Chapter 1. adequate treatment. Even where secondary treatment

is provided, important nutrients and toxic materials diverse ways ranging from outright toxicity to harm-
escape removal. Some measure of the deficiencies in less but unpleasant tastes. The rapid development of
municipal waste control is provided by a comparison new synthetic chemicals promises new and more
of the present value of existing municipal sewage exotic types of production wastes for the future. In
treatment plants ($8.5 billion)3 and the estimate of 1968, according to Federal agency studies, only 37
additional investments needed in such plants by 1985 percent of the wastewater discharged by industry
($15 billion) to meet water quality standards estab- received any treatment whatsoever; and 7 percent of
fished under the Water Quality Act of 1965 .4 what was treated passed through municipal sewage
plants.7 One projection to the year 2000 shows that,
Storm Water Runoff: A second source of water unless process changes occur, there will be a sevenfold
pollution attracting increasing attention is storm increase in the wastes of water-using industries.'
water runoff from urban areas. Urban land runoff is Obviously, there will have to be changes in process-
commonly collected in storm sewers and discharged ing.
into waterways, Frequently, storm water inlets con- Discharge of heated industrial wastewater also
nect directly with sanitary sewers. Where a combined affects water quality, and may have adverse effects on
storm and sanitary sewer system is used, heavy storm the biota. By far the largest discharger ofwaste heat
runoffs result in temporarily overloading or bypassing is the electric power industry, which uses great
of local waste treatment plants so that raw or quantities of water for cooling. Growth estimates lead
partially treated sewage is discharged into water- to predictions of a six- to tenfold increase by the year
courses. Even where separate storm sewers are 2000 in the discharge of heated water from power-
utilized, storm water poses a pollution threat. plants. One commonly used method of reducing or
Accidental interconnections with sanitary sewers are eliminating the discharge of heat to watercourses is
common, and recent studies have revealed that the the installation of cooling towers; however, such
first "flush" of storm water often carries a pollution installations increase consumptive use of water,
load of some constituents greater than that of raw require more energy, 9 and may affect air quality.
sanitary sewage,' It should be noted that the early
runoff from heavy rainfall on rural agricultural land Animal Wastes From Commercial Feedlots: Steady
and even on wilderness areas also transfers a heavy increases in per capita meat consumption and con-
pollution load to watercourses. tinued population growth have caused agricultural
technology to seek more efficient methods for
Industrial Wastes: The total output of organic wastes producing meat animals. One result is the modern
from water-using industries in the United States is confined feeding operation in which large numbers of
estimated to have a pollution strength three to four animals are scientifically fed and managed in tightly
times greater than the domestic sewage handled by all restricted quarters. Feedlots carrying more than
municipalities combined 6 and organic industrial 10,000 head of cattle or swine each are not unusual.
wastes are growing at a rapid rate. In addition, Current estimates project continued expansion of
industry effluents contain a variety of inorganic confined feeding operations.
wastes which in their initial state, in degraded forms, Unfortunately, animal waste management practices
and in compounds affect the usability of water in have not always kept pace with improve d-efficiency

3U.S. ENVIRONMENTAL PROTECTION AGENCY 7U.S. ENVIRONMENTAL PROTECTION AGENCY
(1972). The Economics of Clean Water, Vol. 1, Environ- (1972). The Economics of Clean Water, Vol. 1, Environ-
mental Protection Agency, Washington, D.C. p. 120, mental Protection Agency, Washington, D.C. p. 17.
assuming treatment plants represent 45 percent of total 8U.S. NATIONAL ACADEMY OF SCIENCES-NA-
of costs given therein which also include interceptors, TIONAL RESEARCH COUNCIL, Publication 1400. Na-
outfalls, and pumping plants. tional Academy of Sciences-National Research Council,
See Chapter 16, Financing Water Programs. Washington, D.C. p. 12.
5BRYAN, Edward H (1970). Quality of Storm Water 'See Chapter 5, Section G, for more complete discussion
Drainage from Urban Land Areas in North Carolina. of waste heat problems. The Commission established a
Report No. 37, Water Resources Research Institute, special panel to study this subject. See the report by the
University of North Carolina, Raleigh, N.C. CONSULTING PANEL ON WASTE HEAT (May 1972).
6U.S. COUNCIL ON ENVIRONMENTAL QUALITY The Water Use and Management Aspects of Steam
(1970). Environmental Quality, The First@ 'Annual Report Electric Power Generation, prepared for the National
of the Council on Environmental Quality. U.S. Govern- Water Commission. National Technical Information Serv-
ment Printing Office, Washington, D.C. p. 32. ice, Springfield, Va., Accession No. PB 210 355.

W,, -300 i

lab.-

Industrial and mine wastes degrade watereourses

feeding operations. In yesterday's small feedlot opera- Sediment in streams is a natural phenomenon-
tion, manure was a valuable byproduct used to sediments were present in the Nation's waters long
fertilize the land that produced the crops fed to the before the country was settled. Natural happenings
next generation of animals. Today, labor costs of such as lightning-caused forest fires can trigger
spreading manure coupled with the availability of accelerated erosion. Man's activities, such as urban
low-cost chemical fertilizers have converted this construction, overgrazing, surface mining, or recrea-
once-valuable byproduct into a waste disposal tional activities, can have a similar result. The effects
problem of sizable dimensions in some sections of the are more dramatic where soils are least protected by
country. vegetative growth, as in the Southwestern United
States, where streams have always carried heavy
Nonpoint-Sources concentrations of sediment. Man's activity has, for
the most part, increased sediment loads in streams of
Sediment: Sediment is frequently found in natural the populated areas of the country. Unprotected
water supplies. In excess quantities, it impairs recrea- croplands, overgrazed pastures, strip mines, roadways,
tion, interferes with aquatic species, increases the and clearing for urban construction all have increased
costs of water control projects, and increases the the production of sediment over that occurring in
expense of water treatment for municipal and nature. Agricultural development increases erosion
industrial purposes. Sediment, therefore, must be rates four to nine times while urban construction may
considered as a pollutant. In addition, eroding sedi- increase the erosion rate a hundredfold during the
ment transports pesticide residues and chemical period of construction.
nutrients from fields to waterways.' 0
Agricultural Chemicals: Chemical fertilizers and
"For more detailed discussion of erosion and sedimenta- pesticides can cause serious adverse effects if they
tion see Chapter 5, Section H. reach waters in excessive quantities. Current evidence

suggests that these chemicals are entering waters in mining is the biggest offender. Acids from coal mines
increasing concentrations. Nitrogen and phosphorus, account for a large share of the damages from mine
the two chief nutrients in agricultural fertilizers, drainage pollution, mostly in the Ohio River Basin.
directly stimulate and feed the growth of algae. A A recent study of active mines revealed that over
certain amount of algae is essential as food for other half of them pumped untreated wastewater directly
forms of aquatic life, but dense algae blooms reduce from the mine into a nearby stream. Like feedlot
water quality by increasing turbidity and forming wastes, drainage from active mines will respond to a
scum and floating mats. Heavy algae growth may point-source style of regulation based on collection
compete with other aquatic life forms for dissolved and treatment of the wastewater prior to its dis-
oxygen. This algae growth can be reduced or elimi- charge. The 90,000 or so abandoned mines which
nated by minimizing escape of chemicals from the account for 60 percent of acid drainage are still
fields through the use of good fertilizer application another problem. 12 Data to show that the benefits
techniques. Phosphate fertilizer that reaches water is from control measures undertaken to date are suf-
usually carried there by eroded soil particles, but ficient to justify the costs of such measures are not
nitrogen is soluble and is carried in the drainage. available.
While there are pesticide residues in many of the
Nation's waterways, the level of pesticide concentra- Spills of Oil and Other Hazardous Substances: An
tions in water is generally low. Because many of the estimated 10,000 spills of oil and other hazardous
persistent pesticides precipitate rapidly from water, materials occur annually in or near navigable waters
low pesticide levels in water samples may not reflect of the United States. Although damages from other
accurately the availability of these compounds to hazardous substances spilled into waters can be just as
aquatic flora and fauna. Bottom sediments frequently significant as those caused by oil pollution, the
contain pesticide concentrations many times greater volume of oil transported and used vests it with great
than the overlying water. Whether these pesticides are potential for damage and makes it the major concern.
a cause of trouble depends on potential for scour, and Most large oil spills come from vessels, pipelines, oil
on the aquatic life in the area. terminals, and bulk storage facilities. Two hundred
Although the precise routes by which pesticides thousand miles of pipelines carry annually more than
Lravel through the environment are not known, a billion tons of oil and hazardous substances. These
agriculture's role in their dissemination is generally pipelines cross waterways and reservoirs and are
acknowledged. Nearly a billion pounds of pesticides, subject to leakage. 13 Spills from this source are not
of which agriculture uses slightly more than 50 frequent, but the hazard is increasing as the amount
percent," are used in the United States each year. of exposure increases. In addition, disposal of used oil
These totals, large as they are, are of little value in is beginning to be recognized as a matter of environ-
appraising water quality, because of the large variety mental concern, particularly since the tax incenitives
in kinds, variations in persistence, and uncertainties in for re-refining used oil were eliminated.
effects. As with phosphate fertilizers, eroding soil
particles are suspected to be the major vehicles for Other Sources: Other nonpoint-sources of pollution,
transporting pesticides to waterways. such as animal and vegetable residues washed from
open lands, runoff from commercial and industrial
Nfine Drainage: Drainage from active and abandoned sites, salting of highways for ice control, discharges of
mines pours harmful acids, minerals, and sediments waste materials from vessels, and washout of residuals
from 11 million acres of mine land into streams and deposited in the atmosphere through man's activities,
lakes in 31 States. It is impossible to document the are also causing increasing environmental damage.
amount of the damages, since many watercourses
received such inflows under natural conditions.
Mining operations for nearly 20 different minerals U.S. DEPARTMENT OF THE INTERIOR, Federal Water
create wastes which diminish water quality, but coal Quality Administration (June 197 0). Clean Water for the
1970's. U.S. Government Printing Office, Washington,
D.C. p. 9.
U.S. COUNCIL ON ENVIRONMENTAL QUALITY 1 3 U.S. COUNCIL ON ENVIRONMENTAL QUALITY
(1970). Environmental Quality, First Annual Report of (1970). Environmental Quality, First Annual Report of
the Council on Environmental Quality, U.S. Government the Council on Environmental Quality. U.S. Government
Printing Office, Washington, D.C. p. 13 1. Printing Office, Washington, D.C. p. 38.

A
V

jC7

Oil spills spread rapidly on water surfaces

WHAT IS HAPPENING TO WATER QUALITY? waterways revealed cases of marked improvements in
One major impediment to an adequate assessment dissolved oxygen and a few other water quality
indicators during the last 30-40 years, but a general
of water quality is that existing monitoring and increase in dissolved solids. 14 These findings are
surveillance programs are inadequate to provide the corroborated by a U.S. Council on Environmental
data base required for a comprehensive analysis of Quality (CEQ) report which notes that while the total
water quality conditions, except in a limited number biochemical oxygen demand (BOD) loading of waters
of waterways. Even where extensive sampling pro- increased only slightly over a 10-year period (during
grams have been instituted, little or no historical which the production of potential BOD materials
water quality data exist from which to make com- more than doubled), the discharge of other types of
parisons over a period of time. For these reasons, pollutants increased significantly.' ' It can be con-
most assessments of water quality are highly subjec- cluded from these reports that pollution control
tive.
One method for assessing current status is by 1 4WOLMAN MG (November 26, 1971). The Nation's
comparison with the past. The overall impression Rivers. Science 174(4012);905-.918.
gathered from two recent studies of water quality "U.S. COUNCIL ON ENVIRONMENTAL QUALITY
conditions is that some deterioration has occurred (1971). Environmental Quality, The Second Annual
Report of the Council on Environmental Quality, August
over time but also some improvement has been 1971. U.S. Government Printing Office, Washington, D.C.
shown. One study of long-term changes on selected p. 218.

efforts of the past decade have held even or gained WHEN IS WATER POLLUTED?
somewhat on oxygen-demanding wastes, but have lost Pollution can be defined in alternative ways which
ground against some other pollutants. This is not have markedly different implications for the Nation's
surprising, as conventional waste treatment processes effort to improve water quality. One view of pollu-
have been principally directed to reduction of oxygen tion is expressed in the Federal Water Pollution
demand.
A more recent study undertaken for the CEQ Control Act Amendments of 1972," which defines
based on a sample of water quality stations and 11 pollution" as "man-made or man-induced alteration
adjusted for variations in flow also shows a mixed of the chemical, physical, biological, and radiological
picture of trends in water quality. In general, it shows integrity of water."2'') Thus, natural water quality
that there has been a dramatic worsening in the appears to be regarded as a norm from which any
concentration of phosphorus and nitrogen com- deviation constitutes pollution. This is not a good
pounds and a slight increase in the total oxygen- standard on which to base the definition of pollution.
demanding wastes. 16 In some places water is naturally toxic, naturally hot,
A more optimistic view is presented by responses naturally turbid, naturally radioactive, or naturally
.received by the Commission staff to an inquiry acid or alkaline. Some lakes are naturally choked
concerning recent changes in water quality. Reports with algae, and the eutrophication of lakes is a
received from 30 States and three interstate agencies natural process in their aging. Oil seeps in large
indicated that in the past several years both general quantity occur in nature. Heavy sediment loads occur
improvements in water quality and specific instances naturally in many flowing streams. Man-induced
of upgrading have overshadowed isolated situations of changes due to discharges of specific chemicals can
deterioration.'7 actually improve the usefulness of water, for
A second method of assessment is to compare example, where wastes which contain lime neutralize
existing quality to stated objectives as expressed in the excess natural acidity of streams, or where
water quality standards. EPA has recently made a nutrients are needed to support aquatic life. Con-
systematic attempt to record such information." An servation of marine species that are heavily used as a
inventory of some 260,000 miles of streams and source of food for man may require replacement of
shorelines by that agency shows that almost 30 nutrients in the marine environment to maintain the
percent of the Nation's stream and shoreline miles are food chain.
out of compliance with one or more criteria at least 1-f the purpose of the 1972 Act's definition of
once a year. The study does not, however, permit a pollution were just to bring within the ambit of the
quantitative judgment as to losses or damages frorn control program all discharges of substances poten-
pollution, because the comparison does not take tially harmful to water quality, its bre adth of scope
account of the fact that failure to meet certain would be commendable. However, this all-
criteria 100 percent of the time may have little or no encompassing definition does not merely expand the
detrimental effect. jurisdiction of the control program; it is an integral
Notwithstanding uncertainties resulting from the component of a water quality policy which is
lack of reliable data and the imprecision of evaluation designed ultimately to prevent all use of water bodies
procedures, the available reports contain a consistent for waste disposal. The 1972 Act establishes 1985 as
theme of substantial noncompliance with existing a tentative target date for achievement of this "no
standards. Decisive action is needed to achieve the discharge" goal.
Nation's stated water quality objectives. Such a goal is unrealistic. Tolerance of foreign
materials in water varies greatly among different
water uses. The ranking of purposes for which water
16U.S. COUNCIL ON ENVIRONMENTAL QUALITY is used in terms of the quality levels required in
(1971). Environmental Quality, The Third Annual Re- natural watercourses might be represented as follows:
port of the Council on Environmental Quality, August (1) preservation of the natural environment, as in the
1972. U.S. Government Printing Office, Washington, D.C.
pp. 13-14.
"Correspondence in files of National Water Commission. "'Public Law 92-500, October 18, 1972, 86 Stat. 816, 33
U.S. ENVIRONMENTAL PROTECTION AGENCY USCA 1251-1376. Hereinafter referred to as the "1972
(197 2). The Economics of Clean Water, Vol. 1, Environ- Act."
mental Protection Agency, Washington, D.C. Part 1. 2'Ibid., Section 502(19), 86 Star. 887, 33 USCA 1362(19).

"wild river" program; (2) water contact sports, such policy thus amounts to the imputation of an extrava-
as swimming and water-skiing; (3) use as a source of a gant social value to an abstract concept of water
potable domestic water supply;' ' (4) preservation of purity; a value the Commission is convinced the
aquatic life; (5) noncontact recreational uses, such as American people would not endorse if the associated
boating-, (6) agricultural use, such as irrigation and costs and effect on other resources were fully
livestock watering; (7) industrial use; (8) navigation; appreciated and the policy alternatives clearly under-
(9) disposal and transport of wastes. Only use (1) stood.
requires natural water quality. In all other cases water The danger of setting the restoration of natural
quality different from that which would exist in water quality as a national goal lies not merely in its
nature will adequately support the desired uses. In conceptual unsoundness, but in its potential for doing
fact, natural water itself often is unfit to satisfy long-term harm to the pollution control effort. Like
important uses, and a requirement that all water other oversimplified solutions to complex social
discharged after use be distilled would not assure problems, this policy holds out a promise of
water of useful quality. "natural" water it cannot redeem. Water quality
The Commission believes adoption of "no dis- regulation which loses touch with the reasons people
charge" as a national goal for water quality manage- value water is 'hopelessly adrift and eventually will
ment is no more sound than would be the establish- founder. When it does, the attendant loss of public
ment of a "no development" goal for controlling land confidence will make it more difficult to marshall
-use. First, the "no discharge" policy ignores the public support to reestablish a program with rational
functional interrelationships among environmental objectives.
resources and places man in absolute oppostion to In the Commission's view, pollution should be
natural processes of runoff and drainage. Second, the defined in a functional and dynamic manner by
maximum degree of industrial or sewage treatment saying that water is polluted if it is not of sufficiently
process changes cannot eliminate all wastes which are high quality to be suitable for the highest uses people
now discharged to water. Forbidding the disposal of wish to make of it at present or in the future. Such
these wastes in water inevitably will result in their uses should be determined by responsible public
disposal in the air or on land, but with no assurance authorities. Under this approach, maintenance of
that such disposal alternatives are either environ- natural water quality is necessary only where some
mentally or economically preferable to disposal in use of the resource requires it.2 2This is not to say
water. Third, the no discharge policy assumes that that the pollution control program ought to ignore
restoration and preservation of natural water quality any man-induced alteration of water quality. Rather,
is of higher value than any other use of the resource. the goal of the control program should be to regulate
This assumption will not pass the tests commonly those changes to achieve and maintain a quality
applied to determine how or whether resources sufficient to sustain the uses people wish to make of
should be used. The costs of achieving the social the water now or in the future.
objective of pure water are so great that they surely It is this relative theory of pollution upon which
will necessitate a cutback or postponement of other was based the national water quality standards
worthy domestic programs. An examination of rela- program introduced by the Water Quality Act of
13
tive priorities among social goals is in order. In the 1965. This legislation fostered the establishment of
Commission's view, a reduction in waste disposal receiving water standards for nearly all of the
beyond that necessary to protect existing or antic- Nation's surface waters. In the 1965 Act, the congres-
ipated future uses of receiving waters would create sional description of the water quality standards
costs unrelated to any social benefit and would result intended was somewhat lacking in detail; the Act
in needless expenditures and a waste of other simply provided that the standards shall be such as
resources such as air, land, minerals, and energy. "to protect the public health or welfare, enhance the
Absolutely pure water simply is not necessary for quality of water," and serve the purposes of the Act,
many uses, and these include uses such as recreation
and fish propagation. Adoption of a no discharge 2 'For a more complete discussion of this philosophy, see
U.S. CONGRESS, House of Representatives (1966),
"Water Pollution Control," House Report No. 2021, 89th
"Where water bodies are used as a source of domestic Congress, 2d Session. U.S. Government Printing Office,
supplies without filtration, this use must be placed ahead Washington, D.C.
of water contact sports in the ranking. 2 3P.L. 89-234, October 2, 1965, 79 Stat. 903.

taking into consideration the "use and value [of the for conventional biological treatment. Although the
interstate waters] for public water supplies, pro- dedication of marginal lands to the disposal of
pagation of fish and wildlife, recreational purposes, municipal and industrial effluents by filtration
an d agricultural, industrial, and other legitimate through the natural soils has been practiced in other
uses."" For this reason, several years were required countries, a project in Muskegon County, Michigan,
to establish satisfactory standards and there has not represents the first attempt in the humid portion of
been time for them to be fully implemented. Never- the United States to use land disposal on a large scale
theless, the Commission believes the concept of water for handling the wastewater from an urban popula-
quality standards provides the foundation for an tion.2 6 The Muskegon project, which is not yet
effective national strategy for pollution control. operational, will spray-irrigate 6,000 acres of land
Standards based on present and proposed water uses having sandy soil, using the effluent from the
not only represent the most rational national water system's biological treatment lagoons. Another 4,000
quality policy from a cost-benefit standpoint, they acres will be used for treatment and storage lagoons
also permit maximum adaptability of national goals and a protective zone to isolate the project from
to local situations. Although refinements were clearly neighboring lands. The capital cost of the project was
needed, particularly clarifications in matters of estimated to be comparable to the cost of a con-
responsibility and treatment required, the State- ventional waste treatment system with similar
Federal water quality standards program was proceed- capabilities, but the net operating costs are estimated
ing in the right direction and should be restored as by sponsors to be 50 percent lower. When the project
the basic framework for the national effort to clean is complete, it will handle the effluent from a
up our waterways. population of 138,000.
ADEQUACY OF TECHNOLOGY The possibility of lower costs is not the sole
attractive feature of land disposal. Not only does the
The Commission does not believe that lack of land disposal system have a potential for reducing
adequate technology is a significant impediment to BOD without producing the amount of sludges which
controlling most point-sources of pollution. In a plague most conventional systems of waste treatment,
separate section of this report '25 the Commission has it is expected to have advantages in the handling of
concluded that existing technology is capable of dissolved solids. Sponsors of the Muskegon system
producing a finished municipal effluent suitable for claim that filtration through soil provides an effective
all uses with the possible exception of direct human means of removing, decomposing, recycling, or im-
consumption. Less confidence is expressed with mobilizing some substances which now escape from
regard to the reuse of industrial wastes, but there, most conventional treatment facilities. By using
too, production process changes coordinated with agricultural land as a "living filter," they claim, the
existing treatment methods can produce a reusable nutrient value of such wastes can be reclaimed for
effluent from most industries within the next decade. agricultural production, rather than in the aquatic
If the Commission's assessment of the capability of food chain.
existing technology to produce effluents suitable for Because the Muskegon system will disperse
direct reuse is correct, discharges sufficient to satisfy residuals and may be cheaper to operate than
adequate- water quality standards are certainly conventional municipal treatment methods, it is often
attainable. The importance of discovering new treat- cited to demonstrate the feasibility of a "no dis-
ment processes should not be minimized, but the charge" policy. In the Commission's view, land
Commission believes most water quality objectives disposal is by no means a complete solution for the
can be achieved through creative application of country's waste disposal problem. Many design and
known technology. operational problems exist which are site-specific in
nature. Michigan pollution control officials are con-
Adapting Technology to Special Problems cerned that the filtrate of the Muskegon drainage
Land Disposal of Municipal and Industrial Wastes: fields might contain undesirable concentrations of
Broad-scale land disposal of wastewater is attracting
increasing interest in the United States as a substitute "See DAVIS GW and DUNHAM A (1971). Wastewater
Management Project, Muskegon County, Michigan, pre-
`1bid., Section 5(c) (3). pared for the National Water Commission. National
"See Chapter 7, Section H, Reuse of Municipal and Technical Information Service, Springfield, Va., Acces-
Industrial Wastewater. sion No. PB 208 310.

- - - - -- - - - - -- - - -

R'-

Sugar beet wastes killed these fish in Ohio

nitrates, chlorides, and other salts, just as do the return information about large-scale land disposal. The
flows from irrigation projects in and lands. Projecting Muskegon project is not yet operational and no
the Muskegon approach to larger urban communities experience has been gained on any other spray-
produces estimates of enormous land areas needed for irrigation system of comparable size. Land disposal is
waste disposal (448,000 acres in the case of Chicago not a panacea through which a no discharge policy
and more than a million acres for New York City) may be accomplished; however, it is sufficiently
which certainly would not be available nearby at attractive to merit attention as an alternative which
reasonable cost. Obtaining public acceptance of large should be considered where suitable land is available
11 sewer farms" may be difficult in particular locales. at costs which make the technique economically
Land disposal is further site-specific in the sense that competitive with other systems and where the waste-
local soil and climatic conditions will affect both water is not required to be returned to the stream
operating costs and system efficiency. In some areas, from which withdrawn.
land disposal may be precluded by a need to return
municipal effluents to the source of withdrawal to Aquaculture: Techniques for increasing the useful
sustain the flow of streams or to satisfy vested water productivity of bodies of water by the scientific
rights. application of treated wastes may also hold promise.
The Commission regards land disposal as an alter- Man removes food from the sea much as crops are
native treatment method, which should be evaluated grown on land and such removal requires the replace-
along with other methods to determine which pro- ment of nutrients to permit harvest on a sustained
duces the desired results at least cost. At the moment, yield basis. As waste treatment becomes more
such evaluation is difficult because of lack of reliable sophisticated it may improve the food production

capability of water bodies through controlled the deep tunnel approach to cost only one-fourth to
management of nutrients. The 1972 Act contains one-half as much as sewer separation, and to be only
appropriate recognition of the potential value of about 60 to 85 percent as costly as holding tanks.' 8
aquaculture projects by authorizing the approval of One segment of a system to implement such a
discharges which might otherwise be piohibited as program currently is being tested in Chicago.
pollutants. 27 Even with storage, it must be recognized that
occasional storms, beyond the design capacity of the
Storm Flow Treatment: The technology of handling system, will cause overflows and discharge of un-
the pollution associated with storm water overflows treated pollutants to the receiving stream. The design
from combined sewers is an emerging one. For many of the Chicago system will permit such an overflow
years it was believed that the solution lay in dividing about once in 5 years. However, such overflows
the combined systems into separate sanitary and ordinarily occur at times when the receiving stream
storm systems. While this approach is effective on a has an unusually high flow, so that the pollution
selective basis, in other cities it is expensive and impact will be significantly lessened by dilution. For
disruptive, and may not solve all of the problems. this reason, less costly measures, such as settling
Inadvertent or intentional cross-connections between basins to collect the solid wastes, may provide all of
storm and sanitary systems have to be eliminated, the pollution abatement that is economically justi-
sometimes at great expense, and the "first flush" of fied.
pollutants from the city streets still carries a signif- Other alternatives which demand attention are
icant pollution load. If large areas of rural land instrearn aeration of streams to provide oxygen for
contribute to the stream, however, the contribution reduction of BOD, extending storm sewer outfalls
of urban storm flows may be so small as to be into large bodies of receiving water some distance
unimportant. away from shore so that storm waters may be
One solution is to store storm water runoff conveyed to points where they will not adversely
overflows, whether from combined systems or affect water use, and insystern storage of peak
separate storm sewer systems, so that they may be combined flows so that they may be temporarily held
released at controlled rates to undergo conventional and treated later. 29
treatment. The fact that most storm flows are
discharged to waterways in developed metropolitan Feedlot Runoff Control: Promising strides are being
areas limits opportunities for storage in conventional made in the control of runoff from animal feedlots.
impoundments created by dams. The most widely Most States now require registration of feedlots
advocated approaches for storing storm waters have where the size, animal density, proximity to a
been construction of concrete holding tanks at each watercourse, or method of waste disposal is likely to
sewer outfall, or combination of adjacent outfalls, cause water pollution problems. Where investigation
and excavation of large underground tunnels to which reveals actual or potential pollution, control measures
a number of sewers are connected. The latter are required. Typically, the control consists of
approach is limited to areas of favorable geologic diversion structures to prevent surface drainage from
conditions, where there is no possibility of ground passing through the feedlot, plus construction of
water contamination, conditions which probably retention structures to capture wastewater escaping
occur under far less than half of the major cities in from the feedlot proper. The control system usually
the United States. Studies in four major cities where includes procedures such as irrigation and land-
favorable geological conditions were present showed spreading for emptying the contents of the retention

271972 Act, Section 318(a), 86 Stat. 877, 33 USCA Weston, Inc., West Chester, Pa. SOUTHEAST WIS-
1328(a). CONSIN REGIONAL PLANNING COMMISSION (Octo-
2 8METROPOLITAN SANITARY DISTRICT OF ber 1971). A Comprehensive Plan for the Milwaukee
GREATER CHICAGO, STATE OF ILLINOIS & CITY River Watershed, Planning Report No. 13. Southeast
OF CHICAGO (January 1972). Development of a Flood Wisconsin Regional Planning Commission, Waukesha,
and Pollution Control Plan for the Chicagoland Area- Wise.
Evaluation Report of Alternative Systems. Metropolitan Computer regulation of combined sewer flows has dem-
Sanitary District of Greater Chicago, Chicago, 111. ROY F onstrated a capability for elimination of more than half
WESTON, INC (August 1970). Combined Sewer Over- of the peak period overflows at reasonable costs in
flow Abatement Alternatives - Washington, D.C. Roy F. Detroit, Minneapolis, and Seattle.

structures. For roofed or indoor feeding stations, allowing his dog to destroy stock, but there are still
land-spreading of wastes or lagooning are commonly many States in which no one has authority to do
used. Such collection and land disposal systems seem anything about it if the same landowner allows his
adequate to handle most feedlot waste problems. topsoil to erode away into the public waters. The
Another possible control strategy is the employment collective 'effect of this environmental impact is
of land use regulation to restrict the siting of feedlots extremely serious not only to the landowners but to
to areas where they will cause minimal environmental the public at large. Acceptable soil loss limits should
harm. be established and enforced by existing soil conserva-
tion or pollution control agencies, or by other State
Control of Nonpoint-Sources agencies capable of administering such a program."
The methods for controlling nonpoint pollution COSTS
sources are in a more primitive stage of development Estimating the costs of pollution control measures
than the techniques for remedying point-sources. By needed to achieve compliance with specific water
and large, pollution caused by such processes as soil quality standards involves a compounding of un-
erosion, mineralization, land runoff, acid drainage, certainties. The target is vague and it is moving.
and oil spillage is not susceptible to control through Under the circumstances, it is possible only to make
conventional abatement methods; however, some order- of-magnitude estimates.
nonpoint pollution is preventable by exercise of The Commission estimates that expenditures for
control over contributing elements or activities. For water pollution control in the period 1973 to 1983 to
example, earthmoving in connection with construc- meet existing approved water quality standards estab-
tion is subject to stringent erosion control restrictions lished under the 1965 Act 100 percent of the time
in some States, and the President has recommended would be about $206 billion in 1972 dollars, exclu-
Federal legislation to encourage extension of such sive of the costs of controlling pollution from such
controls to all States, with Federal enforcement if the nonpoint-sources as agricultural runoff and soil
States fail to aCt.3 0 The President's recommendations erosion, mine drainage, and watercraft wastes. This
31
were partially incorporated in the 1972 Act. figure would cover the costs for new or replacement
Similarly, pollution resulting from improper use of facilities and additional operating and maintenance
pesticides and fertilizers could be controlled by costs for municipalities and industries; however, there
banning, restricting, or requiring more careful are alternatives that can be considered for specific
appreciation of potential pollutants. However, such situations that may result in substantial reduction of
direct regulation involves a difficult balancing of costs.
economic and environmental values. The 1972 Act Meeting the standards by 1983 would require
32
wisely provides for studies of pesticide problems, expenditures of about $21 billion annually, which
prohibits discharge of toxic chemical, biological, and would be unprecedented in the Nation's pollution
radioactive wastes, 33 and provides for the establish- control history. This amount is about on the same
31
ment of toxic effluent standards. order of magnitude as total annual expenditures for
It is not so much that techniques are not known highways by Federal, State, and local governments.
for direct control to minimize effects of other Moreover, the Federal cost of $126 billion would be
nonpoint-sources, such as soil erosion from agricul- 50 percent greater than the amount of all Federal
tural land, as it is a matter of laissez faire land use expenditures on all water projects to date. 36 An
policy, A landowner may be taken to court for undertaking of this magnitude would be required if
permitting a field to grow up to noxious weeds or point discharges are to meet water quality standards
established under the 1965 Act 100 percent of the
"NIXON, Richard (1972). The President's 1972 Environ- time. The Commission is not convinced, however,
mental Program. Weekly Compilation of Presidential that the social and economic benefits of reaching 100
Documents 8(7):218-227. February 14, 1972. percent compliance will justify the added increment
1972 Act, Section 304(e), 86 Stat. 852, 33 USCA
1314(e). "The State of Iowa currently has such a program. See Iowa
"Ibid., Section 104(l)(2), 86 Stat. 822, 33 USCA Code 467A.42-53 (1971).
1254(l)(2). "The Commission's staff estimated total Federal expendi-
"Ibid., Section 301(f), 86 Stat. 846, 33 USCA 1311(f). tures on all water projects to date to be $87.7 billion in
"Ibid., Section 307(a), 86 Stat. 856, 33 USCA 1317(a). 1972 dollars. See Table 16-4.

TABLE 4-1. - Estimate of total costs of abatement of point-sources of pollution, 1973-83'

Expenditures Required
(billions of dollars at 1972
price levels)

To Meet Water Quality
Standards Established
Under the 1965 Act To Achieve "Best
Item 100% of the Time Known Technology"

Municipal
Collection sewers $ 40 $ 40
Wastewater treatment plants 15 40
Storm water systems 113 234
Added operation & maintenance
costs to 1983 16 38
TOTAL S184 $352

Industrial
Capital investment $ 10 S 49
Added operation & maintenance
costs to 1983 12 59
TOTAL $ 22 $108

TOTAL $206 $460

Summarized from Table 16-12, Chapter 16, and excluding costs of controlling waste heat and agricultural and other
nonpoint-sources of pollution.

of costs required. It should be noted that more than of the cost of moving from the present water quality
half of the costs would be for control of pollution standards approach to a no discharge policy is
from storm water in urban areas, the economic or provided by Figure 4-1 prepared by the U.S. Environ-
social value of which may vary greatly between mental Protection Agency, which shows how costs
different places. Before a 100 percent compliance increase with great rapidity as the level of treatment
program is undertaken, a careful analysis should be increases. More than half of the costs of total
made to determine the usefulness of a uniform pollution control would be expended to remove the
national storm water treatment program in compari- last I percent of pollutants.
son with its enormous costs and its adverse impacts In controlling water pollution, benefits are subject
on other resources. to severely diminishing returns. As indicated on the
As indicated in Table 4-1, the Commission graph, to clean up the last I percent of pollution
estimates that implementation of a pollution abate- involves a doubling of the very large costs of
ment policy calling for the use of the "best known" eliminating the first 99 percent. These enormous
technology for treatment of all municipal and costs of achieving the no discharge goal must be
industrial wastes by 1983 would require expenditures viewed in terms of the sacrifices society would be
totaling about $460 billion through 1983. Implemen- obliged to make in other social demands such as
tation of a true "no discharge" policy if, in fact, such housing, education, medical care, slum clearance, full
a policy could be implemented, would undoubtedly employment, and price stability. Moreover, large
cost several times as much. For this massive invest- amounts of scarce natural resources and energy would
ment, the Nation would realize only marginal gains in have to be expended to clean up the last increment of
the uses that could be made of its waters. Some idea pollution. Finally, the expenditure of such additional

Figure 4-1. -Total control costs as a function of efflu- estimate of the benefits and the costs of meeting
ent control levels water quality standards.
The Commission commends the Congress for re-
Index of quiring studies of the environmental impact, and the
Control Costs economic and social costs and benefits of achieving
37
the objectives of the 1972 Act, and for authorizing
100 100-1 a thorough study of all aspects of the 1983 goal of
reducing waste discharges to whatever level is
economically achievable with the best available tech-
nology.3 8 It is unfortunate that such studies were not
undertaken prior to enactment of the 1972 Act itself.
We fear that the Nation has already become com-
50 99 1 mitted to an enormously costly water quality goal
40 98 with negative environmental and social ramifications.
30 95 STRATEGIES FOR ELIMINATING POLLUTION
20 85 Unacceptable levels of pollution are encouraged
when society does not require dischargers of wastes
to include the costs of adequate waste disposal as a
0 25 50 75 100 part of their cost of doing business. Because use of
water as a waste receptor has been free, the polluter
Percent reduction of pollution has been allowed to shift these costs to other water
users who must accept them in the form of impair-
Source: U.S. ENVIRONMENTAL PROTECTION ment of the quality of the resource. The economic
AGENCY (1972). Ae Economics of Clean essence of pollution control is the creation of
Water, Vol. L U.S. Government Printing mechanisms to correct the misallocation of waste
Office, Washington, D. C. p. 151. disposal costs. The issue is how to do it.
Compelling payments by polluters to compensate
parties injured by pollution is one technique for
large amounts of resources to eliminate the last forcing the polluter to assume this cost of his
increment would probably have serious offsetting, economic activity, either by indemnifying, injured
adverse waste disposal impacts on the Nation's air and parties or by modifying his activities to reduce or
land. These adverse impacts on land and air may be eliminate the pollution. The traditional method for
far more damaging to the environment than the compelling such payments has been the law suit to
retention of the last I percent of water pollution, recover damages for private nuisance. This approach
particularly in areas where the self-purifying capacity continues to have great utility in particular cases;
of water is great or where other uses of water are not however, its after-the-fact character combined with
adversely affected. its cost make private litigation an insufficient frame-
On the other hand, polluted water itself causes work on which to construct a general control
substantial economic costs. There are losses in income program. The need for some form of broad-scale
from the closing or curtailment of commercial and governmental action is commonly conceded.
sport fisheries, costs to manufacturers of preproces- Government may employ two different, but not
sin-g excessively polluted waters for industrial purposes mutually exclusive, strategies to produce the
or of resorting to higher-cost processes because of necessary reassignment of pollution costs. One
polluted water, costs to municipalities and others of
purifying water supplies to meet drinking water '7 1972 Act, Section 305(b)(1)(D), 86 Stat. 854, 33 USCA
standards, and losses of potential recreation. There 1315(b)(1)(D).
are also costs to society at large from ecological "Ibid., Section 315, 86 Stat. 875, 33 USCA 1325, which
95
f5@@8@5

damage to lakes, rivers, estuaries, and other water establishes a National Study Commission and authorizes
bodies. Losses and costs associated with not abating $ 15 million for a thorough study of the economic, social,
and environmental effects of achieving or not achieving
pollution, while difficult to compute, are nevertheless the effluent limitations and goals set forth in the 1972
very real, and must be taken into account in. any Act.

approach is to use economic inducements to bring and third, they do not always achieve the desired
about desired changes in the disposal of wastes. results.
Regulation, the other approach, involves the applica- Subsidies to stop polluting involve tacit recognition
tion of legal force and economic sanctions to compel of a right to destroy the quality of water that does
compliance with established norms. Traditionally, not exist if pollution is defined as an interference
Federal, State, and local governments have relied with the use of water by others. Federal subsidies for
almost exclusively on a regulatory approach. Because pollution abatement unfairly deflect pollution con-
the problem is economic in origin, economic induce- trol costs from the consumers of the polluter's goods
ments also deserve attention as a means of encour- and services to the general taxpayer. This deflection is
aging corrective action. not only inequitable, it promotes uneconomic alloca-
Of course, both economic sanctions and economic tion of resources. Subsidizing pollution control
incentives will more effectively eliminate pollution expenditures gives benefited producers competitive
40
when they are elements of a total strategy of water advantage in pricing their products in the market,
quality management developed as a part of overall and encourages overproduction of their products and
land and water resource planning. underproduction of other nonpolluting products.
Subsidies are also uneconomic in the sense that they
Economic Correctives provide a disincentive to search for nonpolluting
Some economists believe that correctly applied least-cost alternatives. Finally, subsidies to industry
economic inducements are the best way to achieve do not induce changes in waste disposal practices
prompt and lasting results in cleaning up pollution. 39 unless the payment is large enough to make the
Under this philosophy, polluters could either be performance desired less costly than other alterria-
provided with incentive payments or subsidies to lives. Subsidies might, however, be justified in some
control their wastes or they can be charged for their instances to soften the impact of regulation and thus
pollution. Properly tailored, payments and charges serve the limited purpose of accelerating changes
are equally capable of correcting a pollution problem. which already have been mandated.
The most important difference between the two is Construction Grants: The early Federal grant pro-
that payments spread the cost of pollution control gram to assist municipalities in the construction of
measures among a broader group (the taxpaying waste treatment facilities has been an example of a
public) while charges force the polluter to assume the subsidy program which consistently failed to achieve
costs, and pass them on to the consumers of his goods the anticipated water quality improvement objectives.
or services. The program was not funded sufficiently to be
Subsidies: Historically, the payment approach to effective, limitations spelled out in the statutes
water pollution control has been used in a variety of produced serious inequities, and by frequent increases
forms, all of which involve partial subsidies. Examples in grant percentages the program rewarded procrasti-
of partial payments (subsidies) for pollution control nators. The 1972 Act attempted to remedy the
include tax incentives such as investment credits and funding deficiency by establishing higher grant levels
accelerated depreciation, research and development financed with contract authority which would not be
grants to industries, Small Business Administration subject to the vagaries of annual appropriations acts.
loans to firms for pollution control equipment, and As pointed out earlier, however, less than half of the
grants for municipal waste treatment plant construc- 1973 and 1974 authorization has been made available
tion. The Commission believes subsidies may be for allotment. The 1972 Act also attempted to
necessary for a short time to achieve prompt correc- remove prior inequities by authorizing reimbursement
tion of a major backlog of need and to avoid serious of a portion of the costs of facilities that had not
hardships while doing so. Over the long term, received the full amount of Federal aid authorized
however, the use of subsidies to achieve pollution
abatement has three serious drawbacks. First, they Such a subsidy, on a State or local basis, may be justified
are premised on an unsound and unfair policy; as a means of regional self-help, to prevent an industry
from moving elsewhere, with resultant economic losses to
second, they do not promote economic efficiency; the region involved which would create a greater burden
"For discussion of this point, see KRIER, JE (197 1). The than the cost of the subsidy. The local tax credits
Pollution Problem and Legal Institutions: A Conceptual provided by Washington State law is an example of such a
Overview, UCLA Law Rev. 18:429. program that has been successful.

under the earlier programs but reimbursement author- reason why the actual cost of protecting the environ-
izations have not yet been fully implemented by ment against the harmful effects of human sewage
appropriation or allocation. should not be borne proportionally by all contribu-
The grant program is a necessary and main step to tors of wastes. Properly calculated, sewer charges to
achieve a timely national water cleanup, but still urban households for ordinary treatment processes
suffers from the inequity of deflecting up to 75 should be a relatively small proportion of the average
percent of the capital cost of sewage interceptor and family's budget .4 '2 Those who are unable to pay
treatment facilities from local users to national should be assisted by adequate income maintenance
taxpayers. Any construction grant program is con- programs rather than by burdening the pollution
trary to the principle that the cost of pollution abatement program with income redistribution objec-
control should be borne by the persons directly tives.
benefited by the goods or services produced by the Congress has not sought to justify construction
activity causing pollution. Under the "polluter pay" grants on income redistribution grounds. The basis
principle espoused by the Commission, users of for such grants has been the pragmatic goal of getting
municipal sewers and waste treatment services should the job done. Federal grants have been aimed at
ultimately pay the full cost of controlling the accelerating needed local action, but the program
pollution they create. The Federal grant program is hasn't worked the way it was intended to.
necessary in order to achieve clean water on a
national scale within a relatively short time, but the Deficiencies in Prior Construction Grant Programs -
Commission believes that this program should be A review of the 15-year history of the prior construc-
terminated at the earliest date consistent with the tion grant programs indicates that some cities have
achievement of the national goal. delayed construction while waiting for Federal funds
One rationalization of a continuing construction to become available or for grant percentages to
grant program financed by the Federal income tax increase. Progress on some facilities has been carried
holds that it would be a socially regressive allocation on at inefficient rates of construction because Federal
of costs to rely solely on user charges to support the funds have not been made available as promised. One
financing of waste disposal facilitie S.4 1 This, it is General Accounting Office report observes that the
argued, would saddle lower income groups with a majority of States are constructing waste treatment
disproportionate share of the cost of cleaning up facilities "at a rate consistent with the availability of
waters to make them available for recreational use by Federal funds. ,43 An illustration which could be
the more affluent. Funding obtained from the Fed- cited is the experience of the Ohio River Valley Water
eral income tax is generally a less regressive source of Sanitation Commission (ORSANCO) which came into
payment than utility user charges. The Commission being on June 30, 1948, the date the first Federal
believes this fact has particular significance only when Water Pollution Control Act was approved. At that
the heavy cost of catching up with generations of time, I percent of the sewage in the Ohio River Basin
neglect is sought to be paid in a short time. Over the was treated. ORSANCO operated on the thesis that
longer term, however, income redistribution and cities would take action if there were specific
pollution abatement goals should be considered ob- standards which could be publicly demonstrated as
jectively and independently. There is no adequate necessary to achieve ends. The standards permitted

4'NADER TASK FORCE (197 1). Water Wasteland, Nader lead to substantial percentage increases in sewerage
Task Force Report on Water Pollution, David R. Zwick & charges but, as indicated in the Panel report, they would
Marcy Benstock [editors] . Center for the Study of still be far less than charges for other services. Only in the
Responsive Law, Washington, D.C. p. XVI-22. event that unnecessarily stringent requirements for
"on the average, sewer charges are currently by far the municipal waste treatment were imposed would the
lowest of all public service or utility fees, much less than resulting costs place a serious burden upon the average
the cost of water, electricity, or telephone service. See household.
PANEL ON WATER POLLUTION CONTROL (1971).
Water Pollution Control in the UniteO States, prepared 43 COMPTROLLER GENERAL OF THE UNITED STATES
for the National Water Commission. National Technical (1969). Examination Into the Effectiveness of the Con-
Information Service, Springfield, Va., Accession No. PB struction Grant Program for Abating, Controlling, and
212 139. p. 74. The Commission recognizes that in some Preventing Water Pollution, B-166506. U.S. General
instances the adoption of its recommendations would Accounting Office, Washington, D.C. p. 15.

alternatives -technical, adiriinistrative, and financial- A Grant Program Terminating in 1983 - The
to be adopted, and led to an understanding and demand for a cleanup of polluted waters on a
acceptance of responsibility by local interests. By the national scale and at an early date can only be met by
time Federal grants became available in 1956, some a Federal construction grant program which is ade-
55 percent of the sewage was treated. Since then, quately and reliably funded. The Federal grant
however, progress has slowed as cities waited their program has also created too many inequities and
turn for Federal grants. expectations to be terminated summarily at this time.
A further example of the inadequacies of the prior Therefore, the Commission believes that the program
construction grant program is evidenced by the should be continued until the Nation has eliminated
response of the City of New York to a Federal law- the present backlog of needed facilities and has
suit charging the City with violating water quality fulfilled the reasonable expectations of communities
standards. In the public hearing the City pointed out currently relying on Federal funding, including reim-
that the Federal Government had provided only 3 to bursements. The 1972 Act wisely attempted to
4 percent of the funds for the City's treatment plant restore equity to the Federal grant program by
construction program, instead of the 55 percent providing partial reimbursement for communities
promised in the law .44 which acted early and at their own cost to clean up
A number of other deficiencies in the grant their waters. The Commission believes that Federal
program can be cited. Like most such restricted- grant policy should encourage local governments to
purpose programs, the Federal grant program has not act promptly and should not reward procrastination.
stimulated the search for least-cost solutions, because This policy can be implemented by appropriating
it encourages municipalities to favor projects that will money to finance the reimbursements, by setting a
qualify for Federal funding rather than the most realizable goal for completion of the program, and by
economic solutions. The 1972 Act further accentu- making a determination to cut off further grant
ates this problem by limiting the discretion of the eligibility thereafter.
Administrator of the Environmental Protection The grant cutoff date must be related to the level
Agency to prescribe no less than secondary treatment of funding which the Congress and the President
for all municipal waste treatment. determine can be appropriated and spent to achieve
Prior to the passage of the 1972 Act, some the clean waters goal. The Commission urges that this
municipalities assisted by the construction grant goal be accomplished within 10 years if this can be
program offered urban industries waste treatment done without impairing programs which the Congress
services at unrealistically low costs. finds more important to the national welfare. Any
Congress has attempted to eliminate this deficiency cutoff date will create some inequities but the
by requiring, as a precedent for any grant, that Commission believes these will be outweighed by the
provision be made for industrial users of the treat- benefits from putting the Nation's municipal waste
ment works to pay their proportionate share of disposal systems on a sound tong-term econon-dc and
operation and maintenance costs of the works plus fiscal footing. The establishment of the grant cutoff
the construction costs of the portion of the plant date will provide an incentive for cities to expedite
allocable to the treatment of their wastes to the construction of treatment plants, so as to qualify for
extent attributable to the Federal share of the cost of the grants, and will therefore result in a much more
construction .45 effective program. After the cutoff date, responsi-
In summary, the construction grant program has had bility for construction, maintenance, operation,
a mixed effect as an incentive to local action and in repair, replacement, and improvement of municipal
some cases has been implemented with uneconomic sewage disposal systems should be borne by local
results. The Federal Water Pollution Control Act government and paid for by user charges.
should be amended further and administered in such a During the period the program continues, its
way as to remedy these deficiencies. effectiveness can be greatly enhanced if the historic
unevenness of funding can be eliminated, so that
14NEW YORK TIMES (August 30,1972). City Blames U.S. States and municipalities can plan construction proj-
for Dirty Water, Says Promises of Funds for Cleanup are ects on a rational basis. Underfunding of grants
Unfulfilled. p. 40. impedes progress toward achieving the goals of the
1972 Act, Section 204(b)(1), 86 Stat. 836, 33 USCA water quality standards program and cuts out much
1294(b)(1). of the ground beneath enforcement proceedings

against both industries and municipalities. The con- Several European nations have attempted to use or
tract authority provisions of the 1972 Act could are considering using effluent charges along with
provide a basis for at least partially solving this other types of service charges to provide funds for
problem, if adequate amounts are authorized and managing water quality. 4 ' A system of effluent
made available. charges was authorized in 1969 in the State of
Federal policy on grants should specifically require Vermont to provide pollution-reduction incentives to
that municipalities shall have established cost-based dischargers who cannot comply with the terms of
pricing of all future municipal waste collection and their discharge perniits to change their processes, but
treatment services through local assessments and user the State has not yet been able to work out the
49
charges by the time the cutoff date is reached. Full details and put it into effect.
development of regional waste management systerns To be effective, effluent charges would have to be
should be encouraged where they can lead to better set at levels required to bring about a reduction in
resource management, environmental protection, and discharge of pollutants sufficient to pern-dt estab-
economies of scale. Grant funds should not be lished water quality standards to be met. Such
disbursed to construct facilities which lack cost variable effluent charges present administrative prob-
effectiveness from the standpoint of regional lems and could in some cases permit costs to be
problem-solving. inequitably imposed upon a downstream user of
The points enumerated above are addressed with polluted waters. These problems may be avoided and
varying effectiveness by the construction grant pro- the same results achieved by a system of regulations
visions of the 1972 Act. No cutoff date was estab- adequately enforced by injunctive relief and civil and
lished, but the Act provides a foundation for eventual criminal penalties. The Commission would be op-
termination of construction grants by requiring that posed to establishing effluent charges under circum-
each applicant for Federal grant funds adopt a charge stances where they might permit the destruction of
system for all of its waste treatment service that will the public usefulness of a body of water in exchange
pay for replacement of facilities as well as for their for the payment of a fee.
operation and maintenance. 46 Assertions that effluent charges will result in better
Effluent Charges: An effluent charge is a direct control of pollution are as yet unproved. Where
charge for pollution which is permitted to be dis- roughly the same or better results, in terms of water
charged into a natural watercourse. Effluent charges quality improvement, can be achieved through regula-
are designed to remedy the misallocation of resources tion as through effluent charges, it is appropriate to
which occurs when certain users are allowed to continue our efforts to refine regulatory techniques.
impose on others a part of the costs associated with User and Service Charges: A user charge is a charge
their use." Such external diseconomies are undesir- for the discharge of pollutants into a waste disposal
able in an economy which is otherwise controlled by system. User charges have long provided the basis for
the marketplace, because they distort the prices of revenue bond financing for many types of public
goods and services in which water use is a cost factor. facilities in most local communities. Municipal waste
Effluent charges are designed to remedy this defect treatment, with its captive customers, is an ideal
by imposing a cost on polluters based on the harm enterprise to put on a self-sustaining basis. Both
caused by their wastes. If the charges are set amortized capital costs and operating costs are easily
correctly, they provide an incentive to waste pro- apportioned among consumers of the system's serv-
ducers to reduce their discharge of wastes or else ices through user charges, including assessments
indemnify society so substantially as to have it elect against new users to pay for their share of the cost of
to suffer the pollution and enjoy the compensation. the facility which serves them. Such a public utility
If society is dissatisfied with the compensation and approach to municipal waste treatment is preferable
the pollution continues, the charges should be set under both economic and equity criteria and it is now
higher.

4 11 [bid.
4 6jbid. 49U.S. ENVIRONMENTAL PROTECTION AGENCY
47See generally KNEESE, Allen V & BOWER, Blair T Water Pollution Control Research Series (1972). Develop-
(1968). Managing Water Quality: Economics, Technol- ment of a State Effluent Charge System, Vermont
ogy, Institutions. Published for Resources for the Future, Department of Water Resources, Project No- 16110 GNT
- Inc., by The Johns Hopkins Press, Baltimore, Md. 02/72.

M
0
A A

VNIa"";a@";

lot

LO-R.
'W'p,
7

.It

:iw

Effluent eharges would have to be set high enough to prevent environmental degradation

in practice in many cities where a user service charge volume and strength of wastes has proved to be an
reflects the cost of the services provided. This is the effective incentive to reducing industrial waste-
principle in the Ruhr Basin in Germany where a user loads.5' The Commission believes this practice
charge for service provided is imposed to raise money should be encouraged, with charges for effluents at
for construction, operation, and maintenance of such levels as to encourage dischargers to install
facilities, and in cities in the United States such as pretreatment facilities or to change processes so as to
Philadelphia, Los Angeles, Detroit, and Baltimore. reduce wastes which might overtax the capacity or
Some cities, such as Racine, Wisconsin, and East are incompatible with the processes of the treatment
Chicago, Indiana, have legislative policy which en- plant. The Commission recognizes, however, that
courages industrial connections and uses a four-point there are severe difficulties and high costs involved in
control to determine if industrial wastes are accepted administering any system of charges based on quality
for treatment: (1) it must be cheaper for the city to of effluents. Such a system requires a level of detailed
treat the wastewater than industry; (2) the waste- information about waste discharges and their effects
water must be compatible with the municipal waste on other water uses that is still not completely
in the treatment plant either with or without prior available in many areas, and a very complex ac-
treatment; (3) monitoring controls and effective counting system, to properly assess the charges.
measures to prevent concentrated discharges (slugs)
that might temporarily overload or bypass the treat-
ment plant must be provided; and (4) industry must 'OU.S. COUNCIL ON ENVIRONMENTAL QUALITY
pay the added cost of the treatment. (1971). Environmental Quality, The Second Annual
Such variable pricing of municipal collection and Report of the Council on Environmental Quality. U.S.
treatment services to industrial dischargers based on Government Printing Office, Washington, D.C. p. 137.

Regulation regulatory responses appropriate for dealing with
For the reasons stated above a practical and extra-State problems are voluntary arrangements
effective pollution abatement program must be based among the several States and creation of a Federal
on a legal regulatory system which effectively pro- authority. Both were proposed in the mid-1930's, but
hibits dischargers from disposing of wastes which the use of interstate compacts developed ahead of
have received inadequate treatment. One writer has Federal regulation. After an initial flowering, the
described legal regulation as "mutual coercion, interstate arrangement has failed to realize the hope
mutually agreed upon."' ' For such a regulatory of its advocates and has gradually faded in relative
system to work, it must impose understandable and importance in the face of escalating Federal activity.
enforceable limitations on all dischargers and must The Federal role, as created in the first legislation
find and penalize failure to comply with such in 1948, was primarily a supportive one. Federal
limitations fairly but relentlessly. The power to funds and technical assistance were applied to
regulate point-sources of water pollution is possessed strengthen local, State, and interstate water quality
by a multitude of local governments, by specialized programs. The States responded unevenly to the
agencies in all 50 States, by a handfull of interstate stirmili of Federal assistance and the threat of Federal
agencies, and by the Federal Government. Although intervention. Some States developed strong aggressive
for some years public regulation has been the programs while others languished. When this style of
prevalent means of attempting to cause dischargers to Federal involvement did not produce desired results,
improve their performance in waste treatment, the the Federal Government embarked on a series of
basic ingredients for an effective system of legal steps expanding Federal activity.
regulation have only recently been created in most The first was the Federal involvement in financing
States and at the Federal level. For years Federal and municipal treatment plants under the 1956 amend-
interstate pollution control programs were not well ments to the Federal Water Pollution Control Act. This
designed to utilize coercive regulatory techniques. At program also proved to be inadequate and Congress
the State and local level, the potential for strong adopted the Water Quality Act of 1965, which
enforcement has long existed, but in most areas only stepped up Federal financing and for the first time
in the past few years has it been utilized effectively. laid the framework for a coordinated national pro-
The history of pollution control in the United gram of water quality regulation. Under the 1965
States reveals that public regulation has passed Act, the States were encouraged to create receiving
through a series of evolutionary stages. Public regula- water standards for all waters. The standards are
tion started out as a strictly local enterprise in which intended to be sufficiently high to protect existing
agencies concerned with water supply, health, sanita- and future uses. Through regulations adopted in
tion, and other related activities carried out modest implementing the 1965 Act and conditions imposed
programs within their own limited domains. In the in the disbursement of Federal funds, Federal adniin-
early 1900's, as water pollution worsened and need istrators sought to create a corollary national policy of
for some centralized regulation became apparent, best practicable treatment of all wastes discharged to
various State departments whose work involved water water. Both legislative and administrative actions
qualityImatters were given regulatory powers. When placed severe strains on State-Federal relations in
separate, uncoordinated regulation by several State water quality control."
agencies proved unequal to the task of handling the Federal pressure coupled with an awakening of
growing size and complexity of the pollution problem, grassroots concern for environmental values unques-
the seeds were sown for development of the modern tionably has acted to spur most State programs to
centralized State pollution control agency. greatly improved regulatory performance. Neverthe-
About this same time, State pollution control less, impatience with results being achieved has led to
officials began to recognize that some problems on far-reaching Federal legislation which changes dra-
interstate and border waters were beyond their matically the pollution control role of the Federal
control because they originated in other States. Two Government.

See U.S. CONGRESS, House, Committee on Public
Works (1971). Water Pollution Control Legislation-1971
(oversight of Existing Program), Seriat 92-10, 92nd
51HARDIN G (1968). The Tragedy of the Commons. Congress, 1st Session. U.S. Government Printing Office,
Science 162(3859):1243-1248, December 13, 1968. Washington, D.C, pp. 266,400, 423, 43S.

Improved Planning wastewater treatment and municipal and industrial
Control of water pollution will increasingly be water supply. As another example, planning which
accomplished through continuous management of fails to consider total environmental impacts in
water quality within basins and other regional or choosing waste disposal methods incurs the risk of
metropolitan frameworks. Creation of such manage- diverting a waste from one medium where it causes
ment systems heightens the need for comprehensive slight environmental harm to another medium where
water quality planning. Without concerted planning its impact is severe. In an absolute sense, a "no dis-
effort, attainment of water quality goals will be charge" goal for waterborne pollutants could repre-
delayed and costly. sent an institutionalization of this failure.
One past deficiency with some water quality For example, an arbitrary decision to eliminate
planning has been its narrow focus. This deficiency discharge of waste material into watercourses will
has manifested itself in several forms. First, the search require tertiary or advanced waste treatment proc-
for alternatives has sometimes been foreclosed by the esses that will require more use of construction
arbitrary imposition of a single strategy or method of materials, more power and chemicals for operation,
control. For example, a requirement that all point- and more sludge that will have to be put somewhere.
sources of discharge within a basin employ secondary If it is burned, it may pollute the atmosphere. If it is
treatment processes precludes consideration of other placed on land, it may pollute ground water basins.
alternatives for achieving the desired water quality at The same problem arises if discharge of waste heat
lower costs. A "no discharge" goal would likewise into watercourses is prohibited. Total recycling of
cooling water through cooling towers or ponds will
inhibit achievement of the least costly method of cause an evaporative loss twice that from cooling in
achieving water quality standards. To be fully effec- the receiving water body. The increase in evaporative
tive, planning must include adequate and continuous loss will cause a reduction in the flow of water
monitoring of water quality and full consideration of downstream; thus, where maintenance of low flow is
all alternatives for achieving specific goals, including critical, the no discharge policy creates problems.
such approaches as regulatory changes, pricing tech- Also, more power will be required for operation of
niques, regional systems, controlled use of the capac- the cooling towers, with greater depletion of fuel
ity of flowing water to purify itself, low flow reserves, more solid wastes to be disposed of, and
augmentation, land use controls, as well as different larger requirements for chemicals. 54 Thus, uniform
methods and levels of waste treatment. The advantage policies to eliminate discharges into water without
of preserving the widest range of planning options is first determining their effect and the consequences of
demonstrated in the Delaware estuary, where em- alternatives to reduce or eliminate the impact may
ployment of a mix of alternative approaches led to very well, in fact, cause a much greater deterioration
the adoption of a plan to achieve the requisite quality of the total environment.
level at two-thirds the estimated cost of uniform One other deficiency in a few existing water
secondary treatment. quality plans has been a lack of coordination between
A second deficiency stems from the planning of planning activities and the information needs of
water quality programs in isolation from related pollution control programs. Long-range plans fre-
planning activities. Water quality planning should be a quently do not provide adequate guidance in day-to-
composite of water supply planning, other water day regulatory activities or help with decisions as to
resource planning, sewage disposal and storm water the siting of plants. Large-scale and long-term plan-
drainage planning, land use planning, and planning ning efforts need to be continued and improved, but
efforts of other environmental agencies handling air for the next few years extra emphasis should be
quality and solid waste problems. 53 Coordination of placed on the development of immediate -impact
water quality planning with other types of planning is plans for local basins or metropolitan areas.
difficult, but failing to recognize and consider the Water quality planning has a long history of
interrelationships will retard the effectiveness of all undersupport but the importance of better planning
affected programs. For example, the future likelihood is beginning to be recognized in State and Federal
of an extensive need to reuse treated wastewater budgets. A major investment is needed to assure that
makes important the integration of planning for

See Chapter 10 for discussion of this point. 'See Chapter 5, Section G.

adequate planning underlies the proposed accelera- price levels) were financed by Federal funds. 57 In
tion in pollution control measures. To use planning recent years, with increased public demand for clean
moneys most effectively requires careful identifica- water, the Federal Government has assumed a larger
tion of rational planning units; renewed commitment portion of the financing burden.
to interagency coordination; development of a better One solution to the problem of allocating the costs
system for the collection, storage, and retrieval of of waste treatment is to treat it as a collective one
water quality data; the refinement of arrangements to and to rely extensively on the Federal income tax
receive public inputs; creation of procedures for system to provide the necessary funds. To the extent
periodic program assessment; and a number of other that the national interest is served and our common
matters discussed in more detail in Chapter 10. physical and mental well-being are at stake, this
The 1972 Act attempts to cover all of these approach has some merit. Indeed, only Federal
matters and more. It authorizes-$300 million for funding is capable of raising the large amounts needed
grants to support the development of areawide waste to implement a nationwide clean up on a timely basis.
treatment management plans in urban and other National action also minimizes obstacles to invest-
regions with substantial water quality problems5 5 ments in water quality projects which have been
and $200 million for basin planning under the Water raised because of local fiscal constraints and political
Resources Planning Act .16 The areawide waste treat- resistance. However, removing the investment burden
ment management concept called for in the 1972 Act from the local level has the disadvantage of blurring
represents a laudable effort to overcome cost- important cost-benefit decisions that are most
effectiveness deficiencies encountered in the prior squarely faced when both the benefits and costs
Federal construction grant program. Under the new accrue to an identifiable community or region, and
arrangement, Federal waste treatment grants can go decisionmakers know they are spending their own
only to a designated waste treatment management money and not someone else's. Also, the historical
agency which must have the capability to implement variability in Federal appropriations for the small
the approved plan for the area within its jurisdiction. portion of pollution control programs which have
Unfortunately, the 1972 Act succumbed to the been borne by the Federal Government to date has
temptation to prescribe the nature and form of local impaired orderly development of the program. Ap-
organization. Federal prescription of local agency propriations lagged behind authorizations in two-
form is unsound in concept and may serve to inhibit thirds of the years since the Federal construction
or warp desired areawide action. The form of grant program was initiated in Fiscal Year 1957, and
i@trastate planning and operating agencies should be less than three-fourths of the $4.3 billion authorized
determined by the States. Handling of interstate basin through 1971 was appropriated. Futhermore, less
planning through the Water Resources Council as than half of the contract authority authorized by the
provided in the 1972 Act should assure integration Congress in the 197 2 Acts a has been allocated by the
with other water resources planning as recommended Administrator. The legality of withholding these
by the Commission. funds is being tested in the courts and the U.S.
District Court in Washington, D.C. on May 8, 1973
WHO SHOULD PAY? ruled that impoundment is illegal.
An even more serious difficulty with the early
The total costs of eliniinating water pollution are Federal construction grant programs lies in the
staggering. However, realization of the magnitude of inequity of forcing taxpayers in communities which
overall costs should not obscure a fundamental issue had acted on their own to remedy local pollution
that must be resolved. What is to be the formula for problems to help pay the costs for other communities
assessing costs among the citizenry? Until recently, which have been dilatory. This inequity will be
Federal financing played a minor role in pollution remedied if the reimbursements authorized by the
control. Of total capital expenditures for public waste 1972 Acts 9 are implemented.
treatment facilities and sewers from the time records "PANEL ON WATER POLLUTION CONTROL (1971).
began to be kept through June 30, 1971 only $4.9 Water Pollution Control in the United States, prepared
billion out of a total of $84 billion (adjusted to 1972 for the National Water Commission. National Technical
Information Service, Springfield, Va., Accession No. PB
212 139. p. 17.
1972 Act, Section 208, 86 Stat. 839, 33 USCA 1288. "Section 207, 86 Stat. 839, 33 USCA 1287.
16Ibid., Section 209, 86 Stat. 843, 33 USCA 1289. "'Section 206, 86 Stat. 838, 33 USCA 1286.

"T -1;

4
t-111, 404 -P q p 4
f V

"Fish-eye camera view of secondary clarifier at Des Moines, Iowa, sewage treatment plant

The most equitable and economically efficient treatment plant construction or cases where other
association of cost with benefits over the long term social policies countervail against it, the Commission
will be produced by assigning the costs of preventing urges consistent application of this principle in
water pollution to those whose wastes cause pollu- distributing the costs of water quality management.
tion. Under such a "polluter pay" principle, in-
dustries and municipalities would be expected to WHO SHOULD REGULATE?
assume the economic burden of controlling their
wastes. Under our econon-dc system, costs thus Regulation involves several different types of
incurred will be passed along to consumers in the governmental activity. The three clearest phases of
form of higher prices for goods and services. regulation are policy formulation, translation of
Thus, the ultimate user of the products and policies into programs, and program administration.
services will pay the costs of preventing the pollution All. three need not be concentrated in one level of
which his consumption would otherwise cause. In government, and they often are not so concentrated.
nearly all cases the "polluter pay" principle yields Analysis of the current national effort in regulating
both the fairest and the least-cost results. Except in pollution shows that the formulation of broad policy
situations like the present backlog in municipal waste on national water quality has been largely taken over

by the Federal Government. Under the 1972 Act, cumulative and are felt over long distances. Marked
responsibility for general design of programs is also differences in local water conditions and pollution
assumed by the Federal Government, but responsi- sources render unproductive any regulatory scheme
bility for implementation, planning, and program which pursues nationwide uniformity as a major
administration is assigned to the States. All responsi- program goal.
bilities may be assumed by Federal authorities if the The regulatory approach needed is one with
States do not perform them satisfactorily. Thus, on sufficient flexibility to allow adjustment of policies
the surface it appears Congress did not intend the and programs to fit a wide variety of local situations.
new water quality program to be a Federal under- The effectiveness of such regulation is enhanced if the
taking, but rather intended a joint venture in which decisionmaker is familiar with the problems and the
implementation of a national water quality policy is social and economic milieu in which they arise, and
carried out by State and local agencies within has freedom to select from various technical ap-
federally established guidelines. However, at the proaches that one which is most suitable for local
moment, State and local decisionmaking is substan- conditions. Under such conditions, sound political
tially constrained by the threat of duplicative Federal theory supports the notion that the level of govern-
regulatory activity and the need to meet arduous ment closest to the problem should deal with it, if
conditions attached to Federal grant programs. The competent to do so.
Commission believes the concept of shared responsi- State and local governments possess the com-
bitity is fundamentally sound, and that with modifi- petence to handle most water quality problems. While
cation to redirect program objectives and to reduce this competence has been underutilized in the past,
the opportunities for unilateral Federal action and largely because adverse effects of pollution are often
thereby restore State and local initiative, it represents felt downstream or out of State, public opinion and
the best arrangement for achieving the widest range Federal pressures are leading to significant changes.
of social objectives. Recent studies of State and local pollution control
Prior to the 1972 Act, the Federal Government programs document a new resolve to regulate force-
had been assigned a role subsidiary to that of the fully and comprehensively .6 0 These studies belie
States in the national program for water quality assertions that State and local governments are unable
improvement. The Federal Government was expected to deal effectively with water quality problems. It
to provide leadership and support necessary to assure appears that a satisfactory division of governmental
competent State and local performance of their responsibility for pollution control was developing
primary functions. In carrying out its responsibilities prior to the 1972 Act. It would be unwise to
for research, financial assistance, and enforcement, implement the 1972 Act in such a way as to
the Federal agency was forced to search continuously jeopardize the State-Federal partnership before it can
for an optimal balance between offers of assistance, be fairly tested.
demands for performance, and assertions of Federal
authority. Under such circumstances, it was unrealis- IMPROVING THE EFFECTIVENESS OF
tic to expect a high degree of intergovernmental POLLUTION ABATEMENT PROGRAMS
harmony; the best to be hoped for was creative
tension. As noted earlier, the Commission believes Federal Activities
this cooperative approach is sound and recommends
its restoration. The arrangement is not without Research: Federal preeminence in the organization,
defects, but the major problems centered not in the conduct, and funding of research and development of
concept but in its implementation by all levels of pollution control technology is considered desirable
government. by many observers because of the commonality of
There are valid reasons to support the cooperative
approach to solution of the Nation's water quality 6 0 HINES, N WILLIAM (197 1). Public Regulation of Water
problems. Although the problem of pollution is Quality in the United States, prepared for the National
nationwide, conditions of pollution are local phe- Water Commission. National Technical Information Serv-
nomena with local causes. The most noticeable ice, Springfield, Va., Accession No. PB 208 309; and
effects of pollution are also primarily local although COMPTROLLER GENERAL OF THE UNITED STATES
(1972). Water Pollution Abatement Program; Assessment
some of the most critical effects, such as those from of Federal and State Enforcement Efforts, B-166506.
heavy metals and certain types of pesticides, are U.S. General Accounting Office, Washington, D.C.

the problems. The performance of the present re- The 1972 Act is by far the most complex and
search program, however, has drawn some criticism, comprehensive Federal entry into the field of en-
and it is difficult to conclude that the money has vironmental regulation. The water quality policy
been well spent. Although the Federal agency has its announced in this Act represents a radical departure
own network of laboratories, about two-thirds of the from prior theory. In contrast to the traditional
$60 million annual water pollution control research regulatory purpose of preventing waste dischargers
budget is spent on out-of-house research under grants from interfering with other beneficial water uses, the
and contract. Emphasis has been on the application newly established purpose of the control effort is to
of known technology to new purposes. Consequently, eliminate all man-caused alteration of the chemical,
few technological innovations have been produced by physical, biological, and radiological integrity of
the Federal research effort. In the past, the concen- water.
tration on applied research was probably justified by The mainspring of the statute is a system for
the need to encourage fuller utilization of proven controlling point-sources of pollution through the
processes; however, accelerating demands for higher establishment and enforcement of increasingly more
levels of waste removal create a need for shifting stringent direct lin-dtations on the quality of ef-
more research emphasis to the search for new fluents. Effluent limitations are based primarily on
technology. the technological and economic feasibility of waste
reduction rather than local water quality needs. The
Financial Assistance: Federal financial assistance is water quality standards established in response to the
provided in the form of annual program grants to 1965 Water Quality Act are retained as a floor under
State agencies, short-term grants to planning groups, the new effluent limitations and are expanded to
and construction grants to local communities to help include all navigable waters.
build public waste treatment plants. Program and Depending on the character of the discharge,
planning grants are authorized to be significantly effluent limitations are required to be based on a
increased in the 1972 Act to keep pace with rising number of factors, including existing and subse-
costs and increased workloads. As discussed earlier, quently established water quality standards and
the prior construction grant program was not success- federally established toxicity limits and pretreatment
ful, and the appropriations fell far short of the standards. In addition, if adequate technology is
authorizations. The 1972 Act authorizes much higher available and a favorable relationship exists between
grant levels, a larger Federal share, and allocation of economic and social costs and benefits, effluent
grants on the basis of need, but it is not adequate to limitations must be set to attain or maintain an
achieve the goals set forth in the Act. The National overall water quality standard which provides for the
Water Commission proposes achievable goals, ade- protection of public water supplies, agricultural and
,quate and equitable funding to accomplish such goals, industrial uses, and the protection of a balanced
and an eventual transition from a Federal-State population of shellfish, fish, and wildlife, and allows
subsidy program to one which allocates the costs of recreational activities in and on the water. Achieve-
pollution control to Polluters through utility-type ment of this water quality goal is targeted for 1983.
charges which will facilitate econon-dc efficiency. New sources of pollution must immediately comply
with federally established performance standards
Regulation: Before the 1972 Act, the Federal regula- which reflect the greatest degree of effluent reduction
tory effort was concentrated primarily in three areas: achievable by use of the best available demonstrated
(a) general abatement proceedings, (b) establishment control technology, processes, , and operating
and enforcement of water quality standards, and methods, including a no discharge standard where
(c) implementation of the Refuse Act permit pro- practicable. 61
gram. The Federal agency also has special responsi- Under the Act, effluent limitations are tightened in
bilities in the control of spills of oil and other a predetermined sequence. By 1977, all dischargers,
hazardous substances and in the prevention of water except publicly owned treatment facilities, are ex-
pollution from Federal installations. Except for the pected, at a minimum, to employ the best practicable
Refuse Act suits, the Federal regulatory process was
handicapped by complicated procedures with lengthy
built-in delays. The 1972 Act dramatically expanded 1972 Act, Section 306(a)(1), 86 Stat. 854, 33 USCA
and streamlined Federal regulatory activity. 1316(a) (1).

control technology currently available. If more strin- basis if the Administrator believes it is necessary to
gent limitations are required to meet local water achieve requirements of the 1972 Act or regulations
quality standards, they must be met. Publicly owned issued thereunder. 62
treatment works must use at least secondary treat- Prompt and tough enforcement procedures are set
ment by 1977. The final upgrading benchmark out to assure compliance with the new permit
mandated by the Act is 1983, by wl-iich time all program and with other requirements under the Act.
dischargers, except publicly owned treatment works, The enforcement process under the new permit
are required to apply the best available technology system eliminates a longstanding deficiency in en-
economically achievable. By the same date, publicly forcement of pollution abatement laws by shifting to
owned treatment works must be employing the best the polluter the burden of proving that his discharges
practicable water treatment technology. The new Act are in conformance with the law. Upon finding a
does not, however, say how its stated goal of violation of the Act, Federal authorities are author-
elimination of all discharges of pollutants by 1985 is ized to pursue alternative enforcement tactics. Civil
to be achieved, and this is one of the great weaknesses relief may be sought immediately in the courts, or an
of the Act. order may be issued directing the polluter to comply
A national pollutant discharge elimination system with the Act, or a notice of violation may be served
is created as the vehicle for implementing the new on the polluter. In the latter two cases, the affected
effluent-limitations approach. The Act makes unlaw- State agency is also notified. Uncorrected violations
ful the discharge into water of any pollutant without may result in the imposition of civil penalties of up to
a discharge permit and then sets out detailed pro- $10,000 per day and criminal fines of up to $50,000
cedures for the operation of the permit program. per day and jail terms of up to 2 years for repeated
Permits will set forth specific upper limits for each offenses.
potentially polluting constituent of a discharger's ImpFovernents Needed: The Commission believes that
waste stream. Where desired waste reduction cannot the 1972 Act represents a praiseworthy attempt by
be accomplished immediately, the permit will es- Congress to provide a more effective program of
tablish an abatement schedule for the discharger. The water quality control and enhancement. However, in
permit will also require each discharger to perform the Commission's view, there are certain provisions of
such monitoring and reporting functions as are the Act, particularly with reference to goals, regula-
needed to check on his compliance with permit tion, permit systems, grants, Federal-State relations,
conditions. and accountability which must be revised or clarified
The 1972 Act seeks to provide maximum oppor- if the laudable purpose outlined by the Congress is to
tunity for public participation in the pollution be attained without disrupting ongoing successful
control effort by requiring public hearings at key water quality programs and without creating unneces-
points in the implementation of the permit system sary economic and social hardships and environ-
and by assuring that water quality information, mental damage. I
discharge requirements, and monitoring data be made First, as was discussed earlier, the shift away from
available to the public. reliance on water quality standards and economic
The Act contemplates that the permit program will practicability as the bases for regulation should be
be a joint Federal-State effort. Specific provision is reversed. The new Act's establishment of a no
made for a State-by-State delegation of responsibility discharge goal to be achieved through application of
for administering the national permit program. How- the best available waste treatment technology is
ever, if a State will not or cannot carry out the unsound in theory and will prove unworkable in
objectives of the program, the Environmental Protec- practice. The Congress should revise this rniscon-
tion Agency (EPA) may administer the program ceived goal now and reaffirm its commitment to the
directly. To receive the delegation, the States must water quality standards approach and economically
demonstrate the capability to fully carry out the practicable minimum treatment requirements.
objectives of the national permit program as specified Second, if the Congress intended the new national
in the 1972 Act and as further developed in guide- permit system to be operated by the States, as we
lines issued by EPA. Even though responsibility for believe it did, a longer time must be allowed and
administering the permit program is delegated, State greater assistance provided to the States to facilitate
processing of permits is subject to review by EPA and
State permits may be vetoed on a permit-by-permit 62jbid., Section 402(d) 86 Stat. 882, 33 USCA 1342(d).

Enforcement of new water pollution control laws should prevent this type of waste disposal

their acceptance of the delegation to adniinister the Third, the experience in State-Federal relations
program. We cannot foresee all the ran-dfications of gained in implementing the water quality standards
the current plan to begin operation of the permit program. under the 1965 Act convinces the Commis-
program at the Federal level and later shift responsi- sion it is undesirable to create, as does the 1972
63
bility to the States, but it seems likely that both the Act, an unqualified power to commence unilateral
public interest and regulated dischargers will suffer Federal enforcement procedures in respect to a
from the transition of an ongoing program. The program primarily administered by the States. A
Comn-dssion recommends a change in the legislative strong Federal enforcement capability is needed as a
and administrative deadlines which create the present backstop to State regulation, but it should be invoked
urgency to initiate the issuance of permits by EPA. only after State enforcement authorities demonstrate
The permit program should be implemented with all that they are unable or unwilling to carry out the
deliberate speed, but wherever possible the con- necessary enforcement action. Except for cases of
tinuing responsibility for issuing and enforcing per- emergency, notice to the affected State and expira-
mits for the waters of each State should be fixed tion without corrective action of a short, but reason-
prior to commencement of permit issuance. Review able, time period should be made a prerequisite to
of the stringent guidelines and detailed standards initiation of Federal enforcement procedures.
established under the 1972 Act and promulgated by Fourth, Federal grants for municipal pollution
EPA convinces the Commission that a workable control facilities -must be made available by the
delegation process could be modeled on the mech- Congress and the President in amounts sufficient to
anism utilized under the 1965 Water Quality Act to
establish water quality standards, with appropriate "Ibid., Section 309(a)(3), 86 Stat. 859, 33 USCA
tightening to eliminate unnecessary delays. 1319(a)(3).

achieve the national water quality goals. Water water quality will be protected and who should create
quality standards set pursuant to the policies recorn- and administer the regulatory programs necessary to
mended by this Commission cannot be achieved in achieve this protection. Imprecision in the assignment
the next 10 years with the level of funding authorized of these responsibilities and attendant misunder-
in the 1972 Act. The Congress substantially under- standings have been a major reason for lack of
estimated the cost of achieving the goals described in progress to date. The 1972 Act speaks ambiguously
the 1972 Act and the executive impoundment of to these questions; the Commission believes they
funds has further cut the congressionally authorized should be faced squarely and resolved once and for
moneys by more than half. The result is a serious all, as discussed hereinafter under the heading
conflict between federally mandated requirements and "Permits".
Federal appropriations and allocations to meet those Finally, the 1972 Act sets a 1983 standard for
requirements. The waste treatment facilities which effluent limitations of "best available technology
are needed will only be accomplished by a Federal economically achievable." If this means the same
grant program if the funding promised to perform thing as the 1977 standard of "best practicable
Federal grant commitments is made available. If control technology currently available," it should be
Federal financing continues to lag behind Federal deleted as unnecessary. If "best available" is intended
promises, the grant program will become increasingly to mean that discharges can be required to install new
inequitable and local incentive will again be weak- pollution control facilities each time a technological
ened. advance is made, the provision should be applicable
Fifth, the 1972 Act suffers from absolute legisla- only when receiving water quality standards require
tive mandates which do not give the Administrator of it. A moving effluent standard not related to the
the Environmental Protection Agency the discretion achievement of desired water quality will unneces-
necessary to adopt the flexible grant requirements sarily increase costs paid by consumers and could
needed to meet different local water and waste discourage producers from making necessary major
conditions. The Administrator should be authorized investments in water pollution abatement facilities
to encourage those local expenditures which will which require many years to amortize.
produce the greatest improvement in water quality
and constitute the most effective use of limited Interstate Agencies
funds. The uniform requirement for secondary treat- The presence and performance of interstate
ment could cause clean water moneys which have agencies created to handle water quality management
been squeezed out of a tight budget to be expended in waters which cross State lines is a noteworthy facet
for facilities with minimal impact upon the receiving of the total picture of governmental activity. The
waters while leaving raw sewage outlets without theoretical attractiveness of using regional agencies to
interception. An examination of the effectiveness of control water quality throughout an entire watershed
secondary treatment on the Missouri River by the or basin is recognized, and such agencies have been
General Accounting Office in 1971 pointed out the created for several major basins. As presently con-
importance of applying those pollution abatement stituted and operated, however, interstate pollution
techniques which will do the most good .6 ' The control agencies play a much less important role in
history of funding to date demonstrates that available the water quality regulation than do local, State, and
moneys are seriously limited. Any realistic grant Federal agencies. Elsewhere in this report specific
program operating under budget constraints should recommendations are made for the improvement of
provide the. most cost-effective solution for each such interstate agencies. 65
situation.
Sixth, a basic issue which the 1972 Act fails to State Programs
clarify is the matter of accountability. Stated simply,
the issues are what level of government should be State programs have undergone dramatic changes
assigned responsibility for deciding to what degree in the past 10 years. Although universal adoption of
water quality standards has provided a common
6.4COMPrROLLER GENERAL OF THE UNITED STATES denominator among State programs, substantial
(1972). Alternatives to Secondary Sewage Treatment variety exists in the development of such key
Offer Greater Improvements in Missouri River Water
Quality, B-125042. U.S. General Accounting Office,
Washington, D.C. 'See Chapter 11.

program elements as administrative structure, finan- still lacks the resources to mount a full-scale attack
cing, standards, permits, information gathering, en- on water quality problems. Increasing emphasis on
forcement, control of nonpoint-sources, and plan- planning, surveillance, and enforcement, which de-
ning. In some cases, variations reflect a justifiable mand large numbers of, people, requires greater
concern for local hydrologic and economic factors. commitments of funds than are presently provided by
Too often the differences among States are sympto- State governments. On the horizon lie even larger
matic of shortcomings in their regulatory prograrns. financial requirements to cope effectively with non-
Reviews of the water quality programs of nearly point-sources; until nonpoint-sources are controlled,
one-third,of the States lead to the conclusions which water quality objectives will not be achieved. State
follow. 66 legislatures must be prepared to provide the necessary
resources for effective programs if the present
Administrative Structure: The structure and organiza- primacy of State regulation is to continue as a viable
tion of State programs are undergoing significant policy.
changes. In a number of instances reorganization has
not resulted in functional change because the same Standards: All States have established receiving water
policies and personnel are dominant in the new standards for interstate waters and nearly all States
structure. In most States responsibility for the water apply comparable standards to the rest of their
quality program is now assigned either to a separate surface waters. Most States make some use of general
agency created expressly for that purpose or to a effluent standards as well, principally through lirnita-
special agency created within an established depart- tions on discharges.
ment. A trend is observable in the direction of A major advantage of the approach to water
making water quality regulation a function of a quality standards contained in the 1965 Act is its
comprehensive State environmental protection capability for adaptation of standards to a wide
agency, which has responsibility for control of air variety of local needs and conditions. This value
quality, water quality, and solid waste disposal. This should not be lost through rriisguided desires for
theoretically permits coordination of pollution abate- nationwide, or even statewide, uniformity in stand-
ment programs, and should eliminate programs which ards. Uniform effluent standards or treatment re-
merely transfer pollutants from one medium to quirements, and nondegradation policies are clearly
another. It does not always succeed. The Federal contrary to the situation -specific theory of standard
effort to achieve this coordination through establish- setting, and it is doubtful whether a specific set of
ment of the Environmental Protection Agency (EPA) water quality criteria for designated uses can serve
has not yet been successful. effectively as more than a guideline to be adjusted for
In the Commission's view, State water quality local conditions. Uniformity should exist in the
programs should be made a functional component of poHcies and procedures under which standards are
an environmental resources program capable of established, but not in the standards themselves.
coordinating resource allocation and management Uniform national water quality criteria for designated
with the full range of environmental protection water uses should not be established until more
activities. The State program should be capable of scientific knowledge becomes available regarding geo-
administration by metropolitan or regional water graphic and ecologic variation. An exception to this
quality agencies, if such decentralization is practical. general rule needs to be made, however, to apply a
However, coordinating, review, and preemptive total ban on discharges of toxic materials. For
powers should be retained at the State level to assure standards to be in the public interest, there must be a
satisfactory statewide administration. determination that there is a favorable relationship
between the economic, social, and environmental
Financing: State expenditures for administration of costs of achieving them, including any economic or
pollution control programs have increased sharply in social dislocation in the affected communities or
recent years, but in many States the control agency industries, and the economic, social, and environ-
- mental benefits to be obtained. To the extent waters
"See HINES, N William (1971). Public Regulation of of high quality should be protected, this should be
Water Quality in the United States, prepared for the accomplished within the standards framework by
National Water Commission. National Technical Infor-
mation Service, Springfield, Va., Accession No. PB 208 designating them for uses which guarantee protection
309. of existing quality. The Commission recommends

development of use designations which serve to 1965 Act failed to produce desired results because
protect high-quality water. the concept of relating discharge requirements to
Full provision should be made for public participa- receiving water standards is administratively im-
tion in the determination of protected water uses and practical. It is urged that by basing individual effluent
in the establishment and review of quality standards. limitations on the best available control technology
Local and regional interests should have paramount economically achievable, which, it is apparently
responsibility in the designation of water uses, but assumed, is more easily discovered and applied, the
broad national interests must be recognized in cases proposed system MR free the administrators from the
where unique areas need to be protected through heavy burden of translating water quality standards
high-use classifications, such as preservation of wild into effluent limitations.
rivers. Standards should be periodically reviewed. In the view of the Commission, the pronounce-
The water quality standards have provided a focus ment that the water quality standards approach of
which has had a salutory effect on control programs, the 1965 Act is inadequate is premature. 69 Although
even though they have not yet been fully imple- it represented a milestone in the evolution of the
mented. Creation of the standards forced States to national program, the 1965 Act was deficient in not
articulate program goals with respect to water providing the blueprint for a completely developed
quality. Development of such goals is an essential water quality standards program. The concept of the
element of meaningful planning and is a prerequisite 1965 Act was sound, but the legislative design for
to consistent administration of other facets of a implementation of the Act's policy was so vague that
comprehensive control program. Standards simplify years have been wasted trying to assemble this puzzle,
the enforcement process by replacing the vagaries of which was missing key pieces. By failing to set time
"pollution" with an objective measuring stick for limits for review and approval of procedures for
determining diminished water quality. Standards pro- translation of receiving water standards into specific
vide a framework for the development of stream discharge limitations, the Act neglected an essential
surveillance programs and serve as a touchstone for implementation step. This gap has already been filled
such systematic pollution prevention activities as by most States through the adoption of permit
waste discharge permits. Finally, standards serve as a systems, under which State agencies regularly impose
baseline against which to measure progress in water effluent limitations or treatment requirements con-
quality improvement. sistent with approved water quality standards. Where
Refinement of use designations and upgrading of comprehensive permit systems are used to implement
specific quality standards are clearly needed in many quality standards, and where the Federal agency
areas. Nevertheless, based on the staff review of approved the standards, regulation under the 1965
programs in nine StateS6 ' and the General Ac- Act is going forward and improved water quality is
counting Office report which covers six additional resulting.
States, 68 the Commission believes present receiving It is frequently contended that effluent lin-dtations
water standards are capable of protecting adequately based on technological feasibility would be easier to
most reasonable present and future uses. Failure in establish than effluent limitations based on Water
implementation is the major impediment to achieve- quality standards in the receiving waters because
ment of the water quality goals represented by the administrators would not have to deterniine how
current standards. To remedy this defect, the Com- much, if any, waste can safely be discharged consis-
mission recommends implementation of receiving tent with the standards set for the particular receiving
water standards through a comprehensive waste dis- water before deciding what limitations can be im-
charge permit system. posed. Limitations based on what is technically
feasible, however, completely ignore the economic
Permits: Advocates of a "no discharge" policy claim impact and practicability of the restrictions, the
the water. quality standards program created by the impact on other resources, and the effects on both
the individual discharger and on society as a whole.
67Ibid., p. 254.
6 11 COmPTROLLER GENERAL OF THE UNITED STATES 6 9 U.S. CONGRESS, Senate, Committee on Public Works
(1972). Water Pollution Abatement Program: Assessment (1971). Federal Water Pollution Control Act Amend-
of Federal and State Enforcement Efforts, B-166506. ments of 1971, 92d Congress, lst Session, Senate Report
U.S. General Accounting Office, Washington, D.C. pp. No. 92-414. U.S. Government Printing Office, Washing-
18-27. ton, D.C. p. 7.

That which is technologically achievable may be water. Permits should contain limitations requiring
wholly unnecessary to protect the uses made of the sufficient removal or control of wastes to assure
body of water, may be completely beyond the means compliance with standards set for local receiving
of the city or the industry involved, and may cause waters, and a time frame for compliance which sets
untold waste of other, more critical resources. For priorities and reflects capacity for financing not only
these reasons, the Commission believes the policy water pollution abatement but air pollution control
calling for uniform effluent limitations7o should be and solid waste disposal as well, so that overall
rejected. environmental quality improvement is taken into
A permit system based on achieving a given quality account. Permit procedures should provide full op-
of receiving water presupposes the technological portunity for public participation and provide effec-
ability to predict the effect of waste discharges on the tive review avenues to aggrieved parties. Waste dis-
quality of water under varying conditions., Scientifi- charge limitations should be stated in terms of
cally-based predictive models for making such calcula- concentrations and maximum amounts per unit of
tions are available, but further development is needed time, and should be related to seasonal variations in
to make them more readily usable. Recent progress flow and receiving water characteristics.
toward development of usable models has been very Where it is necessary to allocate the capacity of
rapid, as the scientific community has responded to receiving waters to purify wastes, the permit agency
the massive environmental interest and expenditures should seek to develop an equitable allocation of that
.in recent years. The experience of States having capacity among affected permittees and no "grand-
successful permit systems suggests that, while deter- father" rights should be recognized. If insufficient
mining permissible wasteloading is a significant task, data exist to execute such a policy, a best practicible
it is well within their information and manpower treatment standard will have to be employed which
capabilities. The present state of knowledge is ade- includes consideration of such factors for the specific
quate to take initial steps involved in issuing permits discharging entity as cost, age of plant, social,
based on existing standards; greater precision in the economic, and physical environmental impacts, and
establishment of permit terms can be attained as engineering aspects of the application of various types
information improves. of control techniques or process changes. In addition,
Overall, determining acceptable wasteloading is not consideration should be given to possible alternatives
as demanding of administrative skill as is establishing or supplementary programs such as instrearn treat-
permit conditions dischargers will accept as fair and ment to achieve quality objectives as readily and at
feasible. Thus, because the difficult problems associ- the lowest cost possible.
ated with meeting requirements for practicability and Surveillance and monitoring procedures at control
technological feasibility are present under both sys- points along the rivers should be adequate to detect
tems, along with the full assortment of followthxough immediately any violations of quality standards.
problems, the differences in adn-dnistrative efficiency Immediate attention should then be given to moni-
do not appear to be an overriding factor. toring the point-sources and deterniining responsi-
The Commission concludes that basing discharge bility for the violation. Enforcement measures should
limitations on applicable water quality, standards is be stiff enough to insure prompt correction. Permit
feasible. Such an approach is preferred because it duration should be limited to guarantee reexamina-
provides superior safeguards against both under- tion at reasonable intervals, and the terms and
protection and overprotection of water quality. conditions of permits should be upgraded to take
At the time the 1972 Act was passed, 47 States account of technological advances.An annual permit
utilized some form of permit system, but few States fee is advocated to help defray costs incurred in
have developed this regulatory technique to its full checking on dischargers' performance of permit con-
potential. Discharge permits should be required for ditions. Programs for the training and certification of
every existing or potential7l point-source of pollu- waste treatment plant operators should be provided
tion to all waters in the State, including ground which are sufficient to assure competent operation of
facilities in accordance with the terms of the permits.
711972 Act, Section 301(b)(2)(A), 86 Stat. 845, 33 USCA While the 1972 Act contemplates that the pernrit
1311(b)(2)(A).
71 For example, storage pits for oil or other potential program will be a joint Federal-State effort and that
pollutants which might leak or overflow into nearby the States will operate the new system and continue
water bodies if not properly constructed. to have and exercise the primary responsibility for

regulation and enforcement under the national from nonpoint-sources. A comprehensive surveillance
policy, the EPA requirements thus far made known network should be maintained to monitor water
and the delay in approving State programs would quality in place. This last point is the crux of an
seem to indicate a contrary intent. So detailed are the effective program; it defines success or failure, and
matters with which that agency appears to be pinpoints the areas where more attention is needed. It
concerning itself that it will be difficult, if not provides the basis for comparison of the effectiveness
impossible, for a State to administer its own program of alternative programs, and thus it is essential to
and EPA does not have, and is not likely to have, the have valid data competently and completely inter-
manpower or budget to take over the State permit preted, and not limited to data for specific enforce-
programs. However, the 1972 Act itself, by its ment actions. Thus, the function should be carried on
provisions, would require judgments to be made at by an independent agency, such as the U.S. Geo-
the Federal level which would be better left to the logical Survey, which is not involved in either policing
States. For example, the Act sets the qualifications or regulation.
for members of State water quality boards, allows The Federal Government, in cooperation with
local officials to fractionalize the State program by State and interstate agencies, has been attempting to
setting their own standards, allows the Regional develop a strategy for monitoring and a national data
Administrator to veto individual permits@ and imposes collection, storage, and retrieval program. The efforts
other detailed requirements that involve the EPA in to date have not yet resulted in a design which
the day-to-day operation of the State program. It enables State, interstate, and local governments to
appears to the Commission this is not the proper role utilize the system for their own management pur-
to'be played by the national government, would be poses. The Commission believes that one agency,
inefficient, and is not desirable. The Federal Govern- preferably the U.S. Geological Survey because of its
ment should set the national goals and policy and competence in the organization and operation of
should look to the States for results only. As many joint Federal-State programs for the collection and
decisions as possible as to how those results will be analysis of data, should be given responsibility for
obtained should be left to the States. developing water quality data programs. Data to be
collected should include information on instrearn
Information Collection: In only a few States are quality of water and such other information as is
information collection and processing programs ade- necessary to revise standards, monitor compliance,
quately developed. Such programs are essential to and fully evaluate the status and progress of water
effective regulation and must be financed at a level pollution control programs. The pattern for Federal-
sufficient to permit continuous review and interpreta- State cooperation should encourage local responsi-
tion of data and evaluation of the effectiveness of bility for monitoring and should be generally similar
plans. A technical competency is required which can to that used in the national strearnflow data program.
only be developed by providing sufficient funds for States should collect data on effluents and instream
the programs on a continuing basis not subject to quality as necessary to monitor permits, while
year-to-year fluctuations. If the permit system is to Federal-State cooperative effort should be expended
perform its functions, the control agency must to maintain records of quality at principal streamflow
provide effective review of self-reported information stations. Many States already require industry to
and conduct a vigorous monitoring and inspection report new processes, products, and types of wastes,
program. To keep costs down as well as to prevent so that control agencies could anticipate problems
being inundated with unused data, there must be a associated with new pollutants in effluents or in-
two-stage monitoring-the first limited to a few tended for widespread application. All States should
parameters which would reflect changes and indicate have such requirements, including an ongoing pro-
the need for second-stage monitoring, which should gram of technology assessment.
be a comprehensive analysis to define responsibility.
State officials should have authority to enter and
inspect the premises in which an effluent source is Enforcement Procedures: For most of its history,
located or in which records are required to be kept State pollution regulation was premised largely on an
under the terms of a permit. Systematic surveys are unfortunate analogy to nuisance law. This approach
needed to detect unreported point-sources and to encouraged the view that regulatory objectives were
determine the extent and type of pollution resulting substantially achieved when the polluter had been

identified and his liability established. This view of To obtain voluntary compliance, it is necessary
the enforcement function fostered endless delays in that the enforcement program present a credible
obtaining abatement of pollution. While the polluter threat that noncompliance will result in decisive
negotiated with agency engineers concerning correc- action and meaningful sanctions. It is also essential to
tive measures, his pollution continued, having become have reasonable goals and time schedules. Compliance
legitimized. In a sense, by its subjection to regulation. procedures should be streamlined and unfruitful
Most States now recognize that the critical phase of negotiation reduced by the adoption and publication
regulation begins as soon as a violation is determined. of specific guidelines for enforcement procedures.
Subjection of all point-sources of pollution to Statutes should provide effective sanctions, which
permit limitations creates a framework which will attach to the initial violation and escalate with
make possible more direct administrative enforce- repeated violations; these should bear some relation
ment techniques. Information suggesting violation of to the damages and not be so punitive as to
permit conditions should, in theory, trigger a simple discourage the courts from applying them.
and swift administrative procedure to determine and In addition, if a State agency having responsibility
rectify discharger noncompliance. As time passes, this for public health and safety does not have express
will become more of a reality, but at present there is powers to deal summarily with emergency situations
a confusion of laws and regulations in a number of which endanger human health or safety, State
enforcement agencies, not always coordinated. statutes should be enacted to confer such powers.
Many States now have a streamlined administrative Perhaps more important than better sanctions is
enforcement procedure under which the pollution demonstration of a willingness to wield whatever
control agency may hold hearings, issue emergency stick is available swiftly and forcefully. Some State
abatement orders, and revoke permits on grounds of officials with responsibility for enforcement have
noncompliance where there is a threat of irreparable been unwilling to act against powerful local interests,
harm from discharges. In some States the procedures and have been content to let Federal officials take the
need amplification and the right of the alleged responsibility for acting against polluters, a responsi-
polluter to appeal such determinations to the courts bility which some zealous Federal officials have been
should be preserved. Once the data collection and eager to grasp. Improved performance by State
monitoring programs recommended herein become officials will require a combination of more intel-
effective, there should be less need for reliance on ligent use of statutory powers and policy directives,
court action. based on realistic water quality standards and a
The advantages of the more direct enforcement realistic time frame for meeting them, expansion of
procedures available within a permit framework have the professional pool from wWch program administra-
not yet been realized in most States where efforts tors are drawn, development of reliable Federal
must still be concentrated on those enforcement cooperation and mobilization of public opinion to
activities designed to bring dischargers under permit. influence and support administrative recognition of
Policies and practices carried forward from an earlier environmental values.
era of more leisurely regulation underniine both Local Govemment
enforcement efforts and permit administration.
Furthermore, with the increased role of the Federal Municipal governments have primary responsibility
Government in recent years, it is easy for States to sit for the construction and operation of waste treat-
back and let Federal agencies take the initiative in ment facilities to control sanitary sewage and in-
enforcement. dustrial wastes discharged into municipal sewers.
A substantial measure of voluntary compliance is Although good progress has been made in providing
critical to the success of the regulatory effort. Past treatment for municipal wastewater, there is still
State reluctance to employ coercive techniques in much to be done. Deficiencies in performance of
.dealing with overt recalcitrance acted as a disincentive municipal government responsibilities lie chiefly in
to dischargers to agree to and implement needed the areas of organizational efficiency and operating
pollution control actions. This difficulty is fast practices.
disappearing. Recognizing that some dischargers face
real problems in compliance, agencies should demand Organizational Efficiency: Intramural jealousies
information adequate to distinguish inability from among neighboring communities often act to pro-
recalcitrance. mote inefficiencies in the planning of collection

77,1
I Lm@

@i WA

Municipal sewage treatment is primarily the responsibility of local governments

systems and to stifle realization of economies of scale achieve water quality standards in the receiving
in the construction of regional treatment plants. waters with a lower degree of treatment and at a
Coordinated metropolitan and regional waste manage- lower cost than at a single large plant.
ment is essential to achieving cost effectiveness in
waste treatment systems and in protection of water Responsibility for Construction: From time to time
quality from pollutants from all sources. 72 The suggestions have been made that authority for
Commission strongly supports current efforts to regional waste management systems be placed in the
systematize metropolitan and regional water quality Federal Government, which would design and con-
planning so as to control pollution in the most struct regional systems to combat pollution. Such
efficient way. Areawide waste treatment management suggestions appear to be based on the opinion that
plans created in response to the requirements of the efficiency would be promoted, and that existing
1972 Act should prove to be a powerful force for Federal construction agencies which are running out
rational water quality management, if suitable organ- of work have the competence to undertake regional
izations can be developed under State law for waste waste management.
treatment management. The Commission finds no evidence that the design
Waste treatment planning should recognize that and construction of waste disposal systems would be
even though collection of wastewater from a large better performed by Federal construction agencies.
area into a single treatment plant will fix responsi- Local government has demonstrated the capability to
bility for facility planning, operation, and monitor- design and construct the most sophisticated systems
ing, in some instances a single large plant can be less when adequate financing is available. Uniform design
desirable than building a number of plants at various is neither practical nor desirable. Decentralized
points. With dispersal of plants it may be possible to responsibility for construction provides lower ad-
ministrative costs and encourages variation in systems
"See Chapter 12 for a more complete discussion of this and methods, compatibility with local conditions,
subject. and cost effectiveness competition between areas.

Local policyrnakers will be making land-use decisions runoff from land under cultivation or opened in
which affect the design criteria of sewerage systems. connection with construction projects. But generally,
Local sewerage agencies will be responsible for such rural special districts have failed to adopt water
meeting water quality standards, levying user charges, quality improvement as a program goal. Because
and producing environmentally and socially accept- control of open land runoff is such a critical
able projects. A large Federal planning, engineering, component of a successful water quality program, the
and construction organization is not necessary to Commission urges careful examination of the op-
achieve adequate local water supply and sewage portunities for agencies of local governments to
disposal facilities and should not be created or achieve specific water quality objectives by soil
maintained in the absence of such necessity. conservation, land use, and surface water control
methods.
Operating Practices: The prevalence of industrial If existing local government units are not capable
discharges in municipal wastewater can create serious of mounting effective programs to control sources of
problems in the operation' of a municipal treatment water pollution lying in the nonurban areas, effort
plant. Many materials, in high concentrations or must be directed at organizing and implementing new
discharged to sewers in batches or surges, can retard institutional arrangements for bringing such pollution
or destroy biological waste removal processes; heavy under control. Several States are currently experi-
organic wastes can overload treatment capacity. menting with innovative regional agencies which
Excessive quantities of flow such as storm water or might be adaptable to this purpose."
flushing water can hydraulically overload the plant
and reduce its efficiency. Carefully prepared and PROBLEMS NOT SOLVED BY
sternly enforced pretreatment contracts or regula- IMPROVED REGULATION
tions are required to prevent these interruptions of Disposal of Residues
effective plant operation. The frequently employed
practice of designing a municipal treatment plant Improvement of regulatory law cannot change the
without a prior detailed survey of expected connec- fundamental law of the conservation of matter.
tions and then being compelled to adopt an ordinance Production changes can lead to improved perform-
prohibiting the connections so as to protect the plant ance in industrial waste management by eliminating
should be discouraged. some wastes or recapturing them as valuable by-
A second operating problem lies in securing and products, but until new processes are developed
retaining adequately trained personnel to manage and further, much pollution control will continue to
maintain community treatment facilities. Local of- involve the capture and removal of pollutants from
ficials have frequently failed to take enough responsi- wastewater discharges. Thus, disposing of the residues
bility for assuring competent operation of a muni- of waste treatment will continue to be a problem
cipal wastewater treatment plant, with the result that with serious environmental impacts.
a plant which is adequate in all other respects Until technology can find ways to use these
regularly produces an unsatisfactory effluent. Muni- residues, planning for their handling and disposal
cipalities should support strong State programs for essentially involves a search for lesser evils. Matter
training and certification of treatment plant operators which will pollute fresh water may also cause
and provide a rate of compensation commensurate environmental harm if dumped into oceans, expelled
with achieving full benefits from their significant into the atmosphere through incineration, spread on
investment in treatment facilities. land, or buried in landfills. What is needed in each
case is a careful search for the method of disposing of
Suburban and Rural Units: Nonurban local govern- residues with the least overall environmental impact,
ments also have important regulatory responsibilities recognizing local conditions and the interrelationships
in protecting water quality. Creative exercise of among air, land, and water resources.
county land-use control powers can prevent improper The sludge disposal program of Chicago offers an
waste management practices in rural residential sub- example for cities unable to rely on ocean dumping.
developments, construction projects, landfills, and "See UNIVERSITY OF IOWA (April 1971). Contempo-
mining and manufacturing sites. Drainage districts, rary Studies Project: Impact of Local Governmental
soil conservation districts, small watershed districts, Units on Water Quality Control, Iowa Law Review
and the like could play major roles in controlling 56(4):804-929.

Sludge from Chicago's treatment plants accumulates ness of the problems requiring attack, and not, as has
at the rate of 900 tons per day. For years the sludge too often been the case in the past, on the suscepti-
was stored in lagoons until almost 5 million tons bility of problems to easy administrative solution, or
accumulated and all storage areas were filled. After on the reduction of all problems to a uniform and
several false steps, Chicago now is implementing two conventional solution. Because water quality im-
programs for land disposal of these sludges. One provement occurs over time, and sometimes over
program involves the movement of the stored sludge space, deliberate planning is required to assure that
by rail to an agricultural area in central Illinois where the allocation of available resources produces maxi-
it is applied to croplands. The second program mum incremental gains. The areawide waste manage-
involves disposal of current sludge production; it is ment requirements of the 1972 Act could provide an
being transported by barge and pipeline to an area important push for improved cost effectiveness in
near Peoria, where it is spread on strip-mined land, in expenditures under the construction grant program;
an effort to reclaim the land. The Chicago experience however, the uniform secondary treatment require-
should provide important information to other cities ment of this Act may cause ill-timed or unnecessary
faced with a conflict among environmental concern, expenditures.
economics, and local resistance to residual disposal A major concern of cost effectiveness relates to
sites. achieving the maximum water quality improvement
Much earlier, the City of Milwaukee found a for each dollar spent on pollution control facilities,
market for some of the residuals from its sewage particularly in the Federal grant programs which local
treatment plant by processing the sludge from the officials frequently look upon as windfalls. Under a
plant into fertilizer which has been marketed com- control program where appropriate water quality
mercially for many years under the trade name standards are set and enforced, and where costs are
Milorganite. In its new plant, however, the City has allocated on a "polluter pay" principle, identification
omitted the fertilizer production process because the and application of least-cost solutions will be a
sewage to be handled had lower concentrations of natural objective of the industry or municipality
nitrogen and phosphorus, the essential ingredients for disposing of wastes.
fertilizer. The commercial market for this type of Alternative methods of achieving water quality
fertilizer is probably very limited, because the mate- standards must also be considered in relation to the
rial is not competitive with lower-cost mineral ferti- overall environment and those methods which achieve
lizers. Sludge is available free at many sewage water quality improvement at the expense of other
treatment plants all over the country, but there are environmental values should be reexamined. Again,
few takers. there is no simple answer to this problem, for unless a
It is the Commission's view that the Nation must coordinated water-air-land appraisal is completed, the
move toward reuse of sludge from waste treatment least-cost solution for water may well result in
processes, because of the massive volumes involved environmental harm to other resources of more
and the need to conserve resources. The full extent to serious and longer-term significance.
which land disposal of sludge can be used is highly The best way to achieve cost effectiveness and at
site -spe cific-its applicability will depend on the the same time minimize environmental impact is to
individual situation. The most critical requirement is eliminate restrictions on the range of alternatives
land, which will not always be available. open to decisionmakers searching for least-cost,
optimum-effect pollution control methods. Up until
Achieving Cost Effectiveness now, most of these restrictions have been administra-
Only through cost effectiveness and environmental tive in origin so could be changed without difficulty,
impact studies can the Nation find an answer to the but the 1�72 Act will dramatically limit choices
question of how clean can waterways be kept, and unless the concept of uniform method and the goal of
relate the pollution abatement program to other no discharge are abandoned.
aspects of the national economy. The strategy of Economic Dislocations
regulation should focus resources first on correcting
problems that will have the greatest impact in Recent studies of 11 selected industries predict
improving water quality. For example, priorities in that minor, though not insignificant, economic dis-
regulatory attention should be based on the serious- locations will result from the full implementation of

After the atlas Product was completed, the shoreline terrain was

compared to the historic erosion rates to show the relationship
between these two factors. Figure 5.4 (below) is a Graph which

summarizes the historic erosion rates along all reaches of at least

0.5 kilometers in length which were also composed of only one type of

shoreline terrain. The selection of 0.5 km. as a minimum length for

study is arbitrary, but this is the smallest reach length which is

regarded as suitable for analyzing variations in historical rates of

coastal retreat. Figure 5.4

Above: Figure 5.4. Graph of relationship between the rate of
coastal retreat anf the shoreline terrain for the norhern Chesapeake Bay.

Opposite: Figure 5.3. Example of atlas product showing shoreline
classification, derived from aerial photo-
graphs.

5-8

local wastewater treatment plant operators, direct have been isolated also from shellfish inhabiting these
training courses at regional facilities, and support of waters. Sewage polluted water leads to the closing of
periodic short courses at regional, State, and local oyster beds to commercial harvesting; it is reported
levels. than one-fifth of the U.S.'s 10,000,000 acres of
Education and training programs usually suffer near-shore shellfish grounds have been closed because
from low visibility in the competition of the budget of pollution. 82 Reductions in fishery resource popu-
process at all levels of government. However, the lations and severe restrictions on their consumption
Commission believes it is the height of fiscal folly to by the public are a threat to the commercial fishing
authorize the expenditure of billions of dollars for industry. Furthermore, the ability of finfish and
water pollution control programs without priority shellfish to accumulate substances disposed of into
attention to the manpower resources needed to run streams and coastal waters to a much higher concen-
them efficiently. The 1972 Act authorizes such tration than that in the surrounding waters requires
programs 79 but funds must be provided to imple- that the human risk involved in such food sources be
ment them if they are to be effective. determined.
A report of the National Academy of Sciences
POLLUTION IN ESTUARIES AND THE suggests that coastal zone ecosystems are being
COASTAL ZONE subjected to pollution-caused stress which is ex-
Water pollution is a prominent and pressing prob- tremely severe, and might be irreversible. 113 This
lem in the management of coastal-zone waters. stress cannot now be fully quantified, although
Coastal waters, estuaries, and the open ocean have Federal and State agencies are actively studying some
been the natural recipient of most of man's liquid- of the complex effects of wastes on marine biota,
borne waste materials as well as some atmospheric- including the effects of bacterial and viral pathogens,
borne 80 and solid wastes. When major watercourses heavy metals, pesticides, organometallic compounds
enter estuaries, some of the pollutants dissipate into and parasite protozoa, sewage sludges, and heated
the sea, but some concentrate sluggishly in the discharges.
estuaries. Thus, a plotting of water quality gradients Unfortunately, some of the toxic pollutants are
in coastal areas often will show that the pollution is not subject to casual observation and may not even
concentrated primarily in the poorly flushed, finger- be suspected; moreover, some basic pollution damage,
like, subestuaries near major urban areas. It can be such as reduced productivity of certain marine
shown, for example, that the amounts of nutrients organisms, may be very difficult to detect. Although
discharged to the Hudson estuary are five to ten times the impact of particular types of pollution is not fully
greater than its capacity to assimilate and recycle known, it is clear that the types of wastes discussed in
them.8' Furthermore, although the open ocean is the following paragraphs contribute to the pollution
vast, its ability to assimilate the wastes reaching it has of the coastal zone.
limits. Liquid Wastes
Microbiological pollution of coastal waters associ-
ated with the discharge of raw sewage is cause for The volume of industrial and municipal liquid
concern. Estuarine waters receiving primary treated wastes being discharged into the waters of the coastal
sewerage effluents have been shown to contain zone is substantial. In 1968, over 8 billion gallons of
bacterial pathogens. Enteric viruses of human origin municipal wastes in the coastal counties and nearly

"Ibid., p. 23.
1972 Act, Sections 104(g), 109, and 111, 86 Stat. 82 1, 'All [biological I communities are fragile in the sense that
829, 831, 33 USCA 1254(g), 1259, 1261. they are susceptible to stresses that are not part of their
'A recent study indicates that atmospheric washout may historic experience. Many of the substances entering the
be a primary contributor of heavy metals to the seas, sea today as wastes are clearly not part of this experience.
sometimes contributing more than the rivers do. See U.S. Depending on the level of stress they impose, such
NATIONAL ACADEMY OF SCIENCES (1972). Marine substances can reduce population sizes, exterminate
Environmental Quality, Suggested Research Programs for species, and even eliminate. entire biotas. See U.S.
Understanding Man's Effect on the Oceans. National NATIONAL ACADEMY OF SCIENCES/NATIONAL
Academy of Sciences, Washington, D.C. Table 3, p. 12. ACADEMY OF ENGINEERING (197 0). Wastes Manage-
91U.S. NATIONAL ACADEMY OF SCIENCES (1972). ment Concepts for the Coastal Zone. National Academy
Marine Environmental Quality, National Academy of of Sciences/National Academy of Engineering, Washing-
Sciences, Washington, D.C. p. 10. ton, D.C., especially Chapter 5, Biological Effect.

100

22 billion gallons of industrial wastes in the coastal tuarine and coastal waters can be detrimental to
States were discharged daily. Municipal wastes in- ' navigation, recreation, and propagation of fishery
clude substantial amounts of industrial wastes, which resources. Restricting the movement of sand through
add to their complexity. The National Estuarine estuaries, however, may deprive nearby beaches of
Pollution Study reported that only about half of the needed replenishment and cause erosion.
municipal wastes received secondary treatment. The
exact nature of all these discharges and their effect on Ocean Dumping
the marine ecosystems is not known and needs to be In 1968, almost 62 million tons of wastes (dredge
in onitored. spoils, industrial wastes, sewage sludge, construction
Solid Wastes and demolition debris, refuse, explosives, and miscel-
laneous other wastes) were known to have been
The use of the estuarine shoreline for refuse dumps dumped into the sea off the United States coasts,
and landfills results in considerable debris getting into including areas beyond the coastal zone. Dredging
the water; water leaching through these dumps can spoils made by far the largest contribution, some
pollute the estuaries. Spoil disposal from dredging 52,200,000 tons, to this total. 86 Some of the wastes
activities is another form of solid waste material that dumped are hazardous to public health, harmful to
14
contributes to estuarine degradation. marine life, and esthetically unattractive.
The tonnage of wastes dumped at sea increased
Industrial Use of Cooling Water fourfold from 1949 to 1968. Of the 250 known
Powerplants are the major users of water in the disposal sites, 50 percent are off the Atlantic Coast,
estuarine zone. In 1950, 22 percent of the Nation's 28 percent are off the Pacific Coast, and 22 percent
powerplants were in the coastal zone; it is anticipated are in the Gulf Of MeXiCO.8 7 Only partial figures are
that in the late 1970's over 30 percent of the plants available since 1968, but one study reports that ocean
85 dumping off the Pacific Coast (excluding dredging
will be located there, emphasizing the necessity to spoils which contributed 8,320,000 tons in 1968,
find suitable sites. The subject of siting powerplants explosives, and radioactive wastes) has declined from
and other water-using enterprises is discussed in 1,007,500 tons in 1968 to 23,860 tons in 1971."8
Chapter 6. Whatever the magnitude of present ocean dumping,
Heat sometimes has a deleterious effect on the increasing demands for waste disposal sites, together
aquatic environment, and the quantity of water used with concern over the possible environmental effects,
for cooling can create critical problems for some make it a live, current subject. Legislation has been
marine organisms. The screens which cover the intake enacted to forbid the dumping of any radiological,
pipes of the cooling system for thermal electric plants chemical, or biological warfare agent or high-level
as well as the system itself sometimes cause mortality radioactive waste and to require a perrnit from the
by capturing zooplankton, larval, and juvenile life Environmental Protection Agency or the Secretary of
forms. On the other hand, the warm water releases the Army for the dumping of any other waste. 89
promoted the growth of some species, and have
actually improved fishing, but in some instances
sudden shutdown of the plant has caused increased 96 SMITH, David D & BROWN, Robert P, Applied Oceano-
mortality in fish species attracted by the warm water. graphic Division, Dillingham Corporation, La Jolla, Calif.
(1971). Ocean Disposal of Barge-Delivered Liquid and
Sedimentation Solid Wastes from U.S. Coastal Cities. U.S. Environ-
mental Protection Agency, Washington, D.C. p. 21, Table
4.
The natural process of sedimentation is modified 87 U.S. COUNCIL ON ENVIRONMENTAL QUALITY
and in many instances intensified by man's activities. (1970). Ocean Dumping, A National Policy. U.S. Govern-
Increasing the influx or altering the composition of ment Printing Office, Washington, D.C. p. 1.
substances and accelerating their deposition in es- See BROWN, Robert P & SHENTON, Edward H (197 1).
Evaluating Waste Disposal at Sea - The Critical Role of
Information Management. Paper presented at the 7th
14 U.S. DEPARTMENT OF THE INTERIOR (March 1970). Annual Conference of the Marine Technology Society,
The National Estuarine Pollution Study, 91st Congress, Washington, D.C. August 16-18, 1971. Table 1, p. 4.
2d Session, Senate Document No. 91-58. U.S. Govern- "'Marine Protection, Research, and Sanctuaries Act of
ment Printing Office, Washington, D-C. p. 33. 1972, P.L. 92-532, Title 1, October 23, 1972, 86 Star.
8 51bid. 1052, 33 USCA 1401-1421.

101

t
7-
7-

ul@

Spoil from dredging operations can damage fish and wildlife resources

The new legislation is largely a product of a study blanket ban on all dumping of sludge and relatively
of ocean dumping made by the Council on Environ- harmless industrial wastes because of its concern over
mental Quality, Ocean Dumping - A National Policy the alternatives for disposal of these residues. The
(1970). Much of the discussion during congressional Commission believes that, given the current state of
hearings on the legislation focused on which dumped knowledge, a case-by-case analysis of available waste
wastes would be forbidden or phased out under the disposal alternatives, including ocean dumping, and
standards provided in the bills, since the Council on their economic, social, and environmental effects is
Environmental Quality had recommended that needed before decisions are made. In some instances,
dumping of a number of types of wastes, including ocean dumping of sludge may prove to be the most
digested and undigested sewage sludge, should be attractive alternative; the nutrients contained in
stopped and no new dumping allowed.9" sludge may provide valuable nourishment for the
The National Water Commission agrees that ocean marine ecosystems. Likewise, the use of old auto-
dumping of toxic materials should be stopped, and mobile bodies to form fishing reefs has provided
that all ocean dumping should be subject to regula- valuable fish habitat. Intelligent administration of the
tion. The Commission cannot, however, endorse a 1972 legislation." should permit continuation of
ocean dumping when it is the most efficient means of
90U.S. COUNCIL ON ENVIRONMENTAL QUALITY waste disposal.
(1970). Ocean Dumping - A National Policy. U.S.
Government Printing Office, Washington, D.C. p. vi. 1972 Act, Section 403, 86 Stat. 883, 33 USCA 1343.

102

POLLUTION PROBLEMS OF THE the Lakes act like sinks. Wastes tend to settle in the
GREAT LAKES9 2 relatively quiet waters and accumulate on the bot-
The changes that have occurred in the Great Lakes tom. Some discharges are significantly warmer than
as a result of pollution have been cited as a striking the receiving waters, which is not beneficial to the
example of the misuse of one of the major water cold water fish that once thrived in the Lakes.
resources of North America. Dramatic changes in the The U.S. Army Corps of Engineers dredges about
biota and increased productivity of Lake Erie, often 10 million cubic yards of sediments yearly and
erroneously referred to as the "death of Lake Erie," commercial interests another 2 million cubic yards to
are cited repeatedly as the dire consequences of maintain depths of navigable waterways. The dredged
pollution. Yet, as recently as the early 1950's many material from the harbors of industrial cities contains
people, including some in the scientific community, polluted materials, including agricultural sediments
believed that the Great Lakes were too large to be from upstream, which may be toxic to aquatic life
seriously affected by man's activities. Pollution of and have a high oxygen demand. Dredging is not in
tributaries, bays, harbors, and some inshore waters itself a new source of pollution, since the dredged
was evident, but the possibility that a body of water material is already in the Lakes, but the moving of
covering almost 10,000 square miles, such as Lake the material releases buried nutrients and produces
Erie, could be undergoing measurable changes was highly visible and odoriferous results which dramatize
not recognized until late in the 1950's. Nevertheless, the pollution problems. In response to criticism of
it has been well documented that all of the Great the practice of dumping spoil into offshore waters,
Lakes, except Lake Superior, have undergone signifi- the Corps developed an interim plan of diked disposal
cant changes in quality of their environments and for polluted sediments. This evoked criticism because
nature of their biota. the diked areas include marshes and lagoons from
Present use of Lake Superior for disposal of which nutrients continue to enrich take waters.
taconite iron ore waste has generated concern that Marshes play an important role in straining nutrients
this lake may also be subjected to significant quality from land wash and for that reason, as well as for
changes, and legal action has been taken in an providing a source of food for the lake fish, should be
attempt to stop the practice. preserved. For example, the filling of the "Black
Swamp" in the area of Toledo is considered to be one
Nature of Pollution of the principal reasons for the algal blooms in
western Lake Erie. The swamp had strained the
The Great Lakes have been used as a receptacle for nutrients from the Maumee River drainage. The
wastes, liquid and solid, discharged by industries, needed long-term solution, however, is pollution
municipalities, individual homes, and ships, or de- abatement in the rivers to prevent the offensive
posited as dredging spoil. Many industries and munic- material from reaching the lake in the first place, and
ipalities do not discharge directly into the Lakes, but selection of intake disposal areas where the dredged
the tributaries carry the effluent there. Most of the spoil material can be buried by sand on the lake
water withdrawn for municipal and industrial uses bottom.
from the Lakes is returned at lower quality. Treat-
ment removes many pathogens and toxic materials, Present Environmental Quality of the Great Lakes
but fails to remove nutrients, such as nitrogen and Water quality in most of the Great Lakes is better
phosphorus, and various other chemicals. Unlike
rivers, whose currents flush out these waste deposits, than a casual reading of the newspapers would lead
one to believe, although there are areas of very poor
The background studies for this section of the Commis- quality. Dissolved oxygen content of even the deepest
sion's report are: BEETON AM (1971). Man's effect on waters remains near saturation throughout the year,
the Great Lakes, Ch. XIV in GOLDMAN, Charles R except in Lake Erie and southern Green Bay. The
(1971). Environmental Quality and Water Development, coliform content is usually low in most open lake
prepared for the National Water Commission. National waters, and the 5-day biochemical oxygen demand is
Technical Information Service, Springfield, Va., Acces- usually less than I p.p.m. In general, the open waters
sion No. PB 207 114; and KELNHOFER, Guy T (1972). of all the Lakes are of good to excellent quality.
Preserving the Great Lakes, prepared for the National
Water Commission. National Technical Information Serv- The suspended nricroscopic plants and animals
ice, Springfield, Va., Accession No. PB 211442. comprising the planktonic community are the same

103

species found in other large, deep lakes of the change in the sediments. The oxygen demand of Lake
Northern Hemisphere. Many of them are cosmo- Erie sediments is about three times that of Lake
politan in distribution. Diatoms are probably the Michigan sediments and at least ten times that of
most important components of the algal com- Lake Huron sediments. Changes in the fish popula-
munities, although green and blue-green algae become tion of Lake Erie may be closely related to changes in
very abundant at times, especially in the nearshore the sediments, since all Great Lakes fishes, except
waters, in bays and harbors, and in Lake Erie, areas sheepshead, have eggs that settle and hatch on the
that have been influenced most by enrichment. bottom.
Most areas of Lakes Huron and Superior are Recent studies of Lake Michigan have demon-
nutrient poor, as evidenced by the high transparency, strated that it is unrealistic to assume that the entire
high dissolve d-oxygen content, low total dissolved volume of the Lakes is available for dispersion and
93
solids content, and nature of the biota. The dilution of domestic and industrial wastes. Inshore
offshore waters (greater than 19 miles from shore) of and offshore waters of Lake Michigan have pro-
Lake Michigan also have a high dissolved-oxygen nounced differences in concentrations of major nu-
content and relatively high transparency, but the trients, especially in the vicinity of urban centers and
concentrations of dissolved solids are higher. Portions along the east shore where most of the major
of Lake Erie have high phosphorus concentrations, tributaries enter the Lake.9-5 The inshore environ-
low transparency, an annual oxygen depletion in the ments are deteriorating at a much faster rate, with
bottom waters, abundant plankton, and high produc- greater concentrations of ammonia, nitrate,
tivity. 94 Lake Ontario receives nutrient rich waters organic-N, and soluble phosphate. The abundance of
from Lake Erie, but its great depth apparently does algae inshore reflects the differences in nutrients. The
not permit full utilization of the nutrients by the response is not limited, however, to increased algae
algae. Lake Ontario has a greater chemical content growth. The species composition of inshore areas and
than Lake Erie, but much of the biota consists of in bays differs from offshore, with eutrophic species
those organisms which are also important in Lakes common in the inshore zone of many areas.
Huron and Superior. Similar inshore -offshore differences have been
The Eutrophication Problem: Many of the changes demonstrated for Lakes Erie and Ontario. Thus, it is
which have taken place in Lakes Erie, Michigan, and the shallow water environments that are first altered,
Ontario indicate accelerated eutrophication, i.e., nu- and they are of the greatest importance for water
trient enrichment. Increases in nitrogen and phos supply, waste disposal, fish production, and recrea-
phorus, and decreases in dissolved oxygen content, tion.
are accepted indices of eutrophication. Most of the Man's Impact on the Fisheries: The decreased abun-
alterations in the biota have considerable significance dance of some species of fish can be attributed to
as indices of eutrophication also. Changes in species intensive fishing. In early years, the huge lake
composition and increased abundance of plankton, sturgeon were caught and purposely destroyed to
and decline and disappearance of salmonoid fishes, eliminate them from fishing grounds, since their large
have occurred in a number of small lakes undergoing size damaged gear used to capture other species. 96
eutrophication. Over 8 million pounds were caught in 1879, 5 million
It appears that many of the important changes in pounds in 1890, and 106,000 pounds by 1925. Only
the Great Lakes are those taking place in the 41,000 pounds were taken throughout the Great
sediments due to the entrance of tremendous Lakes in 1969 .97 The sturgeon has been protected
amounts of nutrients and organics. Major changes in since 1929, but its numbers have not increased, since
the characteristics of the lake bottoms and extensive
depletion of dissolved oxygen offer evidence of
91U.S. FEDERAL WATER POLLUTION CONTROL
S- 3BEETON AM (1965). Eutrophication of the St. Law- ADMINISTRATION (1968). Lake Michigan Basin, Physi-
rence Great Lakes. Limnology and Oceanography cal and Chemical Conditions.
10(2):240-254. 9 6 SMITH SM (1968). Species succession and fishery exploi-
94 BEETON AM (1969). Changes in the environment and tation in the Great Lakes. Journal of Fisheries Research
biota of the Great Lakes, pp. 150-187 in NATIONAL Board of Canada 25(4);667-693.
ACADEMY OF SCIENCES, Eutrophication: Causes, 97U.S. DEPARTMENT OF COMMERCE (1970). Great
Consequences, Correctives. National Academy of Sci- Lakes Fisheries 1969, Annual Summary, C.F.S. No.
ences, Washington, D.C. 5474.

104

many of the rivers and shallow areas otherwise the environment and biota. Increases in the chen-dcal
suitable for the species are severely polluted. content and abundance of plankton in Lake Ontario
Construction of the Welland Canal opened the closely parallel changes in Lake Erie.
upper Lakes to the predatory sea lamprey. The sea The effect of a rapidly increasing population is
lamprey attaches to other fish with its sucker-like beginning to show in Lake Michigan, although
mouth and feeds on the blood of its victims. A changes have been more gradual than in Lake Erie
lamprey destroys at least 20 pounds of fish during its and probably will continue to be more gradual,
life, and the lake trout is especially vulnerable to its because the volume of Lake Michigan is much greater
predation. Once spawning populations.of the lamprey than that of Lake Erie. The extent of change in Lake
were established, the lake trout fishery collapsed. The Michigan might have been much greater if the
annual lake trout catch was around 10 million pounds Chicago Sanitary Canal had not been constructed to
in Lakes Huron and Michigan during the 1930's; less divert wastes from Chicago away from Lake
than I nii1lion pounds were caught in these Lakes by Michigan. The long-term outlook for Lake Michigan is
1949. The sea lamprey has now been controlled in not encouraging, since the net addition and flow-
Lake Superior and the lake trout catch, which through of, water is small and most of the major
previously had fallen spectacularly, is now recovering. tributaries are seriously polluted.
Changes in the drainage basin of Lake Ontario, e.g., The possibility of improving conditions in Lake
damming and siltation of streams, made many of the Erie is somewhat better, since high-quality Lake
streams unsuitable for stream-spawning fish, such as Huron water enters the Lake via the St. Clair and
the Atlantic salmon. The salmon ascended various Detroit Rivers. Abatement of the pollution dis-
streams tributary to Lake Ontario in the pioneer charged into the Lake or its tributaries should
days, but rapidly declined in abundance and had eventually lead to improvement of conditions in Lake
almost disappeared by 1880.9" Erie, since it is theoretically possible to exchange the
Several developments between 1900 and 1970 entire volume of the Lake in about 3 years.
were especially important to later changes in the Municipalities contribute major inputs of phos-
Great Lakes. Several exotic species were introduced; phorus to the Lakes, as shown by data from the
for example, smelt, carp, and alewife, which com- International Joint Commission report on pollution
peted for food and thus replaced the natural species. of Lakes Eric and Ontario.9 9 Ten percent of the total
Also, the introduction of nylon ne ts undoubtedly had phosphorus comes from direct discharge into Lake
an effect in removing smaller fish and thus acceler- Erie. Municipalities also contribute about 55 percent
ating the effects of intensive fishing. The attempt to of the phosphorus inputs from tributaries to Lake
establish uniform fishing regulations was unsuccess- Erie. Together, municipal and industrial wastes ac-
ful, and overfishing of many stocks continued. The count for about 75 percent of the estimated total
sharp increase in industry and in the population in phosphorus input to Lake Erie and Lake Ontario, and
the region was also of major importance. Major urban it is estimated that up to 50 percent of the
centers were developing rapidly and sewerage systems phosphorus in municipal wastewaters comes from
were expanded to carry waste to the Lakes, under the detergents. Even larger amounts probably come from
assumption that the large volume of water in the runoff from agricultural lands. This ever-increasing
Lakes would dilute any pollutants to concentrations discharge of nutrients is a major factor in accelerated
harmless to the fisheries. eutrophication of the Lakes. The problem is com-
pounded since large amounts of nutrients are retained
Future Prospects or stored in the Lake, especially in the sediments.
As pointed out previously, pollution flows directly
Some of the changes in the Great Lakes, such as into inshore areas, bays, and harbors. The critical
increases in chemical content, increased abundance of
plankton, and changes in the characteristics of the 9 9 INTERNATIONAL LAKE ERIE WATER POLLUTION
lake bottoms, have been subtle, and were not BOARD & INTERNATIONAL LAKE ONTARIO-ST.
recognized until lake conditions were substantially LAWRENCE RIVER WATER POLLUTION BOARD
altered. Lake Erie has shown the greatest changes in (1969). Pollution of Lake Erie, Lake Ontario and the
International Section of the St. Lawrence River, report to
9 8 International Board of Inquiry for the Great Lakes the International Joint Commission. International Joint
Fisheries (1943). Report and Supplement. U.S. Govern- Commission United States - Canada, Washington, D.C.
ment Printing Office, Washington, D.C. p. 18. pp. 47-49.

105

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Untreated storm water pollutes watercourse near Chicago

areas now adversely affected are Green Bay, southern Water Quality Agreement between the United States
Lake Michigan, Saginaw Bay, the shores of the and Canada, will provide further impetus toward
Detroit River, western Lake Eric, southern shore of achievement of water quality standards under which
Lake Eric, and western Lake Ontario. The intensive the quality of the Great Lakes will be improved.
pollution abatement programs now being mounted in The complexities of the Great Lakes, including the
these critical areas will undoubtedly be a major step differing conditions within each Lake and the inter-
towards improving conditions throughout the Great relationships among the Lakes, makes the setting of
Lakes. intelligent water quality and discharge standards
The Great Lakes, as interstate waters, are subject extremely difficult. An enormous investment will be
to the Nation's water quality programs. All of the required to install and operate municipal and in-
Great Lakes States have established receiving water dustrial treatment facilities in order to meet par-
standards within their jurisdictions under the pro- ticular water quality standards in the Great Lakes
visions of the 1965 Act. The States have their own basin. It is imperative, therefore, that the standards
water quality programs, based upon State law, as be grounded firn-fly on facts and biological under-
well. In addition, the recently created Great Lakes standing and not on uninformed speculation. They
Water Quality Board, created under the Great Lakes must be precise and tailored to the wide variation of

106

After computing the expected variations in tides throughout the
tipper Bay, the tidal range was compared to the historic erosion rate
for all reaches at least 0.5 kilometers long which contained uniform
erosion and tidal characteristics. The results are shown in Figure
5.7. Most of the reaches which were suitable for analysis possessed
"low" rates of erosion. There are some slight differences in the
curves shown in Figure 5.7, but there are no strong differences in the
way tidal ranges are distributed between reaches with low, medium, or
high historic erosion rates,
Figure 5.7

HISTORICAL SHORELINE RETREAT (FT/YEAR)

Above: Figure 5. 7. Graph of relationship between the rate of coastal
retreat and Class 4 tides for the northern
Chesapeake Bay.
5-16

periodic assessments of water supplies by 4-12. Except in the event of default in performance
the Water Resources Council and the as determined through preestablished pro-
annual reports of the Council on Environ- cedures, States should have primary responsi-
mental Quality. bility for definition and implementation of
4-8. Regional or metropolitan waste management water quality standards, including the time
agencies organized under State authorization frame for implementation, and for regulatory
should be charged with planning and imple- and enforcement actions, including the is-
menting programs for collection and disposal suance and administration of the permit
of waterborne wastes. Such agencies should system. Federal agencies should avoid taking
provide for local or State decisionmaking with actions which interfere with or supersede
regard to techniques for meeting standards, legitimate State and local functions in the
financing the program, and enforcement. The implementation of the Nation's pollution
1972 Act should be amended to delete control program.
requirements for Federal control over the 4-13. The Congress should obtain greatly improved
organizational form of such agencies, leaving information on the cost effectiveness - of
the form of local government up to the Federal water quality programs, looking
States. toward providing assurance as to: (1) costs to
4-9. Water quality standards should be imple- the Nation of achieving alternative levels of
mented through a national waste discharge water quality improvement, (2) beneficial ef-
permit system, administered by State author- fects to be realized through the programs,
ities under Federal guidelines. The 1972 Act (3) probability of proposed programs
should be implemented by EPA in a manner achieving objectives, and (4) priorities for the
which will maximize the opportunity for abatement of pollution from alternative
early State assumption of responsibility for sources in various regional and local areas.
the issuance and enforcement of pern-tits. 4-14. Present education and training programs
Discharge limitations should be based on local should be continued and expanded as needed
receiving water standards, taking into account to meet manpower requirements. However,
the self-purifying capacity of natural water the level and composition of education and
bodies. Such capacity should be allocated, training programs should be justified on the
with appropriate safety factors, to existing basis of periodic surveys of the manpower
discharges, conservation and recreation re- needs for water pollution control programs of
serves, and a reserve for future discharges in State and local governments.
accordance with applicable land use and 4-15. Study of alternative methods of disposing of
comprehensive water quality plans. residues should continue, so as to provide
4-10. Permits issued under the national permit data to guide future decisions. This should
system should place dischargers in compliance include . a comprehensive survey by the
with Section 13 of the Refuse Act. National Oceanic and Atmospheric Admini-
4-11. The States should have primary responsibility stration to determine the extent of pollution
for information collection systems, but the throughout the coastal zone and adjacent
Federal Government should have responsi- oceanic areas and the Great Lakes.
bility for developing, in cooperation with the 4-16. Estuarine and lacustrine research programs of
States, both a national stream surveillance the Federal Government and of State agencies
system and a uniform data collection, storage, should seek improved bases for the establish-
and retrieval program, under the direction of ment of water quality standards for estuarine
the U.S. Geological Survey. and coastal waters and for the Great Lakes.

108

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Chapter 5
Improving Water-Related
Programs

Section A floods on the Mississippi, the Congress for the first
time accepted a limited responsibility for flood
3
control. But it was not until 1936 that it authorized
4
hitroduction a nationwide flood control program. Thereafter, the
scope of Federal responsibilities broadened with great
In this chapter the Commission briefly describes rapidity, as will be evident from the subsequent
and appraises the principal Federal water programs discussion of the present Federal water programs.
and offers its recommendations for their improve- These programs came into being one at a time as
ment. These programs came into being over a period the American people reached a consensus that a
of a century and a half during which fundamental problem existed and that it would be proper for the
changes took place, not only in the Nation's water Federal Government to play a part in solving that
problems, but also in the American people's concept problem. But throughout the almost two centuries in
of the proper role of their Federal Government. For which this was taking place the Nation was growing,
many years after the adoption of the Constitution it new demands were evolving, and the people's concept
was generally held that the Federal Government was of the role of the Federal Government was changing.
without power to undertake "internal improve - It is not surprising, therefore, that some of the basic
ments," other than improvements in aid of naviga- policies underlying these programs are inconsistent;
tion; and even this limited power was not finally and, in many respects, anachronistic when viewed in
established until 1824 when the Supreme Court held the light of what has happened since they were
that the Commerce Clause of the Constitution had established.
vested the Federal Congress with power over naviga- The Federal program to make the inland. water-
tion within all of the States.' In that same year, ways navigable had its beginnings in an era when the
appropriations were made for removing some minor young Nation had practically no transportation sys-
obstructions to navigation from the Ohio and Missis- tem for bringing the products of the border regions to
sippi Rivers. Additional navigation improvements its cities, or to its coastal harbors for export.
were authorized by subsequent Congresses. Not until Navigable waterways were essential if those regions
the 20th century did the Federal Government accept were to be settled, become productive, and thus make
major responsibility for water resources development the Nation stronger and its people more prosperous.
for other purposes. In 1902, the Congress utilized the There being but few settlers in the undeveloped
Property Clause of the Constitution as a base for the hinterlands, it was obvious that if the waterways were
Reclamation Act.' Fifteen years later, after great to be built the Nation as a whole would have to bear
'Gibbons P. Ogden, 22 U.S. 1 (1824). 'Federal assistance for the control of floods on the
Mississippi and Sacramento Rivers was authorized by the
2A@t of June 17, 1902, P.L. 161, 57th Congress, 32 Stat. Act of March 1, 1917, P.L. 367, 64th Congress, 39 Stat.
388. 948. The Mississippi authorization was broadened by the
- Act of May 15, 1928, P.L. 391, 70th Congress, 45 Stat.
534.
Increased recrea *tional use adds a new dimension to 'Act of June 22, 1936, P.L. 738, 74th Congress, 49 Stat.
water development 1570.

the cost. Today, the regions served are highly develop- important uses of water resources. The people of the
ed and the beneficiaries of new waterways are in a United States give far greater weight to environmental
position to help pay for them. Moreover, the Nation and esthetic values than they did when many of the
has a nationwide transportation system providing water policies still in effect were enacted into law. In
alternatives to waterway transportation. The problem short, present conditions and needs differ greatly
is no longer one of developing the only practicable from those that existed when the Nation's most
means of transporting goods, but of developing the costly water programs were, for reasons good and
most efficient combination of transportation modes. sufficient at the time, brought into being. This
The Federal Reclamation Program came into being Commission concluded early in its life that it had no
when many were seeking homes on the land, and in more important task than that of reappraising exist-
an era still strongly influenced by the American ing policies and programs in the fight of changed
dream of a great unified Nation extending from the conditions and needs, and of distilling from the
Atlantic to the Pacific. Today, farming is highly results of these appraisals guidelines for bringing the
mechanized, the United States has an agricultural water policies and programs of the United States into
plant capable of producing food and fiber in excess of consonance with the needs of the Nation in the
the Nation's needs, and the movement of people is remaining decades of the 20th century.
from the land to the cities. The long-term trend, beginning with the justly
When it was authorized, the nationwide Federal celebrated "Conservation Crusade" of the present
flood control program was an expression of the desire century, has been toward comprehensive multiple-
of the majority to help their unfortunate fellow purpose programs for major river basins. This trend
citizens in those cities that had developed from early has been accelerated by the enactment of the Water
settlements on river banks which had grown beyond Resources Planning Act of 1965,' and there can be
the point at which a new start was economically no doubt that when Congress enacted this law, it
feasible. This humanitarian motivation was reinforced took a long step in the right direction. But it failed to
by the need for a program of public works to get modernize the policies that govern the components of
people back to work in the depths of a great the comprehensive programs contemplated by the
depression. Very few could foresee that this program Act. The navigation component is still planned and
would be continued long beyond the time when the carried out under policies designed to meet condi-
major flood problems that inspired it had either been tions and demands existing in a nation just beginning
solved or could be addressed mor@ effectively in to expand into vast undeveloped regions. Those
alternative ways. Probably none could foresee that components that increase the productive capacity of
today the Federal Government would be building the Nation's agricultural plant are governed by
works to increase the value of agricultural lands in policies fashioned during a period in which no one
river bottoms, and even to provide protection for the dreamed that there would be a time when the Federal
narrow flood plains of the smallest creeks; problems Government would be forced to establish programs to
of such small magnitude that they can easily be reduce the production of food and fiber. Some flood
solved by local entities, or in some instances, by the control projects, undertaken under policies initially
States. Today, the major problem requiring solution intended to rescue already imperiled people and
is not one of stopping damages already being exper- property, are being used to make possible more
ienced, but of keeping more flood problems from intensive use of flood plain lands. The prospect of
developing. The Nation has had little success in this, future flood protection at little or not direct cost to
as is shown by the fact that flood damages continue landowners is encouraging them to develop flood
to increase despite the billions spent for protective plain lands. Thus, policies that were intended to put
works. an end to flood losses tend to create now flood
The major water problems of today were of little problems faster than the Nation can solve its old
consequence when the Nation decided to assume ones. These are evidence that the Nation has not kept
responsibility for navigation improvements, reclama- its water policies and programs up to date. it
tion, and flood control. Today, the United States is indicates that the kinds of programs the Water
faced with a tremendous problem of pollution con-
trol. The great majority of its citizens live in cities,
and the water problems of the urban areas cry out for 'P.L. 89-80, July 22, 1965, 79 Stat. 244, as amended, 42
attention. Recreation has become one of the most USCA 1962 et seq.

112

uniform. The results are plotted in Figure 5.9 . As in the case of

the comparison based on tides (Figure 5.7), most of the reaches

suitable for analysis possess "low" historic rates of coastal retreat,

and there are no general differences in the way predicted "100-year"

storm surge levels are distributed between reaches with low, medium,

or high historic erosion rates.

Figure 5.9

Above: Fiqure 5.9 Graph of relationship between the rate of coastal
retreat and the predicted "100-year" storm surge
height for northern Chesapeake Bay.

opposite: Fiqure 5.10. Height-Frequency estimates of storm surges for the
Maryland Bay shore.

5-22

pipeline. The proportion of the total traffic carried Since the beginning of the Federal program in
by inland waterways has increased from about 4 1824, the Corps of Engineers has been responsible for
percent in 1950 to 10 percent in recent years. its planning and execution. In the early years of the
Federal expenditures for the improvement of the Nation, States undertook the construction of water-
inland waterway system had totaled $3.2 billion9 by ways. One of the most famous, as well as the most
June 30, 1971. The cost to the Federal Government successful, of the State projects was the Erie Canal
of operating and maintaining the system has been built by the State of New York. Later, it was rebuilt
14
running over $80 million annually. Under present as the State Barge Canal and is still in operation.
policies, the Federal Government usually bears the However, the other State canal projects have been
full construction cost of improving waterways for abandoned or replaced by Federal waterways.
commercial use, but non-Federal interests are From the beginning of the Federal program, there
required to provide lands, easements, rights-of-way, has been a strong demand for waterway projects in
and spoil areas and provide and maintain public the belief that the "low cost" transportation thus
terminal and transfer facilities. permitted would stimulate economic development in
In 1970, there were 1,849 transportation com- the less developed regions of the Nation. The con-
panies operating on the inland and coastal waterways. struction of waterways has also been used as a means
Only 141 of these were subject to regulation by the of forcing reductions in railroad freight rates. For
Interstate Commerce Commission. The 1,849 com- these and other reasons,@ many parts of the country
panies operated almost 24,000 vessels of which about still seek projects to make their rivers more navigable.
three-fourths are unpowered barges." The largest The Corps of Engineers has made reports on a
barges now in use have a capacity of 3,000 tons, a number of potential waterways and the Congress has
load that would fill 55 average sized railroad freight authorized the construction of an additional 2,351
cars or 30 of the big new ones. Barges are joined into miles of waterway, the cost of which is presently
"tows" which are generally pushed' ' by diesel- estimated at $4.6 billion. Other possible waterways
powered towboats. Towboats with powerplants of not authorized, but supported by the regions that
4,000 horsepower are fairly common. Such a vessel would be benefited, would have an aggregate length
can handle up to 20,000 tons of freight in a single of 2,514 miles and, according to preliminary esti-
tow. Towboats with powerplants of 8,500 horse- mates, would cost about $5 billion.' 5
power have proven practicable on the Mississippi During recent years, a counterforce, has come into
River. Average charges to shippers of moving bulk play in the form of an increased public interest in the
commodities on the waterways are said to be about 3 impact of waterway construction on the environ-
mills per ton-mile" and average transportation ment. This force has resulted in the stoppage of
savings over alternative means of transportation have construction work on one project, the Cross-Florida
been estimated by the Corps of Engineers to average Barge Canal Project, and in the future it may be much
5 mills per ton-mile. 1 3 more difficult to obtain authorizations or appro-
priations for new waterway projects than has been
9N6t converted to present dollars- Information furnished the case in the past.
by Corps of Engineers.
10 BLOOD, Dwight M (1972). Inland Waterway Transport APPRAISAL OF THE PROGRAM
Policy in the U.S., prepared for the National Water The Federal inland waterway program has been
Commission. National Technical Information Service,
Springfield, Va., Accession No. PB 208 668. pp. 11-10, appraised by many study commissions and similar
11-13. bodies since its beginning almost a century and a half
Except on the Gulf Intracoastal Waterway where they are ago. The National Water Commission has reviewed
pulled. the findings of the principal previous studies, as well
1 2AMERICAN WATERWAYS OPERATORS (1973). as the results of an independent study made for it by
Statement of Braxton Carr, President, at Washington
Conference, National Water Commission, February 9, 1 4 The State of New York is seeking Federal participation in
1973. the operation, maintenance, rehabilitation, and improve-
13U:S. CONGRESS, Senate Committee on Public Works ment of the State Barge Canal. It is also considering
(1955). Hearings on Flood Control, Rivers and Harbors, legislation to impose user charges on the carriers using
and Miscellaneous Projects, S. 414, S. 524, and S. 1069, this waterway.
84th Congress, Ist Session. Statement of Lt. Gen. Samuel Information on potential waterways furnished by U.S.
D. Sturgis, Chief of Engineers, April 18, 195 5. p. 3 1. Army Corps of Engineers.

114

Professor Dwight M. Blood of the University of Deficiency in the Present Cost-Sharing Policy
16
Wyoming. There is no need to repeat all of the The Federal waterway improvement program had
findings of these reports here, since the reports are its beginnings when the major reason for providing
readily available. The principal deficiencies pointed transportation facilities-then limited to waterways
out in these reviews may be briefly stated as follows: and roads-was to induce the settlement and eco-
First, a major weakness of the present program nomic development of regions that were essentially
stems from deficiencies in the procedures by which uninhabited. This was an overriding national purpose.
it is determined whether or not a proposed When a region to be served by a waterway had few
waterway project would result in a justified addi- people living in it, there was no way for local
tion to the national transportation system. beneficiaries to assume any part of the cost of
Second, a major weakness of the legislative policies improvements and it was in the national interest for
governing the present program is that they do not the Federal Government to bear these costs. As time
require beneficiaries to share in the cost of passed, other means of transportation were devel-
constructing, operating, and maintaining Federal oped, and the regions served by waterways increased
waterway projects. in population and affluence. The national purpose of
Third, the inland waterway system is inescapably pushing back the frontier and developing under-
an element of the national transportation system. developed regions was achieved. Eventually, railways,
Yet, the waterways are not planned, evaluated, or highways, and pipelines were developed, and improv-
regulated as a part of the national transportation ing technology made the waterways a highly efficient
system. and competitive mode of transport, the costs of
which can easily be paid by the direct beneficiaries.
Deficiency in Evaluation Procedures However, the policy of Federal assumption of prac-
tically all costs which had been established during the
This deficiency is serious, but calling attention to formative period of the Nation's economic growth
its existence should not be interpreted as an attempt has never been adjusted to take into account the
to cast doubt upon the economic justification of present competitive situation in the Nation's trans-
waterway improvement as such. Some of the existing portation system. New waterway projects serving
waterways have undoubtedly reduced the real cost of highly developed regions are still being installed
transportation to the Nation by amounts greatly entirely at Federal expense, paid for from the general
exceeding the costs of providing them. For example, revenues. Commercial users of inland waterways pay
there can be no doubt but that the improvement of no Federal fuel tax, nor any lockage fees or other
the mainstem of the Ohio River has been a sound form of remuneration for the cost of providing and
investment for the Nation. But there is a tendency to maintaining the waterways. A change in the policy
conclude that because some waterways have contri- governing the division of the cost of waterway
buted greatly to the prosperity of a region or the projects between the public Treasury and those who
Nation, all waterways are, or will be, justified. This is directly benefit from the low-cost transportation
a very old mistake. The success of the Erie Canal, facilities is long overdue. The lack of an equitable
built by the State of New York early in the last cost-sharing policy is a major weakness of the present
century, brought on a great demand for similar waterway program.
waterways in other States. Many of the waterways
built by the States and private enterprise turned out Failure to Treat Waterways as Elements of a National
to be financial failures. Modern economics has pro- Transportation System
vided much more reliable methods for predicting The third major defect stems from the fact that to
what effect a contemplated waterway project would date the United States has failed to develop a really
have upon the national income. Yet, projects are still effective national transportation policy, and hence
undertaken that could not pass the test of an has not achieved a national transportation system
unbiased economic evaluation. that meets the transportation demands of the United
States at least cost to the public as a whole. The
present situation is well characterized in a report,17
16BLOOD, Dwight M (1972). Inland Waterway Transport
Policy in the U.S., prepared for the National Water "U.S. DEPARTMENT OF COMMERCE (March 1960).
Commission. National Technical Information Service, Federal Transportation Policy and Programs. U.S.
Springfield, Va., Accession No. PB 208 668. Government Printing Office, Washington, D.C.

115

The basic equations are:
and 5.1 5.2
Here "H" is the significant wave height (defined as the average height

of the highest third of the waves) and "T" is the corresponding wave

period; "g" and "U" are gravity and wind speed, respectively, and "F"

is the fetch (the distance over which the wind blows). These equa-

tions are based on North Sea wave data and are valid for an infinite

depth.

To incorporate depth effects, a reduction factor 'r' is

introduced to reduce the wave height as a result of bottom friction.
5.3
and

5.4
where "k" wave number (2 /L) and "h" is the water depth. The factor

"f" is a friction factor, which generally is taken as 0.01 for sandy

areas. The x is the distance travelled by the wave over a shallow

bottom of depth "h". For computational purposes, a given distance is

broken down into numerous lengths " X" of assumed constant depth.

The computational procedure consists of a number of steps.

1. The water surface is overlain by a fan of rays emanting from
the shoreline point of interest. This fan is symmetrically

5-25

issued by the Department of Commerce in 1960, in national transportation system. This subject is treated
the following words: broadly in Chapter 10 of this report in the section on
National transportation is presently out of bal- evaluation. However, the problem of evaluating
ance. It is less a national system than a loose waterway projects is rendered unique by the fact that
grouping of individual industries. We have built a the Congress has, for this one type of water project,
vast network of highways, railways, inland enacted into law certain procedures for determining
waterways and seaports, airways and airports, the desirability of the construction of a contemplated
and pipelines, with little attention to conflict waterway. This it did by including in Section 7 of the
among these expanding networks. Economic Department of Transportation Act of 1966 a provi-
regulation has been administered in rigid com- sion requiring a determination of the probable effect
partments although many basic problems are of the waterway on the cost of transportation to
common to many areas of transportation. Total shippers.18 While there can be no objection to
capacity is not closely geared to total need. requiring the report on a waterway to show the
Although the remedy lies in the development of an potential savings to shippers, this is not a measure of
effective national transportation policy, it is impossi- the economic benefits of a waterway. From the
ble to separate water policy and transportation policy standpoint of the Nation, a waterway project is
insofar as inland waterways are concerned. A water justified only if it will reduce the economic-i.e.,
commission is not in a position to deal with this "real"-cost to the Nation of providing the transport
problem in its entirety. Nevertheless, it is services in question, and if the benefits derived exceed
appropriate for this Commission to call attention to these costs. An estimate of the savings to shippers is
the fact that the national transportation system can of little value in determining whether a proposed
never attain optimum efficiency until its waterways waterway should be built, for a number of reasons
become an integral component of that system, and not the least of which is that these so-called savings
are utilized in such a way as to minimize the total may be wiped out after the investment is made if the
cost to the Nation of meeting its transportation competing mode-such as a railroad -reduces its rates '
needs. It is also appropriate for this Commission to This is not true of reductions in economic costs. They
point out that when waterway user charges are represent the value of the resources, including labor,
imposed, as recommended in this report, and institu- required to provide the transportation service, and
tional arrangements require that the rates charged by hence do not change if rates change. It follows that a
other. modes of transportation realistically reflect comparison of economic costs must be made to
economic costs, freight which can move on the determine whether the construction of a waterway
waterways at the least real cost to the Nation will be would reduce the real cost to the Nation of providing
encouraged to move by water. Finally, it is proper for needed transportation services.
this Commission to emphasize the importance of It is the view of this Commission that it would be
initiating a vigorous effort to 'achieve the goal of an desirable for reports on potential waterway projects
efficient and fully coordinated national transporta- to show both the "savings to shippers" as required by
tion system, and as a first step to improve the data Section 7 of P.L. 89-670, and a comparison of the
base for such an effort. true economic costs of transportation by the water-
DISCUSSION way and by the least-cost alternative mode-rail,
truck, pipeline, or combinations thereof- and the
The Commission's review of the three areas of associated benefits. The Congress and the public
deficiency leads to consideration of remedies which would then know three things: (1) what shippers
would modernize the Nation's waterway policies by might save, either by shifting their shipments to the
improving evaluation procedures, promoting more waterway or as a result of the competing mode
equitable cost-sharing arrangements, and lead to reducing its charges; (2)what "real" savings would
better utilization of waterways as elements of a accrue to the Nation if the waterway were con-
national transportation system. structed; and (3) whether construction of the water-
way is economically sound. Unfortunately, and in the
Improving Evatuation Procedures opinion of the Commission unnecessarily, Section 7
First, there is an urgent need to improve the
procedures by which the decision is reached that a P.L. 0-670, October 15, 1966, Sec. 7, 80 Stat. 931, 942,
particular waterway project should be added to the 49 USCA 16S6.

117

has been interpreted as requiring the executive branch uniform on all segments of interconnected water-
to confine its analysis to a determination of the first ways, such as the Mississippi River and its tributaries.
figure. The law does not prevent the executive branch The Commission believes this would be feasible.
from applying any test of desirability that it considers At the hearings on its draft report, Commission
essential to determining whether or not a project is in members repeatedly asked witnesses who represented
the national interest. The Commission believes the inland waterway interests what distinction they saw
economic test should be included in any future between on the one hand, trucks which must pay user
evaluation of a proposed navigation project and that charges in the form of license fees, toll charges, and
Congress should amend Section 7 to require that an fuel taxes and, on the other hand, barge tows which
economic evaluation be made in addition to the pay no such user charges. Some witnesses replied that
estimation of the savings to shippers. trucks carry a different kind of cargo than barges,
typically a higher-value cargo. Most asserted that
Improving Cost-Sharing Policy trucks do not pay 100 percent of the cost of the
As indicated previously, there is no longer any highways they use; that passenger car owners and
rational justification for assumption by the Federal general taxpayers pay part of the cost. In view of the
Treasury of the entire cost of constructing, operating, Commission's recommendations as to the charges to
and maintaining navigable waterways. Once this is be collected from users of existing improved water-
accepted, the problem becomes one of deciding what ways-which would apply to recreational as well as
share of the cost should be home by non-Federal commercial craft, and would not in fact reimburse
interests, and what is the best way to collect that the Federal Government for 100 percent of the costs
share. Many who have advocated cost-sharing have of improving the waterways=the Commission regards
proposed that the carriers operating on Federal these attempted distinctions as being without any real
waterways be required to pay tolls, or user charges. difference. Furthermore, the user charges that are
Others have suggested a fuel tax.'9 Another means, collected by Federal and State governments in the
less frequently proposed, would be to require the form of fuel taxes do pay 100 percent of the
carriers to maintain a record of their use of Federal costs of constructing and operating the Federal
interstate highway system, and proposals to divert a
waterways, probably in terms of ton-miles, and portion of the revenues from these charges to mass
periodically to submit a report somewhat like an transit subsidies are being seriously considered.
income tax return, along with a payment of whatever It is the view of the Commission that for water-
tax might be due for the number of units of use ways built in the future, the entire cost -con struc.tion
reported. costs as well as operation and maintenan e costs-
After considering these approaches, the Commis- c
sion arrived at the conclusion that for existing should be borne by the direct beneficiaries of the
waterways recovery of construction costs already project. It would not, however, be desirable to
incurred is impractical and that the most practicable require the repayment of the construction costs of
system for recovering future operation and mainte- new waterways in the form of user charges as this
nance costs would be a combination of a fuel tax and could result in the user charges for the new water-
lockage charges. The fuel tax should be paid both by ways being several times larger than those collected
commercial and pleasure craft. The lockage charges on the old waterways. A preferable system would be
might be collected as lockage fees at each passage one under which the user charge collected on a -now
through the lock of a commercial vessel and by sale waterway would be the same as the charge for. a
of annual lock permits to recreational vessels and comparable old waterway in the same region, and
other small craft. An alternative for commercial which would require that an appropriate non-Federal
vessels would be for the lockmaster to record their entity" or a Federal or Federal-State corporation2l
passage and bill each company on a monthly or agree, in advance, to repay the construction cost,
quarterly basis. It appears to be the view of some with interest, in installments over a period of years, in
representatives of inland waterway shipping interests 20 Perhaps a State, or an interstate compact commission,
that if user charges are imposed they should be where more than one State should contribute.
21 Patterned after the St. Lawrence Seaway Development
Pr@sidents Kennedy, Johnson, and Nixon have supported Corporation, perhaps, or similar to the Delaware River
fuel tax legislation, but the Congress has not seen fit to Basin Commission or a federally chartered regional
enact such legislation. corporation as discussed in Chapter 11 of this report.

118

a manner similar to that in which non-Federal entities recover any part of the sunk construction
presently reimburse the Federal Treasury for capacity cost.
provided in Federal reservoirs for the storage of water (2) For "new" waterways, it would be desirable
to be used for municipal and industrial supply. The for the Federal Government to require that in
costs of operating and maintaining the new water- advance of construction an appropriate entity
ways would, under such a scheme, be covered by the other than the Federal Treasury agree to
fuel taxes and user charges collected from the users of repay the construction cost, with interest,
all components of the waterway system. over a specified period of years. Costs of
The cost to the Federal Government of operating operating and maintaining the new waterways
and maintaining the shallow-draft inland waterways should be collected from the users, the same
averaged about $73 million annually for the 5-year as for existing waterways.
period 1968-1972, inclusive." The commercial traf- There are a number of reasons for requiring future
fic on these same waterways during this 5-year period costs of waterways to be paid by the users rather than
amounted to something less than 200 billion ton- the Federal taxpayers. One of these reasons has
miles. Had a user charge system to recover the entire already been mentioned: If non-Federal interests
cost of operating and maintaining these waterways agree to repay the first cost -of a waterway, the
been in effect during that period, the user charge per Congress and the public can be sure that those urging
ton-mile should not have amounted to more than the project are sincere in believing that it is justified.
about 0.4 mil ($.0004) per ton-mile of commercial Thus, cost-sharing requirements would be effective in
traffic, since recreational traffic would also bear part eliminating political pressures from a group seeking a
of the cost." Although numerous statements were project for no other reason than that they expect it
made at the Commission's regional conferences to the to be paid for by the Federal Treasury.
effect that user charges would seriously reduce or Another reason for requiring cost-sharing is that it
even eliminate the use of inland waterways, no solid is essential to prevent the inequity that results when
evidence was offered in support of such statements. those who benefit substantially from the construction
On the contrary, testimony as to the wide disparity in of a public work pay no more of its cost than those
favor of water rates over rail and truck rates suggested who receive no benefits whatsoever, and who may
that for the principal waterways traffic would not be even be adversely affected because they reside in a
diverted by user charges such as those recommended region that will be placed at a disadvantage by a
by the Commission. project that stimulates the economy of a competing
In summary, the Commission believes that: region.
(1) For existing, or "old," waterways, the aim User charges on waterways can also help eliminate
should be to recover, through a combination inequities between different modes of transportation
of fuel taxes and lockage charges, a progres- that result from uneven Federal policies. The rail-
sively increasing annual total that would, by roads believe it is inequitable to require them to
the end of 10 years ', and indefinitely there- compete with carriers who pay nothing for the use of
after, be sufficient to cover the entire Federal waterways provided at public expense. The problems
annual expenditure for operation and main- involved in imposition of user charges to correct this
tenance. No attempt should be made to inequity are complicated by the deficiencies in
present laws governing the regulation of transporta-
Data provided by the U.S. Army Corps of Engineers. The tion rates. The principal objective of regulation
amount shown does not include the cost of operating and should be to achieve a national transportation system
maintaining those lower reaches of major rivers that are that meets the Nation's transportation needs at least
used by deep-draft vessels. The annual operation and cost. To ass ure that this goal be achieved, it is
maintenance costs for these deep-draft sections averaged essential that waterways be used to transport freight
about $13.5 million for the 5-year period 1968-1972. that can move by water at a lesser real cost to the
1111iformation furnished the Commission by Professor Nation than by any other mode of transportation.
Marvin Barloon of Case Western Reserve University But present regulation by the Interstate Commerce
suggests that from 15 to 20 percent of the marine fuel Commission does not always prevent competing
consumption in the Mississippi River and tributaries and modes from reducing their rates below cost for the
Gulf coastal waterways might be for pleasure boat
operation. (Letter dated February 21, 1973, to Com- purpose of diverting from the waterways traffic that
missioner James R. Ellis.) could move at a lesser real cost by that mode. For

119

this reason, the Commission believes that when the transportation system would be frustrated. However,
Congress imposes user charges on waterways it must the Commission believes that the Congress by setting
also make possible such regulation of rates as may be up and overseeing the right kind of transportation
necessary to insure that each mode of transport is regulatory agency could provide reasonable assur-
used to the best advantage of the Nation as a whole. ances that such agency would not favor one form of
Regulation should require that all rates be compen- transportation over another, but allow each to carry
satory, and filed with at least 30 days notice, to that cargo which from the standpoint of the national
preserve rate stability, but otherwise should promote, interest it carries best. If Congress does not create such
rather than stifle, competition among various modes. a body, it cannot establish and enforce a rational
national transportation policy.
Better Utilization of Waterways as Elements of a
National Transportation System RECOMMENDATIONS
The foregoing leads directly into the third defi- 5-1. Any report proposing a Federal inland water-
ciency mentioned which presents a problem that lies way project should provide an estimate of the
somewhat outside the proper sphere of interest of the true economic cost and benefit to the Nation
National Water Commission, since it involves both of providing the contemplated transportation
transportation and water policies. Nevertheless, the service, and a comparison thereof with the true
Commission believes it has an obligation to recorri- economic cost of providing this service by the
mend that provisions be made at an early date for a least-cost alternative means. Ibis should be in
vigorous attempt to determine the changes in national addition to the estimate presently required by
transportation policy that will insure that waterways Section 7 of the Department of Transportation
shall be used most effectively and equitably as an Act of 1966.
important element of the national transportation 5-2. Legislation should be enacted to require non-
system. The complex problems involved cannot be Federal interests to bear an appropriate share
solved by simply requiring carriers to pay for the use of the cost of Federal inland waterway pro-
of the public waterways. jects. Such legislation should require: (a) that
Pending the development of a better solution to carriers and pleasure craft using inland water-
this problem than any that has been previously ways be required to pay user charges such that
proposed, two courses of action should be pursued: the total collections on all Federal waterways
(1) The Congress should seek to assure that the would be sufficient to cover Federal expendi-
Nation's great investments in waterways shall be tures for operation and maintenance of the
used-to the extent that their use is economically entire system; (b) that within the bounds of
justified-by requiring that the rates charged by other administrative practicability the user charges
modes of public transportation be so regulated that should consist of a uniform tax on all fuels
the imposition of user charges would not have the used by vessels operating on the inland water-
effect of shifting to these other modes any traffic ways, plus lockage charges at rates sufficient to
that can move at lesser real cost by water; and (2) the repay the cost of operating and maintaining the
executive branch should take steps to make available locks within integral segments of the total
a more adequate data base to those who must waterway system; (c) that charges be imposed
ultimately find an answer to the difficult and gradually over a 10-year period and increased
complex problem of bringing into existence the best progressively so that by the end of that
possible national transportation system. period they will be sufficient to recover annu-
The Commission recognizes the concerns expressed ally the entire cost of operating and maintain-
by knowledgeable witnesses at the hearings on its ing the Federal inland waterway system; and
review report to the effect that inland water carriers (d) that as a condition for Federal construction
could not expect fair treatment if they were placed of future inland waterway projects responsible
under the regulatory jurisdiction of the same Federal federally chartered or non-Federal entities be
agency that regulates rail and truck carriers. Simply required to enter into agreements to repay the
stated, the water carriers fear that the agency would construction costs, including interest, over a
be pro-railroad or pro-truck. If such fears proved specified period of years unless the Congress
well-founded, the Commission's recommendation determines that a particular waterway will
that waterways be treated as part of a national result in national defense benefits sufficient to

120

justify assumption of a part of the cost by the legislative actions as may be required to bring
Federal Government. into being an integrated national transportation
5-3. Any legislation requiring the payment of water- system in which all modes of transportation,
way user charges should also authorize and including inland waterways, are utilized in such
direct the Federal transportation regulatory a way as to reduce to a practical minimum the
agencies to regulate rates for all competing cost to the Nation of meeting the demands for
modes of transportation in such a way as to transportation. To prepare the way for the
encourage the use of the waterways for any development of such an integrated and ef-
traffic that could move by that mode at the ficient national transportation system, the De-
least economic cost to the Nation. partment of Transportation should develop and
5-4. The Department of Transportation should submit to the President and the Congress
broaden and intensify its efforts to improve recommendations designed to provide the data
national transportation policy. It should base that will be needed to achieve the objec-
develop a plan for such administrative and tive of this recommendation.

Section C
Food and Fiber Programs:` Increasing Agricultural
Production Through Water Resource Development

The Federal Government has a number of water ments, for example, encourage intensive farming on
resources development programs that increase the land remaining in production, with heavy inputs of
number of acres in the Nation's agricultural land base water and fertilizer. Production quotas, on the other
or that increase the productivity of the agricultural hand, would tend to discourage intensive farming.
land now farmed. These programs encompass three The alternative futures analyzed in the study25 of
principal activities: supplying irrigation water, pro- future demands for water and land for agriculture
tecting agricultural land from floods, and draining included alternative hypotheses as to future farm
land for agricultural use. The issue to be faced in this policies, The Commission's mandate, however, does
section is whether these programs should be con- not extend to an evaluation of farm price support
tinued at present levels, expanded, or reduced. programs and no recommendations on them are
made. 26
The Commission has made no attempt to evaluate In the balance of this section, there follows a brief
the farm price support programs of the Federal description of the programs and an inquiry into
Government, even though the size and nature of present and future demand for agricultural pro-
those programs may affect the demand for water and duction and the adequacy of present and futue
land. Land retirement programs and acreage allot- resources to meet the demand.

24nis discussion excludes problems of forest products on National Technical Information Service, Springfield Va.,
which the Commission has made no study and expresses Accession No. PB 211444.
no opinion. The discussion also excludes measures un- 26Recent developments suggest a trend toward the free
related to water resources that are aimed at increasing market policies assumed in 9 of the 11 alternative futures
agricultural production, such as research and extension analyzed in the Iowa State University studies. The
programs. Department of Agriculture has reduced the acreage set
aside in the land retirement program for 1973, and in
25HEADY, Earl 0 et al., Iowa State University (1971). testimony before the Agriculture Appropriations Sub-
Agricultural Water Demands, prepared for the National committee of the House Committee on Appropriations
Water Commission. National Technical Information on February 21, 1973, Secretary of Agriculture Earl L.
Service, Springfield, Va., Accession No. PB 206 790; and Butz announced that the Administration intended to
MADSEN, Howard C et al., Iowa State University (1972). propose modifications in the domestic farm programs to
Alternative Demands for Water and Land for Agricultural move agriculture toward greater independence and
Purposes, prepared for the National Water Commission. greater reliance on the marketplace.

121

DESCRIPTION OF FEDERAL PROGRAMS over 2 million ponds and pits providing water for
agricultural use."
Three departments of the Federal Government are The small watershed program of the SCS under
responsible for the principal water supply, flood Public Law 566 has led to authorization for the
control, and drainage programs. The Bureau of installation of more than 1,000 projects (as of June
Reclamation of the U.S. Department of the Interior is 30, 1971) at a cost of about $2.3 billion. These
principally concerned with irrigation in the 17 West- projects deal with watersheds totaling roughly 66
ern States. It supplies raw, arid land with irrigation million acres, but no estimate of the agricultural land
water, thereby bringing new land into agricultural benefited or the crops which will be produced on
production, and it provides supplemental irrigation those lands is available in a form useful for making
water for lands already in cultivation, thereby main- policy recommendations. Stream channeling for
taining or increasing their productivity. The U.S. drainage and flood protection is part of the small
Army Corps of Engineers provides flood control and watershed program, and estimates indicate that more
drainage for land presently being cropped as well as than 20,000 miles of streams will be altered. Some
for potential cropland. The Corps also furnishes some 6,000 miles of channel alterations have already been
irrigation water. The U.S. Department of Agriculture completed at a cost of $166.5 million.2 8 In January
has two agencies engaged in water control programs. 1972, slightly under 3,000 applications for grants
The Soil Conservation Service (SCS), operating under under the program were pending for a like number of
Public Law 566 of the 83rd Congress, provides flood small watersheds embracing 227 million acres.2 9
protection and drainage for small, upstream water-
sheds. Some irrigation water is supplied from these Corps of Engineers Programs
projects. The Department's Agricultural Stabilization Flood Control and Drainage: The nature of the flood
and Conservation Service (ASCS) has an extensive control program of the Corps of Engineers results in
program of financial assistance for drainage of agri- the protection of large amounts of agricultural lands
cultural land to enhance its productivity. The extent surrounding urban and suburban developed areas. In
of the increase in farm productivity resulting from addition, large areas of low-lying lands have been
drainage and flood protection programs is not easily reclaimed through Corps of Engineers flood control
documented, since neither the Corps of Engineers nor and major drainage projects, particularly in the vaHey
the Agriculture Department publish such data. On the of the lower Mississippi River and its tributaries, and
basis of the acreage involved, it is likely that the in Central and Southern Florida. The Corps of
Department of Agriculture's program has the largest Engineers does not publish data that permit an
impact on crop production, followed by the Corps of analysis of the costs per acre of draining or protecting
Engineers and Bureau of Reclamation programs, in arable land from floods, nor does it publish data on
that order. Programs of other agencies, such as the the incremental amount of agricultural production
Tennessee Valley Authority and the International that results from its flood control and drainage
Boundary and Water Commission, have a much lesser projects. Gross figures on land suitable for agriculture
effect and are not discussed herein, but the same that has been or will be protected by Corps flood
policies adopted for the major programs should be
extended to them. 27 U.S. DEPARTMENT OF AGRICULTURE, Agricultural
Stabilization and Conservation Service (October 1971).
Agricultural Conservation Program, Practice Accomplish-
ments by States, 35 Year Summary, 1936 Through 1970.
Department of Agriculture Programs U.S. Department of Agriculture, Washington, D.C. pp.
97-99, 111, 112, 166-168, and 179-181.
Some conception of the magnitude of the Depart- "The Commission's views on channelization are contained
ment of Agriculture programs is revealed by gross in Chapter 2.
expenditures and other operational data. The Agri- 29 U,'S. DEPARTMENT OF AGRICULTURE (March 1972).
cultural Conservation Program of ASCS and prede- inventory of Benefits, Costs, and Other Data for P.L. 566
cessor agencies in the 35 years of operation between Watershed Work Plans. A staff report on Project Plans
1935 and 1970 disbursed S6.7 billion on land and approved to July 1971 under Public Law 566 of the 83d
water conservation measures, improving the drainage Congress. Compiled by the Natural Resources Economics
Division, Economic Research Service, for the Soil Con-
on more than 52 million acres and assisting construc- servation Service. U.S. Department of Agriculture,
tion of some 80,000 small irrigation reservoirs and Washington, D.C.

122

control projects are presented in Table 5-1. A total of million acres cleared and suitable for agriculture are
53.6 million acres of land are benefited by projects not now being cultivated but could be brought into
completed or under construction, and another 36.7 production if demand warranted it. 30 Some indica-
million may be benefited by future work. tion of the actual effect of this program is provided
by a report issued by the Department of Agriculture
TABLE 5-1.-Status of lands in U.S. Army Corps of which indicates that the Corps' flood control program
Engineers flood control and major drain- in the lower Mississippi valley contributed to the
age programs as of December 1971 clearing of 4.1 million acres of land in the period
1950-1969, land which was largely devoted to the
Completed growing of soybeans." At its New Orleans con-
Or Under Future ference, the Commission was told that the channel
Status Construction Work' Total clearing and straightening under this program had
worsened flood problems downstream by speeding up
Agricultural (Millions of Acres) the flow of water, requiring the construction of
additional protective works to provide protection
Cleared and 29.6 19.6 49.2 against higher flood stages.
suitable for
agriculture Recent Projects: In the absence of detailed data from
Suitable for 6.3 6.4 12.7 the Corps of Engineers, the staff reviewed the project
agriculture reports submitted to the 9 1 st Congress by the Corps,
when cleared which formed the basis for projects which were
Not suitable 8.1 4.3 12.4 authorized in the Flood Control Act of 197 0,3 2 and
for agricul- therefore indicate the nature of the future Corps
ture programs. The projects having agricultural flood
Not classified 9.6 6.4 16.0 control or drainage benefits can be divided into two
Total 53.6 36.7 90.3 groups. The first group is composed of projects
devoted almost entirely to producing agricultural
Drainage benefits. The second group consists of projects which,
No drainage 23.7 11.5 35.2 though devoted in part to agriculture, have sub-
problem stantial urban, recreational, and other components.
Drainage 12.7 11.1 23.8 There are five almost entirely agricultural projects.
works When completed, these projects would add 237,570
provided acres of cropland and improve 133,925 additional
Drainage 17.2 14.1 31.3 acres at a total cost of $37 million. The largest single
required project is along the Red River downstream from
Total 53.6 36.7 90.3 Alexandria, Louisiana, in Eastern Rapides and South-
Central Avoyelles Parishes, Louisiana. The project
Includes projects authorized but not started and future would provide flood control and drainage to protect
work. 1 206,000 acres from overflow. Some farming is pres-
Source: U.S. ARMY, Office of Chief of Engineers, Policy ently taking place on about one-third of the land but
Programs and Legislative Branch, Policy@and Analysis it is subject to flooding four or more times per year.
Division, Washington, D.C. (1972). Communication The added land would support soybeans, pasture,
of February 15, 1972, to National Water Com-
mission. '0 A large portion of this 29.6 million acres falls within the
36.4 acres that either have no drainage problem or have
been provided drainage works.
Works already completed or now under construc- 31 U.S. DEPARTMENT OF AGRICULTURE, Economic
tion would allow 6.3 million acres of land not Research Service (October 1971). Land Use Change in
presently cultivated to be added to the agricultural the Southern Mississippi Alluvial Valley, 1950-69,
land base when it is cleared. Moreover, the produc- Agricultural Economic Report No. 215. U.S. Department
tivity of 12.7 million acres has already been enhanced of Agriculture, Washington, D.C. pp. 5, 6, 11.
by the building of drainage works. It is also likely 32p.L. 91-611, December 31, 1970, Title 11, 84 Stat. 1818,
that some portion, perhaps a large one, of the 29.6 1825.

123

cotton, and corn. "The recommended project would Some small wooded areas will be converted to
have a significant impact on regional develop- cropland. Cost: $2.4 million.
ment ... by permanently making its land resource 4. Western Tennessee Tributaries, Tennessee and
more productive." In the benefit-cost evaluation, the Kentucky: 31 Construction of two pumping stations
increased agricultural production provides all but and improvement of channels. Total cleared acreage:
$50,000 of the estimated $3,364,000 of benefits. The 7,425. Practically all tillable land is in cultivation.
cost of the project is $25.9 million, composed of $9.4 Flooding occurs nearly every year. Primary problem
million from SCS and $16.5 million from the is crop production losses. Benefits to farmers would
Corps .33 largely be from higher crop yields. Cost: $2.7 million.
The other four projects in this first group are the The second group of Corps projects, consisting of
following: those with substantial nonagricultural components,
1. Steele Bayou, Yazoo River: The project contains six projects. Their aggregate total cost is
would permit more intensive farming on 96,000 $282 million. Agricultural benefits account for vary-
acres, and add 29,000 acres presently wooded but ing shares of the total benefits set forth in each
suitable for agriculture when cleared. Cost: $4 mil- proposal. The following four proposals identify signif-
34
lion. icant agricultural benefits:
2. Posten Bayou, Arkansas: Improvements to 1. Sabine River and Tributaries, Texas and
interior drainage network and new outlet to Red Louisiana :3 ' Three multiple-purpose dam and reser-
River should "assure greatly expanded production voir projects, local flood protection, and extension of
from some 12,500 acres of fertile farm lands and an authorized commercial navigation channel. Esti-
make possible the conversion of additional marginal mated average annual flood damages on the Sabine
woodlands into productive agricultural lands." Pro- River under 1964 conditions are approximately $2.4
ject would permit conversion of 2,570 acres of million of which 40 percent are agricultural losses.
woodlands to cropland. Cost: $2 million." Total improved agricultural land in the flood plain is
3. Fort Chartres and Ivy Landing Drainage Dis- 47,998 acres. Approximately 952,900 acres of land
trict No. 5 and Stringtown Drainage and Levee are subject to flooding. Average annual benefits from
District No. 4, Illinois : 3 6 Construction of three the project include $3.7 million damage prevention
pumping stations, new drainage ditches, and rehabili- and $.2 million improved agricultural efficiency.
tation of existing ditches. Project area contains Water requirements and supply for irrigation in the
18,700 acres of highly productive bottomland, 95 basin are included in the project. Cost: $191.8
percent of which is cultivated. Flooding occurs million.
practically every year. Seventy-five percent of 2. Sheyenne River, North Dakota: 31 Multiple-
$28 1, 100 annual benefits are crop damage prevention. purpose reservoir. Agriculture is the basic industry of
the basin. Forest losses are likely in the areas
3 3 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers downstream from the proposed dam. "Once these
(1971). Eastern Rapides and South-Central Avoyelles areas are protected from flooding, timber would be
Parishes, Louisiana, Senate Document No. 91-113, 91st cleared for agricultural use." Average annual agricul-
Congress, 2d Session. U.S. Government Printing Office, tural benefits of $181,900 account for 12 percent of
Washington, D.C. pp. 5, 6, 93.
3 4 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers
(1970). Steele Bayou, Yazoo River (Lower Tributaries), 31 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers
Mississippi, Senate Document No. 91-74, 91st Congress, (1970). Western Tennessee Tributaries, Tennessee and
2d Session. U.S. Government Printing Office, Wash- Kentucky, House Document No. 91-414, 91st Congress,
ington, D.C. 2d Session. U.S. Government Printing Office, Washing-
3 s U.S. DEPARTMENT OF THE ARMY, Chief of Engineers ton, D.C. pp. 17, 19, 5, xvi.
(1970). Posten Bayou, Arkansas, House Document No. 3 8 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers
91-318, 91st Congress, 2d Session. U.S. Government (1971). Sabine River and Tributaries, Texas and
Printing Office, Washington, D.C. pp. viii, xviii. Louisiana, House Document No. 91-429, 91st Congress,
3 6 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers 2d Session. U.S. Government Printing Office, Wash-
(1970). Fort Chartres and Ivy Landing Drainage District ington, D.C. pp. 279, 189, 91, 114, 84.
No. 5 and Stringtown Drainage and Levee District No. 4, 39U,'S. DEPARTMENT OF THE ARMY, Chief of Engineers
Illinois, House Document No. 91-412, 91st Congress, 2d (1970). Sheyenne River, North Dakota, House Document
Session. U.S. Government Printing Office, Washington, No. 91-330, 91st Congress, 2d Session. U.S. Government
D.C. pp, 4, 40, 37. Printing Office, Washington, D.C. pp. 21, xvii, xv.

124

total average annual benefits. Total cost: $20 million. In the Eastern States, the Corps of Engineers
Twelve percent of total cost: $2.4 million. usually requires irrigation water users to make a
3. Souris River, North Dakota :4 ' Reservoir for contribution of half the portion of the costs of
flood control and channel improvement. Agriculture multiple -purpose projects allocated to irrigation, in
is the principal occupation of the basin; farms lieu of the interest-free repayment provisions of the
comprise 85 percent of the land. Average annual Federal reclamation laws. The largest Corps project
agriculture benefits from the project of $53,300 having irrigation as a purpose is the Central and
comprise I percent of total average annual benefits. Southern Florida project, where over a million acres
Total cost: $34 million. One percent of total cost: of agricultural land are being reclaimed by a project
$34 million. authorized in 1948. A recent report 43 on an addition
4. Running Water Draw, Plainview, Texas:" to that project authorized in the Flood Control Act
Channel improvements, outlet channels, underground of 1968 44 recommended construction of an inter-
flood conduits, and diversion works. Economy of the related system of canals, levees, pumping stations,
area is centered around irrigated agriculture. In- and structures necessary to supply irrigation water,
creased land use affecting about 1,810 acres will maintain optimum water levels, and remove flood
result from the project. Twelve percent of average waters in Martin County, Florida, and is an example
annual benefits are due to increased land use. Flood. of a recently authorized Corps of Engineers project
damages along Running Water Draw and in playa which is primarily for irrigation. Annual benefits of
lakes areas are 95 percent urban and 5 percent the project are stated to be as follows:
agricultural. Eighty-eight percent of average annual Purpose Dollars Percent
benefits are due to flood control; 4.4 percent is due
to control of agricultural flood damage. Total cost: Flood Damages Prevented 720,000 5
$5.8 million. 16.4 percent of total cost: $.95 million. Increased Land Use 4,747,900 33
Irrigation 8,799,000 62
Irrigation: The Corps of Engineers has no single- Recreation 13,000 -
purpose irrigation projects, but provides additional Total 14,279,900 100
capacity in some of its reservoirs for storage of
irrigation water. In the 17 Western States, the Bureau Total costs of the project were estimated to be
of Reclamation is responsible for marketing this $15,470,900 and the benefit cost ratio is stated to be
water under Section 8 of the Flood Control Act of 15.3 to 1.45
42
1944. Considerable controversy has arisen over the The cost allocation, based on allocating to flood
application of this provision of law, particularly on control the cost of an alternative plan to provide the
the Missouri and Columbia Rivers, where irrigation same flood control benefits but with the irrigation
pumpers who would otherwise have had to divert and recreation features omitted, was computed as
from a free-flowing stream can now pump from a follows:
reservoir. It appears equitable to expect the pumpers
to reimburse the Federal Government for the benefits Purpose Cost Allocation Percent
received as a result of reduced pumping head and
more dependable water supply, but they should not Flood Control $8,136,700 53
have to pay a portion of the costs of the reservoirs Irrigation 7,234,200 47
unless they have storage space allocated for their use. Recreation 100,000 -

Total $15,470,900 100
40 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers
(1970). Souris River, North Dakota, House Document
No. 91-321, 91st Congress, 2d Session. U.S. Government 43U3. ARMY CORPS OF ENGINEERS, Jacksonville
Printing Office, Washington, D. C. pp. 19, 67. District (1967). Survey-Review Report on Central and
41 U.S. DEPARTMENT OF THE ARMY, Chief of Engineers Southern Florida Project, Martin County, Florida.
(1969). Running Water Draw, Plainview, Texas, House Jacksonville, Fla. (Portions of the report published later
as Senate Document No. 101, 90th Congress. U.S.
Document No. 91-192, 91st Congress, Ist Session. U.S. Government Printing Office, Washington, D.C.)
Government Printing Office, Washington, D.C. pp. 4, 8,
29. 44 P.L. 90-483, August 13, 1968, Title 11, 82 Stat. 731,
'11P.L. 534, December 22, 1944, 78th Congress, 58 Stat. 740-741
887, 890, 43 USCA 390b. 41 Survey-Review Report. p. 25.

125

Federal share of the costs is to be $8,072,500, with In 1969, the total46 of 8.6 million acres served by
local interests required to assume the balance of the Bureau of Reclamation projects was slightly more
cost, consisting of providing all lands, easements, and than one-fifth of the total of 39.1 million acres
rights-of-way, assuming the costs of new highway irrigated in the Nation in 1969, 89 percent of which
bridges and alterations to utilities, and making a cash (34.8 million acres) were located in the 17 Western
contribution estimated at $5,266,000 prior to con- Reclamation States .4 ' The average increase in land
struction. In addition, the local interests are required served by Bureau of Reclamation projects during the
to operate and maintain the project features after 20-year period 1950 to 1969 was 175,000 acres per
completion. year. Figure 5-1 shows the relationship between
With provision of adequate flood control and Federal and non-Federal irrigation in the 17 Reclama-
irrigation facilities, it is considered by the Corps of tion States. Between 1949 and 1959, non-Federal
Engineers that citrus fruits will become the dominant irrigated acreage increased about 33 percent, while
agricultural industry by the year 2020 using 79,400 Federal irrigated acreage increased a little over 40
of the 85,500 acres benefited by the project, an percent. In the next decade, non-Federal irrigation in
increase of 59,700 acres over that planted in citrus in those States increased by only 7 percent as Federal
1965. The value of the crops to be produced is irrigation rose by 26 percent. Since 1939, the increase
obviously high enough to support full repayment of in non-Federal irrigation in the 17 Reclamation States
the project costs. has been due largely to the use of ground water, a
negligible source of supply for Federal projects.
Bureau of Reclamation Program Expressed as a percentage of all irrigated land in the
The Bureau of Reclamation maintains excellent Reclamation States, Federal irrigation accounted for
statistics on the amount of land irrigated through its 21 percent in 1949, for 22 percent in 1959, and for
projects, the nature and value of the crops grown, and 25 percent in 1969.
the expenditures incurred for construction and opera- Table 5-3 gives acreage and value of principal crops
tion. Table 5-2 shows the acreage irrigated by Bureau grown in Bureau projects for the year 1969.
projects for selected years. It can be calculated from Table 5-3 that about 23
percent of reclamation land produces hay with an
average annual gross return of $106.50 per acre.
Barley and corn are grown on about 13 percent of
reclamation land and produce annual gross revenues
TABLE 5-2.-Total acreage irrigated by Bureau of around $100 per acre. Thus, 36 percent of the land
Reclamation water for selected years irrigated by Bureau project water produces crops
whose gross value, without deducting costs of labor,
Iff igated equipment, fertilizer, and pesticides, averages about
Year Acreage $ 100 an acre. On the other hand, fruits and nuts
account for 7 percent of reclamation land and have
1906 22,300 an annual gross return around $660 per acre; vege-
1910 473,423 tables acccount for 9 percent of the land and have an
1920 2,205,420 annual gross return of approximately $600 per acre.
1930 2,790,856 Thus, only 16 percent of reclamation land is used for
1940 3,391,070 high-value crops.
1945 4,162,588
1950 5,077,186 "Use of Bureau of Reclamation statistics for 1949, 1959,
1955 6,261,761 and 1969 permits comparisons to be made with U.S.
1960 6,899,711 Census Bureau Censuses of Agriculture.
1965 8,012,021 47 U.S. BUREAU OF THE CENSUS (May 1972). 1969
1969 8,575,761 Census of Agriculture -County Data (by state and for the
1971 8,833,998 United States). Issued on a State by State Basis. U.S.
Department of Commerce, Washington, D.C. Another
Source: U.S. BUREAU OF RECLAMATION (1972). Federal 600,000 acres in the West were irrigated with Bureau of
Reclamation Projects, Water & Land Resource Ac- Indian Affairs water. See U.S. BUREAU OF INDIAN
complishments 1971. U.S. Government Printing Of- AFFAIRS, Division of Economic Development
fice, Washington, D.C. Table 5, p. 64. (undated). Irrigation Land Data, Calendar Year 1969.
Memo, Bureau of Indian Affairs, Washington, D.C.

126

30 1 1 1 1
Figure 5-1. Irrigation Development in the
28 17 Western States, 1899-1969

24
HOW

LU
cc 20 4//
LL
018
V)
z
0 F'9@btRAL
7116

1899 1909 1919 1929 1939 1949 1959 1969

Source: U.S. DEPARTMENT OF COMMERCE, Bureau of the Census. Adapted from Figure 1.2, Earl 0. Heady,
Howard C. Madsen, Kenneth J. Nicol, Stanley H. Hargrove, Future Water and Land Use Effect of
b
Selected Pu lic Agricultural and Irrigation Policies on Water Demand and Land Use, p. 1-32.

127

TABLE 5-3.-Acreages and values of crops grown on WEAKNESSES OF THE PROGRAMS
farms in Bureau of Reclamation pro- A primary weakness of the Federal water resources
jects in 1969 development projects is that they have been heavily
Total Acreage Gross Crop subsidized by the Federal Government; that is, by all
Harvested on Value for the taxpayers of the Nation, to provide benefits for a
Farms in Bur. Farms in few. The water users on some modern Federal
of Reclamation Bur. of Reclam. Reclamation projects, for example, repay no more
Projects Projects than 10 percent of the construction costs attributable
(acres) (dollars) to irrigation, the remaining cost being borne by
the Federal Government in three ways: by not requir-
Wheat 374,317 25,709,921 ing the water users to reimburse the Treasury for the
Barley 617,209 46,952,959 interest on the capital advanced for project construc-
Corn 455,156 52,347,501 tion, by permitting power revenues and sometimes
Oats 114,502 6,053,908 other nonirrigation revenues to be credited toward
Rice 190,485 50,453,415 irrigation reimbursement, and by alocating an unduly
Sorghum 242,317 20,967,682 large part of the costs to nonreimbursable purposes.
All Hay 1,997,483 213,275,585 As another example, flood control projects under-
Beans, Dry Edible 320,913 44,821,334 taken by the Corps of Engineers and the Soil
Cotton 569,018 104,530,488 Conservation Service often make it possible for
Sugar Beets 586,774 139,885,503 landowners to receive large windfall benefits by
Vegetables 746,679 450,283,840 enabling them to convert woodlands or pasture lands
Fruits and Nuts 606,474 402,068,630 to croplands. As explained in Chapter 15, in some
Potatoes 309,582 136,798,334 instances beneficiaries receive these windfalls at little
Source: U.S. BUREAU OF RECLAMATION (1970). Federal or no cost to themselves, particularly in the lower
Reclamation Projects, Water & Land Resource Ac- Mississippi River and Tributaries project, where the
@complishments, 1969. U.S. Government Printing Federal Government pays the full cost of construct-
Office, Washington, D.C. Table 3, pp 43-44. ing, operating, and maintaining the project. Finally,
As of June 30, 1971, projects were authorized, but water projects that result in large increases in the
not yet constructed, to provide a full water supply production of certain commodities have been under-
for the irrigation of 552,000 acres of land and a taken with little or no consideration of the demand
supplemental water supply for another 1.6 million for those commodities.
irrigable acres, 1.2 million acres of which are located Still another major weakness of present procedures
in the Central Arizona Project.4 8 for deciding whether a water project should be
Statistics compiled by the Bureau of Reclamation undertaken is found in the evaluation procedures
for June 30, 1971, showed that the total construction use .d.' 0 Of particular importance is the value assigned
cost of all authorized Bureau of Reclamation projects various crops in evaluating benefits of contemplated
was $12.1 billion, of which $6.2 billion was tenta- projects. Because of the price-support programs
tively allocated to irrigation. The Bureau expects to utilized by the United States to maintain farm
secure repayment contracts for about $2.1 billion, income, prevailing prices received by farmers for
and through June 30, 1970, only about $266 million supported crops should not be used in making an
had actually been repaid on matured repayment economic evaluation of a water project that will
contracts and $268 million from special sources, such further increase the production of these price-
as contributions and advances and water service supported commodities. Often in the past the prices
49 used in evaluation of such water projects were not
contracts. adjusted for price supports. For this reason alone it
48BOLLMAN, Frank H et aL (July 1972). A Summary seems certain that some water projects that have been
Appraisal of Farm Productive Capacity, Part 111, Status of undertaken in the past have not been economically
Irrigated Agriculture. Unpublished memo, National Water sound. In 1966, the Water Resources Council estab-
Commission, Arlington, Va. pp. 49, 50. Based on U.S.
Bureau of Reclamation figures. fished price standards for project evaluation which
49U *'S. BUREAU OF RECLAMATION (1972). Statistical
Report of the Commissioner, Statistical and Financial See Chapter 10 for the Commission's discussion of
Appendix, Schedules 1, 11, and 111. pp. 79-83. evaluation procedures.

128

reject use of prevailing prices received by farmers for TABLE 5-5.-Farm value of major crops eligible for
supported crops. Instead, the standards require use of Federal agricultural programs total and
"adjusted normalized" prices which are supposed to Bureau of Reclamation served acre-
correct for the impact of price-support subsidies. age-1969
One of the great controversies in water policy has
been the role of Bureau of Reclamation irrigation Total Reclamation Reclamation
development in producing "surplus" crops. The Corn- Crop National Served Proportion
mission has been unable to determine the exact (millions of dollars) N
impact of the Reclamation program on crop sur-
pluses; however, nearly 37 percent of the acreage Wheat 1,816 26 1.4
served by Bureau of Reclamation project facilities Corn 5,290 S2 1.0
produced crops eligible for Federal price support (grain)
programs in 1969. (Table 5-4.) In terms of the value Cotton 1,055 105 10.0
of major price-supported crops, Bureau-serve.d pro- (lint)
jects account for significant production of only sugar Sorghum 791 21 2.7
beets, barley, rice, and cotton (Table 5-5), and for (grain)
only 4.2 percent of the total value of all crops eligible Barley 369 47 .12.7
Oats 565 6 1.1
for price supports. There is no way, short of a massive Rice 450 50 11.1
field investigation of the operations of individual Sugar Beets 353 140 39.7
farmers, to determine exactly how much of the Total 10,689 447 4.2
production from Federal reclamation projects is paid
for in part through the price-support program. Sources: U.S. BUREAU OF RECLAMATION (1971). Sum-
mary Report of the Commissioner, Bureau of
Reclamation 1970, Statistical and Financial Appen-
TABLE 54.-Major crops eligible for various Federal dix, Parts 1, 11, & III. U.S. Government Printing
agricultural programs served by Bureau Office, Washington, D.C. p. 115. and U.S.
of Reclamation project facitities-1969 DEPARTMENT OF AGRICULTURE (1971).
Agricultural Statistics 1971. U.S. Government
Percent of Printing Office, Washington, D.C. p. 459.
Reclamation Total Reclama-
Project tion Project of fertilizers and other measures which increase
Crop Acreage Acreage productivity. Elsewhere in this report, measures are
advocated that will facilitate transfers of water to its
Wheat 374,317 4.36 most productive uses.' 1 The Commission also recom-
Corn 455,156 5.31 mends that irrigation users served by new Federal
Cotton 569,018 6.64 projects pay the full costs of water supply." These
Sorghum 242,317 2.83 changes may result in more or less irrigation water
Barley 617,209 7.19 use, but the resulting total costs to society will be
Oats 114,502 1.34 lower because they will improve efficiency in the use
Rye 2,291 .03 of water and related resources.
Sugar Beets 586,774 6.84 When irrigators receive water on a subsidized basis,
Rice 190,485 2.22 incentives to use water carefully and efficiently are
3,152,069 36.76 often removed. Where water is priced substantially
Source: U.S. BUREAU OF RECLAMATION (1971). Sum- below cost, it will be to the advantage of irrigators to
mary Report of the Commissioner, Bureau of be lavish in its use and neglectful of programs to
Reclamation 1970, Statistical and Financial Appen- stretch supplies and improve the productivity of
dix, Parts 1, 11, & Ill. U.S. Government Printing water.
Office, Washington, D.C. p. 115. The assertion that the price of irrigation water is
often substantially below the cost and, as a result,
It is obvious, however, that agricultural price- uneconomic projects are sometimes advanced was
support and supply-control programs encourage
farmers to use irrigation water on crops with acreage See Chapter 7.
allotments just as they have stimulated increased use IIS6e Chapter 15.

129

confirmed at the Commission's public conferences fertilizers and other inputs that increase
held in January 1973. For example, a spokesman for production; and
the Pacific Northwest Waterways Association told the (4) resource and product prices.
Commission that application of full-cost pricing to In recent years the Department of Agriculture, the
one Federal Reclamation project presently under Bureau of Reclamation, and the Tennessee Valley
construction (the Manson Unit in the State of Authority have attempted to make model studies to
Washington) would increase annual water charges to develop relationships among and between these vari-
irrigators from $32.50 per acre to $414.00 per acre. ables. The Tennessee Valley Authority, because of its
Subsequently, at the same conference, the President role in fertilizer production, undertook studies of the
of the Washington State Reclamation Association relationships between fertilizer application and crop
(who is also manager of the South Columbia Basin production. The Bureau of Reclamation is developing
Irrigation District) testified that annual gross crop such relationships between water use and crop pro-
receipts on the nearby Columbia Basin Project were duction. In order to take advantage of the work
about $218 per irrigated acre. Even if future spe- underway for these agencies at the Iowa State
cialized crop production on the Manson Unit pro- University, the National Water Commission con-
duces many times that amount of gross crop receipts, tracted with the University for analyses of the
it is doubtful that the value of the crops plus the demand for land and water for crop production under
increased business profits generated in processing and I I different sets of hypotheses, or alternative futures.
marketing them could support the $414 full-cost The full results of the analyses are contained in two
annual charge per acre for water alone, plus the reports" prepared. for the Commission and are
additional costs of bringing orchards into production. summarized briefly here. They serve to confirm the
Bureau of Reclamation figures show that total Commission's conclusions that the Nation's land and
capital costs of the Manson Unit project, including water resources are adequate to meet future needs at
costs of the Federal Columbia River Power System to least through the year 2000 if they are used in ways
furnish pumping power but excluding any interest which avoid waste and inefficiency.
component, will be $16,624,000 to provide a full
water supply to 2,052 acres and a supplemental Alternative Futures for Agriculture
supply to 4,003 acres. The interest-free irrigation cost Eleven possible alternative futures for agricultural
to develop the Manson Unit will be $2,746 per acre. water demands were analyzed. The assumptions on
Of the total interest-free $16,624,000 cost, only which they are based are summarized in Table 5-6.
$3,855,000 will be repaid by irrigators; the balance The alternatives were selected to encompass a wide
will be covered by power revenues. range of possible alternative futures.
SUPPLY AND DEMAND The I I forecast models or alternative futures
analyzed can be considered in four general groups.
The answer to the question whether or not the The first (Futures A, B, C, and D) defines alternative
water resources development programs described futures in terms of conventional sets of assumptions
herein should be continued at present levels, ex- dealing with population, farm policies, exports, tech-
panded, or reduced depends in part upon future food nology, etc. The second (Futures Al, A2, and A3)
and fiber demands. Those demands will be a function incorporates alternative prices of water. The third
of four variables: (Futures G and H) provides for continuing per capita
(1) population levels; beef and veal consumption at present levels (116.7
(2) income levels, lifestyles, and eating habits; pounds per capita per annum) and for substituting
(3) export and import levels; and vegetable proteins for the 26 percent increase in per
(4) food prices.
The domestic supply available to meet future food "For details, see HEADY, Earl 0 et al., Iowa State
and fiber demands is also a function of four variables: University (1971). Agricultural Water Demands, prepared
(1) the resource base, including the arable land for the National Water Commission. National Technical
base and water supply; Information Service, Springfield, Va., Accession No. PB
(2) technological, scientific, and managerial 206 790; and MADSEN, Howard C et al., Iowa State
University (1972). Alternative Demands for Water and
advances affecting agriculture; Land for Agricultural Purposes, prepared for the National
(3) governmental policies relating to control of Water Commission. National Technical Information Serv-
supply and to restrictions on the use of ice, Springfield, Va., Accession No. PB 211444.

130

TABLE 5-6.-Summary of alternative futures reviewed by the Commission for agricultural wat

Alternative
Future Farm Policy Population Water Price Exports' Technology

Future A free market 300 million' present 1967-69 average trend
Future A I free market 300 million S I 5.00/A.F. 1967-69 average trend
Future A2 free market 300 million S22.50/A.F. 1967-69 average trend
Future A3 free market 300 million $30.00/A.F. 1967-69 average trend
Future B free market 280 million2 present 1967-69 average trend
Future C annual land 280 million present 1967-69 average trend
retirement
Future D free market 325 million 3 present double the 1967-69 advanced
average
Future G free market with 300 million present 1967-69 average trend
beef consumption
held at present
per capita levels
Future H annual land retire- 300 million present 1967-69 average trend
ment with beef
consumption held
at present per
capita levels
Future I free market with 280 million present 1967-69 average trend
I 10 pound nitrogen
limitation
Future J free market with 50 280 million present 1967-69 average trend
pound nitrogen
limitation

'This is the C population level of the Department of Commerce.
2 This is the D population level of the Department of Commerce.
3This is the B population level of the Department of Commerce.
'Imports of beef and veal, lamb and mutton, and dairy products are assumed to equal average 1967-69 per capita levels in 2000.

capita beef and veal consumption in 2000 assumed of crops, excluding forest products, are shown in
in all of the other alternative futures. Finally, the Table 5-8, and resulting national average farm prices
fourth (Futures I and J) incorporates an assumption for each of the alternative futures are presented in
of a restriction on the rate of application of nitrogen Table 5-9. These results are described briefly in the
fertilizer in agriculture as one possible step that might following paragraphs.
be taken to improve environmental quality.
The forecasts of agricultural water demands deal 300 Million Population: Four of the alternative
with water use only in the nine Western basins where futures analyzed are based on a population of 300
the largest consumptive use of water is for irrigation million and a free market in U.S. agriculture in
14
and where over 90 percent of the currently irrigated 2000. Under the assumptions of these models, crop
land is located. Water use in the East was not production would be allocated and land and water
considered because it appears that demands for water could be used among areas and regions so that the
for agriculture will not be controlling outside of the national production pattern is most efficient, and no
Western basins. Selected results from seven of the
alternative futures are presented in tabular form 541)etailed results of these analyses are given in HEADY,
(Tables 5-7, 5-8, and 5-9). Regional consumptive use Earl 0 et al., Iowa State University (1971). Agricultural
Water Demands, prepared for the National Water Com-
of water in the 9 Western basins is presented in Table mission. National Technical Information Service, Spring-
5-7. National summaries of land use for major types field, Va., Accession No. PB 206 790. Part IV.

131

TABLE 5-7.-Forecasts of regional consumptive use of water in western water resources regions for selected alternative futures in 2000
(Billion gallons per day)

Future A Future A3 Future B Future C Future D Future G Future J

Total Agri- Agri- Agri- Agri- Agri- Agri- Agri-
River Basin 19701 culture Total2 culture Total' culture Total2 culture Total' culture Total2 culture Total2 culture Total2

Missouri 12.0 10.2 13.3 2.7 5.8 9.9 13.0 10.8 13.8 11.2 14.4 8.8 12.0 10.5 13.5
Arkansas-White- 6.8 4.2 5.5 3.0 4.3 4.1 5.3 3.4 4.6 4.2 5.6 3.8 5.1 3.7 4.9
Red
Texas-Gulf 6.2 3.9 11.0 3.3 10.3 3.5 10.1 3.8 10.5 4.0 11.7 3.5 10.6 3.9 10.5
Rio Grande 3.3 2.5 3.1 1.3 1.9 2.0 2.5 3.1 3.6 3.0 3.6 1.9 2.4 2.5 3.0
Upper Colorado 4.1 2.4 2.9 0.1 0.6 2.1 2.6 2.7 3.2 2.9 3.5 2.0 2.6 2.3 2.8
Lower Colorado 5.0 2.2 4.4 1.0 3.3 2.2 4.4 3.3 5.5 2.0 4.3 2.1 4.3 3.2 5.4
Great Basin 3.2 1.9 3.2 0.6 1.9 1.9 3.2 1.9 3.2 1.9 3.2 1.3 2.5 2.0 3.2
Columbia-North 11.0 12.1 13.6 3.6 5.1 11.3 12.7 12.3 13.7 12.1 13.7 10.9 12.4 11.8 13.2
Pacific
California-South 22.0 21.4 29.9 12.9 21.3 20.4 28.4 20.2 28.2 21.0 30.1 16.1 24.6 20.8 28.8
Pacific
Western Basins 73.6 60.8 86.9 28.5 54.5 57.4 82.2 61.5 86.3 62.3 90.1 50.4 76.5 60.7 85.3

'MURRAY, C Richard & REEVES, E Bodette (1972). Estimated Use of Water in the United States in 1970, Geological Survey Circular 676. U.S. Geological Survey,
Washington, D.C. p. 17.
'Includes agriculture, rural domestic, municipal, self-supplied industrial, recreation, and thermal electric power. Also included are onsite consumptive uses, the forecast export
to Mexico, depletion of the Upper Milk River by Canada, and transfer of water from the Missouri river basin into the Souris-Red-Rainy river basin,

TABLE 5-8-Forecasts of national land use for selected alternative futures in year 2000, in rnillions of acres

Year 2000 Level'

1964 1969 Future Future Future Future Future Future Future
Land Use Level 1 LeVe12 A A3 B C D G i

Dryland annual crops 176.4 n.a. 189.5 187.7 177.3 188.0 219.2 172.9 209.2
Dryland tame hay & silages 57.2 n.a. 99.1 115.5 77.8 70.2 80.2 40.6 83.0
Dryland wild hay & silages 921.2 n.a. 938.5 938.8 936.8 938.8 938.4 934.8 938.5
Total dryland 1,154.8 1,024.2 1,227.1 1,242.0 1,191.9 1,197.0 1,237.8 1,148.3 1,230.7
Irrigated annual crops 13.3 n.a. 6.1 4.1 6.1 8.9 8.1 7.0 6. 1
Irrigated tame hay & silages 7.5 n.a. 10.9 2.3 9.8 10.1 10.1 6.6 10.4
Irrigated wild hay, pasture, 10.5 n.a. 10.2 6.0 10.1 10.2 10.4 10.2 10.2
fruits, nuts, etc.
Total irrigated 4 31.3 34.8 27.2 12.4 26.0 29.2 28.6 23.8 26.7

Unused cropland & hayland n.a. n.a. 16.4 12.5 51.0 44.9 4.5 95.0 13.4
Unused wild hay & pasture land n.a. n.a. 11.2 10.9 12.9 10.9 11.3 14.9 11.2
Total unused land' 55.5 58.0 27.6 23.4 63.9 55.8 15,8 109.9 24.6
Cropland shifted 6 n.a. n.a. 49.3 52.1 42.8 2.1 21.0 19.0 31.3

'U.S. BUREAU OF THE CENSUS (1967). U.S. Census of Agriculture, 1964, Volume 1, Statistics for States and Counties. U.S. Government Printing Office,
Washington, D.C.
2U.S. BUREAU OF THE CENSUS (1972). U.S. Census of Agriculture, 1969, Volume 1, Statistics for States and Counties. U.S. Government Printing Office,
Washington, D.C.
'HEADY, Earl 0 et al., Iowa State University (1971). Agricultural Water Demands, prepared for the National Water Commission. National Technical
Information Service, Springfield, Va., Accession No. PB 206 790. Part IV; and MADSEN, Howard C et al., Iowa State University (1972). Alternative Demands
for Water and Land for Agricultural Purposes, prepared for the National Water Commission. National Technical Information Service, Springfield, Va.,
Accession No. PB 211 444. pp. 34,61.
417 Western States only.
'Land either currently used for crop production or currently in Federal land retirement programs that would not be needed for crop production in 2000.
'Land either currently used for annual crops production or currently in land retirement programs but used for tame hay production in 2000.

TABLE 5-9-Indications of prices received by farmers for selected commodities under alternative future, ; 2@00O

Actual Future Future Future Future Future Future Future
Item' 19692 A 4 A3 B4 C D G 4 P

Crop prices
Corn (dol./bu.) 1.12 1.10 1.21 0.93 1.38 1.58 0.89 1.40
Wheat (dol./bu.) 1.24 1.49 1.65 1.22 1.93 2.26 1.16 1.79
Soybeans 2.33 2.25 2.58 1.78 2.89 3.81 1.67 2.42
(dol./bu.)
Cotton 0.21 0.14 0.16 0.14 0.23 0.20 0.14 0.21
(dol./bu.)
Hay (dol./ton) 25.00 25.01 28.22 21.10 39.40 33.46 18.35 26.06

Livestock-products

Cattle & calves 26.20 33.90 37.07 29.93 46.62 37.57 27.33 35.82
(cents/lb)
Milk (dol./cwt) 5.46 3.41 3.53 3.22 3.77 4.39 3.20 3.65

'All prices for 2000 are measured in 1970 equivalent dollars and do not take into account inflations from 1970 to 2000.
2 U.S. DEPARTMENT OF AGRICULTURE, STATISTICAL REPORTING SERVICE (1970). Agricultural Prices: 1969 Annual
Summary, Washington, D.C., Pr. 1-3(70).
'HEADY, Earl 0 et al., Iowa State University (197 1). Agricultural Water Demands, prepared for the National Water
Commission. National Technical Information Service, Springfield, Va., Accession No. PB 206 790.
'MADSEN, Howard C et al., Iowa State University (1972). Alternative Demands for Water and Land for Agricultural Purposes,
prepared for the National Water Commission. National Technical Information Service, Springfield, Va., Accession No. PB 211
444.pp.35,62.

restraints, such as land retirement, would be placed water scarcity would include the lower rainfall areas
on geographic and land-water substitutions.s 5 of the Nation and those areas that currently are
Under Future A, with 300 million people and mining ground water-the Southwestern United
present prices of water in year 2000, total con- States and the Great Plains area, including parts of
sumptive use of water in the Western water resource the States of Kansas, Nebraska, Oklahoma, and
regions would increase 19 percent over the 1970 level Texas.
(Table 5-7), but there still would be a surplus of The irrigated croplands in the Western States are
water for the West as a whole. among the most productive in the Nation. Currently,
Under this future, only a part of the Texas-Gulf around 35 million acres of land are irrigated in the 17
river basin might face a water deficit because of the Western States. The model study for Future A shows
large municipal and industrial water requirements that if land now idle under government programs
56
forecast for that region in 2000. Other regions of would be allowed to return to production, it could be
"Water available in 2000 is based on mean annual runoff substituted for water on irrigated land. Because the
and reservoirs constructed estimated as of 1980 adjusted idle lands are not as productive,' ' larger acreages
for reservoir evaporation. For the nine Western river would be required, but the food and fiber needs of
basins, a total of 213.7 million gallons per day of water is the Nation could be met even if the amount of land
estimated to be available for withdrawals and consump- irrigated in the Western States had to be reduced
tive use in 2000. because of an increase in nonagricultural water
16Water consumption in agriculture can vary as the amount requirements. Even with the increased food and fiber
and location of irrigated agriculture and livestock produc-
tion respond to conditions under each forecast model.
Withdrawals and consumptive use of water for nonagri- "Recent studies by the Department of Agriculture contain
cultural purposes were assumed for the purposes of these estimates that diverted lands were only 80 to 90 percent
models to be fixed on a per capita basis, and the studies as productive as the cropland remaining in production.
do not, therefore, show how the demands would respond U.S. DEPARTMENT OF AGRICULTURE (1969). Pro-
to changes in the price and availability of water or to ductivity of Diverted Land, by P. Weisgerber, Economic
changes in the policies governing their use. Research Service, Washington, D.C.

134

illustrated in the map in Figure 5.17. The littoral drift is catego-

rized as "medium" if net littoral transport past a fixed point is

estimated between 50,000-80,000 cubic yards/year, and as "high" if the

net transport is estimated at greater than 80,000 cubic yards per

year. It is important to note that these numerical estimates apply to

the rates of longshore movement of all sediment which can he moved

about by waves. This can be considered to include sediments at least out to

around the nine foot bathymetric contour.

All the highly-eroding reaches illustrated in Figure 5.2 can be

compared with the distribution of potential, littoral drift rates in
Figure 5.18

Above: Figure 5.18. Graph of relationship between the rate of coastal
retreat and the distribution of potential littoral
drift rates for northern Chesapeake Bay.

5-44

Future C is the same as Future B except for the With the increased food and fiber demands under
assumption that the Nation will continue to pay for these assumptions, water consumption would be
holding 45 million acres of cropland out of produc- 2-1/2 percent higher than under Future A (Table
tion in the year 2000 to control crop output. The 5-7). Water for consumptive use in both agriculture
program simulated would be similar to the annfial and municipal and industrial uses would be higher
wheat, feed grain, and cotton programs used during and, thus, total water consumption would be greater
the 1961-1970 decade and would not allow land uses than under any of the other alternative futures
and crop production to be fully allocated among considered. A greater number of regions would be
regions so as to achieve the most economical produc- water-scarce and additional pressures would be placed
tion as determined by a free market. Under these on available water supplies in the Western basins, but
assumptions, the model shows some land retirement the study indicates that the increased production of
would result in all regions of the Nation. food and fiber could be achieved even if the total
The annual land retirement program permits sub- amount of land irrigated in the Western regions had
stitutions of water in the Western States for land in to be reduced by 6.3 million acres because of the
States east of the Missouri River, but also leads to demands for water for other purposes. The higher
some substitution of water in the West for dryfarmed food and fiber demands forecast under Future D of
land in the West. This was exactly the nature and the study would still leave 4.5 million acres of
outcome of agricultural and water policies of the cropland and hayland unused (Table 5-8). Including
1960's decade: (1) to achieve farm price and income the wild hay and pasture land unused, only 15.8
goals the supply of land for crops was reduced by million acres would not be in production.
payments that diverted it from producing food and The high food and fiber demands under Future D
(2) public investments were used to increase the would result in relatively high levels for farm prices
supply of water for food production. (Table 5-9). Thus, consumer food costs also would
increase substantially compared with levels implied
Higher Demands for Food and Fiber in the Year by the earlier forecast models reviewed. The high
2000: To show the effects of very substantially farm prices indicated to result under Future D would
increased demands for food and fiber on demand for provide incentives for new lands to be brought into
water and land for agricultural purposes, the assurnp- production either through irrigation, drainage, or
tions underlying Future D consisted of a population other forms of land reclamation. Recent studies
of 325 million in the year 2000, doubling of the indicate that from 49 to 150 million acres of new
1967-1969 level of agricultural exports in the year lands, exclusive of those held in current land retire-
61
2000,and advanced technology to improve produc- ment programs, could be farmed if the need arises.
tion potentials, particularly in the livestock in- According to one study, 33 million acres of this
dustry .6 ' Dryland crop production yields for additional land could be used for major field crops
principal crops were assumed to reach about 108 such as soybeans, corn, rice, and cotton. 66 Under the
bushels per acre for corn, 40 bushels per acre for higher farm prices of Future D, much of this land
wheat, and 81.2 bushels per acre for grain sor- would start to enter intensive production.
ghurn,61 compared to 84 ', 31, and 55, respectively, in Should conditions of Future D be realized in the
64
1969. Also, agriculture in the Southeast in 2000 year 2000, the study indicates that food and fiber
was assumed to approach levels of productivity and demands still could be satisfied through investments
costs achieved in the Corn Belt. to speed the rate of technological advance and by
farming new lands. Also, even at the higher level of

For complete details on this model, ibid., Appendix M. 61U.S. DEPARTMENT OF AGRICULTURE (1971). Ex-
6 3Jbid., p. M-17. All projection studies utilize a number of ploring our cropland potential. The Farm Index
assumptions. One of the most critical in considering land 10(9): 11. and UPCHURCH LM (1967). The capacity of
use is continuing improvement in crop yields. The the United States to supply food for developing coun-
assumptions of yield improvement in these studies are tries, Ch. 14 in IOWA STATE UNIVERSITY CENTER
solidly based on several decades of past performance and FOR AGRICULTURAL ECONOMIC DEVELOPMENT.
are believed to be conservative when compared with Alternatives for Balancing World Food Production and
actual experience on many well managed farms. Needs. Iowa State University Press, Ames. pp. 215-223.
"See U.S. DEPARTMENT OF AGRICULTURE (1971). 61U.S. DEPARTMENT OF AGRICULTURE (1971). Ex-
Agricultural Statistics for 1969. U.S. Government Print- ploring our cropland potential. The Farm Index
ing Office, Washington, D.C. 10(9):Il.

136

Irrigated lettuce provides high crop returns on lands near Blythe, California

water consumption posed by Future D, the study the lifestyles or eating habits of consumers and a
shows that there would still be enough water for the possible restriction on the use of fertilizer to reflect
needs of the West as a whole. Thus, the study national concern with environmental quality.
suggests that the water problem of the future, even In recent decades, many substitutions by con-
with substantially higher food and fiber demands sumers have affected resource use and food prices. In
than at present, is not one of outright water shortage. the area of food and beverages, vegetable fats have
replaced animal fats as margarine has been substituted
Eating Habits of Consumers and the Demand for for butter. Synthetic sweeteners have replaced ordi-
Water: The previously discussed alternative futures nary sugar in tea, coffee, and carbonated beverages,
were based on conventional assumptions as to the and synthetic juices have come to serve as replace-
level of population, exports of farm products, Federal ments for citrus. Consumers also have substituted
farra policies, and rate of technological advance. One synthetic materials for clothing, affecting the demand
set of alternative futures examined the outcomes for natural fibers. The possibility that vegetable
under a pricing system for water allocation in 2000. proteins might be substituted for a part of the greatly
The Commission also had a separate study 67 made of increased demand for animal proteins assumed in the
alternative futures incorporating possible changes in first seven model studies led the Commission to
"MADSEN, Howard C et al., Iowa State University (1972). request analysis of alternative futures in which per
Alternative Demands for Water and Land for Agricultural capita consumption of beef and veal would be
Purposes, prepared for the National Water Commission. assumed to continue at current levels (116.7 pounds
National Technical information Service, Springfield, Va., per capita per annum) and the increased demands for
Accession No. PB 211444. protein (projected to reach 157.7 pounds in the other

137

studies) would be met by substituting vegetable assumptions that restrictions would be placed on the
proteins. use of nitrogen fertilizers, Such restrictions would
Two possible alternative futures were investigated obviously increase the demand for water and land
under these assumptions (Future G and Future H, resources-
Table 5-6), both based on 300 million population. Two specific limitations on nitrogen fertilizers used
Under Future G, a free market was assumed, but in agriculture were considered in the study-110
Future H contains the assumption that government pounds per acre per year (about the present level of
supply control programs similar to those used over use) and 50 pounds per acre per year. The inclusion
the past decade would be continued in 2000 in in the study of these alternative futures is not a
attempts to control excess supply and raise farm suggestion by the Commission that these levels of
prices. 68 restriction be adopted as national policy, but is for
The regional consumptive use of water under the purpose of forecasting demands for agricultural
Future G is shown in Table 5-7. The national water and land should such limitations be imposed.
summary of land requirements and of farm com- Other than for the nitrogen fertilizer restriction, the
modity prices are shown in Tables 5-8 and 5-9, forecast models for Futures I and J" are just like
respectively. Data summarized on the tables show Future B with a population of 280 million (Table
that such a substitution, if made by consumers, 5-6). Only the results of Future J are shown in the
would free up substantial amounts of water and land tables.
in the year 2000, with 95 million acres of cropland With nitrogen fertilizer application restricted to a
and hayland not required for agricultural purposes. maximum of 50 pounds per acre in the year 2000,
The reason that the substitution of vegetable the most restrictive of the two models, water con-
protein for animal protein in the diet would require sumption would increase by nearly 4 percent over
far less land and water is, very simply, that cattle and Future B (Table 5-7). There would be an equivalent
other meat animals are very inefficient converters of reduction in the total water surplus in the Western
plant to animal protein. Beef cattle require many basins and additional regions would face potential
pounds of plant protein to produce one pound of water problems. With the 50-pound fertilizer limita-
meat protein. 69 If human beings consume the vege- tion, the entire Southwestern United States would be
table protein directly, instead of through the beef water-scarce.
cycle, they increase their efficiency of food utiliza- The reduction in crop yields with the 50-pound
tion several times. limitation on the use of nitrogen fertilizer is forecast
to result in a substantial increase in the crop acreages
Quality of the Environment and the Demand for required to meet demands for food and fiber (Table
Water: Recent studies" indicate that pollution 5-8). Both dryland and irrigated acreages of crops
caused by runoff from agricultural land may have a would be higher, although the greatest change would
deleterious effect on water quality, since water occur in dryland acreages. The total acreage of crops
soluble nitrogen fertilizers are sometimes carried into would be nearly 40 million acres more than under
the streams and underground water basins by runoff Future B and would be even higher than under
and deep percolation. In an effort to determine the Future A (with 300 million population). The large
effect on water use if measures to reduce such increase in crop acreages under this alternative future
pollution are adopted, the Commission had an would decrease unused cropland and hayland by
analysis made of two alternative futures under nearly 38 million acres, but nearly 25 million acres of
land would still be unused (Table 5-8). In addition,
" For further details on these two forecast models, ibid. crop prices would be substantially higher than under
" In a recent article in the Wall Street Journal, Volume LI Future B (Table 5-9).
No. 26, February 7, 1973, pp, 1 & 12, David Brand
quotes food scientists as saying that it takes 100 pounds
of plant protein to produce less than 5 pounds of edible
meat protein. For the methods and procedures followed under these
"See for example, U.S. COUNCIL ON ENVIRON- assumptions, see MADSEN, Howard C et al., Iowa State
MENTAL QUALITY (1972). Environmental Quality, University (1972). Alternative Demands for Water and
The Third Annual Report of the Council on Environ- Land for Agricultural Purposes, prepared for the National
mental Quality, U.S. Government Printing Office, Wash- Water Commission. National Technical Information Serv-
ington, D.C. p. 16. ice, Springfield, Va., Accession No. PB 211444.

138

Projection of Past Trends in Agriculture Council to serve as a basis for regional water resources
Another useful way to look at the future is to planning under the Water Resources Planning Act
compare it with the past. In general, over the last 50 projects harvested irrigated cropland at 39.8 million
years, more and more food has been grown on fewer acres in the year 2000,'9 considerably above the
and fewer acres and with less and less labor. Thirty acreage indicated in the Iowa State University studies
years ago, one farmer fed 13 persons ;12 in 1971, each to be required to meet demands. The OBERS
farmer fed 48.2 persons.' 3 In 1949, 334.4 million projections are single-valued projections based on
acres of cropland were harvested; 74 20 years later, assumptions that U.S. population will reach 306.8
the figure had dropped to 273 million acres, an million by the year 2000, and that there will be no
average decline of 3.5 million acres a year." In the policy or program changes of an unusual or unfore-
same period, population increased 36 percent (from seen nature. The report states that
149.8 million to 203.2 million)76 and farm output The projections are in no sense a goal, an
increased 40 percent .7 ' Thus, a comparison of the assigned share, or a constraint on a region's
facts of the past with the forecasts obtained from the economic activity. They carry no connotation as
analyses of alternative futures is consistent with the to desirability or undesirability. Especially, they
thesis that agricultural land availability will not limit should not constrain the planner in considering
food and fiber supply. alternative levels of growth which might be
achieved through more or less resource devel-
OBERS Projections: Projection of past trends has led opment. 80
some of the Federal agencies involved in water The agricultural projection system used in the
resources planning to the conclusion that there will report is based largely on the extension of historical
be an increase in irrigated acreage in the future. A trends." Yield projections are based on general
recent report 78 prepared for the Water Resources assumptions that research leading to increases in crop
yields will continue to ine'rease, but at a dampened
72 U.S. DEPARTMENT OF AGRICULTURE (1958). Agri- rate and that implementation of current knowledge
cultural Statistics 1957. U. S. Government Printing and'technologies will lag, but that there will be more
73 Office, Washington, D.C. p. 556. extensive use of fertilizers and pesticides, improved
U.S. DEPARTMENT OF AGRICULTURE, Economic varieties, and improved management practices. 82
Research Service (June 1972). 1972 Changes in Farm
Production and Efficiency, A Summary Report, ERS Since they are a single-valued set of projections,
Statistical Bulletin No. 233, U.S. Department of Agricul- the OBERS Projections do not consider the pos-
ture, Washington, D.C. p. 29. sibility of substituting land for water and other
74 U.S. DEPARTMENT OF AGRICULTURE (1971). Agri- possible alternative futures covered in the Iowa State
cultural Statistics 1971. U.S. Government Printing Office, University! analyses. But they do provide another
Washington, D.C. Table 626, p. 436. possible alternative future that should be considered
75U.S. BUREAU OF THE CENSUS (May 1972). 1969 as a possibility, a future that would apparently
Census of Agriculture-County Data (United States). continue the policy of maintaining surplus or reserve
Issued on a State by State basis. U.S. Department of capacity in the Nation's agricultural plant.
Commerce, Washington, D.C. p. 1.
7 6 U.S. BUREAU OF THE CENSUS (July 1970). Statistical
Abstract of the United States 1970, 91st Annual Edition. Findings of Other Studies
U.S. Government Printing Office, Washington, D.C. Table
2, p. 5.
77KRAUSE OE (1971). Farm production capacity can Most other studies corroborate the proposition
meet our needs, pp. 278-284 in U.S. DEPARTMENT OF that the Nation's agricultural land base is adequate to
AGRICULTURE, A Good Life for More People, The meet future food and fiber demands without Federal
Yearbook of Agriculture 197 1, House Document No. 29, water resource development programs to enlarge the
92d Congress, lst Session. U.S. Government Printing base or its productivity. The National Advisory
Office, Washington, D.C.
7 "U.S. DEPARTMENT OF COMMERCE, Bureau of Eco-
nomic Analysis-U.S. DEPARTMENT OF AGRI- "Ibid., Table 6, p. 43.
CULTURE, Economic Research Service (1973). 1972 0 Ibid., p. 7
OBERS Projections of Regional Economic Activity in the
U.S., prepared for the U.S. Water Resources Council. U.S. "Ibid., p. 29,
Government Printing Office, Washington, D.C. 5 volumes. "Ibid., p. 31.

139

Commission on Food and Fiber, 83 reporting in 1967, 2000, ERS concludes agriculture will have no
concluded: difficulty meeting the country's needs for food
87
Reclamation and land development projects paid and fiber (excluding forestry products).
for by public investment have significantly Under assumptions used, including a U.S. popula-
increased farm production in the past three tion projection of 308 million for the year 2000
decades, during which agriculture was plagued which is decidedly high based on present trends, the
with overproduction and surpluses. Clearly, it is report says:
unsound policy to invest public funds in new ... the domestic use of farm products is
farm capacity at a time when the overriding expected to rise 55 percent in the next 30 years,
problem is too much capacity. allowing for the projected population increase
The Comn-dssion recommends that public funds plus a small gain in per capita food consump-
for agricultural reclamation, irrigation, drainage tion. With land development following recent
and development projects should be justified on trends, ERS projects that by the year 2000 there
the basis of whether they represent the cheapest will be a 3-percent (additional) decrease in land
means of getting additional farm production-if in farms. 118
84 The reduction in farn-dand contemplated amounts
needed.
The National Advisory Commission on Rural to 34 million acres, a little over 3 percent of the more
Poverty was even more specific, recommending: than I billion acres of land in farms in 1969. It
That land development programs of the Bureau includes 1-1/2 million fewer acres of cropland.
of Reclamation, the Soil Conservation Service, There are, of course, other views, based on the
and other Federal agencies be discontinued, and adoption of other assumptions. A committee of the
that no more public money be invested in National Academy of Sciences assumed a U.S. popu-
developing privately owned farmland until the lation in the year 2000 between 300 and 340 million
nation needs more land for producing the a world population between 6 and 7 billion (nearly
desired output of food and fiber products. double the present level), the risk of world famine
Exceptions should be made where land develop- and the likelihood of increased American food
ment offers the only feasible escape from exports, and it accordingly recommended:
poverty for Indians and other specific groups of That the efficiency and capacity of agricultural
rural poor people." productivity, both in the United States and
A recent official publication of the U.S. Depart- abroad he increased to the maximum levels
ment of Agriculture summarized a comprehensive possible. This is necessary not only to assure
land and water study by natural resources experts in national food reserves, but also to help those
the Department's Economic Research Service (ERS) countries in need. Overproduction, as well as
which adds further support to the assertion that the underproduction, of perishable products must
Nation's land base will be adequate to meet future be controlled, for it is evidence of poor national
16
food and fiber demand. The study points out that management and vitiates the improvement of
acreage actually used for crops has been decreasing at farm production and management. The Depart-
an average of 2 million acres a year since 1950 and ment of Agriculture has been working in these
that the increase in idle cropland is a result of a 50 directions for a long time, in collaboration with
percent increase in cropland productivity since 1950. the Department of State and the United Na-
Analyzing trends in population, production, and tions. The effort should be continued, improved,
land use, and projecting changes to the year and intensified.89

'Created by Executive Order No. 11256, November 4, 8 6 U.S. DEPARTMENT OF AGRICULTURE (1972). Farm-
1965. land: Are we running out? The Farm Index. December
14 U.S. NATIONAL ADVISORY COMMISSION ON FOOD 1972. pp. 8-10.
AND FIBER (1967). Food and Fiber for the Future. U.S. 8 7-ibid.
Government Printing Office, Washington, D.C. p. 21. 8 8 Ibid.
85PRESIDENT'S NATIONAL ADVISORY COMMISSION 19 U.S. NATIONAL ACADEMY OF SCIENCES, Committee
ON RURAL POVERTY (September 1967). The People on Resources and Man (1969). Resources and Man, A
Left Behind. U.S. Government Printing Office, Washing- study and Recommendations. W. H. Freeman and Com-
ton, D.C. p. 138. pany, San Francisco, Calif. p. 13.

140

But the dominant theme of the studies of become dependent upon the United States for food
American agriculture is overproduction accompanied supply.
by a depressed agricultural economy. 90 If our Nation, or the United Nations, concludes
DISCUSSION that food shortages may be caused by sudden and
catastrophic events, whether climatic or biologic, the
At each of the hearings on the Commission's draft Commission believes the proper policy to guard
report, witnesses representing groups that would against this disaster would be a national or world
continue the national programs of subsidies to bring program for food storage. A World Food Bank would
new farm lands into production urged upon the make sense for many reasons, not the least of which
Commission the possibility that a national food would be its symbolizing the dependence of nations
shortage may lie ahead. They pointed to the very upon each other, the "One World" of Wendell Wilkie.
recent dramatic increases in food exports to Russia, If there is to be a national or world catastrophe that
China, and India. They suggested that this sharp causes food shortages, the addition of a few million
upward trend of exports might continue. They more acres of farm land will not prevent it. And if for
pointed also to the example of the corn blight of whatever reason there should arise a need for more
1970, and foresaw that the high-yielding hybrid farm land in the United States to meet an unex-
grains might suffer catastrophic destruction through pectedly rapid increase in exports of farm products,
uncontrollable diseases, or that the droughts of the the sensible way to meet such need would be to allow
mid-1930's might reoccur. They questioned whether a free and unsubsidized market to do so in the most
agricultural technology would continue to improve at economic manner. That might or might not involve
the rates assumed in the Iowa State University bringing new land under irrigation or draining and
forecasts, and similar forecasts of the National Ad- protecting new land from floods. It should depend on
visory Commission on Food and Fiber and the what at the time proves to be the least-cost method
National Adivsory Commission on Rural Poverty. In of increasing farm production. The cost, in any event,
other respects too, for example, the possibility of should not be borne by the taxpayers, but should be
even more severe limits upon the use of chemicals in incorporated into the price of the crops exported, so
agriculture than assumed in the Iowa study, these that the United States will no longer be buying
witnesses questioned the accuracy of the Commis- imports at today's prices and selling exports at prices
sion's forecast that the Nation already has adequate of the 1940's and 1950's.
agricultural production capacity to meet the needs of
the next 30 years. CONCLUSIONS
Any forecast can, of course, err. Neither this nor Land reclamation measures such as irrigation and
any other Commission has the gift of prophecy. We drainage of new land, protection of existing and
do not know whether any of the alternative futures potential cropland from floods, and provision of
used in the Iowa State University studies will materi- supplemental irrigation water for existing croplands
alize. But the Commission believes the assumptions have added to the excess productive capacity of U.S.
which underlie them are not unreasonable. In the agriculture and have thereby contributed to the high
Commission's view it would be highly imprudent to costs of crop price support and land retirement
conclude, as a matter of national policy, that we programs. If the assumptions used in the Iowa State
should continue to subsidize the bringing into pro- University studies are reasonable, and we believe that
duction of new farm lands on the basis of specula- they are, there appears to be adequate productive
tions of food shortage that might arise because farm capacity in the Nation's agriculture to meet food and
technology may falter; or because blights and fiber demand under various alternative futures at least
droughts of catastrophic proportion may occur; or until the year 2000. In such case there would be no
because other nations such as Russia and China may need in the next 30 years to continue federally
subsidized water resource development programs to
90 See for example, CLAWSON, Marion M et al. (1960). increase the agricultural land base of the country, but
Land for the Future. Published for Resources for the where the Federal Government has executed con-
Future by The John Hopkins Press, Baltimore, Md.; tracts to complete water projects already begun, such
JOHNSON, Glenn L & QUANCE, C Leroy (1972). The projects should of course be completed.
Overproduction Trap in U.S. Agriculture. Published for
Resources for the Future by The Johns Hopkins Press, Even if none of the alternative futures assumed in
Baltimore, Md. the Iowa State University studies adequately project

141

the actual supply and demand for food and fiber for food is produced is obtained in the most efficient
the year 2000, there is still no justification for least-cost way.
subsidizing reclamation projects. If, for example, The adoption of the Commission's recommenda-
export demand for food and fiber greatly exceeds the tions on cost-sharing (Chapter 15), which would
amount contemplated in any of the alternative require identifiable beneficiaries or owners of bene-
futures considered, that demand should nevertheless fited property to repay their respective shares of the
be satisfied in the most efficient way. Efficiency in full costs of irrigation, drainage, and flood control
agriculture, as in many other sectors of the economy, projects, and the recomm 'endations on project evalua-
is more often than not distorted by subsidies. The tion as a basis for decisionmaking (Chapter 10),
discipline of the -marketplace should be relied upon to which would require that consideration be given to
insure that, consistent with environmental con- both the positive and negative effects of proposed
straints, food is produced in the least-cost way. That projects on all regions, would serve to limit public
may or may not entail more land under irrigation support for those projects and programs which would
than at present. But the decision should not be not contribute significantly to the development of
distorted by the influence of subsidies. viable economies and qualify environments in the
If the demand for such high-value, specialty crops Nation's water resource regions.
as fruits, nuts, and vegetables should increase so as to The Commission is aware that its recommendations
require the use of additional land, the demand can be would lead to a reduction in new starts on projects by
met by the private sector in a number of ways the Federal water agencies. The future role of these
without Federal subsidy, for example, by shifting agencies is considered in Chapter 11, Section C.
land presently in use for production of low-value
crops to production of high-value crops.
Even if the United States should embark upon RECOMMENDATION
large-scale aid programs to supply food to the rest of
the world, the reclamation of farm lands should pay 5-5. Legislation should be enacted to require full
its own way. Any subsidies in the price of exported repayment of costs of Federal water resource
food found advisable for reasons of foreign or development projects that result in increases in
domestic policy should be straightforward (e.g., production of food and fiber in accordance
direct appropriations to the Department of State to with the principles set forth in Chapter 15 of
purchase food in the open market) so that whatever this report.

------- Section D
Acreage Limitations and Subsidies
in Reclamation Programs"

National farm policy has sought creation of an by such an agrarian society. 92 The distribution of
agricultural community of independent, self-reliant, public land in 160-acre blocks free of charge to
and self-sufficient farmers. This goal rested essentially homesteaders reflected this goal. The acreage limita-
on what has been called the Agrarian Myth, epi- tion (originally 160 acres) in reclamation law also
tomized in Thomas Jefferson's belief that the Na- reflects this goal. The 1902 Reclamation Act said in
tion's welfare depended on the civic virtue produced effect that Government assistance in securing irriga-
tion water would be available to farmers owning not
"The background and operation of the acreage limitation more than 160 acres.93 At the same time, the
described in this section are taken largely from HOGAN,
Harry J (1972). The Acreage Limitation in the Federal
Reclamation Program, prepared for'the National Water HOGAN. p. 24 et seq.
Commission. National Technical Information Service, 93 Reclamation Act of 1902, P.L. 161, June 17, 1902,
Springfield, Va., Accession No. PB 211840. This study is Sections 3, 5, 57th Congress, 32 Stat. 388, 389, 43 USCA
referred to hereafter as HOGAN. 431,434.

142

reclamation farmer remained subject to market 3. By a 1956 amendment to Section 46 of the
forces, which over the years have led him to enlarge 1926 Act, excess lands acquired by mortgage fore-
his farm and, therefore, to seek means of avoiding the closure, inheritance, or devise may receive reclama-
acreage limitation. tion water for 5 years.99
4. Some landowners and districts obtained ex-
PRESENT STATUS OF ACREAGE LIMITATIONS emption when water under U.S. Bureau of Reclama-
The original acreage limitation appeared in Section tion (Bureau) control is declared to be natural flow,
5 of the 1902 Act, but the currently prevailing in which the landowners or districts had rights
general rule was adopted in the 1926 Omnibus antedating the construction of the project. The most
Adjustment Act, Section 46, which provided that notable example of this exemption is found in the
water delivery contracts, which formerly had been Sacramento River Diverter contracts executed in
connection with the Shasta Dam project in Northern
entered into with individual farmers, would be California.'00
executed only with public irrigation districts. The 5. Similarly, land irrigated by reclamation water
statute then stated, in effect, that the owners of percolating to ground water aquifers may be exempt,
irrigable lands in excess of 160 acres were required to on the theory that the delivery of such water is
dispose of these lands before they could receive water "unavoidable." "Unavoidable delivery" clauses now
from a Federal project." appear in the California Central Valley Project con-
By later amendment of this general provision, by tracts.' 0 1
special legislation for specific projects, and by admin- 6. The Bureau may not seek to trace reclamation
istrative action, the acreage limitation now has the water through the wholesaler to the ultimate user,
following status: who can thereby avoid the acreage limitation. This is
1. Some districts are completely exempted from the case with the Metropolitan Water District (MWD)
the limitation. The Northern Colorado Water Con- of Southern California, whose reclamation water
servancy District, which embraces six counties and supply is described as municipal and industrial water.
receives 230,000 acre-feet per year of supplemental In fact, however, some of the water is used directly
water, obtained its exemption by legislation." The for agriculture and some replaces wat'er that is used
Imperial Irrigation District in southeastern California for agriculture. 102
obtained exemption by a ruling of the Secretary of
96 7. Irrigators may receive a de facto exemption
the Interior, later confirmed in court. for protracted periods of time during contract nego-
2. The Small Reclamation Projects Act of tiations. In the Sacramento Diverter situation, Shasta
19569'7 has been construed to grant an exemption. Dam went into operation in 1944, but the contracts
On irrigation projects qualifying for Federal loans were not signed until 1963 and did not take effect
interest is payable on construction costs allocable to until 1964, 20 years after the project went into
excess acreage, hence the acreage limitation was
98 operation."' Under the 1926 Omnibus Act, the
thought not to be applicable. acreage limitation does not take effect for another 10
94 Act of May 24, 1926, P.L. 284, Section 46, 69th years, that is, until 1974. (In connection with the
Congress, 44 Stat. 636, 649, as amended, 43 USCA 423e. Shasta Dam project, the Bureau has yet to reach
"'Act ofJune 16, 1938, P.L. 665, 75th Congress, 52 Stat. agreement with Delta water users further downstream
764, 43 USCA 386. on the Sacramento River.)
'6Letter dated February 24, 1933, from the Secretary of 8. It has been recently suggested by a Federal
the Interior to the Imperial Irrigation District, conferred District Court that the acreage limitation expires
the immunity. In an opinion dated December 31, 1964
(M-36657), (71 S.D. 496), the Solicitor of the- Depart- 9 9Act of July 11, 1956, P.L. 690, 84th Congress, 70 Stat.
ment of the Interior overturned the ruling and held that 524, 43 USCA 423e.
the acreage limitation applied. In subsequent litigation,
the U.S. District Court, So. District, California, ruled on "'HOGAN. pp. 72, 130-136.
January 5, 1971, that the limitation did not apply. The "' HOGAN. p. 72.
Department did not appeal. United States v. Imperial 102HOGAN. p. 73. It should be noted, however, that the
Irrigation Dist., 322 F. Supp. 11 (S.D.Cal. 197 1). price of MDW's municipal and industrial water is higher
"'P.L. 984, August 6, 1956, 84th Congress, 70 Stat. 1044, than that of water identified as irrigation water in other
as amended, 43 USCA 422a to 422k-1. Bureau contracts.
9'HOGAN. p. 76 11 3 HOGAN. p. 7 4.

143

V-5 7,3 'q@-g7

Siphon tubes take waterfrom farm ditch into crop rows in California's Central Valley

when the contracting irrigation district makes full family operation. By 1926, family residence was
payment of its contractual repayment obligation for dropped from the statutory law, leaving ownership as
reimbursable capital costs allocable to irrigation.' 04 the only element that mattered. The excess land law
The case is now on appeal, and the issues are quite has come to mean that no single individual can have
complex, involving the interpretation of a succession beneficial ownership of more than 160 acres of
of reclamation- laws and a number of conflicting irrigated land in any given reclamation project. Thus,
opinions by Interior Department Solicitors. The trial a husband and wife with two "nor children can
court found it to be a fact, however, that the operate 640 acres-the parents' 320 acres in coten-
Department had an administrative practice of releas- ancy or community property and the children's
ing the limitation upon payment of the contract interest in individual ownership (outright or in trust)
obligation. in 160 acres each. A farmer and his wife may own
9. By administrative regulation, the 1926 Act has 320 acres in every irrigation district in the West. A
been interpreted to give owners of excess irrigation corporation may own 160 acres in each reclamation
project lands 10 years in which to sell excess land (or project. A joint venture may own and operate as a
to suffer exercise of the power of sale conferred on single unit a farm composed of as many 160-acre
the Secretary). parcels as there are partners in the firm: 10 part-
The foregoing list enumerates exceptions to the ners-1,600 acres irrigated by reclamation water. The
limitation, either temporary or permanent. In addi- farm family of four described above may add as much
tion, there are techniques available to ameliorate the land as it wishes to its 640 acres by leasing from
effects of the limitation when it has been applied. neighbors, so long as no single ownership exceeds 160
The Agrarian Myth hypothesized a family farm acres. A corporation may operate as many acres as it
that was (a) family owned, (b) family run, and wishes, so long as it does not own more than 160.' 06
(c) family occupied.' 0 5 The 1902 Act required own- In short, where the acreage limitation has not been
ership and (somewhat loosely) residence but not lifted by exemption, its effect is not to control the
size of farm operating units but to regulate the
"'United States P. Tulare Lake Canal Co., No. 2483-Civil, benefits accruing from subsidized irrigation by limit-
Federal District Court, Eastern Dist., Calif. Opinion ing beneficial ownership to 160 acres.
entered and judgment filed March 15, 1972. See the
memorandum and order in United States v. Tulare Lake
Canal Co., 340 F. Supp. 1185 (E.D.Cal. 1972) (alterna-
tive holding). The foregoing description of the operation of the acreage
'HOGAN. pp. 6-7. limitation is taken from HOGAN, pp. 77-97.

144

SUBSIDY IN RECLAMATION PROGRAMS interest, the irrigator in Ainsworth is repaying about
12 percent of the irrigation cost allocation and in
Irrigation subsidy is the difference between the Angostura less than 3 percent,
costs of irrigation projects, including irrigation com- Table 5-10 also suggests the magnitude of the
ponents of multipurpose projects, and the amount subsidy reclamation farmers receive from power
that beneficiaries repay. The principal elements of the revenues, sales of municipal and industrial water, and
subsidy are (1) interest-free, long-term loans, (2) pay- other assistance. The difference between the figures
ment of irrigation costs by electric power revenues in the column headed "Project Construction Cost
and by revenues from the sale of municipal and Allocated to Irrigation" and the column headed
industrial water, and (3) allocation, to an unwar- "Irrigation Repayment Obligation" is made up by
ranted extent, of joint costs of multiple -purpose nonirrigation revenues assigned to assist payment of
projects to nonirrigation features. the irrigation component of project costs. It will be
The interest-free loan is the largest component of noted that in the Angostura unit the ratio of irrigator
the subsidy. Reclamation farmers are allowed an payments to total project costs allocated to irrigation
initial development period of 10 years in which no is about 1 to 9. In the aggregate, as of 1970, power
capital charges are payable; thereafter, they are payments alone are expected to account for $5
supposed to repay the capital charges in annual billion of the $7.9 billion reimbursable by irriga-
installments spread over 40 years, at no interest tion.' 0 9
charge. The magnitude of the subsidy can be ex- Another practice which may contribute to the
pressed in several ways. For example, if the irrigation subsidy is the allocation of multipurpose project costs
cost per acre (i.e., the part of project costs allocated to such nonreimbursable features as flood control and
to irrigation) is treated as a capital obligation that recreation. There is room for debate on the extent of
never has to be repaid, and if the farmer's annual the subsidy, for it can be contended that present
repayment charge is regarded as a perpetual return on allocations of joint and separable costs properly
that investment, the rate of return on the Govern- represent the benefits generated or costs incurred by
ment's investment will be extraordinarily low. In 22 each of the several purposes of any given project. The
units of the Missouri River Basin Project, the return Comptroller General, however, has been critical of
rate by such calculation exceeds 1 percent in the case cost allocations on a number of Bureau of Reclama-
of only one unit (where the rate is 1.65 percent). The tion and U.S. Army Corps of Engineers projects.' '0
other 21 units have rates ranging from a low of zero Suffice it to say that since irrigation, municipal, and
percent (five units) to a high of 0.90 percent. Table industrial water supplies are at least partially re-
5 -10 presents data for 22 units. 107 imbursable and since navigation, flood control, recre-
Another way of describing the interest subsidy is ation, and water quality improvement features are
to suppose that the annual repayment charge is paid not, there is some incentive for beneficiaries who
to retire a fixed-term obligation at the end of a must pay to exaggerate the benefits of nonreimburs-
40-year period at a given rate of interest. If the rate able components of projects.
of interest is fixed at 6 percent,' 08 the arnount of
principal thus repaid is also very small. In Table 5-10, THE PROBLEM
for example, the first unit (Ainsworth) has an annual
irrigation charge of $5.77 per acre, which is to be The acreage limitation of the reclamation program
paid for 40 years (disregarding the 10-year develop- has served two basic purposes: (1) to justify Federal
ment period). Such a payment at 6 percent interest support of subsidized irrigated agriculture as a means
would repay a principal amount of $86.84 per acre of promoting the "family farm" and (2) to apportion
when the cost allocated to irrigation is $753 per acre ' to some degree the windfall gains from the subsidies
Similarly, in the Angostura unit, the annual irrigation among a larger number of beneficiaries. The Nation
charge of $1.84 per acre would repay a principal faces two questions: (1) whether to continue the
amount of $27.69, when the amount allocated to subsidized support of irrigation in future programs
irrigation is $1,174. In other words, at 6 percent and (2) whether to lift the acreage limitation as
applied to present subsidized irrigation programs.
"'HOGAN, pp. 240-242.
Six percent interest is about the middle of the range of 10 9 HOGAN. p. 2 34.
rates that public and private utilities have been paying in
recent years. See HOGAN, pp. 245-247. HOGAN. p. 232.

145

TABLE 5-IO.-Irrigation cost and annual repayment charge per acre, Missouri River Basin Project

Annual Irrigator
Project Construction Irrigation Construction
Cost Allocated to a Repayment 0%ligation Repayment Charge Rate of
Irrigation Per Acre Per Acre Per Acre Return
Project Units (dollars) (dollars) (dollars) (percent)

Ainsworth 7S3 286 $5.77 0.77
Almena 1,213 183 4.20 0.35
Angostura 1,174 132 1.84 0.16
Bostwick 748 221 4.62 0.62
Cedar Bluff 1,267 189 4.09 0.32
Crow Creek Pump 362 62 0 0
Dickinson 656 15 0 0
East Bench 401 96 0 0
Farwell 693 237 4.38 0.63
Fort Clark 603 52 1.48 0.25
Frenchman-Cambridge 921 162 3.71 0.40
Garrison Diversion 959 77 1.20 0.13
Glen Elder 258 0 0 0
Glendo 109 79 1.80 1.65
Hanover Bluff 885 153 1.10 0.12
Heart Butte 162 91 1.45 0.90
Kirwin 1,052 179 5.12 0.49
Oahe 1,083 176 3.20 0.30
Rapid Valley 192 0 0 0
Sargent 561 205 4.73 0.84
Savage 451 101 3.00 0.67
Webster 1,209 228 4.78 0.40

a
These figures are the construction costs per acre allocated to the irrigation component of the project. Interest is not payable on
these costs allocated to irrigation, even though other sources of revenue than irrigators' payments are used to discharge much
Wf the obligation (e.g., power revenues).
These figures are the repayment obligation per acre that the contracting irrigation district assumes in the water delivery
contract. The difference between costs allocated to irrigation and the district's repayment obligation is made up from other
revenues (e.g., power revenues).

Source: U.S. BUREAU OF RECLAMATION (1971). Summary Report of the Commissioner, Bureau of Reclamation 1970,
Statistical & Financial Appendix, Part IV. U.S. Government Printing Office, Washington, D.C. pp. 159-227.

The Commission takes the position generally that "No," then reclamation farmers, like other water
direct beneficiaries should ordinarily pay the full users, should be required to pay their full share of the
costs of water development projects, including pay- costs of a water development project. If those costs
ment of interest on capital invested.' 1 1 The question are paid, there will be no private windfall gains and
then arises whether or not irrigated agriculture should therefore no need to impose an acreage limitation to
be excepted from that recommendation, To state the achieve their wider distribution.
question in a different form: Can subsidies to A conclusion that the Nation should not subsidize
irrigated farms be justified either on the historic basis reclamation programs in the future and therefore
of promoting the family farm or on the basis of should abandon the acreage limitation in reclamation
modern circumstances? If the answer generally is projects built hereafter does not answer the question
of what should be done with existing projects, where
See Chapter 15. a subsidy has already been granted on a contractual

146

basis-and the acreage limitation imposed. Even if the In summary, the Commission finds no evidence
family farm rationale for subsidization of irrigation that Federal support of the subsidized reclamation
can no longer be supported, the question remains of farm and imposition of the acreage limitation have
the windfall gains that might be conferred if the produced cultural patterns any different from those
limitation were lifted on existing projects. found in comparable nonreclamation farming com-
DISCUSSION AND CONCLUSIONS munities.
The Commission finds, on the other hand, that to
Future Reclamation Programs continue subsidization of new irrigation projects does
have disadvantages for the Nation." 5 The most
The Federal reclamation program has by no means serious is the expansion of the productive capacity of
guaranteed family farms owned, operated, and oc- the Nation's agricultural plant when there is a surplus
cupied by farm families. In fact, family occupancy of many crops-a surplus that is expected to continue
was an ambiguous requirement at best, early erased in the future. 1 16 Reclamation projects add to that
by an administrative ruling requiring only that the
12 surplus, to the detriment of farmers already in
owner live within 50 miles of the farm,' hardly a business and at high cost to the taxpayer.' 17 Not
commuting distance in 1910. Family operation was only must the taxpayer pay a large portion of the
never required, although in 1902 it might have been costs of bringing new land into production, but he
thought to be natural. In any event, at the present must also pay for farm price-support programs, the
time a large amount of irrigated acreage in Bureau costs of which go up as farm production of supported
projects is owned by persons who do not farm the
113 crops increases. Howe and Easter have estimated that
land but lease it out for others to cultivate. What of the annual payments to farmers under the 1964
remains of the concept of the family farm is and 1966 price support program between $83 million
ownership, and ownership only. Where the hinitat i.on and $179 million could be directly attributed to lands
applies, it means that no one person may receive brought under Bureau of Reclamation wafer service
reclamation water for more than 160 acres of land during the 1944-1964 period." 8
that he owns in any one irrigation district. It is doubtful that taxpayers as consumers benefit
As thus construed and applied, the acreage limita- greatly from these price-support expenditures or from
tion has little to do with the nature of rural life or the subsidizing irrigation projects. For those crops which
mode of farming. Reclamation farm families seem to come under farm price-support programs, prices at
adopt about the same lifestyle and farming patterns the food store will be as high as they would otherwise
as nonreclarnation farm families. In California, the be. But with greater production from subsidized
Commission was told many reclamation farmers as irrigation, more tax funds will be required (1) to
well as nonreclarnation farmers tend to live in town
and commute to the farms. Sizes of farms are about
the same within any given irrigation district, whether See Chapter S, Section C.
or not the farms are subject to the acreage limita- See Chapter 5, Section C. Fruits, nuts, and vegetables are
tion. 114 When differences exist between reclamation not in surplus, but only 15 percent of reclamation land is
and nonreclamation farms, they are found in the devoted to those crops.
nature of the landholding patterns. The reclamation "'HOWE Charles W & EASTER, K William (1971). Inter-
farmer must lease excess acreage; the nonreclamation basin Transfers of Water. Published for Resources for the
farmer can buy as much land as he chooses. But in Future, Inc. by The John Hopkins Press, Baltimore, Md.
scale of operations, capital investment, and all other pp. 140-141. The authors estimate that the 3.3 million
acres of additional irrigated cropland developed by the
aspects of farm operations, the reclamation farmer Bureau in the period 1944-1964 displaced from 5 to 18
and his nonreclamation counterpart are indistin- million acres elsewhere in the country. This amounts to
guishable. something between 8 and 20 percent of the 66 million-
acre decline in harvested cropland in the 20-year period.
" 'Reclamation Service Regulations, May 31, 1910; 38 L.D. "'HOWE Charles W & EASTER, K William (1971). Inter-
637. basin Transfers of Water. Published for Resources for the
" 'See HOGAN, pp, 110-122. Future, Inc. by The J6hns Hopkins Press, Baltimore, Md.
'In fact, in five counties of the California San Joaquin p. 143. Additional calculations for cotton indicate that
Valley, the average size of a reclamation farm operation is price support and land retirement payments cost the
larger than the average size of all farm operations, in Federal Treasury between $201 and $468 per year per
some cases by sizable amounts. See HOGAN, pp. acre of reclamation irrigated cotton. See pp. 146,'
119-120. 148-154.

147

maintain price-support levels and (2) to underwrite industry. Accordingly, the Commission concludes
the irrigation subsidy. that the 160-acre limitation should be eliminated in
For crops which are not under price-support future reclamation programs if direct beneficiaries
programs but which are gown on reclamation project pay in full the costs of projects allocated to irrigation.
lands, food store prices will probably be lower, but
n ot by much because the price received by farmers Existing Reclamation Programs
represents only a fraction of the retail price of food The reasons for eliminating the acreage hinitation
and subsidized irrigation accounts for only a fraction in future programs offer little guidance for handling
of total agricultural production! 19 In many cases, the problem under present programs. There is little
the combined social costs of producing subsidized evidence that farm efficiency now suffers from the
products (i.e., the price paid by consumers plus the limitation, since various business arrangements allow
subsidy paid by taxpayers) exceed the costs which the farming entrepreneur to put together an operating
would otherwise prevail in the absence of the subsidy. farm of the size he deems optimal. Costs are incurred
The Commission concludes that subsidization of (1) to set up arrangements satisfactory to the
new irrigation projects is not justified on either social administrators in the Bureau of Reclamation and (2)
or economic grounds. Reclamation farms differ little to litigate the legality of the arrangements.
from nonreclarnation farms, but federally subsidized There are those who would urge that the 160-acre
irrigation does increase farm surpluses, increasing the limitation be given real teeth as a means of restraining
costs of price-support programs and disadvantaging large-scale corporate farming. The Commission does
farmers in other parts of the country. Direct bene- not believe the acreage hmitation is adequate to the
ficiaries of Federal irrigation developments should, job if indeed it is desirable to do such a job in the
therefore, be compelled to pay in full the costs of first instance. The Bureau of Reclamation serves
projects allocated to irrigation in conformity to the almost 9 million acres out of a harvested cropland
general principle of full-cost repayment proposed for base of 273 million acres, and a significant part of the
other water development projects elsewhere in this reclamation land is not subject to the acreage
report. limitation. Even assuming the doubtful legality of
If full repayment of irrigation costs is required of applying the limitation to operating size instead of
benefited irrigators, no reason is perceived for subjec- applying it merely to ownership, the effect on land
ting them to an acreage limitation. No subsidy has tenure and corporate farming would seem to be
been conferred and no windfall gains will be ob- miniscule.
tained. In fact, there appear to be good reasons not to There are others who would urge outright abolition
impose a limitation. As a general proposition, re- of the limitation .12 ' They, however, have not always
straints on citizen behavior should be avoided unless faced up to the question of the reclamation subsidy
good cause is shown for limiting freedom of choice. and the relation of the limitation to it. It would not
Moreover, arbitrary rules restricting economic choice do to abolish the limitation if the effect would be to
are likely to cause misallocation of resources. The confer large windfall gains on reclamation farmers.
average size of the American farm has been on the It is the Commission's opinion that any lifting of
increase as economies of scale are achieved with
improved technology. 12 0 An acreage limitation runs the acreage limitation on existing reclamation proj-
counter to this trend and could produce one of two ects should be accompanied by an increase in the
undesirable consequences: (1) Economic pressures price of reclamation water reflecting more accurately
would be such that evasion of the law would occur or the real cost of obtaining the water and delivering it
(2) the law would be enforced despite the economic to the farmer.
pressures but at the cost of a less efficient irrigation RECOMMENDATIONS
'Thus a general change in technology affecting all farm 5-6. Subsidization of new irrigation projects should
production could have a far greater impact on food prices be discontinued. Direct beneficiaries of Federal
than will a change in output of irrigated agriculture which
contributes only 20 percent of total farm output. 12 'GOVERNOR'S TASK FORCE ON THE ACREAGE
LIMITATION PROBLEM (January 4, 1968). Report of
12 0 Between 1935 and 1972, average farm size in the United the Governor's Task Force on the Acreage Limitation
States increased from 155 to 394 acres. This same trend Problem. Department of Water Resources and Depart-
has occurred also in the 17 Western Reclamation States. ment of Agriculture, State of California, Sacramento.

148

irrigation developments should pay in full the making such lump-sum payment or by
costs of new projects allocated to irrigation. paying such interest assigned to all the
5-7. Congress should abolish the 160-acre limitation land he owns within a project, including
in reclamation projects constructed in the his original 160 acres. Project costs
future; provided, however, that direct project should be apportioned on an acreage basis.
beneficiaries pay the full costs of the projects d. Any landowner who wishes to acquire
allocated to irrigation. excess acreage should be able to do so and
5-8. With respect to existing reclamation projects, receive reclamation water if he makes such
Congress should enact legislation authorizing lump-sum payment or pays such interest as
four distinct ways in which the acreage limita- is assigned to all the land he will own
tion may be lifted. within a project, including his original 160
a. Any irrigation district should be able to acres. -
make a lump-sum payment of the balance
remaining due on a contractual obligation These four proposals would not fully recapture the
incurred for irrigation and receive an subsidy granted to irrigation water. Those parts of the
exemption from the acreage limitation. 122 subsidy consisting of assistance from power revenues
b. Any irrigation district should be able to and from overallocation to such nonreimbursable
pay interest on the balance remaining due benefits as flood control and recreation will not be
on a contractual repayment obligation recaptured. But in view of the fact that under
incurred for irrigation and receive an ex- existing, binding legal arrangements, operators of
emption from the acreage limitation. farms containing excess acreage may receive reclama-
c. Any landowner who has executed a record- tion water without recapture of the subsidy, the
able contract to sell excess acreage should proposals are thought to go as far towards recapture
be able to retain that excess acreage by as is practicable.

Section E
Programs for Reducing Flood Losses

The annual flood damage in the United States has area. 12 1 During the period 1955 through 1969 the
been roughly estimated to average $1 billion. 1 23 loss of life in the United States attributed to floods
There is also a toll in human life, even though a high averaged 83 per year .126 Despite the more than $8
degree of flood protection has been provided, at great billion that the Federal Government has spent in its
cost, for most cities located in major river valleys. attempt to reduce those losses, the total loss con-
Relatively small cities, like Rapid City, South Dakota, tinues to grow. The conclusion is inescapable: the
are, however, still vulnerable, as was demonstrated Nation should improve its programs for dealing with
when a flood of great magnitude struck that com- flood problems.
munity in June 1972, taking 237 lives and causing There are a number of measures that can be used
damage estimated to be in excess of $1 billion .124 In to mitigate flood damages. Flood plain areas where
that same month, Hurricane Agnes resulted in at least people and property are already concentrated may be
122 deaths at scattered points over a five-State given full or partial protection by construction of
engineering works such as reservoirs, levees, channel
'A Federal district court has adopted this proposition as improvements, and bypasses. The Nation has invested
the existing law, but the case has been appealed.
123 TASK FORCE ON FEDERAL FLOOD CONTROL '21GENERAL ADJUSTMENT BUREAU, INC (1972)'
POLICY (August 1966). A Unified National Program for Nature's Destructive Forces. General Adjustment Bureau,
Managing Flood Losses, House Document No. 465, 89th New York.
Congress, 2d Session. U.S. Government Printing Office, 12 6U.S. NATIONAL OCEANIC AND ATMOSPHERIC
Washington, D.C. p. 3. ADMINISTRATION. Climatological Data, National Sum-
Unpublished data compiled by the American Red Cro ss. mary, 1970.

149

billions of dollars in such works since the Federal economy and the human suffering that result from
Government began its efforts to bring floods under floods are, in brief:
control; first in the Lower Mississippi Valley in 1918 1 .The "flood control" activities of the Corps of
and throughout the Nation in 1936. When it became Engineers of the United States Army which
clear that new flood problems were being created are carried out primarily under the authorities
faster than the old ones were being eliminated, other made available to that agency by the Flood
127
measures began to receive serious attention. These Control Act of 1936, and a great body of
included the regulation of flood plain use to prevent additional amendatory and supplementary leg-
their development in such a way that excessive islation.
damage will occur when floods strike, and to require 2. The program of the Soil Conservation Service
that any structures that are built on the flood plain of the U.S. Department of Agriculture under
shall be designed so that they suffer little damage in the authorities of the Watershed Protection
128
time of flood. The latter measure, sometimes referred and Flood Prevention Act of 1954, as
to as "flood-proofing," finds favor where lands amended, often informally referred to as the
suitable for development are limited. "small watershed program."
Flood losses can also be reduced by warning 3. The program of the Tennessee Valley Author-
occupants of the threatened area of the flood wave ity, 129 one purpose of which is to reduce
descending upon them and helping them to evacuate flood damages.
the area expected to be inundated. The use of this 4. The Federal Reclamation Program admin-
technique is dependent upon flood forecasting and istered by the Bureau of Reclamation of the
the Federal Government provides a flood warning U.S. Department of the Interior pursuant to
service through the National Weather Service. In legislation 130 which makes it possible to
predicting flood stages on the major streams, a rather provide flood control capacity in the multiple-
high degree of reriability has been attained and purpose reservoirs of Federal Reclamation
warning times are long enough to permit removal of Projects.
property to locations where it will not be damaged. 5. A flood insurance program 13 1 directed by the
Flash floods from small drainage areas, particularly in Federal Insurance Administration of the U.S.
mountainous areas, cannot always be predicted far Department of Housing and Urban Develop-
enough in advance to make it possible to protect ment and carried out by a pool of insurance
movable property. This can result in disasters such as companies.
that visited upon Rapid City in 1972. Flash flood
warnings can, at best, save lives if they are heeded. Program of the Corps of Engineers
Rapid City, for example, had about 5 hours advance The legislative base for this program is a series of
warning of the flood, but lacked an effective corn- "Flood Control Acts," the first of which was enacted
munity action program. in 1936. Previous to that Act there was no nation-
When floods occur, Federal, State, local, and wide flood control program, although the Federal
private organizations cooperate in carrying out flood
emergency programs. Overall coordination is provided 127 P.L. 738, June 22, 1936, 74th Congress, 49 Stat. 1570.
by the Office of Emergency Preparedness, and tax 12 'P.L. 566, August 4, 1954, 83d Congress, 68 Stat. 666, as
relief and disaster relief loans and grants are provided amended, 16 USCA 1001-1008.
when the President declares the flooded area to be a 12 'Carried out under the Tennessee Valley Authority Act of
disaster area. 1933, P.L. 17, May 18, 1933, 73d Congress, 48 Stat. 58,
All of the measures rn@ntioned above should be as amended, 16 USCA 831 et seq.
considered in developing a plan for mitigating flood "Reclamation Project Act of 1939, P.L. 260, August 4,
losses in a particular area, and the plan should be 1939, Section 9, 76th Congress, 53 Stat. 1187,
1193-1196, as amended, 43 USCA 485h.
tailored to the unique needs of that area. In general, 13'Authorized by the National Flood Insurance Act of
the objective should be to arrive at the best combina- 1968, P.L. 90448 Title X111, 82 Stat. 476, 572 (codified,
tion of measures. as amended, in pertinent part at 42 USCA 4001 et seq.).
The earlier Federal Flood Insurance Act of 19.56, P.L.
THEPROGRAMS 1016, August 7, 1956, 84th Congress, 70 Stat. 1078, was
not utilized because of difficulties foreseen and the
The principal programs through which the Federal burden that it would have placed on the Federal
Government -attempts to reduce the Arain on the Treasury,

150

Government had, under legislation enacted in Since the beginning of the flood control program
1917 132 and 1928 133 accepted responsibility for of the Corps of Engineers in 1918, the Congress has
controlling floods of the Lower Mississippi River, and appropriated a total of more than $8 billion 1311 for
had also undertaken some flood control work on the the construction of engineering works such as dams,
Sacramento River 132 and in the Florida Ever- levees, and enlarged channels.
134
Oades. The 1936 Act was the first of a series and The cost-sharing policies applicable to this program
the resulting body of legislation is known collectively are discussed in Chapter 15 of this report. In brief,
as the "Flood Control Acts." The designation can be the Federal Government assumes the full cost-
misleading to the uninitiated because this large body construction and operation and maintenance-of pro-
of law makes it possible for the Corps of Engineers viding protection by major reservoirs, while for local
(Corps) to undertake projects and activities serving a protection projects, such as levees and channel
multiplicity of purposes other than flood control, improvements, non-Federal interests must provide
including-but not limited to-the drainage of wet- lands, easements, and rights-of-way, and must also
135
lands, the generation of power, and the provision maintain and operate the works after completion. On
of water supply. Of particular importance from the the average, the value of lands, easements, and
standpoint of reducing future flood losses is the rights-of-way amount to about 20 percent of the first
Flood Control Act of 1960, Section 206 of which cost of the local protection projects that have been
authorized the Corps to provide the States and local installed. For hurricane protection projects, non-
governmental entities with the information they need Federal interests are required to assume at least 30
to regulate the use of flood plain lands. This percent of the first cost and all of the cost of
authorization made it possible for the Corps to operation and maintenance.
establish a Flood Plain Management Service, and in Since the authorization of the flood plain manage-
this way to give impetus to the use of nonstructural ment program by the Flood Control Act of 1960 a
measures for dealing with the Nation's flood prob- slow, but continuous, trend toward greater reliance
leMS.1 3 6 on flood plain regulation has become evident. By the
The authorities provided the Corps by the earlier end of Fiscal Year 1970, flood plain information had
Flood Control Acts enabled it to propose projects for been furnished some 1,300 communities. The number
protecting against floods in rivers and streams, but of communities taking any positive action as a result
not against overflows resulting from abnormally high of receiving flood plain information is not known.
levels of the oceans or lakes. As damages caused by
such overflows increased, the Congress broadened the Program of the Soil Conservation Service
flood control legislation to make it possible for the The enactment of the Watershed Protection and
Corps to provide protection against floods induced by
hurricanes. 137 Flood Prevention Act of 1954139 and subsequent
amendments thereto has enabled the Soil Conserva-
tion Service (SCS) to carry out, within headwater
112Act ofMarch 1, 1917, P.L. 367, 64th Congress, 39 Stat. watersheds, a program of flood damage reduction by
948. the construction of engineering works similar to, but
133Act ofMay 15, 1928, P.L. 391, 70th Congress, 45 Stat. smaller than, those installed by the Corps of Engi-
534. neers to reduce flood damages in downstream valleys.
'34Act of July 3, 1930, P.L. 520, 71st Congress, 46 Stat. Although similar in nature to the flood control
918,925.
See Section C of this chapter. Actual appropriations, not converted to present dollars.
This is an updating of the cost figure appearing in House
"P.L. 86-645, July 14, 1960, Section 206, 74 Stat. 480, Document No. 465, 89th Congress, 2d Session.
500, as amended, 33 USCA 709a. "P.L. 566, August 4, 1954, 83d Congress, 68 Stat. 666, as
137 In the Act ofJune 15, 1955, P.L. 71, 84th Congress, 69 amended, 16 USCA 1001 et seq. The Flood Control Act
Stat. 132, Congress authorized a survey of the Eastern of 1936 had authorized the Department of Agriculture to
and Southern seaboard to determine methods of prevent- propose land treatment plans for the reduction of floods
ing and mitigating harm from hurricanes. Subsequently in major river basins, but the surveys made pursuant to
Congress adopted the procedure of authorizing individual this authority revealed that land treatment alone does not
projects for hurricane protection. Earlier Congress had substantially reduce large floods on major rivers, and this
directed the Corps to undertake shore protection works, finding led the, Soil Conservation Service to seek authority
but these works are not elements of the flood control to deal with floods in upstream valleys by the construc-
program. tion of engineering works.

151

-max

&7-
Oro-,

........ ..
io-

Development on flood plains invites flood damages

program of the Corps, the Public Law 566 program As of the end of Fiscal Year 1972, the engineering
differs in that local organizations, such as Soil works installed, or to be installed, under approved
Conservation Districts, sponsor the construction of watershed plans included some 7,000 reservoirs and
the works and agree to assume responsibility for them 21,000 miles of improved channel .14 " The total
after they are constructed. estimated cost of these structures will amount to
Although initiated as a program to reduce flood approximately $2 billion. An inventory 142 made by
damages along headwater streams, amendments to the SCS has led it to conclude that the work
Public Law 566 make it possible for "watershed accomplished or planned to date meets about 10
projects" to serve a multiplicity of purposes, includ-
ing reclamation by irrigation and drainage '140 munic- 14'The channel improvement work under this program
ipal and industrial water supply, recreation, stream- constitutes the major component of the work discussed
flow regulation, and fish and wildlife enhancement. on channelization in Chapter 2 of this report.
142U.S. DEPARTMENT OF AGRICULTURE (1967). Sta-
"See Section C of this chapter. tistical Bulletin No. 461, 1967.

152

percent of the total "needs" of the United States. Program of the Bureau of Reclamation
This would indicate that the Public Law 566 program The Reclamation Project Act of 1939 14 ' author-
might ultimately result in an expenditure of S20 ized the inclusion in Bureau of Reclamation reservoirs
billion for the construction of headwater engineering of capacity to be used for the reduction of flood
works. To date, about three-fourths of the cost of flows. About $700 million of construction costs have
such structures has been borne by the Federal been tentatively allocated to flood control under this
Government. authority, all of which is borne by the Federal
In 1968, the Sod Conservation Service initiated a 146
program under which it provides for headwater Government.
streams reports similar to those provided by the ne Flood Insurance Program of the U.S. Department
Flood Plain Information Service of the Corps of of Housing and Urban Development
Engineers. Reports for 18 communities are expected
to be completed by the end of Fiscal Year 1972. The Under the National Flood Insurance Program
141
recently enacted Rural Development Act of 1972 143 authorized in 1968, the Federal Insurance Admin
provides specific authority for this activity. istration of the Department of Housing and Urban
In compliance with provisions of Public Law 566, Development (HUD) can make available, through the
the Soil Conservation Service pays 100 percent of in ,surance industry, subsidized flood insurance for any
that part of the construction cost of works which is properties that are in existence at the time that the
allocable to flood control, but the non-Federal Administration delineates the flood hazard area in
organizations provide lands, casements, and rights-of- which they are located. Properties built subsequently
way and agree to operate the works. are required to pay "actuarial" rates; that is, rates
high enough to cover the average loss that might be
Program of the Tennessee Valley Authority expected over a long period of time.
The Tennessee Valley Authority (TVA) was
created in 1933 as a regional resource development Other Programs
agency. 144 Among its assignments was the construc- Other programs intended to result in reductions in
tion of dams and reservoirs in the Tennessee River flood losses are:
and its tributaries to promote navigation and to 1 . A cooperative program of the Corps of Engi-
control destructive flood waters in the Tennessee and neers, the U.S. Geological Survey, and the
lower Ohio and Mississippi Basins. In addition to National Oceanic and Atmospheric Adminis-
achieving the above benefits, all the major dams in tration (NOAA) through which maps of flood
the Tennessee River and its tributaries contain power- plains are prepared for inclusion in Flood Plain
houses and produce electricity. Tributary storage is Information Reports prepared by the Corps of
primarily responsible for reducing flood levels up- Engineers, and which are also used by the SCS,
stream from Chattanooga in the eastern part of the the TVA, and the Federal Insurance Adminis-
basin. The lower and western end of the basin is tration.
connected to the Cumberland River at Barkley Canal 2.' The National Weather Service of NOAA oper-
which permits combined use of both reservoir sys- ates 12 River Forecast Centers that issue flood
tems for control of releases during flood stages on the warnings that have been of great value to cities
lower Ohio and Mississippi Rivers. Significant flood located on larger streams, but of limited value
control contributions to localized areas in the Tennes- to communities or areas subject to flash floods
see Valley are made by smaller TVA dams and on small streams.
reservoirs and by urban channel improvements. 3. Flood emergency programs to minimize losses
A community flood damage prevention program, of life and property when major floods occur.
begun by TVA in 1953, outlines local flood situations "'Reclamation Project Act of 1939, P.L. 260, August 4,
and assists communities in preparing new or revised 1939, Section 9, 76th Congress, 53 Stat. 1187,
flood plain provisions for inclusion in zoning ordi- 1193-1196, as amended, 43 USCA 485h.
nances and subdivision regulations. 146 U.S. BUREAU OF RECLAMATION (1972.). Statistical
14 3P.L. 92-419, August 30, 1972, 75 Stat. 307. Report of the Commissioner. Appendix II, p. 8 1.
1 4'Tennessee Valley Authority Act of 1933, P.L. 17, May 147 National 1,7ood Insurance Act of 1968, P.L. 90-448,
18, 1933, 73d Congress, 48 Star, 58, as amended, 16 August 1, 1968, Title X111, 82 Stat. 476, S72 (codified,
USCA 831 et seq. as amended, in pertinent part at 42 USCA 4001 et seq.).

153

Through these programs the Corps of Engi- In the mid-1940's, the more perceptive observers
neers and the Department of Agriculture work of the situation began to call attention to the fact
with local authorities, the American Red that protecting people and property already in the
Cross, and other organizations to reduce the flood plains was not enough, that something must be
impact of such floods, under the overall coor- done to stop the rapid development of flood plain
dination of the Office of Emergency Prepared- land and the consequent creation of additional flood
ness. The latter organization also encourages problems. 149 This obviously sensible notion even-
communities to develop flood emergency tually gained supporters and Section 206 of the Flood
plans so that they will be prepared to act Control Act of 1960 referred to earlier made it
quickly and efficiently in the event a flood possible for the Corps of Engineers to establish its
emergency should arise. It has also encouraged Flood Plain Management Service.' sc' This was an
States to enact "Disaster Acts" that will important step forward. But other steps must follow
improve the machinery available when any until there is a fundamental reorientation in the way
type of disaster strikes. the people of the United States think about their
flood problem, and until the Congress, the agencies
APPRAISAL OF PROGRAMS responsible for programs affecting the Nation's flood
The National Water Commission has made a plains, and the public at large agree that the goal to
be attained is the best use of flood plain lands. One of
systematic effort to appraise the programs previously the steps in this direction inust, of course, be the
described, giving special attention to the possibilities attainment of a consensus on what is meant by "best
for, improving them. Its principal findings are briefly use." It is the view of this Commission that from the
presented in the following paragraphs. standpoint of the Nation the best use of any parcel of
There is need for a change in the way the Nation flood plain land is that which makes the greatest net
looks at its flood problem. It is natural for the general contribution to the welfare of the people of the
public to think that the way to solve the flood United States, taking into account intangible, as well
problem is to build levees, reservoirs, and other as material, contributions.
engineering works. This was particularly true after the More attention should be given alternatives and to
series of spectacular floods such as those that finding the best combination thereof Although plan-
preceded the eriactment of the Flood Control Act of ners. generally accept the idea that all feasible
1936. Moreover, it is natural for Congress, in the alternatives should be given full and equitable con-
aftermath of 'such disasters, to turn to 'such visible sideration, and that their objective should be to find
means of control. Undoubtedly, the construction of the best combination of measures, the Federal
engineering works has greatly reduced the flood losses agencies have not been particularly successful in
that the Nation would otherwise have suffered, and it putting the concept into effect. This is especially true
is certain that many such works have resulted in when a group of agencies attempts to formulate a
benefits far exceeding their costs. -As many have comprehensive regional plan and finds that the inclu-
pointed out, however, the flood problem has grown
despite the billions spent for protective measures.' 48 sion therein of measures that one agency would
The extensive damages, from the 1972 Hurricane install would require omission of those that another
Agnes floods in communities such as Wilkes-Barre, agency would like to carry out. Too often the final
Pennsylvania, already -having Federal flood control plan turns out to be no more than a poorly
projects suggests that such projects give occupants of coordinated conglomerate of the plans favored by the
flood plains a false sense of security, since no flood individual agencies. The Water Resources Council is
control project can prevent damages from the maxi- making a serious attempt to improve Federal planning
mum possible flood. procedures to alleviate this problem. The Council is

"'For a brief history of the Nation's eff Iorts to solve the 14 9WHITE, Gilbert Fowler (1945). Human Adjustment to
flood problem, see AREY, David F & BAUMANN, Duane Floods. University of Chicago, Chicago, 111.
D, University of Pittsburgh, Pittsburgh, Pa. (1971). "'P.L. 86-645, Section 206, July 14, 1960, 74 Stat. 480,
Alternative Adjustments to Natural Hazards, prepared for 500, as amended, 33 USCA 709a. Even earlier, the
the National Water Commission. National Technical Tennessee Valley Authority and the U.S. Geological
Information Service, Springfield, Va., Accession No. PB Survey had assisted local entities with arrangements for
211922. regulating the use of flood plain lands.

154

handicapped by the fact that the legislative author- ment is able to provide flood hazard maps only the
ities under which the various Federal agencies work States, or governmental subdivisions thereof, can
constitute a poorly coordinated assemblage of laws exercise the police power required to control land
enacted at intervals over a long period of years during use. It is becoming increasingly evident that if flood
which planning concepts changed radically. hazard maps for all flood plains in the Nation must be
There is a need for strengthening programs that made by the Federal agencies presently engaged in
promote better use of flood plain lands. Response to that activity, progress in bringing the Nation's flood
Section 206 of the Flood Control Act of 1960, under plains under regulation will be disastrously slow.
which the Corps of Engineers established its Flood Moreover, if flood insurance is to be made available'
Plain Management Service, has exceeded in both to flood plain occupants throughout the Nation, and
magnitude and public approbation that expected by if the agencies responsible for the administration of
the supporters of the legislation. Because it was Federal grant, loan, or mortgage insurance programs
viewed as an experiment, Section 206 placed a limit are to comply with Executive Order No. 11296,'"
upon the amount that could be spent in any one year. the agencies concerned must have early access to at
Although this limit has since been increased, the least preliminary flood hazard determinations in all
requests for services have continued to outrun the flood plain areas in which their services are de-
capacity of the Corps of Engineers to meet the manded. For all of these reasons, it is essential, in the
demand. In view of the general approval of the opinion of the Commission, that all States develop
program, and since small expenditures for this service effective organizations and programs, either statewide
may obviate great expenditures for flood protection or regional, to promote wise use of flood plain lands.
in the future, it would appear desirable to remove The Federal Government should assist the States in
this limitation. The Appropriations Committees will, this because the savings, in the form of reductions in
of course, see to it that the appropriation for any future flood damages and expenditures for flood
particular year does not exceed a justifiable level. protection measures and disaster relief, will far exceed
Another retarding factor is the insufficiency of the cost of establishing and maintaining such non-
funds for the preparation of flood plain maps through Federal organizations and programs.
the joint program of the U.S. Geological Survey, the There is a needfor public acquisition offlobd plain
National Oceanic and Atmospheric Administration, land to control flood plain use. It has been declared
and the Corps of Engineers. This deficiency also holds by some that the present programs for controlling
back the Flood Insurance Programs of HUD. flood plain use are deficient in that they make no
f7ood plain management plans should be broad- provision for public acquisition of lands subject to
ened The flood plain management plans being frequent overflow. They point out that in some
provided under the authorities of Section 206 are of instances the Federal -Government would, in the long
great value to communities wishing to regulate the run, save money were it to acquire guch lands. While
use of their flood plain lands. The Commission is of an economically valid argument might be made that
the opinion, however, that they would be of still Federal acquisition of certain flobd plain lands would
greater value if they were accompanied by the results be justified, the establishment of a program for this'
of a study of both the lands subject to flooding and purpose could lead to Ia gr Ieat increase in the
the surrounding uplands. Among other things, this landholdings of the Federal Government. This'Com-
study should provide a comparison of the cost to the mission doubts the'wisdom of,adding to the already
Nation of using the flood plain lands for various large proportion of the Nation's lands that is owned
purposes, with the cost of using, for those same by the Federal Government. Yet, it cannot be denied
purposes, alternative lands not subject to overflow. In that certain flood plain areas, particularly areas of
addition, the reports on such studies should provide critical environmental concern, would be of greater
information on the environmental and social implica- value to the Nation if they were used for parks or
tions of developing, or not developing, such lands.
Progress toward the goal of making optimum use This Executive'Order requires these' agenIcies to evaluate
of flood plain regulation should be speeded up by flood hazards in connection with grants, , loans, or
offeringfinancial assistance to the States. The cooper- mortgage insurance for buildings, structures, roa6, or
ation of the@ States is, absolutely essential if the other facilities 'in order to minimize future flood dam-
objectives of the Flood Plain Management Program agesi or Federal expenditures for flood protection and
I disaster relief. Federal Register 31(15S):10663-10664.
are to be achieved. Even where the Federal Govern- August 11, 1966.

155

similar purposes. Where this is found to be the case, it flood plain management plan has been developed for
would be consistent with good public policy for the any area, and this plan has been approved by both the
States, or other non-Federal entities, to acquire the State and the Federal Government, then all Federal
land and for the Federal Government to assume a agencies should be required to comply with it.
part of the acquisition cost. Federal contributions Aere is a need for improvement in the procedures
toward such acquisition should be made through for preparing plans for flood loss reduction and flood
programs other than those established to develop plain management. Soon after the release of the
water resources. For example, assistance in acquiring Report of the Task Force on Federal Flood Control
lands for recreational purposes could appropriately be Policy, the Bureau of the Budget called upon the Water
made available from the Land and Water Conserva- Resources Council to develop procedures for imple-
tion Fund.' 52 menting the recommendations of the Task Force.
Federal agencies fail to give adequate consideration This, and several other developments, led the Council
to the flood hazard in canying out programs affecting to undertake a number of studies. As a result of these
the flood plain. When, in 1966, President Johnson studies, the Council has issued several documents
transmitted to Congress the Report of a Task Force having important implications for plan formulation.
on Federal Flood Control Policy 153 he also issued One of these sets forth proposed "Principles and
Executive Order No. 11290 54 This Order requires Standards for Planning Water and Land Resources."
the agenci es responsible for a wide range of Federal Another outlines a "Unified National Program for
programs affecting, or capable of affecting, the use of Flood Plain Management." Neither of these reports
flood plain lands, to take the flood hazard into has been placed in final form. Both will have
account in their administration of those programs. important implications for future plan formulation.
Unfortunately, this is not being done. At the Wash- The National Water Commission is of the opinion
ington conference on the review draft of this report, that, when completed, these reports will help to
representatives of the State of Pennsylvania pointed improve plans and correct some of the deficiencies
out that Small Business Administration loans had mentioned above. Nevertheless, it believes that
been made for rebuilding on the flood plains. Since further work is necessary and that in the course of
Executive Order No. 11296 did not achieve the this work the recommendations at the end of this
results expected of it, the Bureau of the Budget in section should be given full consideration.
1968 requested the Water Resources Council to assist There is a need for considerable strengthening of
in the development of guidelines for the application the present program for providing flood forecasts. A
of the Executive Order. This resulted in the prepara- recent report by the Office of Emergency Prepared-
tion of "Proposed Flood Hazard Evaluation Guide- ness (OEP) evaluates present provisions for the predic-
lines for the Federal Executive Agencies." It was first tion of floods and the issuance of warnings. 155
issued in preliminary form and, after extensive Particular attention is called to the deficiencies of the
review, issued in final form in April 1972 for the flash flood prediction and warning system. OEP also'
guidance of the executive agencies. The guidelines offers recommendations for correcting present in-
should make Executive Order No. 11296 more adequacies. As the recommendations to follow will
effective, but until flood plain maps and management show, the National Water Commission agrees that the
plans become available for all of the flood plain areas present system requires strengthening.
in which agencies operate, a considerable degree of I There is need for intensification and unification of
uncertainty will continue to exist as to the hazard on ' basic data collection. The Task Force on Federal
any particular part of a particular flood plain. When a Flood Control Policy offered a number of recom-
mendations on data collection designed to provide
"'See Land and Water Conservation Fund Act of 1965, P.L. better information on floods and flood problems. The
88-578, Section 5, September 3, 1964, 78 Stat. 897, 900 Water Resources Council has gone part of the way in
as amended, 16 USCA 4601-8. implementing these recommendations, and the estab-
"'Entitled "A Unified National Program for Managing lished basic data collection programs of the Federal
Flood Losses" and printed as House Document No. 465,
89th Congress, 2d Session.
'Evaluation of Flood Hazard in Locating Federally Owned '"U.S. OFFICE OF EMERGENCY PREPAREDNESS
or Financed Buildings, Roads, and Other Facilities, and in (January 1972). Disaster Preparedness, Report to the
Disposing of Federal Lands and Properties. Federal Congress. 3 volumes. U.S. Government Printing Office,
Register 31(15S): 10663-10664. August 11, 1966. Washington, D.C.

156

and State agencies continue. Many of those re- the experience during recent floods, there would
sponsible for planning and carrying out programs to appear to be an urgent need for the independent
reduce flood losses have said that the existing data study recommended by this Commission.
base is inadequate. On the credit side of the ledger, it must be said
The role that flood insurance should play in a that the law authorizing the National Flood Insurance
unified national program for reducing flood losses is Program requires that land-use regulations be put into
not yet clear and there is need for an independent effect before flood insurance may be made available
study of present flood insurance legislation and to those subject to damage. This feature of the
activities. As indicated previously, this is a new program provides an effective incentive for better
program authorized in 1968 by Public Law 90-448. utilization of flood plain lands. Wise use of flood-
As of June 1972 when the Nation suffered a series of prone lands is also furthered by the fact that people
disastrous floods about 93,000 policies had been sold are made aware of the flood hazard in areas in which
to a potential market that had previously been flood insurance is offered. Some have expressed the
estimated as 2 to 3 niillion property owners. 156 In view that if the flood insurance program is to become
other words, less than 5 percent of those eligible had effective, the purchase of flood insurance must be
purchRsed insurance. After the great floods caused by made mandatory, and the Department of Housing
Hurricane Agnes it was discovered that an insignifi- and Urban Development has moved in this direction
cant proportion of the losses suffered would be by proposing legislation that would prohibit financial
covered by insurance payments. For example, in assistance in the acquisition of flood plain property
Wilkes-Barre, Pennsylvania, one of the hardest hit or for construction on flood plain lands-either
communities, only two policies had been purchased. through Federal agencies or lending institutions over
By December 1972, the number of policies in effect which the Federal Government has any supervisory
had increased to 125,000.1 5 7 control-unless the property or the contemplated
Considerable doubt has been expressed concerning improvement is covered by flood insurance. Others
the wisdom of the high degree of subsidization that is propose abandonment of Federal programs under
being used to develop a market for flood insurance, as which disaster relief is made available to victims of
well as of the practicability of withholding, as major floods as a means of compelling flood plain
required by present law, emergency relief from those occupants to buy flood insurance.
who could have covered their losses by insurance. There is need for extensive reforms in the programs
After the great floods of June 1972, the Federal under which engineering works are constructed for
Government reduced further the already highly sub- the purpose of reducing flood losses. This Commis-
sidized rates for flood insurance by 37-1/2 percent, sion's appraisal of the programs through which the
and deferred the date at which it would make Corps of Engineers and the Soil Conservation Service
available unsubsidized insurance. In addition, it has provide flood protection by means of reservoirs,
been pointed out that insurance can do nothing to levees, and other engineering works has revealed the
reduce damages to existing property, and thus cannot same deficiencies found by earlier Commissions.' 59
stop this large and continuing drain upon the Nation's Needed reforms of special importance are:
economy. I . A change in the basic cost-sharing policies to
When the Task Force on Federal Flood Control (a) eliminate the unconscionable windfall gains
Policy considered flood insurance as one of the accruing to some landowners when protection
alternative means of coping with the flood problem, provided at no expense to them results in large
it pointed out that " . . . if misapplied an insurance increases in the value of their lands,
program could aggravate rather than ameliorate the (b) provide for uniforinity in the policies
flood problem."' ' 8 In the light of this danger, and of governing the programs of different agencies,
116GENERAL ADJUSTMENT BUREAU, INC (1972).
Destruction and Devastation: The Floods of June 1972.
'"Information provided by the Federal Insurance Admin- For example, see TASK GROUP ON FLOOD CONTROL
istration. (1955). Report of the Task Group on Flood Control, in
TASK FORCE ON FEDERAL FLOOD CONTROL TASK FORCE ON WATER RESOURCES AND POWER,
POLICY (August 1966). A Unified National Program for Report on Water Resources and Power, volume 11,
Managing Flood Losses, House Document No. 465, 89th prepared for the Commission on Organization of the
Congress, 2d Session. U.S. Government Printing Office, Executive Branch of the Government. U.S. Government
Washington, D.C. p. 38. Printing Office, Washington, D.C.

157

and (c) equalize cost-sharing for the different reduce losses resulting from flood runoff originating
means of providing protection! 60 wholly, or largely, within an urban area should be
2. Improvement in the economic evaluation of designed, constructed, and maintained by a local
proposed flood control projects and programs, entity. However, to the extent that flood plain maps
including elimination of the practice of includ- delineating flood hazard zones are required by the
ing in the benefit-cost analysis benefits for local entity to enable it to regulate the use of lands
protection of improvements not yet con- subject to flooding, the agencies-Federal, State, or
structed. regional-that prepare such maps elsewhere in the
3. The addition to the conditions that must be region should have the authority to assist the local
met by local interests of a requirement that entity in those instances in which this would reduce
they agree to regulate the use of flood plain the cost of the work.
lands to the extent necessary (a) to obviate the In many instances, the flood losses occasioned by
need for additional protective works and urban storm runoff result in large part from the
(b) to minimize losses in the event of a flood deposition of eroded material. There is, therefore, an
larger than that which the proposed works can intimate relationship between the problem dealt with
control. here and the problems of erosion and sedimentation
4. Imposition of a requirement that costs of discussed in Section H of this chapter. But whether
works needed to protect downstream interests the problem stems primarily from erosion and deposi-
from increased flood heights caused by or tion, or from damage by water, the Commission is of
resulting from upstream channelization or the opinion that the primary responsibility for its
drainage works be included as a cost of the solution should be left with a local entity.
upstrearn project. Means must be devised for coordinating water
Insufficient attention is being given the need for planning and land-use planning. The Congress has
reducing losses resulting from storm runoff origin- under consideration legislation to establish a national
ating in urban areas. It has been called to the Ian d-use policy' 61 and to authorize a program of
attention of the Commission that losses resulting land-use planning to be carried out primarily by the
from flood runoff originating in urban areas are States. In the event such a program is brought into
increasing within what might be called a "no man's being, there will be an urgent need for coordination
land" lying between the problem area covered by the between the land-use plans developed thereunder and
Federal flood control programs and the problem area plans developed for use in regulating the Nation's
within which the cities have generally assumed flood plains. There is not at present a legislative base
responsibility by providing storm sewer systems. The for such coordination, nor are existing organizational
authorities of the Federal Flood Control Acts have, aff angements capable of providing the necessary
with a few exceptions, been utilized only in those coordination.
instances in which the flood waters originated almost
entirely on lands not under the jurisdiction of Appraisal by Task Force on Federal Flood Control
municipal governments. Policy
The Commission is satisfied that this is indeed a In 1966, the Bureau of the Budget invited Dr.
serious class of flood problems. But it is not Gilbert F. White 162 to chair a 'Task Force on
convinced the vast powers and resources of the Federal Flood Control Policy," made up primarily of
Federal Government must be exercised to cope with representatives of the Federal agencies most con-
problems the solution to which appears to be well cerned. This Task Force subinitted a report entitled
within the capabilities of municipal governments or "A Unified National Program for Managing Flood
other local entities established for the purpose. The Losses," which the President transmitted to the
Commission favors, therefore, continued adherence Congress with his commendation. 163 The National
to the policy that any engineering works required to
Representative of the legislation under consideration
"'This is needed to thwart efforts by local interests to force were S.6 32 and S.992 of the 92d Congress.
adoption of plans not most desirable from the standpoint 162 At that time Chairman, Department of Geography,
of the Nation in order to minimize the non-Federal share University of Chicago; presently Director, Institute of
of the cost; for example, efforts to obtain protection by Behavioral Sciences, University of Colorado.
reservoirs because under present policies the Federal 'The Congress had this report printed as House Document
Government bears the entire cost of reservoir protection. No. 465, 89th Congress, August 1966.

158

Water Commission has reviewed this report and is of $90 million.164 When questioned, the General Man-
the opinion that it presents an excellent appraisal of ager assured the Commission that, "You can identify
the complex of activities discussed in this section. the beneficiaries." He warned, however, that "You
This Commission's appraisal of these activities have to want to do it first."
parallels that of the Task Force in many important The point was also made at the regional con-
respects, although the report of such a highly ferences on the review draft that.in some instances
specialized Task Force naturally deals with many floods and flood damages in the lower reaches of a
details not covered in this report. However, the stream are increased because of upstream activities.
discussion of major issues by the Task Force aug- Examples mentioned were the conversion of land in
ments and reinforces a number of the points made in forest or grass cover to cropland, and the enlargement
this Commission's appraisal. For this reason, and also of channels for the purpose of reducing flood
because of the general excellence of the Task Force damages or draining wetlands. Since in many in-
report, the National Water Commission considers it stances these adverse downstream effects result from
an important complement to its own report, and Federal projects or activities undertaken with Federal
required reading for those having a particular interest assistance, witnesses urged that the United States
in the Nation's flood problem. should be responsible for preventing the damages.
Undoubtedly, upstream flood control works which
speed up the flow of water toward the lower reaches
DISCUSSION of the river can increase the downstream damages and
The reforms in cost-sharing proposed by the necessitate higher levees and increased flood protec-
Commission in this report will require the identifica- tion downstream. Such damages, or the costs of
tion of beneficiaries and the assessment of project mitigating them, should be included as a part of the
costs against them. During the regional conferences cost of the upstream project and recovered from the
held by the Commission in January and February of beneficiaries thereof when it is constructed.
1973, a number of participants expressed the view CONCLUSIONS
that it would be wholly impracticable to identify the
direct beneficiaries of flood protection projects, and The United States has made heroic efforts to
to assess the costs on the basis of benefits received. protect the lives and property of those who live on
The Commission's recommendations are based pri- flood plain lands, and to maintain the flow of wealth
marfly upon its understanding of the following two that results from the use of these lands. Citizens in all
points: (1) in order to justify a Federal flood control parts of the Nation have been content to see billions
project it is necessary to demonstrate that benefits of dollars spent to help follow citizens subject to loss
exceed costs and that since this requires estimation of of life or fortune. But, throughout the many years
the benefits accruing to all parts of the flood plain, all that this benevolent effort has been under way, other
of the information required to identify beneficiaries individuals have been busily developing other flood
and assess costs will be available for every project for plain areas in such ways that the initial goal of
which a proper economic evaluation has been made; rescuing those unfortunate enough to be endangered
and (2) for many years drainage districts and other by floods has become less and less attainable.
public improvement districts in the United States Obviously, there must be a drastic change in the
have been successfully solving assessment problems Nation's attitudes and programs. In the foregoing
that are more complex than those stemming from the appraisal, this Commission has attempted to focus
construction of most flood control works. At the attention upon the main deficiencies of the present
conference held in Washington, D.C., the Commis- programs.
sion's confidence in the conclusions it had reached The rectification of the deficiencies mentioned will
was strengthened by the more direct evidence pro- require concerted action by the Congress, the Presi-
vided by the General Manager of the Miami Con- dent, and the agencies involved. The Water Resources
servancy District, who appeared to tell the remark- Council, if strengthened in the ways suggested in this
able story of how, beginning in 1915, the people of
the Miami River Basin undertook-with no Federal The story of ne Miami Conservancy District, including a
assistance-to provide flood protection for the City of discussion of assessments, will be found in: MORGAN,
Dayton, Ohio, and other valley communities; an Arthur E (1951). The Miami Conservancy District.
undertaking that has cost them, to date, more than McGraw-Hill Book Company, New York. 504 pp.

159

report, will be able to exert a powerful influence in (1) a comparison of the cost of creating
implementing the recommendations offered by this values by further development of the
Commission. But over and above the official actions flood plain lands with the cost of creatirIg
called for by these recommendations, there is a need these same values by available alternative
for a better understanding by the public at large of measures (such as development of nearby
the basic nature. of the flood problem, and in uplands) and (2) a delineation of those
particular, an understanding that the ultimate goal of flood plain areas that could be of greater
all public flood control programs should be the best value to the Nation if used for open
use of the Nation's flood plain lands. spaces (such as city parks).
c. Removal of present legislative limitations
RECOMMENDATIONS upon the amounts that can be appro-
5-9. Flood plain lands should be treated as an priated for flood plain management
important resource and should be managed so studies in any one year.
as to make the maximum net contribution to d. Increasing the funds available for carrying
national welfare, keeping in mind (a) that the out the cooperative flood plain mapping
material wealth of a nation is not enhanced program of the U.S. Geological Survey,
by development of any tract of land subject the National Oceanic and Atmospheric
to flood overflow unless the net value of the Administration, and the Corps of Engi-
resulting production exceeds the costs of neers.
development plus the flood losses (or the cost 5-12. Existing programs, such as the Land and
of preventing such losses) and (b) that any Water Conservation Fund and urban park
nonmaterial values sacrificed through develop- grants through which Federal assistance may
ment must also be counted as a cost. be extended to State and local entities to
5-10. In formulating plans for flood loss reduction encourage the establishment of parks and
full and equitable consideration should be other open spaces, should be utilized to the
given to all practicable alternative measures fullest practicable extent to encourage public
for achieving that goal, with a view to finding acquisition of those flood plain lands for
the best combination of such measures, using which the best use is found to be for
the evaluation principles recommended in recreational or open space purposes.
Chapter 10 of this report. 5-13. The requirements of Executive Order No.
5-11. The present trend toward greater use of flood 11296 should be strictly observed by the
plain regulation as a means of reducing future Federal agencies to which the order applies,
flood damages, or of reducing future costs for and in particular those agencies should refrain
protective measures, should be strengthened from making any grants or loans, or from
by the following Federal actions to encourage insuring any loans, that would be used for
wise use of flood plains: construction in flood plains or for the re-
a. Enactment of legislation to authorize the construction of structures that have been
Water Resources Council to make Federal seriously damaged by floods, unless adequate
grants to the States to be used for provisions have been made to prevent the
mapping flood plains, determining flood repetition of such damages by flood-proofing
hazards, making flood plain management or other means.
plans, establishing State standards for 5-14. Executive Order No. 11296 should be
flood plain regulation activities, and as- amended to require that all Federal programs
sisting local governmental entities in within areas covered by a flood plain manage-
carrying out flood plain management ment plan shall comply with such plan pro-
programs; these grants not to exceed 50 vided it has been approved by the entity
percent of the amount expended by the representing the community affected, by the
States for such purposes. responsible State organization, and by the
b. Amendment of Section 206 of the Flood Corps of Engineers or other appropriate
Control Act of 1960 to require that Federal agency.
reports prepared thereunder provide, in 5-15. The Water Resources Council should promul-
addition to flood hazard information, gate guidelines at the earliest practicable date

160

to govern the formulation of flood loss including structural measures for the control
reduction and flood plain management plans of floods, should comply with the following
to be used in future water resources planning. provisions:
5-16. The flood forecasting program of the Federal a. The share of the cost of the project to be
Government should be substantially strength- borne by non-Federal interests should be
ened by organizational changes along the lines in accord with the cost-sharing principles
recommended in Chapter 11 of this report recommended in Chapter 15 of this
and more adequate financing should be pro- report.
vided. b. The Federal agency proposing the work,
5-17. Communities located in areas subject to flash or proposing a Federal contribution
floods should develop a community action thereto, should demonstrate by an evalu-
plan to permit prompt response to a flood ation in consonance with the principles
threat whenever it develops. Communities recommended in Chapter 10 of this
should develop methods of flood forecasting report that the sum of all beneficial
based on rainfall information from upstream effects would exceed the sum of all costs,
watersheds and should use automatic warning with due consideration being given both
devices where they are found to be feasible. material and nonmaterial benefits and
5-18. The Water Resources Council should develop costs.
a plan for a unified national program for the c. The State or a responsible local govern-
collection of basic data on floods and flood mental entity should agree to regulate the
damages as recommended by the Task Force use of flood plain lands to the extent
on Federal Flood Control Policy as set forth necessary to prevent further develop-
in House Document No. 465, 89th Congress, ments that would (1) make necessary the
to be implemented, to the extent possible, by installation of additional protective
executive order, and if necessary by legisla- works or (2) be subject to substantial
tion to be proposed by the President. damage in the event of a flood exceeding
5-19. The General Accounting Office, or other the magnitude of the design flood.
appropriate independent agency, should make 5-21. Any Federal legislation to authorize a pro-
an appraisal of the flood insurance program gram of land-use planning should include
being carried out by the Department of special provisions for the coordination of any
Housing and Urban Development under the plans made under that program with flood
authority of the National Flood Insurance plain management plans made by the States
Act of 1968. and the Federal water resources planning
5-20. Future Federal or federally assisted projects, agencies.

Section F
Municipal and Industrial Water Supply Programs

From the earliest days of the Nation, cities and provision of water supply, in order to store water for
industries have provided their own water supplies. In municipal and industrial (M&I) purposes. This did not
general, there is no reason why they should not add to the Federal responsibility for M&I water as
continue to do so. For many years this was For example, the Water Supply Act of 1958 contains the
recognized by the Congress and several laws contain following: "it is hereby declared to be the policy of the
statements to the effect that the Federal Government Congress to recognize the primary responsibilities of the
will confine itself to an ancillary role in this field. 165 States and local interests in developing water supplies for
The Water Supply Act of 1958 166 made it possible domestic, municipal, industrial, and other purposes..."
to increase the capacity of major Federal reservoirs, P.L. 85-500, July 3, 1958, Title 111, 72 Stat. 297, 319, as
constructed primarily for purposes other than the amended, 43 USCA 390b.

161

non-Federal interests were required to assume the full comprehensive river basin development and plans for
cost of the added capacity. supplying water to urban areas; (2) more efficient use
In recent years, a tendency for increasing the of water in urban areas; (3) better coordination of the
Federal role in the provision of M&I water is wide array of Federal grants and loans available to aid
emerging. For example, the Rural Development Act cities in meeting their water supply requirements; and
of 1972 authorizes the Secretary of Agriculture to (4) acceleration of certain types of research.
bear up to one-half the costs of reservoir storage
capacity for present M&I water supply needs.' 67 THEPROGRAMS
This Act also permits agencies of the U.S. Depart-
ment of Agriculture to provide grants and loans for Storage in Federal Reservoirs
the installation of community water supply facilities Various legislative attempts to make possible the
in communities having a population of up to 10,000, use of Federal reservoirs to supply M&I water
a substantial increase over the previous limit. More- culminate d in the Water Supply Act of 195 8169 which
over, the Act permits these agencies to provide grants established a uniform policy governing the programs
and loans for water supply facilities of private of both the U.S. Army Corps of Engineers and the
business enterprises located within cities with a U.S. Bureau of Reclamation. Under this policy, these
population up to 50,000, or in the urban areas agencies may provide additional capacity for M&I
surrounding such cities. water in reservoirs to be constructed primarily for
Earlier, the Congress had authorized programs other purposes, on condition that non-Federal
under which grants and loans are made to cities for interests agree to pay the costs allocable to the
the purpose of assisting them to meet their expanding provision of such water. Payments on costs incurred
needs for M&I water, and to rural communities for
the same purpose.' 6 8 The assistance to the cities is for the purpose of meeting anticipated future
made available through the U.S. Department of demands need not begin until the additional capacity
Housing and Urban Development. The assistance to provided is actually used, but the amount on which
the rural communities is provided through the payment may be thus deferred cannot exceed 30
programs of the Department of Agriculture, and percent of the total estimated cost of the reservoir.
especially the program of the Farmers Home The non-Federal entity must start to pay interest on
Administration. the cost of capacity provided for future use after 10
It is evident that the process of abandoning the years, even if it has not started to use this capacity by
traditional policy of local responsibility for providing that time. A 1963 Act' 70 provides that the local
M&I water supplies is already rather far advanced. interests may continue to use the storage capacity
The Federal policies and programs concerned with covered by a contract so long as they meet certain
water supply would seem to be in just such a period specified requirements.
of flux as the Nation's pollution control policies and Storage Capacity in Soil Conservation Service
programs have but recently passed through. As will be Reservoirs
brought out subsequently, this Commission finds
rather widespread concern among State and local The Soil Conservation Service (SCS) has authority
public officials that the present trend will eventually to include additional capacity in reservoirs con-
result in as high a degree of Federal domination in the structed pursuant to Public Law 566 1 71 for the
water supply field as has already materialized in the provision of M&I water. Up to the time of enactment
field of pollution control. From this situation stems of the Rural Development Act of 1972, repayment of
the principal problem to be dealt with in this section. the full cost of such additional capacity was required
Other, less significant, problems stem from the under conditions generally similar to those applicable
needs for: (1) better coordination between plans for to Corps of Engineers and Bureau of Reclamation

"'P.L. 92-419, August 30, 1972, Sections 201(f), 301, 86 "'P.L.85-500, July 3, 1958, Title 111, 72 Stat. 279, 319, as
Stat. 657, 668, 669 (amending Section 4 of the Water- amended, 43 USCA 390b.
shed Protection and Flood Prevention Act of 19-54, as "'Act of October 16, 1963, P.L. 88-140, 77 Stat. 249, 43
amended, 16 USCA 1004, and Section 32(e) of Title III USCA 390c-390f.
of the Bankhead-Jones Farm Tenant Act, as amended, 7 Watershed Protection and Flood Prevention Act of 19.54,
USCA 1011). P.L. 566, 83d Congress, August 4, 1954, 68 Stat. 666, as
'See subsequent descriptions of these programs. amended, 16 USCA 1001 et seq.

162

reservoir projects. As previously mentioned, however, amended. Grants of up to 50 percent of the con-
the Federal Government may now bear up to one-half struction cost of water facilities may be made.
of the costs of reservoir storage for present M&I Although the FHA can provide loans for water supply
water supply needs. facilities only in those instances in which private
capital cannot be obtained, so many applications
Loans and Grants to Cities comply with the requirements of the law that the
The U.S. Department of Housing and Urban demand has been about double the amount of
Development (HUD) is authorized to assist cities to available funds. However, the Rural Development Act
provide municipal water supplies by: of 197 .2 has tripled the amount that can be
(1) Making grants, under Section 701 of the appropnated for grants for water and waste disposal
Housing Act of 1954,1 72 for the preparation of facilities.
comprehensive plans for urban development Rural communities in areas designated as
including water supply facilities. These grants economically depressed can obtain additional
are limited to cities of less than 50,000 popula- assistance from the Economic Development
tion and to certain other specified areas. Administration of the U.S. Department of
(2) Making grants, under the Housing and Urban Commerce.
Development Act of 1965,' 13 for the con- Regional Plans and Water Supply
struction of water facilities. Grants may amount
to 50 percent of the cost generally, arid under The Water Resources Planning Act of 1965
certain circumstances, up to 90 percent for authorized the formulation of comprehensive plans
communities of less than 10,000. for major river basins or other regions. Municipal and
(3) Under the Housing Amendments of 1955,' 74 industrial water supply needs are to be taken into
HUD may make loans to communities for the account in the preparation of these plans. Provisions
planning and construction of public works, are made in the law for the participation in plan
including M&I water supply facilities. formulation of the agencies responsible for carrying
(4) HUD also has programs of technical assistance, out the water programs of the Federal Government
grants and loans for urban renewal, new com- and for participation by the States, local govern-
munities, and demonstrations, including the mental entities, and private enterprise. The Act
water supply aspects thereof. provides for financial assistance to the States to
enable them to play a more effective role in plan
Federal Assistance for Rural Water Supplies preparation. It also provides for coordination by the
The Farmers Home Administration (FHA) of the Water Resources Council.
Department of Agriculture assists communities in In addition to authorizing the preparation of
rural areas to provide themselves with central water comprehensive regional plans, the Congress has also
supplies under the provisions of the Consolidated authorized the preparation of a regional water supply
Farmers Home Administration Act of 1961 '1 75 as plan for the Northeastern United States by the Corps
of Engineers with the cooperation of Federal, State,
"'P.L. 560, August 2, 1954, Section 701, 83d Congress, 68 and local agencies. 1 76 The justification for this type
Stat. 590, 640, as amended, 40 USCA 461. of planning effort is, according to the authorizing
"'P.L. 89-117, August 10, 1965, Section 702, 79 Stat. 451, legislation, "that assuring adequate supplies of water
491, as amended, 42 USCA 3102. for the great metropolitan centers of the United
"'P.L. 345, August 11, 1955, Title 11, 84th Congress. 69 States has become a problem of such magnitude that
Stat. 635, 642, as amended, 42 USCA 1492. the welfare and prosperity of this country require the
"'P.L. 87-128, August 8, 1961, Section 306, 75 Stat. 294, Federal Government to assist in the solution of water
307, as amended, 7 USCA 1926. This Act was renamed supply problems." This planning effort was co-
the Consolidated Farm and Rural Development Act and ordinated with the North Atlantic Regional Water
amended by the Rural Development Act of 1972, P.L.
92-419, August 30, 1972, 86 Stat. 654, to permit FHA to
make loans and grants for water supply facilities serving "'Act of Oetober 27, 1965, P.L. 89-298, Section 101, 79
communities of up to 10,000 people, and to make loans Stat. 1073, 42 USCA 1962d-4. The Northeastern Water
and grants for water supply facilities for areas outside the Supply Study (often referred to as NEWS) is separate
boundaries of cities having a population of 50,000 or from, but coordinated with, the North Atlantic Regional
more and their adjacent urbanizing areas. Water Resources Study.

163

-7 niz 7i- @X q. . .....

I I 71?1@1__@@_

jji@
:J@

Modern newsprint plant draws water from Chickamauga Lake in the Tennessee Valley

Resources Study 177 made under the general of representatives of the Department of Housing and
direction of a Coordinating Committee of 24 Urban Development, the Economic Development
members in accordance with guidelines established by Administration, the Environmental Protection
the Water Resources Council. Agency, and the Farmers Home Administration.
Under the procedures established, any one of these
Provisions for Coordination of Water Supply Con- agencies receiving an application for a grant refers it
struction Grants to the other agencies represented on the committee
and subsequently a determination is made of the
Because of the overlapping of responsibility among agency in the best position to serve the applicant.
the Federal programs providing loans and grants, the The Office of Management and Budget has also
Office of Management and Budget requested the initiated an Integrated Grant Application (IGA)
Federal agencies most concerned to establish a Program which enables public agencies to apply for a
coordinating committee. This committee is made up
number of Federal assistanc6 grants by the sub-
177 This study also was authorized by P.L. 89-298, Section n-ii,ssion of a single application. This application is
208, 79 Stat. 1073, 1085-1086. A report on this study processed by a task force of concerned Federal and
has been completed and is under review by the Water State agencies under the auspices of a Federal
Resources Council. Regional Council and the grant finally approved is

164

made by the Federal agency agreed upon. So far, this assessments of the futu re. For example, population
mechanism has dealt only with applications for growth, increasing urbanization, expanding industrial
planning grants, but the intent is that ultimately production, and increasing per capita income.
construction grants will be processed in a similar Excluding the large amounts of water used by the
manner. electric power industry for cooling thermal power-
Federal Assistance in Emergencies plants, municipal and industrial water in metropolitan
areas can be looked at, in terms of withdrawals, as
In the event a serious drought reduces available about evenly divided between industrial purposes and
municipal and industrial water supplies to the point municipal purposes. Municipal water supply systems
that local authorities call for emergency assistance, all provide water for domestic purposes, commercial
agencies-Federal, State, and local-generally join in uses, fire protection, street flushing, lawn and garden
working out a plan of action and in putting it into irrigation, and in many cities for industrial use. In
effect. Such plans must be tailored to the cir- addition, much water is lost from such systems by
cumstances existing at the particular time and place. leakage. Most industrial water is self-supplied and is
The local entities, of course, are responsible for used by a relatively small number of firms in five
carrying out the needed emergency conservation major industries-food, paper, chemicals, petroleum,
measures. The Office of Civil Defense of the Depart- and metals. Most water for rural domestic use is also
ment of Defense stands ready to loan emergency self-supplied.
water supply equipment. Where feasible, the agencies Estimates furnished by the American Water Works
responsible for Federal reservoirs modify the opera- Association indicate that there are about 30,000
tion of those reservoirs. In general, however, there water utilities in the United States, of which about
can be no standardized procedure for dealing with 5,900 are investor-owned. The latter serve about
drought emergencies. 30,000,000 people. The total number of persons
receiving water through municipal systems, including
Federal Research investor-owned systems, has been estimated to be
The Environmental Protection Agency provides an 175,000,000. More precise figures will result from an
important service through the research work of its inventory now being made by the Environmental
Division of Water Supply. The results of this work are Protection Agency.
intended to provide a sound basis for the estab- City Supplies: Meeting demands for municipal and
lishment of standards for potable water supply and industrial water is essentially an urban problem, with
methods of monitoring the quality of supply. an estimated 70 to 80 percent of municipal and
Research has also been initiated on the difficult industrial withdrawals occurring within metropolitan
problems that Will confront the Nation when, in the environs. The problems of meeting M&I water
not too distant future, it will become necessary to demand cannot be isolated from the major problems
rely upon renovated wastewaters as a major source of encountered in effectively providing other services to
industrial supply, and in some instances, of municipal meet the Nation's growing urban needs. All of the
supply- economic, social, institutional, technical, and environ-
APPRAISAL OF PROGRAMS mental problems of urban growth require attention.
The Nation has the basic water resources to meet
A Commission expected to show how present the expected doubling of municipal and the
programs might be improved must find, and call quadrupling of industrial (self-supplied) withdrawals
attention to, the deficiencies of these programs. For by the year 2020.' 18 What it may not always have is
this reason, the result of this appraisal is, in large part, the willingness or in some cases the ability to make
a list of shortcomings. But, to provide perspective, a the institutional arrangements needed to manage the
background statement is needed. resource in order that these demands are met
effectively.
Background Some water shortages are now apparent and others
As with other uses of water, municipal and are likely to develop in certain regions and local areas.
industrial uses are increasing. The increases are "'Derived from projections made by the Water Resources
attributable to the same factors which affect many Council and published in The Nation's Water Resources
other resources and which are recited over and over in (1968).

165

M&I water supply -shortages stem from (1) storage These results are considered by many to be
and distribution systems that have insufficient reasonably representative of the current quality status
capacities to meet peak demands, (2) deterioration in of the M&I water supplies of the United States. They
the quality of the source of supply, (3) lag in do not suggest that there is a need for asserting
developing and applying water and wastewater treat- Federal control over the quality of drinking water;
ment and water supply augmentation technologies, however, the Environmental Protection Agency re-
and (4) lag in planning, constructing, and operating ports that State and local water quality control
major water supply projects. Some shortages result programs are not providing adequate regulation of
from wasteful use of the available supply, especially quality at local water supply systems because of
in cities that do not meter deliveries. deficiencies in planning, training, and enforcement
Some cities have access to reserves of high-quality activities.' 8 1
surface or ground water adequate to meet their needs
for the foreseeable future. Other cities, to avoid Rural Supplies: A survey made by the Farmers Home
shortages, must either expand their water supply Administration in 1970 indicated that there are more
systems or institute measures (such as full cost than 17,000 rural communities that have no central
pricing) to reduce per capita demand, reduce water water system, and that of those communities that
wastage, or deliberately control their growth. The already have such systems, there are more than
most difficult municipal water supply problem in the 14,000 having facilities needing improvement or
future will be that of maintaining the quality of water enlargement. The estimated cost of all needed work
supply in the face of increasing use and reuse of water amounted to about $4.2 billion.' 82 However, this
for many purposes. amount includes the estimated cost of providing
Protection of public health was the original justifi- sewers as well as water supply facilities.
cation for intervention by the Federal Government in
water quality problems. Substantial progress was Some Major Shortcomings
made early in this century in developing water The principal results of the Commission's appraisal
treatment methods which were highly successful in of present Federal programs may be summarized as
eradicating disease and sickness caused by con- follows:
taminated water supplies. There is need for a comprehensive restatement of
In 1969, almost a thousand representative public policy to govern the role of the Federal agencies in
water supply systems were surveyed by the Bureau meeting the Nation's needs for municipal and
of Water Hygiene'79 in the U.S. Environmental industrial water supplies. The Water Supply Act of
Health Service. Included in the survey were eight 1958 '183 states that it is "the policy of Congress to
large urban areas across the country and one com- recognize the primary responsibility of the States and
plete State (Vermont). Of the approximately 17-1/2 local interests in developing water supplies for
million people in this sampling, about 15-1/2 million domestic, municipal, industrial, and other purposes."
were drinking water that was safe and of good Similar language is found in other laws. Yet, in the
quality. Most of those people lived in cities having a legislation authorizing the programs previously dis-
population of 100,000 or more. The remaining 2 cussed the Congress has created an almost
million people, residing in both large and small bewild'ering array of Federal subsidies for the purpose
communities, were drinking water of inferior quality; of shifting much of the responsibility for, and the
that is, water that, although safe, had a bad taste, costs of, M&I water supplies to the Federal Govern-
odor, appearance, or other quality characteristic that ment. In addition, the Commission finds that an
made it less desirable for household use and human
consumption than the water supplied the other 89 "'BUREAU OF NATIONAL AFFAIRS (March 24,1972).
percent of those included in the sample."' Federal standards not broad enough to cover community
179 Now a part of the Water Supply Division of the U.S. supply problems. Environment Reporter, Current Devel-
Environmental Protection Agency. opments 2(47):1428-1429.
'80WATER QUALITY OFFICE, Water Hygiene Division, 1112U.S. FARMERS HOME ADMINISTRATION, Depart-
Environmental Protection Agency (April 1971). Com- ment of Agriculture (July 30, 1970). Summary of Water
munity Water Supply Study: Significance of National and Sewer Needs Inventory. Unpublished mimeo,
Findings. Reprint, previously printed as Bureau of Water Farmers Home Administration, Washington, D.C.
Hygiene, USPHS, report dated July 1970; Environmental 1113 P.L. 85-500, July 3, 1958, Title 111, 72 Stat. 279, 319, as
Protection Agency, Washington, D.C. amended, 43 USCA 390b.

166

increasing number of State and local officials believe responsibility for design and construction makes for
that certain Federal agencies fully intend that the lower administrative costs, insures adaptation of plans
Federal Government shall become as dominant in the to local conditions, capabilities, and desires,
water supply field as it has become in the field of encourages cost-effectiveness competition between
pollution control, and they point out that it was but areas, and imparts a sense of local pride and
25 years ago that in enacting the first of the major responsibility. In addition, local assumption of
Federal Water Pollution Control Acts' 84 the responsibility for water supply can strengthen the
Congress said "it is hereby declared to be the policy power of a local government over land-use decisions.
of Congress to recognize, preserve, and protect the Finally, when a community must meet its own needs
primary responsibilities and rights of the States in for water supply, it is much more likely to require
controlling water pollution." These State and local that the water users pay the full cost of providing the
officials fear that eventually the previously quoted service. The advantages of managing water systems as
language of the Water Supply Act of 1958 will have self-sustaining, utility-type enterprises are detailed in
no more force and effect in limiting Federal inter- Section C of Chapter 7 of this report.
vention in M&I water supply than did the language of There is also a need for bringing existing laws into
the Water Pollution Control Act of 1948 in limiting consonance with such a restated expression of
the Federal intervention in pollution control. More- Federal policy. After a clear and unequivocal policy is
over, these non-Federal officials, as well as many of established by law, all existing legislation authorizing
the experts that have appeared before this Com- Federal activities having to do with M&I water supply
mission, are of the opinion that the States, local should be brought into line with that policy. The
entities, and private enterprise are competent to meet legislative changes necessary to accomplish this can
the water supply needs of the cities with relatively best be determined by the agencies of the executive
little Federal intervention. For example, the branch and this Commission would suggest that after
American Water Works Association has issued a the Congress establishes such a policy it request the
formal policy statement' 8' in which appears the President to have prepared, for its use, a report
following: indicating the extent to which existing legislation
The responsibility for water resources projects, would have to be amended to bring it into
of which public and industrial water supplies are consonance with that policy.
a primary consideration, should rest with that There is a need for better coordination between
echelon of government or of private interests plans prepared to guide the development of metro-
closest to those people benefited. This broad politan regions and cities and the comprehensive
management responsibility includes sponsoring, water plans being developed for river basins and
planning, development, financing, ownership, regions. The Federal water agencies and the States are
operation, and maintenance. The cost of such rapidly proceeding with the development of com-
projects should be borne proportionately by prehensive plans for major river basins, or other
those who are benefited. regions, under the authorities of the Water Resources
The National Water Commission finds itself in full Planning Act of 1965,1 8 6 and a number of other
agreement with the position taken by the American authorities. At the same time, most large cities have
Water Works Association. It has seen no evidence that found it desirable to prepare broad plans to guide
would lead it to believe that the design and con- their future development. In some instances, organi-
struction of local water supply systems would be zations that have been established for large metro-
better performed by Federal construction agencies. politan regions containing a number of municipalities
Local government has demonstrated the capability to have formulated or are formulating comprehensive
design and construct the most sophisticated systems urban plans for these regions.' 8 7 The National Water
when adequate financing is available. Uniform design Commission is of the opinion that both types of
is neither practical nor desirable. Decentralized planning should continue. But it is also of the opinion
that the coordination between the end products of
'Water Pollution Control Act, P.L. 845, June 30, 1948, the two should be improved. In particular, the
80th Congress, 62 Star. 1155.
18 s AMERICAN WATER WORKS ASSOCIATION (Novern- 'P.L. 89-80, July 22, 1965, 79 Stat. 244, as amended, 42
bey 1971). Statements of policy on public water supply USCA 1962 et seq.
matters. Journal American Water Works Association The problem of planning for metropolitan areas is dealt
63(11):43-55. Part II. with in some detail in Chapter 12 of this report.

167

Commission finds that municipal and industrial water Particularly around many of the smaller central cities
supply needs have not been adequately considered in has there been a reluctance to annex the fringe
comprehensive framework studies conducted under communities' 90 and this has resulted in an increase
the provisions of the Water Resources Planning Act of in the number of small communities seeking
1965. assistance from the Farmers Home Administration to
An examination of several framework plans by install small systems to meet their own needs. This is
HUD resulted in the finding that the relation of water one of the reasons for including in Chapter 12 of this
use to the planned use of urban land resources had report a recommendation designed to improve
been largely ignored. A preliminary critique of the institutional arrangements for managing metropolitan
M&I water supply appendix of the Columbia-North area water services.
Pacific Region Comprehensive Framework Study, There is also a need for providing in comprehensive
prepared for HUD, revealed several deficiencies, river basin plans for better coordination of with-
including inadequate study of, and attention to, M&I &awals of water by self-supplying industries. Much of
water supply needs.""' in another HUD evaluation the water used by industry never passes through a
of a framework study-that for the Pacific Southwest public water supply system, but is withdrawn from
Region-other planning deficiencies were cited, one and returned to the streams by the individual
being that the study did not cover metropolitan areas industries. Practically all cooling water for thermal
at all. Instead, the areal scope of the study appeared powerplants is self-supplied in this sense. It has been
to run up only to the fringes of metropolitan estimated that within metropolitan areas about half
areas.' 8 9 It appears that Type I Framework studies of the water used by industries is self-supplied. The
of water and related land use tend to focus on rural magnitudes of such withdrawals are often so great
areas where the old line water and agricultural that provisions should be made in both com-
agencies have traditionally operated. Apparently, prehensive river basin plans and metropolitan regional
insufficient effort has been made to coordinate with, plans to insure that the effects of the withdrawals are
or lend support to, metropolitan and areawide taken into account and that an appropriate amount
planning agencies. of water is available to meet the demands of the
While these problems may contribute to serious self-supplied industries. In some instances, such
deficiencies because municipal and industrial water planning will result in the finding that certain
supply is not adequately considered in Federal, State, industries should be located elsewhere. The recom-
and local planning activities, they do not require mendations of Chapter 11 of this report can improve
changes in legislation or in funding levels. For the plans for metropolitan regions in this respect and the
most part, Federal planning assistance programs recommendations of Chapter 10 can do the same for
provide ample opportunity for conducting adequate comprehensive river basin plans. States, and sub-
and properly coordinated water supply planning. divisions of States, can be powerful factors in the
There is a need for coordinating the planning of solution of such problems by the exercise of their
new small water supply systems in suburban areas latent administrative powers. In the West, where
with the central system for the metropolitan area. As careful management of the relatively small supply is
a metropolitan area expands, many small systems are essential, it has long been accepted practice to control
installed in the fringe area which are destined industrial withdrawals through administrators, water
eventually to become components of the major boards, or other management entities. In the East,
system serving the previously developed areas. there is an increasing use of permit systems by the
States.
188NORTHAM, Ray M (October 12, 1971). Summary of In some urban areas a considerable Proportion of
Major Points Identified in a Review of the Columbia - the water withdrawn is wasted and conservation
North Pacific Region Comprehensive Framework Study,
prepared for the Department of Housing and Urban programs should be set in motion. In planning to
Development, Contract No. H-155 1. HUD Region X, meet future demands for municipal and industrial
Seattle, Wash. p. 14. water, full consideration should be given to the
"WARNE, William E (October 197 1). Comparative Re- possibilities for reducing water withdrawals by
view, Analysis, and Evaluation of the Pacific Southwest's
Water Resources Study, Part 1, prepared for the Depart-
ment of Housing and Urban Development, Contract No. "'The reverse situation is also found, Fringe communities
H-1595. HUI) Region IX, San Francisco, Calif. Chapter will resist annexation unless the advantages, as they see
VIL them, outweigh the disadvantages.

168

metering, by the imposition of pricing systems that date does not provide an adequate basis for such a
encourage more efficient use of water, by changes in conclusion.
building codes, by reducing leakage, and by other
measures, as an alternative to increasing the supply, CONCLUSIONS
or as a means for minimizing the necessary increase. The foregoing appraisal of the Federal programs
The possibilities for making better use of existing presents a list of deficiencies that may be taken as the
supplies are discussed in Chapter 7 of this report. conclusions of this Cormnission as to reforms needed.
Aere is a need for better coordination of the These need not be repeated here. However, the
Federal grant and loan programs. As previously studies it has made to evaluate future needs for
mentioned, an Integrated Grant Application Program municipal and industrial water, and its investigations
has been established, but to date this has dealt only of metropolitan problems on a broad front, have led
with applications for planning grants. It is the opinion the Comi-nission to a few general conclusions which
of the Commission that, if grants for construction are influenced the formulation of the recommendations
to be continued, early action should be taken to which follow. These general conclusions are briefly
broaden this program so that such grants may be stated in theIfollowing paragraphs.
brought under some degree of coordination; or, as an It seems certain that population growth, increasing
alternative, that some other means be developed to per capita use, migration of people to urban areas,
provide better coordination and administration of the and expanding economic activity will strain many
many programs through which Federal financial existing municipal and industrial water supply sys-
assistance may flow to communities desiring to tems in the years to come. Effective planning
provide or improve water supply systems. followed by effective implementation measures will
77ze research now under way does not adequately be required if serious shortages of water service for
meet modern needs. Leaders in the water supply the Nation's cities are to be avoided. In the more
industry have assured this Commission that there is a water-scarce and rapidly growing areas, competition
real need for the improvement of the Federal research for water supplies will mount and improved water
program previously described. They point out that husbandry will become increasingly necessary.
the protection of public health is of overriding Studies made for and by the Commission have led
importance and that for this reason precedence it to conclude that while Federal assistance to rural
should be given to two fields of research. One is to communities in the form of water facilities grants and
provide the fundamental data needed to establish safe loans is beneficial to these rural communities, their
standards for water for human consumption, and to influence upon population distribution is limited.' 92
develop practicable methods of monitoring the quality Such assistance alone will not materially affect or
of such water. Of comparable importance is the reverse the flow of population from rural to urban
research needed in the development of methods for areas, a trend which is beyond the ability of water
treating wastewaters, including municipal sewage, to facilities significantly to influence.
make it suitable for, industrial use, and, when the A further conclusion of the Commission is that
need arises, for human consumption! 91 These water problems of drinking water quality and safety of
supply experts also point out that a great deal more service have been demonstrated on a national basis,
should be learned about the effectiveness of present that this justifies the promulgation of Federal
treatment methods in rendering safe for human drinking water standards, and that the Federal
consumption wastewaters containing viruses and standards should be implemented primarily by the
pathogenic bacteria. They also report that there is an States. A related conclusion is that present research
urgent need for studies of the build-up of chemicals and development programs should be strengthened.
and other agents under repeated recycling of waste- Finally, the Commission reached the conclusion
water. Much has been said that leaves the general that there is a considerable element of inequity in the
public with the impression that the advanced waste policies that presently govern the programs through
treatment practices presently in use can be depended which grants and low-cost loans are made available to
upon to produce water safe for consumption by man.
Experts in whom this Commission has confidence "'See in particular: RIVKIN/CARSON, INC (197 1). Popu-
express the view that the research accomplished to lation Growth in Communities in Relation to Water
Resources Policy, prepared for the National Water Com-
"'The subject of reuse is treated in some detail in Chapter 7 mission. National Technical Information Service, Spring-
of this report. field, Va., Accession No. PB 205 248.

169

communities. Under these programs, communities b. Agenciesof the executive branch should
that have been conscientious in planning and diligent encourage cities and other non-Federal
in building water supply facilities will be unable to public entities to operate their water
demonstrate an urgent need for assistance and for this systems on a utility basis, the revenues
reason will be denied grant funds. Other less con- of which should be sufficient to cover
scientious communities that have been derelict and as all costs.
a result find themselves with inadequate supplies will c. Except for water used on interstate
be able to demonstrate urgent need and, accordingly, carriers, the responsibility for enforcing
will be awarded grants. Because grant funds derive any drinking water standards established
from the general fund of the Treasury, the taxpayers by the Federal Government should be
at large are obliged to subsidize, and thus reward, discharged by the States and their
communities which in the past have not made political subdivisions.
adequate expenditures for water supply facilities. On 5-23. All existing legislative Acts authorizing any
the other hand, those communities (and their Federal agency to assist non-Federal entities
taxpayer-residents) that have taken seriously their to plan or construct projects for supplying
obligations to provide themselves with adequate municipal and industrial water should be
water supply facilities, and who have made the amended to eliminate any inconsistencies
necessary sacrifices to do so, are penalized; they pay with the national policy that would result
the taxes but do not share in the benefits. This is from the previous recommendation.
certainly not calculated to instill in the Nation's 5-24. The agencies responsible for preparation of
communities a resolve to provide for themselves those comprehensive river basin or other regional
services which are appropriately a local community's water plans, and the agencies responsible for
responsibility and which, in the absence of urban planning, should jointly develop more
extenuating circumstances, should not be subsidized. effective means of cooperation and coordina-
The Commission believes that subsidies are only tion, as recommended hereinafter in Chapters
justified if they serve some compelling social 10and It.
purpose; where society benefits but where con- 5-25. City governments and metropolitan regional
ventional markets and pricing mechanisms do not entities should develop and put into effect
adequately reflect those benefits, the Commission water conservation plans designed to reduce
believes that a general rule to follow is this: direct waste and make more efficient use of their
beneficiaries of water projects who can be identified present municipal and industrial supplies.
and reached should ordinarily be obliged to pay all 5-26. Present means for the coordination of grant
project costs which are allocated to the purpose from and loan programs should be made more
which they benefit.' 93 effective, and as an initial step in this
direction, the Integrated Grant Application
RECOMMENDATIONS Program should be broadened to encompass
5-22. A national policy should be developed and grants and loans for construction.
enacted into law to clearly delineate the role 5-27. Research essential for the development of
to be played by the Federal Government in better drinking water standards, and of
the provision of water for municipal and improved means for testing water suppliesfor
industrial use: compliance with those standards, should be
a. Primary responsibility for the provision accelerated, along with research for the
of municipal and industrial water sup- purpose of improving methods of renovating
plies should remain with non-Federal wastewaters for direct human consumption as
public entities and private enterprise. detailed hereinafter in Section H of Chapter
7.

"'See Chapter 15 of this report for a discussion of
cost-sharing,

170

------- ---- Section G
Power Production - the Waste Heat Problem

Through the 1940's, the power-related water capita energy consumption,'" electrical energy
problem attracting most attention in the United demands will continue to grow, even if not at the
States derived from the decision of the Federal present rate of doubling every 10 years. It has been
Government to generate power at the dams it had pointed out that even assuming near zero
constructed primarily for purposes other than power population growth, a drop,to one half the present
production. This precipitated some of the most rate of growth in individual wealth, and a cor-
violent debates in the history of Federal water policy responding 50 percent reduction in the current rate
development. The Commission considered the of increase in power use in the next decade, U.S.
historic power issues, including private versus public consumption of electricity will still triple by
development of sites, power marketing, the iggo.),196
preference clause, headwater benefits, power Perhaps the most broadly-based forecast of future
partnership, and relicensing or takeover of Federal electrical energy requirements was made by the U.S.
Power Commission licensed projects at the expiration Federal Power Commission and is shown in Table
of the license period.'9' Although these issues, in the 5-11. It is regarded by the Commission as
minds of some, are not resolved, the Commission representative of the most probable conditions likely
does not believe they rank in critical importance with to be realized for the next 20 years and is used to
the issues involved in the disposal of waste heat from indicate future powerplant siting requirements.
thermal electric power production, which looms as
one of the most crucial problems of the future water THE PROBLEM OF WASTE HEAT DISPOSAL
use.
Accordingly, this section addresses those problems The projections of Table 5-11 indicate that
which arise because thermal electric powerplants do increasing power demands will be met in large part by
not convert all of the heat generated from fuel into the construction of thermal plants. At the same time,
electricity. The "waste heat" is released through the pattern of future site development apparently will
different kinds of cooling systems, most of which use tend toward larger thermal powerplants than has been
significant amounts of water; some requiring the case in the past. The FPC has estimated that
diversions of very large quantities, and others con- approximately 395 new sites will be needed by 1990
suming significant amounts. In the most-used, once- for large plants ( 160 nuclear and 140 fossil fuel). 1 9 7
through cooling system, the heated water is dis- Many of these plants will exceed 1,000 megawatts in
charged into the Nation's rivers, lakes, and coastal size. Although generally more efficient and more
waters. In other water cooling systems, the heat is economical than smaller plants, larger-sized plants
discharged into the atmosphere. All of the systems heighten the potential waste heat problem because
affect the natural environment and may affect other they are larger point-sources of heat, raising the
water uses. Therefore, the magnitude of the demand possibility that some local waters will not be able to
for cooling water and the effects of alternative ways support the increased consumptive losses or assimilate
of releasing the heat are important issues of national the heat without auxiliary cooling methods.
water policy.

DEMAND FOR ELECTRIC GENERATING 195LANDSBERG HH (June 1970). A disposable feast.
Resources Newsletter, Resources for the Future, Inc.
FACILITIES [Washington, D.C.] 34: 1.
In the United States, with a growing population 19 6 LEES, Lester et al. (September 1, 197 1). People, Power,
and, more significantly, an even greater growth in per Pollution, Environmental and Public Interest Aspects of
Electric Power Plant Siting, EQL Report No. 1. California
Institute of Technology, Environmental Quality Labora-
""PRICE, Truman P (February 197 1). Hydroelectric Power tory, Pasadena. p. 5.
Policy, prepared for the National Water Commission. 197U.S. FEDERAL POWER COMMISSION (1972). The
National Technical Information Service, Springfield, Va., 1970 National Power Survey. U.S. Government Printing
Accession No. PB 204 052. Office, Washington, D.C. p. 1-18-7.

171

TaWe 5-11. - Projected growth of utility electric generating capacity
(thousands of megawatts)

1970 (actual) 1980 1990
% of Total % of Total %of Total
Type of Plant Capacity Generation Capacity Generation Capacity Generation

Hydroelectric-
conventional 51.6 16.4 68 9.4 82 5.4

Hydroelectric-
pumped storage 3.6 0.3 27 0.8 70 1

Fossil Aeam 259.1 80.5 390 60.9 558 43.5

Gas-turbine and
diesel 19.2 1A 40 0.9 75 0.8

Nuclear 6.5 1.4 140 28 475 49.3

TOTALS 340 100 665 100 1,260 100

Notes: (1) The projections are premised on an average gross reserve margin of 20%.
(2) Since different types of plants are operated at different capacity factors, this capacity breakdown is not directly representative of share of
kilowatt-hour production. For example, since nuclear plants are customarily used in baseload service and therefore operate at comparatively
high capacity factors, nuclear power's contribution to total electricity production would be higher than its capacity share.

Source: U.S. FEDERAL POWER COMMISSION (1972). The 1970 National Power Survey. U.S. Government Printing Office, Washington, D.C. pp. 1-18-29.

COOLING WATER REQUIREMENTS through cooling systems take water from a source
such as a river, ocean, or lake, pass it across the
The peak electrical energy demand in many regions condenser, and discharge it at a higher temperature to
has shifted from winter to summer largely because of the same body of water from which it came. Cooling
the increase in air conditioning loads. Summer is ponds are impoundments constructed specifically to
generally the period of lower river flows, higher water hold and recycle cooling water and allow it to
temperatures, and decreased waste assimilative dissipate heat to the air. The most common types of
capacity, a combination of factors which tends to cooling towers are those in which cooling water is
exacerbate the waste heat problem. cycled through the tower where it is cooled through
The type of generating facility, the plant heat rate evaporation. Another type of cooling tower, not in
(i.e., efficiency), the inlet water temperature, the common use, is the dry or closed-cycle tower where
design temperature rise across the condenser, and the no evaporation takes place. Here, cooling water is
type of cooling method used are the important kept in a closed system and heat is dissipated to the
factors involved in determiniDg the total quantity of air as in an automobile radiator.
heat that will be released and the quantity of cooling A once-through cooling system imposes
water needed. tremendous diversion demands. For example, a 1,000
Table 5-12 presents a comparison of the heat megawatt light water reactor (33 percent efficient)
characteristics and cooling water requirements of requires 1,900 c.f.s. or 1,375,600 acre-feet per year
typical thermal powerplants. It shows that 58 to 67 for a 15' F. water temperature rise across the
percent of the heat energy required for thermal condenser.198 In 1970, steam electric utilities
generation of electricity is nonproductive (i.e., it is accounted for 45.9 percent of the water diverted in
rejected to the biosphere as waste heat). In fossil fuel the United States, and that percentage may increase
plants, a small portion of this nonproductive heat is sharply in the fature.' 9 9
discharged directly to the air through the boiler and Cooling towers and cooling ponds recycle water
stack but most of it is released to water through the and therefore divert only a small fraction of the
condenser cooling system, In a nuclear plant, how- water withdrawn in comparable once-through cooling
ever, there are minimal stack and in-plant losses, systems, but an evaporative cooling process consumes
leaving nearly all the waste heat to be discharged considerably more water, a significant consideration
through the condenser cooling system. in cooling system design, especially in water-short
The development of more light water reactor areas. Consumptive losses are on the order of I
capacity will increase waste heat discharges and percent of condenser flows for once-through cooling,
cooling water requirements. The heat discharges 1-1/2 percent for cooling ponds, and approximately 2
indicated in Table 5-12 are representative of the percent for evaporative cooling towers and spray
steam electric powerplants which will be constructed ponds. For example, for a 1,000 megawatt light water
between now and the end of the century. Although reactor, consumptive losses for each of the three
breeder reactors, which are not expected to be in systems would approximate 18, 27, and 36 cubic feet
commercial operation before the late 1980's at the per second (13,000, 20,000, and 26,000 acre-feet per
earliest, will increase efficiency of nuclear plants, the year), respectively.
increase will still not be significantly beyond the 40 During its meetings in Southern California and the
percent efficiency that represents the upper end of Delaware River Basin, the Commission was told that
the current range. there would be insufficient cooling capacity available
The central problem is how to release beat without in fresh water streams in those areas to provide water
causing undesirable environmental impacts. In some cooling for powerplants required to meet all
situations, the heat may be put to beneficial use, as projected loads in the future.
discussed later in this section. However, typically, the Consumptive losses for the dry cooling tower, the
problem is one of dissipating the heat added to the costliest of cooling methods, are negligible.
water used for condenser cooling, either by dis-
charging it directly to a water body or to the
atmosphere through an auxiliary cooling system. ""A modern 1,000 megawatt fossil fuel plant with a
A number of cooling methods are available, once-through system would require approximately 1,150
including once-through or run-of-river systems, c.fs. (832,600 acre-feet per year) at full capacity.
cooling ponds or canals, and cooling towers. Once- 'See Chapter 1 of this report.

173

TABLE 5-12- Heat characteristics of typical steam electric plants'
(heat values in B.t.u. per kw.-hr.)

Total Waste Cooling Water
Heat Requirement
Required (Required Lost to Heat (Cubic feet
Thermal Input per input minus Boiler Discharged per second
Efficiency kw-hr (Heat kw-hr heat Stack' to the per megawatt,
Plant Type (Percent) rate) equivalent)' (etc.) + Condenser of capacity)'

Fossil fuel 33 10,500 7,100 1,600 5,500 1.6

Fossil fuel
(recent) 40 8,600 5,200 1,300 3,900 1.15

Light water
reactor 33 10,500 7,100 500 6,600 1.9

Breeder
reactor 42 8,200 4,800 300 4,500 1.35

'Not using cooling towers.
2The heat equivalent of one kilowatt-hour of electricity (kw.-hr.) is 3,413 British thermal units (B.t.u.)
'Approximately 10 to 15 percent of required input for fossil fuel.
Approximately 3 to 5 percent of required input for nuclear.
'Based on an inlet temperature in the 700 s F. and a temperature rise across the condenser of 15' F.

Source: KRENKEL, Peter A et al. (May 1972). The Water Use and Management Aspects of Steam Electric Power Generation, prepared for
the National Water Commission by the Commission's Consulting Panel on Waste Heat. National Technical Information Service,
Springfield, Va., Accession No. PB 2 10 355.

EFFECTS OF COOLING SYSTEMS powerplants are located in areas of high smog and air
pollution potential, especially in small valleys where
The discharge of heat to a body of water can cause there is a propensity for stagnation of overhead air
a number of effects -beneficial, detrimental, or masses. However, adequate investigation and proper
insignificant -depending to a great extent on the siting should minimize these adverse impacts.
desired uses of the receiving waters. In navigable Another possible adverse effect, especially in
waters, the addition of heat in the winter could densely populated areas, is the release of large
lengthen the shipping season by elimination of lock quantities of heat to the atmosphere.200 Man affects
jamming, and by shortening the period of ice cover in the climatic conditions of the earth by the release of
shipping lanes. Discharge of heat in colder waters heat and materials into the air. Especially in high heat
could also be beneficial in promoting the growth of release areas, these releases can change the opacity of
fish. the atmosphere.'01 Measurable climatic
The greatest potential impact of heat discharge to modifications include, among other things, increases
water, however, is on aquatic life. The net effect of in mean air temperature, in precipitation, and in
heat is to decrease the dissolved oxygen content of cloud cover. Resources development policy needs to
the receiving water. Discharges of large quantities of consider fully the long-range implications of these
heat relative to the assimilative capacity of the modifications.
receiving waters could have serious effects on the Where cooling ponds are used, they must be quite
associated ecosystems. Temperature changes have a large, up to 10 to 20 square miles in area. They are
direct effect on metabolism, reproductive cycles, often enclosed by dikes, and in many cases require
behavior, digestion, respiration rates, and other energy for pumping water into the cooling pond.
factors. Mortality can occur when temperature It is important to recognize that actions taken to
tolerances are exceeded and from too rapid changes deny the use of water as an interim medium of
in temperature. Since fish are at the apex of the thermal release will increase the total rejection of
aquatic food pyramid, any drastic change in any part thermal energy, because auxiliary cooling methods
of the pyramid will be reflected in changed fish such as cooling towers reduce overall plant efficiency
population or species diversity or both. and therefore require higher heat inputs for
It should be noted that not all water temperature equivalent electrical energy output.
changes are manmade. Indeed, in many areas water
temperatures fluctuate naturally and more rapidly DISCUSSION OF PROBLEMS
over wider temperature ranges than man-induced
temperature changes, depending on variations in Diffusion of Waste Heat
season, in streamflow, and other factors. Waste heat is different from other residuals which
Chlorine is sometimes added to prevent fouling of can be collected, concentrated, and disposed of under
the condenser in once-through cooling systems. In the controlled conditions, yet it must be dispersed in
operation of cooling towers, a number of chemicals such a way as to minimize adverse effects on the
are used to prevent or reduce wood deterioration, environment. The capacity of water to absorb and
biological growths, corrosion, scaling, and general dissipate heat is a valuable resource which, under
fouling. These chemicals, as well as others occurring many conditions, can be safely used. Using water
naturally in water, tend to become concentrated by bodies to accept waste heat provides two major
evaporation and are released to water bodies in what benefits: (1) water as a dilution, dispersion, and
is termed blowdown. Metal loss from corrosion, and dissipation medium is four and one-half times more
the mechanical and hydraulic effects of intake and efficient than air on a weight basis and 42 times more
discharge facilities can also have detrimental environ- efficient on a volume basis and (2) the improved
mental effects. Ordinarily, however, these adverse efficiency of the cooling process reduces the alloca-
effects can be reduced or eliminated by proper
engineering design and site selection.
Cooling tower discharges have caused vapor ... JASKE RT et al. (November 1970). Heat rejection
plumes, fog, precipitation, and icing, primarily requirements of the U.S. Chemical Engineering Progress
because of inadequate consideration of climatological 66(11):17-22.
and meteorological factors in plant location and 20'LANDSBERG HE (December 1970). Man-made climatic
cooling tower desigA. Severe problems are likely if changes. Science 170(3964):1265-1274.

175

77@,

K
6

V,
'z

Cooling tower on Trojan Nuclear Plant prevents discharge of heat into the Columbia River

tion of resources and the production of energy capital and operation and maintenance costs, the
,otherwise required for this function. availability of water for diversion and consumption,
Towers and ponds also use water to convey heat the natural resources required, impacts on other uses
away from the condensers, but discharge the waste and total environmental effects. Rigid environmental
heat directly to the atmosphere. While these systems standards which do not permit the use of water to
prevent heat from being injected into water bodies, absorb waste heat, even where the environmental
they are costly, require additional electric energy to costs of once-through cooling are minimal, would
operate (which in turn requires additional generating deny the opportunity to make a rational
202
capacity), and require additional land. evaluation. Precluding consideration of one
However, use of water bodies also involves costs alternative and its associated set of costs or benefits is
which place a limit on their use. Sound resource not the kind of rational decisionmaking which must
management policy requires a balancing of values, an

WRIGHT, Ja
assessment of the benefits and costs of the cooling 112 mes H (August 1971). Testimony before the
alternatives in order to decide which is the most Public Hearing to Consider Revising Thermal Standards
appropriate for the particular situation. The decision for Lake Michigan to Conform with the Recommenda-
as to which cooling method to employ in any given tions of the Lake Michigan Enforcement Conference.
situation should be made on the basis of system Department of Natural Resources, State of Wisconsin.

176

be employed if the Nation's total resource base is to should include technical, economic, environmental,
be most effectively managed and used. and social considerations.

Powerplant Siting and Water and Related Land
Resources Planning203 Potential and Developing Technologies
Since thermal powerplant siting can have New technological developments, especially in
significant impacts on the Nation's water and related power generation, may ameliorate the waste heat
land resources, the Commission believes that river problem in the long term. Unfortunately, these can
basin commissions and other planners should give be expected to have little effect on plant systems put
greater attention in water resources planning to into operation through the year 1990 because of the
potential sites and to the effects which powerplant time lags between development on a proven research
siting and operation may have upon other water and basis and commercial availability and between com-
214 merical availability and widespread use. The first time
land uses within the basin. This would provide a lag relates to proving technical and economic feasi-
much needed tie between water resources and land- bility; the second involves developmental, regulatory,
use planning. The Water Resources Council should licensing, and construction activities and their associ-
assist field planning entities by providing additional ated lead times.
policy and procedural guidance. It would be
appropriate for the Council to establish a work group
of agency and industry representatives to address this Generation: Increasing generation efficiency is an
issue. important key to reducing or eliminating waste heat
A number of new possibilities for future thermal problems. The Commission's Consulting Panel on
powerplant siting exist. Proposals for floating power- Waste Heat estimated the most probable share of the
plants, powerplants constructed on manmade islands Nation's total generating capacity in the year 2000
on the continental shelf, and underwater plants for each method of generation, the time when each
resting on the ocean floor are under consideration. new generation technology will first come into
Potential advantages of ocean siting include practical use under present and under accelerated
dispersion of heated discharges by ocean currents and research and development, and the expected thermal
their diffusion into the large volumes of water efficiency of each technology. These estimates appear
available, no demand on fresh water sources, and in Table 5-13 and indicate that nearly two-thirds of
perhaps improved conditions for fish as the upwelling the Nation's generating capacity in the year 2000 will
of heated water pushes nutrient-laden lower layers to be comprised of systems presently in widespread use.
the surface. Siting alternatives of this type deserve The nuclear breeder is expected to be the next
special attention for the intermediate and long term. generation technology to be developed for wide-
Combinations of concepts offer possibilities spread use. Under present planning assumptions, the
deserving exploration. For example, waste treatment thermal energy of a breeder reactor is to be converted
plant effluent might be used as a partial water source to electrical energy using conventional (steam
with ultimate cooling water disposal through deep turbine) Rankine cycle technology. However,
ocean outfalls or through pump-back as in pumped- efficiencies using this technology are limited because
storage developments. The Commission believes in- the limitations of metals involved preclude obtaining
novative combinations should be given early study steam temperatures much in excess of 10500 F., the
and evaluation. Many of the siting alternatives are equivalent of an available fossil fuel steam plant.
presently in the category of possibilities; it is Since the primary thrust of breeder development has
important that their probabilities of success be been to provide a large bulk heat source, the
assessed. A coordinated research and development supporting research into power technology using
effort is necessary to provide these assessments and advanced cycles of higher efficiency has not been
accorded the degree of attention which the Com-
203See Chapter 6 of this report for a discussion of mission believes is warranted. Greater emphasis
recommended improvements in the procedures which should be placed on achieving the goal of higher
govern powerplant siting. efficiency by developing the supporting technology
11 4The New England River Basins Commission has prepared for advanced cycles and, if possible, an early replace-
a plan for a siting program that appears to constitute a ment of the Rankine cycle. The breeder reactor,
first step in this direction. however, will produce large amounts of radioactive

177

TABLE 5-13.-Electrical Power Generating Technologies

Average Heat Date First
Thermal Discharge Major Unit
Efficiency to Could be
of Plants Condenser in Operation Expected
Built in Cooling Present Accelerated %of Total
1990-2000 Water R&D R&D Capacity
Method of Generation Fuel Used Period' BTU/KWH Funding Funding Year 2000

PRESENT SYSTEMS

Hydroelectric (Conven- Water .0- SOA 5
tional & pumped storage)
Fossil Fuel' Coal, Oil, Gas -42% 3,900 SOA 10-20
Shale Oil, Coal Gasification Oil & Gas 42% 3,900 1995 1985 10-15
& Coal Liquification
(new fossil fuel)
Internal Comb. Eng. Oil 25-35% .0- SOA <1
Gas Turbine Gas, Oil 20-30% .0- SOA <1
Topping G.T. w/Waste Gas, Oil 40% SOA <1
Heat Boiler
light Water Reactors Uranium & Thorium-33% 6,600 SOA 30-40

DEVELOPING SYSTEMS FOR THE SHORT TERM (1970-2000)
Gas Cooled Reactors Uranium & Thoriun-e-40% 4,800 SOA 10-20
Nuclear Breeders Uranium & Thorium 38-42% 4,SOO 1990 1985 10-15
Fuel Cells' Partially Oxidized 60% -0- 1985 1980 <5
Coal, Oil & Gas
EGD(Electrogasdynamics) Nat. or Manu. Gas 40-55% -0- Never 1990
MHD Fossil or Nuclear 55% .0- Never 1990 <5
MHD Topping Cycles Fossil or Nuclear 60% 1,700 Never 1990
Geothermal Geothermal Energy 20-30,7o SOA <1

DEVELOPING SYSTEMS FOR THE LONG TERM (After 2000)

Thermoelectricity Any Heat 10-15% Indefinite 0
Thermionic Any Heat 10-30% Indefinite 0
Fusion Hydrogen or Helium 7S-9S% Small Never 2010 0
(seawater)
Solar Sun's Energy 14-25% Never 1990 <1

SOA - State of the Art
'Where SOA, the efficiency given reflects the Panel's estimate of improvements in state of the art technology.
'Conventional fossil fuel, excluding shale oil, coal liquification and gasification
'Not Central Station

Source: KRENKEL, Feter A et al. (May 1972). The Water Use and Management Aspects of Steam Electric Power Generation, prepared
for the National Water Commission by the Commission's Consulting Panel on Waste Heat. National Technical Information
Service, Springfield, Va., Accession No. PB 210 355. p. 25.

178

material and will greatly multiply safety problems in The Cominission recommends a greatly expanded
handling, transport, and disposal of this material. research and development program to develop more
The fuel cell represents a potential revolutionary efficient generation systems as a long-term solution,
change in future power systems. It is a device which recognizing that it is unlikely that such new tech-
converts the chemical energy in gaseous fuels directly nologies will significantly reduce waste heat dis-
to electrical energy, thereby avoiding some of the charges until after the turn of the century.
efficiency limitations imposed on heat engines by the Cooling: The potential for reducing heat discharge to
second law of thermodynamics and making it possible water bodies through new cooling systems tech-
to discharge waste heat directly to the atmosphere. nologies generally rests in improvements to systems
The fuel cell is not a large central station generation already developed or under development. Major
method. Rather, it lends itself to unique possibilities design breakthroughs in lowering the cost of dry
of distributing generating capacity within urban areas. tower cooling, while unlikely based on current
Units presently contemplated for commercial use in assessment, would be of great significance. Dry
the late 1970's will generate 26,000 kw. The Commis- towers produce negligible consumptive loss of water
sion believes the present developmental effort on the and no heat discharge to water. Unfortunately,
various types of fuel cell and supporting gas fuel
present dry tower designs range from $18-$32 per
supply research, though substantial, is inadequate; an kilowatt in capital cost (as opposed to $2-$5 per kw.
accelerated research and development program is for once-through systems, S4-$9 per kw. for cooling
warranted and would be in the national interest. Of ponds, and $5-$13 per kw. for wet cooling towers)-
particular interest is the possibility of producing with Moreover, dry cooling towers are quite costly to
nuclear reactors the hydrogen used as fuel in the fuel operate and maintain, especially since they reduce a
cells. powerplant's average annual electrical energy output
Magnetohydrodynamics (MHD) is another from 6 to 8 percent (and require the construction of
promising technology. Instead of a solid conductor 12 to 16 percent additional installed ca-
rotating in a magnetic field, a jet of high-temperature, pacity) .205,206
high-velocity ionized gas is forced through a magnetic
field. By placing electrodes in this hot gas stream, Beneficial-Use Technology: If waste heat can be put
direct current at relatively high voltages can be to beneficial use, it may become an asset. A number
obtained. MHD can be used as a topping cycle for of possibilities are being investigated, ranging from its
conventional steam generation systems or by itself; use in aquaculture, mariculture, and agriculture to air-
either way, the efficiency is 40-50 percent greater port defogging and deicing, deicing of shipping lanes,
than with present fossil fuel plants and would extending recreation seasons, acceleration of sewage
therefore have a significant effect in reducing heat treatment, space-heating and air-conditioning, and
rejection. A number of developmental problems industrial processes. However, cooling water is dis-
remain, however, so that MHD probably will not be a charged in large volumes at a relatively low
large contributor to the Nation's generating capacity temperature on a continual basis. These
during the present century. characteristics make it very difficult for existing
Fusion power appears to be the promising systems to use the heat. To solve the waste heat
technology for more efficient generation in the long problem, beneficial uses must either (1) reduce
term. It may be able to reduce waste heat discharges adverse effects on the water environment or (2)
from the present 60-70 percent to a range of S-2S provide an economic gain or payout to help allay the
percent of the total heat generated. Even with an cost of necessary special cooling systems. Beneficial
expanded research and development program, how-
ever, fusion is not expected to be a major contributor 205U.S. FEDERAL POWER COMMISSION (1972). The
to central station technology before 2010. 1970 National Power Survey. U.S. Government Printing
Solar power and geothermal power are two other Office, Washington, D.C. p. 1-10-8.
potential sources which have the advantage of being 2 0 6 For example, providing dry tower cooling for each new
renewable and relatively free of environmental prob- thermal electric power generating plant constructed
through 1990 would require the construction of addi-
lems but, like fusion, will require very large research tional installed capacity equivalent to about 40 3,000
and development expenditures to demonstrate com- megawatt powerplants just to provide electrical energy to
mercial feasibility. operate the dry cooling facilities.

179

uses of waste heat should be looked upon as a Present uses of electrical energy are not nearly as
possible help in reducing heat discharge to water efficient as is practically possible. For instance, the
bodies, but they cannot be counted on to provide any development of more efficient energy-consuniing
significant relief from the waste heat problem in the appliances and stricter requirements for insulation in
near term except on a localized basis. For the longer building construction could conserve energy. At
term, the possibilities appear more attractive. present, however, there is no national policy of
Continued research and development may achieve energy conservation to guide energy development and
breakthroughs which could completely change the use. Energy conservation will not alone solve the
economic feasibility of some uses. Of the presently problems of waste heat, but it should be a national
identified uses, agriculture, aquaculture, space-heating, objective because of the potential benefits, including
and air-conditioning hold the greatest promise for the conservation of fuel resources, reduction in air
future, and should be the focus of future research and pollution, fewer new generation facilities, and, of
development activities. specific concern to this Commission, reduction in the
Waste heat appears to have significant potential for energy impacts on the Nation's water resources.
use as an integral part of an urban energy center. It must be recognized that minimum electrical
However, such use might require close-in siting of energy use does not necessarily mean optimum net
future powerplants which, in the case of nuclear benefits to society or optimum use of resources.
plants, for example, may present problems. Nevertheless, energy consumption should be con-
The otential for beneficial-use technology sidered in the design of buildings, industrial processes,
p and energy-consuming products to take into account
suggests the need for an expanded view of energy as a the long-term total costs, including social and
resource and for an emphasis on more efficient use of environmental costs, of electric power production.
energy and the byproducts of its generation. Pos- The Federal Government has the opportunity to
sibilities exist for amalgamating the location and influence the efficiency of energy use. Federal
operation of thermal powerplants with the operation agencies should give greater attention to more
of industrial plants, the production of agricultural efficient energy use as a first step toward a national
commodities, the mining and Processing of minerals ' policy of energy conservation.
the extraction of salt from saline water, and the
operation of other commercial ventures. Develop- Information Collection
ments of tl-ds type can seldom be "add on" processes.
For greatest efficiency they must be completely A systematic approach will be required to develop
engineered on an integrated basis at the outset. solutions for the complex problems outlined. Chapter
4 of this report discusses generally the Nation's need
Transmission: New transmission technologies could to improve the collection and usability of water
allow much greater flexibility in siting. For instance, quality information. However, important elements of
these technologies may make it possible to locate such an approach toward waste heat merit brief
powerplants economically where water supplies are discussion here.
abundant, even at long distances from load centers.
In addition to underground transmission, the Information Storage and Retrieval: A great deal of
development of such things as superconductivity, SF6 study has been done to determine the effects of heat
gas-cooled transmission, and the combined cryogenic on aquatic systems, and a number of basic relation-
electrical and liquified gas concept would be ships are known. At present, however, it is extremely
significant breakthroughs in allowing greater difficult to organize the wealth of available infor-
flexibility in siting, An accelerated research and mation into a usable and readily retrievable form.
development program on transmission technologies is Furthermore, there is no orderly feedback mechanism
warranted, whereby priority research needs are communicated to
those who are doing the research. An information and
Energy Conservation: Faced with projected great retrieval center, or centers, are needed to become
increases in the number and size of powerplants and clearinghouses for information exchange in this
the total production of electrical energy, many area. 207
people are asking, "Do we need all tMs power?""Are
we making the most efficient use of what we have 20 1 See Chapter 17 for specific recommendations on this and
now?" subsequent information collection elements.

180

Standardization: A review of testing methods, water area. Unfortunately, this question has no single
environmental survey procedures, and regulatory answer applicable everywhere and for all time because
criteria reveals a lack of standardization of sampling of the great variability in both ecosystem response
and measurement technology in determining and the desired uses of water bodies.
temperature effects on biota. Such standardization The best possible information should be
would prove valuable for those in research, in the available to facilitate rational decisionmaking.
utility industry, and in the regulatory agencies, as a Accordingly, temperature criteria should be based
means of assuring a common base in setting criteria upon coordinated research programs, a recognition of
and standards. It would also be of particular value in geographical, hydrological, and seasonal differences,
establishing an information system such as discussed and the diversity of ecological systems. A Federal
above. program is needed (1) to establish for ecologically
representative aquatic systems in the U.S. the sub-
Modeling: An important aspect of powerplant site lethal and lethal temperature levels for aquatic life,
evaluation is the need to assess the probable impact taking into account such things as acclimatizations,
of alternative cooling systems on the water resource. seasonal patterns, and duration of exposure, and (2)
Simulation and predictive modeling techniques, while to aid in the establishment of a national policy on
still in the embryonic stages of development, show temperature criteria, including guidelines on which to
significant promise for describing thermal life support base judgment. Both should be subject to constant
system interaction and the processes governing heat review and modification as more definitive infor-
movement in aquatic systems. Continued develop- mation becomes available.
ment and refinement of modeling techniques should
be supported with a view to their leading to (1) better Research and Development
definition of possible problems during the planning In addition to research for the purpose of deter-
phase before powerplants are designed and con-
structed and (2) better selection and design of heat mining environmental impact and for setting environ-
discharge systems to mitigate adverse environmental mental standards, a great deal of additional research
impacts. and development is needed in the following areas:
I . More effective chemical and mechanical
Pre- and Post-Operational Studies: Another important processes in the operation of cooling systems.
aspect in assessing the possible impact of heat on the 2. Early assessment of new siting alternatives.
water environment is the opportunity to learn from 3. Power generation technology.
actual experience gained in powerplant operation. 4. Cooling system technology
This can be most meaningful if carried out through a 5. Transmission technology.
regularized process of pre- and post-operation 6. Beneficial and multiple-use technology.
investigations and monitoring studies correlated with Programs are under way to provide more money for
the predictive modeling mentioned earlier. Actual research and development, which is essential because
effects could then be compared with those predicted current industry and government funding levels are
and refinement of modeling techniques can be made inadequate. The Research and Development Goals
which in turn would lead to better plant designs and Task Force to the Electric Research Council reported
aid in assessing effects of future sites and condenser in 1971 that a $30 billion commitment over the next
cooling alternatives. 29 years would be required to achieve the research
and development goals which the task force
Temperature Standards identified, approximately double the then existing
level of combined expenditures of government,
In setting temperature criteria, a range of factors manufacturers, and utilitie S.208 The electric utility
such as temperature rise, temperature tolerances, industry recently has increased its support of research
total heat input, mixing zones and passageways,
exposure time, seasonal variability, and geographical
and hydrologic characteristics must be considered. 2 0 9 ELECTRIC RESEARCH COUNCIL, R&D GOALS TASK
Either indiscriminate heat discharge or total FORCE (June 197 1). Electric Utilities Industry Research
and Development Goals Through the Year 2000, Report
prohibition of heat discharge is an unwise policy for of the R&D Goals Task Force to the Electric Research
this Nation to follow. The question is how much Council. ERC Pub. No. 1-71. Electric Research Council,
temperature rise or heat input to allow in any specific New York, N.Y. p. 2.

181

and development, but the Commission concurs with a legislative proposals, and calls for a comprehensive
U.S. Office of Science and Technology finding that national energy policy and a coordinated energy
the general level of research and development by research and development program. It supports the
electric utilities is below an appropriate level for an general thrust of these proposals and urges the early
209
industry of its size. It is important that electric implementation of a broad policy and a diversified
power utilities devote a reasonable portion of their program of research and development in energy
revenues to research and development. At the same generation and related matters.
time, regulatory commissions at the Federal and State
level should take positive action to assure that the CONCLUSIONS
utility industry can recover research and development
expenses in its rates. Demand for electrical energy in the foreseeable
One approach to funding which merits con- future will continue to increase even if not at the
sideration is the establishment of an energy/ present rate of doubling every 10 years. Major
environment research and development fund, funded reductions in electrical energy use are unlikely,
through imposition of a surcharge or tax on all energy especially in the near term. Hence, reduced electrical
consumers. This has been the subject of proposed energy requirements cannot be counted on to provide
Federal legislation. The Electric Research Council, relief from the need for more powerplants or from
recently incorporated as the Electric Power Research the waste heat problem during this period. Reducing
Institute, Inc., supports a similar approach. Plans are the rate of expansion in electrical energy usage
under way for participating investor owned utilities to would, however, reduce somewhat the need for
seek rate relief for an assessment of t/10 mill per additional generating facilities and would yield a
kilowatt-hour on electric generation. If this program number of other benefits.
is agreed to by regulatory bodies and implemented, Present electrical energy-using equipment and
approximately $137 rruillion per year will be available appliances are far from the most efficient possible,
by 1974 for research and development .210 Similar even under present technology. Most present-day
assessments by publicly owned systems would building construction and appliance manufacturing
increase the total to approximately $177 n-dllion a companies employ designs with a low first cost and
year. Coupled with increased Federal support of with resultant high energy consumption, as opposed
energy research and development and additional to a higher first cost and a subsequently lower
spending by individual utilities, this would provide a long-term energy usage. The Federal Government has
needed thrust forward. the Opportunity to influence the more efficient use of
The research and development identified above will energy through widely diversified federally supported
be of great significance in a number of ways: fuel and research and development programs, and in the design
energy conservation, improved air quality, improved of federally supported and financed facilities and
esthetics, and improved land use, in addition to a facilities designed primarily for the use of the
reduced impact of energy generation on water Government. This influence should be used as the
resources. Since water is only one factor, funding and first step in the development of a national policy of
management for needed research should be designed energy conservation.
within a much broader context than is within the Two perspectives are needed in addressing the issue
charge of this Commission. The Commission is aware of siting future steam electric powerplants. One
of the large number of studies, conferences, hearings, perspective must deal with the near to intermediate
2 0 9 U.S. OFFICE OF SCIENCE AND TECHNOLOGY, term, during which powerplants must be planned,
Energy Policy Staff (August 1970). Electric Power and designed, constructed, and operated using currently
the Environment. U.S. Government Printing Office, proven and available technology. This period is
Washington, D.C. pp. 42-44. expected to include much of the remaining part of
210HARRIS, Shearon (March 15, 1972). Testimony, pp. the 20th century. The second perspective must deal
76-105 in U.S. CONGRESS, Senate, Committee on with that period beyond the turn of the century
Commerce, Energy Research and Development, Hearings, when current and future research and development
92d Congress, 2d Session, Serial No. 92-62. U.S. Govern- efforts might have'a significant impact on the means
ment Printing Office, Washington, D.C. Other proposals of energy generation. This later period, though less
vary in the amount of the assessment; most are in the
range of $150-$300 million in additional research and predictable, should provide greater flexibility of
development funds annually. choice among more alternative courses of action.

182

Waste heat can be dispersed to the biosphere in transmission, beneficial-use and multiple-use systems,
various ways, all of which must be considered in the and new siting alternatives could mitigate
establishment of policies concerning environmental significantly the adverse effects of powerplant opera-
quality. In order to assess adequately the total tion on water resources. An accelerated research and
environmental impact of heat release, it is necessary development program is a necessity if the Nation is to
first to assess the alternative controlled release meet the demands for electrical energy and a quality
mechanisms in terms of their overall environmental environment in a timely and orderly manner.
impact, including local concentration effects.
The ability of water to absorb heat is a valuable RECOMMENDATIONS
natural resource which, under many conditions, can 5-28. The President and the Congress should
have high utility in diluting, dispersing, and dis- develop and implement a national policy of
sipating waste heat. However, for protecting various energy conservation. As an immediate step in
uses of water, such as providing habitat for aquatic this direction, the President should issue an
life, there must be a limit to the use of water for this executive order directing the agencies of the
purpose. Where heat input will adversely affect Federal Government to give greater considera-
important aquatic life or other environmental values, tion to reducing energy requirements in their
permissible heat inputs will have to be allocated own activities, such as housing, transporta-
among the various heat contributors (who might then tion, defense, and environment, and to
have to resort to auxiliary cooling methods). exercise such influence as they may have over
While a great deal of information is available on the non-Federal interests to further the Federal
effects of heat additions on the aquatic ecology, there policy.
is need for: 5-29. Appropriate Federal agencies and power
1 . a data center and retrieval system whereby utilities should undertake a greatly expanded
information concerning thermal effects is research and development program with the
readily available; following objectives:
2. an efficient feedback of research needs; a. To develop more efficient and
3. standardization of sampling, measuring, and environmentally compatible means of
research techniques; generating electrical energy (including
4. continual assessment of predictive modeling fuel cell, MHD, the breeder reactor,
technology; and advanced power cycles, nuclear fusion,
5. a regularized system of pre- and post- goethermal, and solar energy).
operational monitoring studies to determine b. To develop more effective means of
the environmental effects of plant operation. managing large quantities of waste heat
Temperature standards should be based on an discharge and for dealing with problems
adequate recognition of geographical, hydrological, arising as a result of cooling system
and seasonal differences and the diversity of operation.
ecological systems. A systematic, flexible, and well- c. To develop and assess new siting
financed environmental research program is needed to alternatives in order to increase siting
provide the kinds of information on which rational options (including the development of
standards may be set and on which informed better means of electric power trans-
decisionmaking may be based, in particular with mission).
respect to the effects of temperature and temperature d. To develop means of combining
change on aquatic life. electrical power generation with other-
Water resources planning studies should be processes in multiple-use systems as well
broadened in focus to include greater consideration as means of beneficially using waste heat
of sites for steam electric power generation and their discharge with a view to more efficient
possible effects on the water environment. total energy use.
New technologies are not expected to have a 5-30. Federal water pollution control legislation
significant impact in providing relief from the waste should recognize the capacity of receiving
heat problem in the near term. For the intermediate waters to absorb heat as a valuable resource.
and longer term, however, a number of technological 5-31. The water and related land resources planning
possibilities in the areas of generation, cooling, studies urrdertaken under the Water Resources

183

Planning Act should, in cooperation with water uses. The Water Resources Council,
private interests, be broadened to provide assisted by a work group made up of
more attention to potential powerplant sites representatives from industry, Federal and
and the effects which powerplant siting and State agencies, and the general public should
operation may have upon other land and provide policy and procedural direction.

Section H
Erosion and Sedimentation Damage Control Programs

In rural areas the erosion of agricultural lands sedimentation, reduction of flood losses, and the
reduces their productivity by carrying away fertile pollution of streams are interr elated.
top soil, by making some areas unusable as a result of Because water is the causative factor in the erosion
gully formation, and by "destroying rich bottomlands and sedimentation problem, as well as in the related
by bank erosion and, in some instances, by the problems, Federal erosion control activities are
deposition of the eroded material. The eroded discussed in this report.
material carried by rivers in flood increases flood
losses when it is deposited in places from which it THEPROGRAMS
must be removed, as from highways and flooded Programs of the Soil Conservation Service
buildings. And the soil particles eroded from rural
lands carry with them nutrients -particularly some of The Soil Conservation Service (SCS) of the U.S.
the excess nutrients placed on farn-dands in the form Department of Agriculture administers two nation-
of fertilizers-and other agricultural chemicals that wide programs that decrease damages caused by water
are recorded as pollutants when the streams are erosion. One of these is carried out under ]Public Law
211
monitored for conformance with water quality 46, the Act that established the SCS; the other,
standards. There is, therefore, a close relationship and under the Watershed Protection and Flood Prevention
a considerable degree of interdependence between the Act '21 2 as amended. The latter program is sometimes
erosion and sedimentation problem, the flood loss referred to as the "Small Watershed Program," and
problem, and the pollution problem. sometimes as the "Public Law 566 Program."
In urban areas, material eroded from lands on Through the Public Law 46 program the SCS, by
which buildings and street systems are under con- providing technical assistance, encourages farmers to
struction is frequently deposited on developed areas adopt soil-conserving practices such as contour cul-
at lower elevations, and the cost of removing the tivation, terracing, crop rotations, conversion of steep
sediment from streets and drainage systems can be lands to pasture or woodland, and the installation of
substantial. The urban erosion and sedimentation gully control structures. This involves working out
problem and the problem of reducing flood losses with each farmer a plan for the best use of his land.
resulting from storm runoff originating within urban This assistance is given in cooperation with a Soil
areas-which is discussed in Section E of this Conservation District established under State law.
chapter-are related. The same runoff that causes soil There are over 3,000 soil conservation districts in the
to erode carries it to lower levels where much of the United States, and these encompass almost 2 billion
sediment is deposited, and in doing so increases the acres of land and 99 percent of the farms in the
flood losses previously mentioned. Moreover, it is the United States. Through the Public Law 566 program
first flush of urban flood runoff that carries the SCS assists local organizations (usually Soil
pollutants into stream systems and which, as Conservation Districts) to install works such as
explained in Chapter 4, will require vast expenditures 21 'Act of Apfil 27, 1935, P.L. 46, 74th Congress, 49 Stat.
for treatment if presently contemplated quality 163, as amended, 16 USCA 590a-590L
standards are to be met at all times. In short, in urban I ' I P.L. 566, August 4, 1954, 83d Congress, 68 Stat. 666, as
areas as in rural areas, the problems of erosion, amended, 16 USCA 1001 et seq.

184

reservoirs, levees, channels, grade stabilization struc- measures by paying a part of the cost thereof,
tures, and bank protection measures. The reservoirs generally on a 50-50 basis. The ASCS is also
are intended to reduce flood damages along head- responsible for the Long-Term Land Retirement
water streams, provide irrigation water, store water Programs. These programs result in the shifting of
for municipal use, provide for strearnflow regulation, considerable land into soil conserving uses and thus
serve as recreational facilities, and enhance the fish help alleviate erosion and sedimentation problems.
and wildlife resource. The channel improvements
reclaim wetlands, in addition to reducing flood losses Program of the Tennessee Valley Authority(TVA)
in the adjacent areas. Such improvements may also One of the purposes of the comprehensive program
have adverse effects upon the fish and wildlife
213 of TVA is the reduction of soil ,erosion on private
resource, and may increase downstream flooding. lands through the encouragement of better farm and
Plans for entire watersheds are carried out by the forestry practices.
local organizations with technical and financial
assistance provided by the SCS and other agencies of Programs of the U.S. Army Corps of Engineers
the Department of Agriculture. In general, soil
erosion control measures are applied to the lands of The Corps of Engineers through its Civil Works
the watersheds in the same way as they are to other Program installs bank protection measures to stop
lands in Soil Conservation Districts. From the stand- land destruction and in some cases to reduce the rate
point of alleviating sedimentation damages, the most of sedimentation of downstream channels and reser-
effective of the measures installed through the Public voirs.
Law 566 program are the bank protection measures,
the grade stabilization and gully control structures Programs for Management of Federal Lands
and, in certain watersheds, debris basins. Recent
legislation 214 authorizes the Secretary of Agriculture The Forest Service of the Department of Agricul-
to assist farmers and communities in rural areas to ture, and the Bureau of Land Management and the
install pollution control measures. This should make National Park Service of the Department of the
it possible for the Department of Agriculture to deal Interior, administer very large areas of public land.
with erosion control as a multiple-purpose measure Management practices on these public.lands are such
for reducing the rate at which nutrients are carried to that soil erosion, and thus the discharge of sediment
the stream system, as well as a means for preserving into stream systems, are held at as low a level as the
soil fertility and reducing sediment damages. agencies having jurisdiction find it practicable to
achieve with the authorities and funds available to
A recent development has been the decision of them. To the extent practicable, the Bureau of Indian
some States to broaden the missions of the Soil Affairs of the Department of the Interior assists
Conservation Districts to enable them to assist in the Indians and Alaskan natives to use and manage their
alleviation of erosion and sedimentation problems in lands in a manner consistent with the principles of
urban areas. Since these Districts utilize the technical resource conservation, and in this way contributes to
assistance of the SCS, this development has had the the alleviation of erosion and sedimentproblems.
effect in some places of bringing that agency into
urban areas. Also, the recently enacted Rural Devel- Program of the Environmental Protection Agency
opment Act of 1972 will give the SCS a more (EPA)
important role in urban areas. This agency is interested Iin Ierosion an 'd sediment
Program of the Agricultural Stabilization and Con- from the standpoint of pollution control 'and has
servation Service (ASCS) recommended 215 amendment of the Federal Water
Pollution Control Act by the addition of a new Title
Through its Rural Environmental Assistance Pro- (the Sedimentation Control Act) that would . auth-
gram (REAP) this agency, also in the Department of orize the Administrator of EPA to "promulgate
Agriculture, assists farmers to install soil conservation guidelines for the effective control .of sedimentation
from land-disturbiryg activities, including clearing,
'Channelization is discussed in more detail in Chapter 2. 2" Letter February @, 1972, from EPA Administrator to the
"'The Rural Development Act of 1972, P.L. 92-419, Speaker of the House and the Piesideni of the Senate,
August 30, 1972, 86 Stat. 657. submitting a draft of the proposed legislation.

185

Gernant, R. E., 1970, Paleoecology of the Choptank Formation (Miocene)
of Maryland and Virginia: Baltimore, Md., Maryland Geological
Survey, Report of Investigations No. 12, p. 64-77.

Gernant R. E. , T. G. Gibson, and IF . C. Whitmore, Jr., 1971
Environmental History of the Maryland Miocene: Raltirmore, Md.,
Maryland Geological Survey Guidebook No. 3, 0. 49-58.

Glaser, J. D., 1960, Petrology and Origin of Potomac and Magothy

(Cretaceous) Sediments, Middle Atlantic Coastal Plain: Balti-
more, Md.: Maryland Geological Survey, Report of sti-
gations, No. 11, p. 43-49.

Glaser, J. D., 1976, Geological Map of Anne Arundel County: Baltimore,
Md., Maryland Geological Survey.

Gumbel, E. J., 1958, Statistics of Extremes: New York: Columbia
University Press.

Hicks, S.D., 1964, Tidal Wave Characteristics of Chesapeake Bay:
Chesapeake Science, Vol. 5, No. 3, op. 103-113.
Kendall, M. G., 1975,Multivariate Analysis: New York, Hafner Press.

Lachenbruch, P. A., 1975, qDiscriminant Analysis: New York, Hafner
Press.

McNeil, D. R., 1977, Interactive Data Analysis: New York, John Wiley
and Sons Inc.

Maryland Coastal Zone Management Program, 1975, Historical Shorelines
and Erosion Rates: Annapolis, Md., Maryland department of
Natural Resources, 4 vols.

Maryland Coastal Zone Management Program, 1977, Maryland Major Facili-
ties Study, vol 4: Environmental Assessment Handbook: Annapolis,
Md., Department of Natural Resources, 264 pp.
Maryland Geological Survey, 1902-1979, County Geological Maps (scale
1:62,500), includes maps of Calvert (1902), St. Mary's 1902),
Kent (1915), Queen Anne's (1915), Talbot (1916), Harford (1968),
Anne Arundel (1976), Baltimore (1976), Wicomico (1979): Balti-
more, Maryland.
Neter, J., and W. Wasserman, 1974, Applied Linear Statistical Models:
Homewood, Illinois, Richard D. irwin, Inc.
Nie, N. H., C. H. Hull, J. G. Jenkins, K. Steinbrenner, and D.H.
3ent,1975, Statistical Package for the Social Sciences (SPSS):
New York, McGraw-Hill , Inc.

8-2

Owens, J.P. and C.S. Denny, 1979, Upper Cenozoic Deposits of the
Central Delmarya Peninsula, Maryland and Delaware: Washington,
D.C., U.S. Geological Survey Professional Paner 1067-A p. Al-
A27
Palmer, Harold D. ,1973 Shoreline Erosion in Upper Chesapeake Bay:
the Role of Groundwater: Shore and Beach, October 1973, vol .41
No. 2,p.1-5
Phillips, R.C. ,1980 planting Guidlines for Seagrasses: Ft.
Belvoir, Virginia, U.S. Army Corps of Engineers, Coastal Engi-
neering Research Center, Coastal Engineering Techinal Aid No.
80-2
Pilkey, Orrin H., Jr, William j. Neal, and Orrin H. Pilkey Sr. 1978
From Currituck to Calabash: Living with Norht Carolina's Barrier
Islands: Research Triangle Park, North Carolina, North Carolina
Science and Technology Research Center Press, 223 pp.
Ryan, Thomas A., Jr., Brian L; Joiner, and Barbara F. Ryan, 1981,
Minitah Reference Manual; University Park, Pa., The Pennsylvannia
University Press.
St. Denis M., 1969 On Wind Generated Waves; Generation in Restricted
Waters of Shallow Depth, in: Bretschneider, C.L., ed., 1969
Topics in Ocean Engineering; Houston, Texas, Texas Gulf Publishing\
co.
Saville, T., 1958, Wave Runup on Composite Slones, in: Proceedings of
Sixth Conference on Coastal Engineering.
Singewald, J.T., and T. and 4. Slaughter, 1949 Shore Erosion in Tide-
water Maryland: Baltimore, Md., Maryland Department of Geology,
Mines, and Water Resources, Bulletin No. 5, 141 pp.
Tzou, K.T. S., 1972, Meteorological and Hydrological investigations,
in: Clarke, Wiliam D., harold D. Palmer, and Lawrence C.
Murdock, eds.m Chester River Study: Annanopolis, Md., Maryland
Department of Natural Resourdes, Chapter 6.
U.S. Army Corps of Engineers, 1973 Shore Protection Manual: Washing-
ton, D.C., U.S. Government Printing office, 3 vols.
U.S. Army Corps of Engineers, 1977, Chesapeake Bay Future Conditions
Report, Vol. 8, Navigation Flood Control and Shoreline Erosion
Baltimore, Md. , U.S. Army Corps Baltimore Districts.
Vokes, H.E., 1957 Geography and Geology of Maryland; Baltimore, Md.,
Maryland Department of Geology, lines and Water Resources,
Bulletin No. 9, p. 36-45

3-3

Walker, Patrick 4.,1970, Water in Maryland: A Review of the Free
State's Liquid Assets: Baltimore, Md., Maryland Geological
Survey Educational Series No.2, 52 pp.

Walton, T.L., and R.G. Dean, 1973 Application of Littoral Drift
Roses to Coastal Engineering Problems, in : Proceedings,
Conference on Engineering Dynamics in the Surf Zone, Sydney,
Australia, p. 221-227

Wilson, R.S., 1957 Hurricane Wave Statistics for the Gulf of Mexico:
Ft. Belvoir, Va., U.S. Army Corps of Engineers, Coastal Engineer-
ing Research Center, Technical Memorandum No. 98

Wilson. B.S., 1965 Numerical Prediction of Ocean Waves in the North
Atlantic for December, 1959: Deutsche Zeithshrift, vol. 18, No.3.

8-4

APPENDIX A

Shoreline Sediments Along the Chesapeake Bay in Maryland

Robert Biggs, Robert Dean

Hsiang Wang and Robert Dalrymole

The table on the next page describes the nature of the geoloqical
formations which are found along the Chesapeake Bay shoreline in

Maryland. These sediments are part of the Atlantic Coastal Plain and

are as old as the early Cretaceous Period (approx. 70 million years

before present). The formations are largelv horizontal sedimentary

beds of sand, silt, and clay. Recent alluvial and marsh deosits also

occur in certain environments. The formations are essentially hori-

zontal in outcrop and intersect the shoreline in a variety of terrains

which range from the high cliffs of Calvert County to the marshy low-

lands of the southeast.

The major source of information for many if the geologic de-

scriptions in the table is the Geological of Anne Arrudel Countv

Glaser, l976), and the Geologic Map of Maryland (Cleaves, et al.,

1968). Modifications and additions are from Geograqraphy and Geology of
Maryland (Vokes, 1957), and Glaser's (1960) study of the Magothy and

Potomac Gp. sediments, the most recent intensive study of anv of the

formations in the county. The most recent manpping of the county was

done by Glaser (1976) using a standard scale of 1:52,500. Overall,

this map can he considered verv accurate and the modern standard For

description of these sediments.

The major source of information for the description of the Talbot,

Formation is the Geologic Map of Baltimore County and City (Crowley,
A-1

et al., 1976 ). Modifications are from Vokes (1957). Mapping is of

standard scale of 1:62,500.

The source of description of the combined Potomac Gp. sediments

is the Geologic Map of Harford County (Owens, 1963) in standard

1:62,500 scale. Sources of geologic description for the lower western

shore include the Geologic Man of St. Marys County (Clark, 1902),

scale 1:52,500, the Geologic Map of Calvert County (Clark, 1902); and

Environmental History of Maryland Miocene (Gernant, et al., 1971).

Sources of geologic information on Kent, Queen Annes, and Talhot

County are the maps of the three corunties (Clark, 1915, 1916). These

are all standard 1:62,900 scale.

Owens and Dennv (1979) have recently completed a new interpre-

tation of the stratigraphy in some areas of the Delmarva Peninsula and

have reclassified those sediments. The descriptions used in the table

reflect their work. This involves renaming the Talbot, Pamlico and

Princpss Anne lowland deposits as the Kent Island Formation. Other

sources of information on the geology of the lower eastern shore

include the Geologic Plan of Wicomico County (Owens and Denny, 1979)

and a map, in U.S.G.S. Professional Paper #1067-A, of scale

1:1,267,200 (Owens and Denny, 1979).

Next Pages: Table A.I. Shoreline sediments along the Chesapeake Bay
in Maryland.

A-2

Table A.1

Shoreline Sediments Along the Chesapeake Bay in Maryland

Artificial Fill - Sand, gravel and clay. Construction debris and
dredge spoil also common. In most countries this material is used

as nourishment at beach sites and inlets and as foundation in
nearshore construcion projects and landfills. Extensive areas of
the City of Baltimore are comporised of this material.
Tidal Marsh - Silty clay to fine sand with woody debris and organic
matter abundant. Most abundant in Dorchester, Wicomico, and
Somerset counties.

Alluvium - Interhedded sand, salt-clay and gravel. Reach denosits are
well sorted, fine-to-medium grained sands. Marsh deposits are
dark, organic-rich mud. Present in all counties excent
Dorchester, Wicomico, and Somerset. In Baltimore County, the
natural distribution of alluvium has been heavily modified hy
artificial fill oDerations.

Talbot Fm. - Interhedded muddy sand, salt, and clay; lower nortions
are typically pebbly sand or gravel. In all counties excent
Cecil, Dorchester, Wicomico and Somerset. This formation
typically underlies low flat areas bordering the Ray and shores
of the larger estuaries.

Parsonher Sand Fm. - Mostly moderately sorted, medium-to-coarse
grained loose, vellow sand. Found only sparingly in the
coastal areas of Wicomico County.

Kent Island Fm. - Sand interstratified with thin beds of dark gray
salt or salty fine-rained sand. Gravelly sands common at
hase. Found along the shoreline in portions of Dorchester,
Wicomico, and Somerset Counties.

Lowland Deposits - Gravel, sand, silt, and clay, with cohbles and
houlders near the base. Also contains reworked glauconitic
sands. Found princinally in Cecil County.

Terrace Deposits Medium-to-coarse grained pebbly sand, with suh-
ordinate mud. Found in minor amotints along the shoreline in
Anne Arundel County.

Wiomico Fm. - Loam, clay, sand, gravel and houlders. Found between
90 and 200 feet elevation along the shoreline in Calvert and
St. Mary's Counties.

Upland Deposits-Typically cross-bedded, poorly-sorted, medium-to-
coarse grained sand and gravel, with boulders near base and
subordinate silts and clays. Found in Cecil County.

A-3

Table A.I

Shoreline Sediments Along the Chesapeake Bay in Maryland

St. Mary's Fm. Bluish clay, sand clay and marl. Sand tends to be
fine-grained. Found along Calvert and St. Mary's county shore-
lines.

Choptank Fri. - Yellow sandy clay and marl. Found along Calvert and
St. Mary's County shorelines.

Calvert Fri. - Fine-grained sand, silt and diatomaceous silt. Basal
beds (Fairhaven Member) contain much poorly-sorted medium sand
overlain by highly diatomaceous silt. Found along Anne Arundel,
Calvert, St. Mary's, and Queen Anne's Count'y shorelines.

Manjemov Fm. - Fine-to-medium grained, poorly-sorted clayey sand with
subordinate silt and silty clay. Found along Anne Arundel County
shoreline.

Aquia Fm. - Well-sorted, medium-grained, clean-to-moderately clavev,
glauconitic sand. Cemented in places, but typically soft and
friable. Found along Anne Arundel County shoreline.

Monmouth Fm. - Fine-grained, variably glauconitic sand and micaceous,
clayey silt. Found along Anne Arundel & Kent County shorelines.

Matawan Fm. - Dark gray, micaceous, and glauconitic, Fine-grained sand
and silt. Found along Cecil and Kent County shorelines.

Magothy Fm. - Fine-to-coarse grained sand interstratified with silt-
clay and subordinate pebbly sand or gravel. Found along Anne
Arundel and Cecil County shorelines.

Potomac Gp - Found along Anne Arundel, Baltimore, Harford, and Cecil
County shorelines.

Sand-Gravel Facies - Interbedded quartz sand, pebbly sand, gravel
and subordinate mud.

Silt-Clay Facies - Clay, silt and subordinate fine-to-medium
grained, muddy sand. Generally massive, compact and "tough"
in nature.

Raritan Fm. - Interbedded sand, sandy clay, and clay. The sands are
at times indurated. Found along Kent County shoreline.

TABLE 5-14. - Selected basic information for Federal and federally assisted reservoirs having Federal recreation facilities
1972'

Estimated Federal Rec- Estimated
Water and reation Expenditures Federal Rec-
Associated Estimated Capital Maintenance recreation Fee
Agency Reservoirs Land Areas Visitation Improvements & Operations Collections
(number) (thousand (thousand (thousand (thousand S) (thousand $)
acres) years)

1. Corps of Engineers 390 10,977 330 '0002 7,600 15,000 400
2. Bureau of Reclamation 245 5,889 56 '0002 3,000 5,550 250
3. Tennessee Valley Authority 40 852 16,600 2,357 1,991 127
4. Forest Service 15 13 -814 4 28,800' 1,885 7,439 1,589
5. National Park Service 12 6 3,508 13,306 10,032 7,145 261
6. Bureau of Sport Fisheries
and Wildlife 537 2,457 11,000 1,038 1,358 1068
7. Soil Conservation Service 1119 64 6,225 23,000' 0 None' None''
8. International Boundary and
Water Commission, United
States and Mexico 212

'Data are only indicative due to lack of comparability and overlap in estimation.
2Includes visits at areas managed and reported by other Federal agencies at Corps and Reclamation projects.
'Includes Federal and other public impoundments at which Forest Service manages recreation areas. Remaining data for Forest Service apply only to Forest Service facilities. The
Forest Service administers portions or all recreation at 29 Corps, 26 Reclamation and 96 other public or publicly assisted reservoirs.
"Includes only water area of public impoundments. To include all national forest land surrounding such impoundments would add millions of acres.
I Estimated by doubling visitor days to approximate visits.
'Includes I I Reclamation reservoirs and one reservoir of the International Boundary Commission.
'Includes portions of 14 Corps, 17 Reclamation, and two TVA reservoirs.
'For 1971.
"There are 6,350 federally assisted reservoirs under the SCS small watershed program, but only 111 have Federal recreation cost-sharing. In addition, 186 have been authorized, but
not constructed, with recreation to be included.
"Includes recreation component of structures.
Recreation improvements and fees handled wholly by local public sponsors.
Data for one included in National Park Service estimates. Recreation on the other is handled by State of Texas and thus omitted.

pay one-half the separable costs allocated to recrea- Otherwise, Congress has provided only for a user
tion, and all the maintenance, operation and replace- fee system applicable to all Federal agencies
ment recreation costs for projects authorized after providing specialized recreation sites, facilities, or
July 9, 1965; (2) lacking such agreement at the time services. Each agency, however, prescribes its own
of authorization, the Federal agency can build and rules and regulations. This leaves uncoordinated the
finance only minimum recreation facilities for health designation of areas and length of charge season.
and safety, plus acquire potential recreation land and Agencies are directed in the Act to consider several
hold it for 10 years pending negotiation of the criteria in establishing fees: (1) direct and indirect
required cost-sharing agreement; (3) at the end of 10 cost to the government; (2) benefits to the recipient;
years and still lacking such agreement, the acquired (3) the public policy or interest served; (4) the
land must be disposed of. In addition, Section 7, comparable recreation fees charged by non-Federal
which applies to Reclamation, and an administrative public agencies; (5) the economic and administrative
agreement between the Army and OMB applicable to feasibility of fee collection; and (6) other pertinent
the Corps, prevent or limit upgrading or new facilities factors. Relation of fees to operation and main-
at projects authorized or constructed prior to the tenance (O&M) costs is omitted, as is comparability
Federal Water Project Recreation Act. with private fees for comparable facilities. The latter
Of 101 Corps projects authorized since enactment was rejected on the grounds that it would enable
of the Act, only three have cost-sharing agreements. private commercial recreation operators to control
In 1970, Reclamation had 15 agreements. TVA is the Federal fee structure.
exempt. In 1972, user charges collected for the use of
special services at Federal reservoirs averaged only
User Charges: Admission. and user fees have been in about 7 percent of the O&M costs charged to
effect in varying degree at numerous Federal recrea- recreation, summarized below from Table 5-14.
tion areas at Federal reservoirs since the Land and
Water Conservation Fund first took effect in User Operation &
234
1965. The fee system under the Fund Act has not Agency Fees Maintenance
worked well. Collections have underrun projections; (thousand $) (thousand $)
there has been little consistency between agencies,
especially in designating areas and length of charge Corps of Engineers 400 15,000
season; the honor system has failed; there has been no Forest Service 1,589 7,439
central coordinating authority; collection costs per Reclamation 250 5,550
dollar of receipts have varied greatly between agencies Bureau Sport-Fisheries
from minimal to equaling or exceeding receipts. & Wildlife 106 1,358
Moreover, willingness to try to make a fee system National Park Service 261 7,145
work has varied by agency, and local public opposi- Tennessee Valley
tion to Federal recreation fees has varied .235 Authority 127 1,991
In general, the fee system since 1965 can be classed Soil Conservation
as a failure and disappointment. Congress has Service 0 0
responded by amending the Fund Act several times, Total 2,733 38,483
the most recent being P.L. 92-347 of July 11,
236
1972. Under this Act, admission fees are charged There are numerous reasons for the inability of
only at designated units of the national park system agencies to collect a larger percentage of O&M costs,
and national recreation areas administered by the including relatively few areas designated for fee
Forest Service, the theory being that admission fees collection, shortness of season, and the cost of
are practical in these instances because of limited collecting fees at a large number of access ports. The
access and only a few entrance points. figures suggest that the agencies' estimates of visitor
'The National Park Service has charged entrance fees for days of use of recreation facilities must be vastly
selected units of the national park system for many years. overstated, or it would be pos'sible to collect a larger
235U.S. DEPARTMENT OF THE INTERIOR (1971). Fe- percentage of the costs.
deral Recreation Fees. Volume 11. A report to the
Congress by the Secretary of the Interior. 121 pp., illus. Financing Recreational Development: Funds for
2 3 6Act ofJuly 11, 1972 86 Stat. 459, 16 USCA 4601-6a. recreational development of Federal reservoirs seem

194

generally to be inadequate to develop the full SCS small watershed program, national recreation
potential. Low priority attaches to recreation within areas, national forests, and Federal lands classified for
the construction agencies themselves, the Office of retention in Federal ownership are exempted. The
Management and Budget (OMB) and, to a lesser philosophy behind the provisions is to require both
extent, the Congress. At top levels within the local administration and cost-sharing by local public
agencies, requests for funds for recreation rather than bodies for recreational facilities considered local in
for other programs are often cut to bring total agency character.
budget requests within prescribed ceilings. Reluctance of State and local bodies to share in
Requests often are cut again at the OMB level. Federal reservoir recreation costs is due to Federal
OMB seems to take the general position that the agency control, shortage of local financial resources
Corps, Reclamation, and TVA are not recreation for recreation purposes, distortion of local recrea-
resource management agencies, and consequently tional programs which can be caused by financing
believes that as much recreation as possible at their such major projects as those of the Corps, reluctance
reservoirs should be handled by non-Federal public of local bodies to finance recreation for use by people
bodies, private concessionaires, or recognized Federal outside their respective taxing jurisdictions, a desire
recreation resource management agencies such as the to have projects taken over by exempted Federal
Forest Service and National Park Service. agencies such as the Forest Service, unwillingness to
The Corps has the greatest need for additional spend local money on Federal land that must remain
funds for recreation development, assuming 100 new in Federal ownership, and, of course, to the fact that
reservoirs will be added to its system within the next Federal reservoirs are not always prime recreational
10 years. Presently, 390 are operative and 598 arc assets. Many local agencies also know that a major
authorized. All come under the Federal Water Project attraction of the Federal reservoirs is the fishing
Recreation Act by law or administrative inter- potential, which is usually extremely good
pretation. The following tabulation shows 1970 immediately after the reservoir is first filled because
Corps expenditures for recreation, contrasted to the of the large amount of nutrient provided by decaying
average annual expenditures estimated by some recre- vegetation covered by the water. Often, after a period
ation experts as needed to adequately provide for of years the fishing potential drops rather drama-
recreation over the next 10 years assuming develop- tically and if a new reservoir is built in the vicinity
ment at all reservoirs: many of the fishermen will transfer their activities to
the new site.
Average
1970 Annual Needs Deficiencies in Administration: The construction
Item Expenditure Next 10 Years agencies basically are just that -cons truc tion-oric nted.
(million $) (million $) There are a few competent and dedicated resource or
Construction 21.0 50.0 recreation -management personnel, but they have little
Postconstruction influence on policy and do not occupy the top
development at exist- positions. Fundamentally, these construction agencies
ing reservoirs 6.5 100.0 are managers of neither people nor resources, both of
Operation and which are essential ingredients of successful recrea-
Maintenance 13.2 50.0 tion administration.
Within the Corps, for example, several basic
Total 40.7 200.0 management problems are apparent, including in-
I adequate recreation planning and inadequate co-
Reclamation is estimated to need a fivefold ordination between construction and land acquisi-
increase in capital improvement expenditures, a six- tion; lax adrruinistration of existing facilities; in-
fold increase in operation and maintenance expen- adequate facilities, lack of interpretive facilities, and
'2 3 1
ditures, and about $20 million for additional land lax enforcement of regulations.
acquisition.
Cost-sharing for Recreation: The cost-sharing pro- 117CRAFTS, Edward C (1970). How to Meet Public
Recreation Needs at Corps of Engineers Reservoirs,
visions of the Federal Water Project Recreation Act prepared for Corps of Engineers contract DACW
affect only the Corps and Reclamation. TVA, the 73-70-C-0038. The Corps, Washington, D.C.

195

Land Management Agencies budgeting for recreation receives high priority; (4)
The three main I and management agencies involved legislative authorities are generally adequate; (5)
in recreation management at Federal reservoirs- cost-sharing requirements are less troublesome
namely, the Forest Service, Bureau of Sport Fisheries because they enjoy congressional recognition of being
and Wildlife, and National Park Service-become 14 national" in purpose; (6) recreation funding
involved because some reservoirs occur wholly or generally is more adequate; and (7) the land agencies
partly within lands under their administration, and have a more receptive philosophy on recreation fees
they are requested to assume recreation and apply them more successfully.
responsibilities by the reservoir agencies under The Soil Conservation Service (SCS) merits brief
standing memoranda of agreement, or they are special mention. Basically, it is a land conservation
assigned such responsibilities by Congress if lands agency; but in connection with the P.L. 566
surrounding a reservoir are declared to be a national program 238 it is also a reservoir construction agency.
recreation area. The Forest Service is the most deeply There are 1,067 SCS projects containing 6,350
involved in terms of number of reservoirs, water area ' reservoirs, averaging 10 acres of water surface and 27
visitations, maintenance and operation, and fee acres of land and water each.
collections (Table 5-14). The National Park Service P.L. 566 reservoirs are not included generally in
exceeds in terms of recent capital improvements. the term "Federal Reservoirs," They occupy a special
The following summarizes the number of construc- category of "Federally Assisted Reservoirs," even
tion agency reservoirs adrninistered in whole or in though Federal dollars may pay all construction costs
part by the land agencies: allocated to flood prevention. Projects must be
sponsored by a local public body, usually a conserva-
tion district which obtains title or easement to the
Administering Construction Agency land, owns the structure, and operates the project.
Agency Not more than 50 percent of the costs of dam
construction, basic facilities, or land rights allocated
Bureau Inter- to public recreation can be federally borne. If there is
of Tenn. national Federal assistance for recreation facilities, public
Corps of Recla- Valley Boundary access must be provided. 13 9 All recreation O&M
Engineers mation Auth. Comm. costs and fees, if any, are. handled by the local
Forest Service 29 26 sponsor.
National Despite the small size of the SCS reservoirs, this
Park Service 1 10 reservoir system holds substantial public recreation
Bureau of Sport potential. Only 111 or about 2 percent of the 6,3 50
Fisheries & P.L. 566 reservoirs have received Federal recreation
Wildlife 14 17 2 - funds. One difficulty is that private landowners, who
may have given the local sponsors an easement for the
Total 44 53 2 1 reservoir, may not want the public crossing their land;

In addition, the Forest Service administers recrea- 231 P.L. 566, August 4. 1954, 83d Congress, 68 Stat. 666, as
tion at 87 State and local, eight SCS, one Bureau of amended, 16 USCA 1001-1008.
Indian Affairs, and a number of small private reser- 2 39U@S. SOIL CONSERVATION SERVICE (January 1972).
voirs in the national forests. About 15 percent of Multiple-Purpose Watershed Projects Under Public Law
total national forest recreation use is reservoir- 566. PA-575. U.S. Government Printing Office, Washing-
oriented; about 50 percent is water-oriented. ton, D.C,
NATIONAL ASSOCIATION OF SOIL AND WATER
Recreation reservoir problems of land agencies are CONSERVATION DISTRICTS, now the National Asso-
minor compared to those of the construction agencies ciation of Conservation Districts (undated). Accelerating
because: (1) recreation is recognized as a primary America's Watershed Program. National Association of
high-priority function of the land agencies, not only Soil and Water Conservation Districts, Washington, D.C.
by the agencies themselves, but also by OMB and U.S. SOIL CONSERVATION SERVICE (April 7,
1972). Public Access at Reservoir Sites in PL-566, Flood
Congress - (2) the land agencies are better staffed with Prevention, and RC&D Projects. Watersheds MEMORAN-
recreation resource professionals, some of whom DUM-119; Resource Conservation & Development
occupy key policy positions in the agencies; (3) Memorandum-10.

196

such permission is a necessary prerequisite to It seems plausible to start with the premise that the
obtaining Federal assistance in recreation. recreational potential of the various Federal reservoirs
House Report 92-5 86 of October 12, 197 1, by the is not equal. Some reservoirs are unsuited for recrea-
Government Operations Committee, dealing with tion because of large drawdowns, poor accessibility,
public access to reservoirs to meet growing recreation lack of local demand, and unfavorable topographic
needs concluded: (a) thousands of reservoir lakes in situations at the reservoir site. Some reservoirs are
upper watershed projects financed by the SC 'S have located in areas where water recreational
substantial recreational potential; (b) the SCS has opportunities are scarce, others are located where
failed to provide land rights to insure public recrea- such opportunities are abundant. One reason for lack
tion access, discourages public recreational use of of response of local entities to the cost-sharing
such reservoir lakes, and thus is in violation of the opportunities of Federal reservoirs is undoubtedly the
national outdoor recreation policy of P.L. 88-29; (c) fact that they have more attractive recreational
P.L. 566, as amended, provides adequate authority to opportunities to develop with their money. What is
require sponsoring local organizations to provide clearly needed is a rational basis for decision as to
public access at reservoir lakes financed by SCS which which reservoirs offer important recreational
have ... recreational values; and (d) SCS has failed to potentials which should be captured.
apply its nondiscrimination regulations to reCrCa- A further clear difficulty in the planning and
tional developments added by private land developers management of recreational facilities at Federal
at SCS reservoir takes."' reservoirs is the lack of adequately qualified recrea-
tional personnel in the offices of the construction
Islands for Recreation agencies.
One glaring omission in water-based recreation The development of , recreational potential of
legislation is lack of authorization to recognize Federal reservoirs could probably be considerably
unique recreation and environmental values offered enhanced if each construction agency would develop
by the Nation's islands. There are 20,700 coastal and a well informed and adequate staff, perhaps located
inland islands 10 acres or larger covering 7.7 million at a central office, but available to all field offices for
acres within the 48 contiguous States and the outer planning in connection with those reservoirs
islands of Hawaii, Puerto Rico, and the Virgin Islands, considered to be important recreational possibilities.
excluding the three New York islands (Manhattan, It would be the function of this staff to decide which
Staten, and Long). In addition, Alaska alone has reservoirs are of high potential, what land acquisition
5,700 more islands covering 21.1 million acres. 241 is required at these reservoirs, what facilities are
needed, and what management capability is necessary
DISCUSSION to achieve the benefits of the reservoir.
Under restrictive land acquistion and generous
The background on recreation at Federal water public land disposal policies of the past, adequate
projects poses a number of difficult questions. land for public recreation access or development is
Among these are questions such as: "Why have local frequently unavailable except when reservoirs are
interests not participated in the cost-sharing located within Federal land reservations. The Federal
opportunities under Public Law 88-297 "What is Water Project Recreation Act also includes certain
needed to make user fee collections more nearly land acquisition restrictions.
equivalent to operation and maintenance costs of the Under Executive Order No. 11508, the General
recreational facilities?" "How can one decide which Services Administration is surveying all Federal real
Federal reservoirs should be developed for recrea- estate and reporting as excess, property itjudges to
tional purposes?" be underutilized or unutilized .2 42 Lan ds of the
240U.S. CONGRESS, House, Committee on Government National Park Service, Forest Service, and Bureau of
Operations (1971). Public Access to Reservoirs to Meet Land Management are exempt. This Executive Order
Growing Recreation Demands, House Report No. 92-586, could well be amended to exclude potential recrea-
92d Congress, Ist Session. U.S. Government Printing tion development or access sites bordering Federal
Office, Washington, D.C. reservoirs based on careful studies by the recreation
CRAFTS, EC (December 1970). Islands in time. Ameri-
can Forests 76(12):15-19, 54-58; U.S. BUREAU OF 14 2 Providing for the identification of unneeded Federal real
OUTDOOR RECREATION (1970). Islands of America, property. Federal Register 35(30):2855. February 12,
95 pp. illus. 1970.

197

planners indicating those lands which are of high facilities so that there is manpower to collect the fees
potential for recreation. at least during those periods of the year when the use
The whole problem of recreation at the Federal is high enough to warrant the effort. Finally, of
reservoirs is further confounded by inadequacies of course, a reasonable and equitable scale of fees needs
data. Federal agencies claim a total annual visitation to be established for each facility. Use of launching
of over 400 million, which represents on the average ramps, picnic areas, and campgrounds should
two visits for every citizen in the United States each certainly be susceptible to fee collection. Where
year. If the number were accurate and a user charge marinas are provided, rental rates for marina mooring
could be collected for every visit, a charge of 10 should be adequate to cover the costs incurred in
cents per visitor would cover the present operation providing the mooring. There are a relatively large
and maintenance cost for recreation facilities at all number of private recreational enterprises in the
Federal reservoirs. Obviously, the figure must be in United States which apparently are able to make a
error but the reasons for this are unknown. It is financial success of their operation on the basis of
probably the compounding of estimates from a large user fees, and the statistics on reservoir-based recrea-
number of sources that leads to this extraordinarily tion suggest that operation and maintenance expenses
high number. can at least be recovered by appropriate fees at
This compounding of error in the estimates of Federal projects. Here again, however, the construc-
recreational use has another impact on Federal tion agencies need adequate staff for proper planning
reservoirs in the planning phase. It seems entirely of the recreational facilities and sufficient funding to
possible that the estimates for Federal reservoir provide the necessary staff for maintenance and
recreational use made during the planning stages are regulation of facility use and collection of user fees.
excessive except possibly for the most attractive Thus, some initial pump priming may be necessary by
reservoirs. This leads to excessive expectations of the Congress in order to get the recreational program
recreational use on many resmoirs and leads to the off dead center.
conclusion that lack of interest in some Federal
reservoirs is the result of some fault in the system,
whereas in fact it may simply be a result of CONCLUSIONS
overexpectations. Clearly, it is necessary that a Outdoor recreation in general and water-based
program of adequate data collection be instituted so recreation in particular have become major national
that the number of visitations at existing reservoirs is economic and social activities. Water is an important
accurately known, and the nature of the visitation is outdoor recreation 'resource and is the focal point of
adequately defined. It is important to know whether half or more of all outdoor recreation. Recreation is
a visitor is merely driving past a reservoir because it becoming a progessively more important service
happens to be on the route which he is following to which water provides for people. Although some
some other destination, whether the visitors are, from Federal reservoirs are even more intensively used by
local sources coming for a few hours for picnicking and recreationists on peak user days than many national
fishing, or whether the visitors are campers planning parks, t he 56,000 miles of shoreline in Federal
to stay for several days or more. It would appear reservoirs possess substantial undeveloped recreation
appropriate to suggest that the Bureau of Outdoor potential which should be developed for public
Recreation be instructed to develop procedures to recreation use.
provide adequate and consistent data on recreational Some Federal impoundments are overused and
use of Federal reservoirs and that these procedures be others underdeveloped with respec t to water-based
employed by all Federal agencies. recreation. Some are either close to population
Even though estimates of visitation of Federal center's or in and areas where natural water resources
reservoirs may be high, there seems I -ittle reason to are scarce. Not all Federal reservoirs, however, are
believe that it would not be possible to collect user ideal recreational sites because of topography,
fees sufficient to meet O&M expenses and quite location, drawdowns, and other problems. What is
possibly to cover some of the capital investment costs urgently needed is a careful assessment of existing
of recreation facilities. What appears to be needed is and proposed reservoirs to identify those which are
careful planning of recreational facilities and access prime recreational sites and a program of achieving
roads so that the collection can be achieved the necessary recreational development at these prime
efficiently, and adequate staffing of the recreational sites.

198

Congress, especially during the last decade, has 5-37. Recreation admission and user fees should be
declared a national policy and enacted a strong charged at all Federal reservoirs where
legislative base for outdoor recreation, about half of revenues can be expected to exceed the costs
which is water-oriented. In addition, through of collection. In addition to implementing the
numerous acts, Congress has directed special atten- criteria already enacted into law with respect
tion to recreation at Federal and federally assisted to admission and recreation use fees, charges
reservoirs. The Corrunission endorses the present should be related to fees charged for nearby
policies of Federal outdoor recreation investment in comparable private facilities and to that por-
projects related to reservoirs and other water bodies. tion of operation and maintenance costs
The Secretary of the Interior should utilize to the attributable to the specialized facility for
fullest his authorities in P.L. 88-29 to provide which a user fee is assessed with the objective
technical assistance to the private sector, particularly of having the amount collected from fees
in developing water-based recreation facilities. equal the O&M cost for that particular facil-
The problems of the Federal agencies concerned ity.
with the development of recreation at Federal 5-38. The Bureau of Outdoor Recreation should
reservoirs appear to result largely from inadequate devise a system of data collection which will
staff with the proper expertise to develop good provide accurate information on visitation at
recreational plans at existing or proposed reservoirs. existing reservoirs and on the nature and
This shortage is made worse because efforts are purpose of these visits. The system should be
dispersed over all reservoirs rather than over those used by all agencies managing recreation
reservoirs which show the highest recreation poten- facilities at reservoirs and should be designed
tial. Finally, there is inadequate staff on site for to provide a base which can be useful in
management of the facilities, collection of user fees, estimating recreation requirements and
and other necessary on-site functions. benefits of future reservoirs.
5-39. In evaluating the recreational benefits of
proposed reservoirs full consideration should
be given to the recreational opportunities in
RECOMMENDATIONS free-stream fishing, white water boating, and
other benefits foregone if the reservoir is
5-34. Each construction agency should develop a constructed. The Nation should match its
central staff with the necessary expertise in program of reservoir construction with a
recreation planning. This staff should be program of stream protection for the purpose
responsible for deciding which Federal of obtaining an effective mix of water-based
reservoirs have important recreational poten- recreational opportunity.
tial deserving of development and should 5-40. Those agencies responsible for the administra-
provide the plans necessary for effective tion of recreational facilities at existing
development and management of these sites. Federal reservoirs should make a careful study
5-35. For those reservoirs considered to be prime of the financing required to place these
recreational sites the construction agencies facilities in proper condition, and to staff the
should procure the necessary recreational project with the people necessary to properly
lands as part of the overall land acquisition manage, maintain, and collect user fees at
program. - these sites.
5-36. Executive Order No. 11508 should be 541. A national policy to protect and manage
- amended to exclude from declaration as islands or portions thereof which possess
excess, lands at Federal reservoirs which have unique environmental and recreational values
potential for recreation development or access should be developed. Legislation should be
sites within 20 years. Construction agencies enacted to create a national system of Federal
should be authorized and funds provided and State islands to supplement other
them not only to retain such land as now national and State conservation systems of
owned, but also to acquire additional land as parks, forests, recreation areas, wild and
needed if such land meets the criterion of scenic rivers, trails, seashores, lakeshores, and
potential value for recreation within a 20-year wilderness areas. Financing of such a system
period. Such lands should be classified for should be authorized under the Land and
retention in Federal ownership. Water Conservation Fund Act.

199

Section J
Improving Federal Water Programs from the Standpoint
of Fish and Wildlife

There is widespread public awareness of the that unreasonable or unnecessary damage from
importance of fish and wildlife values, and the vital careless assessment or reckless disregard be avoided.
role which fresh and marine waters play in providing DISCUSSION
habitat and sustaining desired levels of wildlife
populations. Developments which cause water quality Federal legislation requires that fish and wildlife
to deteriorate or which drain, dredge, or otherwise values must be considered in advance of any water
alter habitat and feeding and spawning areas have project construction licensed or funded by the
resulted in substantial damage to the Nation's fish Federal Government. The Fish and Wildlife Coordina-
and wildlife resources. tion Act now requires that fish and wildlife receive
In years past, water development projects and "equal consideration" with other project purposes,
water-related activities, on both State and Federal provides for enhancing these values where possible,
levels, often went forward with little regard for the and authorizes compensatory wildlife features where
damage caused to fish and wildlife resources. some damage is inevitable. 244
Thousands of miles of natural stream channels were Most Federal agencies with water project
relocated or altered; some streams were dried up; responsibilities are covered by the Coordination Act
estuaries and marshes suffered from drainage and (the Tennessee Valley Authority is specifically
landfill operations; and estuarine habitat essential for exempted). Moreover, all Federal agencies and
shellfish and other species was destroyed by dredging licensees of the Government are within the purview
and channel deepening. Water quality deterioration of the National Environmental Policy Act (NEPA)
and water temperature alteration have also adversely which requires that an environmental impact study be
affected fish and wildlife resources in both marine made and a statement filed with the U.S. Council on
and fresh waters. Environmental Quality (CEQ) before projects are
The basic need, in the view of the Commission, is constructed. 145 Since fish and wildlife values are part
to assure that fish and wildlife values receive full of the environmental considerations, they must be
consideration and reasonable protection in all water evaluated in the required impact statement, and
resource activities where potential damage to those alternative proposals must be considered, including
values could occur. There is an important distinction the alternative of not building a project at all.
between the damage already sustained by fish and Since NEPA was enacted only 3 years ago, and
wildlife values, populations, and habitat, and the since some litigation is still pending to seek clarifica-
adequacy of present legislation to prevent further tion of the full range of the Act, it is too early to tell
damages under future projects. In many instances, what the shortcomings, if any, of that Act might be
past damage cannot be repaired; in some instances, with respect to fish and wildlife resources. To the
such as in the improvement of water quality, it extent that the Act might require amendment, that
can. 243 The most important problem, however, is determination can best be made in light of further
one of exarnining Federal and State legislation to judicial interpretation, in the experience of agencies
determine whether there are sufficient statutory in complying with it, and in the evaluation by the
safeguards to assure that future projects affecting body politic of the extent to which the Act achieves
water will not be constructed until there has been a its purposes in ways which are acceptable to society.
fair and adequate consideration of the fish and There are, however, many activities which affect
wildlife resource. The problem is to establish whether waters important to fish and wildlife but which are
or not there is adequate legislation available to insure 'Fish and Wildlife Coordination Act, P.L. 85-624, August
12, 1958, 72 Stat. 563, as amended, 16 USCA 661
et seq.
141See Chapter 4 for the Commission's views on water 2 4 'National Environmental Policy Act of 1969, P.L. 91-190,
pollution control. January 1, 1970, 83 Stat. 852, 42 USCA 4321 et seq.

200

IX,
Vt

_JM*

kl!"

V
wo 1

Ducks find nesting place in Shawnee National Forest, Illinois

beyond the reach of the Coordination Act and NEPA. alteration is controlled through permits issued by the
Among these are non-Federal activities with respect U.S. Army Corps of Engineers, but those permits are
to non-navigable inland waters. Fish and wildlife only required when the waters are navigable in
values are vulnerable, at least from the standpoint of interstate or foreign commerce, and no application
Federal protection, in non-navigable waters to the for the Corps permit need be filed for those activities
extent that water-related activities are conducted by in other inland waters. The channel improvement
those who are not required to obtain Federal licenses work under way in those waters with the assistance of
or permits. As an illustration, dredging and channel the Soil Conservation Service is under attack by

201

environmental interests as a "channel ization planning undertaken under the aegis of the Council.
program that results in major damages to the fish and The Commission does not believe that final plans
wildlife resources. for a Federal water project which do not meet with
Since the States historically have been viewed as the enthusiastic endorsement of fish and wildlife
having regulatory jurisdiction over waters which are interests are necessarily inappropriate or that fish and
not navigable in interstate or foreign commerce, the wildlife purposes have perforce been inadequately
Commission believes that the States should enact taken into account. There will be occasions where
statutes which would provide adequate measures of conflicting views will not be susceptible to
protection to fish and wildlife values. Some States reconciliation, where the position of one interest will
have already accomplished this, but many have not. be irreconcilably at odds with that of another. No
amount of legislation can compel enthusiastic
CONCLUSIONS acceptance of project plans by fish and wildlife
Fish and wildlife values have suffered damage as a interests when they believe such plans to be defective.
result of water-related activities. The present protec- What is required is the mechanism to assure fair and
tions afforded by the Fish and Wildlife Coordination honest consideration of all views and all project
Act and the National Environmental Policy Act seem purposes on a fully participating and coordinated
to be adequate to prevent unreasonable or un- basis. Where disagreements cannot be satisfactorily
necessary damage to these resources under future resolved, the conflicting viewpoints should be trans-
projects constructed or licensed by the Federal mitted to the Congress for resolution at the time the
Government. While there has been some complaint project is being considered for authorization. The
that fish and wildlife interests have not been con- Commission believes that the Water Resources
sidered at the initial stages of water project planning, Council has an important supervisory and coordina-
the Coordination Act requires those values to be tion role to play in this arena. Not only must it insure
considered as part of the planning process. Failure to that fish and wildlife receive proper attention along
treat fish and wildlife on an equal basis with other with other project purposes at the time of project
project purposes is violative of that Act. Moreover, plan formulation, but it can act as a mediator to help
the U.S. Water Resources Council is in a position to resolve opposing views before conflicts are put before
require coordinated planning of fish and wildlife Congress.
interests along with other project purposes in the Much of the controversy over fish and wildlife
river basin planning program conducted under the problems associated with proposed water projects and
Water Resources Planning Act. water-related activities stems from insufficient
The Commission believes that joint participation of knowledge about the prospects for damage from such
fish and wildlife agencies in project planning should projects and activities. Too little is known. Fish and
begin at the initial stages of such planning; fish and wildlife interests are understandably reluctant to
wildlife agencies should not have to react to initial endorse project plans when there is doubt about the
design plans of projects already formulated but rather impact of the proposed project upon fish and wildlife
should sit in on the initial development of those plans values. Where such doubts exist, it is the natural
at the inception of project planning. This is what the inclination of fish and wildlife interests to resolve the
Coordination Act requires and is the direction in uncertainties in favor of opposition to projects. An
which joint planning has been moving. The Co- obvious way to reduce doubts and permit everyone to
ordination Act already provides that fish and wildlife proceed with greater assurance and certainty is to
be made a project purpose and planning objective the gain additional knowledge. This can best be done
same as all other purposes and objectives. The through carefully designed research into the impact
Commission believes that this kind of coordinated of projects and water-related activities upon fish and
planning, with early and active fish and wildlife wildlife values.
agency participation, should be continued and, if Some water-related activities are beyond the
necessary, strengthened. Without passing judgment on coverage of the Fish and Wildlife Coordination Act
the validity of complaints that fish and wildlife have and NEPA, particularly non-Federal projects on
not been considered at the early stages of project non-navigable inland waters. Since the States have
planning, the Commission believes that the Water jurisdiction over these waters, adequate measures to
Resources Council should be able to require that the protect fish and wildlife should be providedby State
intent of the Coordination Act is satisfied in the statutes to fill this void where it is not already filled.

202

RECOMMENDATIONS and wildlife values. Systematic pre- and post-
5-42. The Fish and Wildlife Coordination Act construction assessment of the impact of
requires that fish and wildlife conservation federally funded or licensed projects upon
receive equal consideration and be co- fish and wildlife and the efficacy of pro-
ordinated with other features of water tection facilities should be undertaken in
resource development programs. To the order to displace conjecture with well-
extent that observance of this statutory re- documented facts.
quirement is breached, the Coordination Act 5-44. On nonnavigable inland waters, where many
should be more rigorously applied. The Water activities such as dredging and channel altera-
Resources Council should supervise and co- tion are beyond the scope of Federal law, the
ordinate Federal water project planning to States should provide statutory protection for
assure that fish and wildlife values receive fish and wildlife values. In particular, State
equal consideration with other project statutes should provide that fish and wildlife
purposes, as required by the Coordination be made a project purpose and receive equal
Act. consideration with other project purposes,
543. More research should be undertaken to comparable to the provisions of the Fish and
resolve uncertainties about the prospective Wildlife Coordination Act applicable to
impacts of water resources projects upon fish Federal projects.

203

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Chapter 6
Procedures for Resolving
Differences Over Environmental
and Developmental Values'

The general subject of the needs and mechanisms permit. The basic question addressed here is this:
for balancing developmental and environmental What procedures can be used to identify important
values pervades discussion of the Nation's water environmental and developmental values and limita-
policies. Every proposed water project or use, public tions-to give them proper weight, so as to reach a
or private, has an impact upon the environment and sound accommodation of values or a balance among
raises a series of questions such as: them-without an unacceptable cost in delay and
- What are the important environmental values frustration of needed projects?
involved?
- What are the important values associated with THE PROBLEM
development? The Nation's record of taking ecological processes
- Is there an accommodation which will produce and environmental values into account in water
the values associated with development while development and use has been unsatisfactory.2 While
protecting the values associated with the a number of projects have been planned and executed
natural environment? with a careful regard for environmental values, a
- If not, what balance among competing values significant number-including both governmental
will best serve the public interest? projects and nongovernmental projects which require
These questions are addressed throughout the licenses or permits-have not been. Too many of
Commission's report. This chapter focuses on pro- these projects have caused unnecessary damage, leav-
cedures for accommodating important developmental ing the Nation environmentally poorer. Furthermore,
and environmental values where possible, and where in some cases, of which the Cross-Florida Barge Canal
it is not possible, procedures for resolving issues is an extreme but graphic example, the cost of
among the conflicting values with respect to Federal modifying or abandoning a project to mitigate unac-
water resources projects and non-Federal water- ceptable environmental damage has resulted in a
related projects which require a Federal license or financial loss as well.
Chapter 2 points out that the Nation cannot afford
to build or sanction water projects without taking
'The background studies for this chapter are GOLDMAN, environmental concerns fully into account. However,
Charles R (1971). Environmental Quality and Water as that and other chapters affirm, water projects can
Development, prepared for the National Water Commis- offer a number of economic and social benefits. The
sion. National Technical information Service, Springfield, Commission believes that careful planning frequently
Va., Accession Nos. PB 207 113 & 207 114, and can accommodate important developmental and envi-
HILLHOUSE, William A 11 & DeWEERDT, John L
(1972). Legal Devices for Accommodating Water Re- ronmental values into a harmonious solution. How-
sources Development and Environmental Values, prepared ever, where the values necessarily conflict, the Nation
for the National Water Commission. National Technical needs procedures for striking a balance which best
Information Service, Springfield, Va., Accession No. PB serves the public interest fairly and promptly in
208835. order to avoid the social, economic, and environ-
mental costs which attend delay in reaching needed
America's environmental values are threatened by decisions.
increased development See Chapters 2 and 4 of this report.

205

The primary legislative response thus far has been or delay which blocks the operation of a completed
the National Environmental Policy Act (NEPA).1 The project can be especially serious. When the public
Commission considers an institutional arrangement a interest requires some decision on a particular pro-
good one if it develops the information which a ject, such as an industrial installation or a water
politically responsible decisionmaker needs to make a supply project, and the expeditious pursuit of alterna-
full, fair, and expeditious evaluation of relevant issues tives if the project is unacceptable, unexpected or an
and to strike an appropriate balance among the unexpectedly prolonged delay is disruptive. This type
relevant factors. Judged in this light, NEPA is a major of crisis situation, irritated by delay, may encourage
breakthrough. It requires consideration of environ- unsound decisions, simply to resolve the matter and
mental as well as developmental values and puts this end the delay.
burden initially upon the project or licensing agency. Environmental review is not the only culprit in
NEPA requires the utilization of expert advice from instances of delay.' Furthermore, NEPA is a new
other agencies, accommodation of public views, and statute and the problems of devising appropriate
consideration of alternatives. It is designed (1) to procedures to comply with it may be transitional.
make agencies more sensitive toward environmental The threat of litigation has encouraged agencies to act,
values and the need. for an appropriate balancing of so that the long-term effect should be better pro-
values, in the early stages of the planning process, and cedures and better projects, which should not be
(2) to develop useful information on all relevant subject to all of the delays attending projects which
factors for the ultimate decisionmaker .4 have not taken environmental processes and values
The Commission applauds the thrust of these adequately into account.
requirements which should help produce soundly The Commission is concerned that present arrange-
conceived projects, especially in the long run. NEPA ments for environmental review under NEPA and
does much to meet previous deficiencies in taking other statutes present inherent possibilities for delay
environmental values into account. The Commission which, in instances of critical timing, may be unac-
recommends hereafter some additional measures, ceptable. Accordingly, the Commission recommends
supplementing NEPA, to improve this process certain new procedures to expedite environmental
further. review.
Certain requirements of NEPA are adding signifi- BACKGROUND
cantly to delays before there is a final decision
whether a project may proceed.' Delays at any point Requirements for environmental review apply to
before a project is put into operation can be costly. nearly all water-related projects and uses. However,
The Commission recognizes the value of time spent in the impact of these requirements has fallen most
careful project formulation and evaluation; this is strikingly upon Federal public works projects, several
essential if the Nation is to have sound water projects of which have been enjoined in court for failure to
and to avoid unsound ones. The source of concern is
nonproductive delays, particularly at later stages of See, e.g., letters to the Council on Environmental Quality,
project evolution, which rnight be avoided with from the Tennessee Valley Authority (April 5, 1972), the
Soil Conservation Service (April 11, 1972), the Corps of
improved procedures. Engineers (April 12, 1972), the Atomic Energy Commis-
The timing of a delay is frequently critical. For sion (April 13, 1972), and the Federal Power Commission
example, delay when a project is under construction (April 21, 1972), responding to Russell Train's request
that the agencies identify delays resulting from compliance
with NEPA. The letters are published in U.S. CONGRESS,
'P.L. 91-190, January 1, 1970, 83 Stat. 852, 42 USCA Senate (1972). Joint Hearings before the Committee on
4321-47. Public Works and The Committee on Interior and Insular
'See generally, HILLHOUSE, William A 11 & DeWEERDT, Affairs, United States Senate, 92d Congress, 2d Session, on
John L (1972). Legal Devices for Accommodating Water the Operation of the National Environmental Policy Act of
Resources Development and Environmental Values, pre- 1969, Serial No. 92-1432. U.S. Government Printing Office,
pared for the National Water Commission. National Tech- Washington, D.C.
nical Information Service, Springfield, Va., Accession No. 6 See, e.g., statement of John N. Nassikas, Chairman,
PB 208 835, Ch. 2. For a summary of needed improve- Federal Power Commission, before the Senate Committee
ments in impact analysis see GOLDMAN, Charles R on Commerce, June 1, 1972, Appendix CC states that
(1971). Environmental Quality and Water Development, nearly three-fourths of the large fossil-fueled and nuclear
prepared for the National Water Commission. National electric plants installed 1966-71 were delayed, but that
Technical Information Service, Springfield, Va., Accession labor-related and equipment problems caused the majority
No. PB 207 113. Summary, pp. 16-17. of these delays.

206

comply with statutes, d upon private projects powerplant site on air, land, and water; or evaluate
an
which require several licenses or pern-dts before they the relative environmental impact of alternative
may proceed. sites.8

Non-Federal Projects Requiring Licenses Consideration of Water Quality: The Federal Water
Because of the multiple points at which some Pollution Control Act Amendments of 1972 require
governmental approval is required, private projects State or Federal discharge permits, limiting the
must run a gauntlet of environmental reviews, and composition of the effluent which an entity may
therefore provide a good vehicle for discussion of discharge, if any. Such permits may issue only after
current environmental requirements, the benefits and an opportunity for public hearing and are to be based
delays which these requirements may cause, and upon guidelines developed by the Environmental
recommendations for change. The following discus- Protection Agency.' In addition, if there is any
sion uses electric powerplants as a primary example, discharge into navigable waters, the State must certify
since they are subject to regulation at multiple levels that the discharge will comply with the effluent
of government, raise obvious environmental issues limitations and other standards required under the
with respect to their location and operation, and have Federal Water Pollution Control Act Amendments of
excited a great deal of public controversy. However, 1972 before a Federal license or permit to construct
other types of private, water-related developments or operate facilities may issue.' 0-
face comparable environmental regulation and raise Calvert Cliffs Coordinating Committee v. AEC,'
the same kinds of issues. interpreting NEPA prior to the passage of these
An electric utility, applying for the necessary Amendments, had required the Atomic Energy Com-
licenses and permits to construct and operate a large mission (AEC) to give independent consideration to
powerplant, may expect to have repeated@ environ- stringent discharge limitations even though a State
mental reviews of different aspects of its proposed had certified that its water- quality standards would
plant. Overall, the process is often uncoordinated, be met by the proposed operation. The 1972 Amend-
ments now provide that NEPA shall not be inter-
overlapping, and noncomprehensive.
preted to authorize a licensing agency to review
State and Local Requirements: NEPA applies only to effluent limitations established under the new Act or
actions of the Federal Government. However, a range to impose different effluent limitations as a pre-
of State, regional, and local agencies may impose requisite to the issuance of a license."
requirements of their own for powerplant siting. It The 1972 Amendments also provide that unless a
would be misleading to suggest that each of these new source of discharge is involved, the Environ-
agencies imposes environmental requirements, but mental Protection Agency need not file an environ
mental impact statement before a discharge permit is
many do. It also would be misleading to suggest that issued. 13 This provision appears to be directed at the
obtaining a permit poses a problem in each case, but decision in Kalur v. Resor," which held that NEPA
where a utility must have all of such permits, a single
denial may frustrate the project. This situation may
encourage opponents of a project to fight it in every See Summary of NARUC Questionnaire in Appendix E, in
possible forum, raising some issues repeatedly. Statement of John N. Nassikas, Chairman, Federal Power
Significantly, present arrangements do not guar- Commission, before Senate Committee on Commerce,
antee that environmental values will be systematically June 1, 1972.
and carefully considered. Most States do not provide
a comprehensive review of the effects of a proposed 9P.L. 92-500, Section 402, October 18, 1972,-86 Stat. 816,
880, 33 USCA 1342.
'See, e.g., Environmental Defense Fund v. Corps of Engi- "Ibid., Section 401, 86 Stat. 877, 33 USCA 1341.
neers, 324 F.Supp. 878 (D.D.C. 1971) (Cross-Florida Barge 449 F.2d 1109 (D.C. Cir. 197 1).
Canal); Environmental Defense Fund v, Corps ofEngineers,
325 F.Supp. 749 (E.D. Ark. 197 1), injunction released after "Federal Water Pollution Control Act Amendments of
the filing of an adequate environmental impact statement, 1972, P.L. 92-500, Section 511(c) (2), October 18, 1972,
342 F.Supp. 1211 (1972) (Gillharn Dam); Environmental 86 Stat. 816, 893, 33 USCA 137 1(c) (2).
Defense Fund v. Tennessee Valley Authority, 339 F.Supp. 'Ibid., Section 511(c) (1), 86 Stat. 893, 33 USCA 1371(c)
806 (E.D. Tenn. 1972) (Tellico Project); and Natural Re- U).
sources Defense Council v. Grant, 341 F.Supp. 356 (E.D.
N.C. 1972) (SCS Chicod Creek Project). 335 F.Supp. 1 (D.D.C. 197 1).

207

did not exempt the Refuse Act Permit Program's impact statement before the licensing hearing, rather
from the environmental impact statement require- than simply circulating the environmental material
ment, delaying action on the large number of pending submitted by the applicant.
discharge permit applications for existing sources. Licensing hearings themselves are time consuming
While the 1972 Amendments deal with some and, with increased public interest in environmental
previously existing Sources of delay in resolving water values, applicants may anticipate more contested
quality matters, the new requirements are complex proceedings and a large number of potential inter-
and may present other possibilities for delay. For venors.
example, Section 208 of the new Act requires Proceedings before the Atomic Energy Commission
areawide waste management plans for "each area involve special problems of delay because the AEC
within the State which, as a result of urban-industrial requires an operating license as well as a construction
concentrations or other factors, has substantial water permit. Delay in reaching a decision on the operating
quality control problems." These plans, among other license can be costly since if construction is com-
things, must provide for a program to regulate "the pleted the plant would stand idle until the license is
location, modification, and construction of any facili- issued. In order to minimize delay, the AEC has
ties within such area which may result in any supported provisions for a fuller consideration of
discharge in such area. . . ." Once the plan has been issues at the construction stage, with the operating
approved, discharge permits may not be issued for license hearing limited to changes in technology since
point-sources which are in conflict with it. construction licensing.' 8
Environmental review presents additional problems
Federal Licensing Proceedings: When a utility applies for those powerplants which were initiated, but not
to the Federal Power Commission (FPC) or the licensed to operate, before NEPA. Calvert Cliffs
Atomic Energy Commission (AEC) for a license to Coordinating Committee v. AEC'9 held that the AEC
construct a powerplant, it may anticipate that the must subject these plants to relatively immediate
proceedings will take longer than they would have environmental scrutiny and may not delay such
before enactment of NEPA. At least in the case of the review until the utility applies for an operating
AEC, NEPA has expanded the range of the agency's license. The AEC responded to the Calvert Cliffs
required environmental considerations before it may decision by promulgating regulations which required
issue a license. The AEC must now take environ- some immediate review, but permitted a utility to
mental values into account, balance the economic and operate a new plant on an interim, partial basis in
technical benefits of the proposed action against the order to test the facility before the AEC completed a
environmental costs, and consider alternatives which full NEPA review." However, these provisions were
would change the balance of values. struck down as inadequate by a Federal District
Before the passage of NEPA the Federal Power Act Court in Izaak Walton League v. Schlesinger (the
had been interpreted to require broad consideration Quad Cities case)," which held that the AEC should
of environmerktal values.' 6 Now, however, after have completed its NEPA review and the environ-
passage of NEPA, the FPC staff must spend addi- mental impact statement process before it permitted
tional time preparing environmental impact state- even interim operation. The effect of the decision
ments. This task is complicated by Greene County may have been mitigated by Public Law 92-307,
Planning Board v. FPC, 17 which requires the FPC authorizing temporary operating licenses after suffi-
staff to prepare and circulate its own environmental SCHLESINGER, Jarnes R, Chairman, U.S. Atomic Energy
Commission (1972). Statement, pp. 68-110, in U.S.
CONGRESS, Joint Committee on Atomic Energy, H.R.
"See 33 CFR Section 209.131, implementing 33 USCA 401 13731 and H.R. 13732, to Amend the Atomic Energy Act
et seq. The Federal Water Pollution Control Act Amend- of 1954 Regarding the Licensing of Nuclear Facilities, Part
ments of 1972 supersede the Refuse Act Permit Program 1, Hearings, 92d Congress, 2d Session, U.S. Government
(RAPP), providing that permits under the 1899 Refuse Act Printing Office, Washington, D.C.
shall be treated as permits under the new Act and that
pending applications under RAPP shall be treated as 19449 F.2d 1109 (D.C. Cir. 1971).
applications for discharge permits under Section 402 of "See U.S. ATOMIC ENERGY COMMISSION, Licensing of
the new A'ct. Production and Utilization Facilities, Implementation of
16 See Udall v. Federal Power Commission, 387 U.S. 428 National Environmental Policy Act of 1969. In Federal
(1967). Register 36(175):18071-18076. September 9, 1971.
17 455 F.2d 412. 337 F.Supp. 287 (D.D.C. 1971).

208

cient environmental review, where necessary to insure coal-fired and other alternatives to a nuclear plant, as
an adequate power supply. well as the alternative of no plant at all. Natural
24
Resources Defense Council v. Morton, involving
Additional Responsibilities of Federal Licensing the Department of the Interior's offshore oil leasing
Agencies: program, apparently requires the Federal agencies to
Planning Requirements - A licensing agency's develop alternatives beyond their licensing jurisdic-
responsibility is not limited to providing a simple yes tion, in no way limiting the inquiry except by saying
or no response to a single project proposed by the that agencies need consider only "reasonable" alter-
applicant. This is particularly true with respect to the natives.
Federal Power Commission, which has the obligation This situation produces a dual problem. First, an
under the Federal Power Act to license a project only agency such as the AEC must develop a record upon
if it is best adapted to a comprehensive plan for the and evaluate a number of alternatives. Second, if it
development of the waterway." The FPC addresses should determine that a nonnuclear alternative is
these planning responsibilities in the licensing hearing. preferable to the proposed nuclear plant, it lacks the
Before any specific project can be licensed, the FPC jurisdiction to implement its decision with a license
must decide whether any project-or none-is appro- or by ordering construction of the preferred alterna-
priate, what hydro and nonhydro development op- tive. All that it will have done is to develop
tions are available, what hydro sites exist, and which information which may be of use to some other
of the possible hydro projects would foreclose other agency.
development options. This process can be extremely Related Federal Permits: An electric utility, like
time consuming. other enterprises, frequently must obtain permits
An adversary licensing hearing is only one ap- from one or more Federal agencies in addition to the
proach toward exercising this planning responsibility. one which will license its projects. A discharge permit
An alternative would be to develop a comprehensive provides one example. Moreover, if an enterprise is
plan independently. Proponents of the adversary located on a navigable waterway from which it plans
process argue that the options are developed sharply to divert water, it needs a permit from the Corps of
for consideration only when the underlying assump- Engineers for structures in the water. NEPA applies
tions may be cross-examined in a quasi-judicial to permits for structures which may have a significant
proceeding. However, proponents of separate, pre- environmental impact, so that the Corps may be
licensing planning argue that adversary hearings tend obliged to evaluate the environmental impact before
to focus too narrowly on the pros and cons of a issuing a permit.2 5
particular application and do not guarantee the kind
of comprehensive view which is necessary for plan- Litigation: The Commission recognizes that in some
ning. ways litigation is better suited to producing expedi-
tious decisions than are other institutional arrange-
Consideration of Alternatives - All Federal licens- 26
ing agencies are required by NEPA to consider ments. For example, a project may languish in a
alternatives to major proposed actions and to describe legislature for years, and an administrative proceeding
those alternatives in environmental impact state- may range over a number of time-consuming issues.
ments. The FPC had been required to consider By comparison, a court may zero in on critical issues
alternatives before NEPA was enacted, as part of its
planning responsibility under the Federal Power 24 458 F.2d 827 (D.C. Cir. 1972).
Act .23 However, NEPA imposed additional require- "See Zabel v. Tabb 430 F.2d 199 (5th Cir. 1970); see
ments on agencies such as the AEC. In order to generally, HILLHOUSE, William A II & DeWEERDT, John
comply with NEPA, the AEC now should consider L (1972). Legal Devices for Accommodating Water Re-
sources Development and Environmental Values, prepared
for the National Water Comrrdssion. National Technical
"P.L. 333, 74th Congress, August 26, 1935, 49 Stat. 842, Information Service, Springfield, Va., Accession No. PB
16 USCA 803(a). 208 835. Ch. 6.
13 See Udall v. Federal Power Commission, 387 U.S. 428 See generally, THOMPSON, Grant P (1972). Courts and
(1967); Scenic Hudson Preservation Conf v. Federal Water: The Role of the Judicial Process, prepared for the
Power Commission, 354 F.2d 608 (2d Cir. 1965), cert. National Water Commission. National Technical Informa-
denied, 384 U.S. 941 (1966). tion Service, Springfield, Va., Accession No. PB 211 974.

209

framed by the pleadings and produce a relatively properly applied governing law; but the possibilities
prompt result. However, repeated or poorly-timed of multiple appeal, of collateral attack, and of
opportunities for litigation can interfere with litigation when a plant is ready to begin operating are
decisionmaking and exact heavy social costs. The disruptive.
advantages of judicial scrutiny, as an institutional
check on the administrative process, must be pre- Federal Water Resources Projects
served, but it should be structured to yield timely This discussion has dealt at length with non-
decisions. Federal water-related projects because of the multiple
One of the disturbing aspects of litigation is the permit and licensing requirements which are unique
possibility of multiple, separate appeals from the to them. Federal projects and the obstacles which
various proceedings. A party may prevail in one they face are described in considerable detail else-
forum only to be frustrated in another, even though where in this report.28 Long before NEPA, Federal
the issues in the two proceedings are much the same. projects faced a long process of planning, review,
A second disturbing aspect of litigation is the evaluation, consensus building, authorization, and
possibility of circumventing the usual agency pro- funding.29 NEPA requires agencies.to develop pro-
ceedings, and appeals therefrom, by bringing a col- jects more carefully and may result in some proposed
lateral attack in court. Thus, in the Quad Cities projects being dropped entirely as unsound. The
case,2'7 the plaintiffs did not wait for the AEC to rule Commission believes that NEPA review, supple-
upon the utility's application for an interim license ' mented by the measures recommended in this report,
then attempt to appeal from that decision, if adverse. rarely will cause serious delays in authorization and
Instead, the plaintiffs argued in a Federal District funding for sound Federal water projects.
Court that the AEC could not even consider whether
to grant an interim operating license until it had Piled Once a project has been funded and construction
an environmental impact statement. While only a begins, environmental reviews can create more serious
Court of Appeals could have reviewed a decision by problems of delay. In some cases, environmental
the AEC, the District Court acted to determine review may lead to the conclusion that a project is
whether the AEC was following the procedures undesirable and may prevent the expenditure of more
required by law and held that this determination need money on a bad. project. However, stopping a project
not be delayed until the AEC had acted. The Quad at this stage, even temporarily, may also seriously
Cities plaintiffs were able to cite unusual circum- upset expectations and add new social costs to the
stances to justify their collateral attack. However, the project. Moreover, if the project is stopped by a
Court's reasoning might be extended to other circum- court or by the executive, the purpose of Congress in
stances as well. approving the project may be frustrated.
A third, and perhaps the most disturbing, possi- Accordingly, with public works projects as with
bility is that the threat of litigation may encourage a licensing, timing is a critical problem of delay. An
decision in order to avoid further delay, rather than a orderly set of procedures can permit a careful, early
decision on the merits. Consider the example of an evaluation of all relevant factors, so that the critical
electric utility which has completed construction of a decisions are not deferred until a time when any
nuclear powerplant and has an operating license from delay is seen as disruptive.
the AEC, or of any industry which has completed a POSSIBLE SOLUTIONS
new installation and received a discharge permit. The
costs of the plant, and perhaps demands for service, It follows from the discussion above that the
militate for putting the plant into operation as soon Nation's choices are not limited to either accepting
as possible after administrative approval. A lengthy public or nonpublic projects without consideration of
judicial challenge at this point may threaten delay. environmental values, on the. one hand, or providing
and costs sufficient to force the utility to concede to such consideration at the expense of badly needed
opponents' positions, justified or not, without testing
them in court. I I See, eg., Chapter 10.
A single timely judicial review can provide a 2 ' See generally, ALLEE, David & INGRAM, Helen (197 2).
valuable check as to whether the licensing agency Authorization and Appropriation Processes for Water
Resource Development, prepared for the National Water
2"Izaak Walton League v. Schlesinger, 337 F.Supp. 287 Commission. National Technical Information Service,
I (D.D.C. 1971). Springfield, Va., Accession No. PB 212 140.

210

projects, on the other. Ilowever, the Nation will be preserve the reach of the river involved. Therefore, as
required to decide which environmental and develop- of this writing, 18 years after initial application, it has
mental values are most important and to strike a not been finally determined whether some hydro
balance where an accommodation of all important facility will be located on that reach of the Middle
values is impossible. Snake River. There was no lack of a comprehensive
In the short term, there may be examples of plan for the Snake River when application for a
significant disruption, especially where a project was license was first made in 1955. The Corps of
initiated. before the passage of NEPA (signed into law Engineers had submitted such a plan to Congress in
on January 1, 1970), yet now must comply with 1948. Much of the delay came from extended
environmental requirements. In particular instances, proceedings on whether a project should be built by
Congress may want to provide emergency interim Federal or non-Federal entities or by one or another
relief where important national goals are jeopardized of competing non-Federal entities. And in recent
by delays created by the environmental review years, the question of development versus preserva-
process and where the administrative process does not tion of a scenic reach of the river has become the
offer an adequate remedy. These are transitional dominant issue.
problems and will likely be associated with specific The threshold question is whether comprehensive
situations so that congressional relief should be development of the area would be accomplished if a
limited and tailored closely to fit the individual facts. particular kind of project were included in the
The Commission believes, however, especially for the development plan; in other words asking whether the
long term, that projects may be developed and particular kind of project unduly impairs environ-
evaluated so as to identify important values, present mental values or forecloses desirable development
alternatives, and strike a sound accommodation or options. The answers to such questions constitute
balance without unacceptably disruptive delay. prelicense planning and when used by developers to
guide project formulation will increase the prospects
Non-Federal Projects Requiring Licenses that a project will be licensed.
Prelicense Planning: As noted above, the FPC has Plant Siting: Certain proposed Federal legislation3l
planning responsibilities and, under present arrange- and recently enacted State legislation 32 provide for
ments, it pursues them in the context of a licensing prelicensing arrangements to determine where plants
hearing. The process is initiated by an applicant who may be located and to resolve State and local
presents a specific project, expecting acceptance or environmental questions in a single proceeding. The
rejection upon defined standards. That project, and ' legislation is directed specifically at powerplant siting,
alternatives, are evaluated in an adversary proceeding,
commonly with formal intervention required as a but the Commission believes that the basic principles
prerequisite to participation. apply to other water users who may need govern-
The licensing proceedings for the hydro develop- mental approval for location of plants and face a
ment of the Middle Snake River demonstrate how maze of State and local land use, pollution, and other
long this combined planning and licensing may environmental reviews. If these matters can be re-
take .30 Competing applicants first applied for a solved conclusively through a relatively early siting
license in 1955. After extended FPC hearings and proceeding, subsequent licensing proceedings can be
judicial review in the Federal Court of Appeals and greatly simplified and expedited.
the U.S. Supreme Court, the FPC was directed to Siting legislation typically addresses the issues of
reconsider the matter. Most recently, in 1971, an FPC (1) early public disclosure of potential sites by the
hearing examiner decided that dams should be developer, (2) early authoritative determination of
licensed at Mountain Sheep and Pleasant Valley. That site suitability, and (3) consolidat Ied review of project
decision is subject to review by the FPC and by the proposals.
courts and would be displaced if Congress chooses to

"See HILLHOUSE, William A 11 & DeWEERDT, John L "See, e.g., H.R. 5277 (S. 1684), proposed Power Plant
(1972). Legal Devices for Accommodating Water Re- Siting Act of 1971, March 1, 1971, 92d Congress, lst
sources Development apd Environmental Values, prepared Session, and H.R. 11066, proposed Electric Power Supply
for the National Water Commission. National Technical and Environmental Protection Act, October 4, 1971, 92d
Information Service, Springfield, Va., Accession No. PB Congress, lst Session.
208 835. Ch. 7. See, e.g., Washington Revised Code. Ch. 80.50.

211

Site Identification - Under the Nixon Administra- The advance determination of site suitability
33
tion's powerplant siting proposal, developers would should promote a sound balancing of values with
have to file annually their proposals for plant sites 10 respect to plant siting; the certifying agency could
to 15 years before the start of construction. The examine the various factors relevant to siting without
Commission believes that this is a desirable require- the pressure of having to meet an immediate need. If
ment, which could be applied to other major installa- the agency denied use of the site for a powerplant, or
tions as well. Such an arrangement should improve for a particular kind of powerplant, the utility still
prospects for accommodating developmental and would have an opportunity to develop alternative
environmental values since it would allow time- sites.
before the crisis when a facility arguably must be In addition, each siting agency should consider
built to serve immediate needs-to explore site and potentially acceptable plant sites on its own initiative,
design alternatives. It also should permit greater so as to identify the most appropriate sites within its
opportunity for public participation in the planning jurisdiction. This type of procedure could be ex-
process, thereby perhaps resolving or narrowing pected to produce an inventory of suitable sites,
potential disputes at the outset. although some might be suitable only for particular
The Commission recognizes that a company's early kinds of plants, or only if certain requirements were
disclosure of potential plant sites may result in land met.
speculation, driving up acquisition costs. Further- Since a determination of site suitability is a land
more, once a site has been identified as being use decision, analogous to zoning, it seems proper to
potentially suited for a plant, it is important to proceed through the use of one or more legislative
prevent that use from being precluded by other hearings. While the Commission appreciates the argu-
development, except by a conscious planning ment that issues tend to be presented more clearly
decision. Both of these points underscore the need and facts more concretely in an adversary proceeding,
for an early determination of site suitability on which the flexibility of legislative hearings makes the latter
the developer may act. approach preferable. Judicial review of the suitability
determination could be limited accordingly.
Determination of Site Suitability - Under the
Administration's approach, proposed powerplant sites Consolidated Certification Proceedings - So far as
would be subjected to mandatory public hearings powerplants are concerned, only hydroelectric pro-
before a State or interstate certifying agency 5 years jects are presently subject to comprehensive, single
prior to scheduled construction to determine
"whether or not construction of any plant at the agency review. As noted above, a utility wishing to
proposed site would unduly impair important en- construct a thermal powerplant must obtain approval
vironmental values." from a number of agencies at different levels of
Five years in advance of construction does not government. Other enterprises may face a similar
seem too early to address a number of issues. Once situation.
the siting agency has information on what kind of The numerous forums required for approval of a
plant is contemplated for each proposed site, it would powerplant at the State and local level, in combina-
be possible to examine what environmental and tion with the multiple Federal licenses or permits
developmental options would be foreclosed if the site which may be required, offer risks of unnecessary
is used for the particular type of plant. In appropriate delay, duplication, and possible frustration of basi-
cases, it also should permit conditions to be imposed cally sound projects, without assuring careful con-
on the use of the site, so that an appropriate plant sideration of environmental values. No one should be
may be built without sacrificing other important happy with this situation. Consumers want a reliable
values. source of power; conservationists want protection for
the environment; utility representatives are interested
33H.R. 5277 (S. 1684), proposed Power Plant Siting Act of in overcoming delays when their projects are held up
1971, March 1, 1971, 92d Congress, 1st Session. This is in the licensing process.
based on a report prepared by the Energy Policy Staff, Under the Administration's approach at least 2
Office of Science and Technology in cooperation with
several other Federal agencies. See U.S. OFFICE OF years prior to scheduled construction a proposed
SCIENCE AND TECHNOLOGY, Energy Policy Staff powerplant site would be subject to certification by a
(August 1970). Electric Power and the Environment. U.S. single State or interstate certifying agency, which
Government Printing Office, Washington, D.C. would be authorized to issue a certificate if it found:

212

-0-

Licensing agencies require cooling tower at Trojan Nuclear Plant on the banks of the Columbia River

... after having considered available alternatives, of eliminating the possibility of judicial appeals from
that the use of the site ... will not unduly impair different decisions.
important environmental values and will be The Administration's proposal provides one of
reasonably necessary to meet electric power several possible answers to a fundamental question
needs, or otherwise to deny such certificates if concerning powerplants, and perhaps certain other
the applicant fails to conform with the require- types of installations as well: What are the respective
ments of this Act .14 interests of the States, regions, and the Federal
The certifying agency would be required to respect Government in siting decisons? The answer provided
various criteria for balancing values that would be in the Administration's proposal seems to be that the
promulgated by a Federal agency designated by the States have a sufficient interest, perhaps because land
President, and certification would not relieve the use decisions traditionally have been a State province,
applicant from obtaining any other required Federal so that they should make the decisions; but that the
permits. Federal Government also has an interest which
The "one stop" certification process of resolving as requires the States to follow federally imposed
many licensing requirements as possible in a single criteria.
proceeding seems to be a valuable mechanism. It How are federally imposed criteria justified? it
should avoid much of the delay and duplication might be argued that the Federal interest is the same
inherent in present State and local procedures and as the States' if both want reliable power and a
provide for assessing the relevant issues in a single, quality environment. Under this line of argument it
authoritative proceeding. By consolidating a number might follow that there is no need for the Federal
of separate proceedings, it has the further advantage Government to preempt the decision by imposing
criteria to govern the balancing. There may be a
"H.R. 5277, proposed Power Plant Siting Act of 1971, special Federal interest in obtaining prompt power-
March 1, 1971, 92d Congress, Ist Session. Section 7. plant siting decisions because of interrelated power

213

needs in different areas, but if this were the extent of partieS.3s Licensing agencies may provide opportuni-
the Federal interest, it would be sufficient to require ties for interested persons to make limited appear-
the States to act within a certain time and, if they do ances, perhaps by submitting written statements,
not, for the Federal Government then to preempt the without becoming formal parties. Both the Atomic
decision. However, the Federal interest may extend Energy Commission and the Federal Power Commis-
further. Powerplants rhay, be sited miles from the load sion utilize such techniqueS.3 6 Agencies may use
center, such . as the Four Corners powerplants prehearing conferences to facilitate the later presenta-
designed to serve the Pacific Southwest. If a particu- tion of evidence.by (1) settling peripheral and pro-
lar State is hostile to powerplants, perhaps because cedural issues, (2) defining the issues to be addressed
the power primarily will serve customers in other at the hearing, and (3) setting reasonable limits on the
States, desirable sites may be foreclosed. By the same amount and scope of direct testimony and cross-
token, if a given State is overly receptive to power- examination so as to eliminate repetitive matter.
plants, environmental assets with a significance tran- Where parties have similar interests on particular
scending the State's boundaries, such as pure or wild issues, the hearing examiner may require those parties
streams or clean air, may be threatened. Finally, the to make a unified presentation and limit the number
Federal Government may have an interest in seeing of attorneys who will cross-examine in the parties'
37
that power needs are met adequately on a rational, common interest.
coordinated basis nationwide. These kinds of Federal Some agencies require direct testimony to be
interests would require that the Federal Government presented in writing and to be circulated in advance
have the opportunity for t .he final say with respect to to all parties." This technique also appears to offer
siting of all types of electric powerplants, regardless opportunities for expediting proceedings, especially if
of the fuel used. combined with an early definition of the issues.
The arrangement of State action pursuant to
Federal criteria has precedent in the regulation of air The Possibility of Legislative Hearings - In some
and water pollution, but is not the only mechanism situations a legislative hearing is both appropriate and
to strike a balance between Federal and -State attractive. By using a legislative hearing, the licensing
interests with respect to powerplant siting. Obvious agency may develop information without rigid form-
alternatives are to have a certification proceeding at alities and without cross-examination and other pro-
the State (or regional) level and again at the Federal; cedural restrictions characteristic of quasi-judicial
to have the State proceeding determinative, unless procedures. The agency can make its decision without
challenged, in wl-deh case a Federal agency would being limited strictly to the record developed in the
review the decision; to have a joint determination in hearing. Therefore, use of legislative hearings often
the first instance, utilizing a board with Federal and means a shorter hearing and, perhaps, an earlier
State representatives; or to have the Federal Govern- administrative decision.
ment preempt the field. The Commission's recorn- However, the use of legislative hearings, without
mendation is to authorize State or joint Federal-State taking additional measures, will not necessarily
siting and licensing decisions under certain condi-
tions, as stated more fully in Recommendation 6-4 at "Cf. 18 CFR Section 1.8(b) (FPC); see, also, 10 CFR
the end of this chapter. Section 2.714 (AEC) (Atomic Energy Commission, Rules
and Regulations, Restructuring of Facility License Appli
cation Review and Hearing Processes. Federal Register
Proceedings Before Licensing Agencies: Even if cer- 37(146):M27-15143. July28,1972.p. 15132).
tain issues are resolved or limited by prelicensing site '110 CFR Section 2.715 (AEC); 18 CFR Section 1.10
determination, the licensing proceedings for electric (FPC).
power facilities still offer possibilities of unnecessary 17 See 10 CFR Section 2. .715a (AEC) (Atomic Energy
delay. Commission, Rules and Regulations, Restructuring of
Facility License Application Review and Hearing Pro-
Delays During Hearings - A hearing examinermay cess es. Federal Register 37(146):15127-15143. July 28,
limit delays during hearings through a variety of 1972. p. -15132); 18 CFR Section 1.8(g) (FPC).
t.echniques, many of them already used by licensing "See, e.g., 10 CFR Section 2.743 (AEC) (Atomic Energy
Commission, Rules. and Regulations, Restructuring of
agencies. For example, a hearing examiner may limit Facility License Application Review and Hearing Pro-
the number of intervenors where a particular interest cesses. Federal Register 37(146):15127-15143. July 28,
is adequately represented by those who already are 1972. p. 15134); 18 CFR Section 1.26 (FPC).

214

shorten materially the time before a final decision public interest is best served if these are developed
results. Unless appeal is precluded an agency's and evaluated, to the maximum extent feasible,
decision after a legislative hearing is subject to judicial before a specific project is ready for licensing. During
review. Although review may be limited to an the planning process there is flexibility to consider a
examination of whether the, licensing agency acted range of alternatives without the constraints of heavy
arbitrarily or capriciously, the fact of appeal means a investment in a particular project and demands for
delay, and that delay may not be shorter than if the immediate licensing. Broad alternatives, such as the
court were applying a "'substantial evidence" test of- possibility of a different rate structure, should be
review. Moreover, even if Congress were to preclude considered, but in an appropriate industry-wide pro-
judicial review, the possibility would remain that ceeding, rather than in the process for licensing
litigants would seek to challenge the agency's action particular projects. Similarly, other broad issues of
by bringing a suit for an injunction in a Federal national policy, such as the possibilities and rarnifica-
District Court. So long as the licensing agency is tions of importing fuels, should be addressed else-
required to act pursuant to defined statutory stand- where.
ards in deciding whether or not to issue a license, The arrangements suggested earlier in this chapter
there is a question whether the agency has followed provide a means for addressing different site alterna-
those standards, and those who are dissatisfied with tives. If a siting agency, pursuant to appropriate
the agency's action@whether they be opponents of procedural limitations, concludes that a plant is
the project or an applicant whose application was justified at a particular site as a matter of sound land
denied-may attempt to take that question, to court. and water use, the licensing agency should be able to
One alternative, of course, is for Congress to make accept it as determined that the proposed plant
the decision of the licensing agency final, free from would be consistent with a comprehensive plan for
judicial scrutiny either on appeal or in a collateral development of the waterway. If the planning process
proceeding. However, the Commission believes that addresses itself to alternative site possibilities and to
the public interest would not be served by insulating possible alternative uses of sites, so that the inventory
the actions of licensing agencies from judicial of approved sites reflects a judgment that they are the
scrutiny. A preferable approach, referring to the best suited for particular plants, and the . process
example of an AEC operating license, is to determine -adequately protects Federal interests, the licensing
as many issues as possible well before a plant is agency should not need to consider sites other than
constructed, so that the issues to be faced upon an those identified in the inventory.
application for an operating license, when delay may If a licensing agency is to choose objectively from
be most critical, are strictly limited. For all new among the reasonable alternatives, the choice may
Projects, the AEC must conduct a full NEPA review not be easy. For example, in the case of a choice
before 'issuing a construction permit. Therefore, any between an atomic and a hydro, project, both of
additional. environmental review at the operating which require Federal licenses, development. of infor-
license sta .ge should be limited to those questions mation about the alternatives Will require expertise. A
raised by intervening circumstances since cons .true- similar situation may exist with respect to fossil-
tion was licensed." Insofar as- disputed issues are fueled plants, which are licensed at the State level
decidedat the operating license stage, Congress could under present arrangements. A variety of possibilities
provide for an expedited review in a Federal Court of for reaching a choice among alternatives is available.
Appeals. The AEC and the FPC might be left with their
respective jurisdictions, but with reciprocal participa-
Consideration of Alternatives - The discussion tion in hearings before one agency by the staff of the
above noted that Federal licensing agencies have the other. While information on atomic and hydro
obligation under NEPA and the Federal Power Act, as alternatives would be developed, if expertise is
construed by judicial decisions, to consider a rela- necessary to develop information on fossil plants and
tively open-ended range of "alternatives," limited neither the AEC nor the FPC has sufficient expertise,
only by. what is "reasonable." The Commission the staff of a State utility commission would have to
recognizes the value of assessing alternatives to a be included.
proposed, course. of action, but submits that the Such an arrangement may present two problems.
First, either for lack of expertise or, because of a
See 10 CFR 50, Appendix D. development mission, a particular licensing agency

215

may not make a sound choice among alternative should contain a resolution of the NEPA issues.
fuels. Conversely, it may be that, given the present Therefore, the Commission believes that the NEPA
three forums (AEC, FPC, and State commissions) for procedures should be integrated with licensing pro-
licensing available alternatives, each may decide an cedures."
alternative it cannot license is best, resulting in no The Calvert CliffS4 ' decision makes it clear that a
project being licensed. If either or both of these licensing agency's responsibilities under NEPA go
problems are significant, alternative solutions include beyond those of an umpire; the agency has the
a joint hearing by the AEC and FPC, perhaps joined affirmative duty to explore the NEPA issues at the
by a State utilities commission, on the issue of the licensing hearing. Greene County Planning Board v.
optimal power source; extension of the consolidated FPC4' requires the agency to prepare its own NEPA
site certification procedure, discussed above, to deter- statement for publication and circulation before the
mine the choice of fuels; determination of the best licensing hearing commences. Therefore, the opportu-
type of plant by a board representing Federal and nity exists to combine the licensing hearing pro-
State interests; or creation by Congress of a single cedures with the NEPA process without adding
44
Federal power entity, combining the jurisdictions of unduly to present procedural requirements.
the AEC and the FPC and perhaps asserting jurisdic- Agencies commonly accept written comments on
tion over powerplants using coal, oil, or gas. the impact statement from members of the public.
The Commission believes that the existing arrange- The Commission endorses this practice, since the
ment under which a licensing agency is directed to public has a significant role to play, both in identify-
consider a range of alternatives, even though it may ing issues and developing information. Furthermore,
lack jurisdiction to license the alternative which is the Commission recommends that members of the
best on balance, is unsatisfactory. Furthermore, the public also be given an opportunity to comment
broader questions of how far Federal agencies, orally on the impact statement before the licensing
whether licensing or project agencies, must go under hearing begins. Written and oral comments raising
NEPA in identifying, developing, and evaluating issues or developing information will aid the staff,
alternatives, are troubling. The subject transcends applicant, and intervenors in the licensing proceeding.
water policy. However, Congress has held oversight Licensing hearings should commence only after there
hearings on the administration of NEPA .4 0 The has been sufficient time for public review of and
Commission endorses this practice and recommends comment on the environmental impact statement.
that Congress hold hearings on the problems of Since the licensing agency has an affirmative
alternatives described here. responsibility to explore NEPA issues, it is incumbent
upon the agency staff to examine comments received
Integration of NEPA into Licensing Proceedings - from the public and from other Federal, State, and
A licensing agency may be subject to collateral attack local agencies; to explore the issues raised and, if
for alleged failure to comply with NEPA require- necessary, to develop information on these issues for
ments. Under present arrangements, some environ- the licensing hearing record. The hearing examiner
mental issues are considered in licensing hearings, but should be given the opportunity independently to
those hearings do not necessarily embrace all of the review the balance struck by the staff in the
issues which might be raised about the adequacy of prehearing statement, rather than merely providing
the licensing agency's environmental impact state- the agency itself with the comments of the public and
ment and NEPA review. Separate NEPA procedures,
decisions, and appeals are employed and cause delays. See the procedures of the AEC, at 10 CFR Part 50,
If the licensing decision is to reflect a balance of all Appendix D.
values and to produce a desirable degree of finality, it 42 449 F.2d 1109 (D.C. Cir. 197 1); see HILLHOUSE, William
A Il & DeWEERDT, John L (1972). Legal Devices for
Accommodating Water Resources Development and En-
"See, eg., U.S. CONGRESS, House of Representatives vironmental Values, prepared for the National Water
(1972). Administration of the National Environmental Commission. National Technical Information Service,
Policy Act - 1972, Hearings before the Subcommittee on Springfield, Va., Accession No. PB 208 835. Ch. 8.
Fisheries and Wildlife Conservation, Committee on Mer- 4 3 455 F.2d 412 (2d Cir. 1972).
chant Marine and Fisheries, House of Representatives on
NEPA Oversight, Serial No. 92-94, 92d Congress, 2d 14 On December 18, 1972, the FPC issued an order (Order
Session. U.S. Government Printing Office, Washington, No. 415-C) amending the Commission's regulations to
D.C. comply with the Greene County decision.

216

Federal, State, and local agencies. The comments, bill would provide at the State level. The entity so
however, should be included in the hearing record. constituted might be given jurisdiction over all
Having before him the outside comments and the Federal issues with respect to the licensing of
information developed by the participants and having powerplants (ie., assume all such jurisdiction now
assured adequate exploration of the matters raised in vested in the AEC, FPC, EPA, and Corps of Engi-
the comments, the hearing examiner should be able neers), or it might be limited only to those issues
to issue his initial decision, simultaneously resolving which now are addressed by more than one Federal
both the licensing and NEPA issues in his opinion. agency. In either case, the entity would not have a
Those who presented comments and those who development or an environmental protection mission,
participated in the hearing should have an opportu- but would make an independent determination in the
nity to take exceptions to the initial decision, for public interest, a factor which makes this second
purposes of appeal to the licensing agency. That alternative attractive. Neither alternative would pre-
agency, reviewing the record and the exceptions, clude judicial review, but both would minimize the
would determine whether the balance struck was possibility of separate appeals from Federal licensing
appropriate and the record was adequate. The final and permit decisions.
decision and the environmental impact statement
would be subject to appeal in a Court of Appeals. Federal Public Works Projects
Collateral attack upon the impact statement should Federal water projects proceed through several
be precluded. stages from inception to implementation-staff plan-
Related Federal Perinits: A utility or other enterprise ning, agency review, executive review by other
which must obtain several Federal permits or licenses Federal agencies with an interest, and, finally, con-
may be required to meet similar or identical issues in gressional action. Each stage provides important
different proceedings before different agencies. NEPA opportunities for resolving differences over etiviron-
might be construed to require each Federal agency to mental and developmental values.
make an independent environmental review of the Planning: Opportunities for accommodation should
situation, although probably only one environmental
41 be explored at the earliest stages in the planning of
impact statement need be filed. Federal water projects while flexibility still exists and
The Commission believes that when an issue has before proponents have expended so much money,
been authoritatively determined by one Federal time, and prestige that their positions are virtually set
agency, that issue should not be subject to considera- in concrete.
tion de novo by another Federal agency. One way to Too often in the past, however, a project has
avoid the possibility of duplicating review would be emerged from planning without full consideration of
by designating one Federal agency which now con- important environmental and developmental values
siders whether to issue a permit with respect to some and possible alternatives which might have permitted
aspect of a project and which is the agency required a sound accommodation between the two. Such an
to make the most comprehensive examination, as the accommodation often is possible. The Delaware River
"lead agency" for purposes of environmental review. Basin Commission found an accommodation at Tocks
Once the lead agency had determined a particular Island permitting private utilities to have a pumped
issue, other Federal agencies would be required to storage project without using Sunfish Pond." The
accept that determination for purposes of their
46 Corps of Engineers proposed an alternative alignment
permits . for the Cross-Florida Barge Canal, although very late
A second alternative, at least for electric power- in the game, which might have saved reaches of the
plants, is to provide for a consolidated proceeding at Oklawaha River. 48
the Federal level, much as the Administration's siting

"'See U.S. COUNCIL ON ENVIRONMENTAL QUALITY HILLHOUSE, William A 11 & DeWEERDT, John L (1972).
(1971). Statements on proposed Federal actions affecting Legal Devices for Accommodating Water Resources De,
the environment. Federal Register 36(79):7724-7729, velopment and Environmental Values, prepared for the
April 2 3, 19 7 1. National Water Commission. National Technical Informa-
4'The Federal Water Pollution Control Act Amendments of tion Service, Springfield, Va., Accession No. PB 208 835.,
1972 take essentially this approach for effluent limita- Ch. 4.
tions. 4SIbid., Ch. 5.

217

Several recent developments suggest that planning well as for improved environmental analysis by the
may develop alternatives and promote accommoda- agency itself.
tion more successfully in the future than it has in the Several of the Federal construction agencies have
past. Among these are the directions for compre- experimented with techniques to introduce public
hensive river basin planning under the Water Re- concerns and preferences from the inception of the
sources Planning Act; 49 the NEPA requirements that planning process. Chapter 10 of this report applauds
planning be interdisciplinary and include alterna- that effort, but suggests further steps which should be
tives ;5 0section 122 of the River and Harbor and taken.' 6 The Commission believes that those recom-
Flood Control Act of 1970, requiring the Corps of mendations, if implemented, would generate informa-
Engineers to promulgate guidelines "to assure that tion producing better projects and a better informed
possible adverse econon-dc, social and environmental citizenry.
effects" are fully considered and that "final decisions
on the project are made in the best over all public Agency Review: Before NEPA, the processes for
interest....";" the proposed principles, standards, project review-whether within the agency, by com-
and procedures suggested by the Water Resources ment from sister agencies, or by members of the
Council;` and proposed legislation which would public-were not geared to produce a fun considera-
require Federal water projects to be coordinated with tion of environmental impacts. Project agencies were
State land use regulations. 13 One of the Comrriis- relatively free to shape their projects as seemed best
sion's background studies argues powerfully that the to them so far as environmental aspects were con-
Nation should go further in these new directions to cerned." NEPA and other recent requirements have
include aspects of the social and natural environment improved the review process, but the Commission
in the planning and evaluation of proposed water believes that there is room for further improvement.
development projects. 54 The Commission agrees that NEPA requires the project agency to circulate an
the planning process should be modified to include environmental impact statement to other Federal
identification and balancing of values. agencies "which [have] jurisdiction by law or special
NEPA is designed to improve agency planning by expertise with respect to any environmental impact
requiring project agencies to consider expected on- involved" for comment." These comments are avail-
vironmental effects of a proposed project and the able to Congress. However, the process is subject to
available alternatives. However, a construction agency limitations. For example, a commenting agency can-
can still be expected to pursue its development not be expected to make a comprehensive review of
mission aggressively. For example, the statutory every project described in NEPA statements; due to
mandate of the Bureau of Reclamation emphasizes constraints of time and mission the commenting
repayment and economic and engineering feasi- agency must limit its consideration and the depth and
bility. 55 while NEPA requires improved quality and detail of its comments.
scope in the information which construction agencies Agency review is also subject to special constraints
develop, there is need for an independent, environ- when the reviewing agency is a member of the same
mentally-oriented input into the planning process, as department as the project agency.5' The competing

"P.L. 89-80, July 22, 1965, 79 Stat. 244, as amended, 42
USCA 1962 et seq. "See, also, GOLDMAN, Charles R (1971). Environmental
50P.L. 91-190, January 1, 1970, 83 Stat. 853, 42 USCA Quality and Water Development, prepared for the National
4332. Water Commission, National Technical Information Ser-
P.L. 91-6 11, December 31, 1970, 84 Stat. 11818. vice, Springfield, Va., Accession 'No. PB 207 113. pp.
52-53.
Federal Register 36(245):24144-24194, Part 11, December "'The Fish and Wildlife Coordination Act (P.L. 85-624,
21,1971, August 12, 1958, 72 Stat. 564, 16 USCA 661-666c), for
"See, e.g.,.S. 632, proposed Land and Water Resources example, requires project agencies only to "consult with"
Planning Act of 1971, 92d Congress, lst Session. the Fish and Wildlife Service and State wildlife agencies.
S 4 GOLDMAN, Charles R (197 1). Environmental Quality and 58P.L. 91-190, January 1, 1970, 83 Stat. 853, 42 USCA
Water Development, prepared for the National Water 4332.
Commission. National Technical 'Information Service,
Springfield, Va. I Accession No. PB 207 113.'pp. 5 3-5 8. '9 See HILLHOUSE, William A 11 & DeWEERDT, John L
See 43 Stat. 702, 43 USCA 412; 53 Stat. 1193, 43 USCA (1972). Legal Devices for Accommodating Water Re-
485h. sources Development and Environmental Values, prepared

218

values may be thrashed out in-house, away from would like to see thorough EPA reviews of the
public view, so that a single, departmental position potential environmental effects of proposed water
emerges, effectively silencing competing positions. projects developed for informed administrative, con-
Only an independent agency, pursuing an environ- gressional, and public consideration. The Comniission
mental protection mission, can be expected to also would like to see the agency review process
develop environmental considerations fully, to im- supplemented by the use of environmental advocates,
press their importance upon the project agency, and as recommended later in this chapter.
to make them available to Congress. NEPA apparently contemplates that members of
To some extent the Council on Environmental the public may comment upon environmental impact
Quality (CEQ) and the Environmental Protection statements, for it provides that such statements shall
Agency (EPA) both perform this function. The CEQ be made available to the public. Comments ac-
reviews environmental impact statements for parti- company the proposed Federal action through the
cular projects and, if it believes that a statement is review process and are available to Congress. How-
deficient, may attempt to persuade the project ever, Federal agencies could improve the procedures
agency to do further work. The CEQ can be by which they obtain and evaluate public com-
63
extremely persuasive, particularly when it enjoys ments.
access to the Office of Management and Budget and Those who believe that a project proposal fails to
to the President, and some projects have not seen the comply with the requirements of NEPA should be
light of day after CEQ review. However, the CEQ given full opportunity to make their views known to
does not make its comments public, since it believes the project agency either by commenting in writing
that this would be inconsistent with its role as an on a draft NEPA statement or by participating in an
60
advisor to the President. agency hearing designed to solicit views as to why the
The Clean Air Act requires the EPA to comment in proposal may not comply with NEPA. After receiving
writing, and to make its comments available to the these public comments, the agency should prepare its
public, on the environmental impact of certain final environmental impact statement, which should
matters falling within its jurisdiction .6 ' This pro- be a detailed document setting out the points which
vision has considerable promise, although so far it has the agency had considered (including those raised in
not been exercised extensively. 6' The Commission the NEPA comments), how it had resolved them, and
the planning techniques which it had utilized.
Adopting these procedures, as some Federal
for the National Water Commission. National Technical agencies already have, would seem to offer several
Information Service, Springfield, Va., Accession No. PB advantages. It could (1) give the project agency an
208 835, Ch. 3; FOX IK (1971). Some political aspects of
the relationship between large scale interbasin water opportunity to reconsider its environmental analysis
transfers, and EIPPER AW (1971). The role of the in the light of possible objections and to make any
technical expert in decisionmaking, Chapters XXIII & XXI changes which it believed were desirable; (2) produce
in GOLDMAN, Charles R, Environmental Quality and more thorough environmental impact statements,
Water Development, prepared for the National Water providing Congress with better information about a
Commission. National Technical Information Service,
Springfield, Va., Accession No. PB 207 114. proposed project; and (3) provide the basis for
"TRAIN, Russell (1970). Testimony of Russell Train on determination at an early stage whether the project
Administration of the National Environmental Policy Act, agency complied with the procedural requirements of
Part 1, Hearings before the Subcommittee on Fisheries and NEPA, a possibility discussed later in this chapter.
Wildlife Conservation of the Committee on Merchant
Marine and Fisheries, 91st Congress, 2d Session, Serial No. Executive Review: The Commission believes that
9141. U.S. Government Printing Office, Washington, D.C. Executive review of projects can be improved. Several
6 pp.69,56,57, alternatives for improvement are available.
P.L. 91-604, December 31, 1970, 84 Stat. 1709, 42 USCA
1857h-7.
62 COMPTROLLER GENERAL OF THE UNITED STATES Environmental Veto - The Commission believes
(1972). Improvements Needed in Federal Efforts to that it would be inadvisable to give an environmental
Implement the National Environmental Policy Act of agency veto power over proposed Federal water
1969, Report to the Subcommittee on Fisheries and projects which that agency concludes fail to protect
Wildlife Conservation, Committee on Merchant Marine and
Fisheries, House of Representatives. U.S. General Account
ing Office, Washington, D.C. 6 31bid.

219

some level of environmental quality, irrespective of which would evaluate Federal water projects prior to
potential developmental values. If important values authorization. 64 One of the functions of such a
conflict, they should be balanced according to their board of review would be to take a broad look at
merits case by case. particular plans and projects in light of interrelated
NEPA reflects an "action forcing" and "full national needs and policies. The board of review
disclosure" philosophy; better decisions should result should address itself explicitly, although not neces-
if project agencies broaden their consideration to sarily exclusively, to the environmental and develop-
include the environmental effects of proposed pro- mental aspects of projects. The board of review
jects, develop possible alternatives permitting an would hold hearings and meet with interested parties
accommodation of values, subject their planning to to gather information relevant to its deliberations;
critical scrutiny by expert agencies and by the general this will assure that it has adequate information about
public, and develop a full record on projects which go the developmental aspects of proposed projects. The
to Congress so that the Congress may make an Commission recommends that it utilize an environ-
informed decision in light of all relevant considera- mental advocate or some other appropriate device to
tions. The Commission endorses this philosophy and assure that it gives full consideration to the environ-
concludes that an "environmental czar," an agency mental aspects as well.
with a limited mandate and power to veto particular
projects without exposing them to a full balancing Congressional Action: While innovative planning,
process, is undesirable. development of differing views, and careful review all
will tend to produce Federal water project proposals
Project Analysis - Under present arrangements, which strike a sound balance among values, there
Congress is entitled to receive a report from a project will remain situations in which important national
agency with respect to a particular proposed Federal values conflict and a final resolution must be made.
water project and to authorize the project even The Commission believes that Congress is the appro-
though the executive branch of the Federal Govern- priate entity to make this resolution.
ment may oppose it. Similarly, Congress is free to The Central Arizona Project demonstrates the need
appropriate funds for a project not included in the for Congress to continue its role as the ultimate
President's proposed annual budgets. However, the balancer of values with respect to Federal water
ultimate decisionmaking power which vests in Con- projects.6 5 The controversy over the proposed Bridge
gress does not preclude the executive branch from Canyon and Marble Canyon Dams appeared to
analyzing projects from an environmental as well as require a choice between important national values:
economic viewpoint. The executive is properly con- an improved power and water supply for the Pacific
cerned with what projects will be authorized or Southwest or protection of the Grand Canyon Na-
funded each year, and its position, based on careful tional Park and National Monument. Congress was
analysis, could be expected to be persuasive with clearly the proper forum for the balancing and
Congress. resolution of those competing values. Broad matters
The present executive branch review of projects, of policy were involved that went beyond technical
particularly at the annual budget stage, is not as questions on which expertise could be determinative.
effective as it might be. The Office of Management Widespread public participation and development of
and Budget disclaims the expertise to review the positions were appropriate. Congress has the author-
environmental aspects of projects which an agency ity to weigh varying. national objectives, is politically
wants to include in the budget. The Council on responsible for its decisions, and represents the public
Environmental Quality reviewed the Cross-Florida
Barge Canal and argued successfully to the President See Chapter 11.
that the project should be stopped. However, the "See HILLHOUSE, William A 11 & DeWEERDT, John L
CEQ appears to have become involved in that (1972). Legal Devices for Accommodating Water Re-
particular project only because of its magnitude and sources Development and Environmental Values, prepared
controversial nature. A more systematic environ- for the National Water Commission. National Technical
Information Service, Springfield, Va., Accession No. PB
mental review of proposed projects appears desirable. 208 835. Ch. 3. GOLDMAN, Charles R (1971). Environ-
mental Quality and Water Development, prepared for the
National Water Commission. National Technical Informa-
Board of Review - Later in this report the tion Service, Springfield, Va., Accession No. PB 207 113.
Commission recommends a top-level board of review p. 40.

220

generally. Its resolution of the value questions pro- pressures within the executive branch, despite its
duced a high degree of finalty. mission, or that EPA's other responsibilities make it
The Central Arizona Project also underscores the an inappropriate agency to act, Congress could
flexibility which.Congress has to resolve conflicts by employ an advocate directly responsible to it.
a range of alternatives transcending any one agency's If Congress uses an advocate, some members of the
jurisdiction. For example, one of the main arguments general public may find it unnecessary to testify if
made for the two dams on the Colorado River was they would feel that their interests were adequately
the need to finance augmentation of the water protected by the advocate. However, use of an
supply. Congress was able to respond to this per- environmental advocate should not supplant all testi-
ceived need, in a way which an administrative agency mony by interested individuals and groups. Public
could not, by making the Mexican Treaty obligation a witnesses have served a valuable role in identifying
national one, so that the Federal Government will issues and suggesting alternatives, and the Commis-
bear the cost of providing the required water for sion believes that it is desirable to encourage their
66
Mexico. continued participation in congressional hearings.
In the future, a number of projects may be
.developed from regional, interagency, and inter- The Possibility of Obtaining Final Decisions: NEPA
governmental planning efforts. As land use planning directs project agencies to comply with certain
expands, water projects may also be coordinated with mandatory procedures. A project agency must care-
State and local land use determinations. These de- fully consider the environmental impacts of proposed
velopments are welcome. Trial balances among en- projects and the alternatives which are available, then
vironmental and developmental values should be file an environmental impact statement detailing this
struck and tested as the planning proceeds, but consideration. If the agency fails to file an impact
Congress, with its broad, national perspective, will statement67 or files a statement which does not
continue to play the essential role of striking the final reflect an adequate consideration of the environ-
balance. mental impacts and alternativeS,6 8 it is subject to an
It is most important that the key issues which injunction until it complies with NEPA, even if a
Congress is asked to decide be sharpened and that project is already under construction.
Congress is provided with all the information needed NEPA has been interpreted to apply to major
to make those decisions. The procedures previously Federal actions even though they arise from programs
suggested in this chapter, together with current initiated before the passage of the Act. The Council
procedures under NEPA, should help accomplish this. on Environmental Quality guidelines provide that:
However, Congress need not rely upon those pro- Where it is not practicable to reassess the basic
cedures alone and may wish to take additional course of action, it is still important that further
measures. One such measure is an environmental incremental major actions be shaped so as to
advocate. minimize adverse environmental consequences.
It is also important in further action that
Use of an Environmental Advocate - In the past, account be taken of environmental conse-
environmental values have not always been presented quences not fully evaluated at the outset of the
fully to Congress. Today, when environmental values project or program. 69
are publicly popular and organized environmental Congressional authorization of the project, per se,
groups seek to present their views to Congress, this has not proved a defense in these cases. A Federal
deficiency is less likely, particularly when contro- district court specifically rejected the Government's
versial projects are under consideration. Nevertheless,
Congress niight profitably use an environmental See, e.g., Natural Resources Defense Council v. Grant, 341
advocate to focus attention on important environ- F.Supp. 356 (E.D. N.C. 1972) (SCS Chicod Creek Project)
mental matters and to present arguments from an and Environmental Defense Fund v. Tennessee Valley
environmental viewpoint. Congress could designate Authority, 339 F.Supp. 806 (E.D. Tenn. 1972) (Tellico
the EPA to act as such as environmental advocate. Project).
Alternatively, if Congress were concerned that an "See, eg., Environmental Defense Fund v. Corps of
executive agency might be subject to competing Engineers; 325 F.Supp. 749 (E.D. Ark. 1971), injunction
released, 342 F.Supp. 1211 (E.D. Ark. 1972) (Gillham
Colorado River Basin Project Act, P.L. 90-5 37, September Dam).
30, 1968, 82 Stat. 887, 43 USCA 1512. 6'Federal Register 36(79):7724-7729, April 23, 1971.

221

argument on this point in issuing a temporary an environmental advocate. All interested parties will
injunction against further construction of the Corps have had an opportunity to express their views in one
of Engineers' Gillham Dam." The U.S. Court of way or another. Consequently, the Commission be-
Appeals for the District of Columbia has pointed out lieves that congressional authorization of a project in
that Congress may authorize a project, in this case a the future should dispose of all questions of whether
nuclear test, and appropriate funds for it on the it was conceived and developed in accordance with
assumption that the project agency would comply NEPA, and recommends that legislation authorizing
with all applicable legal requirements and, therefore, projects so provide.
that the action of Congress need not be read as a
judgment that all such requirements had been or Projects Authorized Before the Passage of NEPA -
would be met.71 The Commission does not recommend a blanket
The Commission recognizes that the courts have exclusion of all authorized projects from the coverage
distinguished carefully between enforcing the pro- of NEPA. There may be important incremental steps
cedural requirements of NEPA-that the project at which evaluation of alternatives and the choice of a
agency perform a careful evaluation of the environ- more environmentally sound course of action is
mental impacts and alternatives-and judging the possible. However, Congress should reserve for itself
merits of an authorized project. The Gillharn Dam the decision whether to review the fundamental
litigation is a good case in point. After the project premises of an authorized project and should assume
was enjoined initially, the Corps of Engineers filed a responsibility for any such review. Executive or
new, considerably more detailed impact statement. judicial termination of an authorized project on the
The Court found the statement adequate and lifted basis that it is fundamentally unsound environ-
the injunction, declining to substitute its judgment of mentally presents difficult separation of powers
the project's merits for that of Congress .71 questions. 73 If Congress reassesses a project and
The careful analysis which NEPA requires is determines that it should proceed, perhaps in appro-
healthy, and in the absence of congressional action priating funds after considering the possible environ-
the Commission believes that courts have acQ mental impacts of the project, the decision is made
property in enforcing this requirement. Nonetheless, by the same entity which authorized the project to
it is disturbing when issues of a project's fundamental proceed in the first instance. Congress may scrutinize
compliance with NEPA are raised-and resolved-after current projects in the light of the existing stage of
construction has begun and people have shaped their construction and the available alternatives. The ques-
decisions in reliance on the project. To avoid disloca- tion for Congress would not be the narrow one of
tion and waste, the issues of NEPA compliance whether the law had been complied with, but would
should be faced and resolved as soon as there is be whether, in light of all considerations, the project
sufficient information to do so. should proceed and, if so, how.

Future Projects - Under the procedures recom- CONCLUSIONS
mended in this chapter, Congress will be in a position 1. The Nation's record of taking important en-
to make an informed, dispositive determination of an vironmental values into account in the planning,
agency's compliance with NEPA at the same time it evaluation, licensing, and construction of water re-
considers the merits of a proposed project. The * source projects has not been completely satisfactory.
possible environmental effects of the project will have In the past, developmental values have tended to
been developed through the project agency's environ- predominate.
mental impact statement, the comments of sister 2. The National Environmental Policy Act does
agencies, public comments, the evaluation of the much to meet previous deficiencies in taking environ-
board of review, and congressional hearings utilizing mental values into account and in striking a sound
70 325 F.Supp. 749, 7 62 (E.D. Ark. 1972). accommodation or balance among developmental and
Committee for Nuclear Responsibility v. Seaborg, 463 "Cf. BENNETT, Charles (March 23, 1971). Statement, pp.
F.2d 783 (D.C. Cir. 1971); cf D.C. Federation of Civic 34-83 in U.S. CONGRESS, Senate, Subcommittee on
Associations v. Volpe, 459 F.2d 1231 (D.C. Cir. 1971) Separation of Powers of Committee on the Judiciary
(Three Sisters Bridge case). (1971), Executive Impoundment of Appropriated Funds,
"Environmental Defense Fund v. Corps of Engineers, 342 Hearings, 92d Congress, lst Session. U.S. Government
F.Supp. 1211 (E.D. Ark. 1972). Printing Office, Washington, D.C.

222

kil

America needs to preserve its environmental values

environmental values. However, the process could be 5. Difficult choices must sometimes be made
improved by the adoption of additional measures among important environmental and developmental
supplementing NEPA. values in particular cases where all such values cannot
3. Environmental review requirements, particu- be accommodated, but it is possible to achieve a
larly under NEPA, have created uncertainties and sound balancing of values, without unacceptable
delays. Delays, especially when a project is under delay, through the use of appropriate procedures.
construction or completed, can be costly and disrup- 16. In considering a proposed water project or use,
tive. The Commission is concerned that there are developmental values should not be sought irrespec-
inherent possibilities for delay at critical junctures tive of environmental values which will have to be
under present arrangements for environmental review foregone as a result; nor should any single level of
and concludes that certain measures are needed to; environmental quality be protected irrespective of
expedite that review. potential developmental values. Where important
4. Careful planning frequently can accommodate environmental and developmental values conflict and
important developmental and environmental values in cannot be reconciled, the attainment of one must be
a harmonious solution. viewed as a sacrifice of the other. Sometimes it will

223

be rational to make substantial environmental sacri- venors, by allowing written statements, by
fices; other times it may not be worth even a small prehearing conferences to settle side issues
sacrifice. Only if the social benefits to be gained and limit testimony, by allowing for
outweigh the social costs to be sacrificed should a unified presentation by parties with similar
proposed project or use be sanctioned. interests, by circulating direct testimony in
7. Present arrangements with respect to non- advance, by legislative-type hearings, or by
Federal projects which require licenses and permits some combination of these devices.
could be improved by the measures set forth in d. NEPA review should be integrated into
Recommendation 6-1. Federal licensing proceedings by the fol-
8. Congress should continue to make the choice lowing measures:
where important development and environmental (1) The staff environmental impact state-
values conflict with respect to proposed water pro- ment should be submitted for com-
jects requiring Federal authorization and funding, ments and notice of its availability
rather than delegate that responsibility to an execu- should be provided at the time the
tive balancing agency or to an agency with veto notice of the licensing hearing is
power over projects believed to be environmentally given.
unsound. (2) Licensing agencies should accept and
9. Present arrangements for achieving an accom- encourage oral and written com-
modation or a balance among important develop- ments from the public on matters
mental and environmental values with respect to discussed in the staff environmental
Federal water resources projects could be improved impact statement.
by the measures set forth in Recommendation, 6-2. (3) Licensing hearings should commence
only after a period of time sufficient
RECOMMENDATIONS for public review of and comment on
the staff environmental impact state-
6-1. ne following measures should be adopted ment.
with respect to non-Federal projects which (4) Comments on the environmental im-
require licenses or permits to utilize the pact statement received from the
Nation's waters: public, and from Federal, State, and
a. Planning and licensing responsibilities local agencies, should be submitted
should be separated by the use of pre- for the hearing record to permit the
licensing planning. hearing examiner to assess whether
b. Siting questions should be resolved and the staff has developed an adequate
State and local environmental require- evidentiary record with respect to
ments satisfied by: the NEPA issues.
(1) Long-range planning for plant sites, (S) The hearing examiner's decision
with notice to the public and an should determine both the licensing
opportunity for the public to partici- and the NEPA issues, subject to
pate in the planning. review by the licensing agency and
(2) An authoritative determination of appeal of the agency's decision.
the suitability or nonsuitability of a e. Federal licensing agencies should be au-
proposed site, in light of environ- thorized to rely upon proper determina-
mental and developmental values, tion by a State or interstate site planning
well before the planned date of agency that development at an approved
construction. site is consistent with a comprehensive
(3) A single certification proceeding plan, in order to limit the scope of
capable of balancing values and re- alternatives to be considered during the
solving all questions of State and licensing proceeding. Where the site plan-
local law relevant to the siting of a ning agency makes a comprehensive exami-
particular proposed plant. nation of alternative site possibilities and
c. Delays during licensing hearings should be evaluates the environmental and develop-
limited by limiting the number of inter- mental attributes associated with them,

224

Congress should authorize Federal ficens- velopment agency's compliance with en-
ing agencies to limit their consideration of vironmental requirements and the pro-
sites to those approved by the site plan- posed balance among environmental and
ning agency. developmental values.
f. Licensing agencies' responsibility to con- d. An environmental advocate should be
sider alternatives should be united with the employed by Congress to assure that im-
authority to license the alternative judged portant environmental matters are brought
best. to its attention before it acts on a project.
g. Federal licensing and permit requirements e. Congress should determine the adequacy
should be consolidated so that issues of a project's fundamental compliance
which now are addressed by several with environmental requirements, includ-
Federal agencies shall be resolved in a ing NEPA.
single agency proceeding. Congress might
designate one agency presently required to 6-3. Congress should hold hearings on the issues
examine a proposed project as the lead raised by the NEPA requirement that Federal
agency to determine such issues, or pro- agencies, consider alternative courses of action.
vide for a consolidated proceeding before These hearings should address the question of
an entity constituted so as to assure a how far Federal agencies must go in identify-
balanced approach, with the competence ing, developing, and evaluating alternatives; the
and responsibility to assess all relevant appropriate procedures for this consideration;
factors. and the means of uniting the responsibility to
6-2. The following measures should be adopted to consider alternatives with the power to imple-
improve the accommodation or balancing of ment the alternative judged best.
important environmental and developmental 64. Congress should authorize Federal agencies
values associated with Federal water resources having authority to determine, license, or
projects: approve the selection of a site for a powerplant
a. Better environmental information should or other water-using industrial plant affecting
be introduced into water resources plan- both State and Federal interests to enter into
ning through improved techniques of agreements with those States and interstate
public participation and agency environ- agencies meeting federally prescribed standards
mental analysis. and criteria 6mbodied in regulations to be
b. The public comment process under NEPA promulgated for the purpose of enabling State
should be developed by encouraging writ- and interstate agencies to establish their eligi-
ten comments, or oral presentations in a bility. Under the agreements an eligible State
hearing held by the project agency, on or interstate agency could be authorized to
draft environmental impact statements, hold public hearings either independently or
and by requiring project agencies to re- jointly with the Federal agency to consider
spond to such comments in preparing final siting or licensing proposals, or both, and make
environmental impact statements. f inal determinations in accordance with
c . The proposed Board of Review, utilizing applicable Federal and State laws and regula-
an environmental advocate or some other tions and such additional guidelines as might be
effective device, should examine the de- included in the agreements.

225

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Chapter 7
Making Better Use
of Existing Supplies

-Section A State ground water management programs . before
authorizing additional water development projects.
Introduction The Commission is also concerned about ground
This chapter, in sections lettered A through H for water pollution, not because ground water quality is
ease of reference, deals with improvement in the now bad, but because deterioration is occurring and
practices, procedures, and laws relating to existing the effects are long term and sometimes irreversible.
water use. The purpose of the recommended changes The Federal approach to surface water quality should
is to secure greater productivity, in both monetary apply also to ground water, in that the States should
and nonmonetary terms, from existing water supplies. set standards acceptable to the Federal Government
Thus, the recommendations relate both to measures on discharges reaching ground water reservoirs.
that would contribute to economic growth and to Lastly, the section recognizes that the need for
measures that would enhance the recreational and information to accomplish these objectives is great
esthetic value of water. "Existing supplies" means and that additional funding should be provided the
water supplies presently in use, whether the uses are U.S. Geological Survey to conduct investigations.
instream (i.e., confined to the water body itself), Section C discusses pricing as a means of achieving
direct surface diversions, or withdrawals from surface better use of water. Pricing means user charges 'that
or ground water storage. reflect the costs of the water and the supply system.
The chapter begins with ground water (Section B), The Commission concurs in the great weight of
for the problems associated with its management are current thinking that holds that water is not
widespread and the savings that could be achieved are ordinarily a free good but is usually a scarce and
large since the volume of water involved is large. The valuable resource for which there is competition. At a
Commission concludes that a uniform national minimum, users should pay the costs of supplying the
ground water law is not desirable becauseof the great water, and the price to each user should reflect the
variety in aquifer characteristics, in legal regimes extra cost of serving him-a concept called
allocating the resource, and in the economic and "incremental or marginal cost pricing." Of course, it
social milieu in which the uses take place. But ground is not administratively feasible to fix a different price
water management represents a national problem, for each user-but users can be classified in groups,
acute in some parts of the country and emerging in and incremental costs for enlarging and extending the
others. Recommendations are addressed to the States system can be charged to those users benefiting from
for improving ground water use, primarily, by the added system components.
providing for integrated administration and manage- It is the Commission's belief that an economically
ment of surface and ground water supplies by sound system of user charges for water services will
agencies fully empowered to effectuate conjunctive conserve water supplies, retard premature investment
use. Steps are recommended to prevent premature in water development projects, redu 'ce financial
exhaustion of supplies through ground water mining. burdens now borne by those who do not benefit from
It is suggested that the Federal Government examine the services, and allocate water more efficiently
among competing users, To accomplish these
objectives, it is recommended that Federal assistance
Orchard irrigation, Salt River Project, Arizona be conditioned on cost-based pricing of water supply.

227

Free bargaining in water rights is another means of is made to a number of apparently successful efforts
allocating the resource more efficiently. However, a recently initiated by States. Specifically, Section E
large amount of water in the West, especially notes five different legislative actions aimed at pro-
relatively low-value agricultural water, cannot be tecting instream values:
freely bargained over. It is held under vested legal (1) reserving portions of streams from develop-
rights by the users, or is held by the U.S. Bureau of ment and setting them aside as "wild rivers;"
Reclamation and is furnished the user under long- (2) authorizing a public agency to file for and
term contracts that would be difficult to amend with acquire rights in unappropriated water;
pricing provisions. That water, nevertheless, is often (3) setting minimum strearnflows and lake levels;
capable of being reallocated to more valuable uses by (4) establishing environmental criteria for the
operation of market forces if legal obstacles to water granting of permits to use water;
rights transfers are removed. Section D describes (5) forbidding the alteration of watercourses
those obstacles and proposes changes in laws and without State consent.
procedures for their removal. Three principal cate- A State considering legislation to protect instrearn
gories of changes are proposed: values should at the same time review its law on
(1) State water rights records should be improved public access to water bodies. The law is extremely
to reflect actual, existing uses, uses not on complicated and much of it must be decided by the
the record should be required to file, "paper courts, for it involves Federal and State land titles,
rights" not in use should be terminated. the concept of navigability, and the somewhat
(2) The legal and administrative procedures for obscure doctrine of the public trust, which traces its
effecting a water right transfer should be history back to the Tudor Period of England.
simplified. Nevertheless, legislatures can contribute by reviewing
(3) Legal restraints and uncertainties on the the law on public access, by providing for co-
power to make transfers should be removed; ordination of State water use plans with State
in the case of Bureau of Reclamation water, recreational plans, and by appropriating funds for the
the user should be free to make a transfer policing and maintenance of public beaches, lake
without Bureau consent if the works have shores, and river banks.
been paid for; if the works have not been Section F adopts the premise that better use of
paid for, the Bureau should be required to existing water supplies can be made in the Eastern
consent to the transfer if that portion of the riparian States if they would adopt a comprehensive
outstanding loan allocable to the water trans- permit system, on a basin-by-basin basis, as com-
ferred is paid off or is refinanced in petition for water use sharpens. That premise is
accordance with then-prevailing Federal supported by drawing attention to the need that
repayment policies governing municipal and planners and investors-public and private-have for
industrial water supply. In the case of non- certainty in water rights and administration and to
Federal water, State law should be changed the greater effectiveness of administrative agencies,
to allow individual users as well as public rather than courts, in protecting instrearn values and
districts to make transfers, without other public interests. The Commission's recom-
restrictions on service areas. All transfers, of mendations build on the thinking, incorporated in
course, would continue to be restricted by recent legislation, that use of A water, both ground
the rule that the transfer may not injure the water and surface water, should be comprehended by
rights of others. the permit system; water uses both before and after
Section E draws attention to the failure of State enactment of necessary permit system legislation
law in many instances to recognize and give legal should be regulated; minimum flows and public
protection to instrearn water values, such as fish and values should be protected; and the record system
wildlife, recreation, and esthetics. Related to the should be comprehensive and detailed. The section
problem of recreation is public access towater bodies. seeks to advance current thinking by setting out
Because of the great variety in State laws and the specific, somewhat detailed provisions for allocation
diversity of approaches available to protect instream. of water in periods of shortage and by providing for
values, the Commission has not proposed a model private bargaining for the transfer of water rights
law. Instead, it has drawn attention to the problems permits to higher uses. A balance is sought to be
and proposed alternate routes to solutions. Reference struck between certainty for users and flexibility for

228

public purposes by providing that the term of a opposite of what would save water: the more water
permit should reflect the amortization period of the that is used, the cheaper the rate.
associated investment and that permits should be Many industries are supplied through municipal
renewed unless the water is needed for a public systems. Incentives to make those uses more efficient
purpose. can be inaugurated through the adoption of a
Reduction of physical losses of water by better cost-based pricing system. Other industries are self-
husbandry is considered in Section G. The greatest suppliers, and States should seriously consider user
savings can be effected in the agricultural area, which withdrawal charges in such cases; in the East this
accounts for about 83 percent of the Nation's could be part of the enactment of a comprehensive
consumptive use of water, but worthwhile savings can water rights permit system of regulation.
also be accomplished in municipal and industrial use. The Nation can also make better use of existing
The section recommends that several measures be water supplies if municipal and industrial wastewater
taken in the West, where most agricultural water is is reused in accordance with a comprehensive waste
consumed. These same measures can be applied in the treatment and reuse plan-a topic discussed in Section
East, under a permit statute, when water supply H. While supply conditions in the Nation at large will
becomes short. In the West, an appropriative right is not require society to face soon the complex
defined in terms of, and is measured by, beneficial technical and psychological problem of reuse for
use. There is no right to use an amount in excess of domestic purposes, significant water savings can be
what is deemed beneficial. State water agencies achieved from reuse for industrial and recreational
should strengthen the administration of water rights purposes. Costs are a factor, of course, and the
to enforce the beneficial use concept and to reduce economics of reuse will vary from place to place
waste, and Congress should have reports on waste depending on circumstances. However, as the Nation
prevention when considering projects for additional moves toward higher water quality, the move should
water supply. It would also be desirable for the be accompanied by careful consideration of greater
Western States to. quantify the "duty of water," that reuse of existing supplies.
is, the amount of water reasonably necessary to Another obvious way to make better use of
irrigate specified crops in designated farming regions. existing water supplies is to provide for adapting
Similar quantification should be applied to con- existing projects to changing needs. Reservoirs built
veyance losses in canals used to move water to the for irrigation, for example, might well be adapted for
point of use. use to supply municipal and industrial water needs as
Under Western law it will be necessary to provide demands for those purposes grow. In many instances,
incentives other than legal compulsion to achieve the changeover will result easily, through the working
additional savings from such practices as lining canals of the market. For some reservoirs, however,
and ditches, switching to sprinkler irrigation, particularly those constructed by the Federal Govern-
managing surface and ground water conjunctively, ment, the terms of the original authorization are such
selecting more protected reservoir sites, and that no transfer of use is possible without legislative
improving techniques in scheduling the time and reauthorization. The need for this and
amount of irrigation water deliveries. The traditional recommendations for periodic review of project
incentive for saving-that the benefits accrue to those authorizations is discussed in the introductory
who save-is absent under the laws of some States, portion of Chapter 5.
which hold in effect that any savings which are The emphasis of this chapter is on developed water
achieved belong to the stream for use by, others. resources-that is, existing supplies of water already
Without overlooking the problems of quantification in use. But closely related is further development of
and protection of property rights of other users, the indigenous supplies. One traditional means of putting
Commission recommends that the States encourage an indigenous supply to better use is streamflow (or
water-savings practices by allowing use of salvaged river) regulation by means of dams and reservoirs.
water on other land of the salvor or by allowing him There is no doubt that strearnflow regulation will
to sell such salvaged water for use by others. continue to be an attractive alternative for -putting
The most effective means of reducing water con- water supplies to better use, and that multipurpose
sumption by municipalities and industries is a sound dams will be built in the future when they are
pricing system coupled with individual metering. economically desirable and environmentally
Many cities have a pricing system exactly the acceptable.

229

Development of streamflow regulation tends to be authorize advance acquisition of those high-priority
a gradual process with dams being constructed reservoir sites which (1) are potentially highly
sequentially as demand develops. This staged process desirable to meet future water demands, (2) have no
of regulation can be disrupted by preemption of use more valuable than for water storage, and (3) are
reservoir sites by incompatible development, such as in danger of preemption. To implement this policy,
highway construction and urbanization. A study Congress should direct the planning and construction
prepared by the Corps of Engineers at the request of agencies to prepare requests for the acquisition of
the Commission states that of 132 Corps projects sites meeting these criteria.
now authorized but as yet unbuilt, 35 are on sites Simply acquiring a reservoir site prior to project
threatened by preemption. A parallel study by the planning, as useful as that is as a means of reducing
Bureau of Reclamation states that six sites, out of 63 windfall benefits and insuring against preemption of
authorized projects, are similarly threatened. Similar sites for uses which are not the highest and best,
preemption threatens unauthorized project sites. should not mean that society is irrevocably com-
It does not follow, of course, that the preemption mitted to use of a particular site for a particular
of a reservoir site by other uses is necessarily a purpose. Resale of reservoir sites or aqueduct rights-
misallocation of resources. It is quite possible that of-way, held for future water development, should be
other uses of the site are more productive. The encouraged whenever superior alternatives appear or
problem is that present policy does not adequately it is clear the sites will not be developed for the
recognize and deal with the matter. Congress should intended purpose.

Section B
Improving Ground Water Management'

All water that exists below the surface of the earth How much water is this? The ground water supply
in the interstices of soil and rocks may be called in storage to a depth of one-half mile within the 48
subsurface water; "that part of subsurface water in contiguous States has been estimated at 180 billion
interstices completely saturated with water is called acre-feet. In contrast, the larger lakes of North
groundwater."' Of practical concern is that portion America contain about 27 billion acre-feet. Natural
of ground water that can be extracted by wells or annual recharge may average more than I billion
that forms the base flow of surface streams. There is acre-feet. While this estimate of recharge may be
misinformation, misunderstanding, and mysticism liberal, it indicates the general magnitude of annual
about ground water that credits it with occurrence in recharge compared to ground water in storage. On the
underground rivers, pools, and veins, and that basis of the above estimates, the volume of ground
separates "percolating" underground water from water in storage to a depth of one-half mile is roughly
"underground streams." With a few exceptions, such equivalent to the total of all recharge during the last
as in some limestone formations, ground water does 160 years.'
not occur in pools or channels of the kinds thus The total amount of ground water in storage which
called to mind; it is found in interstices of porous and is usable with present technology is said to approxi-
permeable subsurface formations. mate 10 years' annual precipitation or 35 years'
annual surface runoff-some 46 billion acre-feet .4
Ground water supplies about 22 percent of the water
'This section is based in part on two background studies withdrawn for use in the country, and this percentage
prepared for the National Water Commission: MACK, 3NACE RL (1960). Water Management, Agriculture, and
Leslie E (1971). Ground Water Management. National Ground-Water Supplies, Circular 415. U.S. Geological
Technical Information Service, Springfield, Va., Acces- Survey, Washington, D.C. p. 3.
sion No. PB 201 536. CORKER, Charles E (1911). 4CROSBY JW 111 (1971). A layman's guide to ground
Ground Water Law, Management and Administration. water hydrology, ch. 11 in CORKER, Charles E, Ground
National Technical Information Service, Springfield, Va., Water Law, Management and Administration, prepared
Accession No. PB 205 527. for the National Water Commission. National Technical
'WALTON WC (1970). Groundwater Resource Evalua- Information Service, Springfield, Va., Accession No. PB
tion. McGraw-Hill Book Co., New York. 205 527. p. 52.

230

is likely to increase because of increasing demands important element in a water conservation and
and the wide availability of ground water.' Between development program.
one-third and one-half of the coterminous United In the Eastern and Midwestern portions of the
States is underlain by ground water areas capable of country, ground water law is judge-made law, deriving
yielding 50 gallons per minute or more to wells. from the English common-law rule of "absolute
The great increase in the use of ground water for ownership."' Each landowner was allowed to pump
irrigation, commencing in the late 1930's, is water from wells on overlying land without
attributable in part to technological advances. restriction. Damage inflicted on neighbors was not
Inexpensive energy became available to most farms to compensable. The "American rule" modified the
power irrigation pumps. The Southern High Plains of common law only slightly; it required the use to be
Texas provide a dramatic example of the con- "reasonable" and gave protection to injured
sequences. This area covers about 25,000 square miles neighbors for uses deemed unreasonable, such as
overlying the Ogallala Formation, an aquifer with outright waste or, in some jurisdictions, use away
minimal recharge in this region. In 1937, some 600 from the overlying land. Interpretation of the
irrigation wells had been drilled in the area. 6 By American rule varies from State-to-State and from
1969, the number of wells had increased to 55,000, case-to-case, since the resolution of each controversy
irrigating approximately 4 million acres of land with is ad hoc. To generalize to the extent possible, the
an annual withdrawal rate of about 5 million acre- Anglo-American ground water law conferred a
feet.' Parallel developments occurred in some other privilege on landowners to pump ground water as
parts of the country. In the decade 1950-1960, wells they saw fit, restrained only by a vague rule of reason
in Maricopa County, Arizona, were pumping about 2 that prohibited extreme conduct injurious to others.
million acre-feet of water a year, lowering the water Pumping that caused a permanent lowering of the
table in some places by as much as 150 feet during water table was not actionable under the common
the 10-year period.8 While tfiere seems to be no law.
nationwide overdraft on ground water aquifers, local . In some Western States, the common law of
overdrafts are experienced across the country, from ground water has been significantly modified.
New York, New Jersey, and Florida to California. Responding to continuously falling water tables and
Several characteristics of ground water warrant its to the prospect of exhaustion of aquifers, Western
prudent management. Because of its slow movement courts and legislatures have adapted the prior
through aquifers, it may be thought of as water in appropriation system to ground water (i.e., a water
storage. The reservoir is readily accessible in many right is acquired by withdrawing water and applying
parts of the country, often where surface supplies are it to a beneficial use). The operation of appropriation
becoming scarce and costly to use. It loses little water law on ground water is similar in some respects to its
to evaporation, it requires no construction of dams to operation on surface water, and is different in other
provide the storage capacity, and the water is often of respects. When a court or administrator deems that
good quality. AD of these advantages can be offset by there is no more surface water available for use, the
misuse of the resource. Thus, from the national stream is closed to further appropriations. Similarly,
standpoint, proper management of ground water is an an overdrawn aquifer may be closed to additional
pumpers.
The appropriation law of surface water and ground
5U.S. WATER RESOURCES COUNCIL (1968). The water may differ, however. When surface supplies are
Nation's Water Resources. U.S. Government Printing short, each user is shut down in inverse chronological
Office, Washington, D.C. p. 3-2-7. See also McGUINNESS order of the date of his right. Thus, a late priority
CL (January 1965). Ground water - a key resource.
Ground Water 3(l):24-29. gets surface water in wet years and does not in dry
"McGUINNESS CL (1963). The Role of Ground Water in years. When a ground water aquifer is overdrawn,
the National Water Situation, U.S. Geological Survey established pumpers are usually permitted to
Water Supply Paper 1800. U.S. Government Printing
Office, Washington, D.C. p. 843.
'TEXAS WATER DEVELOPMENT BOARD (1971). In- 'This discussion is based on CORKER, Charles E (1971).
ventories of Irrigation in Texas 1958, 1964, and 1969, Ground Water Law, Management and Administration,
Report 127. Texas Water Development Board, Austin, prepared for the National Water Commission. National
Tex. Table 1. Technical Information Service, Springfield, Va., Acces-
'McGUINNESS CL (1963). op. cit. p. 149. sion No. PB 205 527. pp. 98-127.

231

continue pumping in the amounts historically with- benefits of ground water use as it sees fit, as there is
drawn. The consequence may be a continual lowering no significant national impact from one decision or
of the water table. Thus, while surface water another. In such disputes, the States should consider
appropriation serves to allocate a short supply, employing the flexible powers of the equity court to
ground water appropriation law does not necessarily achieve least-cost physical solutions.
do so. Courts have stated that in such circumstances However, at least one consequence of the opera-
junior pumpers may be forced to pay the increased tion of ground water laws and decisions is of national
costs of senior pumpers, but decrees to this effect are concern. It is the mining of ground water. The
hard to find. Federal concern here arises not so much from the fact
Only a few States have squarely faced the broader that the resource may be ultimately depleted,
social problems caused by ground water mining. The although that is a problem, but from the fact that the
California Supreme Court confected a rule that depletion is unplanned, and the future is not provided
required pro rata cutbacks in pumping when an for. As disaster approaches, the Federal Government
aquifer is overdrawn." The New Mexico legislature is likely to be implored to step in with a rescue
empowered the State Engineer to declare overdrawn project, commonly conceived as one to furnish a
aquifers to be critical ground water areas and impose supplementary water supply at taxpayers' expense to
drilling restrictions therein. Under this statutory save an established economy, an economy that
authority the State Engineer has reserved one-third of became established in the first place by imprudent
the water in overdrawn aquifers from present use and overuse of ground water. The principles that should
has set a life of 40 years for the balance of the govern a rescue project of this sort are discussed in
supply. He administers drilling permits so as to Chapter 8 in connection with interbasin transfers of
apportion the available two-thirds of supply over the water; means for avoiding doomsday are considered
40-year period.' in this section.
This section also considers the integrated use of
THE PROBLEM surface water and ground water and the management
The three principal problems of ground water law, of .these often interrelated sources of supply in
management, and administration are: (1) integrating conjunction with one another. Federal legislation on
management of surface water and ground water, (2) these topics is not proposed because the problems
depletion of ground water aquifers at rates exceeding cannot be solved most effectively by a single, national
recharge (often referred to as the "mining" of ground approach. The management of ground water depends
water), and (3) impairment of ground water quality. on the characteristics of the aquifer systems, on the
Lesser, though important, problems are also con- availability of indigenous surface supplies, on the
feasibility of importing water, and on the legal
sidered: accelerating collection of ground water data regimes presently applicable to the resource. Thus,
together with fuller and more meaningful inter- each State will have to design ground water and
pretation of it, aquifer protection, and subsidence. surface water management schemes to suit its own
The Commission does not propose a uniform Feder physical and institutional peculiarities. Nevertheless,
law for ground water, but a number of measures that the Commission urges immediate and concentrated
the States should adopt without delay are proposed attention to ground water administration and
and it is recommended that Federal financial management in the numerous States where ground
assistance be tied to satisfactory performance by the water pumping is on the increase.
States in ground water management and admin-
istration.
Where ground water law is applied to adjudicate DISCUSSION
private disputes over well interference, there is no The discussion hereinafter covers several of the
need for uniform legislation or for Federal concern. important aspects of ground water management: the
Each State should be free to allocate the burdens and reasons why use of surface water and ground water
should be integrated; the need for ground water
"Pasadena v. Alhambra, 33 Cal. 2d 908, 207 P. 2d 17 management; the problems of, and proposed solu-
(1949)- tions to, ground water mining, ground water pollu-
"See, for example, Mathers v. Texaco, 77 N.M. 239,421 P. tion, and interstate ground water aquifers; and,
2d 771 (1966). finally, the need for more and better information.

232

Integrating Use of Surface Water and Ground Water some possible means of improving the situation where
Supplies the problem has already become acute, but the
Two aspects of integration are considered. First, recommendation here is addressed to the States in
the need for integration of the two water supplies- which the problem lies in the future and there is still
surface and ground-should be understood. Second, opportunity to avoid it by present action.
heavy use of ground water can adversely affect To effectuate Recommendation 7-1, the States will
surface water supplies and this, too, must be under- have to proceed along a variety of paths, because the
stood. evolution of their laws has taken different directions.
States that have an appropriation system for surface
The Need for Integration: Ground water is often rights may wish to adapt that system to ground water
naturally interrelated with surface water: ground uses, as has occurred in several Western States. Such
water feeds springs and surface streams, and surface States, as is recommended later, should also institute
water charges ground water reservoirs. Nevertheless, management schemes for the common resource.
there persists in the laws of many States myths (long States adhering to the riparian system of water rights
ago abandoned by hydrologists) that ground water is may find it desirable to adopt a statutory permit
separate from and unrelated to surface water. 12 system encompassing surface and ground water and
13
modifying the common law theretofore applicable.
Recommendation No. 7-1: State laws should recog- Proposals for a statutory permit system for these
nize and take account of the substantial interrelation States will be found in Section F of this chapter.
of surface water and ground water. Rights in both
sources of supply should be integrated, and uses Overdrafts Affecting Surface Supplies:
should be administered and managed conjunctively. Recommendation No. 7-2: Where surface and ground
There should not be separate codifications of surface water supplies are interrelated and where it is
water law and ground water law; the law of waters hydrologically indicated, maximum use of the com-
should be a single, integrated body of jurisprudence. bined resource should be accomplished by laws and
regulations authorizing or requiring users to sub-
Discussion - As a consequence of the faulty stitute one source of supply for the other.
perception of hydrology that ground water is separate
from and unrelated to surface water, different legal Discussion - In several Western States, notably
regimes were applied to surface water and ground Arizona, Colorado, and New Mexico, heavy use of
water, and only recently and in only a few water- ground water has caused reduced flows in rivers that
short Western States has an effort been made to form the source of supply for surface water
coordinate the administration of the integrated
surface water-ground water supply. As Colorado and 'The system of water law adopted by most Western States
New Mexico have discovered, when the coordination is known as the law of appropriation. The basic tenets of
effort comes late-after an economy has been that system are that (1) a water right can be acquired
developed in reliance on two different legal systems only by diverting the water from the watercourse and
for one interrelated supply -achieving coordinated applying it to a beneficial use and (2) in accordance with
administration is very difficult. The problem in those the date of acquisition, an earlier acquired water right
shall have priority over later acquired water rights. Water
two States is that surface water users generally came in excess of that needed to satisfy existing rights is
first, followed by ground water users pumping from viewed as unappropriated water, available for appropria-
aquifers interdependent with the surface stream. Over tion by diversion and application of the water to a
time, depletion of the underground aquifer reduced beneficial use. The process of appropriation can continue
surface flow so that senior surface users were until all of the water in a stream is subject to rights of use
through withdrawals from the stream.
deprived of water by junior pumpers. Untangling this Riparian water rights, characteristic of the Eastern
confusion has been a persistent problem in parts of States, protect adjacent landowners from withdrawals or
the West. The next portion of this section discusses uses which unreasonably diminish water quantity or
quality. Where diversions or uses have been unreasonable,
either they have been enjoined or riparian owners
CORKER, Charles E (197 1). Ground Water Law, Manage- adversely affected have been compensated for inter-
ment and Administration, prepared for the National ference with their rights. The concern of riparian law has
Water Commission. National Technical Information Serv- been one of protecting private, rather than public, rights
ice, Springfield, Va., Accession No. PB 205 527. p. 147. in lakes and streams.

233

appropriators with much earlier priorities. Serious the combined resource. This kind of management
difficulties arise in attempting to identify particular may involve allocating the supply of ground water
pumpers who are responsible and to determine the and surface water not only to the production of
amounts by which each is depleting the surface goods but to esthetic and recreational uses as well.
stream. It may be equally difficult to identify the Managers, properly directed, should take the
surface rights that have been injured, since the stream necessary steps to protect, conserve, and in some
may have been losing water to ground water instances augment the supply to assure its optimum
diversions over extended periods of time. use.
The objective, in situations such as these, is to
integrate ground water and surface water uses. Recorniiiendation No. 7-3: The Commission recom-
Suppose, for example, that the combined supply of mends that States in which ground water is an impor-
ground and surface water would 'satisfy the demand tant source of supply commence conjunctive manage-
of all appropriators-surface and underground, senior ment of surface water (including imported water) and
and junior-but that the surface supply alone would ground water through public management agencies.
not satisfy surface diverters. If so, it would be
undesirable to close wells so as to guarantee surface Discussion - At least two modes of organization
appropriators their full supply at the surface. Instead, are available for ground water management. That
the owners of rights to divert water from one source most commonly encountered is the single regulatory
should be encouraged and, where the occasion agency, at the State level, having jurisdiction over the
warrants, required to take their supply from the other entire State and empowered to declare ground water
source. If senior surface appropriators in this illustra- basins to be in critical condition under prescribed
tion could thus be supplied from time to time from statutory standards. New Mexico is an example of
underground diversions, there might be no need to this approach. The other mode, examples of which
close interfering wells at times when the combined are found in California, is to create a public manage-
resource is adequate for all but when the surface ment district embracing the critical aquifer. The
strearnflows are too low. Commission expresses no strong preference for one
Where alternate points of diversion exist, as, for form of organization over the other. The form of
example, where a surface water user also owns a well organization should depend on the problems
that could supply his needs if he were authorized to encountered-hydrological, institutional, and legal. In
use it, laws should be enacted and administrative general, however, the more comprehensive the
regulations promulgated to foster conjunctive use. In management needs to be, the more appropriate is the
this illustration, a regulation might authorize use of district form of organization, subject to oversight by
the well to take water normally taken from the the State Engineer.
stream. Where an administrator finds it necessary or The managing agency, State or local, will face
desirable, a regulation might require use of the well. certain operational choices. It must determine
Water pumped from the well could be charged against whether water extraction is (1) to be permitted to
the user's surface entitlement. Of course, where such exhaust the supply or (2) to be limited to water
alternative facilities do not exist or would be costly available on a "sustained yield" basis at determined
to install, a program of management to shift the cost or determinable pump lifts. It can thus chart a course
of conjunctive use from individual users to all users somewhere between complete depletion and full
may be called for. preservation. Similarly, it may decide whether and
under what circumstances to permit new uses in a
Ground Water Management basin, whether or not to limit those new uses to the
available recharge, whether to prolong or shorten the
Recommendations 7-1 and 7-2 urge the States to life of the aquifer. For example, for a designated
regulate both surface and ground water uses because basin it may be possible to establish an economically
complex problems of conjunctive use are beyond the optimum useful life and then, giving due regard for
reach of private law doctrines. Just as one kind of annual withdrawals and annual recharge, to prohibit
regulation, described above, may promote con- new wells that would exhaust the resource before the
junctive use of privately-owned water rights, another end of the time period so designated.
kind of regulation-in the form of management by a Different management tools can be used in dif-
public agency-may also help make optimum use of ferent circumstances. Where a basin has already

234

undergone adjudication and many private rights have approximately the same price per acre-foot for water
been decreed, management may amount to little no matter what the source, and all water users pay
more than administration of the decreed rights and part of the costs for importing water even though
regulation of new withdrawals. On the other hand, some may use no part of it.' s Even in the absence of
the management agency might use economic tools in a supply of imported water, a similar pricing system
lieu of, or in addition to, regulatory ones. A water can be used to apportion withdrawals between
management agency having the power to impose indigenous surface supply and ground water supply.
pump charges would be able to introduce incentives The question of responsibility for organizing a
to affect decisions of water users in the interest of the water management agency with broad powers to
best use and conservation of the resource. Through effect conjunctive use must be resolved. Despite the
taxing or pricing mechanisms a management agency success of the Orange County Water District,
may, in effect, efficiently ration ground and surface experience elsewhere (for example, in Colorado)
water. suggests that little is accomplished if formation of the
An illustration is provided by the management district is left to the local users. There is a reluctance
scheme employed by the Orange County Water to grant to such an agency the taxing and other
District in Southern California. The District can buy powers essential for comprehensive, conjunctive
imported water from the Metropolitan Water District management. 16 Therefore, the Commission recom-
of Southern California. Ground water is also mends that the power to create and oversee the work
available, but sole reliance on it would cause an of local water management agencies be vested in State
overdraft, as it has in the past. Each year the Orange administrative officers generally charged with the
County Water District determines how much of the administration of natural resources-the State depart-
water demand shall be supplied from ground water ment of natural resources, the State engineer, or
and how much from imported water. The determina- other appropriate State officers.
tion of the amount of ground water withdrawal is Recommendation No. 7-4: The States should adopt
based in part on the quantity in storage in the aquifer legislation authorizing the establishment of water
and the anticipated recharge, including artificial management agencies with powers to manage surface
recharge. water and ground water supplies conjunctively; to
Suppose in a given year that the District decides to issue revenue bonds and collect pump taxes and
meet demand with 60 percent ground water and 40 diversion charges; to buy and sell water and water
percent surface water; these percentages establish rights and real property necessary for recharge pro-
each user's "fair share" of basin supply. Then the grams; to store water in aquifers, create salt water
District establishes the cost differential between barriers and reclaim or treat water; to extract water;
pumped water and imported water. Suppose to sue in its own name and as representative of its
imported water costs $14 per acre-foot more than members for the protection of the aquifer from
pumped water. If a water user takes a total of 100 damage, and to be sued for damages caused by its
acre-feet of water during the year, pumping 60 operations, such as surface subsidence.
percent and taking imported water for the other 40
percent, he pays no special charge,' 4 although he has, "The District also buys imported water from MWD for
of course, paid a premium of $14 per acre-foot for artificial recharge. Those purchases are financed by taxes
the imported water. If the user takes the full 100 and other water charges.
acre-feet in ground water, he must pay a Basin Equity 'The comprehensive management system found in Orange
County is encountered infrequently elsewhere. Other
Assessment of $14 per acre-foot on 40 of the 100 States experiencing substantial overdrafts have achieved
acre-feet that he pumped. If another user takes his some success in regulating withdrawals by a quota system
100 acre-feet all in imported water (paying the $14 (eg., New Mexico). Still others have attempted regulation
per acre-foot premium on the total imported), the but for a variety of reasons it has failed to curtail drilling
(eg., Arizona). In the Texas High Plains, an effort is made
District will credit him with $14 per acre-foot for the to limit ground water withdrawals by prohibiting runoff
60 acre-feet he could have pumped from the aquifer. of tail water from the farm. Wastewater ponds collect the
As a consequence, all water users in the District pay excess water which is then used for irrigation. Thus,
pumping is limited, to the extent the regulation and its
enforcement are effective, to the amount that can be
'There are various other charges and taxes in the Orange used on the farm. This regulation does not, of course,
County District; here there is reference only to the restrict the drilling of more wells and the irrigation of
equalization charge, called the Basin Equity Assessment. more land; all it does is prevent waste.

235

Discussion - A full range of powers for effective (b) Acquisition and Alienation of Property. The
management would include the following: water management agency should be able to acquire
(a) Financial Powers. The management agency water and water rights and real pro@erty for such
should have the power to issue revenue bonds and to purposes as spreading water for aquifer recharge. The
levy pump taxes and diversion charges. The power to agency should have power to buy and sell water and
impose charges on the use of water within the district water rights and to export water out of the district
is vital if the agency is to be able to enforce rational when it is economically feasible to do so (when, for
choices between surface and ground water use where example, the return on water exported out of the
both are available and physically accessible to users. district is greater than the return on that same water
It might be questioned whether a pump tax could used within the district).
be levied in districts where there are outstanding (c) Operations. The agency should be empowered
adjudicated water rights. The Commission believes to store water either underground or in surface
the imposition of a pump tax is valid and that the reservoirs; to extract water; to create barriers against
courts would so hold. Water rights, like other kinds of saline or other low-quality water intrusion; and to
property, are subject to taxation. A water right is no reclaim and treat water.
more than the right to the use of a quantity of water, (d) Litigation. The agency should be authorized
and if a right-holder's use is fulfilled on terms to represent all landowners and water right owners in
substantially approximating those to which he is representative suits with respect to water rights and
accustomed, he is unlikely to obtain legal relief water quality within its jurisdiction, to sue in its own
because he is taxed for its use. Where the rights vary name to enjoin or to obtain damages for activities
in value owing to differences in priority, the tax injurious to ground water or to the storage capacity
structure could and should take these differences into of the aquifer.
account. With this range of powers available to it, a water
A precedent exists in the Orange County Water management agency should be able to perform
District, where all pumpers, new or old, are charged comprehensive management functions within its
for withdrawals.' ' Precedents also exist in the territorial jurisdiction.
regulation of oil and gas, where production controls
have been established to deal with the common pool Aquifer Protection: While it is customary to think of
problem and to support prices. Looking at the pump the ground water in an aquifer as a natural resource,
tax from the broad standpoint of regulatory power it is perhaps less obvious, but equally true, that the
under the Federal Constitution, it is observed that aquifer itself-its water-carrying, water-storing
one user's ground water pumping in a limited capacity-is an important resource to be protected.
recharge aquifer necessarily increases the costs of all
pumpers and eventually exhausts the resource. The Recommendation No. 7-S: The States should adopt
objectives of the pump tax are (1) to apportion those laws and regulations to protect ground water aquifers
increased costs among the pumpers equitably and (2) from injury and should authorize enforcement both
prolong the life of the resource. These objectives are by individual property owners who are damaged and
clearly within the police power of the State, and the by public officials and management districts charged
means employed to achieve the objectives-the pump with the responsibility of managing aquifers.
tax-is rationally connected to them. The Com-
mission believes, therefore, that pump taxes will Discussion - There are a number of ways in which
withstand constitutional challenge.' the aquifer's important characteristics-its capacity to
store water of good quality, its transmissivity, and its
capability of being recharged-may be damaged or
"Orange County Water Dist. v. Farnsworth, 138 Cal. App. even destroyed. Activities that might harm the
2d 518, 292 P. 2d 927 (Cal. Dist. Ct. of Appeals, 1956, aquifer may or may not involve withdrawing water
sustained the constitutionality of a pump tax imposed from it for use. Miners may intentionally drain an
under the authority of Section 44 of Cal. Stat. 1953, Ch. aquifer in order to remove rocks and minerals. Such
770. The pump tax was levied as a replenishment
assessment to pay for imported water to recharge an highway and building construction activities as
overdrawn aquifer.) blasting and excavation, and gravel pit operations,
State constitutions may, however, contain specific prohi- may damage an aquifer. Development may seal off
bitions that will require amendment. the. recharge zone of an aquifer, as, where a surface

236

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Discharge from irrigation well, Rio Grande Project, New Mexico

237

area is covered with a layer of impervious materials, subject to suit for damages caused by their opera-
or, the weight of overlying structures produces tions. Revenues from the pump tax may be used to
compaction of the aquifer or its recharge zone. provide a fund from which injured persons might be
Private remedies are generally available for aquifer compensated.
damage of the types described, and these should be
retained. Such remedies make relief available to Reports on Management:
owners of property rights where a public agency fails
to act. Moreover, private property owners should be Recommendation No. 7-6: Any Federal agency
able to obtain compensation for wrongful damage to seeking authorization of a Federal water project for
the aquifer measured by the loss they have suffered. an area having a usable ground water aquifer should
Nevertheless, the Commission believes that statutory, describe and evaluate the ground water management
publicly administered laws and regulations should programs in the area.
also be available to prevent injury to aquifers. In the
event of conflict between private plaintiffs and public Discussion - Congress should be apprised of the
officials over the conduct of litigation involving status of ground water management programs in areas
aquifer damage, control of the litigation can be given in which the desirability of authorizing Federal water
to the public official. projects is under consideration. Federal agency
The importance of protecting underground reports on proposed water projects should contain
aquifers from irremediable injury dictates the appropriate descriptions and evaluations of such
enactment of State legislation to permit regulation of ground water management programs so the Congress
those activities most likely to be harmful. Initially, can judge whether or not and the extent to which
permits should be required for all potentially progress in effective conjunctive management of
dangerous or harmful activities on or below the ground water and surface water is being made and,
surface. There should be continuous monitoring of thus, the extent to which that option is adequately
the effects of activities that might reasonably affect considered as an alternative to proposed Federal
water-bearing formations. As greater knowledge is projects.
acquired, regulations can be made more precise.
Subsidence: Just as it may happen that surface Ground Water Mining
activities may seal or compact an aquifer, interfering Ground water mining occurs when withdrawals are
with recharge, it may also occur that withdrawals of made from an aquifer at rates in excess of net
water from the formation may remove essential recharge. The problem becomes serious when this
support of the surface resulting in collapse or practice continues on a sustained basis over time:
subsidence of the surface and interference with ground water tables decline, making the pumping of
surface uses attended by damage to structures located water more and more expensive; compaction may
there. occur in the aquifer, adversely affecting storage
The laws of most States make owners or possessors capacity and transmissivity; and quality may be
of mineral or other subsurface estates liable to owners threatened by salt water intrusion. Ground water
or possessors of the surface estate for failure to mining may occur in aquifer systems having ample
provide subjacent (i.e., underlying) support. It is not recharge as well as those having negligible recharge. In
clear that users of water from an aquifer would be recharge aquifers, mining results from withdrawals
similarly liable to owner-occupants of the surface for substantially in excess of net recharge. In aquifers
subsidence, since liability in the case of mineral with little or no recharge, virtually any withdrawal
operations usually is based on the legal relationship constitutes mining and sustained withdrawals will, in
between the surface and subsurface owners. Un- due course, exhaust the supply or lower water tables
certainties that exist in State law with respect to the below economic pump lifts. A prime example of
duties of well owners to the owners of surface estates ground water mining in an aquifer system with
should be resolved. Where management of the aquifer negligible recharge is found in the Ogallala Formation
has been charged to a public agency, the agency in the High Plains of Texas, an area that also has
should be required to respond in the event damage limited surface water resources.
from subsidence occurs. Recommendation 7-4 The Southern High Plains of West Texas comprise
provides that water management agencies should be all or part of 28 contiguous counties south of the

238

Canadian River and bordering New Mexico. Most of Mining ground water is not inherently wrong. It is
the irrigated acreage has been developed since World wrong, however, when the water is mined out
War 11. The population of the area has increased in without taking account of the future value of the
the major towns and cities during this period and is water and the storage capacity of the reservoir. If a
now over 600,000.19 The area is heavily dependent ground water aquifer were entirely unrelated to other
on irrigation. Pumpage from 1953 to 1961 averaged 5 aquifers and to surface water bodies, and if it were
million acre-feet annually, compared to estimates of entirely owned by one person or organization, society
annual recharge of only 100,000 to 350,000 acre- could leave the decision to mine or not to rnine to the
feet .2 0 As a result, the resource is being rapidly owner. Presumably, the owner would seek to balance
depleted. Precipitous declines in agricultural produc- benefits from present production against anticipated
tion are forecast by 1990, with cotton production benefits from future production in such a way as to
reduced to 65 percent of that in 1966 and grain maximize economic return from the resource over
sorghums to 20 percent. These could be offset to time as in the case of any other type of mining. The
some degree by a return to dryland farming. By 2015, owner's self-interest would ordinarily coincide with
irrigated acreage, without other sources of water, is society's interest. But ground water reservoirs are
projected to decline from 4 million acres at present to often associated with surface supplies and with other
125,000 acres, water pumpage from 4.1 million to aquifers and are rarely in a single ownership.
95,000 acre-feet annually, and value of agricultural Accordingly, ground water reservoirs often suffer
production from $430 million to $128 million per from the mismanagement associated with other
year.' 1 With less than 2@6 percent of the present "common pool" resources, namely, excessive use
irrigation water, it is. expected that output will be 30 leading to premature exhaustion.
percent of the present value. While one may argue Common pool resources are those in which the
about the specifies of the forecasts, there is little right to make use of the resource without charge is
argument about the general prospects for the future. shared with others. In the most aggravated cases there
A similar situation is developing in other portions is no limit on the amount each may take. Since the
of the Ogallala Formation, which extends as far north resource is not priced, there is no incentive on the
as the Platte River and underlies portions of New part of any user to reduce consumption today in
Mexico, Oklahoma, Eastern Colorado, Western order to save for tomorrow. Anyone who foregoes
Kansas, and Nebraska. In the Texas Northern High present consumption to preserve future supply runs
Plains (the 10 counties of the Panhandle north of the the risk that another will take the resource for
Canadian River), irrigated acreage increased from present use. In short, there is no incentive to save for
317,000 acres to 1,144,000 acres, and pumpage from tomorrow even though all may agree that prices may
363,000 acre-feet to 1,378,000 acre-feet during the be substantially higher (and therefore the resource
22
period 1958-1969. In Kansas, it is reported that more valuable) in the future or that excessive use
10,000 new wells were drilled in the Ogallala Forma- today lowers prices below long-run profit maximizing
tion between 1965 and 197 1.23 levels. Examples include unregulated commercial
fishing and oil production, as well as ground water
"U.S. BUREAU OF THE CENSUS (January 1971). 1970 pumping. The social consequences are twofold: the
Census of Population, Advance Report, PC(Vl)-45, resource may be consumed at a rate faster than is
Texas. U.S. Government Printing Office, Washington, desirable and economies dependent on the resource
D.C. Table 1. may wither and die prematurely. The Nation should
"HUGHES, William F & HARMAN, Wyatte L (1969). be concerned with both.
Projected Economic Life of Water Resources, Subdivision Although the classic cases of misallocation of
Number 1, High Plains Underground Water Reservoir, common pool resources involve uses that are neither
Technical Monograph 6. Texas A&M University, College
Station, Tex. priced nor limited in quantity, placing a restriction on
"Ibid., p. S. the number of new wells that can be drilled and the
22 TEXAS WATER DEVELOPMENT BOARD (1971). in- amount of water that can be pumped from old wells
ventories of Irrigation in Texas 1958, 1964, and 1969, does not solve all the problems. So long as the
Report 127. Texas Water Development Board, Austin, withdrawal of water is not priced (i.e., is available
2 Tex. Table 1. without cost to the user), each pumper has an
3 KRAUSE, Keith, Executive Director, Kansas State Water incentive to take the maximum he is allowed to
Resources Board, Topeka (February 8, 1972). Personal
communication. pump, since any "prudent" saving on his part does

239

not necessarily accrue to his account. Moreover, use would be the creation of a development fund for
denial of entry of new pumpers may have the effect planning and constructing a project to import water
of allocating the water to present-day, low-value uses, where economically feasible or for developing an
freezing out newer, more valuable uses. alternative economic base less dependent on large
uses of water.
Pump Taxes: In theory, one good way to deal with If a full-scale pricing system on underground water,
the problem is to operate ground water reservoirs as if as described, is thought to be too great a departure
they were in a single ownership, to the extent that from orthodoxy, the use of a more modest pump tax
may be possible. In practice, this means creating a to achieve less-than-ideal goals of conservation and
management district whose officers seek to maximize economic efficiency may be desirable.
combined net revenues over time. The district could For example, a district managing an aquifer which
adopt a pricing system for the withdrawal of water by has little or no recharge could arbitrarily determine a
imposing a pump tax on each acre-foot extracted. period of use for the aquifer, say 40 years. This will
The amount of the tax should be determined by certainly be easier than attempting to accurately
estimating the future value of the water and charging forecast the future value of water. The period of use
a price for present withdrawals equal to the future may or may not be economically optimum. The
value discounted to present value. For example, if the district would then determine annually the amount of
district estimates the value of water 20 yews from water that should be withdrawn in each succeeding
now to be $50 an acre-foot and if it adopts a discount year, taking account of recharge, if any, to achieve
rate of 7 percent, the pump tax on present with- the 40-year aquifer life span. Next it would set a
drawals would be $13 an acre-foot ($13 placed at 7 pump charge at a level which would encourage
percent interest for 20 years grows in value to W). district members in any particular year to pump all
Those pumpers whose present uses produce revenues the water scheduled for availability that year, no
equal to or greater than the pump tax and other costs more and no less. If greater amounts are pumped, the
will continue to pump. Present uses of lesser value pump charge was set too low and should be raised; if
will be discontinued and the resource saved for lesser amounts are pumped, the pump charge was set
future, more valuable uses. too high and should be lowered.
If a full-scale pricing system like the one described Trial and error should establish with fair accuracy
were to be put into effect, a transition period of the correct level of pump charges necessary in any
gradual full implementation might have to be year to extend the life of the aquifer to the desired
provided, to allow for adjustment to the new system. terminal date. As conditions change over time and the
The Commission believes that adoption of this pricing value to users of pumped water shifts, the level of
system will not have serious dislocation effects. It will pump charges can be appropriately manipulated from
lead rather to more efficient and More conservative one year to the next so that the desired period of use
use of water, to cultivation of higher-value crops, and of the aquifer is realized.
only gradually to the phasing out of marginal farms. Because of diminishing returns, as more and more
The latter may produce some dislocation, but that water is used in a given year, each additional acre-foot
must be compared with the present situation of pumped that year will yield progressively less value to
unregulated or partially regulated pumping, which the user. The first units of water, naturally, are the
results in excessive and uneconomic withdrawals, most productive and return the most extra revenue.
premature exhaustion of the aquifer, and un- Any additional water is relegated to progressively less
availability of water for future users. efficient use. The pump charge per acre-foot remains
The question often arises in discussions of pump constant but the extra revenue derived from each
taxes of where the proceeds should go. To achieve extra unit of water gets progressively less as more and
economically efficient use of the resource, the more water is used. Each user will pump water until
theoretically correct answer is that it does not matter the value to him from the last acre-foot pumped (the
where the proceeds go so long as they do not go back extra crop revenue attributable to that acre-foot of
to the user in proportion to the amount of water he water) just equals the pump charge (plus, of course,
has used. But some better practical answers can be any other costs of pumping, which may be con-
given. One appropriate disposition would be to siderable). Thereafter he will stop pumping. If during
purchase the pumping rights of users who say they a pumping season, the last acre-foot pumped is more
cannot afford the pump charges. Another appropriate valuable to him than the pump charge on that

240

acre-foot plus other pumping costs, he will pump Failure to charge a price for water, to levy a pump
more. Why not? The cost for that acre-foot of water tax, or to institute some other effective method of
is less than the extra revenue which is expected to be regulation will result in a less-than-optimum alloca-
obtained from its application to the land. If, on the tion of the water. Free water means too much will be
other hand, the last acre-foot pumped is less valuable pumped, some of what is pumped will be used
than the pump charge and other costs on that wastefully, perhaps on land which is only marginally
acre-foot, he will pump less. No sensible user will productive, and the life of the aquifer will be
pump an extra acre-foot of water the cost of which prematurely terminated. Rationing water on the basis
exceeds the extra return attributable to it., of so many acre-feet per acre of farm land and
Econornists correctly argue that this process results prohibiting its sale and transfer means a low-
in an efficient allocation of the scarce water resource. productivity farm of a given size will receive the same
All users pay the same pump charge. Each user pumps amount of water as a high-productivity farm of the
water to the point where the value to him of the last same size; too much water will be used on the former
acre-foot pumped is equal to the pump charge and and not enough on the latter. By pricing water as a
associated costs. For some users (those who are most scarce resource (e.g., levying a . pump tax or by
efficient, whose lands are highly productive), this allowing water to be freely sold from one user to
may be a large amount of water. For others (those another) it will be rationed out efficiently so that
who are less efficient), the break-even point where production in the district will be maximized each
value of water to the user equals the pump charge and year for the set amount of water scheduled as
associated costs will be reached quickly after only available that year.
relatively small amounts of water are pumped and
used. In this way, the amount of water scheduled for Quota Restrictions: An alternate means of regulating
availability during a year will be apportioned to users withdrawals is the quota system. One example is prior
so that the value of agricultural production in the appropriation, whereby new pumpers are excluded
district from that given amount of water is from the aquifer and historic pumpers are limited to
21
maximized. Those who can use the water most their historic use. The quota system will not yield
profitably will use more than those whose use is good economic results, however, unless pumping
marginal. This is what is meant by efficient allocation rights are freely transferable. Since under the quota
of the water resource. Returns to society from the system there is no entry by new, higher-valued uses,
24
given amount of available water are maximized. and since the present allocation is based on historic

14An illustration of how this efficiency mechanism works The increase will be something less. Suppose, because of
may be useful. Suppose that two 1,000-acre cotton farms the 50 percent additional irrigation water, Farm A's
use a common pool of underground water for irrigation. production increases from 1,500 bales to 2,000 bales (a
Suppose further that each farm, being of equal size, is 33-1/3 percent increase). For the same reason (diminish-
allotted the same amount of water-100 acre-feet each. ing returns) that Farm A's output did not increase by 50
With 100 acre-feet of water, Farm A with fertile soil is percent because of a 50 percent increase in irrigation
capable of producing 1,500 bales of cotton. With an water, Farm B's output will probably not decrease by as
identical amount of irrigation water, Farm B with less much as 50 percent because of its 50 percent decrease in
fertile soil produces only 1,000 bales of cotton. Without irrigation water. Suppose, as a result of 50 percent less
a pricing mechanism on irrigation water and without water, Farm B's production decreases from 1,000 to 667
transferability of water by sale, this situation could bales (a 33-1/3 percent decrease). Before the reallocation,
persist indefinitely. With a pricing system, however, Farm the combined production of Farms A and B was 2,500
A is liable to bid water away from Farm B. For Farm A, bales. After reallocation, the combined production of
being more productive than Farm B, the extra revenue Farms A and B, with the same 200 acre-feet of water, is
from the application of extra acre-feet of water continues 2,667. Because it has been more efficiently allocated,
to exceed the extra cost long after that break-even point is entirely as a result of pricing, the same 200 acre-feet of
reached by Farm B. As a result, suppose half of the water water has been able to provide a net increase in society's
to which Farm B is entitled is sold instead to Farm A. cotton production of 167 bales. QED.
Farm A will then end up with 150 acre-feet of irrigation
water and Farm B will be left with 50 acre-feet. What are "The California Supreme Court, operating under a mixed
the results? Because of diminishing returns (technically system of appropriation law, reasonable use rules, and
because of diminishing marginal-physical-product of prescriptive rights, ordered percentage cutbacks in with-
water, which is the same thing), the 50 percent increase drawals by all users, where it concluded that the
in irrigation water for Farm A will probably not increase overdraft on an aquifer was too great. Pasadena v.
Farm A's cotton production by as much as 50 percent. Alhambra, 33 Cal. 2d 908, 207 P. 2d 17 (1949).

241

use without regard to value in use, the more efficient project proposals a description of the ground water
user has no source of additional supply except to buy resource, whether or not ground water is being mined
it from an existing user. Therefore, in the interest of and, if so, the regulatory and management regime
efficient allocation of water, restrictions on transfers applicable to it, together with an evaluation of that
in States employing the quota system should be regime.
abolished.
Whether a State employs a pump tax or a quota Recommendation No. 7-9: Congress should scrutinize
system or some other effective means for regulating closely the economic justification for water supply
ground water withdrawals, the regulator must fix the projects_designed to supply supplementary water to
life of the aquifer if withdrawals persistently exceed areas- that have mined ground water and should
recharge. This decision should be based on the examine the circumstances giving rise to the project
relative benefits from producing water today as proposal including the presence or absence of ground
compared to producing water in the future. The water regulation and management, and their opera-
calculations should be reviewed periodically as the tion.
economy changes, with the withdrawal rate increasing
or decreasing as forecasts change. A region with a Discussion - The Commission believes that ground
growing water demand and expensive alternative water mining is a national problem because of the
sources of supplemental supply should adopt a slower misallocation of resources resulting from excessive
rate of withdrawal than a region with a static or pumping and because the Federal Government is
declining demand. likely to be called upon as the agency of first resort
As has been shown, however, some high growth for a rescue operation. The Commission does not
areas are depleting their ground water at rapid rates. believe, however, that the Congress should enact a
There are at least two reasons: (1) the common pool comprehensive Federal ground water law regulating
phenomenon is at work, because the regulation of withdrawal. Rather, Congress should assist States and
withdrawals is inadequate, and (2) there often is an local regions to obtain the information necessary to
expectation that subsidized surface water will be make sound decisions, it should declare a policy of
imported to the region in the future. supporting water development projects only when
they are economically sound, and it should
Recommendation No. 7-7: Where ground water min- implement this policy by close scrutiny of proposed
ing is occurring, the States themselves (or local "rescue projects," examining not only the economics
management agencies) should immediately institute of project proposals but also conservation and
regulation of ground water withdrawal and conjunc- management practices applied to ground water and
tive management of ground water and surface water, surface water by the region to benefit from the
where the latter source of supply is available. Regula- project.
tion and management can include levying of pump The Commission has given extended thought to the
taxes, or implementation of quota restrictions with role of the Federal Government in discouraging
freely transferable pumping rights, or some other ground water mining and promoting prudent aquifer
means, and should have as its purpose conservation management. One possibility is preemptive Federal
and prudent use of the water resource. It can also regulation. The Commission rejects this alternative
include artificial recharge, improving infiltration because it does not think the problem is capable of a
capacity, and other management activities. It should single solution and questions the likelihood of a
take account of the value of present uses as compared Federal agency developing multiple solutions
to the estimated value of future uses, the desirability adaptable to a variety of local conditions. Moreover,
of preserving some ground water for future use the Commission believes that the States and local
irrespective of estimated future value, and such units of government are as capable of weighing
effects on the aquifer system from rapid depletion as present values of ground water use against estimated
loss of storage capacity and reduced transmissivity. future values as a Federal agency, provided they have
adequate information.
Recommendation No. 7-8: The President should issue Clearly, the Federal Government has a direct
an executive order directing Federal agencies charged financial interest in ground water mining when a
with responsibility of water resource planning and region suffering from overdraft seeks a rescue opera-
development to include in all pertinent studies and tion. Chapter 8 on interbasin transfers deals

242

specifically with the criteria that should govern lizers and pesticides into the ground water; use of salt
Federal assistance to water resource projects. It is on roadways to remove snow and ice which results in
recommended that Congress require a water project percolation of saline water into fresh water aquifers;
to meet the following conditions: (1) that it be the human wastes which reach ground water reservoirs
least-cost alternative source of water to serve the creating health hazards from viral infections. In some
given purposes; (2) that the value of the water in the instances, the effect on ground water quality from
new uses exceed the value in the old uses plus the polluted surface water runoff is not known since long
costs of construction; and (3) that the productivity of periods of time often elapse between cause and effect
the investment in the project be compared to and since some purification occurs in the mean-
productivity of alternative investments. It could be time. 26 A Senate Committee has reported that
argued that if these conditions are met, it really ground water quality is deteriorating, but that ground
makes no difference whether the project is designed water pollution has not yet reached dangerous
to rescue an overdrawn aquifer system or to provide a levels.2" Ground water pollution has long-term and
supply for an area to be brought under irrigation for sometimes irreversible effects; the consequence of
the first time. Satisfaction of these conditions, aquifer pollution may be to place greater demands on
however, is a guaranty that the project is econo- other sources of water. The Commission believes that
mically sound. the subject is of national concern.
The difficulty of this hypothesis is that the
economic criteria cannot be applied with Recommendation No. 7-10: Funds should be granted
mathematical certainty. All figures supplied in to the U.S. Geological Survey to increase its study of
response to the criteria are subject to a range of ground water pollution, the causes thereof, and the
accuracy and involve a good deal of judgment. relationship between surface water pollution and
Moreover, since the purpose of a rescue project is to ground water pollution. The USGS should monitor
save a declining economy, there may be a temptation ground water quality, giving priority to aquifers
to shade the figures in favor of the project and even threatened by impairment of quality.
to loosen or dispense with the criteria.
The Commission believes, therefore, that Congress Recommendation No. 7-11: The States should
should be as fully informed as possible of all the regulate the drilling, completion, operation, and
circumstances surrounding proposed water develop- abandonment of wells for the purpose of protecting
ment projects. If a proposal is for a project to rescue ground water quality. Well drillers should be licensed,
an overdrawn aquifer, Congress should know that fact permits should be required before drilling is
and should know also what steps, if any, the region permitted, and drilling and completion reports
has taken to conserve its ground water. Congress (including well logs where appropriate) should be
should scrutinize closely project proposals for areas required.
mining ground water that have not instituted con-
servation regimes and prudent management practices Recommendation No. 7-12: The regulation of ground
as described earlier. water quality by the States should be the respon-
sibility of the same agencies that regulate surface
Problems of Ground Water Pollution water quality.

Because they are more lasting, the effects of Recommendation No. 7-13: A State agency should be
ground water pollution can be more significant than responsible for identifying the adverse effects on
the effects of surface water pollution, yet, paradox- ground water quality resulting from land use, and the
ically, less attention has been paid to it and less is States, or governmental subdivisions thereof, should
known about it. There is a great variety in the sources
of ground water pollution. Some are obvious, such as 26The reader is referred to Chapter 4 on the control of
waste disposal wells into which toxic substances are water pollution.
intentionally injected. Others are unintended by- 2 7 U.S. CONGRESS, Senate (197 1). Federal Water Pollution
products of other activities: oil and gas operations Control Act Amendments of 197 1, Report of the
which permit the seepage of petroleum or salt water Committee on Public Works, U.S. Senate, together with
into fresh water strata; agricultural operations which Supplemental Views to Accompany S. 2770. 92d
Congress, Ist Session, Senate Report No. 92414. U.S.
permit introduction of excess applications of ferti- Government Printing Office, Washington, D.C. p. 73.

243

BLUE RIBBON- MARINA COMMITTEE

Dr. James Cato, Chairman
Florida Sea Grant College

Kermit Lewin, Vice-Chairman Douglas C. Crane
Monroe County Manager Marine Industries Association

Al'Behrendt,, Executive Director Dr, Jeff Linger, Director
Marine Industries Association Sarasota County Office of
of South Florida Environmental Management

Hugh Brown Mrs. Fran Beaird
Florida Council of Yacht Clubs Citizen

Alex Balfe, Sr. John Lowe
Merrill-Stevens Dry Dock Company Jacksonville Marine Association

Roland Eastwood, Executive O. Jean "Skip" Weber
Director, Southwest Florida Marine Consultant
Regional Planning Council

Terry Lewis John Graham
Attorney for the City Former Marina and Boatyard Owner
Miami Beach/South Beach
Redevelopment

Charels Lee, Vice-President David Block
Florida Audubor Society Marina and Boatyard Owner

reciprocal legislation. If appropriate legislation for e. the source of pollutants found in the aquifer;
aquifer regulation and management existed in each f. natural discharge from the aquifer, principal
overlying State, interstate cooperation might be withdrawals, sources and amounts of recharge,
achieved by administrative agreements reached by the anticipated yields, and the effect of pumping on
officials of the two States responsible for ground surface supplies;
31
water administration. g. the extent of past ground water mining and the
estimated economic life of the aquifer under
The Need for Information various assumptions as to rates of withdrawal; and
Whoever has the task of allocating and distributing h. the susceptibility of the aquifer to operation and
ground water to various users for various purposes management on a "sustained yield" basis.
must first face a central and pervasive problem: the Recommendation No. 7-17: Federal appropriations
prediction of how much, where, and when water will for the Federal-State cooperative study programs
be available; of what quality it will consist; of how should be increased to meet the amount of matching
long it will last if it is to be mined; and the effects of funds available from the States.
development and utilization of the resource. Since
many ground water basins are supplied from surface Recommendation No. 7-18: The U.S. Geological
water, difficulties in forecasting supplies include Survey (USGS) should report the results of these
those associated with predicting surface flows to- investigations to the Congress, the Water Resources
gether with those of predicting the movement of Council, the Office of Management and Budget, the
water beneath the surface of the earth. Data about Environmental Protection Agency, the Governors,
particular sources of ground water are relatively State engineers (or their equivalents), and State water
difficult to obtain, costly, and usually less precise quality control agencies of the affected States, and
than comparable data about the water that is visible local officials, including city councils, county
at the earth's surface. officials, and local water management officials.
Not only is there a need for more data and
analysis, there is also a pressing need to translate such Recommendation No. 7-19: On the basis of data
data into terms that are readily understood by received from the USGS, the Water Resources
persons who must make water management decisions.
The translations must comprehend not only facts of Council should formulate recommendations for
hydrology but also of geology, law, economics, and improved ground water management practices and
public administration. transmit its recommendations to appropriate Federal,
Because failure to determine ground water supplies State, and local officials.
accurately is potentially disastrous, additional work Recommendation No. 7-20: Federal and State courts
in charting available supplies and rates of replenish- should be empowered to obtain the services of the
ment is called for. USGS in water litigation for water supply and quality
Recommendation No. 7-16: The U.S. Geological investigations, and these services should be available
Survey should make continuing intensive investiga- at cost, subject to the availability of. personnel and
tion of significant aquifer systems giving priority to other resources to conduct the investigations.
those with falling water tables and deteriorating water Discussion - The USGS is the Federal agency
quality. The investigations should seek to determine- principally responsible for ground water research. It
a. aquifer boundaries, thickness, saturation, and has investigated and surveyed ground water resources
transmissivity; for many decades. Early emphasis was on the
b. the suitability of overlying land and wells for location, boundary description,.and calculation of the
artificial recharge programs; depth of overlying land down to water of major
c. depth of water, quality and temperature of water-, aquifers. Developing needs have led to more detailed
d. the storage capacity at various ground water levels; research describing the quality and quantity of the
31 CORKER, Charles E (1971). Ground Water Law, Manage- available ground water, the suitability of overlying
ment and Administration, prepared for the National land and wells for artificial recharge, the potentiality
Water Commission. National Technical Information Serv- of wells, and the effect of subsurface waste disposal
ice, Springfield, Va., Accession No. PB 205 527. on the aquifer. This research has required the location

245

and measurement of natural discharges and artificial Ground water is often interrelated with surface
withdrawals and the determination of physical char- water and the ways in which one is managed can
acteristics of the aquifer including thickness, satura- often affect the other. Accordingly, ground water and
tion, permeability, transmissivity, and geological surface water laws should be integrated and the two
composition. Ground water research has been closely sources of supply should be managed on an inter-
related to surface water research in field work, and changeable and coordinated basis where applicable.
the ground water-surface water system has been Management can be undertaken by a statewide
recognized as a single resource. agency or at the local level by a water management
Studies 'are initiated by Congress, by the USGS district. Goals of optimum use can be achieved either
itself, by the USGS at the request of other Federal by regulatory directives or by economic incentives.
agencies, and by the States under a matching funds, To be effective, water management agencies must be
cooperative program. The intensity and detail of the empowered with sufficient authority to get the job
studies vary greatly. Availability of data and the needs done-to insure that the combined ground-surface
of cooperating States are largely responsible for water supply is used efficiently and the aquifer
the variability. Since the cost of in-depth exploratory protected from damage or premature depletion. It is
drilling programs is generally high, the USGS relies most important that water management agencies have
heavily on core samples, water samples, and pumpage regulatory power, as well as the power to levy pump
and water level records provided by private well users. taxes or other kinds of charges on ground water
These data are supplemented by USGS investigations withdrawals and that pumpers have the right to
and by projections based on geological data. transfer water allotments.
Extensive use has been made of digital and analog So that Congress can judge the adequacy with
computer models in some areas to describe aquifers which the States and localities are managing their
and to predict future water supply, given changing ground water and surface water resources conjunc-
pumpage and recharge rates. Unfortunately, extensive tively, Federal agencies proposing Federal water
data and models are available only for selected projects should report on such ground water manage-
aquifers. ment programs.
Due primarily to insufficient funding and the In some parts of the country, ground water is being
relatively recent emergence of scientific ground water withdrawn faster than it is being recharged. This is
research methods, ground water research remains called ground water mining and, although it is not
behind surface water research in meeting current necessarily undesirable, when done recklessly and
information needs. The USGS recently reported that without considering future prospects, it can result in
only 40 percent of the national need for ground serious economic repercussions. Mining water from a
water resource appraisal is currently being met. Only common pool which underlies numerous discrete land
20 percent of the needed intensive systems studies ownerships is particularly harmful because normal
have been conducted. In some instances the lack of economic mechanisms which provide incentives to
Federal funds has prevented the making of studies consider future consequences may not be operating.
under the cooperative program, even though the A good way to insure that ground water is not
States were prepared to pay their share of the costs. inappropriately mined is to calculate its future value
Ground water data are available in USGS or (properly discounted) and to charge users accordingly
cooperating State publications. Much of the informa- by means of a uniform pump tax. If the value of
tion remains very technical and not readily under- pumped water to a user exceeds the discounted-
stood by people of nontechnical backgrounds who future-value charge, he will pump; otherwise he will
must make water management decisions. not. Because of difficulties in accurately estimating
future values, a pump tax can be set at a level to
CONCLUSIONS extend the life of a ground water aquifer to some
date in the future which is conceived as the
Approximately one-fifth of America's present "appropriate" period of use for the aquifer. Another
water withdrawals are derived from ground water. alternative is to set quota restrictions on the amount
The ground water share of the Nation's water of water each user can withdraw based on historic use
requirements is expected to increase because of of each user. To assure efficient allocation of the
increasing demands and the wide availability of water, however, pumped water should be freely
ground water. transferable by sale from one user to another.

246

Although it has not received as much attention as Geological Survey has substantial experience in
surface water pollution, ground water pollution may making ground water investigations. Its investigations
be more significant. Because surface water and should be expanded to fill in the gaps of present
ground water are so often interrelated and because knowledge needed for effective and efficient manage-
the same water quality control expertise must often ment of ground water supplies. The information
be applied to both, the agencies which monitor and developed by these investigations should be trans-
enforce surface water pollution controls should be mitted, together with interpretations, to appropriate
responsible for ground water pollution abatement as Federal, State, and local agencies and officials.
well, at both the Federal and State levels.
Another problem stems from the fact that one
ground water pool may underlie two or more States. RECOMMENDATIONS
Little law has been developed for the regulation and
management of such interstate aquifers. It is clear To effect the desired improvement in management
that interstate aquifers should be managed and of the Nation's ground water resources, and in light of
regulated in the same fashion as intrastate aquifers. the above conclusions, the Commission has developed
To do so, it is desirable that States enter into 20 specific recommendations which are spelled out in
arrangements with one another to permit appropriate detail in the body of this section, The first two call
management and regulation of interstate aquifers. for better integration of ground and surface water
Finally, it is apparent that there is a deficiency in use. Then follow four recommendations on ground
the amount of technical data and other information water management, three on ground water mining,
about ground water resources, information which is and six on pollution of aquifers. The final five
needed to make sound decisions with regard to recommendations propose improvements in ground
regulation and management. Fortunately, the U.S. water information systems.

Section C

Pricing As A Means Of Motivating Better Use"

In the past, water has been generally so abundant, mechanism is a powerful and remarkably effective
relative to the demand for it, that it was available way to do this. By charging a price for water and
virtually for the taking. Today, however, this is no water-related services, the scarce water resource will
longer the case. Water has become a resource that is be shifted to its most productive uses, where it has
relatively scarce. The land, labor, and capital maximum utility for society.
resources needed to convey water to places of useful The more units one consumes of any commodity,
application and to collect and treat wastewater are the less useful is the last unit consumed. As any one
also scarce. user "consumes" more and more water, the value to
If a resource is scarce, it behooves society to him of the last water used becomes lower and lower.
apportion its use in such a way as to obtain the When a price tag is attached to water, each user will
maximum beneficial return. The limited supply of continue to use more and more water until the value
usable water should be allocated among the uses to him of the last unit used is reduced to the point
where it will be most productive. The pricing where it equals the price he is charged for water.
Thereafter, he will stop using water.
Those whose use of water yields a utility or value
in excess of the cost to them of the additional water
3'This section is based in part on DAVIS, Robert K & will use more; those whose use of water costs them
HANKE, Steve H, George Washington University (1971). more than the utility or value they obtain will use
Pricing and Efficiency in Water Resource Management,
prepared for the National Water Commission. National less. Thus, water use will be shifted to where it is
Technical Information Service, Springfield, Va., Acces- most productive in terms of aggregate utility or valu e
sion No. PB 209 083. to society.

247

While other means might be employed to motivate serve two functions: to allocate consumption and to
better use of existing and future supplies of water induce production of the desired level of supply.
such as elaborate rationing mechanisms, nothing is as The purpose of prices is to provide checks and
comprehensive and as effective as the pricing balances on consumption and production activities so
mechanism. that value gained from expansions of output will be
greater than the value of the alternative opportunities
THE PROBLEM that must be foregone to make the expansion
Systems of pricing and user charges are employed possible. Prices can play this role not only in the
for a number of purposes including the provision of marketing of private goods, but also in regulating the
revenues to recover costs of supply, allocation of consumption of certain commodities produced by
financial burdens to direct beneficiaries, and governments. Pricing is potentially a powerful tool
provision of incentives to insure that the value of the for the efficient allocation of water and water-related
services of water is at least equal to the cost of services.
supply, thereby avoiding overinvestment in water Valuing Water Resources: Water is a mobile resource
developments. typically used and reused until it is "lost," usually
The primary concern here is with the potentials for through evaporation or into the sea. The perspective
pricing water to provide incentives for improved needed for proper evaluation of a given amount of
utilization of water. This section discusses the water is the entire flow or hydrologic system. The
principles of pricing, obstacles to greater use of same unit of water may be used for a number of uses
pricing systems, and potentials for increasing within the stream including, for example, hydro-
efficiency of use through the administrative pricing of power, recreation, fish production, waste dilution,
municipal, industrial, and irrigation water supplies and navigation. Or the water may be diverted from
and municipal sewerage services. The basic principles the stream to be used for metropolitan, industrial, or
Of pricing discussed in this section apply to all uses of agricultural uses. These diversions may return to the
water. The Commission's specific recommendations stream diminished in quantity or degraded in quality.
as to pricing policies for navigation, recreation, and Occasionally, they may even be improved in quality
other water uses are discussed in their respective for subsequent uses. In any event, they are often
sections of this report. changed in time of flow and in location from the
original diversion. Substantial interdependencies
among water uses should be fully recognized in the
DISCUSSION management of water supply."
Alloc ation by Pricing The evaluation of water should give full recogni-
tion to the effect that each use has on subsequent
The general function of prices in the economy is to uses. Reducing the quality, delaying flows, or
allocate resources among various production and diverting water to a different location makes it
consumption activities. Given the limits on national potentially less useful to others. These are just as
resources -water, land, labor, minerals, capital goods, much measures of use as is the more obvious "use" of
etc.-output of one commodity can increase only if a quantity of water. Ideally, water uses would be
resources are diverted to it from production of priced on the basis of how much of the "usefulness"
something else. Consumers may benefit from almost is "taken out" of the water. A use that diverts water,
any increase in a commodity output; but the crucial uses it, and returns it quickly in good condition to
question is whether they benefit by more than the the same point in the stream would be charged little.
cost of foregone alternative products and services that A diversion with long conveyance and return far
must be given up because of diverted resources. One downstream would pay more, as would uses that
role of prices is to reflect these costs to consumers degrade quality or divert at critical times but return
and thus provide an incentive for them to increase
consumption only if real benefits exceed real costs. 33 YOUNG, Robert A & GRAY, S Lee, Colorado State
Another role of prices is to inform the producer of University (1972). The Economic Value of Water: Con-
the consumer's relative desire for a commodity and cepts and Empirical Estimates, prepared for the National
hence indicate the extent to which resources should Water Commission. National Technical Information Serv-
be devoted to expanding its production. Prices thus ice, Springfield, Va., Accession No. PB 210 356.

248

flow to the stream only after delay to a less-desirable available for the production of other goods and
36
location. services.
Such a comprehensive pricing system is far from a Efficiency can be improved by establishing a
practical reality at this time, although there are different set of prices for a variety of different
elements of such a system in use in scattered conditions. For example, water supply systems are
locations. 34 For this reason, efficient use of water, in characteristically subject to strong peak demands.
hydrologic systems where sequential uses occur, Prices at times of peak demand should reflect the
requires regulation of uses within a legal and costs of providing this little used but costly peaking
administrative framework. The competitive market is capacity. Similarly, prices to users farthest from the,
not constituted to account for optimum utilization of source of supply should reflect the increasing costs of
water in such cases because the economic effects conveyance to them. And prices to users at higher
extend beyond the buyers and sellers involved. elevations should reflect added costs of pumping.3 7
Nevertheless, the use of pricing systems within In this way expensive and uneconomic uses will be
established legal and administrative frameworks will discouraged in favor of more efficient use. Table 7-1
greatly enhance the efficiency of water use, as will demonstrates that there is an enormous variation in
the reform of present legal systems to provide for the the costs per user in water supply and sewage
free exchange of water rights under specific collection systems depending on distance of the user
conditions. 35 from the plant and the population density of the area
served.
Principles of an Effective Pricing System Incremental cost pricing alone may not produce
In order for prices to properly serve their allocative sufficient revenues to cover all costs. For some
function in consumption and production, they must industries, such as water utilities, incremental costs
be equal to costs of supplying the product. This (the extra cost involved in the production of an extra
equality of prices to costs must be true at the margin. unit of output) are constantly falling as production
The price should equal the cost of the last unit expands (until full capacity is reached). This results
supplied. This is the principle of incremental or from the large proportion of fixed costs associated
marginal cost pricing. Pricing on any other basis, with investments in reservoirs and distribution
specifically at less than incremental cost, causes facilities and means that setting price equal to
consumers to use more than would be justified on the incremental cost may result in a price which is less
basis of the principle that benefits gained from use than the average cost per unit. At such a price, total
should be greater than costs for each unit. revenues will fail to fully cover total costs. In some
Incremental cost pricing means that the price of a cases, public districts raise the additional revenues
product should be equal to the cost of the last unit from property taxes. A preferred solution is to raise
used. Production of an extra unit of output that is all revenues required through a two-part pricing
priced at a level below the extra cost of its produc- system. The first part is a fixed charge or assessment
tion leads to an inefficient use of resources. It means on the user to cover the revenue deficit. The second
that the value of the extra unit to the consumer (i.e., part is a price or toll paid by each user based on the
the price) is less than the value of the resources that
go into its production. Too much of the product is 36When the condition prevails all around that prices of
being produced and consumed which in turn means various products are equal to their respective marginal
that too much of society's scarce resources are tied costs, the economy is using its scarce resources in the
up in its production and, accordingly, too little is most efficient way. If this condition does not prevail,
efficiency can be increased by moving resources away
from industries where prices are below marginal costs and
34Pollution taxes in the Ruhr Valley are an oft-cited into industries where prices are greater than marginal
example of charging for quality degradation. See Chapter costs.
7 in KNEESE, Allen V (1964). The Economics of 37The concept of water prices varying by peak demands,
Regional Water Quality Management. Published for Re- distance conveyed, and pumping costs are all incorpo-
sources for the Future, Inc., by The Johns Hopkins Press, rated into the water supply contracts of the California
Baltimore, Md. The concept of water prices varying by Department of Water Resources. See STATE OF CALI-
peak demands is incorporated in water supply contracts FORNIA ' Department of Water Resources (1963). The
of the California Department of Water Resources. California State Water Project in 1963, Bulletin No.
See Chapter 7, Section D, Transfer of Water Rights Under 132-63. The Resources Agency of California, Sacra-
Appropriation Doctrine. mento. pp. 149-155.

249

TABLE 7-I.-Annualized marginal costs of sewage collection and treatment in residential areas 71

Density Distance From Treatment Plant (Miles)
(People/ 5 10 15 20 25 30
acre) Cost Category (1957-59 dollars per capita)

0.4 Collection 33.60 33.60 33.60 33.60 33.60 33.60
Transmission 122.50 246.00 368.00 495.00 613.00 736.00
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 158.17 281.67 403.67 530.67 648.67 771.67

1 Collection 14.59 14.59 14.59 14.59 14.59 14.59
Transmission 49.00 98.10 147.20 196.30 245.40 294.50
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 64.66 114.76 163.86 212.96 262.06 311.16

4 Collection 6.46 6.46 6.46 6.46 6.46 6.46
Transmission 14.50 29.00 43.50 58.00 72.50 87.00
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 23.03 37.53 52.03 66.53 81.03 95.53

16 Collection 4.86 4.86 4.86 4.86 4.86 4.86
Transmission 4.60 9.25 13.90 19.55 24.20 28.85
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 11.53 16.18 20.83 26.48 31.13 35.78

64 Collection 1.22 1.22 1.22 1.22 1.22 1.22
Transmission 1.95 3.90 5.85 7.80 9.75 11.70
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 5.24 7.19 9.14 11.09 13.04 14.99

128 Collection 0.62 0.62 0.62 0.62 0.62 0.62
Transmission 1.40 2.80 4.20 5.60 7.00 8.40
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 4.09 5.49 6.89 8.29 9.69 11.09

256 Collection 0.27 0.27 0.27 0.27 0.27 0.27
Transmission 1.15 2.30 3.45 4.60 5.75 6.90
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 3.49 4.64 5.79 6.94 8.09 9.24

512 Collection 0.16 0.16 0.16 0.16 0.16 0.16
Transmission 0.80 1.70 2.60 3.50 4.40 5.30
Treatment 2.07 2.07 2.07 2.07 2.07 2.07
Total 3.03 3.93 4.83 5.73 6.63 7.53

Source: DOWNING, Paul B. (1969). The Economics of Urban Sewage Disposal. Frederick A. Praeger, Publishers, New
York. Table 29, p. 102.

250

incremental cost of the service provided. If a water Present Status of Pricing Systems
utility system is worth building, it is worth being Present water pricing is far from the ideal desired
utilized well. That is what incremental cost pricing for an effective pricing system. Pricing by public
implies. Together, the two charges should be set agencies is typically based on revenue considerations.
sufficiently high to fully recover from users all costs
38 The primary aim is fiscal balance and smooth
of the utility service. customer relations. Pricing to provide efficient checks
The most common method of full cost recovery is and balances on resource allocation is not given very
to price according to average costs per unit. If total high priority. Pricing is commonly below the cost of
costs of providing water to a community. are amortizing and operating a diversion and delivery
$100,000 a month and an average of 10 niillion cubic system. Funds are sought elsewhere to make up the
feet of water is delivered to users each month, the difference.
average cost per unit of water delivered is 1 cent; a Self-supplied users who account for about 80
price of 1 cent per cubic foot would fully recover all percent of all water withdrawals (57 percent by
costs. Average cost pricing is easily understood but, as industry, mostly for cooling, 21 percent for self-
this discussion of incremental cost pricing suggests, it supplied irrigators, and I percent for rural supplies
leads to the overcharging of some users and the other than irrigation)' 9 usually pay no price, as such.
undercharging of others. However, they do generally bear the full costs of their
Except where cost differentials are insufficient to own diversion and delivery systems and thus have, in
justify the added administrative burden of billing a effect, an internal price equal to costs of obtaining
number of different rates, rates should differ among supply. Neither public nor self-supplied users pay for
different classes of users according to the incremental the opportunity cost (resource value) of water. Users
cost of serving each class. Application of detailed of water, public or private, are now typically awarded
incremental cost pricing could involve enormous a right to divert and use water free of charge and need
problems of computation and resistance from water give no heed to values that some other use of the
users because of complication and misunderstanding. water might yield .4 ' Furthermore, only infrequently
Obviously, different prices based on different times do means exist for sale of water rights to bring about
of use or on distance from source should be imposed a reallocation to higher-valued uses. As a result,
by establishing a limited, rather than a large, number withdrawals from the natural water system are not
of price classes in order to be administratively feasible always allocated to the uses that will yield the highest
and understandable to users. return.
Users should also be reasonably certain as to the
pricing situation they face. This means that although
the price structure may have a schedule of different 39MURRAY, C Richard & REEVES, E Bodette (1972).
prices for different incremental cost situations, the Estimated Use of Water in the United States in 1970.
U.S. Geological Survey Circular 676. U.S. Department of
overall price structure itself should not be changed the Interior, Washington, D.C. pp. 4-8 and U.S. DEPART-
frequently. To illustrate, prices for residential water MENT OF AGRICULTURE, Economic Research Service
might be set to change seasonally or even monthly to (1968). Major Uses of Land and Water in the United
reflect changes in incremental cost. Such price States with Special Reference to Agriculture, Summary
fluctuations will be understood by the user who for 1964. Agricultural Economic Report No. 149. U.S.
understands tirne-based price changes at his neighbor- Department of Agriculture, Washington, D.C. pp. 40-43.
"Pump taxes have been imposed in Southern California
hood movie theater or for his long distance telephone (see Chapter 7, Section B) and some State permit statutes
calls. The uncertainty to be avoided is frequent or authorize the imposition of withdrawal charges (see
abrupt changes-more often than every 3 to 5 Chapter 7, Section F). In Great Britain, river basin
years-in the overall pricing structure. authorities have recently been authorized to impose
charges that vary according to the nature of the source,
time of year, purpose of use, and the location, quantity,
and quality of effluent disposal. CRAINE, Lyle C (1969).
"For additional discussion on this problem, see LOEH- Water Management Innovations in England. Published for
MAN, Edna and WHINSTON, Andrew (1971). A new Resources for the Future, Inc., by The Johns Hopkins
theory of pricing and decisionmaking for public invest- Press, Baltimore, Md. p. 74. In Canada, a number of
ment. Research sponsored by Resources for the Future, provinces levy charges for various water uses. TINNEY
Inc., and the Office of Water Resources Research. The ER & O'RIORDAN J (May-June 1971). Water as a
Bell Journal of Economics and Management Science, Vol. consumer commodity. Journal of Soil and Water Conser-
2, No. 2, Autumn 197 1. pp. 606-625. vation 26(3):102-106.

251

The ability to apply refined pricing systems to the use. 4 The reductions that are achieved may not be
total supply is now limited. Pricing of self-supplied long-term, for as real incomes rise consumption may
water to reflect opportunity costs of water would start to rise again. Nevertheless, the need for
require legislation that not only adopts a policy in expanding supply is postponed for a while.
favor of pricing but also establishes entities to levy Response to price changes varies with the type of
and collect charges .4' Nevertheless, existing water use. A 1964 survey of urban areas over 25,000
municipal and industrial supplies controlled by a population indicated a weighted average water use
water service agency can be subjected to improved pattern of-42 percent residential use, 21 percent
pricing policies and water developed in the future for commercial, 20 percent industrial, and 17 percent
any purpose can be also. public uses such as public institutions, street cleaning,

Pricing Municipal Water Supplies TABLE 7-2.-Summary of residential water use,
Costs of municipal water supplies are increasing as Johns Hopkins Study
cities must go farther for new water sources and as
low-density suburban areas requiring expensive dis- Average Average
tribution facilities are brought into the supply Sys- Type of Annual Maximum
tems. Study Area Use Daily Use
(gallons per day per
influence of Pricing on Municipal Water Use: There is dwelling unit)
strong evidence that metering and pricing have
substantial impacts on water use. Introduction of Metered public
metering, for example, reduced water use by 36 water and public
percent in Boulder, Colorado. 42 Reductions ranging sewers
from, 20 to 50 percent have been achieved in other West (10 areas) 458 979
areas by metering.43 Metering does two things. First, East (13 areas) 310 786
users are made aware of the extent of their water use. Metered public
Second, water charges are, in effect, changed from a water and septic
flat-rate. system of pricing to rates based on incre- tanks
mental use. Both the information and the financial (5 areas) 245 726
incentive are important in achieving reduction in
water use.44 Flat-rate public
The' effect of pricing on water use is highly water and public
dependent on local conditions, including-the pattern sewers
of water use. Studies'show, for example, that a 10 (8 areas) 692 2,354
percent increase in price may effect a reduction in
overall use as great as 12 percent or as little as zero Apartment Areas
change. In Chicago, a recent study showed that price (5 areas) 191 368
changes had no significant impact on use in the All 41 study areas 398 1,096
central city but did significantly affect suburban Source: LINAWEAVER FP Jr et al. (1967). A Study of
Residential Water Use; HUD TS-12, prepared for
Techical Studies Program, Federal Housing Adminis-
See Chapter 7, Section B,on ground water management tration, U.S. Department of Housing and Urban
for a discussion of pump charges. Development. U.S. Government Printing Office,
"HANKE SH (October 1970). Demand for water under Washington, D.C.
dynamic conditions. Water Resources Research
6(5):1253-61.
"WHITFORD, Peter W (1970). Forecasting Demand for "Lack of significant impacts in Chicago was attributed to
Urban Water Supply, Report EEP-36. Stanford Univer- the large proportion of water users not under direct
sity, Palo Alto, Calif. billing plus the generally low level of prices which varied
"The additional reductions will be made primarily by from 8 to 22 cents per 1,000 gallons in the 1951-61
residential users, since most industrial and large commer- period. See WONG ST (February 1972). A model on
cial customers are already metered, even when house- municipal water demand: A case study of Northeastern
holders are not. Illinois. Land Economics 48(l):34-44.

252

46
etc. Commercial establishments, including variations due to sprinkling demands are less for
laundries and car washes, are ordinarily responsive to apartments. Therefore, increases in water prices will
prices charged. Pricing response for manufacturing have much less impact on the use of established
water use is highly variable depending on the industry apartment areas. However, there is some evidence
and plant design. Since the major component of that increasing water rates increases consideration of
industrial use is for cooling purposes, a low-value use, modified water-using equipment, such as toilets,
higher prices would probably have a significant showers, and washing machines, that use less water
impact. Residential water use is extremely important than the unmodified versionS.4 9 The installation of
in most metropolitan areas because it is not only a meters and significant increases in water prices can be
major use but is generally the greatest contributor to expected to lead to some water-savings practices
peak demands on the supply system. Table 7-2 through the installation of water-saving equipment
indicates that residential use, primarily lawn sprink- and improved maintenance programs.
ling, may be many times greater on the peak summer There is widespread practice of using "declining
day than the average through the year. block" water pricing in metropolitan areas; larger
Residential water use may be divided into in-house users pay less per unit of water as they use more. This
or domestic use and lawn sprinkling. The most practice of promotional pricing can encourage in-
comprehensive study of price effects on residential efficient water use. For example, in some areas
use was carried out by a Johns Hopkins University "declining block" pricing policy actually permits
study group in the early 1960's@' Price effects, as suburban users to pay less per unit of water for lawn
Table 7-3 indicates, were found to vary by type of sprinkling at times when they are burdening the
use, and by region of the country. supply system with the most costly peak demands. In
TABLE 7-3.-Price effects on residential demands such a situation, prices are lowest when incremental
1963-65 costs are highest.
The installation of meters and the use of cost-based
Use Use Response to a 10 Percent pricing policies will lead to (1) more efficient use of
Increase in Price presently developed water supplies and (2) the
deferral of increasingly costly investments for
Domestic - 2% development of new supplies. In El Paso, Texas, for
Sprinkling - 11% example, low water prices were responsible for 35
West - 7% percent of water deliveries being used for lawn and
East - 16% garden irrigation. In recognition of this fact and of
These data indicate that while the effect of price declining ground water supplies, the El Paso water
on use within a household may be expected to be utility has recently raised summer water rates and
modest, there is a significant effect on sprinkling uses, launched an innovative program of awards for low
particularly in the East. Hanke found that the water-using landscaping."
metering effect in Boulder resulted in (1) significant
reductions in the amount of water used, (2) increased
attention to water leakage, and (3) even a reduction "'See, for example, GRUBISICH, Thomas (December 9,
in the area of yard sprinkled.' ' 1971). Water-saving devices flow onto market. Washing-
As noted in Table 7-2, water use in apartments is ton Post. K1, KIO. Some developers and managers of
lower than in detached homes. Similarly, seasonal apartments were installing water-saving devices following
46HITTMAN ASSOCIATES, INC. (1970). Price, Demand, combined water and sewer bill increases of up to 50
percent, with more increases expected. However, a
Cost and Revenue in Urban Water Utilities, HIT-474. Commission study by Resources for the Future, Inc.,
Hittman Associates, Inc., Columbia, Md. anticipated very modest savings in in-house water use
"'The Johns Hopkins residential water use projectproduced under projected residential pricing policies. HOWE,
a large number of papers and reports. See, for example, Charles W et"al., Resources for the Future, Inc. (1971).
HOWE CW & LINAWEAVER FP Jr (1967). The impact of Future Water Demands, prepared for the National Water
price on residential water demand and its relation to Commission. National Technical Information Service,
system design and price structure. Water Resources Springfield, Va., Accession No. PB 197 877. p. 9.
Research 3(l):13-32. "HICKERSON, John T, General Manager, El Paso Water
"HANKE SH (October 1970). Demand for water under Utilities, Public Service Board, El Paso, Texas (1972).
dynamic conditions. Water Resources Research Correspondence dated April 10, 102, with National
6(5):1253-61. Water Commission.

253

TABLE 74.-Current pricing policies of water utilities

Current Policies Yes No No Response

1. Water utility is expected to be self-supporting 219 1 0

2. Present rate structure promotes:

Location of new firms 172 37 11
Lawn sprinkling 140 64 16
Air conditioning 122 80 18
Recreational use 142 62 16
Other 30 13 177

3. Extension of water service used to:

Force annexation 112 94 14
Extension of other municipal services 66 130 24

4. Utility provides:

Contributions to general fund of
local government 124 90 6
Tax contributions 55 147 18

5. Utility provides:

Free fire services 143 75 2
Free water to local government 86 133 1
Free water to other facilities 11 204 5

Source: FRISTOE, Charles W et al., U.S. Office of Water Resources Research and University of Florida (1971). Applied
Criteria for Municipal Water Rate Structures. National Technical Information Service, Springfield, Va., Accession
No. PB 202 013. p. 116.

Objectives of Urban Water Utilities: There is a of free fire services, contributions to general govern-
widespread movement to make urban water utilities ment revenues, etc.
financially self-supporting. and to upgrade manage- Water utilities are public service enterprises. Their
ment practices. This desirable trend is reinforced by regulation by various politically elected and
the efforts of national organizations such as the appointed officials may be aimed at accomplishing a
American Water Works Association. number of objectives and only incidentally concerned
It does not follow, however, that a policy of with conserving and efficiently using water supplies.
firiancial self-support will necessarily lead to adoption For example, even though it may be an inefficient use
of appropriate pricing policies. A survey carried out of water supplies, the majority of utilities surveyed
by researchers at the University of Florida indicates indicated that their rate structures promoted lawn
that while the 200 responding utility managers were sprinkling. The promotion of large green lawns may
in fact overwhelmingly committed to a policy of be a valid community objective. The policy issue
financial self-support (see Table 7-4), their utilities involved in such low-value local uses is whether other
were also managed to pursue a variety of policies uses of the water that may as a result be foregone are
including promotion of industrial water use, provision more valuable than large, green lawns. The local

254

community must ask how much is this objective wastes, there are significant differences in the
costing and who is bearing the financial burden econornics of waste treatment for municipal and
involved? industrial operations. The greater concentration and
The Commission urges all water utilities to review volume of manufacturing wastes result in lower unit
their present pricing policies and to consider the use investment costs for treatment. However, operating
of cost-based pricing. In areas with acute water costs for industrial waste treatment are higher than
shortages, it may be desirable for State or regional municipal operating costs-averaging twice as much
water supply entities to require pricing policies of per unit of installed capacity. Because of differing
community water utilities that lead to high, rather technical requirements and cost structures, the com-
than low, value uses of water. Cost-based pricing of monly supposed economics of combining industrial
water supplied to local utilities is one policy that and domestic wastes may be nonexistent in particular
should be used to encourage more efficient and instances.' '
conserving use of scarce water supplies. It is apparent that in most cases industry does not
carry an appropriate share of costs for the use of
Pricing Sewerage Service: Just as pricing provides a municipal waste treatment facilities. The most com-
way to induce efficient use of municipal water mon methods of municipal sewerage system finance
supplies, pricing may also be employed to improve (e.g., property tax, flat monthly rates, charge based
the management of municipal sewage wastes. That is, on water consumed) bear little or no relationship to
pricing may be used to efficiently allocate municipal the burden of waste a user places on the treatment
treatment capacity and the assimilation capacity of system. The one method which appears to offer the
the water bodies receiving treated effluent. most efficient and equitable division of cost among
The practice of including sewerage system charges different users, while at the same time providing
in water billings provides an incentive for reduced appropriate deterrents to waste production, is a
water use which may result in reduced discharges of system of user charges based on the volume and
water into the collection system. Reduction of strength of wastes contributed.
discharges into the sewer system, in turn, may very Some case examples illustrate that towns which
significantly reduce the costs of waste treatment. have imposed sewage charges on industry for the use
Pricing of sewerage services for domestic waste of public waste treatment plants have experienced
would probably have some impact on the amount of reductions of wasteloads."
sewered waste material if it provides incentives for Otsego, Michigan: The town's waste treatment
household treatment, such as installation of on-site plant was severely overloaded. The principal cause
waste disposal systems. However, monitoring of waste was one major industrial operation, which was
disposal from the individual household is not now supplying a load of 1,500 pounds of biochemical
economically feasible. oxygen demand (BOD) per day. [In 1965] the
Industrial waste disposal presents a different situa- city commission decided to charge the company
tion. Industrial users of municipal systems are more for all expenses for treating wastes from the
readily susceptible to charges because they are fewer industry above 500 pounds [of BOD] per day, the
in number relative to other users and because, unlike amount for which the plant was designed. The first
domestic users, their waste-producing processes can monthly billing of the firm after the initiation of
often be subject to substantial changes if cost the surcharge was based on an estimated BOD load
incentives exist. For example, industries can reduce
waste discharges through process changes and more of 900 pounds per' day, down from the 1,500
intensive internal control as well as through on-site pounds before the tax. For the second thirty-day
treatment. Although there are great variations from billing period, the firm's BOD load was down to
city to city, approximately one-half of the wastes about 733 pounds per day. For the third, 500
treated in municipal plants on a nationwide basis are pounds per day. Thus, in three months, the
from industrial sources.
Some industrial wastes impose particularly severe DAVIS, Robert K & HANKE, Steve H, George Washing-
costs on municipal systems because they produce ton University (1971). Pricing and Efficiency in Water
toxins that interfere with the biological processes of Resource Management, prepared for the National Water
Comniission. National Technical Information Service,
treatment plants. Aside from differences in technical Springfield, Va., Accession No. PB 209 083. p. 93.
requirements for treating industrial and domestic "Ibid,, pp. 94-95.

255

effluent charge had led to a 66 percent reduction range of $5 to $25 per acre-foot. This means the
in the amount of untreated wastes released by the extra crop revenue (net of other expenses) which is
plant. attributable to the application of an acre-foot of
Springfield, Missouri: Faced with sharply rising water is only $5 to $25. Unless this value in use
waste loads in 1962, Springfield decided to apply a increases, it would never be worthwhile for an
surcharge on industrial waste discharges above the irrigator to spend more for water unless he is raising a
normal strength of sewage. Each [industrial] plant very high-value crop. Use of self-supplied water is, of
discharging sewage above the pern-dssible con- course, not priced, and use of water supplied by an
centration was notified of the amount of the agency is rarely priced on the basis of incremental
prospective surcharge, and of the fact that the city cost.
would review the assessment whenever a plant Among the responses that could be expected from
made operational changes. Even before the first irrigators to higher water prices would be to
billing, some plants began to take action. A reallocate water use to crops returning higher values
packing plant that faced an assessment of about per unit of water used, to use more intensive
$1,400 per month modified its production management practices, and to shift to more con-
processes and ended up with a sewer bill of only serving irrigation technologies, for example, sprinkler
$225 per month. Many other industries in the rather than gravity-flow irrigation. Information on
town took similar corrective action and reduced the actual effect of increased prices is relatively
their charges substantially. scarce. Ground water pumping provides some data on
Philadelphia, Pennsylvania: This city recently the response of irrigators to changing costs but even
instituted a surcharge for wastewater ... in excess those data are somewhat clouded because of im-
of normal wastewater. The charge affixed is one proving pumping technology and relatively declining
and one-half cents ($.015) a pound for pollutants energy costs in recent years.
received into the wastewater system in excess of As for surface water, studies indicate that a 10
3 50 milligrams per liter of BOD or in excess of 400 percent increase in irrigation water price may result in
milligrams per liter of suspended solids or both ' a 6 to 7 percent reduction in water use.5 3 A
Customers subject to the surcharge are required to simulation study prepared for the Commission com-
conduct measurement and sample analysis of their puted effects of various water prices on irrigated farm
sewage discharge and to maintain the records production under particular assumptions for the year
necessary for calculation of the surcharge. Pre- 2000. 54 As irrigation water prices went up (and the
liminary results from this new policy suggest a model allocated crop production to nonirrigated
substantial response to the charge in due course. areas), the quantity of irrigation water demanded in
It appears that user charges levied on industrial the 17 Western States became progressively smaller.
users of municipal waste treatment systems offer For example, with a price of $30 per acre-foot
promise not only of fairly distributing waste treat- consumed (10 cents per 1,000 gallons), estimated
ment costs but of radically reducing the quantities of withdrawals for irrigation declined by more than half.
industrial waste discharged and of reducing the costs It seems clear from the studies cited that demand
and complexities of municipal plant operations. for irrigation water is responsive to changes in price

'BAIN, Joe S et al. (1966). Northern California's Water
Pricing Irrigation Water Industry. Published for Resources for the Future, Inc., by
The Johns Hopkins Press, Baltimore, Md. and HEDGES,
Agriculture, in contrast to manufacturing and most Trimble R & MOORE, Charles V (1962). Economics of
other uses, consumes a large part of its water On-Farm Irrigation Water Availability and Costs, and
withdrawals. This means that there is less return flow Related Farm Adjustments, Giannini Foundation Re-
to the water source from agriculture than from most search Report No. 257. Giannini Foundation of Agricul-
tural Economics, University of California, Berkeley.
other uses, and therefore less water available for "HEADY EO et al., Iowa State University (197 2). Agricul-
reuse. About 83 percent of all water consumption is tural Water Demands, prepared for the National Water
due to irrigation, and about 60 percent of irrigated Commission. National Technical Information Service,
acreage is self-supplied, the remainder being supplied Springfield, Va., Accession No. PB 206 790. The model
referred to assumed a population of 300 million and
by Federal, State, and local water agencies and by removal of Federal program restraints, allowing allocation
private and mutual water companies. The value in use of agricultural production to the most efficient producing
of irrigation water tends to be low, typically in the areas.

256

and that greater efficiency could be attained in water supplies, should consider pricing as a means of
irrigation water use by adoption of a pricing system. encouraging better use of water. Under present
At present, however, efficient water use is not the practice, the Bureau enters into long-term contracts
objective of most water supply agencies. Restrained for water deliveries at prices based on estimates of
legally and institutionally from gaining economic irrigators' ability to pay. The central objective of the
benefit by selling water to more productive users,s 5 Federal reclamation program has been the promotion
individual farmers and irrigation districts may seek of irrigation-based agricultural communities, not the
only to have the available water supply delivered at efficient use of water. This policy is reflected in the
the lowest possible price to the user. Many districts ability-to-pay criterion for the pricing of water to
do not even measure the amount of water delivered irrigation districts. There is substantial potential for
to users. more efficient use of Bureau-supplied water through a
Major changes in these patterns of behavior are not shift to a cost-based pricing approach, at least on new
likely to occur until economic incentives arise for irrigation projects.5 8 Incremental cost pricing would
making more efficient use of water. But even under provide a powerful incentive for efficient use of
present legal and institutional arrangements, some irrigation water, particularly in the more and areas of
incentives exist for making better use of water, and the West. It would also stimulate the development of
pricing could be an effective tool to accomplish that new technologies leading to still more efficient use.
objective. For example, in cases where a district is
supplying surface water and the farmer controls his The Ability to Pay Issue
own irrigation pumps for ground water, the district There is some public opposition to the use of
may wish to manage surface and ground water use pricing and user charges by government agencies. One
conjunctively, although it controls only the surface reason is that such charges are visible to the user;
supply. The district may wish to distribute surface government revenue raising seems to be more
supplies early in the irrigation season and to utilize palatable when it is less visible. The high visibility of
the irrigators' pumping capacity later in the irrigation prices, of course, is exactly the reason they are
season. In order to encourage use of surface supplies effective in improving t .he allocation of resources.
in the early season and ground water later, prices or The second and more substantive issue is the
tolls for surface delivery must first be set below, and assertion that user charges and prices are regressive
then later above, the variable costs of pump
operation. 56 Thus, irrigation use of particular sup- and thus discriminate against lower income families.
plies can be effectively controlled by pricing policy That is, payments for water-related services would
but the lack of complete control over both surface represent a larger portion of a poor family's income
and ground water would prevent pricing of the than a rich family's income. Therefore, the argument
surface water at a full incremental cost level. I " Other is that water and water-related services, so often
local conditions might produce other instances where provided by a governmental entity, should be
pricing could be effectively employed to accomplish financed out of general tax revenues. For example,
specific local objectives. If a district were perennially one proposal would be for the Federal. Government
short of water, a pricing policy could embody a to finance or provide tax credits for domestic
concept of "standard irrigation efficiency" based on waste treatment because it would then be supported
by the progressive income tax rather than more
district averages. Irrigators using more water than the
"standard," suitably adjusted for soil conditions, regressive local taxes or user charges.' 9
crops, and other variables, might be required to pay a In the first place, it is not at all clear that
surcharge for the excess use. implementation of incremental cost-based pricing
The U.S. Bureau of Reclamation, which provides practices, as advocated here, results in increasing the
some 8.5 million acres with full or supplemental "The Commission has not studied the legal feasibility of
increasing prices for water presently supplied under
On such restraints, see Chapter 7, Section D. long-term contracts.
Any financial deficit which results can be covered by land s 9 URBAN SYSTEMS RESEARCH AND ENGINEERING,
assessment. INC. (1971). Metropolitan Water Management, Case
"'See TAYLOR, Gary C (1967). Economic Planning of Studies and National Policy implications, prepared for
Water Supply Systems, Giannini Foundation Research the National Water Commission. National Technical
Report No. 291. Giannini Foundation of Agricultural Information Service, Springfield, Va., Accession No. PB
Economics, University of California, Berkeley, p. 74. 199 493. p. 12.

257

Furrow irrigation from gated surface pipe permits close control of water deliveries

relative burden on the lower income families. The objective is income redistribution, the stratified pric-
lawn sprinkling situation provides an important fllus- ing of goods and services in selected industries such as
tration. Owners of homes on large lots, generally in water or sewerage utilities is hopelessly unsatis-
wealthier suburban neighborhoods, should pay the factory. A more appropriate device might be the tax
full costs of their water services. Davis and Hanke structure or welfare payments.
found in their study of the Washington metropolitan The strongest argument in support of cost-based
area that application of incremental cost pricing pricing and user charges is that by encouraging
would reduce the cost for the inner city resident efficiency in use they improve resource allocation and
while increasing the cost to the suburban user. In prevent premature investment for expansion of
Boulder, Colorado, the cost of supplying sewer and facilities. The entire society is made better off.
water services to new homes is $1,450 per home However, there is room for compromise. Efficiency in
while the charge is only $600. The difference is made allocation of municipal water supply would not be
up by revenues from established residents, frequently seriously reduced by providing for the sale of
less affluent than the new home residents. 60 minimum amounts of services at less than cost. For
In any event, nonwater utilities do not ordinarily example, in-house requirements for drinking, cook-
give special rates to low income customers. And ing, sanitation, and bathing might be subject to
ability to pay does not enter into the conventional less-than-cost prices. Additional use, presumably for
market. A pound of sugar is priced the same in the less essential purposes, could, be subject to pricing
store for the millionaire as for the pauper. If the that fully recovers the associated incremental costs.
"HOWE, Charles, Professor of Economics, University of The Commission is not advocating this less-than-cost
Colorado. Boulder (1971). Correspondence dated Novem- pricing policy, because it thinks that water policy is a
ber 18, 197 1, with the National Water Commission. very inexact and inefficient way to improve the

2S8

economic well-being of the poor. It seems appropriate The Commission recognizes that provision of water
that the issue of income distribution should be supply and sewerage services benefits affected
resolved through reforms in tax structures or welfare properties. These benefits from construction of water
transfer expenditures while systems of pricing and supply and sewerage facilities become capitalized into
user charges should be employed to encourage the value of the properties served. Hence, the
prudent use of water resources. Commission concludes there is justification for
imposing a combination of charges and assessments to
CONCLUSIONS recover costs. It may be appropriate, for example, to
(1) levy a special assessment based on front-footage
Pricing is becoming increasingly important. As or acreage of benefited property to recover con-
water demands increase, use will press more heavily struction costs of a water or sewerage system and
on the given natural supplies, costs of diversion and simultaneously diminish unintended windfalls to
delivery will increase, and competition and inter- property owners, and (2) charge a price per unit to
action among uses will be more intense. Pricing, recover operation and maintenance expenses.
including allowance for the value of the resource The Commission concludes that systems of pricing
itself, can help to bring about better use of the and user charges that recover the full costs of water
Nation's water resources. services directly from users will conserve water
As valuable as pricing of water can be toward supplies, discourage premature investment in water
motivating better use, it cannot be relied upon development projects, reduce financial burdens now
exclusively to achieve always the highest and best use borne by nonusers, and, most importantly, make the
from an overall social standpoint. It should not, for use of scarce resources more efficient.
example, be allowed to lead to improper land use.
Land use planning should set constraints on the use
of both land and related water so that when water
pricing is implemented, the resulting use from a social RECOMMENDATIONS
standpoint is indeed the highest and best. Likewise, 7-21. Water management agencies should review
pricing cannot be relied on to preserve environmental their metering and pricing policies. Wherever
quality, and water quality standards will have to be economically justified, meters should be in-
61
established outside the pricing mechanism. stalled and water deliveries measured. Where
A uniform nationwide system of prices, surface feasible, water and sewerage charges should be
water diversion charges, and pumping taxes would based on two considerations:
also be inappropriate. The structure of user prices or a. the costs that users impose upon the
withdrawal charges imposed should vary from area to system, and
area and from situation to situation depending on b. the costs imposed on society from the
conditions (e.g., large unused system capacity versus loss of the use of the resource for other
full utilization of existing capacity). purposes.
In some areas, the costs of providing water services Provision should also be made for recovery of
are comparatively low and provide a temptation to unintended windfall benefits conferred upon
set prices that yield revenues in excess of costs. This affected properties by construction of facili-
may be true for many municipalities that are ties.
financially pinched and look upon water service 7-22. Where water is a scarce resource,. States
facilities as a means of raising revenues for unrelated should investigate the legal and institutional
municipal purposes. The Commission disapproves of feasibility of imposing withdrawal charges on
setting water supply and sewerage charges at levels self-suppliers of water diverting from surface
which not only fully recover costs but also return and ground water sources as a means of
additional "excess" revenues for nonwater purposes. improving efficiency in the use of water.
The purpose of pricing water and water-related 7-23. All Federal agencies that supply water to
services is to encourage more prudent and efficient users' should adopt a uniform policy of
use of water, not to raise revenues beyond that cost-based pricing in all future water supply
required to cover costs. - contracts, and, wherever practicable, extend
"For the Commission's views on pollution abatement, see that policy to classes of users who are not
Chapter 4. now charged.

259

-Section D
Transfer of Water Rights Under
Appropriation Doctrine 61

As the Nation's population and its economic protect other water users from adverse effects from
activities expand, greater and greater demands are the transfer. 63
made on its relatively fixed supply of water. Water, The sale of water rights is fairly common in some
once so abundant as to be considered a virtually free Western States. Unfortunately, legal and institutional
good, is increasingly viewed as a scarce resource. obstacles obstruct the smooth operation of the
Along with growing demands on the Nation's water transfer process in much of the West. If these
supply have come far-reaching changes in conditions obstacles were removed and the transfer of water
throughout the land. Agrarian activities have become rights made more feasible and facile, it would be
comparatively less important in the economic scheme expected that high-value users, such as cities and
of things. New technologies have given rise to changes industries, would purchase water rights from low-
in the ways in which food and fiber are produced on value users, such as some agricultural owners of water
the Nation's farms. Migration from rural to urban rights. This reallocation process, operating in a
areas has intensified. Land use patterns have become framework of voluntary action in response to tradi-
dramatically rearranged. tional economic incentives, would increase the bene-
Water supply should be adaptable to these fits gained from the use of water and would tend to
changing conditions. Since it is in limited supply, it delay or make unnecessary the construction of new
should be deployed in such a fashion as to yield the sources of supply.
highest return to social well-being. That cannot be The necessity of processing each water rights
done, of course, unless the disposition of water is transfer through an administrative proceeding, the
sufficiently unfettered to permit it to be allocated fact that no two water rights are identical, and the
where it will do the most good. Immutably fixing fact that there are few buyers and sellers, will prevent
ancient allocations of water in a world where change the development of a market in water rights com-
is a transcendent characteristic is almost guaranteed parable to the auction market of a stock or com-
to make those allocations inconsistent with modity exchange. Nevertheless, it is reasonable to
contemporary requirements, to say nothing of future assume that removal of legal and institutional ob-
needs. stacles will significantly increase the number of
Unfortunately, some legal and other institutional transfers which will be made.
arrangements do just that; they lock into concrete a The principal opportunity for reallocation of water
pattern of water use which at one time may have through voluntary transfers would seem to be from
been appropriate but which no longer is. Ways must relatively low-value agricultural uses to higher-value
be found to do some unlocking. The Nation must municipal and industrial uses. Several studies show
encourage changes in both the purposes and places of wide disparities iii the value of water among these
water use in order to achieve the best utilization of its alternative uses. One study, for example, concluded
water supplies. In other words, water supplies should that "there are in excess of one million acre feet of
be freed to be transferred to places of highest and water being utilized in the Imperial Valley alone
best use.
This section is based in large measure on two background
studies prepared for the National Water Commission:
THE PROBLEM MEYERS, Charles J & POSNER, Richard A (1971).
Market Transfers of Water Rights. National Technical
The law of most Western States authorizes the Information Service, Springfield, Va., Accession No. PB
owner of a water right to sell the right to another, 202 620, and DEWSNUP, Richard L & MEYERS, Charles
who Iin turn is then permitted to transfer the right to J (197 1). Improvement of Stat@ Water Records. National
Technical Information Service, Springfield, Va., Acces-
a different place of use or to a different kind of use. sion No. PB 202 618
The transfer must be made in accordance with State "Transfer of water rights in riparian jurisdictions is
administrative procedures which are designed to discussed in Chapter 7, Section F.

260

Upon the effective date of rule changes resulting from the work of the

Blue Ribbon Marina Committee, all grandfathered facilities shall be pro-
vided with a two year period within which to apply for an appropriate
document of authorization for continued use of sovereign lands with no
annual fee.

This document of authorization that would be issued to grandfather
holder would guarantee continuation of use to a new owner even though
status would change to a lease. The sale and transaction to be handled
in the same manner as any other previously leased sovereign land.

-Any owner of a facility that fails to apply for such authorization
within a two year period shall be subject to the loss of any existent
"grandfathered" rights. The Departmenz of Natural Resources shall

exhaust all reasonable means -to ensure that affected persons-are informed
of this requirement.

A registration fee not to exceed that currently reuired by rule for sub-
merged land leases may be charged for such registration.

Grandfathered non-wazer dependent uses shall betreated as water depen-
dent uses when grandfather status is lost for any reason.

If a facility occupies sovereig submerged lands portions of which are
exempted from payment by virtue of grandfathered status and portions of
which are leased, and grandfathered status is lost pursuant to the
recommendations of this Committee, the lease fee and rate schedule for
the entire property shall be the appropriate base rate a the-tiMe the
renegotiated lease is executed.

The Committee discussed at length the legal ramifications of doing away
with the grandfather provision and was advised that DNR legal counsel
believes that while the Governor and Cabinet- could legally begin to
impose a charge for those previously exempted areas, the manner in which
the curren exemption was handled and how it was applied would be criti-
cal. Each situation would probably be handled on a case-by-case basis.

The Committee agreed to retain Ithe current rule provisions regarding
grandfather clause which states, "Docks, piers, and other such structures
on sovereignty lands in existence prior to March 10, 1970 shall be sub-
ject to the provisions of this rule commencing on January 1, 1998. Any
expansions to such structures shall be subject to the provisions of zhis
rule, if any expansion thereto reuires the use of any additional
sovereignty lands. It is the intent of this section to continue,
unchanged, the grandfather clause provided in the previous Section
186-17.14(l)(a), (i), and (j), Florida Administrative Code."

They then opted to explore other means of eliminating the status over
In time

would otherwise be dependent on evidence difficult diverts which he has a right to consume (i.e., that
to obtain and usually unreliable. does not return to the stream). (Occasionally, in lieu
of prohibiting changes which adversely affect junior
Recommendation No. 7-25: The State engineer or appropriators, payment of compensation is allowed.)
any party with an interest should be permitted to A simplified illustration may help explain the
apply in an administrative proceeding for the cancel- transfer process. Farmer F owns an early appropria-
lation of any water right of record on grounds of tive right that entitles him to divert 1,000 acre-feet of
abandonment or forfeiture. No such proceeding water during the irrigation season. Not all of this
should affect a purchaser of such water right unless a water is consumed by raising crops. Let us assume
notice of Us pendens (litigation pending) has been that 60 percent (600 acre-feet) is lost by evaporation
filed in the appropriate records office prior to the and consumed by crops, and that 40 percent (400
date the purchase agreement is entered into. The few acre-feet) returns to the stream and is subsequently
States not having forfeiture statues should enact them diverted by junior appropriators. F enters into a
as part of this law. contract to sell the consumptive use portion of his
water right to municipality M which plans to take the
Discussion - A number of States have forfeiture water out of the basin. A transfer proceeding must be
statutes, and the doctrine of abandonment appears to held to determine the facts assumed above, after
be part of the common law of all States. The which an order allowing transfer from F to M of 600
difference between forfeiture and abandonment is acre-feet may be entered.
intent. Forfeiture usually results from nonuse for a Several changes in the procedures regulating trans-
consecutive number of years; intent is not required fers would improve this process and they are em-
by the statutes. Abandonment can result from nonuse braced in Recommendations 7-26, 7-27, and 7-28. A
for any period of time but, unlike forfeiture, intent change in substantive law is included in Recom-
to relinquish the right must be proved. Though some mendation 7-29.
have argued that forfeiture statutes encourage waste
by inducing the appropriator to apply water when he Recommendation No. 7-26: All transfer proceedings
does not need it (thereby avoiding application of the should commence as administrative proceedings
forfeiture statute), the Commission believes that on before the State engineer (or the equivalent water
balance these statutes serve the useful purpose of administration agency), who should be charged with
providing a mechanism for eliminating stale claims the duty of making an independent determination of
from the record. However, in order to encourage the adverse effect of the proposed change on junior
transfers of water rights, purchasers of rights that appropriators. This determination may be based on
mig Ilit be subject to attack on grounds of forfeiture his own investigations (given in a report to the
are protected if the contract for purchase was entered parties), or on evidence presented by the parties, or
into before the forfeiture proceeding was recorded. both. The determination should be subject to judicial
review but should be sustained if supported by
Simplification of Transfer Procedures substantial evidence.

The second group of proposed changes relates to Discussion - Most Western States follow this
procedures for changes in points of diversion, places procedure at present, but some do not. Whatever may
of use, and nature of use. Western law uniformly be said of the administrative process in other con-
requires some sort of proceeding before an owner of a texts, it is clear that the State engineer who adminis-
water right can change its place or nature of use. The ters the distribution of water is more likely than a
proceeding serves a necessary purpose -determination court of general jurisdiction to have the necessary
of the effect of a proposed change on junior expertise to determine reliably and expeditiously the
appropriators. No change can be made without strearnflow effects of a transfer.
protection of these junior users and their rights.
Protection is usually accomplished by limiting the Recommendation No. 7-27: An application for a
amount of water that can be transferred to the transfer of a water right should be denied if the
amount consumptively used by the transferor. In transfer would have the effect of substantially de-
other words, the seller cannot sell all the water he has grading stream quality below the water quality
a right to divert but only that portion of the water he standards existing at the time the application is made.

262

Discussion - This provision seeks to balance priators has been observed. Under the practice gener-
environmental claims, economic efficiency, and pri- ally prevailing at the present time, the decisionmaker
vate property rights. Reference to the hypothetical is handicapped by being required to decide prospec-
transfer from farmer F to city M may help clarify the tively and speculatively the probable future effect of a
point. Farmer F has historically diverted 1,000 transfer on junior appropriators. Such effects are
acre-feet of water at his headgate, consuming 600 sometimes both problematical and relatively insignifi-
acre-feet and returning 400 acre-feet to the stream. cant.
City M proposes to transfer the 600 acre-feet of In addition to providing for flexibility, Recom-
consumptive use to its municipal system in another mendation 7-28 provides for compensation as an
basin. Since junior rights in the 400 acre-feet of alternative remedy where the value of the new use is
return flow are protected, the transfer would be substantially greater than the value of the old use.
permitted under Western law. While this provision could be characterized as permit-
Under some circumstances, the transfer could ting "private eminent domain," it is in fact but a
nevertheless have an adverse effect on environmental modest departure from the current rules of Western
values. Suppose the city proposes to take the 600 law which allow private condemnation of rights-of-
acre-feet at a new point of diversion 10 n-dles way for canals and water pipelines and which also
upstream from the old point of diversion, thus permit condemnation by a preferred use of an
diminishing streamflow between the new point of inferior use.'o This proposal enlarges the class of
diversion and the old. If water quality standards in preferred uses from specifically named uses (e.g.,
that reach of the river had been set to promote fish municipal) to any new use substantially more valu-
culture, and if they would be violated as a result of able than the old ones. It is in accord with recom-
the transfer, then the State engineer should deny the mendations made in 1955 by the President's Advisory
application or reduce the amount of water permitted Committee on Water Resources poliCy.71
to be transferred. The recommendation proposes that So much for procedural changes. A final recom-
transfers which do not violate existing quality stand- mendation on State recordkeeping and water rights
ards would be permitted. It should also be noted that administration involves a change in the substantive
the use of the water by the purchaser after the law as well. It will be recalled that in the transfer
transfer will be subject to valid police power regula- from F to M, described above, F had a right to divert
tions aimed at protecting environmental quality, or 1,000 acre-feet but was permitted to transfer only his
promoting other social objectives. consumptive use of 600 acre-feet because the law
properly protected junior appropriators who had
Recommendation No. 7-28: When it appears that the made investments in reliance on the return flow from
effect on junior appropriators from a change in point Fs diversion. After M has bought and paid for the
of diversion, or place or nature of use will be difficult 600 acre-feet and obtained the necessary transfer
to determine in advance of making the transfer, the order, it will run the water through its municipal
State engineer should be authorized to issue a system and is likely to have a return flow as high as
conditional order allowing the transfer, subject to 70 percent. What rights should M have in this 420
further proceedings to modify the order so as to acre-feet? The Commission believes that M's property
prevent such harm as might be proved in later interest in this water should be protected if the return
proceedings. If it appears in the later proceedings that flow can be adequately identified. There is no reason
the harm sustained by the protesting junior appro- to give a new, free supply of water to users below M's
priators is slight compared to the value in use after outfall, where those users had no previous reliance on
the change, the State engineer may deny specific the new supply and have not paid for it. Rather, M
relief, and transfer the case to the district court for should be entitled to use the full supply it purchased
the recovery of damages, including costs and reason- as its nee s arise. e o owing recommendation
able attorneys' fees, by junior appropriators who proposes both a recording provision to identify return
have sustained harm.
"Clark v. Nash, 198 U.S. 361 (19 05). Kaiser Steel Corp. v.
Discussion - Further improvement in transfer W. S. Ranch Co., 81 N.M. 414,467 P. 2d 986 (1970).
procedures can be made by adopting the Colorado 71 PRESIDENTIAL ADVISORY COMMITTEE ON WATER
RESOURCES POLICY (1955). Water Resources Policy,
practice of allowing transfers but subjecting them to House Document 315, 84th Congress, 2d Session. U.S.
future modification after the effect on junior appro- Government Printing Office, Washington, D.C. Section V.

263

flow from transferred uses and a substantive rule to water was provided for 140,500 farms with a total of
clarify property rights. 8,570,000 irrigated acres."
Despite the size of these deliveries, the law is far
Recommendation No. 7-29: After the effective date from clear about the nature of the title the Bureau
of the statute, all orders allowing the transfer of a has to this water. This uncertainty as to title, the
water right should specify the new point of diversion, nature of the water right, and the transferability
the amount of the new diversion in volume and rate thereof deter the reallocation of reclamation water
of flow, the place and nature of the new use, its from agricultural use to other, often higher-valued
consumptive use, and, where feasible, the amount of uses.
return flow from the new use, and the point of its A brief review of Reclamation Law may help put
reentry into the system. Where the transfer order the problem in perspective. Apparently, the original
contains these specifications, the full amount of the 1.902 Reclamation Act contemplated that water
water that has been permitted to be transferred rights would be held by the individual irrigators,
should be the property of the new owner, including subject to a 10-year repayment obligation. But the
the return flow from the new owner's new use. Until inability of individual irrigators generally to discharge
the new owner fully uses or sells the return flow from their debts led, in 1926, to a statutory requirement
the new use, other water users should he perniitted to that repayment contracts be executed by irrigation
make interim use of such return flow, but the new (or conservancy) districts. It apparently became the
owner should have the right to recapture the return practice for the Bureau to apply for and hold the
flow when he (or his assignee) has a beneficial use for water right, with the understanding that upon full
it and when it can be identified and segregated from repayment the right would pass to the district. Under
other sources of supply and this should be stated in the 1939 Act, so-called "9(e) contracts" are author-
any State permit authorizing such interim use. ized whereby the irrigators pay operating costs and
only such share of construction costs as the Secretary
Discussion - Vesting title to the return flow in the of the Interior finds them able to pay. When, if ever,
purchaser of a transferred water right is merely a the water right passes to the district is uncertain.
clarification of the existing law in some States. Where Finally, in some projects, as for example the Boulder
a city or other user develops a supply of imported Canyon Project on the Colorado River, no State
water, the return flow therefrom should be the filings at aft were made by the Bureau.
property of the importer." Once the new owner's Further confusion exists with respect to the
return flow is clearly identified as a new source of present purposes of reclamation activities. It seems
water under the recording provision, there is little indisputable that in 1902 the policy objective was to
reason to give it to others free of charge. develop the West with family farms of 160-acre size
each. Section 5 of the Act provided that "No right to
Legal Restraints and Prohibitions on Transfers of the use of water for land in private ownership shall be
Water Rights sold for a tract exceeding one hundred and sixty
The third category of change to facilitate voluntary acre s ... and no such sale shall be made to any
landowner unless he be an actual bona fide resident
transfer of water rights involves the repeal of laws ,14
that forbid transfer, and the clarification of laws that on such land .... The acreage limitation is still
obscure the power of water rights holders to make in force, more or less, but the residency requirement
transfers. Both Federal and State law would be has frequently been disregarded .75 (If Congress
affected. should decide to retain the acreage limitation for
irrigation water, transfer of Bureau of Reclamation
Substantive Changes in the Federal Law: In 1970, the water rights from one farmer to another would also
U.S. Bureau of Reclamation supplied 25.6 million be subject to the limitation. But the limitation would
acre-feet of water for irrigation use in the West and an 71U.S. BUREAU OF RECLAMATION (1971). Water &
additional 2 million acre-feet for municipal, indus- Land Resource Accomplishments, 1970. U.S. Govern-
trial, and other nonagricultural uses. The irrigation ment Printing Office, Washington, D.C. p. 1.
74 The Reclamation Act of 1902, 57th Congress, P.L. 161,
7'See, for example, Stevens v. Oakdale Irrigation District, June 17, 1902, 32 Stat. 388, 43 USCA 431.
13 Cal. 2d 343, 90 P. 2d 58 (1939), and Los Angeles v. "See Chapter 5, Section D, on Acreage Limitations and
Glendale, 23 Cal. 2d 68, 142 P. 2d 289 (1943). Subsidies in Reclamation Programs.

264

0 W

21
V,
A*
AL

Inigation diversion dam and headgate structure

not affect the transfer of Bureau water rights from the Bureau of Reclamation (and the people of the
irrigation use to municipal and industrial use, the United States) in present-day use of project water are
usual transfer expected to occur under the recom- the following:
mendations of this section.) (1) Project water should be available for transfer
Over the years, the Bureau of Reclamation's to its highest and best use; and
programs have been expanded beyond the fostering (2) Repayment of outstanding loans should not
of family farms. The Bureau now furnishes power be jeopardized by water transfers.
from hydroelectric projects and will soon furnish In order to encourage these two objectives, the
power from a fossil fuel steamplant, it provides Commission makes the following three recommenda-
municipal and industrial water, and, in some parts of tions. The first two, Recommendations 7-30 and
the West, it services national parks, monuments, 7-31, deal with construction costs; the third, Recom-
recreation areas, wildlife refuges, and so forth. In mendation 7-32, deals with operation and main-
short, the mission of the Bureau of Reclamation is tenance costs.
much broader now than it was originally.
It is the Commission's view that apart from the Recommendation No. 7-30: Congress should declare
acreage limitation question, the legitimate interests of a national policy of permitting the transfer of water

265

INFORMATION NEEDS

In addition to recommending a marina policy and the establishment of a
formula for assessing euitable submerged land lease fees, the Governor
and Cabinet.also charged the Blue.Ribbon Marina Committee with developing
a pro-active policy determining marina needs, types of marinas and loca-
tion of these new or additional facilities.

Early in its work, the Committee reviewed 'two current marina related
studies-one in the proposal stage being developed by the Division of
Recreation and Parks of the Department of Natural Resources to be funded
through the Coastal Zone Management Program, and one nearing completion
being conducted through the Florida Sea Grant Program-and briefly

discussed information available fro previous studies.

The members felt that while "Chey could make general recommendations for
marina sizing as stated in the Marina Sizing Policy of this report, they
lacked the comprehensive supply-demand-needs assessment and economics of
zhe industry data necessary to make size specific recommendations.

As one method of emphasizing the marina inventory needs recognized by zhe
Committee, -the Coastal Zone Management grant proposal was tailored to
include zhose data the Committee felt of, greatest important to their
work, particularly the identification of ownership of submerged lands,
that is, privately owned, privately grandfalthered in, and sovereignty
leased.

The Committee recommends the following:

- completion of the Coastal Zone Management grant study

- fundamental marina design crizeria be developed thaz properly
meshes the needs of zhe marina wizh zhe needs for environmental
protection

- state and local government responsibilities in marina sizing
be delineated

- inclusion of comments on sizing of water dependenz uses in
the coastal zone element of local comprehensive plans

- plans for analyzing and considering cumulative impacts of
marina sizing be implemented

The Committee feels that accomplishing the above--mentioned recommen-
da4zions should finally lead to the identification of what level of-use
can be made of a body of water while still maintaining the quality of use
of that body of water and the quality of 4t8he water itself.

-208-

that the new owner pay interest at prevailing Federal The principal pieces of legislation of the first type
water development rates is justified by several consid- include the following: 77
erations. Resource allocation is apt to be distorted if (1) The 1902 Act (32 Stat. 388), which con-
purchasers of water can acquire a supply at the zero templated issuance of water right certificates
or unrealistically low (i.e., subsidized) interest rates to individual water users after repayment of
which have been accorded irrigators. The real cost of construction costs in a 10-year period.
water bought on credit is the cost of the capital to (2) The Warren Act of 1911 (36 Stat. 925),
acquire it. For the Federal Government to subsidize a providing for contracts for delivery of surplus
municipality's acquisition of a water supply could project water to individuals or irrigation
result in the purchase of an excessive amount of organizations outside project boundaries.
water and its use for purposes no more productive (3) The 1922 Act (42 Stat. 541), authorizing
than the former uses. Moreover, charging interest on contracts with irrigation districts in lieu of
what is essentially a loan to the water purchaser will water right applications from individual users.
discourage promotion of projects ostensibly for (4) The 1926 Omnibus Adjustment Act (44 Stat.
interest-free irrigation but actually intended to be 636), requiring contracts to be with irrigation
transferred to municipal and industrial users on districts rather than with individual users and
subsidized (noninterest-bearing loan) bases. Lastly, extending the repayment period to 40 years.
since it is contemplated that most transfers will be (5) The Reclamation Project Act of 1939 (53
made to municipalities, the interest requirement will Stat. 1187), which designated the 40-year
result in all municipalities being treated alike, avoid- construction cost repayment contract as a
ing favored treatment to those who may be located 9(d) contract and authorized a new form of
near an irrigation project. water service contract, the 9(e) contract,
which could have a term for any period up to
40 years at water charges that would "in the
Recommendation No. 7-32: Where a proposed trans- Secretary's judgment ... produce revenues at
fer of water rights threatens to impair the ability of a least sufficient to cover an appropriate share
person or organization to pay operation and mainte- of the annual operation and maintenance cost
nance costs when such person or organization is and an appropriate share of such fixed
obligated by contract with a Federal agency to pay charges as the Secretary deems proper ......
such costs, the new owner should have the right to A 10-year development period was added to
assume an obligation to pay annually to such agency the 40-year repayment period.
that portion of such operation and maintenance costs (6) In 1956, Public Law 643, 84th Congress (70
allocable to the quantity of water transferred. Stat. 483), removed some of the ambiguities
of the 9(e) contracts by providing for renewal
of the contracts, by crediting excess opera-
Discussion - The transfer of water rights for use in tion and maintenance charges against con-
large quantities outside project boundaries may im- struction costs, and by allowing conversion to
pair the ability of the remaining water users to pay 9(d) contracts when remaining construction
annual operation and maintenance costs. This recom- charges could be recovered within a fixed
mendation seeks to satisfy the Federal interest and term (usually 40 years).
yet provide definite rules that will facilitate transfers. (7) The Water Supply Act of 1958, Public Law
By law, the share of operation and maintenance 85-500 (72 Stat. 319), authorizing inclusion
charges will be fixed by the ratio of transferred water of storage capacity in Bureau of Reclamation
to total water supply. reservoirs for present and anticipated future
All three of these recommendations would affect
Federal reclamation law which consists of two classes "A full description of Reclamation law may be found in
of statutes: (1) general legislation governing the rela- U.S. CONGRESS, Senate (1964). Reclamation Repay-
tionship between the Bureau of Reclamation and the ment Contracts, A Compilation together with Explana-
individuals or entities that receive reclamation water tory Notes on Basic Features of Several Types of
and (2) specific statutes authorizing particular proj- Contracts Most Frequently Entered Into, prepared by the
ects, some provisions of which may depart from Bureau of Reclamation, Senate Document 92, 88th
Congress, 2d Session. U.S. Government Printing Office,
general principles. Washington, D.C.

267

demand for municipal and industrial water tives, States should enact legislation as described in
supply. Recommendations 7-33 and 7-34.
Each of these statutes modified to some degree the
practices and procedures followed under earlier stat- Recommendation No. 7-33: Any user of water who
utes. Recommendations 7-30, 7-31, and 7-32 contem- has a contract for the use of such water, or whose
plate enactments of this general nature, declaring a right to the use is transferable with a parcel of land
national policy of permitting the transfer of reclama- upon the sale of such land, should be entitled to sell
tion water in order to facilitate the reallocation of the his right to use such water and to apply for a change
resource to more productive uses. The legislation in the place or nature of use of such water in
recommended would constrain such transfers only to accordance with the law and procedures governing
the extent necessary to protect the Federal financial changes in points of diversion, nature, and place of
interest or to accomplish other Federal objectives use of water rights. In such proceeding, the applicant
such as the excess land limitation, if that poficy should not be required to prove ownership of an
should be continued. Thus, the legislation imple- appropriation or permit right but should be allowed
menting these recommendations should provide to transfer whatever right or privilege he may have,
generally that the " . . . Act shall be a supplement to subject to the rule that such transfer shall not injure
the Federal reclamation laws,"" and that it amends the rights of other water uses.
or repeals any laws inconsistent with it. Since the
recommended legislation would create no new bur- Discussion - This recommendation builds on
dens on holders of reclamation water rights or water Recommendations 7-30, 7-31, and 7-32 in seeking to
delivery contracts, but rather confers benefits on simplify the transfer of water furnished by the
them, no question of its validity should arise. Bureau of Reclamation to an irrigation district and
then to the ultimate consumer, usually a farmer.
Substantive Changes in State Law- The substantive Rather than trying to sort out a complex legal
law of the States will also require change if voluntary situation regarding title, the proposed statute deals
transfers of water rights are to be facilitated. Two functionally with the ultimate beneficiary of the
classes of problems exist: water supply and allows him to make agreements for
(1) Uncertainty exists about who owns certain the sale of the water. Concommitantly, it allows him
kinds of water rights and, therefore, about to institute proceedings (along with the purchaser)
who has the power of disposition over them. for an order changing the place or nature of use. The
(2) Even where there are no such uncertainties, general provision making such transfers subject to the
legal restrictions have been placed on the vested rights of others takes care of two problems-
power of individuals and organizations to the reliance of others on return flow (the usual
make water transfers. problem of water transfers) and the special problem
Uncertainties Over Ownership and Power of Dis- of any financial obligation that might exist under the
position - The first category of State law problems contract between the user and either the irrigation
district or a State or Federal agency. The administra-
involves the uncertainty of water rights ownership, tive agency that handles water rights transfers can
particularly acute in the case of Bureau of Reclama- impose the necessary conditions to protect these
tion projects, but also troublesome with respect to interests.
projects built and operated by State or local agencies.
The Commission believes there are two ways to cut Recommendation No. 7-34: Upon the vote of a
the Gordian knot: (1) by allowing individual water majority of the members of an irrigation district
users to apply for transfer orders under the standard entitled to vote for members of the governing board,
State procedures for changes in point of diversion, or the district may enter into a contract for the sale of
place or nature of use, and (2) by authorizing the water, or any portion thereof, to which it is
irrigation districts upon a vote of the members to legally entitled by contract or otherwise, and for its
apply for transfer orders in accordance with the delivery to a purchaser at such place and for such
standard State procedures. To achieve these objec- nature of use as the purchaser shall designate, subject
78This language is taken from Section 5 of Public Law to the provisions of law regarding changes in the
84-643, July 2, 1956, 70 Stat. 483, 43 USCA 485 h, the point of diversion, place, and nature of use. Except
1956 Act clarifying Section 9(e) contracts. where individual users have voluntarily transferred

268

their right to the use of water to the district, the specifically defined rights to make transfers. One such
diminution of supply available for use by members of restriction, found in the law of only a few States at
the district by virtue of the transfer should be shared the present time, makes an appropriative water right
pro rata on the basis of average use over the 5 years "appurtenant" to the land (i.e., not subject to
preceding the date of the contract of sale. Without separate sale and use apart from the original tract of
proof of more than a legal right to receive water, the land benefiting from the right). Another restriction
district may apply for a change in the point of denies the power of irrigation districts to provide
diversion, or in the place or nature of use, and a water outside district boundaries. The Cormnission
transfer of such right should be allowed, subject to believes that these restrictions, and others of like
the rule that the transfer shall not injure vested rights nature, would be impliedly repealed under the pro-
of others. visions of Recommendations 7-33 and 7-34. However,
to make the matter entirely certain, the following
Discussion - This recommendation rounds out the recommendation is proposed.
quintet of proposals designed primarily to enhance
the marketability of the lower-valued portion of the Recommendation No. 7-35: Each State having the
large volume of irrigation water administered by the appropriation system of water rights should provide
Bureau of Reclamation. Recommendations 7-30 ' for an administrative procedure for the transfer of
7-31, and 7-32 remove Federal restrictions on the such rights by changes in point of diversion, place of
transfer of project water, except for conditions use, and nature of use. Protection should be provided
regarded as necessary to protect the Federal purse. for the vested rights of other water users. Any person
Those recommendations throw back onto State law or organization having the right to use water should
the burden of determining who can make water be entitled to transfer such right, and all statutes,
transfers. judicial decisions, and administrative regulations to
One mode of resolving the question of who can the contrary should be repealed.
make water transfers would be an attempt to unravel
"title" to the water right, but that would, be a Evaluation of Federal Water Supply Projects
complex and expensive exercise. It therefore seems The legal and institutional reforms proposed here
preferable to specify the actions that water users may give promise of adding flexibility to the utilization of
take to sell their rights to receive water. In essence, water resources. Elsewhere the Commission recom-
Recommendation 7-33 allows a project water user to mends that alternative sources of water be examined
sell his water if he can meet the standard applicable and evaluated in any proposal for construction of a
to all other water users, namely that the transfer does project to provide a new or supplemental water
not injure vested rights of others. supply. One such alternative, as this section repeat-
Recommendation 7-34 deals with the public irriga- edly suggests, is the reallocation of water from
tion district, allowing it to sell upon a majority vote existing, low-value uses to the higher-value uses which
of its members. This provision is desirable because it a proposed project might otherwise serve .7 9 The
permits a prospective purchaser of large quantities of Commission believes that this alternative should be
water to deal with an entity rather than with considered in evaluation of any proposed Federal
numerous individual users, thus reducing the costs of water project and, accordingly, makes the following
the transaction and making it less cumbersome. recommendation.
Protection is afforded district members by requiring
resulting water shortages to be pro-rated. More Recommendation No. 7-36: Every report on a pro-
efficient farmers can make up their shortages by posed water supply project submitted to Congress
purchases from less efficient farmers in the same should include a study of existing developed water
project. The recommendation contemplates that the
district itself will seek to buy individual rights prior "Section 8 of the 1902 Reclamation Act provided:
to consummating a transfer. So much for uncer- ". . the right to the use of water acquired under the
tainties over ownership and powers of disposition. provisions of this Act shall be appurtenant to the land
irrigated. . In view of the numerous amendments to
Restrictions on Powers of Transfer - The second the Reclamation law since 1902, it is not clear that this
provision still has force. If it does, it is the intent of the
category of State law problems consists of restrictions Commission to repeal it by the legislation proposed in
on the legal power of clearly recognized owners of Recommendations 7-30 and 7-31.

269

SINCE NINETEEN HUNDRED "THE VOICE OF CONSERVATION"

December 3, 1982

Don Duden
Assistant Executive Director
Department of Natural Resources
3900 Commonwealth Blvd.
Tallahassee, F1a. 32303

Dear Dan:

This letter constituted my "Minority Report" concerning the recommendations
of the Blue Ribbon Marina Committees, of which I am a member.

On balance, I think that the recommendations are strongly in the public
interest, and reasonsive to the charge given the committes by the Governor

and Cabinet. I must, however, state my concern and alternative recommendations
relative to one aspect of the Committee's recommendations.

The Committee early in it's deliberations accoted a general policy that
the basic purpose for charging fees for the use of sovereign lands should
be linked to funding the submerged lands management programs of the
Division of State lands. In response to the pro-active charge given the
Committee by the Trustees, the Committes further stated (page 8 of the
workshop draft report) that funding of the Division of State lands From

these Fees should be adequate to support "....the operation of management
plands at a level of detail dufficient to project and identify the most
environmentally desirable sites for the location of water dependent facilities,
particularly in areas of environmental sensitivity where controversies and
permitting delays are often Prone to arise".

Based on the budget figures produced by the Division of State Lands, I seriously
doubt that the Fee structure, of $.03 per square foot for marine facilities

which serve the public on a first come, first served basis, and %.05 per
square Foot as the base rate for all other uses which require a lease, is adequate
to generate the funds needed to do the detailed plan development, reference
above, as well as provide adequate staffing for the responsive processing of
submerged land use requests, which was another concern of the Committee.

Further, the 5% cap per year proposed to be placed on lease fee escalation
is in conflict with the 10% inflation figure used by the Division of State
Lands is projecting its basic submerged lands management budget needs.
FLORIDA AUDUBON SOCIETY
1101 Auduben Way Maitland, Florida 32751 (305) 647-2615

-24-

Don Duden
December 3, 1982
Page Two

As I urged at various stages during the Committee's deliberations, including
the final meeting, I think a higher set of lease rates is necessary.

I urge that a rate of $.04 per square Fact be adopted for marine Facilities
which serve the public an a first come, first served basis, and that a rate of
$.06 be adopted as the base rate for all other uses which require a lease.

In addition, I urge that an annual escalation cap of from 8 to 10 per cent be
adopted to replace the 5% cap proposed by the majority of the committee.

With the above requested changes, I can strongly endorse the entire report,
and urge its approval by the Cabinet.

Sincerely,

Charles Lee
Vice President

pursuant to a diversion if the intended use was not constitutional due process are followed and just
for an economic purpose. Appropriators could divert compensation is paid. The legal reforms thus far
water out of a stream, imperiling instream values; and adopted by the Western States, where the law of
the only kind of diversions allowed were those which appropriation controls, have made no effort to deny
served traditional economic purposes. Hence, neither water uses under existing rights, but have con-
instream values nor out-of-stream, noneconomic centrated instead on preserving and protecting social
values could be protected. Some examples may assist values only in those waters which thus far remain
understanding. unappropriated. In some cases, that is not much. In
Since rights could be acquired only by diverting other cases, however, there are substantial waters
water from a stream, there was no legal way to remaining unappropriated.
protect beautiful waterfalls relied on by a resort to Opposition can be expected in State legislatures to
attract guests. Such natural waterfalls are instream proposals which appear to restrict future water
values. appropriations for economic development. Such op-
When a public agency claimed that a water right position is justified to the extent that legislation is
had been acquired by the public through long use of a proposed which tips the scales excessively in favor of
stream as a fishery, the claim was denied in favor of 41social" values at the expense of economic develop-
new diversions from the stream. ment, just as critics are presently justified in pointing
Where water was released from a reservoir to out the excessive dominance of economic develop-
sustain water quality, the released water was some- ment objectives over noneconomic social objectives.
times diverted for use by others, thus impairing water What should be sought is a fair balance of water uses
quality and frustrating the purpose of the release. covering the full spectrum of public interests.
Even when a diversion was made from the stream, The legislative reforms catalogued below illustrate
a water right could not be recognized unless the use a wide range of courses of action. Some reforms
qualified as "beneficial." But, since State statutes might be well suited to the needs of one State but ill
generally seemed to equate beneficial use with eco- suited to the needs of another. Each State will have
nomic use, diversion of water for the purpose of to evaluate the utility of these statutes in fight of its
developing a waterfowl'marsh or some other "non- own problems, circumstances, and administrative
economic" use would not qualify, and no water right structure.
for such purposes could be acquired.
The problems in the Eastern States have been of a Direct L4egislative Reservation or Appropriation of
different nature. The major challenge facing the Waters - In 1970, Oklahoma demonstrated the most
Eastern States is to achieve a better balance between direct approach by enacting a statute similar to the
public use and private use of the water resource. Federal Wild and Scenic Rivers Act, which declares
Economic development and social purposes can both that certain specified streams and rivers are set aside
be served, and riparian rights can be protected if and reserved for scenic, recreational, wildlife, and
Eastern State laws continue to recognize private related uses." While State agencies are involved in
riparian rights but only to the extent of a minimum the administration and management of the river areas
flow of r ,easonable quality, adequate to serve reason- to protect public rights and regulate public use, the
able riparian (private) needs and interests. In some reservation (or appropriation) of the rivers is accom-
instances the public interest in water quality might be plished by the statute, without any subsequent
transcendent, in which case attention will have to administrative hearings, debates, determinations, or
be given to ways of acquiring public rights of access other procedures. The merits of such legislation for
and use in certain waters where no such rights now each particular river or stream (or stretch of river or
exist but where the public need is overriding. stream) are evaluated in State legislative committee
hearings and debated on the floor of the legislature
Examples of State Legislative Action: A number of prior to enactment.
States are seeking ways to reform their water laws to
provide protection for social values of water. Existing Legislative Authorization of Administrative Filings
water uses under appropriation rights in the Western for Water Rights - Montana enacted a statute in
States, validly acquired and in good standing under 1969 which identified 10 major trout streams of that
State law, cannot be taken from the owners in the
name of State legislative reform, unless procedures of Oklahoma Stat., 82 Sections 1451-59 (197 1).

272

State and authorized the State Fish and Game or encasing a natural stream. The conflict usually is
Department to file on the amount of water needed to between minimizing construction costs for the high-
sustain the trout fishery.8 3 Under the statute, such a way, on the one hand, and maintaining the natural
filing does not forever foreclose further appropria- stream environment for its esthetic, recreational, and
tions and withdrawals for new economic uses, but it fishery values, on the other.
does protect the minimum flow from further deple- In 1963, Montana enacted a statute providing for
tions by appropriation unless an applicant can con- stream bed protection, which has served as a model
vince the State district court that a proposed with- for a number of statutes enacted by other States. 86
drawal will be more beneficial than the use of the The Montana statute provides that no State agency or
water to sustain the fishery. political subdivision, including, of course, the State
Highway Department, shall alter any natural stream
Administrative Reservation of Minimum Stream- bed without first obtaining the approval of the State
flows - The State of Washington enacted a statute in Fish and Game Commission. In the event of a
1969 which authorizes the State Department of dispute, machinery for arbitration is provided.
Water Resources to establish minimum flows or levels
for streams and lakes to protect fish and wildlife Public and Private Rights in Water Diverted or
resources and recreation and esthetic values, and to Reserved for Social Uses - Most States now permit
preserve water quality.14 Minimum strearnflows or diversions for maintaining offstrearn fisheries and
lake levels are to be established whenever it appears waterfowl management areas, even by private appli-
to the Department that such action is in the public cants, but have not yet authorized diversions by
interest. The statute requires coordination among the private persons to create purely esthetic amenities.
State agencies having pertinent water resource respon- Such uses should have legal recognition, but approval
sibilities, and sets forth procedures for public notice of a particular application should be dependent upon
and hearings before such minimum flows are deter- the facts and circumstances surrounding the proposal
mined. and should take into account the alternative uses for
the water sought to be appropriated.
Criteria to Guide the State Engineer in Reviewing Some have argued that private persons should be
Water Applications - Nearly all Western States awarded water "rights" in the social values of natural
provide by statute for new water rights to be acquired streams.8 7 The Commission notes that preservation
through the filing of written applications with the of important natural stream values will simultane-
State water rights administrator (often called the ously protect private as well as public interests in
State engineer). The administrator is required to those values no matter in whose name the values are
review the application and either approve or reject it, protected. For example, if a proprietor develops a
or, in a proper case, impose limitations on the manner resort adjacent to scenic waterfalls, he will be vitally
or duration of the use. In so doing, he is guided by a interested in the preservation of the falls. But that
number of statutory criteria. The most common interest will be protected as effectively 'through a
criteria are that there must be unappropriated water reservation by the State of sufficient water to sustain
sufficient to satisfy the application, and the proposed the falls as by granting a private water right to the
use must not interfere with or impair existing rights. proprietor. The only material difference would be
In 1971, Utah enacted a statute which added a new that all members of the public, including the pro-
criterion-it requires the State engineer to reject an prietor and his guests, would be the designated
application which will have an unreasonable adverse beneficiaries of the right rather than the proprietor
impact on recreation or environmental values of the and his guests alone. To this extent, then, private
85
watercourse. interests are protected through public rights which
safeguard instream values.
Protection of Natural Stream Beds from Alteration The Comrriission believes the public interest is
- Much difficulty has arisen when highway plans better served through procedures such as the one just
have contemplated altering, relocating, channelizing, "Rev. Codes of Montana Ann., Sections 26-1501 et seq.
Rev. Codes of Montana Ann., 89-801(2) (1947 Rep. Vol. (1947 Rep. Vol. 2, Part 2).
6, Part 1). 871n the Eastern States, where the doctrine of riparian
"Rev. Code of Washington, 90.22.010 and 90.22.020. rights prevails, private rights to instream social values are
Utah Code Ann. (1953), Section 73-3-8. recognized.

273

illustrated than by awarding water Tights for the recreational opportunities. Hence, the question of
social values of natural streams to private individuals. public access to waters and adjacent shorelands is
The latter course of action would result in a number gaining increasing importance.
of private individuals holding water "rights" to
natural stream values, and would raise difficult and Basis for Public Rights in Shorelands: Rights of
complex questions. For example, could the public be public access to and use of waters and shorelands are
denied enjoyment of instrearn social values by the rooted in the common law of England. There, the
private water right owners? Could such owners sell rights of the Crown and Parliament over waters and
and transfer their private rights to these social values? shorelands were qualified-these rights were "sover-
Would these rights descend to the heirs of the eign" subject to public uses for navigation and
owners? fishing. The public uses were recognized as public
rights, and are often referred to in judicial decisions
Summary - Six different legislative actions have as a "Public trust" which must be protected.
been identified for the States to undertake in order to In America, the 13 original States succeeded to all
optimize the use of water resources for "social" as of the rights of both the English King and Parliament
well as for conventional economic purposes. First, with respect to navigable waters, their beds, and
States can enact statutes to set aside and reserve adjacent shores-but still subject to the public trust
certain waters for scenic, recreation, wildlife, and (public use for navigation and fishing). When these
related uses. Second, States can legislatively authorize States formed the Federal Union and adopted the
a State agency to file for and acquire rights in Constitution, they retained their ownership interest
unappropriated water for social purposes. Third, in navigable waters and shorelands. As additional
States can authorize an appropriate State agency to States were subsequently admitted to the Union, they
establish minimum strearriflows or lake levels for were accorded "equal footing" with the original
social purposes. Fourth, States can establish statutory States, including State ownership rights over navi-
criteria, including an environmental criterion, to gable waters and shorelands.
guide State water administrators in approving or In England, the legal test of navigability -and thus
rejecting applications for unappropriated water. the measure of the public trust-was whether waters
Fifth, States can forbid State and local governmental were affected by the ebb and flow of the tide. The
agencies from altering watercourses without first U.S. Supreme Court rejected the English tidal test of
obtaining approval from an appropriate State agency. navigability, and adopted instead a test of naviga-
And, finally, States under the appropriation doctrine bility-in-fact, which means that all waters, whether
can simultaneously protect both public and private coastal or inland, are subject to the public trust if
social values in waters by public reservation of they are capable of supporting navigation.
sufficient water to safeguard the desired stream A distinction must be made between ownership of
values. waters, on the one hand, and public trust and rights
of public use in waters, on the other. Federal court
Public Access to Waters and Adjacent Shorelands decisions determine the legal test of navigability to
establish which waters and shorelands are owned by
Many socioeconomic and technological changes in the States. Each State is free to declare its own legal
American life have combined to intensify national test of navigability for the purpose of establishing the
demand for recreation. Increasing productivity, re- public trust and rights of public use of waters. Thus,
sulting in more leisure time and income, combined if a State declares that floating logs for timber
with a growing population stimulate recreation operations or floating pleasure craft are forms of
demand. In addition, increased urbanization, greater navigation, then all waters within the State capable of
transportation capabilities, higher levels of educa- such uses, whether owned by the State or not, will be
tional attainment, timesaving and laborsaving house- subject to public access and use. On the other hand, if
hold appliances, and an evolving lifestyle favoring a State declares that a body of water must be capable
outdoor recreation all add to the growing demand for of supporting commercial vessels transporting cargo
recreation. and passengers, then fewer waters, even though
Increasing demand for recreation manifests itself in owned by the State, will be navigable, and the public
a number of ways, not the least of which is a trust with respect to waters will be correspondingly
significant surge in public demand for water-related restricted.

274

As a general proposition, there are no public trust tion.90 The Senate Committee Report 91 cited a
rights in nonnavigable waters. States, of course, have Census Bureau publication to show where the inland
92
police power over private property, including waters navigable waters covered by the Act were located.
where there are no public access or public ownership In a great number of cases where the navigability
rights. For example, States may regulate conduct on of a body of water is unclear, reference to the Census
private waters, or prosecute for crimes committed Bureau publication will help to clarify the question
thereon, or promulgate zoning regulations to govern and thus to clarify public use rights as well, because
development in or adjacent to such waters. But police Congress assumed the waters listed in that publication
power authority offers no basis for declaring public to be navigable. While this can be no more than a
rights of use; private rights in nonnavigable waters legal presumption as to the existence of the public
and in the shores, beds, and banks of nonnavigable trust (the Submerged Lands Act applies only if the
waters cannot be diminished through police power waters were navigable at the date of statehood), that
regulation to provide public access. Nor, for that Census Bureau publication will be a valuable aid to
matter, can such private rights in those lands be the States in resolving rights of public use.
diminished through a new test of navigability which One caveat is important. For purposes of the
includes waters previously deemed nonnavigable. Submerged Lands Act, the question of navigability is
State legal tests of navigability are important, how- always resolved under the test laid down by the
ever, because they are a critical measure of public Federal courts; individual State tests of navigability
rights of access and use (as contrasted to ownership) are not applicable. The State tests of navigability can
of waters, and such public rights of use can be properly be applied to waters whether owned by the
extended to waters previously considered non- State or not, to impress the public trust upon them,
navigable. 88 but cannot be applied to beds and shorelands which
are held either in Federal or private ownership.
The Submerged Lands Act: Aside from the original Many of the legal questions relating to navigability
13 States and Texas, all other States were carved out and the public trust are extremely complicated and
of Federal territory and thus derive their ownership must be resolved by the judiciary. It is this very
interest in navigable waters and in their beds and complexity and uncertainty which have caused the
shorelands under the test of navigability laid down by States to be hesitant about moving forward to resolve
the Federal courts. As pointed out above, State questions of public access and use of many waters
ownership accrues by virtue of the doctrine of which have a high value for that purpose.
constitutional equal footing.
Many lakes and streams occupy a questionable Problems of the Shoreland Boundaries: Ocean beach
status with regard to their navigability -they are areas subject to the public trust of access and use are
shallow enough or small enough to raise doubts as to those covered by the ebb and flow of the tide,
whether they meet the Federal test of navigability for measured to the line of the average high tides .13 On
purposes of State ownership. Ordinarily, this would inland waters, the shorelands include the area be-
be a legal question to be resolved by the Federal tween the water's edge and the ordinary high water
courts, but some clarification is given by the Sub- mark. Most inland bodies of water experience some
merged Lands Act.' 9 That Act granted to the Coastal seasonal fluctuation, and when the water level reaches
States the submerged lands within 3 miles of the its ordinary high cycle the area is usually inundated
seacoast, and also sought to clarify State interest in for a long enough period to prevent the growth of
inland navigable waters. The legislative history of the vegetation, and so the vegetation line usually desig-
Act shows that, exclusive of the Great Lakes, nates the ordinary high water mark.
ownership of approximately 29 million acres of the 90U.S. CONGRESS, Senate, Committee on Interior and
beds and shorelands of inland waters was confirmed Insular Affairs (19S3). Submerged Lands Act, Senate
in the States for purposes of title and administra- Report No. 133, 83d Congress, Ist Session. U.S. Govern-
ment Printing Office, Washington, D.C.
"DEWSNUP, Richard L (1971). Public Access Rights in '"fbid,, p. 77, Appendix G.
Waters and Shorelands, prepared for the National Water 92 U.S. BUREAU OF THE CENSUS (1942). Areas of the
Commission. National Technical Information Service, United States, 1940. U.S. Government Printing Office,
Springfield, Va., Accession No. PB 205 247. p. 47. Washington, D.C.
"Submerged Lands Act P L. 31, 83rd Congress, May 22, "See Borax Consolidated, Ltd. v, City ofLos Angeles, 296
195 3, 67 Stat. 29, 43 USCA 1301 et seq. U.S. 10 (1935).

275

Clearly, the landward boundary line of inland waters. Others have said that even when a State sells
shores and ocean beaches is of extreme importance or conveys shorelands to private ownership, a right of
for public recreational use. The beach -area immedi- public use survives.
ately above the boundary line is commonly referred Since State statutes and legal doctrines vary, the
to as the dry-sand area, because the tide does not ebb extent of public use of waters and shorelands varies.
and flow over it. These boundary lines change when For example, virtually all waters in Minnesota are
natural forces or events cause erosion, or when navigable and subject to public use under the laws of
sediments are deposited to form accretions, or when that State .97 Virginia, on the other hand, utilizes a
waters gradually recede permanently exposing dry more restrictive test of navigability,98 a test which
lands that were previously water-covered. prohibits public uses on the Jackson River even
Courts are often presented with difficult legal though the Corps of Engineers is constructing a dam
questions concerning ownership and public access and contemplates reservoir releases which had been
rights in the dry-sand areas of the beach. The U.S. designed-in cooperation with the Virginia Fish and
Supreme Court has said that ownership questions Game Department-to serve public recreational uses
must be resolved by Federal law when the upland is on the River below the dam.
owned by the United States or derived from Federal As can be seen, statutes and legal doctrines vary
94
patents, but State courts have applied State law from State to State. Nevertheless, opportunitites for
when the question was simply one of public access enhancing public recreational use of waters and
easements and not one of ownership. For example, shorelands are available to, and await action by, the
the Oregon court has held that dry-sand beach areas individual States.
within that State are subject to public access rights,
even though privately owned, by virtue of customary Coordinated Land and Water Management for Public
public use predating statehood.9' California's court Recreation
held that, under State law, 5 years of continuous Many States have statewide water plans. States also
public use of beach areas in private ownership will have statewide outdoor recreation plans. Since water
result in public access rights by virtue of an implied
96 and recreation are often closely linked, these plans
dedication to public use by the owner. These should be coordinated within each State so that there
decisions result in public rights of recreational use in is a systematic and sensible approach to public
areas of critical recreational importance, and they recreation for water-related values. Potentials can
give State legislatures and administrative agencies an better be assessed and priorities weighed through such
excellent opportunity to regulate public use, license coordination, and there can be a conscious and
concessionaires, provide sanitation facilities, and deliberate effort to ascertain and protect public
otherwise enhance the public recreational potential. rights. The wetlands illustrate one example where
Opportunitites for State Action: Public recreational important resources have actually been in State
rights in waters and shorelands are largely dependent ownership and subject to public trust rights, but
upon the initiative and aggressiveness of the States. where drainage and development have caused much
State legislation cannot diminish either Federal or damage because some States Simply Were not aware
private ownership interests, but in areas clouded with of what they owned and what the public rights were.
uncertainty, the courts have shown an inclination to Evaluation of Recreation Potentials: Coordinated
be persuaded by State statutes declaring public access planning assumes that in any water project funded or
rights - controlled by State agen 'ies or subordinate units of
Beyond the concept of the public trust, some c
States have declared public rights in nonnavigable State government, the recreational potential will be
waters by virtue of the "public" nature of water fully evaluated -including use of reservoirs, streams,
itself. Some States have defined riparian rights rather and access along the shores and banks. Minimum
narrowly in order to sustain broader public use of streamflows might be established in light, not only of
fishery or water quality considerations, but also of
"'Hughes v. State of Washington, 389 U.S. 290 (1967). downstream and other potential uses. In short,
"'State ex. reL Thorton v. Hay, 462 P.2d 671, Oregon
(1969). 97 Lamprey v. Metcalf 52 Minn. 181, 53 N.W. 1139 (1893).
Gion v. City of Santa Cruz and Dietz v. King, 2 Cal. 3d 9"Boerner P. McCallister, 197 Va. 169, 89 S.E.2d 23
29, 465 P.2d 50 (1970). (1955).

276

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coordinated planning should make possible the Zoning: Statewide planning might also preserve some
formulation of comprehensive water project plans in social values of water through the promulgation of
which recreation is given full and equitable considera- zoning regulations to assure that construction and
tion as a purpose of water resource development. development in waters and adjacent lands do not
impair the public interest in recreation and scenic and
Acquisition of Public Access: In many instances, esthetic values. This is particularly important in
rights of public access to and use of water and water connection with lakes and ponds located within or
facilities will have to be acquired, either by negoti- near metropolitan areas, where the amenities of such
ated purchase or by eminent domain, where no public waters have public importance. Zoning regulations
rights exist. State legislatures should grant State can be promulgated even though there are no public
agencies the power of eminent domain for this rights in the lands or the waters, so long as such
purpose, to be exercised where the public need is regulations do not deny the landowners reasonable
substantial and where the State agency is prepared to use of their property.
supervise public use to assure reasonable sanitation These and similar considerations illustrate the need
and conduct, and to prevent unnecessary annoyances for coordinated statewide planning and ways in which
to the owners of water facilities or adjacent lands. such coordinated planning can meet public recrea-

277.

tional demand and preserve the public interest in fish, their water statutes to recognize social values of
wildlife, scenic, esthetic, and environmental values of waters, and they are to be commended.
water and associated land resources, The Commission recognizes that the States have
different legal systems and doctrines, and that no
Incentives1for State Action single uniform statute will serve all States equally
Those State agencies responsible for management well. However, the public need for optimum use of
of fish, game, wildlife, recreation, and water resources wate Ir resources for recreation, quality improvement,
should present persuasive cases to State legislatures scenic, and esthetic purposes, as well as for conven-
for authorization and funding of improved statewide tional economic values, is clear. Legal reforms are
management and planning, Private fish and wildlife needed to accomplish that result.
groups and environmental organizations can certainly The courses of action available to a particular State
be expected to lend their support in legislative will, in large measure, depend upon the laws and
committee hearings. organizational structure for water conservation and
Once coordinated planning is authorized and use within the State. Many problems deserve atten-
implemented, the appropriate agency or agencies tion, including protection of natural stream channels
might well report periodically to the legislature, from unreasonable alteration or relocation; securing
setting forth proposed legislation needed to bring public access to some waters, beaches, shorelands,
about desirable reforms and requesting funds suffi- and wetlands; requiring public access rights to reser-
cient to carry out programs and acquire necessary voirs or similar water facilities as a condition of
facilities. public financing of water projects by State and local
Federal financial incentives to encourage the States agencies; zoning ordinances to protect against de-
to bring about needed reforms quickly are desirable. velopment adjacent to water which would unreason-
At present, Congress provides funds, through the U.S. ably detract from public use or natural amenities; and
Water Resources Council, to assist the States in water a broader test of navigability under State laws to
resource planning. Funds also are made available to extend public rights of use in more watercourses.
the States from the Land and Water Conservation The Commission does not believe that every
Fund, administered by the U.S. Bureau of Outdoor private water development should necessarily be
Recreation, for the purpose of planning and acquiring made available for public recreation use. Many
outdoor recreation rights and facilities. The Commis- privately owned water facilities will have only
sion believes that these funds should continue to be nominal value for public recreation purposes or there
made available to the States, but that the two may be adequate alternatives available. However,
programs be coordinated more closely on the Federal when privately owned water developments have
level so as to require higher levels of coordination on exceptional recreational potential, a strong case can
the State level. be made for provision of public access for recreation
or for public purchase and development for that
purpose.
The Commission commends those States that have
CONCLUSIONS taken steps to provide effective protection for non-
State laws in many instances are inadequate to economic social uses of water, and encourages the
protect important social uses of water. Historically, remaining States to review their water laws and
the problem in the Eastern States has beer! that rights enact appropriate legislation without delay.
of "social" use of nonnavigable waters have been
recognized only in private riparian landowners, with RECOMMENDATIONS I
no public rights of either access or use. In Western
States, the problem is that water has been diverted Beyond urging the States to proceed energetically
from streams to such an extent that instream values to revise their water statutes so as to recognize social
which should have been protected have been largely values of water, the Commission advances the follow-
impaired, and in some cases, destroyed. ing specific recommendations:
The Commission finds that certain legal reforms at 7-37, State property rules relating to water should
the State level are necessary in order to realize authorize water rights to be acquired for all
optimum use of water resources in the public interest. social uses, noneconomic as well as economic.
Some States have taken an aggressive lead in revising In particular, recreation, scenic, esthetic,

278

water quality, fisheries, and similar instream 7-43. Where there are no presently existing public
values are kinds of social uses, heretofore rights of access and use of streams, lakes, and
neglected, which require protection. As these storage reservoirs, and where such areas are
values, and rights in them, are recognized and part icularly valuable for public recreational
protected in natural lakes and streams, their use, the States should endeavor to purchase
benefits should be clearly mandated for gen- access easements for public use. In the East-
eral public use, particularly when they are ern States, these access easements ordinarily
uniquely suited to such uses. will be acquired in nonnavigable lakes and
7-38. Private social uses of water, for such purposes streams; whereas, in the Western States such
as boating, swimming, fish culture, and gen- easements more likely will be acquired in
eral recreation, should be authorized in appro- irrigation reservoirs and similar facilities that
priation States when water is diverted from were constructed earlier for other purposes,
natural watercourses for that purpose-but are privately owned and operated, but which
such rights should be granted only after a have important potential for fishing, boating,
review is made to ascertain that such use will and related recreational pursuits.
not constitute a substantial impairment of 7-44. If access easements for public recreational use
natural instream values susceptible to public cannot be acquired by negotiation and pur-
use. chase, then the States should authorize emi-
7-39. Public rights should be secured through State nent domain to be exercised on a selective
legislation authorizing administrative with- basis, as justified by public need.
drawal or public reservation of sufficient 7-45. Whether easements for public access are
unappropriated water needed for minimum acquired by negotiated purchase or condem-
streamflows in order to maintain scenic nation, the Commission believes adequate
values, water quality, fishery resources, and provision should be made to assure that
the natural stream environment in those public use does not become unregulated
watercourses, or parts thereof, that have public abuse. Those enjoying public access
primary value for these purposes. should be prevented from engaging in annoy-
7-40. State legislatures can and should liberalize ing conduct, littering, or other abuses which
their tests of navigability for purposes of the would detract from enjoyment of the area by
public trust, thus bringing more waters (as other members of the public or interfere with
distinguished from shorelands) within the the rights of adjacent landowners. An appro-
ambit of public use. States should take steps priate State agency should be charged with
to assure public use of beds and shorelands of the specific responsibility of supervising
all navigable inland waters covered by the public use of areas where access easements are
Submerged Lands Act which have a potential acquired, including the installation of rest-
for such public use. room facilities, providing garbage or refuse
7-41. Statewide outdoor recreation plans should containers, and policing such public use areas
include a review of beaches and shorelands to with reasonable frequency and thoroughness.
ascertain those areas that are in public owner- 7-46. To assure that public use is properly control-
ship or subject to rights of public use; and, led, or to assure that adjacent landowners are
where public rights exist, measures should be protected if public use is not properly con-
taken to assure that public access is protected trolled, the States should consider (1) author-
and public use regulated. izing compensation to landowners in the
7-42. Where wetlands are administratively or judi- event they suffer damages from public mis-
ciatly determined to be State owned and have conduct, (2) creating buffer zones between
primary value for waterfowl propagation or areas open to use by the public and privately
other wildlife purposes, they should ordi- owned adjacent lands, and (3) including con-
narily be reserved or otherwise protected ditions or restrictions within access easements
from drainage operations and developments to provide reasonable landowner protection-
which would destroy or substantially impair and making these provisions specifically en-
such values. forceable by the landowners.

279

Section F
A Permit System For Riparian States

Nearly all of the States east of the Mississippi River States would be well advised to proceed on a
follow the riparian law of water rights. The key basin-by-basin basis, applying the permit system to
features of the riparian doctrine as set forth in the those areas experiencing the sharpest competition for
textbooks are: water supply. Thus, the system proposed contem-
(1) the place where water may be put to use is plates the enactment of general enabling legislation to
restricted; be implemented from time to time by administrative
(2) a riparian landowner has a legal privilege to action as the need arises.
make use of water at any time, subject only
to the limitation that the use be - reason-
able; 99 and THE PROBLEM
(3) the water supply is shared in times of As noted, a number of riparian States have more or
shortage. less comprehensive permit statutes on the books at
Some of the, Eastern States have permit systems, the present time. In addition, the National Confer-
although few go far in regulating water uses. Riparian ence of Commissioners on Uniform Laws promul-
States, especially those without permit systems, gated a Model Water Use Act in 1958 and the U.S.
usually lack an adequate recordkeeping system as Office of Water Resources Research provided support
well. As a consequence of the riparian rules and the for the preparation of a Model Water Code in 1970.
absence of records, the public planner and private Both pieces of draft legislation are more elaborate
investor are confronted with several uncertainties in than that. proposed here: the instant proposal does
water resource development: not deal with water pollution control, weather
(1) What is the existing demand on supply? modification, flood control planning, institutional
(2) What is potential demand on supply? arrangements, and other such matters covered else-
(3) What security will present development have where in the report.
in the future? This section has the limited purpose of setting
(4) What kind of private, consensual arrange- forth principles applicable to a system of regulated
ments can be made to safeguard supply? withdrawals of water for municipal, industrial, and
These uncertainties have not yet caused serious agricultural use in a riparian jurisdiction while simul-
problems in the East, for water supplies have been taneously providing protection within the system for
abundant. But if demand increases as some projec- instream values having importance to riparian land-
tions indicate,' 0 0 greater stability will be required, as owners and to the public. In limiting the scope of the
some Eastern States have already realized. In those section, it is not intended to minimize the need for
States, the response has been enactment of per- States to coordinate other programs with the type of
rri it legislation. permit system described here. For example, it will be
It is the purpose of this section to put forth a set particularly important for States to make any permit
of principles to assist State legislatures in formulating program consistent with their water quality programs,
permit systems for riparian jurisdictions. The Com- particularly in the setting of rninimurn flows.
mission does not recommend the immediate adoption In view of the Commission's assertion that no crisis
of permit statutes by all Eastern States. Any change in water use exists generally in the hurnid East and
in the law has some costs; a fully developed permit that a number of permit statutes for riparian jurisdic-
system with extensive recordkeeping and provisions tions have been proposed and enacted, it is a fair
for allocation of water would, have high costs relative question to ask why the Commission writes on this
to the value of much of the water being regulated. subject. The answer is twofold. First, it is desirable
that the riparian States direct attention to regulation
"Ahother way of stating this proposition is that the of water withdrawals before a crisis arises. When
riparian right is not lost by nonuse. competition for water supply intensifies, the court-
'OOU.S. WATER RESOURCES COUNCIL (1968). The
Nation's Water Resources: U.S. Government Printing administered riparian legal system of allocation will
Office, Washington, D.C. Table 1-2, p. 1-24. not be adequate to meet social needs. It is ponderous,

280

expensive, and uncertain in result. In time, most has been issued; all existing withdrawals
riparian jurisdictions are likely to require a system of should be subject to termination unless a
water allocation that facilitates development by permit has been obtained for them within a
providing security of investment while protecting stated period of time (e.g., 5 years).
social and environmental values of instrearn uses. 6. Permits granted for withdrawals of water,
Second, the permit system designed differs somewhat from either surface bodies or underground
in approach and emphasis from the systems hereto- aquifers, should be subject to cancellation for
fore proposed or adopted. The basic approach is to prolonged nonuse and to modification for
establish minimim flows to protect such social and prolonged underuse.
ecological values as esthetics, recreation, and the 7. Appropriate State administrative agencies
biosphere. The water remaining is subject to develop- should be delegated authority to establish and
ment for use in producing goods and services. The maintain minimum flows for surface streams,
Commission would rely more on market forces to and minimum water levels for lakes, to pro-
reallocate water to more valuable uses, and less on mote the public health, safety, and welfare, to
administrative allocation. Thus, it seeks to give safeguard private investment made in reliance
permittees certainty in legal tenure and as much on strearnflow and lake levels, and to protect
certainty in physical supply as the nature of the the public interest in fish, wildlife, recrea-
resource allows-for the twin purposes of encouraging tional, esthetic, and ecological values.
original investment in the quantity of water com- 8. Water should be allocated in periods of short-
mitted to development and of facilitating the transfer age as follows:
of water to more productive uses by means of buying (a) Water users who initiated their with-
and selling water rights permits. drawals after enactment of the permit
The basic features of the Commission design are system should be curtailed in inverse
the following: order of the date of their permits.
I . The permit system should apply to with- (b) Water users whose withdrawals antedate
drawals existing at the time the legislation is enactment of the permit system should
enacted as well as to future withdrawals. be curtailed only when supply is insuffi-
2. The permit system should apply to with- cient after all postenactment permit
drawals of ground water as well as surface holders have been curtailed; the available
water, whether or not the supplies are inter- supply . should be pro rated among
related. preenactment permittees according t .o
volume of use.
3. Any person or organization should be eligible (c) Preenactment permittees should be cur-
to apply for and receive a permit for use of tailed when necessary to preserve essen-
water at any location. Riparian restrictions on tial minimum flows.
who may use water at what locations should
be abolished. 9. Permits 'should be made transferable to facili-
4. The following information should be con- tate private bargaining for the reallocation of
tained in each permit: water to more productive uses, subject to
(a) the source of supply, administrative restrictions to protect the inter-
(b) the point of diversion or well location, ests of other permittees and the public interest
(c) the place of use, in minimum strearnflow.
(d) the nature of use,
(e) the volume of the withdrawal and of
consumptive use, on an annual or sea- DISCUSSION
sonal basis, as may be appropriate, Enactment of Permit System - Relation to Prior Law
(f) the rate of withdrawal,
(g) the times of use, and Constitutionality: The' first four features of 'the
(h) if practicably ascertainable, the amount proposed permit system c@n be summarized. as fol-
of return flow and the point at which it lows: the system would apply to all water uses, those
reenters the hydrologic system., made both before and after enactment of the statute;
5. After enactment of the legislation, no new whether the source be surface water or ground water.
withdrawal should be allowed unless a permit The question arises whether the proposal is so radical

281

a departure from present law that it is politically protection is given to withdrawals earlier in time. In
infeasible or constitutionally abhorrent. The Commis- extreme drought a later permittee is shut down in
sion believes the answer is "No." Permit systems have order to supply water to an earlier user. Theoreti-
been adopted in I I Midwestern and Eastern States cally, the prior law would have allowed all users to
that formerly applied riparian law: Florida,l 0 1 obtain some water, although a study shows that, in
Indiana,' 02 Iowa,' 03 Kansas,' 04 Maryland,"' Min- fact, the prior user was often protected under the
nesota, 106 Mississippi," 7 Nebraska,"' New riparian doctrine." '
Jersey,' 0 1 South Dakota,' 10 and Wisconsin.' 1 1 In The Commission believes that legislation restricting
addition, three Pacific Coast States now have permit unused riparian rights, as described herein, would be
systems, although their prior law had in it strong valid under the 14th amendment of the Federal
elements of riparianism. ' ' ' The number of permit Constitution, although the issue is not wholly free
statutes should dispel doubts of political feasibility from doubt. That amendment forbids States from
where the problem of water use is perceived to be depriving a person of property without due process of
significant, and the fact that none of these statutes law. For State legislation to be declared in violation
has fallen before a constitutional attack ought to give of the amendment, the court must find that property
some assurance of validity. Under the system here is affected and that the effect is a taking rather than a
proposed, existing withdrawals would be confirmed regulation. Thus, the nature of the interest invaded
in-right and shortages pro rated as the orthodox and the seriousness of the invasion must be judged in
riparian law requires, subject only to the requirement relation to the objective of the legislation and the
that they be placed on record and that they be reasonableness of the means of achieving the objec-
curtailed to preserve minimum flow-both require- tive. The interest invaded under the proposed legisla-
ments justifiable under the police power" 3 and tion is the privilege of making use of water any time
probably under the public trust to preserve naviga- in the future. This is a privilege of highly uncertain
tion, fisheries, and recreation! ' 4 value, for it depends on the economic value of the
Perhaps more controversial is the requirement that future use and 'on the future actions of all other
new uses obtain a permit before initiation. The riparian landowners along the stream, all of whom
riparian law of surface water and the common law of have the same privilege and therefore the power to
ground water both hold that a riparian or overlying reduce the supply available for use.
landowner has a privilege of withdrawing water The objective of the legislation abolishing unused
despite the adverse effect the withdrawal may have riparian rights is to protect existing investments in the
on others. This privilege is modified by the proposed resource, preserve some amount of water for public
system in two respects: a permit is required and purposes, and allocate the remaining supply according

"'Florida Stat. Ann., Sections 373.081 et seq. welfare aspect of the police power. Many of the statutes
`6 Bums Indiana Stats. Ann., Sections 27-1401 et seq. noted above have been upheld by the courts on this basis.
"'Iowa Code Ann., Ch. 455A. 'The public trust protects public rights of navigation and
"Kansas Stat. Ann., Sections 82a-701 et seq. incidents thereto including fishing, hunting, and recrea-
"' Ann. Code of Maryland, Art. 96A, Sections 10 et seq. tion. The doctrine derives from the English common law
106 Minnesota Stat., Sections 105.37 et seq. which preserved public rights in waters affected by the
""Mississippi Code (1942) Ann. (1972 Supp.), Sections ebb and flow of the tide. The trust arises wherever there
5956-01 et seq. has been State ownership of the underlying beds, but
... Rev. Stat. Nebraska (Re-issue of 1968), Sections 46-201 may also be imposed when there is State ownership of
et seq., 46-233 et geq., Const. Art. XV Sections 4-6. the water itself. Title to the beds of streams "navigable in
"'New Jersey Stat. Ann., Sections 58:1-2 et seq. (surface fact" at the time of statehood were held by the States,
water), 58:4A (ground water). and any private use of these waters is subject to
"OSouth Dakota Comp. Laws Ann. (1967), Sections46-1-1 limitation by the rights of the public. Some States have
et seq. gone beyond the Federal test of navigability and have
declared public rights in waters meeting a "sawlog" or
... Wisconsin Stat., Section 30.18 (197 1). "pleasure boat" test of navigability. Public rights in these
"'See Oregon Rev. Stat., Sections 537.110 et seq.; Rev. waters are based in a public trust originating in the State
Code Washington, Sections 90.03.010, 90.03.250; Cali- ownership of the water resource and in the exercise of
fornia Water Code, Sections 1200 et seq. California the police power.
Const-, Art. 14, Section 3. "'DAVIS, Clifford (1971). Riparian Water Law, A Func-
3AH property is held subject to reasonable regulation by tional Analysis, prepared for the National Water Commis-
the State exercising its police power. Regulation of the sion. National Technical Information Service, Springfield,
use of water resources is allowable under the general Va., Accession No. PB 205 004. pp 4448.

282

to a system that will promote public and private riparian landowners contemplating a use in the near
planning and investment by enhancing the security of future to initiate that use and receive the superior,
the rights created under the system. more secure right that preenactment users receive.
The means employed by the statute are rationally The constitutionality of the statute abolishing unused
adapted to the end: all water rights are required to riparian rights may perhaps be made secure by the
appear on the records; definite rules for allocating a period of grace provision, because the expectations of
scarce supply are adopted; an effort is required from riparian landowners of making withdrawals in the
the administrative agency to limit rights of with- near future are not impaired by the statute. Concom-
drawal to available supply; and permission to make mitantly, the expectations that are impaired are less
future withdrawals pursuant to permit is granted until concrete, less valuable, and hence less deserving of
the safe supply is exhausted. constitutional protection.
In the light of the zoning cases,' the proposed A quite different constitutional question may be
permit statute is likely to survive constitutional disposed of summarily-the power of a State to apply
challenge in the U.S. Supreme Court. Although it its permit system to an interstate stream. The
deprives a riparian or overlying landowner of a Supreme Court has established that States having
privilege, the privilege is highly contingent, and the territorial jurisdiction over an interstate stream must
offsetting gain-to landowners and to society as a share the supply. As Mr. Justice Holmes put it: "A
whole-is a permit system that provides information river is more than an amenity, it is a treasure. It offers
for decisionmaking and certainty for investment, thus a necessity of life that must be rationed among those
promoting productive use of resources. who have power over it."' " Implementing this
Moreover, in testing the proposed statute against principle, the Court, speaking through Mr. Justice
the 14th amendment it must be recalled that a Brandeis, held that the apportionment of an inter-
portion of the unused riparian right is always pre- state stream ". . is binding upon the citizens of each
served for the riparian landowner, because minimum State and all water claimants, even where the State
flows are established and protected. It is true that the had granted the water rights before. . ." the appor-
complaining riparian landowner cannot himself with- tionment.' 18 Thus, every permittee of one State
draw that water; nevertheless, the element of riparian receives his permit subject to a claim for equitable
law that provides for strearnflows at reasonable levels apportionment of the supply by another State. The
is carried forward into the proposed new law. effect of an apportionment may be to reduce the
Furthermore, the riparian owner who chooses to supply on which the permittee relies-a circumstance
initiate a use has an equal chance with others under to be treated like any other shortage in supply, under
the proposed statute to obtain a permit and withdraw the allocation scheme devised for scarcity.
water. This chance lasts as long as the supply
dedicated to development lasts.
While the prospects are good that the U.S. Su- Permit Applications: The information required for
preme Court would uphold the proposed statute, the granting of permits comprehends the data that
State supreme courts may have trouble with priot planners and investors need for water resource de-
restrictive decisions interpreting due process pro- velopment and that administrators need to regulate
visions of State constitutions. In those States, it may withdrawals. If permits cover all withdrawals, the
aid the case for constitutionality to include in the aggregate information provided by the permits gives a
statute a provision allowing riparian landowners to reasonably full picture of the demand side of the
exercise their unused riparian rights within a stated supply-demand equation. When this information is
period of time, which might be the same period supplemented with runoff and strearnflow data for
allowed for existing users to record their existing surface water bodies, and with such ground water
uses. Such riparians would have to apply for permits data as amount in storage, amount of recharge, and
just as all other users do, but they would be allowed a depth to water, development and administration of
period of grace in which to initiate a withdrawal. The water resources can proceed on a knowledgeable
advantage of the period of grace is that it allows basis. It is particularly important under the proposed

"'See, e.g., Consolidated Rock Products Co. v. City of Los 117New Jersey v. New York, 283 U.S. 336, at 342 (1931).
Angeles, 20 Cal. Rptr. 638, 370 P.2d 342 (1962), appeal 'Hinderlider v. LaPlata River & Cherry Creek Ditch Co.,
dismissed 371 U.S. 36 (1962). 304 U.S. 92, at 106 (1938).

283

permit system to determine the amount of consump- administrative hearing to determine the facts, and the
tive use, and thus the amount of return flow, when order issuing from the hearing should be subject to
the permit is issued. This information becomes judicial review.
important when the permit is. transferred, for ordinar- The permit agency should have authority to liniit
fly only the consumptive use will be transferable, the amount of water to be withdrawn and consumed
since other,users may be dependent on return flow. to the amount reasonably necessary to accomplish
An example may help clarify the nature and utility the purposes for which the permit is granted. The
of the information contained in the permit. Suppose agency should not be given the power to limit or
that an Illinois farmer has been withdrawing water for reject applications on the broad basis of whether they
irrigation of his farm for a number of years before "serve the public interest." While the statutes of a
enactment of the permit system.' 19 His application number of Western States contain such a provision-
for a permit would contain the following informa- as does the proposed Model Water Code-the Com-
tion: mission believes that the standard is too vague to be
(a) Source of supply: South Fork Sangamon meaningful and accordingly opens the door to arbi-
River trary action by administrators. If a State legislature
(b) Point of diversion: [Surveyor's description of chooses to enact standards which would limit the
location of diversion point], NW Quarter, issuance of permits, these should be sufficiently clear
Section 21, Twp. 21 North, Range 21 East, and precise to prevent administrative abuse. Applica-
Christian County, Ill. tions for withdrawals should ordinarily be granted,
(c) Place of use: S 1/2 NW Quarter, Section 21, for the expense of preparing the information in the
etc. application and the cost of the works to divert the
(d) Nature of use: Irrigation of crops water is a sufficient guaranty that the use is (or will
(e) Volume of withdrawal and consumptive, use: be) productive. If more valuable uses emerge later,
400 acre-feet withdrawal; 150 acre-feet con- they can be supplied by transfers from less valuable
sumptive use; June, July@ August annually uses.
(f) Rate of flow diverted: Maximum of 3 cubic The permit statute should provide for temporary
feet per second permits, obtainable when a project is initiated, for
(g) Times of use: June, July, and August, from large-scale projects requiring time to plan, to finance
time to time as needed to supplement rainfall and, in the case of public works, to be authorized.
(h) Return flow; point of reentry: 250 acre-feet These temporary permits would be replaced by final
return flow; 90 percent returns to stream permits after the project is completed. The statute
within 1,000 yards from point of diversion. could contain maximum time periods in which the
As noted, it is not costless to obtain this kind of work must be commenced or completed, or the
information. The State administrative agency should agency could be given discretion to set such a time
be given discretion to exempt inconsequential uses period, the exercise to be based on the size of the
from the permit system altogether and to waive project and the delays it faces as compared to the
particular information requirements where the cost of barrier to other development erected by long-term
obtaining the information is disproportionate to the reservations,of water.
value of the water. If the State has or is developing a State water plan,
. Any applicant for a permit, whether an existing the agency should be authorized to determine
user or one who desires to initiate a use after passage whether the@ application is in conformity with the
of , the statute, would be required to furnish the plan, but again it is important not to delay develop-
information listed with supporting surveys and en- ment . for long, periods of time because the plan
gineering data. The permit agency should have power contemplates eventual development of the water
to investigate the facts on its own motion and so resource in some other manner. In short, State water
should other users who might be affected by the planners should not be permitted to @reserve water
granting of a permit. In case either the permit agency indefinitely any more than others should.
or another user wishes to oppose the'granting of the A' permit statute could incorporate a pricing
permit or the terms thereof, there should be an system if the State desired. The subject is fully
discussed in Chapter 7, Section C. Only two points
'Although the ciLse is hypothetical, Illinois','which has no
permit system, was chosen to lend verisimilitude to the need be added. First,, imposing charges. for water
illustration. withdrawal will tend to reduce the necessity of close

284

A
iAt
'4"
"i 7 -04!

7
7,

Spruce Knob Lake in the Monongahela National Forest, West Virginia

examination of the amount of water a permittee appropriation permit system in providing for the
should be allowed to withdraw and consume, for if cancellation of permits for nonuse and in reducing
the user charge properly reflects the opportunity cost the quantities permitted to be withdrawn where there
of the water," 0 excessive use will be discouraged. has been an extended period of underuse. Cali-
12 122 23 121
Second, there may be constitutional objections to fornia, ' Arizona, Nevada,' New Mexico,
imposing charges on uses that antedate the permit Utah'I 2 5 Wyoming '12 ' Kansas,121 MiSSiSSippi,111
statute, although the objections might be overcome if and Iowa 12 9 have statutes that permit cancellation of
the charge is characterized as a tax. As to new uses, water rights for 4 or 5 years of continuous nonuse.
no objection seems valid, for if it is constitutional to Use in lesser quantities than the permit specifies may
abolish unused riparian rights and require permits for result in reduction of the right, under either a
new uses, it is constitutional to impose user charges forfeiture statute 130 or the beneficial use doctrine
on the new uses. which limits the right to the amount of water put to
actual, beneficial use. 131
Cancellation of Permits: The Commission recom- It may be argued that forfeiture statutes are
mends that the riparian permit system follow the counterproductive in encouraging wasteful use of

That is, the value of the water in alternative uses that are " 7 Kansas Stat. Ann., Section 82a-718.
foregone. 128 Mississippi Code (1942) Ann. (1972 Supp.), Section
12 California Water Code, Sections 1241, 1675. 5956-06.
'Arizona Rev. Stat. Ann., Section 4S-101(c). "Iowa Code Ann., Section 455 A.29.
'Nevada Rev. Stat., Sections 5 33.060, 5 34.090. See Rocky FordIrr. Co. v. Kents Lake Reservoir Co., 104
12 4New Mexico Stat. (1953) Ann., Section 75-5-26. Utah 202, 135 P.2d 108 (1943), rehearing denied.
11 ' Utah Code Ann. (195 3). Section 73-14. 'Green v. Chaffee Ditch Co., ISO Colo. 191, 371 P.2d 775
12 6 Wyoming Stats. (1957), Section 41-47. (1962).

285

water in order to preserve the right. This practice may is too short, development will be deterred since the
occur from time to time-in violation of antiwaste investment cannot be recovered in the time allowed.
regulations-but on balance, the Commission believes This problem can be solved if discretion is granted to
that forfeiture statutes promote good resource alloca- the permit agency to fix the term according to
tion by making provision for the elimination of paper amortization requirements-and if the agency exer-
rights from the records, thus making the records more cises its discretion wisely.
reliable and planning and development more secure. There is also implicit in the recapture proposal the
Two constitutional objections to forfeiture statutes notion that the State agency can somehow reallocate
may be suggested. It could be argued that the the resource better than the market can. It is not
addition of a forfeiture statute to a permit system transparently clear why this should be so. Pre-
theretofore lacking this feature is a retroactive change sumably, upon expiration of a permit, there would be
in the nature of the property right. If this argument no more water available for reallocation by the
were to be made, it would probably be rejected on permit agency than there was for transfer by sales
the rationale that the regulation is prospective in that transactions before the permit expired. This is true
water rights holders have advance notice of the because both the permit agency and the private sector
consequences of nonuse. The other constitutional can transfer only the consumptive use-not the
challenge will be based on the riparian rule that water amount withdrawn-when other permittees have
rights are not lost by nonuse. However, if the permit rights in return flow. 13 ' The transferable consump-
system requires present and future users to acquire tive use is as available for reallocation through
permits, it abolishes unused riparian rights. The operation of market forces as it is by administrative
forfeiture statute implements the general scheme of determination. If the permit agency makes its deter-
maintaining accurate records of all uses. Thus, the mination on the basis of economic efficiency, it is
forfeiture provision stands or falls with the rest of the seeking to do indirectly what outright bargain and
statute. sale does directly. In short, there is good reason to
In the West, the forfeiture period is 4 or 5 suppose that bargaining will produce better economic
consecutive years of nonuse. This may be too short in results than administrative allocation will. It follows,
the East. A precise period of time for forfeitures is then, that limiting the term of a permit is not
not proposed, but the period should not be too long. necessary to achieve reallocation of the resource to
If an excessive period of nonuse is tolerated, when a more productive uses and, in fact, may impair it.
drought comes the latent rights will be revived at the On the other hand, the limited term permit may be
very time when there is no water to supply them. On supported on the ground that it promotes flexibility
the other hand, if the period is too short they may be in reallocating water to nonmonetary uses when
lost in a wet cycle of years because there was no permits expire. For example, if the public prefers
occasion to use them. higher minimum flows than the permit agency has
initially established, the expiration of term perrnits
Duration of Permits: The Commission has given
serious attention to the length of time a permit 1 3-Protection of rights in return flow is fully considered in
should run. The Model Water Use Act would limit the Chapter 7, Section D. The existing and proposed permit
term to 50 years. 13 ' The Model Water Code suggests statutes do not seem to recognize that expiration of a
a maximum period of 20 years, except for municipali- permit does not liberate all water withdrawn pursuant to
the permit. But a simple illustration will make this point.
ties requiring more time for debt retirement."' The Suppose A receives a 20-year permit for withdrawal of
Iowa statute specifies 10 years for agricultural per- 5,000 acre-feet, of which 40 percent is consumed (2,000
mits. 134 acre-feet) and the remaining 3,000 acre-feet is returned to
The argument for a limited term instead of a the stream. In the 19th year of A's permit, B is given a
perpetual term rests on the idea that the State should permit to withdraw 3,000 acre-feet, which is made up
entirely of A's return flow. If the State permit agency can
be empowered to recapture the resource at some recapture the full 5,000 acre-feet upon the expiration of
future point in time and reallocate it to other uses. A's permit, B has been given a permit for 1 year only.
While the argument has some merits, it also has some Yet, existing statutes containing time limitations seem to
defects. The period of time becomes crucial, for if it contemplate that each permittee will have the same
term-20 years in this illustrative case. And if this were
1 3 2Model Water Use Act, Section 406. not the fact, the water resource would not be put to its
3 1 Model Water Code, Section 2.06. most productive use, since many developers in Bs
' 'Iowa Code Ann., Section 45 5 A.20. position could not invest in a 1-year permit.

286

will enable the change to be made without expendi- private investment made in reliance on continuing
ture by the State. If perpetual permits were issued, strearnflows and lake levels, and to protect the public
additional minimum flow would have to be pur- interest in fish, wildlife, recreational, esthetic, and
chased. There may be some advantage in adopting a ecological values. Two classes of interest in issue here
system that requires such purchase, for it tells us are: the public interest historically accounted for by
whether the public is willing to pay the real costs of the public trust doctrine and the private interest of
higher minimum flows. But many think the public riparian landowners who have made investments (e.g.,
interest is imperfectly expressed by the use of such an@ a country home, a fishing resort) in reliance on
economic approach. instream values. The setting of minimum flows
Still another approach is available. The permit protects both of these interests by limiting the
might be limited in time to a fixed period or to a amount of water that can be withdrawn pursuant to
variable period depending on amortization require- permit.
ments, but subject to automatic renewal for a similar At least five States have general enabling statutes
period unless the permit agency found that the water for setting minimum strearnflows and lake levels.
was required for a higher public purpose. This They are Florida, 137 lowa,1311 MiSSiSSippi,139 New
approach would protect existing uses, which may be Jersey,"' and Washington. 141 Under these statutes,
expected to continue to be productive even though various criteria are used to determine the minimum
the investment has been amortized, while providing flow or lake level but there is a uniform policy of
the attractive aspects of flexibility associated with a denying permits for withdrawals that would infringe
term permit. It also avoids a criticism sometimes upon the established minimums. In addition to the
leveled at perpetual term permits, namely, that the type of statute just described, a number of States
holder of the permit, who obtained it without cost, have "wild rivers" legislation or similar laws that
gains windfall profits when a public agency is forced preserve designated streams or reaches thereof from
to buy or condemn the perpetual right for a higher development. 142
public purpose. Higher public purpose would be Establishment of minimum flows is recommended
defined narrowly as supplying municipal water de- on two bases:
mand or protecting vital instrearn values through (a) Flows which should be preserved under aver-
increase in minimum flow. Before denying permit age conditions of supply (desirable flows);
renewal, the permit agency should be required to and
hold a hearing and state its reasons for reallocating (b) Flows which must be preserved under all
the water to a higher public purpose, and its order conditions (essential flows).
should be subject to judicial review. The essential flows would include those needed for
The Commission has concluded that, as among the protection of human health and safety and other
(1) perpetual permits, (2) limited term permits, and
(3) limited term permits with automatic renewal 'Florida Stat. Ann., Sections 37 3.081(7), (8), 37 3.14 1.
except for water to be reallocated to a higher public "'Iowa Code Ann., Sections 455A.1, 455A.22.
purpose, the last is the best choice. It strikes a "'Mississippi Code (1942) Ann. (1972 Supp.), Sections
balance between the security needed for private 5956-02(i), 0), 5956-04.
investment and the flexibility desired for public 140 New Jersey Stat. Ann., Sections 58:1-35, 58:1-40.
136 14 'Rev. Code Washington, Section 90.22.010.
purposes. 142 Oklahoma preserves certain free-flowing and scenic rivers
under authority of the Oklahoma Scenic Rivers Act.
Miriimurn Flow Wisco ,nsin protects the flow of designated streams under
The Commission recommends that the permit its Wild Rivers Act. In Oregon, the waters of designated
streams have been withdrawn from appropriation to
statute delegate authority to an administrative agency preserve scenic and recreational resources. Washington
to establish minimum flows for surface streams and restricts withdrawals from specified stretches of the
minimum water levels for lakes, in order to promote Columbia River to protect fish. In accordance with
public health, safety, and welfare, to safeguard enabling legislation, the Governor of Idaho has appro-
priated waters from several lakes to be held in trust for
the people of the State to preserve scenic and recreational
"Commissioner Ernst believes that the term should be qualities. In Montana, the State Fish and Game Commis-
perpetual in order to give greater security to investment sion is authorized to appropriate water of designated
and to avoid inefficient use toward the end of a limited trout streams to preserve a minimum flow necessary to
term. protect fish and wildlife.

287

flows which are so valuable that they should be standards, to determine the minimum flows. The
preserved in all circumstances, even though this determination is likely to be one in which there is
requires the curtailing of private uses. The desirable broad public interest and the body making the
flows would protect values which are important to determination should be one which may be expected
the public, but not so important that they could not to be responsive to the various dimensions of that
bear a portion of the shortage in times of low flow. interest. This body could be expected to act in a
Desirable flows would vary according to the time of legislative fashion, liberally utilizing public hearings
the year and the location at which the flows are to be and other devices for generating information about
protected. the flows needed to protect instrearn values. Perhaps
No attempt is made to specify all the considera- it should be required to articulate the alternatives and
tions that should go into the determination of their social, environmental, and other consequences
minimum flows or the administrative procedures that before it reaches its decisions. 144
should be employed. Historical flows will have great Presumably, specialized State agencies, such as the
significance as will prepermit uses. As to the latter, fish and game and pollution control agencies, would
even essential minimum flow will have to take make significant contributions. If the State had a
account of historic uses, for they could not be mechanism for identifying and preserving wild and
substantially impaired without raising constitutional scenic rivers, the minimum flow procedures should be
questions of the taking of private property without coordinated with that mechanistti. Furthermore, in
just compensation. This is not to say that historic setting minimum flows for particular reaches of a
uses cannot be curtailed for short periods in cases of river, the panel should be cognizant of water require-
emergency produced by extreme drought. But serious ments elsewhere on the river so that its determina-
constitutional questions would arise if the minimum tions would be consistent with conditions throughout
flow were set so high that historic uses would be the river basin.
regularly curtailed in periods of normal low flow. Ideally, minimum flows should be determined for
The two-level approach is somewhat different from an area before permits were issued by the permit
that taken by many States which protect minimum agency for new uses, since this information would be
flow levels. A number of States base the flow to be helpful to public and private planners in deciding
preserved on some historic level of flow, such as the whether to invest in water supply. Some States might
average of the minimum daily flows during each of choose to set minimum flows even for areas in which
the 5 lowest years in the period of the preceding 20 a permit system was not yet required. This course of
years. 143 That approach has the advantages of action would provide the advantage of protecting
protecting all instrearn values during a period of low important public values at an early stage, before they
flow and of being related to an ascertainable, historic might be threatened by private diversions.
amount. However, there seems to be little reason to The standards for determining minimum lake levels
assume that the entire historic low flow is always might be different in some cases from those used to
necessary to protect instrearn values and to prohibit determine minimum strearnflows. If the lake is one to
all withdrawals when flows are at a historic low level. which the public has access, the public values to be
Whether the prohibition of withdrawals is desirable protected are similar to those in a river, and the same
depends upon their effect on important public and standards might apply. However, in other instances,
private values. Accordingly, it is recommended that the public interest will be quite limited, and less
minimum flows be established on the basis of an important than the interest of private lakeside
assessment of flows required to protect instrearn owners. For example, if one party wants to make a
values. diversion from a small lake which is entirely sur-
It will be essential for State legislatures to provide rounded by private cottages, the issue is more
standards for determining what values are to be so whether a certain lake level should be preserved to
preserved and under what circumstances. Further- protect the interests of the surrounding landowners
more, it may be desirable for States to use special than whether a public interest should be protected.
panels, acting in accordance with the statutory

144 This is similar to the approach to decisionmaking
14'See Mississippi Code (1942) Ann. (1972 Supp.), Section required by the National Environmental Policy Act of
5956-02(i); New Jersey Stat. Ann., Section 58:1-35; 1969 (NEPA), P.L. 91-190, January 1, 1970, 83 Stat.
Florida Stat. Ann., Section 373.081(7). 85 2, 42 USCA 4331 et seq.

288

Private litigation has arisen over lake levels,"' and it tices for all water sources where circumstances
appears that the courts have used a rule of reason to warrant. The legislation should also authorize the
set minimum levels, designed to protect the interests voluntary formation of water management districts
of the surrounding landowners while permitting some upon local initiative.
diversion.' 46 Allocation of Water in Periods of Shortage
The best way to deal with this conflict may be in
the context of a permit application. As soon as any The allocation scheme which the Comn-dssion
party applies for a diversion from a lake, the issue is proposes has three parts:
raised as to whether the interests of littoral owners 1. Postenactment permittees would be shut down
will be protected. The permit agency should take in order to supply preenactment permittees and to
evidence on the particular facts of the competing maintain desirable minimum flows. Within the class
interests in the lake and determine an appropriate of postenactment permittees, uses would be shut
minimum level. Once a minimum has been set, it will down in inverse order of the dates of their permits:
be necessary in times of short supply to enforce it by the last to receive a permit would be the first to be
regulating competing diversions. shut off.
After providing procedures for setting streamflow 2. If insufficient water then remained to supply
and lake level minimums, the statute must attend to all preenactment permittees and to maintain desirable
their enforcement. Both public officials and private minimum flows, (1) desirable minimum flows would
citizens should be permitted to bring actions. The be reduced and (2) the available supply would be
State is the proper plaintiff in public actions, which shared pro rata by the preenactment permittees.
might embrace administrative cease and desist orders 3. In extreme emergency, preenactment permit-
enforceable by fines and physical actions to shut tees would be shut down to preserve essential
down illegal withdrawals. Private suits should be minimum flows.
maintainable by any person having an interest in the The purpose of these provisions is to define in
minimum flows or take levels. Those persons would advance the rules which will be applied to allocate the
include littoral owners, fishermen (if the violation water supply in times of shortage, so that investors
threatens injury to fish), and recreationists. It should and planners can gage the relative reliability of
not be necessary for the private citizen to proceed various water rights. Some water users require a firm
first through the permit agency, although that course supply of water at all times, and they need to know
should be open to him, too. Since the minimum flows the rules of the game so they may acquire firm water
and lake levels are to be fixed precisely, and since the rights to protect themselves in time of shortage. Clear
rules for allocating water in periods of shortage are to allocation rules would encourage the transfer of water
be clear, definite, and non discretionary, the private rights to their highest economic use.
plaintiff should have recourse to the courts in the Some riparian States which have adopted permit
first instance if he so chooses. systems have chosen not to provide a scheme for
The permit statute should also provide for regula- allocation in times of shortage.' 47 Other statutes
tion of pumping from ground water aquifers. The provide authority for a water management agency to
subject is not discussed extensively in this section, adopt contingency plans, to be implemented only in
since it is treated in Chapter 7, Section B. Briefly, the times of shortage .14 8 However, advance definition of
administrative agency should have power to establish "'See New Jersey Stat. Ann., Sections 58:1-2 et seq.;
well-spacing patterns to prevent well interference, to Florida Stat. Ann., Sections 373.01 et seq.; and Minne-
restrict pumping to protect the storage capacity of sota Stat. (1971), Sections 105.37 et seq.
the aquifer and to prolong the period of time of its "in Iowa the water commissioner is authorized to tempo-
use, and to regulate land and water use to protect rarily suspend any diversions under a permit if there is a
ground water quality. In addition, the statute should declared emergency. Under the Model Water Use Act
confer authority on the administrative agency to (1958), Sections 501, 502, the commission regulates
allocation in times of shortage. Preserved uses (those
require initiation of comprehensive management prac- vested before adoption of the permit system) are pre-
ferred to permitted uses. In addition, the commission
"'See, e.g., Taylor v. Tampa Coal Co., 46 So.2d 392 (Fla. may rotate uses, suspend less beneficial uses, or apportion
1950); Harris v. Brooks, 225 Ark. 436, 283 S.W.2d 129 water between uses. The Model Water Code (1970),
(1955); and Hoover v. Crane, 362 Mich. 36,106 N.W.2d Section 2.09, empowers local governing boards to formu-
563(1960). late plans for allocation in times of shortage. The plans
'"Harris v. Brooks, 225 Ark. 436, 283 S.W.2d 129 (1955). are to be published in advance of emergency conditions.

289

the rules of allocation is preferable to either alterna- have been called upon to resolve conflicts between
tive. If the permit statute says nothing about alloca- diverters who seek water for different uses. According
tion, parties are left to the rules which may have to the Commission's background study,"' these
evolved under common law and to an emergency cases tend to protect existing uses under the rubric
allocation by the courts, perhaps at a critical time that it is not reasonable for a new use to displace an
when it will be difficult for users to purchase an existing use and its accompanying investment.
additional supply. In fact, there are few common-law As a practical matter, States which already have
cases dealing with the allocation of shortages, so that adopted permit systems may come out much the
the water user lacks predictability about the relia- same way as recommended here, if the permit agency
bility of his right if the statute is silent .149 While an refuses to permit a new use unless it is confident that
emergency allocation scheme may have the advantage there is an adequate supply for all prior uses.
of flexibility, it has the disadvantages of having to be Just as there are advantages to protecting pre-
created in a time of crisis and of creating uncertainty permit users as a class, there are advantages to
for all water users. applying a rule of priority to allocate water among
Under the recommended arrangement, uses initi- postpermit users. Again, each permittee has more
ated after the adoption of a permit system would be certainty if he knows that his right will be protected
shut down before prepermit uses were curtailed or according to the date of his right. He may make a
desirable niinimurn flows invaded. State power to rational calculation of the relative reliability of a new
adopt such an arrangement seems clear if, as is water right or of an existing right which he might
argued, the State can abolish unused riparian rights. purchase.
After the abolition, new rights could properly be Some States may choose to allocate shortages
subject to new rules, whatever the rule of allocation proportionately among postpermit users, especially if
may have been at common law. However, States this presently is the rule of law in such States.
which already have adopted permit systems and rules Arguably, a rule of proportional sharing encourages
relevant to allocation may encounter obstacles in efficient water use, since all must reduce their
attempting to change those rules, at least with respect withdrawals during a time of shortage, and arguably it
to existing uses. For example, a State arrangement also encourages flexible private arrangements, such as
might require all permittees to share a shortage, rotation in water use. However, in some situations a
irrespective of when their uses were initiated. rule of priority actually would provide more flexi-
Where it is permissible under State law, there are bility for private allocation arrangements (such as
distinct advantages to protecting prepermit uses as a where some, but not all, water users agree to rotate
class, while curtailing later uses. Such an arrangement use of the available supply), and a priority system
provides certainty for existing uses, which should may make it easier for a water user to obtain a firm
enhance the marketability of prepermit rights and supply by contractual arrangements with other water
their reallocation through bargain and sale to the users. On balance, the Commission recommends a
highest economic use. The arrangement protects the rule of priority for postenactment perrnits, but
investments of existing users while warning future recognizes that some States may prefer to employ
users that their rights may be subject to curtailment proportional sharing among postpermit users in time
in times of shortage. This arrangement works to limit of shortage, having previously adopted that rule.
the shifting of water from an existing use to a new The next question that arises under the proposed
use without payment. It also serves to protect allocation system is the relationship between pre-
existing riparian users against future withdrawals for enactment permit claims and desirable minimum
nonriparian uses, allowing the extension of the permit flow. The competition between the two would arise
system to nonriparian uses without upsetting riparian in this fashion: despite the fact that all postenact-
investments. ment uses have been shut down, the available supply
This protection for existing, prepermit uses appears may still be insufficient to satisfy preenactment
to be consistent with the few cases in which courts permits in full. The scheme proposed here provides
for an invasion of desirable minimum flow. (Essential
minimum flow would never be subject to impairment,
14 9DAVIS, Clifford (1971). Riparian Water Law, A Func- except by Nature.) Since desirable minimum flow has
tional Analysis, prepared for the National Water Commis-
sion. National Technical Information Service, Springfield,
Va., Accession No. PB 205 004. p. 40. "'Ibid., pp. 43,45.

290

been established to protect amenities, it follows that diversions in times of shortage.' ' 3 It is hard to
amenities can share the burden of the short supply. justify halting all withdrawals in order to protect all
The formula for sharing the shortage ought to be public values associated with instream uses. For
determined in advance so that users needing a larger example, it may be more desirable to protect a
supply could make arrangements for purchasing it. valuable industrial withdrawal during a 2- or 3-month
While a specific formula is not proposed, it is drought than to preserve a level of flow providing a
recommended that it reflect a judgment on the beautiful view or public recreation. For this reason, it
relative importance of desirable minimum flow and is recommended that minimum flows be set at two
prepermit uses, with respect to that supply which is levels-those which are desirable under average supply
in excess of inviolate essential minimum flow. conditions and those which are essential under all
An example may help illustrate the operation of conditions. Essential minimum flows should be set as
the allocative scheme: Suppose that a severe drought low as public health and safety will permit. Their
has struck and that postenactment permits have purpose is not to protect recreation or scenic beauty
already been shut off, leaving streamflow at 500 in times of drought but to serve such vital functions
cubic feet per second (c.f.s.). Essential minimum flow as preventing contamination of public water supplies
has been established at 200 c.f.s. and desirable (as by salt water intrusion) or long-term or irrevers-
minimum flow at 400 c.f.s. Preenactment permit ible damage to the ecosystem. The constitutionality
demand is 300 c.f.s. If the prepermit demand were of curtailing preenactment uses for these purposes in
fully satisfied, the flow would exactly equal essential times of emergency is beyond question. Not only
minimum flow."' And if desirable minimum flow does the riparian system itself contemplate preserva-
were fully preserved, only 100 c.f.s. would be left to tion of a reasonable volume of flow, the police power
satisfy the prepermit demand of 300 c.f.s."' Under justifies temporary prohibition of use in cases of
the Commission's proposed allocation system, part of public danger.
the 200 c.f.s. increment allocated to desirable niini- Similarly, a statutory scheme providing for the
mum flow which is over and above what is allocated temporary reduction in the amount of use by
to essential minimum flow would be invaded to preenactment permittees in order to preserve a
assure that more than 100 c.f.s. is supplied to portion of the desirable minimum flow is quite likely
prepermit users. If supply is allocated proportionally to be sustained on its face as a valid exercise of the
between the respective demands of 200 additional police power in the regulation of riparian rights that
c.f.s. to maintain desirable minimum flow and 300 gave rise to no justified expectation of certain receipt
c.f.s. for prepermit users, the result would be an of quantities of water historically withdrawn for use.
allocation of two-fifths of the available flow in excess But any particular application of the statute may
of essential minimum flow or 120 c.f.s. to desirable raise a constitutional issue if minimum flows are set
minimum flow (resulting in a strearnflow of 320 so high as to regularly interfere with historic uses
c.f.s.) and of three-fifths or 180 c.f.s. to prepermit under conditions of average low flow.
uses, an invasion of desirable minimum flow of 80 In allocating water within the class of prepermit
c.f.s. Of course, other formulae could be employed users, the same alternatives of proportional reduction
and may well be preferred. However, some definite or reduction by priority, and the same supporting
formula should be adopted by the permit agency in arguments, are available as with postpermit users.
advance and it ought to reflect an assessment of the However, where prepermit State law provided pro-
relative values of the withdrawals protected by portional reduction as the standard for allocation
permits and the instrearn uses protected by desirable among users, States will face political and legal
minimum flow standards. difficulties in converting to a priority standard. Under
This proposal differs from the approach several the arrangements recommended here, preperinit
States have taken. Some States have adopted niini- rights should be given the same status they had before
mum flows, which they would preserve against all enactment of the statute. This would seem to be the
preferable arrangement in view of the expectations
"'Essential minimum flow of 200 c.f.s. plus withdrawal of generated by the prior law.
300 cf.s. equals supply of 500 c.f.s.
"'Deducting desirable minimum flow of 400 c.f.s. from 1 5 3See Iowa Code Ann., Section 455A.22; New Jersey Stat.
supply of 500 c.f.s. leaves 100 c.f.s. to supply a prepermit Ann., Section 58:1-40; Florida Stat. Ann., Section
demand of 300 c.f.s. 373.141; Rev. Code of Washington, Section 90.22.010.

291

Ground water presents special problems. Since riparian lands, at least where there may be injury to
aquifers and surface streams frequently are hydro- riparians if the water is used elsewhere.' 54 The
logically interrelated, it is important to apply the restriction may increase the water supply for ripar-
same general standards to both. However, those ians, but it frustrates the reallocation of water to
standards may need to be applied somewhat differ- higher economic uses, 'Which will often require the
ently, and more flexibly, to ground water. In admin- use of water on nonriparian lands. Under the arrange-
istering ground water uses vis-a-vis surface uses, the ments proposed here, important interests of riparians,
regulator must realize that the impact of ground as well as of the general public, are protected by the
water withdrawals upon surface supplies may not be minimum flow provisions. Existing water users are
felt for some period of time, and then may be spread protected from injury which a transfer might cause
over an additional period. Furthermore, in adminis- by imposition of appropriate conditions and limita-
tering ground water uses vis-a-vis each other, the tions upon the transfer.' ' ' Therefore, there seems to
regulator must take into account the physical charac- be no reason for precluding transfers away from
teristics of particular aquifers. For example, well riparian lands -
interference, and therefore well-spacing, may be Some permit systems frustrate private transfers by
heavily influenced by aquifer characteristics. In addi- making permits terminable at any time by adn-flnistra-
tion, States properly may be concerned with ground tive action and the water reallocable by administra-
water levels and with the rates at which ground water tive determination. 116 Under such arrangements, an
is withdrawn and recharged. In short, the regulation existing water user may have his supply terminated
of ground water uses calls more for flexible manage- and his expectations disrupted, although some stat-
ment than for the application of rigid rules. utes would provide him with compensation.' 5 7 This
kind of administrative allocation is subject to possible
Transfer of Water Rights abuse. It deters investment, even where compensation
is provided, because it deprives the investor of
The permit statute should provide for the trans- certainty. There is no reason to conclude on principle
ferability of water rights subject to necessary restric- that administrative reallocation will foster more pro-
tions to protect other permittees and to-prevent ductive use of water than will market reallocation.
infringement of desirable minimum flow. To imple- However, term permits, by which water can be
ment this general principle, the statute should specifi- reallocated to a public purpose at the end of the
cally abolish the rule of riparian law that limits use of term, are recommended. If a governmental entity
water to riparian land and the rule that forbids the desires to obtain existing water rights prior to the
sale of water rights separately from riparian land. The expiration of the term and is unable to do so by
statute should provide that where the interests of negotiated purchase, eminent domain purchase is
other permittees are not injured and desirable rnini- available. The permit agency should have power to
mum flows are not adversely affected, a permittee for extend terms when a permit is transferred. This
a consumptive use may transfer his permit to another power would permit transfer to a more valuable use
for the same amount of consumptive use on different requiring a longer time for amortization than remains
land or for a different purpose. Permits for non- for the permit being sold.
consumptive uses should also be transferable, but While market principles should govern the realloca-
only to another nonconsumptive use and only if there tion of water rights, an administrative mechanism is
is no adverse effect on other permittees and on
desirable minimum flow. 154 The majority rule is that riparian rights may not be
The purpose of these recommendations is the one exercised on nonriparian land. The minority rule permits
use on nonriparian land provided that downstream
which runs throughout this section: to encourage the riparians are not injured.
allocation of water to the highest and best economic See Chapter 7, Section D.
use through the bargaining process. Present arrange- "'See Iowa Code Ann., Section 45SA.20; New Jersey Stat.
ments outside of the and West offer little or nothing Ann., Section 58:1-44.
by way of mechanisms to facilitate the transfer of "Under the Model Water Use Ac@ (1958), Section 410, the
water rights. This is true in riparian States which have commission may force the sale of a permit if there is an
adopted permit systems, as well as in those which application for a more beneficial use (as determined by
the commission) when there is no other supply available
have not. In fact, the existing law in many States and the new user is willing to make reasonable payment
tends to discourage transfers by limiting water use to to the owner of the permit.

292

necessary to facilitate such transfers and to protect -ever, it is not too early for legislatures to begin
the rights of other permittees and the public. Transfer examination of their State's water situation, for it is
procedures are discussed fully in Chapter 7, Section highly desirable to establish a clear and definite legal
D. In general, the permit agency should conduct system of water rights before an emergency arises.
transfer proceedings to determine whether a transfer There is merit in early enactment of a permit statute
of a permit would injure other perrnittees or interfere that may be applied on a basin-by-basin basis, as the
with desirable minimum flows. Additional environ- need arises.
mental values could also be considered in the pro-
ceeding. Agency determinations should be subject to
judicial review to assure due process, correct errors of RECOMMENDATIONS
law, and determine whether findings of fact are
supported by substantial evidence. The essential elements of the permit system which
Ground water again presents special problems the Commission recommends for consideration by
because of the physical characteristics of aquifers, but the riparian States are the following:
the analytical standards for transfers would still 747. Perniits should be required for all withdrawals
apply. It may be difficult to transfer ground water of water, whether the use was initiated before
rights, at least if a significant distance is involved, or after enactment of the statute and whether
because of the difficulty of determining injury in the the source of supply is surface water or
complex context of an interrelated stream and ground water. Exceptions can be made for
aquifer, with numerous withdrawals. However, in the withdrawals of inconsequential amounts of
case of replacement wells-new wells drilled near water. Upon application filed within 5 years
old wells that have silted up or gone out of of the effective date of the act, a permit shall
production for other reasons-a simplified procedure be issued for any use initiated prior to the
could properly be adopted. The replacement well is enactment of the statute.
merely a substitute for the original permitted with- 7-48. There should be no restrictions on who may
drawal, is located in essentially the same place, and is apply for a permit or on the location where
subject to the same permit conditions. water may be used.
7-49. Permits should contain full information on
CONCLUSIONS (a) source of supply, (b) point of diversion or
well location, (c) place, nature, and time of
This section sets forth principles the Commission use, (d) volume and rate of withdrawal, and
believes to be sound guides in the formulation of a (e) amounts of consumptive use and return
permit statute to regulate withdrawal of water for flow, and, if practically ascertainable, point of
municipal, industrial, agricultural, and other benefi- reentry to the hydrologic system of return
cial use in States that follow the riparian doctrine of flow.
water rights. The proposed permit system departs 7-50. Permits should be subject to cancellation after
from model codes and statutes currently in force by a specific period of nonuse.
placing greater reliance on market forces to reallocate 7-51. Permits may be limited in time, but the initial
water to more productive economic uses. It also period should be long enough for the permit-
differs in establishing two levels of minimum stream- tee to amortize his investment comfortably,
flow: (1) essential minimum flow that cannot be and renewal of the permit should be auto-
impaired by man's withdrawals and (2) desirable matic unless the permit agency finds the
minimum flow that would not be subject to diminu- water is necessary for a higher public purpose.
tion by permits issued after the statute took effect 7-52. An administrative agency should be delegated
but could be invaded in periods of drought to supply authority to establish minimum strearnflows
prepermit uses. and take levels in accordance with standards
The Commission does not recommend the im- that include consideration of (a) public
mediate enactment of a permit statute in every State health, (b) ecological values, (c) recreational
not presently having one. It costs money to acquire use, (d) esthetics (including private invest-
the information required to operate a permit system ment in scenic values), and (e) alternate values
properly, and those costs should not be incurred until of the water in municipal, industrial, and
scarcity and competition warrant the expense. How- agricultural use.

293

7-53. Definite rules for allocating water in periods The statute might also provide that, subject to
of shortage should be adopted before short- the preservation of essential strearnflows and
ages occur. States should consider an alloca- lake levels, prestatute uses would share avail-
tion system (a) that would make all perniits able supply pro rata in times of shortage.
for uses initiated after enactment of the 7-54. Permits should be freely transferable to pro-
statute subordinate to permits for uses mote the reallocation of water to more
initiated before the statute and (b) that would productive uses, subject to the restriction that
distribute water to poststatute uses in order a transfer should not injure other permittees
of temporal priority. or impair minimum strearnflow or lake levels.

Section F
Appendix: A Comparsion of the Florida Water
Resources Act of 1972 With the Commission's
Recommended Principles

Reproduced below, with commentary, are portions conserved or fully controlled to realize their full
of the Florida Water Resources Act of 1972, Fla. beneficial use.
Laws Ch. 72-299, approved April 24, 1972. At the (2) It is further declared to be the policy of
time of this writing, the Florida law was the most the legislature to provide for the management of
recent and most comprehensive statute to be enacted water and related land resources; to promote the
by a riparian jurisdiction. The statute is in six parts, conservation, development, and proper utihza-
of which portions of Parts 1, 11, and III are repro- tion of surface and ground water; to develop and
duced, appending to significant sections of the law regulate dams, impoundments, reservoirs, and
the Commission's commentary comparing them with other works, and to provide water storage for
the principles suggested in the preceding section of beneficial purposes- to prevent damage from
this chapter. floods, soil erosion'and excessive drainage; to
Part I declares general policy, sets forth definitions, preserve natural resources, fish and wildlife; to
delegates power to administer the statute to the promote recreational development, protect
Department of Natural Resources, directs the Depart- public lands, assist in maintaining the naviga-
ment to prepare a State water use plan, and creates bility of rivers and harbors; and to otherwise
five water management districts. promote the health, safety and general welfare
Part 11 contains the basic permit legislation for of the people of this state.
withdrawal and use of water, and it receives the most
attention. (3) The legislature recognizes that the water
Part III regulates the drilling, operation, and resources problems of the state vary from region
abandonment of water wells. to region, both in magnitude and complexity. It
Part IV regulates the construction and operation of is therefore the intent of the legislature to vest
surface water reservoirs. . in the department of natural resources or its
Part V deals with finance and taxation and Part VI successor agency the power and responsibility to
with amendment and repeal of prior legislation. accomplish the conservation, protection, man-
Of Part 1, only Section 2, the Declaration of agement and control of the waters of the state
Policy, is reproduced below; the other sections of with sufficient flexibility and discretion to
interest are summarized. accomplish these ends through delegation of
Section 2. Declaration of policy.- appropriate powers to the various water manage-
(1) The waters in the state are among its basic ment districts. The department may exercise any
resources. Such waters have not heretofore been power herein authorized to be exercised by a

294

water management district; however, to the department may implement a program for the
greatest extent practicable such power should be issuance of permits authorizing the consumptive
delegated to the governing board of a water use of particular quantities of water, or may
management district. authorize the governing board of a water man-
Section 3 contains definitions. Section 4 states agement district to implement such a program.
specifically that all waters of the State are subject to No such program shall be implemented or
regulation. Section 5 prescribes the powers and duties discontinued except after public notice and
hearing. A hearing may be called by the depart-
of the Department of Natural Resources. These are ment or by the governing board, upon its own
quite extensive, and the section is recommended to initiative, upon petition from the board of
other States as a model.158 Section 6 directs the county commissioners or boards of county
Department to prepare a State water plan and sets commissioners of any combination of counties
forth the elements to be in its formulation. This wholly or partly within the area proposed to be
provision, too, is recommended as a model for other subject to the regulations provided herein, or
States. upon petition signed by twenty-five percent
In one respect, however, Section 6, when con- (25%) of the registered voters of any territory
sidered with the rest of the statute, seems incomplete. proposed to be subject to the regulations pro-
The State water plan has no force of law; it may be vided herein, according to the most recent list of
considered when issuing use permits and promul- registered voters as disclosed by the records of
gating rules for allocation in times of shortage, but it the office of the supervisor of elections of the
is not binding on the Department. Yet, the principal counties affected. Notice of public hearing on
treatment of minimum flows and minimum lake the proposed implementation of these regula-
levels appearing in the Florida statute is found in tions shall be published at least once a week for
subsection (7) of Section 6, under which those two weeks in a newspaper of general circulation
minimums are merely elements to be considered in in the area to be affected by such regulations,
formulation of the plan. Nothing in the statute the last notice appearing no less than ten (10)
specifically gives streamflow and lake level minimums days prior to the date of the public hearing.
the force of law, although this result may eventually Upon implementation, the provisions of this
come to pass through interpretation of the "public part shall apply.
interest" standard for granting permits. This point is
discussed further in the comments on Part 11 of the
statute. Comment: The Commission has recommended a
A most useful set of provisions in Part I com- similar provision whereby the permit system would
mences with Section 12; these provide for the be instituted on a basin-by-basin basis as the need for
division of the State into five water management regulation arises.
districts following the boundaries of the natural river Section 2. Permits required-
basins of the State. The Department may delegate to (1) After the effective date of the implementa-
the governing board of each district power to tion of these regulations in an area, no person
administer the permit requirements of the other parts shall make any withdrawal, diversion, impound-
of the statute and to perform certain other responsi- ment, or consumptive use of water without
bilities of the Department. Moreover, under Section obtaining a permit from the governing board or
18, the districts have in their own right full power of the department. However, no permit shall be
ground water management, very similar to those required for domestic consumption of water by
recommended by the Commission in Chapter 7, individual users.
Section B. (2) In the event that any person shall file a
PART 11 - PERMITTING OF CONSUMPTIVE complaint with the governing board or the
USES OF WATER department that any other person is making a
Section 1. Implementation of program for reg- diversion, withdrawal, impoundment, or con-
ulating the consumptive use of water.-The sumptive use of water not expressly exempted
under the provisions of this act and without a
For some States, Subsection (9) providing for an annual permit to do so, the governing board or the
conference on water resources may be superfluous. department shall cause an investigation to be

295

made and if the facts stated in the complaint are water in such quantity as is necessary for economic
verified the governing board or the department and efficient utilization, for a purpose and in a
shall order the discontinuance of the use. manner which is both reasonable and consistent with
Comment: Subsection (1) above covers the with- the public interest." Condition (c) requires the use to
drawal of all water, whether for consumptive or be "consistent with the public interest." "Public
nonconsumptive use, except for the specific exemp- interest," on the other hand, is nowhere defined. The
tion of individual users for domestic consumption. Commission has indicated its reluctance to recom-
The Commission similarly recommended that the mend delegation of broad authority to administrative
permit system comprehend all water, whether surface agencies under such vague standards as the public
or ground water, and all users, whether the uses were interest. It is the Commission's view that establish-
initiated before or after enactment of the statute. The ment of desirable and essential minimum flows
Commission did not specifically exempt individual protects the public interest and that permits should
domestic uses, but did provide for exemption of be issued upon application if minimum flows are not
"inconsequential uses," which could comprehend adversely affected thereby. The Commission supports
small individual domestic uses as well as other condition (b), that permits not be granted for uses
insignificant uses. that would interfere with prior uses, but the recom-
The Commission did not discuss enforcement, but mended technique for achieving that result is to
it endorses Subsection (2) above. establish a priority system in periods of shortage for
Section 3. Conditions for a permit.- permits issued after the statute takes effect.
(1) To obtain a permit pursuant to the pro- The Commission's recommendation is in accord
visions of this act, the applicant must establish with subsection (2) in abolishing restrictions on place
of use but, again, it avoids the vague standard
that the proposed use of water (a) is a reason- "consistent with the public interest."
able-beneficial use as defined in Part 1, Section Subsection (3) apparently deals with minimum
3(5), and (b) will not interfere with any pres- strearnflows and minimum lake levels, although those
ently existing legal use of water and (c) is terms are not used here and there is no cross-
consistent with the public interest. reference to their use in Part 1, Section 6 (7) (a)@c).
(2) The governing board or the department The Commission's recommendation would set "de-
may authorize the holder of a use permit to sirable minimum flow"-which postenactment per-
transport and use ground or surface water mits could not impair-on broader bases than "pro-
beyond over-lying land or outside the watershed tection of fish and wildlife or the public health and
from which it is taken if the governing board or safety." Curiously, the Florida statute itself in the
department determines that such transport and section using the term "minimum flow" [Part 1,
use is consistent with the public interest. Section 6 (7) (a)] also employs a broader definition,
(3) The governing board or the department by being "the limit at which further withdrawals would
regulation may reserve from use by permit be significantly ha 'rmful to the water resources or
applicants water in such locations and quantities ecology of the area." However, the similarities be-
and for such seasons of the year as in its tween the Florida statute and the Commission's
proposals are far greater than the differences. Both
judgment may be required for the protection of propose to protect minimum flows by limiting
fish and wildlife or the public health and safety. permitted new uses of water in excess of the
Such reservations shall be subject to periodic
review and revision in the light of changed mmimum flow. The recognition of such minimums is
conditions; provided, however, that all pres- a key point the Commission would emphasize to
other States.
ently-existing legal uses of water shall be pro-
tected.
Section 4. Existing uses.-
Comment: Subsection (1) of Section 3 establishes (1) All existing uses of water, unless otherwise
three conditions for the issuance of a permit, two of exempted from regulation by the provisions of
which are repetitious. Condition (a) requires a "rea- this act, may be continued after adoption of this
sonable-beneficial use" as defined in Part I, Section 3 permit system only with a permit issued as
(5), which states the definition as Ahe use of provided herein.

296

(2) The governing board or the department classification according to source of supply, type
shall issue an initial permit for the continuation of use or both.
of all uses in existence before the effective date (2) The governing board or the department
of implementation of this part if the existing use may authorize a permit of duration of up to
is a reasonable -beneficial use as defined in Part 1, fifty (50) years in the case of a municipality or
Section 3 (5) of this act and is allowable under other governmental body or of a public works or
the common law of this state. public service corporation where such a period is
(3) Application for permit under the pro- required to provide for the retirement of bonds
visions of (2) above must be made within a for the construction of waterworks and waste
period of two (2) years from the effective date disposal facilities.
of implementation of this Part. Failure to apply
within this period shall create a conclusive Comment: The Commission perceived both advan-
presumption of abandonment of the use and the tages and drawbacks in limiting the duration of
user if he desires to revive the use must apply for permits and concluded that the permit term should
a permit under the provision of Section 5 of this be long enough to comfortably amortize the permit
part. applicant's investment. The Commission also recom-
mended that permits be renewed unless the water was
Comment: As previously noted, the Commission's needed for a public purpose. The Florida statute is
proposed permit system would require existing uses more restrictive and subject to criticism in that it
to obtain permits. The Florida statute allows 2 years; discourages investment in private projects that require
the Commission has not specified a time period but longer than 20 years to amortize.
gave an example of 5 years. Local conditions will Section 8, which is not reproduced here, provides
dictate the appropriate time period, but 2 years may for modification and renewal of permits. The same
be a little short in many States. procedures and standards apply to renewal of permits
Section 5 which is not reproduced here, states the as to their first issuance.
contents of a permit application regarding such Section 9 provides for revocation of permits for
matters as place, nature, and volume of use. The false statements in an application, for violation of
Comn-dssion's recommendations are generally similar permit terms, and for violation of the statute (I year
and somewhat more detailed, especially as to return maximum suspension in the latter case). It also
flow. provides:
Section 6, also not reproduced here, deals with (4) For nonuse of the water supply allowed by
competing applications and provides that the board the permit for a period of two (2) years or more,
or department shall "approve or modify the applica- the governing board or the department may
tions which best serve the public interest." The revoke the permit permanently and in whole
Commission did not address itself to the issue of unless the user can prove that his nonuse was
competing applications but expresses reservations on due to extreme hardship caused by factors
the standard adopted by the Florida statute. If the beyond his control.
public interest in environmental values is otherwise
provided for, as it is under the Commission's pro- Comment: Section 9 (4) has its counterpart in the
posals, competition between applications could be Commission's permit system, but the Commission
resolved on the basis of priority in time of applica- refrained from specifying a definite period of time for
tion, as it is in most Western States. Applications the forfeiture. Two years appears to be fairly short, at
should be transferable, so that a later, more valuable least by Western standards where the periods run 4
use could buy out a prior, less valuable use. Alterna- and 5 years.
tively, the permit agency could be required to grant Section 10 deals with "declaration of water short-
the permit to the economically more valuable use. age or emergency." It is long and only the essential
Section 7. Duration of permits.- provisions are summarized here. The statute contem-
(1) Permits may be granted for any period of plates the formulation by the management district
time not exceeding twenty (20) years. The board or by the department of a plan for allocating
governing board or the department may base water in periods of shortage. No standards or guide-
duration of permits on a reasonable system of lines are furnished other than directions to "adopt a

297

reasonable system of pern-dt classification according (a) The construction of any water well;
to source of water supply, method of extraction or (b) The repair of any water well; or
diversion, use of water, or a combination thereof."
Allocation of water in times of shortage is then made (c) The abandonment of any water well.
pursuant to the plan. The statute also contemplates
that "an emergency condition ... [may exist] dueto a Comment: The Commission's statement of principles
water shortage." This condition is one that goes does not go into detail on well regulation, but the
beyond that anticipated in the plan and allows the requirement that a permit be issued for withdrawal of
board or department to issue orders requiring im- ground water contemplates regulation of the sort
mediate compliance without prior hearing. specified by the Florida statute. The perinit recom-
Comment: The Commission's permit system differs mended by the Commission contains conditions
somewhat from the Florida statute in providing in relating to source of supply, well location, place and
advance more definite allocation rules for periods of nature of use, volume and rate of withdrawal, and
shortage. Postenactment permits (i.e., those granted amount and place of reentry of return flow to the
for uses initiated after the permit system becomes hydrologic system. In addition, Chapter 7, Section B,
applicable to the basin) are shut down in inverse contains 20 recommendations relating to ground
order of permit date to supply earlier permittees and water administration and management, most of which
to preserve desirable minimum flow. If the supply is are applicable to a comprehensive water control act in
still insufficient to satisfy all preenactment permittees States where ground water is a significant source of
and desirable minimum flow, the desirable flow is supply -
reduced on some basis specified by statute or The remaining Sections of Part III of the Florida
regulation in advance, and the remaining supply is law relate to licensing of well drillers (which the
shared proportionally by the preenactment permit- Commission recommends also in Chapter 7, Section
tees. In cases of extreme drought, even preenactment B), exemptions of small wells, fees, and enforcement.
uses can be temporarily curtailed to preserve essential
minimum flow. Summary - The Florida statute appears in general
Part III of the Florida statute is entitled "Regula- to be a carefully considered, comprehensive scheme
tion of Wells." Section I contains definitions, Section for planning and regulating water resource develop-
2 requires compliance with the statute and the ment. It relies too heavily, however, on administrative
regulations issued thereunder, Section 3 grants rule- discretion in resource allocation under the vaguest
making power, and Section 4 contains the heart of possible standard of an undefined "public interest."
the system as follows: It also fails to make any provision for the voluntary
Section 4. Prior permission and notification- transfer of permits. The Commission's recommended
(1) Taking into consideration other applicable principles seek to provide greater certainty in the
state laws, in any geographical area where the allocation process, to reduce administrative discretion
department determines such permission to be to a narrow ambit, and to allow market forces to
reasonably necessary to protect the groundwater reallocate water to more valuable uses. Under the
resources, prior permission shall be obtained Commission's proposals, some water would be with-
from the department for each of the following: drawn from economic exploitation-the water desig-
(a) The construction of any water well; nated as desirable and essential minimum strearnflows
and as minimum lake levels. The remaining water
(b) The repair of any water well; or would be subject to use at any location upon
(c) The abandonment of any water well; application. Reallocation of water to higher uses
Provided that in any area where undue hardship through voluntary transfer of permits would be
might arise by reason of such requirement, prior facilitated by a complete record system and by
permission will not be required. definite rules of allocation in periods of shortage.
Original investment and voluntary transfer to new
(2) The department shall be notified of any of uses would also be promoted by fixing the term of
the following whenever prior permission is not the permit or its renewal at a period long enough to
required: recover investment.

298

Section G
Reducing Water Losses by Improved Efficiency"'

One means of making more efficient use of Agricultural Use: The greatest potential, as well as the
available water supplies is to reduce losses in existing greatest need, for water savings is in the irrigated
systems. These losses occur from evaporation, leakage areas of the West. Irrigation of crops accounts. for
in storage and transmission systems, and careless use over 80 percent of consumptive uses of water, most
of water by the ultimate recipients, whether they be of which occurs in the and and semiarid WeSt.1 6 0
farmers, householders, or manufacturers. Not all There, irrigation water is almost always used pursuant
losses can be elin-tinated, and not all those capable of either to water rights acquired under appropriation
being reduced should be, since the value of the water law or to long-term water delivery contracts executed
saved should exceed the costs of saving it. Neverthe- in connection with reclamation projects. As such, the
less, improved water conservation practices give right of the irrigator to use water is vested, and the
promise of significant savings at acceptable costs. opportunities for reducing water use are consequently
It is important, however, not to claim too much limited. For example, while pricing policies might be
for water-saving practices. Not all water that is lost effective to encourage frugality of use among urban
from a storage and delivery system or from extrav- householders who simply purchase water service
agant uses is lost to the hydrologic system. Leakage subject to rate changes, such policies have limited
from reservoirs and seepage from canals may feed applicability to existing irrigation rights. 161
surface flow or ground water aquifers. Excessive use
by farmers and householders may generate return
flow that also reaches streams and aquifers. Even the Limiting Water Use to the Water Right - When the
water consumed by salt cedars, cottonwood trees, early water rights were acquired in the West, water
and other phreatophytes does not necessarily go to was plentiful and little attention was given to the
waste, for it may support vegetation pleasing to the amounts claimed. Later, many water rights'adminis-
eye of some and useful as habitat for wildlife. trators concluded that some of the early water rights
had been acquired by speculators for later sale and
DISCUSSION were grossly excessive, covering far more water than
Water-Saving Practices ever could be beneficially used by the appropriators.
In some instances the excess water claimed was
Practices which can yield important water savings diverted from natural watercourses and allowed to
can be classified into three areas-agricultural, urban, run to waste to avoid forfeiture of the water right
and industrial. through nonuse. 162

""This section is based in large part on independent projects, so that the actual cost of delivered water was
research and analysis by the National Water Commission passed on to the irrigator, then there would be a much
staff. It is also based in part on another report prepared lower quantity of water demanded for irrigation under
for the Commission: DEWSNUP, Richard L (197 1). Legal those projects. But since the immediate concern is one of
Aspects of Water Salvage. National Technical Information finding ways to save water under existing agricultural
Service, Springfield, Va., Accession No. PB 205 005. See projects and practices, where rights to use water are
also BAGLEY, Jay M et al., Utah State University already vested (and, in the case of water delivery
Foundation (1971). Extending the Utility of Non-Urban contracts, where water prices are fixed), the relevant
Water Supplies. National Technical Information Service, inquiry at this point is how to reduce irrigation water use
Springfield, Va., Accession No. PB 207 115. without impairing these existing rights.
1 6 0 HOWE, Charles W et al., Resources for the Future, Inc. 1621n some cases, it appears that excessive and wasteful
(1971). Future Water Demands, prepared for the Na- amounts of claimed water were dignified by early court
tional Water Commission. National Technical Informa- decrees, where appropriators would bring suits against
tion Service, Springfield, Va., Accession No. PB 197 877. each other and then reach agreement as to the amounts
P. 100. of water each was entitled to, and stipulate to a decree to
... It is probably true that if present subsidies were removed be entered by the court. See Allen P. Petrick, 69 Mont.
from irrigation water under future Federal reclamation 373, 377; 222 P. 451 (1924).

299

No appropriation State recognizes as valid any part the place of use. This method of quantification has
of a water right which is in excess of the water been accomplished most effectively as a part of
reasonably needed and actually used. Beneficial need general adjudications of water rights. Unfortunately,
to satisfy the purpose of the use is the limit of any many States have made little progress with such
water right, and any unreasonable diversion or apph- adjudications because insufficient funds have been
cation of water is unlawful and can be enjoined by allocated for hydrographic surveys of lands irrigated
the 163 administrator. Likewise, the administrator can and water diverted.
require replacement or repair of defective headgates No one knows the amount of irrigation water
or diverting works which permit excessive leaks or presently being diverted in excess of reasonable need
water losses, and he can require improvements to be or the amount lost by inefficient transmission facili-
made in ditches and other transmission facilities to ties. It could be substantial. But it is clear that State
prevent unreasonable transmission losses. By rigorous administrators, given. sufficient funds and staff, could
monitoring, State water administrators can limit the monitor irrigation uses, quantify limits of use under
amount of water use to the water right and thereby water rights, and prevent any such excessive losses.
effect some savings.
Ways to Improve Irrigation Efficiency - If exces-
Quantifying Use Under Water Rights - It will be sive irrigation uses are discontinued, and if inefficient
difficult, however, for an administrator to ascertain diverting works and transn-dssion facilities are brought
what is an excessive or unreasonable, and therefore up to a reasonable standard, then the law requires no
illegal, use. Litigation on a case-by-case basis is not greater measure of efficiency. This does not mean
feasible. Uncertainties can be better resolved by an that further levels of efficiency are not practicable or
administrative promulgation of specific standards or desirable; it simply means that further water-savings
limits for water use for specified areas, depending on practices must be brought about by inducing irriga-
the nature of the soil, climate, crop, and related tors to make improvements which they are under no
factors. This is, in effect, a quantification of bene- legal compulsion to make. First, some of the steps
ficial need, commonly referred to as the "duty" of that can be taken are considered and then the means
the water. It is expressed either in a number of of inducing irrigators to take them are considered.
acre-feet.of water per acre per year or a rate of flow Extensive programs have been under way for some
in cubic feet per second (c.f.s.) for a prescribed time in many areas to line canals and laterals with
number of acres. While some States provide for a concrete, plastic membranes, or other materials which
statewide duty of water by statute, others follow the prevent seepage and transpiration by ditch-bank
preferable procedure of authorizing the administrator vegetation. Some farmers have achieved more effi-
to set the "duty" as a result of field investigations. cient application by converting from surface flooding
A similar quantification can be provided for water to trickle irrigation by small transmission lines or to
transmission losses by establishing a standard of pressure sprinklers. Extensive tests by a University of
reasonableness to limit losses from seepage and Nebraska research team indicate that "every-other-
evapotranspiration. The allowable water loss in trans- row irrigation" (placing water in alternate furrows,
mission facilities is commonly calculated as some leaving a dry furrow between each two watered
amount of water per mile of ditch from the stream to furrows) can save a substantial amount of work and
water without reducing crop yields.' 64
'Circumstances vary so much from area to area that no . Where irrigation districts and other water users'
satisfactory definition of "reasonableness" has been organizations join forces, it is possible to realize other
devised; specific limits on use come from some form of types of water savings. Frequently, surface supplies
quantification. But it will not be easy. "What may be a yielded in years of high runoff can be used to
reasonable beneficial use, where water is present in excess recharge underground basins, and the water can be
of all needs, would not be a reasonable beneficial use in subsequently withdrawn as needed. Underground
an area of great scarcity and great need. What is a
beneficial use at one time may, because of changed storage can also be used to reduce or eliminate
conditions, become a waste of water at a later time." evaporation that otherwise would occur through
Tulare Irrig. Dist. v. Lindsay-Strathmore Irrig. Dist., 2
Cal.2d 489, 567; 45 P.2d 972, 1007 (1935). See also "'MILLIGAN, Tom (1973). Should I irrigate only every
HUTCHINS WA (1967). Background and modern devel- other row? (based on work done by Bob Mulliner and
opments in state water rights law. Water and Water Rights Paul Fischbach, University of Nebraska). Irrigation Age,'
1:86-87. March 1973, pp. 16-18.

300

storage in surface reservoirs. Joint efforts can some- A higher degree of efficiency can be realized
times effect location of deeper storage reservoirs in through storage facilities where waters controlled by
mountain canyons on the higher reaches of streams direct flow rights can be impounded and later
(thus reducing evaporation by exposing proportion- released on call so that the irrigator receives the
ately smaller surface areas) as an alternative to amount of water to which he is entitled at the time
shallower reservoirs sited at lower elevations. 165 needed and not at some other time. This has
Where irrigation rights on streams prevent efficient significant advantages over direct flow withdrawals
application of water in periods of low flow, or where where the amount diverted under direct flow rights
the rights call for smaller quantities than needed for might be excessive to the needs of one moment and
efficient application, schedules of "rotation" can be deficient at other times, or when weather conditions
implemented by irrigators operating in concert. Use might make irrigation unnecessary. Also, programs
of the stream can be rotated from user to user to for phreatophyte eradication can, in some areas,
allow greater volumes for shorter periods of time, result in substantial reductions in transpiration losses,
increasing the efficiency of each use. Each irrigator is and the water thus saved captured for use .16 7 The
allowed a water "turn" equivalent to his water right, environmental effects of eradication programs must
even though the amount and time of delivery is be assessed in advance.
different from the pattern of use called for by the A number of rather sophisticated improvements in
individual water rights.' 66 farm management practices might further reduce

1 6 'Monomolecular films were once viewed as having an Xederal and State agencies are. . carrying on
important potential for reducing reservoir evaporation experiments and studies to determine ways and means
losses, but experimental results have been disappointing. whereby water lost through evaporation and transpiration
The films are difficult to maintain. At "even moderate can be salvaged for beneficial use. Estimates of possible
wind velocities, they can be destroyed by small organ- savings in water through eradication and control range as
isms, and they increase water temperature, which in turn high as 25 percent of present loss, or 6 million acre-feet
tends to promote evaporation rather than diminish it." annually, but additional research into the most eco-
NATIONAL ACADEMY OF SCIENCES (1968). Water nomical methods for eradication and control is needed."
and Choice in the Colorado Basin, A Report by the U.S. CONGRESS, Senate, Select Committee on National
Committee on Water of the National Research Council, Water Resources (1961). Report of the Committee
Publication 1689. National Academy of Sciences, Wash- Pursuant to S. Res. 48, Senate Report No. 29, 86th
ington, D.C. Congress, lst Session. U.S. Government Printing Office,
"'Where significant water savings will result, or where Washington, D.C. pp. 108-109.
efficiency will be materially improved, courts have More recent publications reveal conflicts which arise
imposed systems of rotation despite protests of non- when proposals are made to remove phreatophytes:
consenting appropriators. Crawford v. Lehi Irrig. Co., 10 "A case in point is Arizona, where Federal agencies are
Utah 2d 165, 3SO P.2d 147 (1960). studying or proposing the removal of phreatophytes-
deep rooted vegetation-from the banks of many rivers in
1 6 'Various estimates have been made of phreatophyte the state. The main purpose of the removal is to conserve
consumption. The following extract is typical of reports water in that and state....
made a number of years ago: "Bitterly opposing the phreatophyte removal projects,
"Along many of the river valleys of the West, some of which are already under way, are conserva-
saitcedars and other generally worthless vegetation (wil- tionists and wildlife proponents who say that the
lows, cottonwoods, mesquite, greasewood, and certain riverbank vegetation is the only major wildlife habitat in
reeds and weeds) have crowded onto river bottom land to the and state. Remove it, they say, and the adverse
such an extent that they now cover nearly 16 million effects on wildlife will be devastating and sometimes
acres and discharge into the atmosphere an estimated 20 irreversible. Some also mention indications, somewhat
to 25 million acre-feet of water annually. These plants, less supported by scientific evidence, that the effects on
having their roots in the ground water, have first call on fisheries may be equally detrimental....
available water supplies, leaving for man only that which "The dove, quail, grey hawk and black-bellied tree
they cannot use. Losses are particularly acute in the duck are some of the birds affected, according to Arizona
water shortage States of Arizona and New Mexico, Where Game and Fish Department. Other types of wildlife are
the warmer climate leads to greater consumption of also affected, of course, including deer and javelina.
water, particularly by the saltcedars. Elimination of the Although waterfowl do not use the plant cover directly,
consumptive waste from these plants provides an excel- it forms sanctuaries for ducks and geese using the Pacific
lent opportunity for increasing the usefulness of available Flyway. . . ." GILLULY RH (March 13, 197 1). Wildlife
water supplies. versus Irrigation. Science News 99:184.

301

water use, and bring use efficiency well above the is an incentive toward excessive use. Reversing this
present estimated average of 45 percent. In several policy (i.e., charging progressively higher rates as
areas, data processing techniques are being used to greater quantities of water are used) would create
schedule times and amounts of irrigation use. Even additional incentives to improve efficiency of use.
where high individual farm efficiencies have already The Federal Government can add to the incentives
been achieved and available supply is closely matched for instituting water-savings practices by requiring
with consumptive needs (including leaching require- project planning reports to evaluate the irrigation
ments), there is opportunity for further improve- efficiency in the project area. If water supply can be
ments in efficiency by modifications in cropping increased by improving efficiency, this should be
pattern to obtain more production per unit of water evaluated as an alternative to new project construc-
consumed. There are also opportunities for increasing tion.
yields without additional water by using better crop
varieties, fertilizer, and moisture control.
The practices mentioned above are illustrative of Urban Use: Wise use of urban water supplies not only
the ways in which water use can be reduced or crop conserves water for use by more consumers, but it
yields increased in irrigated areas. Yet, it is one thing saves the cost of developing and treating new potable
to identify ways of improving irrigation efficiency supplies and reduces the volume of sewage water
and another to put them into practice. The primary which must be treated. A number of opportunities
incentive for an irrigator to make more frugal use of exist to improve efficiency in urban water use.
his water is the assurance that he will be entitled to
use of the water he saves. Unfortunately, this is not
now the case in some States. Vestiges of the Leaks, Valves, and Meters Municipal water
appurtenance doctrine still remain, i.e., the irrigator is supplies are now depleted to some extent by leaks in
limited in his water use to the parcel of land for the distribution system and by defective connections,
which the right was initially acquired. Where this is valves, and fixtures, particularly in older systems.' 69
so, the irrigator has little incentive to improve the Control progra 'ms which detect and correct significant
efficiency of his application or to reduce losses in his 'leaks are clearly desirable.
transmission facilities.' 61 So long as his present Many cities do not meter water use by individual
water right yields sufficient water for his original consumers and accordingly have no way of measuring
tract, he will not make improvements to save water water use and charging for the amount consumed.
that he cannot use elsewhere or sell to others. It Without such charges there. is no financial incentive
would be an important step forward if the States for consumers to avoid excessive use. While it might
would review their water law doctrines and remove not be feasible for all cities to install meters in all
legal impediments to water-savings practices. In addi- existing residences and other housing developments,
tion, the States should establish procedures for it is advisable for each city not having meters to
acquisition of rights in salvaged water. If irrigators do review the benefits which might be derived from such
not desire to use water they save, they should be installation.' 70
allowed to sell it, so that an incentive is created for Most cities would probably benefit from the
improving efficiency when the value of water exceeds installation of meters in all new water connections.
the cost of saving it. Experience has shown that meter installations result
Where irrigators are charged either a flat rate for all in reduced water use. There is also some evidence that
units of water used or progressively lower rates per subsequent per capita use over the long run remains
unit as more and more units of water are used, there close to the reduced level, so long as individual

"'HOWE, Charles W et al., Resources for the Future, Inc.
168salt River Valley Water Users'Association v. Kovacovich, (1971). Future Water Demands, prepared for the Na-
3 Ariz. App. 28, 411 P.2d 201 (1966). An irrigator tional Water Commission. National Technical Informa-
reduced transmission losses by eradicating weeds along tion Service, Springfield, Va., Accession No. PB 197 877.
his ditch and by lining it. The court refused to allow use pp. 31-43.
of the water thus salvaged on other land owned by the
irrigator although there was no proof that other users 'See Chapter 7, Section C, for further discussion of pricing
would be injured. municipal water.

302

consumption is measured and charges are imposed for market and are not unduly expensive. Shower,
the amount of water consumed. 171 lavatory, and sink fittings with built-in flow regula-
tors and valves can reduce water use. It has been
Pricing Policies - Most cities assess a flat charge for estimated that the average shower requires 35 to 40
the first units of water consumed, and then assess gallons of water, and that automatic flow regulation
progressively lower charges per unit as more water is would reduce this use by about 50 percent. Toilet
consumed. The result is that the more water used, the fixtures are available which reduce the amount of
cheaper the average unit price becomes; hence, there water used for each flush by more than one-half
is little incentive to avoid excessive use. If the pricing (from about 8 gallons to less than 4), an important
policy were reversed, so that higher charges per unit savings, inasmuch as toilets account for about 45
were assessed as more unit's were consumed, there percent of all the water used in the average house-
would be a financial penalty for excessive consump- hold. Dishwashers and clothes washers are being
tion and an incentive for individual conservation. redesigned to reduce substantially the rinse waters
Efficiency would also be improved by pricing policies now required. And garbage disposal units are being
which charged more at times of peak demand and less developed which do not use water as now required by
at times of slack demand. most kitchen disposal units. As a general observation,
Moreover, there should be no subsidy. Municipal- recent studies have shown that appliances and fix-
ities should charge high enough rates for water tures now available can reduce total water use in the
consumption and for sewage disposal to amortize at average household by as much as 35 percent, and
least the municipal share of investment in the savings for commercial and business establishments
facilities required to provide those services, and to can be as high as SO percent.' 7'
pay all operation and maintenance costs. If water and sewage charges do not prove to be
Because of a large accumulated backlog of unbuilt adequate incentives to encourage consumers to install
but urgently needed sewage treatment facilities water-saving appliances and fixtures, cities might
throughout the country, the Commission recognizes well consider revising their municipal plumbing codes
the desirability for substantial Federal assistance to require installation of certain of these devices for
grants to construct sewage disposal facilities. Over the all new construction, or whenever specified apph-
long run, however, the Commission believes that the ances or fixtures are replaced in existing households.
guiding principle should be that municipal water users
pay the full costs of both water supply and sewage Sequencing Uses and Reducing Peak Loads - As a
disposal.' part of municipal water management an effort
should be made to arrange a sequence of uses and
Fixtures and Appliances - Plumbing fixtures have reuses where possible, since treated residential ef-
been designed to reduce water use without causing fluent might adequately serve certain industrial
inconvenience to the consumer, These are on the requirements as well as irrigation of parks and golf
courses. Further, sprinkling irrigation of parks and
171 Some have hypothesized that reduced water use, which golf courses, as well as private lawns and gardens,
follows a switchover from flat rates to metered charges, is could profitably be scheduled for offpeak nighttime
short-lived; that subsequent consumption levels gradually periods. This utilizes system capacity during periods
rise to approximate the level of use prior to meter of low use, rather than at times of heavy user
installation. This has not been proved. The experience of demand, an efficiency which might permit post-
Boulder, Colorado, illustrates the reverse. There, meter ponement or avoidance of new investments in addi-
installation caused average domestic use to drop tional reservoir or ipeline capacity.
36 percent and lawn sprinkling more than 50 percent P
(corrected for weather conditions). Subsequent water
consumption over a 6-year period revealed no significant Public Relations Programs to Stress Wise Use -
return to the higher pre-meter level of use. Only 1.7 Finally, by means of a public relations program, cities
percent of householders interviewed said meters had should encourage consumers to exercise intelligence
given them no incentive to reduce their water use. in water use, rather than emphasize the availability of
HANKE SH & BOLAND JJ (November 1971). Water
requirements or water demands? Journal American Water
Works Association 63(11):677-681. 173 GRUBISICH, Thomas (December 9, 1971). Water-saving
1 7 1. See Chapter 7, Section C, Pricing as a Means of Motivating devices flow onto market. Washington Post. pp. K-1,
Better Use. K-10.

303

4
'4@

a
_v,
,
4A
_47 'JUIRI,
f , V@

K
M

Side-roll sprinkler system irrigation

water to perform household chores. Consumers may justified. For example, recent technological advances
be expected to respond once they are made aware of have permitted the steel industry to reduce water
the water charges they pay and of the costs of requirements by 90 percent in water-short areas.
developing new supplies and installing additional Perhaps the greatest saving can be achieved by reuse
sewage treatment facilities. of cooling water, which accounts for about 67
percent of all industrial withdrawals, That subject is
Industrial Use: Consumptive use of water by industry discussed in the next section.
is small relative to consumption by agriculture and
municipalities. While industrial withdrawals (exclud- CONCLUSIONS
ing thermal electric cooling and mining) exceed
municipal withdrawals by 50 percent, industrial Substantial savings can be made through improved
7-" -_ AA , "

consumption is about half of municipal. Thus, the efficiency in the use of water for irrigation. The
savings in industrial water use are not likely to be Commission was impressed by the University of
large in absolute terms. Nevertheless, where there is Arizona's demonstration of trickle irrigation in an
scarcity, some saving practices may be economically enclosed environment system at Puerto Penasco, on

304

the Gulf of California in Sonora, Mexico. This is a RECOMMENDATIONS
costly system, but it can show the way toward vast
improvements in irrigation water use in the future. Irrigation Use
Other and less exotic opportunities for improved
efficiency abound. For example, a statement sub- 7-55. The States . in water-short regions should
mitted to the Commission by the Utah-Idaho Sugar enforce existing laws to limit water use to
Company at its public conference in Spokane indi- beneficial need, and thus prevent wasteful
cates that that company achieved substantial re- Application of water and unreasonable trans-
ductions in water use when it switched in the early mission losses.
1960's from gravity-flow irrigation to sprinkler irriga- 7-56. The appropriation States should quantify
tion on its Osgood Project in Southeastern Idaho. The "beneficial need" and "reasonable efficiency"
U-1 Osgood Project consists of approximately 6,000 for particular areas in order to reduce water
acres of irrigated land and is not a Federal Reclama- waste.
tion project. Prior to the change to sprinkler irriga- 7-57. States in water-short areas should adopt doc-
tion, the Commission was told, the project had been trines and procedures to encourage voluntary
"water hungry." After the change, which included actions to improve efficiency of water use.
squaring up fields and other modernizations, an Specifically, rights should be created in sal-
additional 1,000 acres of land could be put under vaged water, and the rights should be freely
irrigation and the usage of water per acre for transferable to other uses and users, subject
irrigating crops was cut in half. only to the limitation that rights of others
It must not be assumed, however, that all irrigation should not be injured.
water in excess of consumptive use is lost to the 7,58. Irrigation water rate structures should be
system. In many cases, perhaps most cases, the water designed to encourage efficient, rather than
is returned to the streams as streamflow or serves to excessive, water use.
recharge ground water. Some excess water is needed 7-59. Water supply projects should not be author-
in almost all irrigated areas to leach salts from the ized by the Congress until evaluations are
soil. But in those cases where the return flow reaches made with respect to the efficiency of use of
the ocean or a saline lake, either as surface or ground presently developed supplies in proposed
water, improved efficiency can save water for other project areas, and until a report is made on
uses. the prospects and desirability of satisfying
In most cases, what is lost through poor efficiency existing shortages in any particular area by
is water in storage which may prove a useful reserve water-savings practices in lieu of further
against subsequent drought, or the value of the water project development.
by reason of location, timing, or quality. The return
flows will occur farther downstream where there may
be less favorable options for use. The return flows Urban Use
will occur later-sometimes several months later-
when the water may be less valuable. The return 7-60. Effective leak control programs should be
flows will also contain more salts which may diminish instituted and meters to measure individual
their utility. Finally, if the excess water is added to water use should be installed by water supply
the ground water, costs will be incurred in pumping it agencies in urban areas.
to the surface for use. Thus, while improved effi- 7-61. Water prices and sewer charges for individual
ciency may not "save" large quantities of water, it service should be set at levels which fully
may protect the value of the water. Each basin poses cover the costs of amortizing and operating
its own special conditions and the values gained from the facilities necessary to provide these
better management must be determined by a study of services, and a municipal water supply rate
each basin. structure should be adopted which encourages
The Commission believes that a number of useful intelligent, rather than excessive, water use.
steps can be taken to achieve water savings and has 7-62. Amendments to plumbing codes should be
prepared specific recommendations on irrigation and adopted, requiring the installation of water-
municipal use. saving fixtures and appliances in all new

305

construction, and whenever existing water- water-demand periods to conserve reservoir
using appliances or fixtures are replaced. and pipeline capacity.
7-63. The water supply should be managed to
accommodate sequential uses of water, such 7-64. A public relations program should be con-
as using effluent from treatment plants for ducted to encourage wise water use, pointing
irrigating jarks and golf courses and for out to consumers the benefits to the city and
industrial use within the area; and irrigation its inhabitants to be realized through conserv-
uses should be timed to coincide with low ing the water supply.

---------- Section H

Reuse of Municiple and Industrial Wastewater

The National Water Commission Act requires DISCUSSION
consideration of reuse of wastewater as one of the The rate at which the Nation will move toward
alternative means of meeting future water demands. greater reuse of wastewater depends on advances in
The potential usefulness of reuse is illustrated by the treatment technology, costs, and the indirect con-
U.S. Water Resources Council's projections on wifh- sequences of more stringent water pollution controls.
drawals and returns. For example, in 1980 it is Present treatment technology is already adequate to
projected that municipalities will withdraw 34 billion permit reuses of municipal effluents for purposes not
gallons per day (b.g.d.) and return 23 b.g.d., or about involving human consumption. In several localities,
68 percent. Industry (not including mining and municipal wastewater is being treated and recycled
thermal-electric cooling uses) is expected in that year directly into a system for reuse for industrial,
to withdraw 55 b.g.d. and return 50 b.g.d., or about
91 percent.' 14 While the absolute quantity of with- recreational, and ground water recharge purposes.
drawals is expected to increase substantially by the With respect to industrial effluents, many of the
year 2000, the percentage of returns from with- changes in treatment which would be required for
drawals remains about the same for both municipali- direct reuse of such wastewater for industrial pur-
ties and industries. poses will be required in any event by higher water
This section considers the technological, econornic, quality standards. Direct reuse of industrial effluents
and managerial problems of reuse. It should be will become progressively more attractive, therefore,
recognized at the outset that reuse occurs at the not because the objective is reuse but because
present time and that the discussion is directed pollution control will produce that spillover benefit.
toward its expansion. One-third of the Nation's In the absence of compulsion, however, the con-
population currently depends on municipal with- trolling factor in direct reuse of wastewater for
drawals from streams containing, on the average, I industrial purposes, naturally enough, is the cost of
gallon of previously used water out of 30 gallons of alternative sources of supply. At present, most
flow. In some cases, as much as 1 gallon out of 5 of alternative sources of water are less costly than either
171 direct or indirect reuse .176 There has thus been little
municipal water supply has been used before.
Ordinarly, these supplies have received only conven- economic incentive to bring about a higher degree of
tional purification treatment. reuse. However, as costs of alternative supplies rise or
as quality of wastewater improves, direct industrial
174U.S. WATER RESOURCES COUNCIL (1968). The reuse should increase materially. When it does, much
Nation's Water Resources. U.S. Government Printing 17 6 Direct reuse, as indicated, is made by the first user, who
Office, Washington, D.C. pp. 4-1, 4-2-4. recycles the water through the same system after suitable
"'GAVIS, Jerome (1971). Wastewater Reuse, prepared for treatment. Indirect reuse occurs when effluent is dis-
the National Water Commission. National Technical charged into a water body by the first user, diluted by
Information Service, Springfield, Va., Accession No. PB natural forces, and then withdrawn, treated (if neces-
201535. p. 1. sary), and used by others.

306

of the water supply which industry would otherwise described: primary treatment, secondary treatment,
use, can be released for other purposes, including and advanced treatment. 178
human consumption, thus, in effect, increasing the Primary treatment consists of ordinary sedimenta-
supply of water available for potable use. tion. This process of allowing materials to settle to
The prospects for direct reuse of municipal efflu- the bottom of wastewater removes about 90 percent
ent for human consumption depend both upon of settleable solids in raw sewage and from 40 to 76
technology and public acceptance. Existing treatment percent of suspended solids.
technology can produce water that meets current Secondary treatment oxidizes organic matter in
Federal drinking water standards in terms of physical, sewage through bacterial action. The most common
chemical, and bacteriological criteria. However, those methods are the "trickling filter" and "activated
standards were not designed for application to muni- sludge" processes which typically reduce suspended
cipal wastewater effluents that are recycled and solids to from 10 to 20 percent of the original
reused again by human beings. They do not take into amount. These processes can be designed to remove
account possible toxic ingredients sometimes found 90 percent of biodegradable organics (which, unless
in wastewater. As a result, some public health groups removed, consume large quantities of oxygen), 60
are concerned about (1) possible viral hazards and percent of nonbio degradable organics, 50 percent of
(2) trace amounts of new chemicals for which pos- the nitrogen compounds, 30 percent of the phos-
sible adverse health effects are not now predictable. phorous compounds, and over 99 percent of patho-
These concerns stern both from the unpredictability genic (disease -producing) bacteria and viruses.
of effects of reuse for human consumption and from Advanced waste treatment, which for the purpose
the great difficulty of proper monitoring and opera- of this report is defined to include all types of
tion of waste treatment facilities. At present, most treatment above secondary, removes one or more of
sewage treatment plants are susceptible to break- the following impurities which usually remain in
down. Presumably, proper design for contingencies, effluent after secondary treatment:
similar to those for water treatment plants, will be (a) The remaining suspended and colloidal solids.
necessary if direct reuse for human consumption is to (b) Plant nutrients, principally phosphorous and
become a reality.' " If and when these public health nitrogen compounds.
concerns are mitigated by further research, large-scale (c) Organic matter, such as pesticides and the
direct reuse of wastewater for human consumption products of bacterial metabolism that are
will become a distinct possibility. I resistent to biological treatment.
(d) Dissolved mineral matter.
No advanced treatment process has yet been
Reclaiming Wastewater devised to remove all contaminants in a single step at
reasonable costs. Several desalting processes remove
Types of Treatment: The treatment of wastewater for most pollutants except some of the pathogenic
reuse may differ depending on whether the reuse is organisms, but currently these processes are not
for industrial or municipal purposes. Moreover, the competitive in cost with other treatment processes.
treatment of wastewater from industrial plants is Moreover, some desalting processes have additional
highly situation -oriented, being dependent on the problems such as fouling with biological slime. One
manufacturing processes used. For some industrial "desalting" technique, the reverse osmosis process,
plants, the municipal treatment techniques are satis- offers some hope of becoming competitive if the
factory. For other industrial plants, technology must membranes, through which wastewaters in this
be improved or industrial processes changed to meet process are forced, are sufficiently improved. 179
water quality standards now in effect or soon to be
imposed.
Treatment of municipal wastewater usually in- 178FAIR GM et al. (1968). Water and Wastewater Engi-
volves sequential phases, each designed to remove neering. John Wiley & Sons, Inc., New York. pp. 36-6,
specific types of pollutants. Three phases will be 36-7.
GAVIS, Jerome (197 1). Wastewater Reuse, prepared for
the National Water Commission. National Technical
177JOPLING WF et al. (October 1971). Fitness needs for Information Service, Springfield, Va., Accession No. PB
wastewater reclamation plants. Journal American Water 201535. p. 45. See generally Chapter 9, Section B, of
Works Association 63(10):626-629. this report on Desalting.

307

A.
L

Picklingfilter at secondary treatment plant, Des Moines, Iowa

The current state of the art of advanced waste- appropriate step is extension of secondary treatment
water treatment has been based largely on further and the addition of advanced treatment processes to
treatment of effluent from conventional secondary known secondary treatment processes rather than
treatment plants; however, only 43 percent of the devising new processes for combining secondary and
Nation's population is currently served by secondary advanced treatment.
treatment facilities.' 8 0 Accordingly, most water pol-
lution control programs have assumed that the next Costs of Treatment:' 81 The advanced treatment
processes described below would have to be em-
18 0 U.S. FEDERAL WATER QUALITY ADMINISTRATION
(1970). Municipal Waste Facilities in the United States. "'Based on GAVIS, Jerome (1971). Wastewater Reuse,
Statistical Summary, 1968 Inventory, FWQA Publication prepared for the National Water Commission. National
No. CWT-6. U.S. Government Printing Office, Washing- Technical Information Service, Springfield, Va., Acces-
ton, D.C. p. 35. sion No. PB 201535.

308

ployed if large-scale reuse is contemplated in areas m.g.d. plant.' 13 The reverse osmosis process can also
which already have secondary treatment facilities. be used to remove minerals.

Solids - The residual solids that remain in waste- Pathogens and Viruses - Pathogenic bacteria can
water after secondary treatment can be removed by be removed from wastewater safely by chlorination at
any of several filtration methods at the relatively low a cost of less than I cent per 1,000 gallons. Viruses
cost of from 1 to 2 cents per 1,000 gallons. Filtration are removed in large part by secondary and advanced
would also remove biodegradable organic impurities. treatment processes but there is argument as to the
degree of hazard remaining after such treatment.
Nutrients - Phosphorous compounds can be satis- Most scientists counsel caution. They assert it has not
factorily reduced by chemical processes at a cost of yet been proven that treatment processes render
about 14 cents per 1,000 gallons for a plant of 10 wastewater free from viral hazard. On the other hand,
million gallons per day (m.g.d.) and for 8-1/2 cents some sanitary engineers and health officials believe
per 1,000 gallons in a 100 m.g.d. plant (including that it may be impossible to "prove" the absence of
debt service in both instances). Remaining suspended every conceivable hazard in any source of water
solids are removed at the same time. supply. They express the opinion that the risk of
The need for removal of nitrogen compounds is virological hazard in reuse of wastewater that has
not established, and the state of the art for such undergone advanced treatment is so low as not to
removal is not yet well developed. Indications are merit any significant public health concern. However,
that removal of nitrogen compounds could increase until further research settles the difference of opin-
nutrient removal costs by 40 percent. ion, prudence suggests that direct reuse of municipal
Recent laboratory investigations indicate the pos- wastewater for domestic consumption be avoided.
sibility of removing nutrients at the primary treat- Table 7-5 shows approximate 1967 costs of the
ment step by adding chemical processes at that time, various stages of secondary and advanced waste
and then moving on to a secondary treatment treatment, based on a variety of sources. The costs
process. Overall costs would probably be considerably presented are believed to represent the best estimates
less than by following the conventional treatment available. They are necessarily generalized -both
processes in normal succession. 181 capital and unit treatment costs will vary widely in
different parts of the country and in specific situa-
Nonbiodegradable Organics - These organic mater- tions, depending particularly on the concentration of
ials, including some that degrade very slowly, can be pollutants in the influent and the proportion of
reduced to the very low concentrations present in pollutants removed.
natural water supplies through adsorption (adhesion Table 7-5 demonstrates very significant economies
of substances to a surface) by activated carbon. The of scale in secondary and advanced waste treatment
cost range approximates 10 cents to 7 cents per 1,000 (i.e., unit cost reductions which are associated with
gallons for a 10 m.g.d. and a 100 m.g.d. plant, increasing sizes of treatment plants). The use of
respectively. large-sized treatment plants, possibly serving several
communities within a single regional system, will
Minerals - Characteristically, on a once-through greatly reduce the per unit costs of water reclamation
basis, about 350 parts per million (p.p.m.) of dis- if collection and transmission costs are not excessive.
solved minerals are added to municipal water supplies
between initial intake and ultimate discharge. Thus, Net Costs for Reuse: The treatment cost estimates for
in continuous recycling, removal of this increment reuse described above and in Table 7-5 are gross
will be necessary once in each cycle in order to limit rather than net figures. In reality, the economic
dissolved minerals to the maximum SOO p.p.m. potential of reuse is enhanced by recognizing that
recommended by the U.S. Public Health Service's advanced wastewater treatment simultaneously
drinking water standards. This can be done by the accomplishes two purposes: (1) it reduces water
process of electrodialysis for a cost estimated to be in pollution and (2) it increases the usefulness of exist-
the order of 12 cents per 1,000 gallons for a 10
1 8 3BRUNNER CA (October 1967). Pilot-plant experiences
""SCHMID LA & McKINNEY RE (July 1969). Phosphate in dernineralization of secondary effluent using electro-
removal by a lime-biological treatment scheme. Journal dialysis. Journal Water Pollution Control Federation
Water Pollution Control Federation 41(7):125 9-127 6. 39(10):Rl.

309

TABLE 7-5-Approximate costs of secondary and advanced treatment'
(June, 1967 Cost Levels)

Costs of Advanced Treatment Processes in
Addition to Costs of Secondary Treatment

Removal of nutrients
Nutrient removal Removal of nutrients & nonbiodegradabte
Secondary (including suspended plus nonbiodegrad- organic plus
Treatment3 solidS)a 2 3 able organics 2 demineralization b 2

Total Total Total Total
Unit Unit Unit Unit
Treat- Treat- Treat- Treat-
Capacity Capital ment Capital merit Capital ment Capital ment
of Costs costs' Costs costs' Costs Costsc Costs Costsc
Plant ($Mfl- (4/1000) ($Mil- (0/1000) ($Mil- (0/1000) ($Mil- (0/1000)
(m-g.d.) lion) gal) lion) gal) lion) gal) lion) gal)

1 0.54 19 0.43 26.8 0.81 58 - -
10 3.2 11 1.8 14.0 3.4 24 6.8 36
100 20 6.5 10.9 8.6 26 15.6 - -

aCosts based on air stripping. If biological nitrification-dentrification is required, as is presently indicated, the costs would
undoubtedly be greater. Costs of this process are not currently available, but some researchers have expressed the view that its
use could raise the total cost of nutrient removal by as much as 40 percent.
bBased on assumed mineral concentration of 850 p.p.rn. in effluent, reduced to 500 p.p.m. (drinking water standard), thus
providing for one cycle of reuse. Costs of brine disposal, which may be substantial, are not included in above dernineralization
costs because of variability between sites.
cIncludes operation and maintenance and interest and amortization on capital investment (at 4.5 percent interest Qver 25
years for comparative purposes only; not intended as a recommendation for financing assumption).

Sources of Cost Data:
'GAVIS, Jerome (1971). Wastewater Reuse, prepared for the National Water Commission. P13 201 5 35, National Technical
Information Service, Springfield, Va.
'SMITH, Robert & McMICHAEL, Walter F (1969). Cost and Performance Estimates for Tertiary Wastewater Treating
Processes, prepared for the Federal Water Pollution Control Administration. Report No. TWRC-9, Robert A. Taft Water
Research Center, Cincinnati, 0.
'SMITH R (September 1968). Cost of conventional and advanced treatment of wastewater. Journal Water Pollution Control
Federation 40(9):1546-1574.

ing water supplies for reuse. To the extent that the benefit to be derived from wastewater treatment.
first purpose is required anyway, the incremental or Many municipalities and industries are currently
marginal costs of the second purpose are significantly under administrative or judicial orders to undertake
reduced. specific levels of wastewater treatment to meet water
Interestingly enough, current support for waste quality standards. The Nation has made serious and
treatment is derived more from the public's attitude substantial commitments for some of the necessary
toward water pollution (because of its offensive expenditures. The result in many instances will be
nature esthetically and its impairment to aquatic life effluents which approach the quality of an alternative
and recreational Opportunities) than from the desire fresh water supply. If the "no discharge" goal of the
to conserve water supplies by reuse. The spillover 1972 amendments to the Federal Water Pollution
benefit of increasing the usefulness of available water Control Act is achieved the quality of the effluent
resources from water cleanup programs has not yet discharge would exceed that of Most "natural" water
been fully recognized. Yet in the long run, increased supplies. Even with far less stringent requirements,
use of reclaimed water could prove to be the greatest however, the opportunity exists to combine the

310

national commitment for pollution control with (a) By 1980, continuous reuse by manufacturers
whatever additional treatment may be necessary to of only 20 percent of the projected total of
make effluents suitable for reuse. 73 billion gallons per day (b.g.d.) of munici-
What then would be the net cost of waste pal and manufacturing effluents would com-
treatment for reuse? Many of the processes used in pletely satisfy the projected 1965-1980 in-
waste treatment for reuse are also used, to varying crease in water withdrawals for manufactur-
degrees, in the treatment of alternative sources of ing (15 b.g.d.), without d 'evelopment of any
water supply with which reuse must be compared. additional industrial water supply. Reuse by
Hence, the net costs of treatment for reuse, when industry of an additional 14 percent of
compared with other alternatives, could be appreci- municipal and manufacturing effluents in
ably different from, and probably less than the total 1980 would release enough potable water
cost of treatment shown in Table 7-5. If the from manufacturing use to meet the
alternative supply source also includes treatment, as 1965-1980 growth in municipal water with-
often it does, the cost of such treatment would be drawal needs as well.
common to both the alternative and to reuse, and (b) By 2020, industrial reuse of 54 percent of
would serve to reduce cost differences between the total municipal and manufacturing effluents
two. Also, of course, any costs of conveyance to would meet the entire projected increase in
bring both the reuse supply and the alternative source industrial water withdrawals.
to a common point for distribution must be include 'd. (c) By 2020, projected growth in municipal
The true direct net cost of treatment for reuse can withdrawals could be met by a reuse of an
be expressed as follows: additional 33 percent of municipal and manu-
(1) The cost of advanced treatment to make facturing effluents. Adding this to the 54
wastewater suitable for reuse, percent referred to in (b) above would
(2) minus the cost of pollution control treatment involve a total reuse of 87 percent of munici-
measures otherwise necessary to achieve pal and manufacturing effluents and obviate
water quality standards, the need for any additional water supply. To
(3) minus the cost of water treatment of the accomplish this, some of the growth in
supply being considered as an alternative to municipal use would have to be supplied by
reuse, reuse of municipal wastewater and, therefore,
(4) plus or minus the difference in conveyance would depend upon solution of possible
costs between the reusable supply and its public health problems previously men-
alternative, including allowance for the cost tio ne d.' 8 5
of separate supply lines if reuse is contem- 18sit is imp ortant to note that the potential reuse specified
plated for industrial water supply only. in (a) and (b) is not dependent upon resolving health
problems (except to the extent that some industries, such
The Potential of Wastewater Reuse as the food industry, produce products directly or
The projections made by the Water Resources indirectly associated with consumption by humans).
Another possibility that is seriously advocated is for
Council indicate that future withdrawals of water by dual water supply systems. One system would provide
municipal and manufacturing users will increase conventional supplies for uses involving human consump-
significantly above present levels and, since only a tion and the second would supply treated effluents for all
portion of the water withdrawn is actually consumed, other uses. Estimates have been made that acceptable
future returns of used water to water bodies will also dual systems might be provided to new urban areas for
about 20 percent higher cost than for a single supply
increase markedly. To the extent that water supplies system. See OKUN DA & McJUNKIN FE (1971).
are limited, the desirability of reuse will expand. Feasibility of Dual Water Supply Systems, paper pre-
Some observations regarding the potential of reuse in sented at the 7th Annual American Water Resources
helping to meet the Nation's water requirements will Association Meeting, October 1971. Unpublished. If
provide perspective: 1 8 4 proven to be justified, such systems would allow a vast
increase in direct reuse without the health concerns
expressed previously. Using such dual supply systems, the
increases in both industrial and municipal withdrawals by
"Figures are based on U.S. WATER RESOURCES COUN- 2020, as estimated by the Water Resources Council,
CIL (1968). The Nation's Water Resources. U.S. Govern- could be fully supplied without direct reuse for human
ment Printing Office, Washington, D.C. pp. 4-1, 4-2-5. consumption.

311

It should be emphasized that the degrees of reuse Other similar projects are planned. At the Whittier
indicated above are simply illustrative, representing Narrows municipal treatment plant in California,
relatively crude estimates rather than precise conclu- secondary effluent is allowed to filter through per-
sions. The Water Resources Council places consider- colating beds to recharge ground water aquifers. At
able qualification on the accuracy of its projections. Bay Park, Long Island, injection wells are recharged
Also, the projections of water use represent national with secondary -treated effluent that has been sub-
totals; it must be cautioned that future growth in uses jected to some advanced treatment, in order to
might be at locations where reuse of effluents will be reduce sea water intrusion.
difficult or impossible. Further, over two-thirds of Again, a word of caution. Ground water recharge
industrial use is expected to continue to be self- by subsurface injection of treated wastewater should
supplied (with the remainder obtained from general be accomplished only with careful controls. This is
municipal supplies). necessary to insure noncontamination of present or
The physical accomplishment of reuse will be potential drinking water supplies and to prevent other
dependent on the location o ,f effluent discharge and possible damage to the environment.
the location of reuse. (The extent of reuse will
depend also on the pricing policies adopted, both Reuse Prospects for Human Consumption: The previ-
with respect to withdrawals and with respect to ous discussion highlighted the considerable potential
discharges.) The degree of difficulty involved will that exists for reuse of treated municipal and indus-
vary widely from one locality and situation to another. trial effluents for industrial, recreational, and ground
Thus, it should be understood that the degree of water recharge purposes. In general, decisions regard-
reuse suggested in the observations above would not ing direct reuse for municipal purposes need not be
necessarily be in fact the best water management made for some time. In many instances, additional
alternative. usable water for municipal purposes can be obtained
by diverting present supplies from industry. Prospects
Some Examples: After secondary treatment, some for such diversions will be improved to the extent
reuse of municipal effluents for industrial purposes that industries reuse existing municipal and industrial
presently occurs, primarily for cooling water. The wastewater.
Bethlehem Steel plant in Baltimore uses 125 m.g.d. of Ultimately, however, decisions regarding direct
municipal effluent. The City of Colorado Springs reuse for human consumption will be necessary. The
treats about 5 m.g.d. (one-third of its wastewater) issues involved in reaching such decisions are com-
and sells it for industrial use. This has relieved plex. Comparisons of alternatives on the basis of
pressures on the municipal supply and permitted economics will be needed. Such comparisons should
delay of costly interbasin transfers of water. The City include consideration not only of conventional water
of Denver has large-scale plans for reuse. As a first supplies but of other alternatives as well, including
phase, Denver proposes to reclaim 10 m.g.d. for the dual water supply systems alluded to earlier. It
industrial reuse by 1974. By 1986, 100 m.g.d. of will also be necessary to conduct the research,
reclaimed water is expected to be available. By the assemble the data, and establish the criteria and
year 2000, or soon thereafter, Denver expects to standards which will be needed by public health
supply 25 percent of its water needs by reuse. officials to assure that reuse of treated wastewater for
Advanced waste treatment for reuse will greatly intimate human contact is safe.
increase the sludge disposal problem. However, the As indicated earlier, large-scale indirect reuse of
problem will probably be no greater than would previously used water -for municipal purposes (in-
occur from the combined effects of (1) a converi- cluding human consumption) already occurs in the
tional water supply treatment plant and (2) an United States. Despite this fact, public officials
alternative waste treatment plant needed for pollu- frequently go to great lengths to avoid such "indi-
tion control. rect" reuse for human consumption. Although the
Considerable potential also exists for wastewater public has not always been made aware of the
reuse for recreational and ground water recharge alternatives, it has frequently responded to the call of
purposes, with appropriate controls. Secondarym public officials by agreeing to pay more for so-called
treated municipal effluent with some degree of "pure" natural supplies. New York City, for instance,
advanced treatment provides water for several artifi- has consistently chosen more costly supplies from the
cial lakes and a swimming pool at Santee, California. Catskill Mountains, even though many observers

312

contend that plentiful lower-cost resources available made.'89 Opportunities for such conjunctive use
in the Hudson River could have been made potable. were brought to the attention of the Commission in
There has been an even greater reluctance, under- statements presented at regional public conferences
standably, to accept direct recycling of treated held in early 1973 for discussion of the review draft
wastewater for human consumption. Two emergency of this report.
instances during the 1930's where virtually direct It is technically feasible and can make good
reuse for potable water supply was practiced are economic sense to transfer water now utilized for
frequently cited. The City of Chanute, Kansas, reused irrigation to municipal use in exchange for treated
sewage effluent, diluted as much as possible by a low sewage effluent. In effect, irrigation water would first
river flow, for a period of about 2 months. Ottumwa, be cycled through municipal systems prior to reuse
Iowa, also used water during a similar period, of on farms. Where water supplies are not abundant and
which one-third to one-half was effluent from the conditions are otherwise favorable, such a system in
City of Des Moines."' There were no known adverse which sewage effluent would be exchanged for
health problems in either instance, even though ground water used for irrigation could substantially
advanced waste treatment was not used.' 87 increase the efficiency of use and convert municipal
Of more significance is the experimental arrange- effluent into a valuable water resource.
ment by Windhoek, the capital of South West Africa In such a water exchange, modestly treated sewage
(Namibia), a metropolitan area with a population Of effluent, which is an inferior water resource for
84,000. During favorabie periods when chlorine domestic use, would be allocated without further
demand of the wastewaters is not too high, Windhoek treatment to the irrigation of field and forage crops
recycles one-third of its effluent for direct reuse as not intended for direct human consumption. An
potable water supply. Prior to this reuse, the effluent equivalent or equal-value amount of pumped ground
is subjected to advanced treatment in a I m.g.d. water of high quality presently used for irrigation
plant. Direct reuse at Windhoek represents the only would be allocated instead to the municipal system (a
feasible method of meeting expanding water require- portion of which would reappear at the sewage
ments of, that area. Public acceptance has been very treatment plant for reuse on irrigated farms). Not
good.' 88 only would water supplies be reused and conserved
but the sewage disposal problem which can contri-
Sewage Effluent-irrigation Water Exchange: In and bute to an excessive concentration of nitrate in an
around some urban areas in and parts of the country, otherwise potable ground water aquifer is solved or
water is pumped from ground water aquifers not only ameliorated.
for domestic and industrial use but often for irriga- This exchange system might be applicable to many
tion as well. Concurrently, disposal of municipal metropolitan areas in or near which crops are being
wastewater must be accomplished through treatment irrigated. Some investigators. state that in many cases
and discharge in watercourses or elsewhere. Studies the savings in advanced treatment and disposal, and
of the economic, technical, legal, and environmental the value of nutrients to irrigators would offset the
feasibility of combining these operations so that the cost of conveying the exchanged waters, even over
two purposes can be served conjunctively have been considerable distances.' 9 0

U.S. CONGRESS, Senate, Select Committee on National
Water Resources (1960). Water Resources Activities in
the United States: Present and Prospective Means for '"Sde, for example, CLUFF, CB, DeCOOK, KJ &
Improved Reuse of Water, pursuant to S. Res. 48, 86th MATLOCK, WG (1971). Technical and institutional
Congress, 2d Session, Committee Print No. 30. U.S. aspects, of sewage effluent-irzigation water exchange,
Government Printing Office, Washington, D.C. p. 3. Tucson region. Water Resources Bulletin, 7:4, Journal of
'Less widely cited is the fact that, while these instances the American Water Resources Association, Urbana,
had public acceptance for general water supply, many Illinois, August 1971, pp. 726-739, And CAMPBELL,
citizens chose to use bottled water from other sources for George W (1971). Desert water exchange between town
drinking purposes. HANEY PD (February 1969). Water and country. Arizona Agri-File. Cooperative Extension
reuse for public supply. Journal American Water Works Service, University of Arizona, Tucson, June 197 1.
Association 61(3):73-78. "'CLUFF, CB & DeCOOK, KJ (1973). Communication to
'"'STANDER GJ, Director, National Institute for Water the National Water Commission from the Water Re-
Research, Pretoria South Africa (April 1970). Personal sources Research Center, University of Arizona, Tucson.
communication. January 16, 1973.

313

CONCLUSIONS necessarily be the best, course to pursue. Recent
The potential for reuse of treated municipal and experimental work in which parts of primary, second-
industrial wastewater is considerable; the prospects ary, and advanced treatment are combined offers
are encouraging. The technology of reuse already considerable promise for the future. Although this
provides important savings. Extension of the technol- combined-phase technology has already been devel-
ogy can be expected to yield significant gains in water oped and seems ready for full-scale operations, it has
conservation. The subject merits careful and serious not yet been incorporated into a full-scale plant.
consideration. RECOMMENDATIONS
Table 7-5 indicates that after secondary treatment
municipal wastewater can be brought to the chemical 7-65. The potential for reuse of wastewaters should
equivalent of drinking water quality at a cost of occupy a prominent spot in future planning
about 36 cents per 1,000 gallons for a 10 m.g.d. for overall water resources utilization.
plant. This is a relatively high cost even in areas of the 7-66. The Commission believes that direct reuse of
country where water is scarce. However, the actual water for industrial purposes and that indirect
net cost of treating for reuse could be much less reuse for purposes of human consumption
because of pollution control requirements that will be will increase. Where feasible, such indirect
imposed anyway and also because some of the reuse should be minimized by limiting waste-
advanced treatment processes involved probably will water reuse to processes that do not involve
be required for any alternative supply sources as well. human consumption. This will have the effect
This suggests that the future of advanced waste of releasing for human consumption potable
treatment, insofar as conserving water resources by water now being used by industry. However,
reuse is concerned, is very real but that the degree of previously demonstrated successes in protec-
its employment will vary from one situation to tion of public health in instances where
another depending on location, needs of the time, municipal water supplies are derived from
and type of use. Industrial direct reuse can proceed indirect reuse suggests that increases in such
on the basis of present technology, as can ground indirect reuse for human consumption should
water recharge and recreation use. Utimately, pota- not be discouraged.
ble supplies from wastewater could be and probably 7-67. In regions where a high-quality source of
will be made available for direct reuse. water is used for irrigation of cropped fields
Treatment up to and including the secondary or recreation turf areas such as golf courses
phase, or even including the relatively inexpensive and a source. of treated municipal wastewater
step of removing suspended solids, will be adequate is available, arrangements for water exchange
for many industrial uses and for such uses as golf should be considered. Nutrient-rich municipal
course irrigation. In these cases, the costs above the wastewater could be used for irrigation and
requirements for pollution control will be very small. exchanged for high-quality water which could
Reuse may have to be accompanied by some demin- be used for domestic and industrial use.
cralization in those cases where dilution with other 7-68. Direct reuse of water for human consumption
supplies fails to produce a supply adequate to the should be deferred until it is demonstrated
needs of particular uses. that virological And other possible contamina-
Removal of nutrients and suspended solids from tion does not present a significant health
wastewater has been utilized to provide water for hazard. Further knowledge on this subject is
recreational boating and fishing. Disinfection added necessary, and the Commission endorses the
to this procedure will provide water that can be used research program recommended by the Amer-
in contact with humans (in such sports as swimming ican Water Works Association, as follows:' 91
and water-skiing), provided research leads health "I. Identify the full range of contan-driants
officials to conclude there are no significant health possibly present in treated wastewaters,
hazards.
The present procedure of a continuum of treat- 191 AMERICAN WATER WORKS ASSOCIATION (October
ment steps, from lower to higher levels of treatment 1971). On the use of reclaimed wastewaters as a public
in sequence, is a logical outgrowth of existing water-supply source, AWWA policy statement. Journal
technology. However, it is not the only, nor will it American Water Works Association 63(10):609.

314
I

which might affect the safety of public ment to produce reclaimed water of
health, the palatability of the water, and reasonably uniform quality, in view of
the range of concentrations. the extreme variability in the character-
11. Determine the degree to which these istics of untreated wastewaters.
contaminants are removed by various -6. improve the capabilities of operational
types and levels of treatment. personnel."
"I Detern-dne the long-range physiological The Commission also recommends that re-
effects of continued use of reclaimed search focus on advanced treatment processes
wastewaters, with various levels of treat- that incorporate or replace secondary treat-
ment, as the partial or sole source of ment, on other methods of reducing the cost
drinking water. of advanced treatment, and on the practicabil-
"4. Define the parameters, testing proce- ity of installing and operating dual water
dures, analytical methodology, allowa- supply systems-one for human consumption
ble limits, and monitoring systems that and the other for manufacturing purposes.
should be employed with respect to the 7-69. The net cost of treatment of water for reuse
use of reclaimed wastewaters for public should be compared with the costs of such
water-supply purposes. alternative sources of water as desalting and
"5. Develop greater capability and reliabil- interbasin transfers before any such alterna-
ity of treatment processes and equip- tive is adopted.

315

'54
e A
VA, k".

k-, t; 7",

tIt

Chap ter 8
Interbasin Transf ers'

An interbasin transfer is one of many means of annually from the Snake River in Idaho at a cost
satisfying an increased demand for water in areas of estimated in 1963 at $1.4 billion ;2 another would
limited supply. Physical transfer of water from one divert 15 million acre-feet annually from the main-
watershed to another has been a common means of stream of the Columbia above The Dalles, at a cost of
augmenting supply. For example, part of New York $12.8 billion in 1964 dollars. 3 The Texas Water Plan
City's municipal supply comes from the Delaware of 1968 would divert from the Mississippi and East
Basin, Denver's from the Colorado River Basin (across Texas Rivers 17 million acre-feet for delivery as far
the Continental Divide), and Los Angeles's from the west as New Mexico at an estimated cost in excess of
Great Basin, the Colorado Basin, and the Sacramento $10 billion. An engineering consulting firm sketched
Basin. Similarly, agricultural water has been im- out a plan in 1964 for tapping Alaskan and Canadian
ported, for example, from the Colorado River Basin rivers of 110 million acre-feet annually for delivery to
into the South Platte and Arkansas Basins in the State the Great Basin, Lake Superior, Texas, and Mexico, at
of Colorado. In California, the rivers flowing out of a cost rougl-dy estimated at $ 100 billion.
the Sierra Nevada have been rerouted to the more
and parts of the Central Valley. And part of the flow THEPROBLEM
of the San Juan River in the Colorado Basin has been The Commission's charge under the National Water
diverted to the Chama River, a tributary of the Rio Commission Act is to identify "alternative ways of
Grande. meeting these [future water] requirements-giving
Proposals abound for more interbasin transfers in consideration, among other things, to ... interbasin
the future, on an even grander scale. A number of transfers. . ."' The focus here is on large-scale, inter-
plans have been devised for transferring water from state, interbasin transfers in which the Federal
the Columbia River system in the Pacific Northwest
to the Colorado River system in the Southwest. One Government has an interest both as manager of
such plan would transport 2.4 million acre-feet navigable waters and as potential financier, builder,
and operator of the project.
'This chapter is based in part on the following background By definition, an interbasin water transfer requires
studies prepared for the National Water Commission: FOX the physical transportation of water out of one river
IK (1971). Some political aspects of the relationship basin and into another. The water one area gains from
between large scale interbasin water transfers and envirori- an interbasin transfer, another area loses. Both the
mental quality, Ch. XXII in GOLDMAN, Charles R area of export and the area of import have something
Environmental Quality and Water Development. National at stake.
Technical Information Service, Springfield, Va., Accession
No. PB 207 114. JOHNSON, Ralph W (1971). Law of Consider first the area of export. Since water is a
Interbasin Transfers. National Technical Information Serv- precious natural resource and since it is difficult to
ice, Springfield, Va., Accession No. PB 202 619. MANN, foretell the quantity of water which may be put to
Dean E (1972). Interbasin Water Transfers, A Political and
Institutional Analysis. National Technical Information
Service, Springfield, Va., Accession No. PB 208 303. 'About $2.1 billion in 1972 dollars.
'About $18.6 billion in 1972 dollars.
'The National Water Commission Act, P.L. 90-515, Section
Friant-Kern Canal moves water from the Kings River 3(a), September 26, 1968, 82 Stat. 868, 42 USCA 1962a
Basin to the Kern River Basin note.

317

beneficial use in the future, areas with surplus waters Harbors Act,6 which prohibited the creation of
today are understandably apprehensive about irrevo- obstacles to the navigable capacity of waters subject
cably committing their present surpluses for export to the jurisdiction of the United States. The power to
to other areas. order a transfer was confirmed in 1963 by Arizona v.
Areas of water shortage, on the other hand, look California7 in which the Supreme Court construed
with longing at areas with water surpluses where large and held constitutional the Boulder Canyon Project
amounts appear to flow more or less unused to the Act' (under which Hoover Dam was built) to
sea. The intensity of desire is amplified at the authorize the Secretary of the Interior to impound 30
prospect that part of the expensive water transmis- million acre-feet of water and deliver it pursuant to
sion works required to effect interbasin transfers contract on Federal terms irrespective of State law.
might be built by the Federal Government at the Among other contracts upheld by the decision was
expense of the general taxpayer so that imported that between the Secretary and the Metropolitan
water can be delivered at prices below the costs of Water District of Southern California (which em-
delivery. braces the City of Los Angeles) providing for an
With one area (the area of origin) alarmed about interbasin transfer of Colorado River water.
the possibilities of relinquishing a presently surplus It is true that the Supreme Court has not yet
but potentially useful supply of water and another considered (for Congress has not yet authorized) a
area enthusiastic about relieving acute water shortages transfer from a river basin in one State to a different
(perhaps at a price which fails to recover all costs), it basin in another State where the source river does not
is understandable why the topic of interbasin trans- cross or form the border of the two States. However,
fers generates passion and no small number of if Congress should authorize such a transfer, it is
problems. likely that the Supreme Court would uphold it, and
It is these problems-legal, econornic, social, and would do so regardless of the lack of consent of the
environmental -to which this chapter addresses itself. State of origin.9
To properly evaluate interbasin transfers it is neces- The questions to be addressed, then, are not those
sary to examine the legal framework in which they of congressional power, of separation of powers of
may be undertaken, the ways of protecting areas of the legislative andjudicial branches, or of distribution
origin, the economics of such transfers, their social of power between the Federal Government and the
and environmental implications, the criteria which States. The questions are only those of policy about
should be used to plan and evaluate them, and the how, if it has a mind to, Congress should exercise its
institutional arrangements needed to insure that Con- power.
gress, the ultimate decisionmaker, has before it
accurate and unadorned facts as to the social and
economic benefits and costs of proposed interbasin
transfers. 'Rivers and Harbors Appropriation Act of 1890, September
19, 1890, c. 907 Section 10, 26 Stat. 426, 454, 33 USCA
DISCUSSION Section 403 note.
Legal Framework 'Arizona v. California, 373 U.S. 546 (1963).
'Act of December 21, 1928, P.L. 642, 70th Congress, 45
Under the Commerce Clause of the Constitution, Stat. 1057, as amended, 43 USCA 617.
Congress has the ultimate authority over the navi- In commenting on the inapplicability of the Court-created
gable streams of. the Nation. It seems clear that doctrine of "equitable apportionment" in Arizona v.
congressional power extends to any body of water California, Mr. Justice Black stated: "It is true that the
that would be considered a suitable source for an Court has used the doctrine of equitable apportionment to
interstate, interbasin transfer. Congress has power decide river controversies between States. But in those
cases Congress had not made any statutory apportionment.
both to forbid and to require a transfer. The power to In this case, we have decided that Congress has provided its
prohibit has been clear at least since 1899,when the own method for allocating among the Lower Basin States
U.S. Supreme Court in United States v. Rio Grande the mainstream water to which they are entitled under the
Dam and Irr. Co.' upheld the 1890 Rivers and Compact. Where Congress has so exercised its constitu-
tional power over waters, courts have no power to
substitute their own notions of an 'equitable apportion-
United States, v. Rio Grande Dam and Irr. Co., 174 U.S. ment' for the apportionment chosen by Congress." 373
690(1899). U.S. at 565-66 (footnote omitted).

318

Social and Environmental Considerations available for producing goods and services in the
There is no difference in kind between interbasin economic sector.
transfers and any other water development project, so The political process has already produced sub-
far as social, environmental, or economic values are stantive and procedural laws on environmental pro-
concerned. But there is a difference in degree where tection. Water quality legislation is an example of the
the interbasin transfer is a large-scale project diverting former, the National Environmental Policy Act of the
water from one State to another. The investment is latter. Existing environmental policies and the Com-
usually bigger, the effect on the environment is mission's recommendations for further environmental
usually greater, and concern in the area of origin is legislation, discussed in other chapters, are as fully
usually more acute. applicable to interbasin transfers-no more and no
It is unlikely that any major interbasin transfer will less-as to other forms of water development, except
be proposed that will require for its supply the for the admonition that the environmental evalua-
condemnation of vested water rights (i.e., water tion of a major interbasin transfer should be prepared
which at present is legally diverted for private with special care in view of the potentially greater
beneficial use). The cost of indemnification and environmental impact implicit in development of
political opposition will probably preclude it. But larger projects.
there are large volumes of water, 'not subject to Economic Considerations
private rights, serving purposes desired by the public-
or at least parts of the public-which could be a The economics of interbasin transfers should be
practical source of supply for interbasin transfers. considered from both national and regional points of
The public purposes served by these potentially view. With respect to national economic develop-
transferable supplies include fish and game propaga- ment, the economic criteria which should govern
tion, maintenance of ecological balance, water-based planning and evaluation of interbasin transfers should
recreation, and scenic amenities. be explored. With respect to regional economic
The Commission recognizes and values efforts to development, an assessment should be made, among
quantify these public preferences but doubts that other things, of the use of interbasin transfers as a
during the useful life of this report acceptable means of economic rescue for areas whose use of
numbers can be developed. For the present and the water is depleting underground supplies.
foreseeable future, it appears that social preferences
regarding water amenities will be expressed through National Economic Development: Water resources are
the political process. Some seek to develop water an important factor in economic production. Abun-
resources; others seek to preserve water from being dant water supplies of suitable quality are a vital
diverted, consumed, or degraded. These desires will component for much of the Nation's industrial and
be expressed in political action, as they have been in agricultural production. The central economic issue
the past, and, as a result, some portion of the with respect to nonlabor resources, including water, is
Nation's water resources will be precluded from not only whether they are being fully employed but
developmental use." The Commission does not whether they are being employed in their most pro-
presume to offer suggestions about how much water ductive uses, where they can yield the greatest return to
this should be. The people will decide that question society.
through their elected representatives. It need only be Whether or not water resources are being allocated
noted that the ultimate authority resides in Congress, to their most productive uses and whether or not the
whose power over water is as broad as the Commerce allocation mechanism is sufficiently flexible as to be
Clause itself. capable of adjustment to the most productive uses of
Thus, when the economic criteria that should tomorrow are important considerations.
govern an interbasin transfer are discussed in the next Water differs from other resources in that to a large
section, water which society has decided should be extent its allocation among different uses is made
precluded from developmental activity is not con- outside a market price system. Legal and administra-
sidered. What is considered is water that remains tive institutions, based more often than not on
tradition rather than economic efficiency, play a
"For example, the Wild and Scenic RiversAct, P.L. 90-542, basic role in water allocation. Therefore, public
October 2, 1968, 82 Stat. 906, as amended, 16 USCA policy must be relied upon to be a major determinant
127 1 et seq. in the flexible allocation of water resources to achieve

319

improved patterns of productive uses. Public in- tion. Two basic points of the "least-cost alternative"
centive systems such as regulation, pricing, cost- criterion are that (1) the calculation of costs of
sharing, and taxation can and do play important roles alternatives should be made on one, uniform, con-
in this process. sistent basis and (2) A social costs should be included
Major interbasin transfers of water supplies are one in the evaluation."
potential means for moving water from low-value uses The second criterion requires that benefits exceed
to more productive uses. From an economic stand- costs, that the value of the interbasin transfer water
point it does not matter whether water is moved from in the new uses in the importing region be greater
one point in a basin to another or from one basin to than the value of the water in the old uses (including
another. In either event, what is sought is increased instrearn uses) in the exporting region, plus the costs
net productivity of water; that alone is the economic of constructing and operating the transfer project.
test to be satisfied. Applying this criterion may be difficult. Construction
The economic criteria for assessing interbasin costs must be estimated, values of the new uses must
transfer proposals with respect to their impact on be projected into an uncertain future, and values in
national economic growth are no different from the old uses often must be imputed, since most
those which should be used to evaluate any other instream uses are not priced.
water resource project. Those criteria are simple to The Columbia River furnishes an example of the
state but not always easy to apply. First, the problem of imputed values: a single acre-foot of
interbasin transfer proposal should be the least-cost water in that stream could successively generate
source of water supply to serve the purposes at hand. electric power, assimilate waste material, float com-
Second, the value of the water in its new uses should mercial vessels and pleasure craft, support fish life,
be greater than the value of water in its old uses plus and provide scenic amenities. Placing accurate numer-
the costs of transfer. In other words, benefits ical figures on each use is difficult. Not all the
(appropriately reduced to reflect foregone future use estimated values will enjoy the same degree of
in the area of origin) should exceed costs. Third, precision. But precise or imprecise, difficult or easy,
Congress as the decisionmaker should compare the estimating such values is desirable in order to gain
anticipated net economic gain from a proposed some intelligent notion of the full social costs and
transfer project with that of alte 'rnative investment benefits of a proposed transfer. Failure to make such
opportunities by way of making judgments about estimates means that project evaluators will not be
priorities in public spending. In the case of interbasin taking into account the full consequences of a
transfers, adherence to these criteria is especially proposed project but will be proceeding instead on
important because of the large sums of money the basis of intuition (which may differ markedly
involved." Each criterion bears closer examination. from evaluator to evaluator).
"Least-cost source of water supply," the first The same problem exists on the receiving end of
criterion, implies that the' agency evaluating an the transfer. Values must be imputed to nonpriced
interbasin transfer proposal should examine alterna- benefits. Moreover, benefits that are priced must be
tive sources of supply to serve the same purposes and priced correctly. For example, it overstates benefits
calculate the costs thereof on the same basis that the to base the value of additonal agricultural production
interbasin transfer costs are calculated. This is called on prices generated by Federal price support pro-
cost-effectiveness analysis. The benefits to be ob- grams. Such prices are maintained high by substantial
tained are held fixed. The only question is to identify Federal farm subsidies. To remain effective, such
the least-cost way of securing those benefits. Limita- subsidies would have to be increased further if more
tions on construction agency authority (for example, subsidized crops are produced. Furthermore, benefits
lack of authority to manage ground water) should not must also be reduced by losses resulting from
restrict the evaluation. All alternative sources of diminished production in other regions attributable
water should be evaluated and compared. Costs of to increased production in the importing region.
foregone future uses in the area of origin and the
environmental costs should be included in the evalua-
"It is especially important in comparing costs to use the
BEATTIE, Bruce R et al. (197 1). Economic Consequences same rate of interest for all alternatives. See ECKSTEIN,
of Interbasin Water Transfer, Technical Bulletin 116. Otto (195 8). Water-Resource Development, The Economics
Agricultural Experiment Station, Oregon State University, of Project Evaluation. Harvard University Press, Cam-
Corvallis, Ore. bridge, Mass. p. 242.

320

There is the further difficulty of long-term projec- project construction costs has not been good. For
tions. Since any major transfer project may take a example, in 1937 the Bureau of Reclamation esti-
decade or longer to build and since projections of mated the costs of the Colorado-Big Thompson
demand must precede evaluation of the proposal, it interbasin transfer project at $44 rrffllion. When
will not be uncommon for the demand projections completed after World War 11, the project cost was
for the first few years of water delivery to be based almost four times the original estimate-$161.6
on a future 20 to 30 years distant. Projections of million. 13
demand over the life of many projects may well be To summarize the discussion of the second crite-
100 years away. Forecasts for such distant time rion: an interbasin transfer should produce benefits
periods are unreliable. In just 11 years (between 1960 from the new uses of the water that exceed the losses
and 1971), demand projections for Feather River from present and future foregone uses in the area of
water by the Metropolitan Water District of Southern origin and that exceed the costs of the project as well.
California were revised downward so substantially Applying this criterion may be difficult, because the
that what was estimated to be required by 1990 was foregone uses include both present and prospective
later estimated as not required until 2020, 30 years uses whose value must often be simulated, since they
further into the future. Meanwhile, an investment of are not priced. However, the difficulties in making
nearly $2 billion is frozen into facilities that may not these calculations can be avoided in those cases where
be fully used for 50 years. the values of the new uses do not even exceed full
The point should be emphasized that once a construction, operation, and maintenance costs, plus
large-scale interbasin transfer is undertaken, a long- interest. At least some-perhaps many-interbasin
term comn-dtment of large sums of capital to a project proposals will not be able to meet that
relatively inflexible scheme of resource allocation is standard.
required. With changing consumer preferences, devel- The third criterion proposes that Congress make a
oping technology, and uncertain population growth comparison between the net economic gain antici-
and distribution, the Nation should proceed with pated from the transfer project and the gain that
extreme caution before entering upon such enter- might be realized from other investments. Con-
prises. sciously applying this criterion may be very difficult,
In addition to the imprecision of imputed values for a vast array of alternative investment opportuni-
for unpriced uses and the unreliability of long-range ties will exist. But this kind of comparison is done
projections, the period of tinie elapsing between implicitly every time Congress appropriates money. It
authorization of large projects and their completion is desirable, therefore, that it be done consciously so
presents additional problems with respect to esti- that account is taken of the fact that other invest-
mates of.construction costs. Original estimates, on ment opportunities, and the net benefits associated
which project authorization is based, can become therewith, are foregone if a transfer project is built.
outdated. One reason is inflation, but if prices are The three economic criteria set out here are
rising more or less uniformly throughout the econ- generally applicable to all investments-whether in
omy, this will not significantly affect cost-benefit water or other resources and whether by government
analyses, since increases in costs should be more or or private firms. The difference comes in the means
less offset by increases in the value of benefits. for generating the information necessary to apply the
Other reasons are more significant. Because of criteria. For example, in water resource development
shifts in supply or demand, real costs may increase there are seldom arms-length transactions between
without commensurate increase in project benefits. willing buyers and willing sellers to establish the value
Moreover, modification in project design may occur of instrearn uses of water in an area of origin.
between project authorization and construction. Consequently, resort must be made to some tech-
Whatever the reasons, the record on estimating nique for simulating the marketplace in order to

1 3HARTMAN, LM & SEASTONE, Don (1970). Water Trans- costs, without interest, up to a maximum of $25 million.
fers: Economic Efficiency and Alternative Institutions. Thus, at the maximum, the water users will pay about 15
Published for Resources for the Future, Inc., by The Johns percent of the actual project costs without interest, a far
Hopkins Press, Baltimore, Md. p. 48. The Bureau had cry from the 50 percent project cost repayment from
contracted with the water users of the Colorado-Big water users originally contemplated at the time of authori-
Thompson project for their repayment of project costs on zation. (Remaining reimbursable costs are to come from
the basis of the original 1937 cost estimates. The benefici- Missouri River Basin Project power revenues.)
ary district agreed to repay one-half of the construction

321

estimate these nonpriced values. The difficulty of the increase the competitive production advantages of the
task should not relieve project planners and evalua- importing region in relation to, and in some cases at
tors from the obligation of applying all three criteria the expense of, other regions.
in developing and evaluating an interbasin transfer In many areas, economic growth has been based
proposal. upon exploitation of a resource in fixed supply, such
as minerals, virgin timber, or ground water. As the
Regional Econon-de Development: Obviously, at any fixed supply diminishes, the economy involved has
point in time, the economic production of the Nation been compelled to adjust. In some parts of the West, for
is the sum of the production of its constituent example, economic development has sometimes been
regions. However, economic development in one based on ground water withdrawals that exceed re-
particular region may take place at the expense of charge. As the ground water is depleted, new supplies
growth in other regions. This may be in the national must be imported, different economic activities
interest if, as a result, resources are more productively found, or a significant proportion of the community
employed than formerly. It is possible, however, for must migrate to new locations. Such areas may be
economic gains in one region to be completely offset eager candidates for importation of water from
by losses in other regions. While such transfers of interbasin transfers. 16
production may be in the interest of the benefited The need for adjustment to changing conditions is
region, they contribute little or nothing to national pervasive throughout the economy and the ability to
14
economic growth. adjust at a reasonable rate is one of the strengths of
Any reallocation of water requires a comparison on the national economy. For example, the national
a with and without basis which is not limited to the average farm population decline in the 1960's was 4
benefited area. In considering an interbasin transfer percent annually," forcing many rural communities
from Region A to Region B, it is important to to adapt their economy to a lower population. A
evaluate the increased benefits that the water will similar gradual decline may be necessary in areas such
generate in Region B together with the resulting as the high plains of Texas and New Mexico as ground
disbenefits to Region A and to other regions as well. water levels decline, unless efforts are successfully
It is clear with respect to agriculture, for example, made to shift the economy, to the extent possible, to
that there is a national market with relatively limited less water dependent activities. If an interbasin
potential for expanded exports. With the exception transfer project to serve this area meets the criteria
of a few high-value specialty crops, the expansion of discussed earlier, there is no reason why it should not
production in one region will often be accompanied be undertaken for the purpose of preserving the
by offsets in production in other regions. This economy. If the criteria cannot be met, however, a
contributes to the national economy only if the new region that is mining its ground water can slow down
production is more efficient than the displaced the rate of depletion and thus lengthen the period of
production. adjustment, by restricting the amount of acreage
The current major interbasin transfer proposals (particularly new acreage) allowed to be irrigated
appear to be designed primarily to serve one or more from ground water sources and by adopting water
of the following objectives: pricing and other techniques which provide incentives
1 . To preserve an agricultural economy or to for more efficient use of the ground water re-
expand agricultural production. source. 18
2. To ameliorate water quality problems. There are, of course, numerous areas where deple-
3. To improve navigation and power production tion of an element essential to the local economy
(Great Lakes)." may make assistance of some sort necessary if social
Each of these uses has a relatively low value per unit disruption and economic hardship and loss are to be
use of water. However, each use would presumably

'See the discussion in Chapter 3 on the use of water to 'See Chapter 7, Section B, on Improving Ground Water
induce regional economic development. Management.
"FOX, Irving K (1968). Some Political Aspects of Large "See U.S. DEPARTMENT OF AGRICULTURE (1971).
Scale Interbasin Transfers, paper presented at the Annual Agricultural Statistics 1971. U.S. Government Printing
Meeting of the American Association for the Advancement Office, Washington, D.C. p. 454.
of Science, Dallas, Texas, December 30, 1968. Mimeo. p. "Again see Chapter 7, Section B, on Improving Ground
7. Water Management.

322

avoided. However, water programs are not always the ian landowner cannot establish pecuniary damages.
best or cheapest assistance that can be rendered. In New York, however, has expanded the area-of-origin
any event, Congress must, in each instance, determine protection of riparian law in respect to transbasin
whether there is a need for Federal assistance and, if diversions by the City of New York. A State statute
there is, the amount and nature to be rendered. provides that when the City takes water from a
distant basin it must pay compensation not only for
Area-of-Origin Protection the value of the property, buildings, and equipment
Area-of-origin protection means provision of safe- taken but also for all business losses and loss of
guards for areas exporting water. These safeguards income, both to riparians whose property is actually
may range from absolute prohibition of exports to taken and to nearby nonriparians adversely
pecuniary compensation, with a number of other affected.' 9
protective devices in between. The definition of an The western appropriation system has no such
area of origin varies considerably also, although built-in protection for areas of origin. Under that
reference to some type of hydrologic unit such as a system, the first person who diverts wat@r from a
river basin is fairly common. stream and puts it to beneficial use acquires a legal
Area-of-origin protection is peculiarly associated right to continue such use, regardless of whether the
with water. Other resources are not similarly treated use is inside or outside the basin of origin. Over the
years some Western States have modified the prior
probably because they are priced in conventional
markets. For coal, oil, copper, timber, and other appropriation doctrine by adopting statutory protec-
natural resources, the area of origin receives its tions for areas of origin. California has been the scene
11 protection" in the form of taxes and revenues from of the most intense controversies, first during the
the "export" of the resource. In the absence of a Owens Valley dispute2o in the early part of this
pricing system for the export of water, area-of-origin century and later during the debate on the California
interests have resorted to the political process to State Water Project in the 1950's. One California
obtain "in kind" protection, that is, enactment of area-of-origin statute prohibits the release of any
laws reserving water for the area's "ultimate require- State -appropriated water "necessary for the develop-
ments" or providing for recapture in the event of ment of" a county of origin." Another gives the
future need. As a consequence of this approach, watershed of origin a prior right in "all the water
safeguards for a water exporting area have usually reasonably required to adequately supply the benefi-
been tied to future or potential water development in cial needs of the watershed."" Although this statute
the area. is said to provide a right of recapture, such right has
never been exercised, and its effectiveness has been
Present Forms of Area-of-Origin Protection: The questioned .23
most pervasive form of area-of-origin protection was Colorado has a statute requiring contemporaneous
established by courts when they developed the riparian construction of compensatory storage dams in the
area of origin so that such area will be no worse off
doctrine of water rights. Riparian water rights, because of the diversion.' 4 Some analysts charge that
characteristic of the Eastern States, protect land- '9 See Van Etten v. City of New York, 226 N.Y. 483, 124
owners adjacent to lakes and streams from with- N.E. 201 (1919). For a general discussion of the New York
drawals or uses which unreasonably diminish water law see SAX, Joseph (1968). Water Law, Planning &
quantity or quality. Where diversions or uses have Policy: Cases & Commentary. Bobbs-Merrill Company,
been unreasonable, they have either been enjoined or Inc., New York.
riparian owners adversely affected have been compen- "This experience is described in NADEAU, Remi A (195 0).
sated for interference with their rights. The concern The Water Seekers. Doubleday & Company, Inc., Garden
of riparian law has been one of protecting private, City, N.Y.; and in COOPER, Erwin (1968). Aqueduct
rather than public, rights in lakes and streams. Empire. Arthur H. Clark Co., Glendale, Cal.
An early formulation forbade any use of water California Water Coae, Sec. 105 05 (West Supp. 19 67).
except on land contiguous to the stream, and in California Water Code, Sec. 11460 (West Supp. 1967); see
addition forbade use of water outside the watershed also Secs. 11461, 11463.
even though the parcel was contiguous to the stream California Attorney General (1957). Report of the Attor-
but lay in two watersheds. This rule has since been ney General's Committee of Water Lawyers on County of
undercut in some States by decisions that deny relief Origin Problems. State of California, Sacramento.
against transbasin diversions where the plaintiff ripar- "Colorado Rev. Stat. Ann., See. 150-5-13(2)(d) (1963).

323

AIR,
na

:4,

'IV

I-A

Ruedi Dam provides replacement storage for western slope below Fryingpan -Arkansas diversion

this requirement causes economic waste because the States can also provide for the protection of areas
area of origin may not be prepared to use the of origin in interstate compacts. For example, in the
compensatory storage for many years." Texas prom Colorado River Compact the Upper Colorado River
hibits its Water Development Board from planning a Basin States sought to reserve 7.5 million acre-feet of
diversion of water from a basin of origin if the water system water for future use. 28
will be needed to supply the reasonable future In recent years, when Congress was actively consid-
requirements of that region for the next 50 years. 7.6 ering authorization of a study of a Columbia River.
An Oklahoma statute directs the State Water Re- diversion to the Southwest the area-of-origin
sources Board to reserve to the area of origin protection issue emerged as a focal point of conflict
sufficient water to take care of its present and and a variety of proposals were put forward to resolve
reasonable future needs.' 7 it. After lengthy debates and numerous amendments,
the following area-of-origin protections were incor-
porated in the Colorado River Basin Project (CRBP)
Act of 1968: 29
See BEISE, CJ (June 195 0). Compensatory storage. Rocky
Mountain Law Review 22:453 [Now University of Colo- 2aColorado River Compact, Congressional Record 70:324
rado Law Review]. (1928), consented to by Congre@s in the Boulder Canyon
26Texas Water Code Annotated (Vernon) Sections 11.102. Project Act of 1928, P.L. 642, 70th Congress, December
See also Sections S.085 (a), 5.085 (b). 21,1928, 45 Stat. 1057, 1064,43 USCA 617.
H.J.R. No. 502, Title viii, [ 19571 Okla. Laws 670, referred "Colorado River Basin Project Act, P.L. 90-S37, Section
to as a note in Oklahoma Rev. Code Ann. tit. 82 Sec. 1078 203, September 30, 1968, 82 Stat. 885, 887, 43 USCA
(1970). 1513.

324

1 . "All requirements, present or future, for resolve the questions they pose. Would the States of
water ... [in the area of origin] shall have a origin decide or would Congress decide (1) whether
priority of right in perpetuity to the use of the ultimate requirements are being adequately met and
waters of that river basin, for all pur- (2) what the price of water would have been if no
poses . . . " diversion had occurred? Who initiates inquiries into
2. Areas of origin would be given a financial these questions? What if no price for the water is
guarantee, supported by a development fund, involved, but instead the peopl@ of the States of
to assure a supply of water "adequate to origin believe they are losing potential recreational or
satisfy their ultimate requirements at prices to wildlife uses, which are generally not priced?
users not adversely affected by the exporta- An earlier version of the CRBP also included a
tion . . . " so-called "veto" provision, whereby a State of origin
There may be less to these safeguards than meets would have the power to bar the Secretary of the
the eye. Taking the protections in order, the first, Interior from transmitting a favorable recommenda-
alluding to water in the area of origin, has obvious tion on a given project to Congress unless the
uncertainties because of definitional problems. What exporting State approved the project. This veto
is meant by present and future requirements? Is this provision was little more than a structured way of
phrase to be defined in physical or economic terms? allowing the area-of-origin States to voice their
How far into the "future" are extrapolations to be oDposition to a given project. Disapproval of the
made? No criteria are provided for determining the project by one or more area-of-origin States could not
requirements of the area of origin. Moreover, stop Congress from authorizing the project, nor could
because this guarantee is statutory rather than con- it prevent the Secretary from transmitting the plan to
stitutional, Congress can change its mind and convert Congress. It would only stop him from stamping his
this "perpetual" right into a temporary right. Before formal approval on the project when transmitting it
such a right in perpetuity could actually be exercised, to Congress.
further congressional action would be required. No In summary, it is the Commission's conclusion that
Federal institutional machinery has been created to the "in kind" type of area-of-origin protection
handle the administration of claims arising out of this exemplified by the State and Federal legislation just
right, leaving critical questions about implementation discussed is unworkable and that other means should
unanswered. How does an area of origin exercise its be explored.
prior right? Who, other than Congress, could author- Economic and Pofitical Analysis: Earlier it was
ize a different use of the water? If Congress is the recommended that an interbasin transfer should be
essential decisionmaker, is the right in perpetuity approved only if (a) the transfer is the least-cost
merely a right to petition Congress and plead a special source of water supply, (b) the value of the water in
case? its new uses will be greater than the value of the
The second protection mentioned, a financial water in its old uses plus the transporting costs, and
guarantee supported by a development fund, appears (c) the net productivity of the transfer has been
to be only slightly more workable. It must have compared with that of alternative investment oppor-
adequate funding if it is to be even minimally tunities. If these criteria are satisfied, an interbasin
effective, and the CRBP Act does not appear to transfer will necessarily add to the national economy.
provide that source of funding. Again, there is the On the other hand, area-of-origin protection of the
problem of ambiguity. How much water is "ade- historic "in kind" type would often inhibit national
quate" to meet the area of origin's "ultimate require- economic growth. For example, a right in the area of
ment at prices to users not adversely affected by the origin to recapture water in the future would (if the
exportation" of water to the Colorado River system? importer believes the right will be enforced) deter
Does the word "ultimate" refer to time, to amount, investment in transbasin transfer facilities, because of
or to both? How can anyone intelligently estimate at the insecurity of future supply. A right in the area of
some distant future date what the price of a given origin to restrict exports to "surplus" water (defined
unit of water might have been if no diversion had as that in excess of ultimate future requirements)
occurred? may make a sub-optimal quantity of water available
The area-of-origin protections in the CRBP Act are for transfer.
deficient not only because of these ambiguities but The Commission believes that cash payments to
also because no machinery has been provided to the area of origin may prove to be the most effective

325

means of protection. From the standpoint of efficient is damage to be determined and how will the costs of
resource allocation alone, however, compensation is transfer be determined in advance of construction
not required to be paid to the area of origin either for and operation of the project?
vested rights or for instream uses not the subject of In view of these legal and political constraints, is it
vested rights, since by hypothesis the new uses in the possible to effectuate an economically sound inter-
importing region are more valuable than the old basin transfer and yet avoid uneconon-dc "in kind"
instyeam uses in the area of origin. Compensation or area-of-origin protection? The Commission believes
other protection for the area of origin is nevertheless that it is, by providing means for compensating the
desirable. The Nation's political and economic system area of origin for its losses. Two institutional devices
is based on private ownership of property. The for arranging an interstate, interbasin transfer and
Constitution forbids legislation seeking to effect concomitant protection of the area of origin are
uncompensated transfers of private property from suggested. The first is the Federal-interstate compact.
one group to another. In the private sector of the In this kind of arrangement the exporting States and
economy, a firm that believes it has a more valuable the importing States could agree on the volume of
use for a resource than the present user must buy the water to be transferred, the compensation to be paid,
resource. and the apportionment of the compensation among
It is true, however, that the water that will the exporting States if more than one is affected. The
ordinarily be the subject of an interbasin transfer Federal Government should be a party to the
proposal is not "owned" in the conventional sense compact for it will nearly always have its navigation
and accordingly is not capable of being sold. Inter- interest to protect and will often have other interests
basin transfer proposals in the West deal principally such as power production, irrigation projects, and
with unappropriated water. Both the-Federal and the reserved rights to look after.
State governments have legislative power over the The Commission has considered urging on Congress
resource, but neither is an owner in the traditional the adoption of a statement of policy that no
sense empowered to make a conventional sale. interstate, interbasin transfer will be considered prior
Theoretically the Congress could order an out-of- to an agreement among the affected States by
State transfer of unappropriated water without incur- compact. The Commission has concluded against the
ring liability under the fifth amendment, but the recommendation. In the first place, Federal claims
theory collides with the political fact that the area of must be resolved before any interstate, interbasin
origin has a congressional delegation that must be transfer can be agreed upon. The Congress has the
overridden before the transfer can be authorized. As a ultimate authority to resolve these claims. Thus, to
practical matter, the United States and the State of say to the States that they must reach compact
origin must come to terms with each other. If the agreement before coming to Congress is to require
water to be transferred is from an interstate stream, them to bargain in the dark, Secondly, even if a
the situation is more complex. Each State has a right compact bargain is achieved, it may have to be
to an "equitable share" that can be quantified only renegotiated when the compact comes on for ap-
by adjudication, by interstate compact, or by con- proval by the Congress. Not only are the previously
gressional action. If protracted litigation is to be mentioned Federal claims subject to congressional
avoided, the States of the basin must also come to review but also the question of Federal financing
terms with each other as well as with the United must be settled, and the financial arrangements
States. determined by Congress are likely to affect the
The situation in the East, where the riparian bargain made by the States. Lastly, requiring compact
system of law prevails, is also complicated, partly for agreement before an interbasin transfer is proposed to
the same reasons and partly for different ones. The Congress gives any State in the area of origin a veto
questions of interstate stream rights and of Federal- over the transfer. Yet some transfers may deserve
State relations are the same. In addition, there is the authorization because they contribute to national
question of the property rights of riparian propri- economic development; one State should not be
etors: Does every landowner along a stream have a permitted to block such development.
legal cause of action for a transbasin diversion, so that The discussion above is not intended to denigrate
either he must consent or the right must be con- interstate compacts. It is desirable for exporting
demned? If only those riparian owners who will be States and importing States to resolve their dif-
damaged by the transfer have a cause of action, how ferences in advance of congressional consideration of

326

an interbasin transfer, so far as they are able to do so. prospective losses. Instead of focusing the political
But experience leads the Commission to believe that contest on such imponderable questions as "ulti-
many issues will have to be negotiated in and resolved mate requirements" and rights to recapture (how
by Congress," and accordingly it does not recom- much and when), the contest will be centered on the
mend compact agreement as an essential prerequisite economically sound question, how much should the
to congressional consideration of interbasin transfer area of origin be compensated for giving up a portion
proposals. of its water resource.
Instead, the Commission recommends a second In fixing the amount of compensation the area of
institutional device, a procedure for framing the origin is to receive, Congress will also have to decide
issues in a debate on compensation. The agency how the compensation is to be divided where two or
charged with evaluating interbasin transfer proposals more States occupy the area of origin. Once again,
is required, under the economic criteria established this settlement will represent a political compromise
earlier, to determine the value of the area-of-origin but the study evaluating the project will provide
uses to be curtailed by the transfer. This determina- information on the net losses to be suffered by each
tion should be transmitted to the area of origin and State (or portions thereof) in the area of origin. Such
to the importing area for comment. After an appro- information should serve at least as the starting point
priate period of time, the agency determinations (as of debate. As to the division of payments within each
revised in the light of the comments), and such State, while Congress may have constitutional power
reports and data as the affected areas care to submit, to determine the allocation, it is preferable to award
should be forwarded to Congress for its considera- the compensation to the State and leave it to the
tion. The Congress would make the final determina- State legislature to make an allocation, if it chooses.
tion of the dollar amount of the opportunity losses The proposals made here may appear on first
that will be suffered by the area of origin because of reading to be naive. But it should be recalled that
the interbasin transfer. This amount of money would major development of any interstate stream requires a
be paid to the area of origin as part of the project political determination of which State is to receive
costs; the Federal Government would make the what benefits. The Colorado River Storage Project
payments either as the losses occurred or in a single Act is an excellent example. 31 While the five States
lump-sum, present-worth payment and would recover of the Upper Colorado River Basin-Arizona, Colo-
the costs from the importing entity, as part of total, rado, New Mexico, Utah, and Wyoming-reached
true project costs.3 1 agreement by compact apportioning the stream, it
Obviously, a mighty contention would arise in was Congress which apportioned the Federal benefits
Congress over the dollar amount of the area of by deciding on the location of projects and their
origin's losses, and the figure adopted would likely be magnitude. Similarly, the Colorado River Basin Pro-
a compromise reflecting the political power of the ject Act of 1968 was principally concerned with the
contending forces. But that is precisely what will authorization of the $1 billion Central Arizona
occur in any contest over an interbasin transfer; the Project, but the Act also authorized seven more
difference under this proposal is that Congress will be projects on the Colorado River and its tributaries in
debating an appropriate issue, namely, the compensa- Utah, New Mexico, and Colorado.3 3 Even with
tion the area of origin ought to receive for its unrealistically low interest rates, these projects had
benefit-cost ratios, as calculated by the Bureau of
"A major interbasin transfer, from the Colorado River to Reclamation, barely in excess of unity; that is, they
Los Angeles, contributed to a water allocation controversy were hardly economically feasible.
between Arizona and California that had to be resolved by The point the Commission seeks to make is neither
Congress. California claimed the right to take 4.6 million
acre-feet from the River; Arizona contended that Cali- naive nor cynical. The political process of the United
fornia should be limited to 4.2 million acre-feet. The two States produces bargaining between interest groups on
States could not agree and the Boulder Canyon Project was the distribution of Federal funds. Water projects are
held up for 6 years until Congress resolved the dispute by one example of the operation of this process. Any
fixing the California limitation at 4.4 million acre-feet. See
Arizona v. California, 373 U.S. 546 (1963). "Colorado River Storage Project Act, P.L. 485, 84th
In accordance with the Conclusions and Recommendations Congress, April 11, 1956, 70 Stat. 105, 43 USCA 620 et
of Chapter 15, the Commission believes that beneficiaries seq.
of interbasin transfers should pay the full costs of the "Colorado River Basin Project Act, P.L. 90-5 37, September
projects. 30, 1968, 82 Stat. 885, 43 USCA 15 01 et seq.

327

interbasin transfer proposal will be the occasion for Ordinarily, the importing State or States would be
such bargaining. The Commission's recommendation the principal-and sometimes the exclusive-
seeks to direct the bargaining away from area-of- beneficiaries of a Federal interbasin transfer project.
origin protection of the "in kind" and "compensa- Even for benefits such as fish and game, recreation,
ting-storage" type toward consideration of the ques- and scenic beauty, the States in which the benefits
tion that would dominate the decision in a private are generated should be required to repay their share
transaction: what is the water worth to the seller and of costs. The Federal Government should be required
what is it worth to the buyer? to assume nonreimbursable costs only when benefits
The analogy of interstate, interbasin transfers to cannot be allocated to individual States. In the
private sales transactions is by no means perfect and. Commission's view, most benefits would be assignable
may be thought to be too far removed from reality to to States or subdivisions thereof and hence most costs
be useful. After all, the seller-State may not calculate would be reimbursable.
gain as a private seller would. The buyer-State may The Commission believes that importing States, in
distribute the benefits and burdens of the project in turn, should not confer inappropriate State subsidies
such a manner that a citizen would view the project on ultimate direct beneficiaries. Instead, wherever
differently as a voter than he would as a private practicable, individual beneficiaries should be assessed
buyer. And the price is not the result of arms-length in proportion to the project costs attributable to
bargaining between the parties; in the end, it is each. A beneficiary located at a high elevation far
imposed by an outsider, the Congress. Nevertheless, if from the project water source where additional
it is conceded that some time, some place, an project pumping costs would be required to deliver
interbasin transfer proposal is in the national interest water should pay more than a beneficiary located
because national economic productivity is thereby closer at lower elevations. Failure to assess costs in
enhanced, and if it is further conceded that the this fashion will lead to inefficient allocation of the
decision will be the product of the political process as water resource.
it operates in Congress, it seems desirable to focus the It might be questioned whether both sets of
attention of decisionmakers on the correct issues of requirements are necessary. If the beneficiaries pay
economic policy inherent in interbasin transfer pro- the full costs of the transfer, why require the
posals. planning and evaluating agencies to apply the three
economic criteria recommended here? The answer ties
in the fact that an interstate, interbasin transfer is not
Relation of Economic Criteria to Area-of-Origin the result of an arms-length bargain between two
Compensation: To recapitulate, the Commission rec- parties who generate their own information as to
ommends here and elsewhere in this report that all benefits and costs. Such a transfer results from the
water resource projects be planned and evaluated in action of a third party, the United States, which
accordance with three economic criteria: (1) that the plans, authorizes, constructs, and operates the pro-
project be the least-cost alternative; (2) that it pro- ject. The agencies that generate the data on which the
duce benefits in the new uses greater than the surn of repayment obligations are based must have standards
the costs of construction, operation, and mainten- for planning projects and computing benefit and cost
ance, and, in the case of interbasin transfers, the net data. Those standards should embrace sound eco-
opportunity costs of foregone uses in the area of nornic principles no matter who pays the project
origin, all discounted to a common time basis; and costs.
(3) that the net productivity of the project be Similarly, repayment of total project costs by the
compared to that of alternative investment opportun- beneficiaries should be required even though the
ities. economic criteria are satisfied and the project would
The Commission also recommends that the direct appear to contribute to national economic develop-
beneficiaries of a project pay the full costs. of the ment. This conclusion is based on two reasons: First,
project, which include not only the construction, beneficiaries of public works programs aimed at
operation, and maintenance costs plus interest at increasing production should, as a matter of equity,
market rates prevailing at the time of construction, pay the costs of the project unless some compelling
but also, in the case of interbasin transfers, the net social purpose justified their receiving a subsidy.
losses suffered by the area of origin because of the Second, requiring beneficiaries to pay provides an
export of water. additional check on the accuracy of benefit and cost

328

' ikN

@4s
51

4"
a

S'
San Luis Canal facilitates interbasin transfer of water on California Water Project

figures obtained by indirect simulation of the mar- The Commission recommends in Chapter 11 that
ketplace. Project beneficiaries will not be willing to federally funded water development proposals in
pay for fictitious benefits and there is little incentive general be subjected to review by an independent
to claim unrealistically low costs for a project when Board of Review. There is no reason to treat
its direct beneficiaries will be obliged to pay for the interbasin water transfers differently. The Board of
actual costs that materialize. Review will have a full understanding of the eco-
For these reasons, the Commission recommends nomic criteria set forth for evaluating interbasin
(1) that planning and evaluating agencies be in- transfers and will be expert in analyzing the data
structed to adhere to the economic criteria set forth submitted by construction agencies and others in
here and (2) that beneficiaries be required to pay the satisfaction of the criteria, since the process is the
full costs of interbasin transfers. same for all water development projects, whether or
not they involve transfers from one basin to another.
Institutional Arrangements
The preceding discussion sets forth criteria for CONCLUSIONS
evaluating an interbasin transfer proposal. Congress Proposals for physical transfers of water from one
will, of course, make the ultimate decision on watershed to another abound. As economic demand
authorizing any proposed project, but Congress will for water increases, as available water supplies in areas
need assistance in the preparation and interpretation of shortage shrink, as technological capability im-
of information relating to satisfaction of the criteria. proves, and as national income grows, the feasibility

329

of interbasin transfers increases and the scale of economic well-being; water will be employed in its
proposals grows larger. most productive uses and the cause of economic
Congress has the power either to prohibit or to efficiency will be served.
require an interstate, interbasin transfer. The ultimate In computing benefits of an interbasin transfer,
decisions as to criteria for design, construction, consideration should be given not only to the
review, benefited areas, repayment, protection for foregone opportunities which will be suffered in the
areas of origin, environmental safeguards, and other exporting area, but to resulting offsets in other
aspects of such interbasin transfers are all Congress's regions as well. If an interbasin transfer increases
to make. production in an importing area which, in turn,
Sound economic criteria should govern the disposi- results in reduced production elsewhere in the Nation
tion of water which is available for economically or requires larger farm subsidies than would otherwise
useful purposes. The Commission concludes that have to be paid, net benefits will be reduced and the
proposed interbasin transfers should be planned and feasibility of many proposed interbasin transfers will
evaluated in accordance with three economic criteria. be lessened.
First, a proposed project should be the least-cost Unless it is economically feasible, interbasin trans-
way of securing a given supply of water. Second, the fers should not be undertaken to rescue areas which
benefits generated by the transfer in the receiving area are mining ground water, that is, which are depleting
should exceed the full costs of the transfer plus the ground water reserves by pumping in excess of
net benefits which that same water would have recharge.
generated in the area of origin. 34 And third, the net In the final analysis, it is Congress which must
productivity of the project should be compared to exercise decisionmaking responsibilities with respect
that of alternative investment opportunities. to interbasin transfers. The economic criteria which
Direct beneficiaries of an interbasin transfer who the Commission advances cannot and should not be
can be identified and reached should ordinarily be binding on Congress. They are intended only to assist
obligated to repay with interest the full project costs Congress in making its decisions. Congress can, if it
allocable to the purposes from which they benefit, chooses, reject interbasin transfers that appear sound
including compensation to the area of origin for the and authorize transfers that do not. Whatever it does,
costs of foregone opportunities occasioned by the however, Congress should have available to it project
water transfer. If these economic standards and evaluations based on the criteria recommended here,
repayment criteria are met, interbasin transfers will so that the decisions it makes will be made with full
make an optimum contribution to the Nation's awareness of the social and economic consequences.
Because there is no market mechanism for pricing
Economic evaluation requires that benefits from potential the export of water resources from one basin to
uses, as well as from existing uses, in the area of origin be another, some means must be devised to rotect areas
compared to benefits from the new uses in the receiving p
area. In practice, such a comparison will often be difficult. of origin from losses they may suffer as a result of
But where there are prospective uses in the area of origin water exports. The Commission concludes that "in
of a concrete nature and with a near-term prospect, the net kind" area-of-origin protections which limit exports
benefits from such prospective uses should be added to the to "surplus" waters, or seek compensating storage, or
equation; that is, benefits in the receiving area should be provide for recapture, or attempt to predict "ultimate
greater than project costs plus net benefits from such
prospective uses in the area of origin. requirements," "adequate supply to meet beneficial
To illustrate, suppose a proposed interbasin transfer needs," and other equally ethereal concepts, are
project will generate $ 10 million of annual benefits in the inappropriate. Such "in kind" protections are certain
receiving area. To build and operate the works necessary to to produce excessive and unnecessary controversy
transfer the water to its users will cost $8 million annually. and, even worse, they are likely to produce bad
Additionally, the transfer will preclude development of a
project in the area of origin which would have annual economic results as well. The Commission concludes
benefits of $4 million and annual costs of $3 million. that area-of-origin protection should be based on the
Under the rule established here, the proposed transfer anticipated losses suffered by the exporting region.
would be judged economically feasible since the benefits in The debate on area-of-origin protection which will
the receiving area ($10 million) exceed both the costs of accompany consideration of any major interbasin
the transfer ($8 million) and the net benefits foregone "in
the area of origin ($4 million - $3 million = $1 million). In transfer should focus on compensating the area of
other words, $10 million > $8 million + $1 million; origin for losses resulting from the transfer. The
therefore, the project is feasible. indemnification which is fixed as appropriate com-

330

pensation to areas of origin should properly be c. The net economic gains anticipated to
included in project costs and be subject to full accrue from the transfer project should be
recovery from beneficiaries the same as other project stated and compared to the gains that
costs. might be expected to accrue from altema-
Finally, the Commission concludes that existing tive investment opportunities.
institutional arrangements for development of water d. An increase in regional economic develop-
projects in general and interbasin transfers in particu- ment attributable to a proposed interbasin
lar are unsatisfactory. At present, the Federal agen- transfer should not alone serve to justify
cies responsible for the design, construction, and the proposal. The project should result in
operation of water resource projects, primarily the national economic development, that is, in
Corps of Engineers and the Bureau of Reclamation, net economic gains in benefited areas
are also responsible for evaluating those projects. which more than offset resulting net eco-
Questions about the objectivity of the evaluation nomic losses in other areas of the country.
necessarily arise, for the appearance of impartiality is 8-2. Directly affected States should seek to reach
lacking, whatever the facts may be. agreement among themselves and with the
The Commission sees no reason why water re- Federal Government by Federal-interstate com-
sources planning functions now vested with the pact prior to submitting an interstate, inter-
design and construction agencies and with other basin transfer proposal to Congress.
planning entities should not remain where they are. 8-3. It should be the national policy to require the
What is desired is to separate project evaluation, on direct beneficiaries who are identifiable to pay
the one hand, from planning, design, construction, the full reimbursable costs of an interstate,
and operation, on the other, so that Congress and the interbasin transfer project, including compensa-
public can have the benefit of impartial evaluations. tion to the area of origin for the present worth
The Commission concludes that the best way to do of the net benefits foregone as a result of the
this is to vest the project evaluation function in the export of water. To effectuate this policy,
hands of an independent Board of Review. If this is Congress should enact legislation which em-
done, existing legislation prohibiting the study of braces the following principles:
interbasin transfers can properly be repealed. a. The beneficiaries of a project should pay
the total reimbursable costs of construc-
tion as those costs ultimately materialize,
RECOMMENDATIONS plus the reimbursable operation and main-
tenance costs. The repayment period
8-1. As part of an act repealing existing laws which should not exceed the economic life of the
prohibit the study of interbasin transfers, project works, and interest should be
Congress should declare the following eco- charged on the unrepaid investment at a
nomic criteria to be applicable to the planning rate not lower than the cost to the Federal
and evaluation of interbasin transfer proposals Government of long-term borrowing at the
by Federal agencies: time of construction. Some project costs,
a. An interbasin transfer proposal should be such as costs of construction in and com-
the least-cost source of water supply to pensation to the area of origin, should be
serve a given purpose, and all feasible allocated among benefited State and local
alternative sources of supply should be governments in proportion to the benefits
examined and evaluated on the same basis. each receives. Other project costs, such as
In comparing alternatives, due attention costs of canals, aqueducts and pumping in
should be given to projected technological receiving areas, should be allocated to each
developments. benefited State and local government in
b. The value. of the water in the new uses proportion to the actual expenses incurred
should exceed the aggregate of the value of in bringing water to each (i.e., areas
the water in the uses to which it would farthest from the area of origin or at higher
have been put had it not been exported, elevations requiring additonal pumping
plus the costs of constructing and opera- should be obliged to bear a proportion-
ting the interbasin transfer project. ately greater share of such costs). In turn,

331

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Ratiron penstocks, Colorado-Big Thompson interbasin transfer

332

benefited State and local governments ies of the project, and the Federal agencies
should assess individual direct beneficiaries involved in the planning and evaluation of
in proportion to the project costs attri- the project. Direct beneficiaries of the
butable to each.'Since benefited localities project who are identifiable should be
can be easily identified it is expected that required to pay their share of these costs as
virtually all costs of an interstate, inter- part of the reimbursable costs of the
basin transfer will be reimbursable. Costs project.
should be deemed nonreimbursable only 8-4. Evaluation of an interstate, interbasin transfer
when they cannot be property assigned to proposal in accordance with the criteria set
States or subdivisions thereof. forth here should be the responsibility of the
b. Areas of origin should receive monetary independent Board of Review recommended in
compensation for net losses incurred as a Chapter I I . Section B.
result of the transfer. The amount of such 8-5. All interbasin transfer proposals should be
compensation will be determined by Con- carefully evaluated in accordance with environ-
gress after consideration of estimates fur- mental legislation in force at the time the
nished by the area of origin, the beneficiar- proposal is made.

333

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Chapter 9
Means of Increasing
Water Supply
In the past, studies of water supply have been brackish water, which contains much less dissolved
directed almost exclusively at controlling and distri- solids than sea water but which still is too concen-
buting the existing streamflow or ground water trated for drinking or irrigation, are found in or near
supply to increase its utility and make it available to many places where fresh water supplies are limited
serve the growing demands for water in a particular but in great demand. Until recently, however, it was
region. In some areas, however, control of the not technically feasible to convert meaningful
existing supply has been pushed to or near the amounts of sea water or brackish water into fresh
physical limit and pressures are building for works to water. But some 20 years of research and develop-
transfer water from one river basin to another. ment, largely financed by the Federal Government,
Perhaps in recognition of these pressures and in the has greatly changed that picture. Today, the technol-
belief that there may be alternatives which could ogy for large-scale desalting is at hand. What remains
delay or eliminate the necessity for such transfers, the unsolved, however, at least in many areas of potential
National Water Commission Act specifically directs application, is economic feasibility.
the National Water Commission to consider alterna- In view of the investment which has been made in
tive ways of meeting future water requirements, desalting research and development and of the obliga-
including those which might come about through tion to consider alternative means of meeting future
technical advances. water requirements, the Commission has sought to
In compliance with its legislative mandate, the ascertain to what extent in the future the Nation will
Commission undertook two types of studies. The first be able to depend upon desalting as a source of water
was a detailed state-of-the-art examination of three supply.
specific possible means of increasing water supply for To appraise the likely future role of desalting, the
which research and development is fairly well ad- Commission arranged for a state-of-the-art analysis.
vanced. These are desalting, precipitation augmenta- The analysis was directed toward appraising how
tion, and land management. These three technologies close the Nation is to financially feasible desalting,
are discussed in detail in the next three sections of considering present costs and possibilities for future
this chapter. The second was an overview of potential cost reductions; the probable future markets for
future technological advances including those which desalted water in view of the indicated costs of
would have the effect of increasing water supply. The production; and the effect of noneconomic problems
results of the overview analysis dealing with potential associated with desalting, such as adverse environ-
means of increasing water supply are presented in mental impact. Finally, desalting was weighed in a
Section E of this chapter. general way against the alternative means of increas-
ing water supplies.
INCREASING WATER SUPPLY BY DESALTING1
State of the Art2
Sea water, which has a concentration of 35,000 After 20 years of research, the mechanics of the
parts per million (p.p.m.) of dissolved solids, and most important desalting processes are reasonably
'This section is based largely on KOELZER, Victor A 'This section includes information taken from U.S.
(1972). Desalting, prepared for the National Water Com- OFFICE OF SALINE WATER (1971). Desalting Plants
mission. National Technical Inforination Service, Spring- Inventory Report No. 3. Office of Saline Water, Washing-
field, Va. Accession No. PB 209 942. ton, D.C., and O'MEARA JW (February 4, 1972). State-
ment of J.W. O'Meara, Director, Office of Saline Water,
U.S. Department of the Interior, before the House
Subcommittee on Irrigation and Reclamation. Mimeo,
Multistageflash distillation plant at Freeport, Texas Office of Saline Water, Washington, D.C.

335

well understood. Worldwide use of desalting in A variety of processes are used in desalting.4 As
small-sized plants in selected situations is fairly indicated above, distillation processes furnish most
extensive. But the capacity of desalting plants is (nearly 95 percent) of the existing world capacity.
expanding rapidly, at a rate of 18 percent per year for About two-thirds of the capacity of the distillation
the 10-year period 1961-1971. In 1970, 33 plants plants use the multistage flash (MSF) process. How-
were placed in operation throughout the world, with ever, about half of the distillation plants (mostly
a combined capacity of 59.7 million gallons per day smaller plants representing only a small fraction of
(m.g.d.) and an average capacity of 1.8 m.g.d. The total capacity) utilize the now obsolete submerged-
existing installations in the world, as of January 1, tube distillation process.
1971, were as follows: Currently, distillation is used almost exclusively for
desalting sea water. Membrane processes, on the other
Percent of hand, are used only for desalting brackish water,
No. of World Plant World although recent research has indicated promise for
Process Plantsa Capacity Capacity application of the membrane process to desalting sea
(m.g.d.) water as well. Crystallization processes, primarily
Distillation 688 290.4 95.5 freezing, probably are limited to small plants of 5
Crystallization 3 0.3 0.1 m.g.d. or less.
Membrane 54 13.6 4.4 Extensive study has been made of dual-purpose
Total 745 304.3 100.0 plants (in which heat is used both for power
generation and for desalting). The conceptual tech-
a0f these, 64 had a capacity of I m.g. nology of dual-purpose nuclear plants has had consid-
erable attention and appears to be sourid. However,
The U.S. and its territories had a total of 321 the only dual-purpose plants that have been built-a 2.5
plants each having a capacity of 25,000 gallons per m.g.d. plant at St. Thomas in the Virgin Islands, a 5
day (g.p.d.) or more, with a total combined capability m.g.d. plant at Jidda, Saudi Arabia,5 and the 7.5 m.g.d.
of 54.8 m.g.d. The largest plant in operation any- plant at Rosarito Beach (Tijuana), MeXiC06 -are not
where in the world has a capacity of 30 m.g.d. It is the large enough to demonstrate large-plant feasibility.
plant in Kuwait which began operating in 1972. A
plant of this size is sufficient to supply municipal and Costs of Desalting
industrial water for a population of 150,000 (assum- Desalting costs have been significantly reduced in
ing water requirements of 200 gallons per capita per recent years. In 1952, when the U.S. Office of Saline
day). The next largest is a 7.65 m.g.d. plant located at Water (OSW) was established, the costs of desalting
Terneuzen, Netherlands. A contract has been awarded water in a few land-based plants ranged upward from
for a 48 m.g.d. distillation plant in Hong Kong. The $7 per 1,000 gallons in terms of current dollars.'
largest desalting plant in the U.S. is located in Key Costs have now been reduced to about $1.00 per
West, Florida. It has a capacity of 2.6 m.g.d. A sea 1,000 gallons in sea water conversion plants and
water distillation module capable of producing 3 m.g.d. about 50 cents per 1,000 gallons in brackish water
is now under construction in California's Orange plants. Costs quoted for desalted water usually are at
County. Since January 19 7 1, the estimated additiorial
capacity placed in operation or under contract would
increase the world total to about 440 m.g.d. Of this 'Descriptions of desalting processes are included in a report
total, 14 m.g.d. is by the electrodialysis process, 12 by the Office of Saline Water. See U.S. OFFICE OF
m.g.d. is by reverse osmosis, and the rest is by SALINE WATER (1968). The A-B-Seas of oesalting. U.S.
3 Government Printing Office, Washington, D.C.
distillation. -'U.S. OFFICE OF SALINE WATER (1972). Saline Water
Plants outside the U.S. are located primarily in the Conversion Summary Report, 1971-1972. U.S. Govern-
Middle East (Kuwait, Israel, and Saudi Arabia), the ment Printing Office, Washington, D.C. p. S.
Caribbean, Latin America, and Europe (Netherlands, 6U.S. OFFICE OF SALINE WATER (1970). Desalting
Spain, and the USSR). Much of present and future Plants Inventory Report No. 3. U.S. Government Printing
installed capacity is or will be sited outside the U.S. Office, Washington, D.C. p. 11.
7 U.S. OFFICE OF SALINE WATER (1972). Saline Water
'Data based on communication with the U.S. Office of Conversion Summary Report 1971-1972. U.S. Govern-
Saline Water, Washington, D.C. (October 1972). ment Printing Office, Washington, D.C. p. 1.

336

the plant boundary. Since most plants are at or near tradeoff of capital investment (the desalting facility)
sea level, additional costs may be necessary for for low energy consumption.
pumping to the place of use. At present, long-range Higher salinity waters-10,000 to 50,000
projected desalting costs are on the order of 25-35 p.p.m.-can be desalted by one of the distillation
cents per 1,000 gallons at the plant (based on 1972 processes. Tradeoff of capital investment for low
dollars) for large sea water desalting plants and less energy consumption is also possible. That is, high
fo@ brackish water plants.8 The considerable spread efficiency plants-the Clair Engle demonstration plant
between present costs and this goal emphasizes the at Chula Vista, California, for example-require heavy
fact that economic feasibility of desalting for many capital investment for construction of additional heat
applications has not yet been proven and that efforts recovery stages. Energy usage at this plant is about 40
to reduce costs relative to alternative sources must be times the theoretical minimum (2.65 kw.-hr. per
continued if desalting is to become a significant 1,000 gallons). Thus, if the energy rate is 5 mills per
source of water supply. Many of the low prices that kw.-hr. the energy costs alone would still be about
have been quoted for future desalting assume low 13 cents per 1,000 gallons, or $43 per acre-foot. To
interest rates, dual-purpose technology, large plants, this, of course, must be added the annual debt service
and/or negligible brine disposal costs. The rapidly on the capital cost of the desalting plant, as well as
rising cost of energy will be a severely negative operating and maintenance costs, which together
influence in achieving reductions in the cost of presently represent about 50 percent of production
desalting. costs in most plants.
The implications of high energy use and resultant
Possibilities for Cost Reduction cost are evident. (The relationship between cost and
Through Improved Desalting Technology: Advance- demand for desalting is suggested in the subsequent
ments in desalting technology will take place, but discussion of markets for desalting.) They have
unless and until a basic breakthrough occurs, totally caused desalting scientists to focus as much or more
unforeseen today, they are apt to be limited to attention on the reduction of energy costs as on the
gradual design improvements. The development of a basic desalting processes. There are only two ways in
longer-lived and more effective membrane for reverse which energy costs can be reduced: (1) by reducing
osmosis particularly seems to offer the prospect of a the cost of obtaining energy or (2) by more efficient
large reduction in costs. Recent progress on the use of the energy, for example, by combining power
reverse osmosis process for both brackish and sea generation with desalting.
water applications has been highly encouraging.' One potential means of reducing the cost of
obtaining energy is by reducing the cost of producing
Through Reduction in Cost of Energy: While the steam for distillation or of power for other processes.
energy requirements of the various processes differ The power industry appears to have already taken
rather widely, all desalting techniques require rela- advantage of most of the possible economies of scale.
tively large quantities of energy. With the exception With the rapid increase in fossil fuel cost, the industry
of solar processes (which are not highly promising for is moving rapidly toward nuclear fueled plants for
installations of appreciable size), this energy must be which projected steam costs are expected to remain
supplied either by steam or by electricity. Among relatively stable and lower than from fossil sources. A
other factors, the minimum energy requirement principal relatively near-term hope for reducing the
depends on the salinity of the water to be treated. cost of energy (steam or electricity) is in the use of
Lower salinity waters-up to 10,000 p.p.m.-are breeder reactors in nuclear powerplants. Some ex-
amenable to desalting with one of the membrane perts forecast that, by the year 2000, the breeder
processes. Reverse osmosis and electrodialysis may be reactor will produce energy at about 60 percent of
operated at very low energy consumption by oper- present costs.' 0 Others, however, suggest that such
ating at low pressure on the one hand or low current reductions involve consistently optimistic assump-
density on the other. Such operation, however, would tions.' 1
'OSTATE OF CALIFORNIA, Department of Water Re-
sacrifice plant output and thus would involve a sources (1969). Desalting-State of the Art, State of
California Bulletin No. 134-69. State of California, Sacra-
'Ibid., p. 45. mento, p. 26.
'Informal advice from OSW based upon recent laboratory "CLAWSON M et at. (June 6, 1969). Desalted water for
results with sea water. agriculture; Is it economic? Science 164:1141-1148.

337

AW-

L
CV N7-7

Thisreverse osmosis unitproduces 27,000gallons ofhigh-quality waterperdayfrom brackish sources

Another possibility for reducing energy costs is to plants operating on an interruptible basis cannot be
operate desalting plants on offpeak energy. A plant relied upon as a firm water supply unless adequately
could operate under a contract for inteTruptible backed up by storage or an alternative source.
power with the power utility having the right to drop Under such operation it should be possible to
the load of the plant when an emergency occurs obtain energy at essentially the cost of fuel. This
which requires use of reserves. For some desalting implies an energy charge but no capacity charge.
processes it would even appear possible to substitute However, because this kind of desalting operation
a carefully controlled load-shedding system for spin- would use plant facilities which are normally held in
ning reserve, thereby effecting further economies in reserve, and because the economics of power system
the cost of energy. This does not necessarily require operation usually places the older and less efficient,
that the plant operate only at nights or on weekends. as well as less pollution-free, plants in the reserve and
Indeed, a desalting plant served by interruptible peaking operation positions, desalting on an interrup-
power might in some circumstances operate nearly tible energy basis would more often than not involve,
100 percent of the time. Similarly, dual-purpose directly or indirectly, use of higher-cost plants.
power production-distillation plants may be operated
on a basis of partially interruptible steam to take Through More Efficient Use of Energy: The potential
advantage of low-cost steam which might be available for using part of the heat from a nuclear or
on this basis. It must be appreciated that desalting fossil fueled power generating plant for desalting

338

probably represents a more promising method of such geothermal powerplants do not produce usable
reducing the near-term net cost of energy for desalt- water as a byproduct. At the Cerro Prieto geothermal
ing by distillation. Experience with such "dual- powerplant in Mexico, however, a desalting plant also
purpose" desalting plants is limited to the 2.5 m.g.d. supplies 38,000 g.p.d. for construction workers. 14
plant in the Virgin Islands, a 5 m.g.d. plant recently The principal potential for combined geothermal
placed in operation in Saudi Arabia, arid the 7.5 power-desalting plants in the U.S. is in the Imperial
m.g.d. installation at Rosarito Beach. Conceptual Valley of Southern California, The Bureau of Recla-
designs have been developed for large-scale dual- mation of the U.S. Department of the Interior has
purpose plants at Bolsa Island and Diablo Canyon in recently completed a preliminary investigation of the
California and for a plant in Israel. geothermal potential of the Imperial Valley in coop-
The proposed dual-purpose Bolsa Island Project eration with the Office of Saline Water (OSW), and
was not built because of a significant increase in has proposed a more detailed investigative pro-
estimated cost. While this increase was reflected in a gram." The Bureau estimates that a total of 1.1
rise in the indicated cost of the fresh water product billion acre-feet of brine is available, capable of
from 22 to 37 cents per 1,000 gallons, the primary providing as much as 2.5 million acre-feet of desalted
reason for not proceeding with plant construction water annually. To prevent land subsidence, the water
was the increase in costs associated with the nuclear withdrawn would need to be replaced by other
power production facilities which experienced even wastewater or by sea water. Very preliminary esti-
12 mates place delivered water costs at 30 to 45 cents
higher percentage increases. Apparently, the Diablo
Canyon desalting project was not recommended for per 1,000 gallons ($100 to $150 per acre-foot) and
early construction as a large-scale prototype plant electrical energy costs at 3 to 5 mills per kw.-hr.
because of indicated water costs and required Federal The Bureau and OSW propose a 3-stage study, as
investment. Still large-scale, dual-purpose plants in follows:
the 50 to 100 m.g.d. capacity range offer promise for Stage 1: A 7-year research and development
reducing costs and the technology for them needs to period, to obtain physical data necessary for
be developed. determining the extent and potential of the geo-
thermal resource and to build pilot and prototype
plants to provide operating data. A total of $16
Through Geothermal Plants: Geothermal develop- million for the 7 years is indicated to be required.
ment represents a special form of dual-purpose (As a prelude to this, the Bureau and OSW are now
technology. By utilizing hot brine generated by heat cooperating on an 8,000-foot well drilled in the
beneath the earth's surface, both a water supply and Imperial Valley in 1972. Well construction is by
power production can be obtained. Desalting of the the Bureau, with OSW providing and operating a
brine, of course, is required if it is to be a source of portable desalting plant .)16
water supply. However, because the source usually is Stage 2: A demonstration of large-scale develop-
at high temperatures (varying from 150c' to 7000F.), ment, to provide 100,000 acre-feet of desalted
the external energy that must be introduced is low. water annually and 400-500 megawatts of power.
When the pressurized brine is tapped by a deep well, Replacement fluids would be from the Salton Sea,
it flashes into a mixture of steam and hot saline water the Wellton-Mohawk Drain, or from ground water.
that flows to the surface. Stage 3: The program would provide for delivering
Power generation using geothermal energy is feasi- up to 2.5 million acre-feet of water annually and
ble by itself in certain circumstances." There are
currently 728,000 kilowatts of installed geothermal 14ANONYMOUS (May 6, 1971). Geothermal resources
power capacity in the world, half of it in Italy. Most gather a head of steam. Engineering News-Record
186(18):30-35.
12STATE OF CALIFORNIA, Department of Water Re- U.S. BUREAU OF RECLAMATION (197 2). Geothermal
sources (1969). Desalting-State of the Art, State of Resource Investigations, Imperial Valley, California; De-
California Bulletin No. 134-69. State of California, Sacra- velopmental Concepts, Bureau of Reclamation, Office of
mento. pp. 41-43. Saline Water, Washington, D.C. pp. iii, 55.
13STATE OF CALIFORNIA, Department of Water Re, 1 6U.S. BUREAU OF RECLAMATION (February 1972).
sources (197 0). Water for California-The California Water Reclamation Report Cites Water, Power Potential in
Plan Outlook in 1970, State of California Bulletin No. Geothermal Development, News Release 4523-72. U.S.
160-70. State of California, Sacramento. pp. 88-91. Department of the interior, Washington, D.C.

339

producing about 10,000 megawatts of power. A sea debt service during the initial stages of amortization
water source for replacement fluids would be re- of a capital investment.
quired.
Obviously, this is a long-range program. The first Other Applications of Desalting Technology
stage alone would span 7 years. The Commission The potential exists to use desalting facilities in
believes that the geothermal potential is well worth roles other than that of a purely water supply
investigating, at least to the point where valid function.
comparisons can be made with other alternatives for These include desalting of contaminated surface or
providing additional water supply to the area. ground water or of wastewater and industrial dis-
While the Commission has no basis for judging the charges high in dissolved solids and relatively undesir-
details of the proposed program, it endorses the need, able for municipal or industrial uses. Considerable
the objectives, and the general outline of stage 1. The opportunity exists for using desalting plants to
question is raised, however, as to whether stages 2 improve such water supplies. With increasingly strin-
and 3 should be Federal programs; no overriding gent discharge criteria, the use of desalting as a means
requirement is seen for such a determination. The of meeting clean water standards will likely attract
Commission suggests that the possibility of non- more attention in the future.
Federal development be given full consideration at Where other sources of high quality water are not
the time stages 2 and 3 are undertaken. available, desalted water can be mixed with brackish
water for municipal and industrial use. In effect, this
augments the usable water supply. Thus, if brackish
Through Economies of Scale: Desalting plants offer water has a salinity content of 1,000 p.p.m. and the
some opportunity for reduction in unit costs through usable quality limit is considered to be about 500
increases in size. There is an economic breakpoint p.p.m., the usable volume of desalted water can, in
beyond which the cost of incremental capacity effect, be doubled by blending it with brackish water.
becomes approximately constant. This is about 100 This approach has been considered in a number of
m.g.d. for distillation and about 10 m.g.d. for reverse areas including California, Utah, South Dakota, and
osmosis. On the other hand, conventional sources of elsewhere. It could be applicable wherever a supply of
water supply, which are alternatives to desalting and brackish water is economically available. In Utah, for
which do not involve significant energy inputs, do example, the cost of a blended water supply by this
offer substantial opportunities for econon-des of method, delivered to the municipality, was estimated
scale-a dam, a reservoir, a pipeline, or even a to vary from 19 cents to 33 cents per 1,000 gallons
treatment plant usually become significantly less (S63 to $108 per acre-foot), depending upon the
expensive per unit for supply as its size is increased. desalting process used and the source of the feed and
At the same time, many projects for conventional blending water. 1 7
water supply will involve long-distance transfers, Reuse of treated wastewater will be of increasing
substantial investment for capacity not immediately importance in the future. Where mineral buildup
required, and significant environmental and social through reuse is a problem it may be desirable to
questions; thus, they involve other kinds of costs. utilize desalting for its removal. While in any instance
chemical precipitation or dilution with high-quality
Through Staged Construction: There are advantages water may be attractive alternatives, the potential for
accruing to desalting, derived from its flexibility to desalting in connection with wastewater reuse could
adapt to stage construction. Since desalting plants can be significant. This potential has had very little
be built in modules, they can be scheduled to meet attention in the research investigations of the saline
increases in uses, as such uses grow. Conventional water program but now is receiving increasing atten-
water supply sources usually require investment in tion. It may become an area of early major applica-
large single increments of capacity, often resulting in tion for desalting.
unused capacity for many years. Such unused capac-
ity is costly, because interest and other fixed costs 37 HAYCOCK, Edwin B et al. (1968). Utah Desalting Study,
must be paid whether capacity is fully utilized or not. Preliminary Assessment of Desalting and Electric Power
Even more important, perhaps, are the smaller incre- and Process Steam Production for the Wasatch Front Area.
Utah Department of Natural Resources, U.S. Office of
mental requirements for capital investments associa- Saline Water, and U.S. Atomic Energy Commission, Salt
ted with desalting and the better cash flow to meet Lake City, Utah. pp. 7, 149.

340

Ae V,

F f.

Forced circulation vapor-compression plant at Roswell, New Mexico

Desalting may be used as a means of treating point- would be operated on an intermittent or interim basis
sources of some kinds of pollution. For example, the to supplement natural or regulated surface supplies.
Office of Saline Water and the Bureau of Reclamation The ability of a desalting plant to be operated as
have undertaken a program for the control of salinity needed makes it adaptable to such a function. It
on the Colorado River. Under this program detailed would be used during seasonal peaks, periods of
study will be given to the potential for using desalting drought, or when the capacity of reservoirs or other
to control pollution by dissolved solids from mineral- water supply facilities had been reached, because of
ized springs or other point-sources and from irrigation expanding requirements, but before additional facili-
return flow. ties were constructed. In effect, this would stretch
Desalting and conventional water supply systems conventional water supplies and their associated
may be operated conjunctively. Under this approach, facilities. The economics of this approach do not
assuming a source of feed water, a desalting plant seem to have been thoroughly explored. However,

341

conventional water supply sources have a much Probable Markets for Desalting
higher ratio of fixed capital costs to variable opera- The future market for desalting will depend upon
tional costs-on the order of 75 percent capital cost the interaction of a number of factors. Costs of
to 25 percent variable operational cost-compared production to be attained in the future will be
with a corresponding ratio of about 40 percent to 60 significant as will the costs of any potential alterna-
percent for desalting plants. This might give desalting tive. But other factors such as institutional and social
some advantage over conventional sources as an considerations also will be important. In 1971, the
intermittent source of supply because the signifi- Office of Saline Water analyzed in a preliminary way
cantly smaller capital investment in facilities used the potential market by the year 2020 for desalting
only periodically may result in lower unit costs for under different assumptions regarding population
the standby capacity. However, capital cost per unit growth, availability of alternative sources of water
of production will often be higher for desalting than supply, water quality requirements, the degree of
for conventional sources of supply, particularly when water recycling, and other factors." That study
ground water is a possible alternative. The use of indicated a wide range in the potential for desalting
desalting as a water supply source, in any instance, depending upon the particular set of assumptions.
should be reviewed in terms of its impact upon the For example, a baseline projection of 7.7 b.g.d. was
total water system economics as compared to alterna- found if future water demands are about equal to the
tive sources meeting the same needs. projections of the First National Assessment, dis-
Environmental Problems cussed in Chapter 1, and if technology continues to
improve and costs continue to decline. On the other
Disposal of waste products from desalting plants hand, if costs were to remain constant at present
can be a difficult problem under some circumstances. levels and alternative water sources were available,
The volume of brine effluent from a sea water the desalting demand would be relatively small at 1.1
conversion plant typically is about 50 percent of the b.g.d. If no further water importation projects were
total volume treated. The effluent from a 10 m.g.d. permitted, the study suggested a desalting demand of
plant will contain about 2,000 tons of salt residue 40 b.g.d. A number of other projections 1@eyed to
daily. Where discharge can be made to the sea, different possible factors fell within these two ex-
disposal problems will be relatively minor, but the tremes.
impact on the local ecology will still need to be The study also indicated that the demand for
investigated. Where disposal is inland, the problem desalting is highly sensitive to cost differences. The
will be much greater. Possible inland disposal tabulation below based upon operating a 100 m.g.d.
methods include evaporation ponds, transport by plant, with costs adjusted to a 1972 level, indicates
conduit to the ocean or other salt water body, deep the effect of different costs on the demand for
well injection, or central stockpiling of dry salts. Each desalting.'o
disposal method has disadvantages, some from the
viewpoint of costs, others from the viewpoint of Assumed desalting costs Desalting capacity justified
possible environmental effects. The market for most in 2020 in 2020
of the salts is limited, so recovery and disposal (cents per 1,000 gallons) (b.g.d-)
through sale will not be practical in most instances.
Desalting plants can add to local environmental 42 2.5
problems by discharge of waste heat from (a) produc- 36 4.1
ing the additional power necessary to desalt and 30 7.8
(b) the heat in the plant effluent when a distillation 24 15.7
process is used. While these heat discharges could be 16.6 31.8
significant locally, they would represent small values
in national totals. Significantly less heat will be As indicated earlier, these cost figures, especially at
discharged when power production and desalting are the lower end of the spectrum, may have to assume
combined into a single dual-purpose plant."
18STATE OF CALIFORNIA, Department of Water Re- 19U* 'S. OFFICE OF SALINE WATER (June 24, 1971).
sources (1969). Desalting-State of the Art, State of Briefing Session for the Desalting Industry. U.S. Depart-
California Bulletin No. 134-69, State of California, Sacra- ment of the Interior, Washington, D.C.
mento, p. 33. 201bid., p. 2 1.

342

low interest rates or other favorable conditions in (which is more or less pure) cannot be equated to
order to be achieved. that of an acre-foot of natural water (which usually
contains some salt)." If water of very good quality
Markets for Municipal Use: Much of the future such as that obtainable by distillation were used for
market will be for small- and medium-sized plants, up irrigation, water use could be limited essentially to
to 10 m.g.d., to serve small communities, industries, that required for the plant's growth. With such water,
and remote developments in and areas. Applications a high level of management could be combined with
may develop, as well, for medium-sized plants, of 10 the most modern agricultural technology and special-
to 50 m.g.d., as increments to the water supply for ized plants to create a very productive agriculture. This
medium or large cities. In special situations, costs potential probably will not be realized at present
could be competitive. desalting costs.
Still larger plants in the 50 to 250 m.g.d. range There appears to be a limited opportunity for
could serve the needs of large cities or regional growing specialized crops in enclosed environment
municipal supply systems. Costs may be competitive systems with desalted water .23 A multipurpose ex-
with alternative sources of water in and areas near the perimental plant at Puerto Penasco, Baja California,
coast, such as Southern California, or in areas of in Mexico has been sponsored jointly by the Universi-
brackish water, such as Utah. However, extending ties of Sonora and Arizona. The plant combines a
known technology to this size of plant, probably 2,400 g.p.d. power-desalting plant with air-inflated
involving dual-purpose operations, is a step into the plastic greenhouses to grow vegetables under con-
unknown. trolled environment conditions. Since water evapo-
Desalting may serve not only as a means of rated or transpired by the plants is not lost to the
supplying water for municipal and industrial uses, but atmosphere and there are no other water losses,
also for improving the quality of existing supplies. consumptive use is about one-tenth of that common
Moreover, some 1,200 communities in the United in field irrigation. A 5-acre plant of this type is now
States currently have water rates to the consumer in in commercial operation in the Shiekdom of Abu
excess of 75 cents per 1,000 gallons for the first Dhabi, in the Middle East. A similar 5-acre commer-
10,000 gallons used per month." Future costs of cial plant is now under construction on an Indian
conventional water supplies for these and other reservation near Yuma, Arizona.
communities will certainly be higher than present Other technological innovations, on much larger
costs. The increasing concerns about the effects water scales, have been investigated in more theoretical
development will have upon the environment, institu- terms. Of particular interest is a large-scale agro-
tional constraints, and competition from other types industrial combination grouped around nuclear
of water use all will add to the difficulty of energy centers studied by the U.S. Atomic Energy
developing conventional water sources in the future. Commission's Oak Ridge National Laboratory and by
Desalting may have application in areas having these Texas A&M. This complex would provide electric
types of problems even prior to the time that costs energy and desalted water, and process steam and raw
are reduced and desalted water becomes more nearly materials for a variety of industries. It also would
competitive with that from other sources. provide desalted water for irrigation.
There are many questions to be answered before
Markets for Irrigation Use: The forecasts of water desalting for irrigation use occurs; certainly, signifi-
cost for plants in the large 50 to 260 m.g.d. size cant irrigation use is not justified with present or
range, using existing technology (S80 to $180 per immediately foreseen technology. Nevertheless, it is
acre-foot), would seem to rule out irrigation use of too early to write off the possibility of future
desalted water when compared strictly on a cost-per-
acre-foot basis. However, studies have demonstrated 21U.S. OFFICE OF SALINE WATER (1969). Value of
that this kind of comparison is not altogether Desalted Water for Irrigation, Research and Development
valid-the utility of an acre-foot of desalted water Progress Report No. 489, U.S. Government Printing
Office, Washington, D.C.
"AMERICAN CITY MAGAZINE, Pittsfield, Mass. (1971). 23HODGES, Carl N & HODGE, Carle 0 (1969). Power,
Nationwide Study of High Municipal Water Rates, Re- Water and Food for Desert Coasts: An Integrated System
search and Development Progress Report No. 719, pre- for Providing Them. Paper presented at 66th Annual
pared for U.S. Office of Saline Water. U.S. Government Meeting, American Society for Horticultural Science,
Printing Office, Washington, D.C. p. 4. Pulhnan, Washington.

343

irrigation use for specialized crops and situations. It ment if it is to judiciously appraise the costs, the
should be recognized, however, that even very limited environmental and social impacts, and the suitability
use for irrigation would' represent a large desalting of desalting as an alternative to other large-scale water
investment-about 10,000 irrigated acres alone would development projects (such as interbasin transfers of
require the entire present 55 m.g.d. desalting capacity water) that involve Federal funding. The Atomic
of the U.S. At half the delivery requirement of Energy Commission characterized the role of a
Colorado River water, costs of desalted water using prototype desalting plant as being similar to that of
existing nuclear technology would still be equivalent the Shippingport nuclear power generating plant of
to $40 to $90 per acre-foot, greatly in excess of the the 1950's which demonstrated the practicability of
$2 to $10 per acre-foot average price of irrigation such plants and which was supported by Federal
water (which usually includes substantial subsidies) funds."
and even in excess of the estimate value added by Hence, the Commission believes that the Federal
irrigation of specialized crops in Arizona, computed Government should provide assistance in the con-
as being $27 to $36 per acre-foot." struction of a large prototype desalting plant for
Application of Desalting Technology research and development purposes. To the extent
that other entities secure benefits from such a
Desalting plants capable of contributing signifi- research and development effort, they should be
cantly to a resolution of metropolitan area or regional obliged to share in its costs to the equivalent of what
water problems must be substantially larger than any they would otherwise have had to pay for the
operating today. While research and laboratory tests benefits they receive.
on desalting processes and pilot plants are important Large desalting plants will be constructed of
steps in research and development, a final step, the individual desalting modules or units having a capac-
prototype stage, also is important to prove and ity of perhaps 20 to 40 m.g.d. each for plants using
demonstrate, a major new technology such as desalt- the distillation process. Membrane processes, on the
ing. The Saline Water Conversion Act of 1971" other hand, do not require as large a unit module size.
authorized and directed the Secretary of the Interior Units of 10,000 to 100,000 g.p.d. capacities using the
to report to the President and Congress within I year reverse osmosis process can be added in modular
his recommendations as to the best opportunity for fashion to make up plants of over 100 m.g.d. total
the early construction of a prototype desalting plant. capacity. From a purely technical viewpoint, while a
The Act defines prototype as, ". . a full-size, first-of- single module would provide adequate data on the
a-kind production plant used for the development, problems involved in scaleup from the smaller pilot
study, and demonstration of full-sized technology, plants, such a single module could not demonstrate
plant operation, and process economics." all of the problems or take advantage of the oppor-
While the Secretary, in response to that directive, tunities encountered in a full-size plant operation. As
reported in 1972 that a desalting plant site meeting indicated earlier, for example, the least cost of
all of the requirements had not been satisfactorily production for a distillation plant will be reached at
identified, the need remains for prototype experi- about 100 m.g.d. Moreover, a prototype plant should
ence. be designed for and capable of helping to meet an
It appears highly likely that solutions to the existing water problem which could require a plant
inevitable problems that accompany scaleup in plant capable of a dependable output.
size can only be obtained in reasonable time with Depending on the circumstances, then, it may be
Federal assistance. In addition to questions related to appropriate for the prototype plant to consist of two
plant design, purchasing, managing, and operating or more modules. This matter will need to be weighed
desalting plants involve considerations needing atten- when the particular prototype plant is under consid-
tion. Early answers to questions about the actual cost eration.
of such plants are important to the Federal Govern-
24 NATIONAL ACADEMY OF SCIENCES (1968). Water 2 6 U.S. CONGRESS, Senate, Committee on Interior and
and Choice in the Colorado Basin, A Report by the Insular Affairs (1971). Saline Water Conversion Program,
Committee on Water of the National Research Council. Hearings before the Subcommittee on Water and Power
Publication 1689. NAS, Washington, D.C. Resources, on S. 716 and S. 991, 92nd Congress, lst
2 5 P.L. 92-60, July 29, 1971, 85 Stat. 159, 42 USCA 1959 et Session. U.S. Government Printing Office, Washington,
seq. D.C. p. 141.

344

The Commission appreciates the fact that proto- 10 m.g.d. using the distillation process but that
type experience with a single process using water important improvements in the reverse osmosis and
from one source may not be transferable fully to freezing processes may occur and research in these
plants using other feed water sources or desalting areas should continue.
processes and that other prototype plants may be The Commission believes that federally sponsored
desirable. This is a matter which will need to be research and development on small desalting plants
considered in the light of experience with the initial (less than 10 m.g.d.), except for the reverse osmosis
prototype plant and of the results of the continuing and freezing processes and for other processes needed
research and development program. in connection with large plant development, should
be gradually eliminated over a 3-year period. The
CONCLUSIONS ON DESALTING Federal research and development effort should be
continued with respect to development of larger
Because of increasing future water demands and desalting plants and multipurpose desalting plants.
relatively fixed natural supplies of water, it is likely The second policy matter concerns the magnitude
that desalting will play a significant future role in the of the Federal Government's desalting research pro-
United States. This applies especially to the use of gram as that program relates to other Federal research
smaller desalting plants, less than 10 million gallons programs. In recent years, the U.S. Office of Saline
per day (m.g.d.) capacity, in areas where other Water (OSW) program has been on the order of $27
supplies are costly, where there are natural supplies of million annually. About half of this was for demon-
brackish water, where existing supplies need to be stration purposes. The OSW program has been about
upgraded, or where point-sources of dissolved solids double that of the Office of Water Resources Re-
can be treated. There probably will be significant search (OWRR) (also in the U.S. Department of the
opportunities also for plants of up to 50 m.g.d. or Interior) and about four times the Bureau of Recla-
larger as an incremental supply or for intermittent mation's program of research in precipitation modifi-
and conjunctive operation with existing surface and cation. The level of funding for research and demon-
ground water sources. Large plants in the 50 to 250 stration by OSW appears appropriate. Any disparity
m.g.d. range offer promise for desalting sea water between OSW and OWRR with respect to available
primarily at this time through dual-purpose technol- funds would seem to reflect a deficiency for OWRR
ogy (e.g., desalting and power production), but the rather than an excess of funding for desalting.
extent of this potential cannot be established without Third, there should be some reshaping of the
prototype experience. Still larger dual-purpose power desalting program. There is need for more study
generation and desalting plants up to 1,000 m.g.d. in relating to the application of desalting to other
size have been considered and analyzed for irrigation supply source s-desalting for interim use or in staged
and industrial purposes, but they involve still greater developments and for conjunctive uses. There also is
uncertainties. Desalting projects using energy from need to give detailed study to the use of interruptible
outside sources are becoming less and less attractive energy for desalting purposes. Applications of desalt-
as the cost of energy increases. They are only really ing to environment improvement will play an increas-
attractive when they utilize or make possible the ingly important role as wastewater criteria become
more efficient use of waste heat that might otherwise more severe. Research and development to improve
be lost, or a source of natural heat such as geothermal the capability to meet these requirements should
or solar energy. continue.
There are certain policy matters relating to the A fourth matter is that of the proposed prototype
future course of the Federal effort in any national program. While the Commission endorses the concept
desalting program. The first is whether the basic of Federal assistance for a large prototype desalting
desalting processes are sufficiently developed so that plant for research and development, it has some
private industry can assume most of the future apprehension that the precedent might be used to
research and development costs for small-sized plants. justify Federal funds for other large plants to follow.
Many of the processes are now in commercial While it is possible that future developments in
production and the Commission believes that desalt- carefully selected instances where private capital will
ing research and development is far enough advanced not be made available might justify some Federal
to eliminate the most important design, construction, support, the Commission's endorsement at this time
and operational risks for desalting plants smaller than is limited to one large prototype plant.

345

RECOMMENDATIONS pressing hail, or dispersing fog. Hence the title
"Precipitation Augmentation" rather than "Weather
9-1. The basic research and development program Modification."
of the Federal Government for desalting plants The problem, essentially, is to appraise the extent
in the size range up to 10 m.g.d. should be to which precipitation augmentation can be relied
largely phased out within the next 3 years. The upon as an effective and economical means of
Federal Government should retain a research increasing usable water supplies. This appraisal, to be
and development interest in small desalting most meaningful, needs to be made in steps. First of
plants only for the freezing and reverse osmosis all, an evaluation of the effectiveness of cloud
processes and for other processes not com- seeding, the principal method for stimulating precipi-
mercially proven which will be needed to foster tation, needs to be made. Second, it is important to
development of large plants. The research and convert knowledge about effective cloud seeding into
development program for larger desalting knowledge about whether or not and the extent to
plants and for multipurpose applications which an increase in precipitation can be channeled
should continue to be federally supported. into a usable water supply. Third, the costs involved
9-2. The Federal Government should provide a must be identified and compared with the benefits
grant to aid in the construction and operation from precipitation augmentation efforts; costs of a
of one large prototype desatting plant when the
technology has been developed adequately and social or environmental nature as well as economic
where there is a clear requirement for the water costs should be taken into account. Fourth, precipita-
produced. The amount of such Federal as- tion augmentation programs need to be examined from
sistance should be limited to the residual the viewpoint of their ability to yield information
needed for predicting the different direct and indirect
uncovered costs of the project after power effects. And, finally, examination of the .legal and
supply and water supply entities which will be institutional implications of precipitation augmenta-
direct beneficiaries of the project have con- tion is necessary in order to define the potential
tributed amounts equivalent to the lowest cost liabilities and remedies, and the appropriate regula-
alternative power and water supplies which tory mechanisms needed to assure maximum net
they would otherwise be obliged to pay for in benefits to society.
the absence of the prototype facility.
Brief History' 7
PRECIPITATION AUGMENTATION
The most common basis for precipitation augmen-
In recent years, through scientific inquiry and tation is cloud seeding. The theory behind cloud
experimentation, the prospects for successful modifi- seeding is that under certain conditions, air contain-
cation of rainfall and snowfall patterns have begun to ing a great deal of moisture will not yield precipita-
look promising. tion, or as much precipitation as might possibly
Still, a certain amount of criticism and controversy occur, because of the absence of nuclei-microscop-
surrounds the subject of precipitation augmentation. ically small particles of dust, crystal, or chen-dcal
Many of the witnesses at the Commission's regional droplets. By implanting such particles artificially in
conferences in early 1973 urged the Commission to supersaturated clouds, rainfall can be stimulated.
withdraw support of precipitation augmentation be- Precipitation augmentation through cloud seeding
cause of possible adverse environmental impacts. It is has been practiced for about 25 years. Although the
the purpose of this section to analyze the state of the theoretical basis for such modification was estab-
art, to consider future prospects an 'd implications, lished in the 1930's, it was not until 1946 that
and to suggest the way in which appropriate public laboratory experiments with silver iodide crystals
policy should be formulated in order to extract established the probability of its effectiveness. By
optimum public benefits from the new knowledge as 1952, cloud seeding programs had been attempted
it develops. over more than 10 percent of the land area of the
The discussion is limited to the subject of modi- United States.
fying precipitation for the purpose of increasing "Based on LACKNER, Jack D (197 1). Precipitation Modifi-
usable water supplies. It does not deal with other cation, prepared for the National Water Commission.
weather modification efforts designed to affect National Technical information Service, Springfield, Va.,
natural climatic force s-preven tin g hurricanes, sup- Accession No. PB 201534. pp. 11-16 to 11-21.

346

Silver iodide generator on Bridger Ridge north of Bozeman, Montana

A period of retrenchment set in shortly thereafter, Appraisal of Precipitation Augmentation
as the need for evaluation of cloud seeding became The processes and potentials of precipitation aug-
apparent. By 1956, cloud seeding activities had been mentation are not all completely understood. Conse-
reduced to about one-fourth of the 1952 peak and quently, at the present stage of the technology it is
thereafter stabilized at this level until about 1962, difficult to predict with confidence the results of all
when they began a slow but steady increase. types of cloud seeding. In the past, uncertainty about
Recent emphasis has been upon basic and applied results and about resulting side effects has been a
research sponsored primarily by the National Science principal restraint in the formulation of policy on
Foundation and the Bureau of Reclamation, U.S. precipitation augmentation. Total failures are fairly
Department of the Interior. Federal funding for this easy to identify. If neither rain nor snow is produced
research in Fiscal Year 1972 was about $8.4 million after cloud seeding, the effort failed. If, however,
annually, which included extensive experimental cloud seeding is followed by precipitation, it has not
operations by the Bureau of Reclamation in the always been easy to prove that the precipitation
Colorado River Basin. Other Federal research includes would not have occurred anyway in the absence of
that of the National Oceanic and Atmospheric Ad- the seeding. Recent advances in knowledge of the
ministration in the U.S. Department of Commerce."' processes involved, however, have been quite signifi-
cant and suggest that a reasonable and useful appraisal
can be attempted.
29 U.S. FEDERAL COUNCIL FOR SCIENCE AND TECH-
NOLOGY, Interdepartmental Committee for Atmospheric Effectiveness of Cloud Seeding: Experiments to
Sciences (May 1972). National Atmospheric Sciences
Program, Fiscal Year 1973, ICAS 16-FY73. Executive increase precipitation have yielded results ranging
Office of the President, Washington, D.C. p. 93. from precipitation increases of as high as 200 percent

347

for some individual storms, to slight decreases in the Nation, they provide the primary summertime precip-
amount of precipitation which otherwise would have itation for the extensive agricultural areas of the
been expected. On the basis of these results, it has Midwest, as well as for the high plains east of the
become apparent that precipitation can be increased Rocky Mountains. Experiments have demonstrated
under some sets of circumstances but not under that seeding convective clouds may increase precipita-
others. Until recently, however, the wide range of tion. The magnitude of increases, however, cannot
results seemed to be inexplicable. yet be predicted with assurance.
The most significant advance in recent technology Relatively few modification experiments have been
has been the development of mathematical models conducted on "cyclonic" storms, in which the lifting
which explain the effects of seeding and which can be action stems from the interaction of cold and warm
used, in a limited number of cases, to predict likely air masses. These storm systems occur over large areas
precipitation changes with some degree of confi- of the United States and provide major precipitation
dence. This prediction capability varies with the three to all areas, especially to areas east of the Rocky
types of cloud systems, described below as oro- Mountains. The documented results of the few
graphic, convective, and cyclonic. precipitation augmentation tests conducted on cy-
The most promising precipitation augmentation clonic cloud systems have been inconclusive.
results have been obtained from "orographic" cloud
systems, where mountain ranges force moisture-laden
air upward to form clouds. Orographic precipitation Effect on Usable Water Supply: Increases in average
is the predominant form in the Western United precipitation do not necessarily produce proportional
States, where most precipitation accumulates during increases in usable water supply, for several reasons.
the winter season at higher elevations as snow. In the First, there is not a linear relationship between
Colorado River Basin, for example, orographic cloud precipitation and runoff. That is to say, I inch of
systems provide a very high percentage of the annual additional precipitation in a given season does not
precipitation. The conditions necessary to increase yield the same incremental additions to usable water
precipitation from such clouds have been reasonably supply as an earlier or a later inch of precipitation,
well established. The resulting average annual in- depending on, among other things, the amount of
creases in precipitation, under existing techniques, precipitation which has already occurred in that
may range from zero up to about 20 percent. season.
The Bureau of Reclamation estimates that a cloud Secondly, although research data are limited, most
seeding prograrn for a 14,300-square mile area of the investigators conclude that opportunities to increase
Colorado River Basin could increase precipitation precipitation in drought periods, when increases in
about 15 percent, which would yield approximately water supply are disproportionately valuable, are less
1,870,000 acre-feet of increased net annual runoff.2,9 frequent than in wet periods, when water supply
This estimate was based on some generalized assump- increases carry less utility. This disproportion be-
tions that certain losses normally experienced after tween the effects in wet and dry periods can result in
precipitation but before runoff, as well as some losses making some of the increased supply during wet
due to resulting increased vegetation, would occur. periods unusable unless there is sufficient storage
The estimate is useful for the purpose for which it capacity available to hold water from wet to dry
was intended-as a preproject estimate for pilot periods. For streams with a high degree of storage
investigations. However, it has not yet been proven regulation, such as the Colorado River, any augmenta-
by actual experience. tion of flows is likely to be usable.
Precipitation augmentation is more complex for Vegetal cover of marginal value may expand as a
convective" type clouds, which frequently are asso- result of increased precipitation. Unless such increases
ciated with thunderstorms and cover relatively small are controlled through land management techniques,
areas. These clouds are formed by the lifting of air such expanded vegetation can reduce the usable water
resulting from heating at the earth's surface. Al- yield from precipitation augmentation.
though these cloud systems occur throughout the Disappointingly little attention has been directed
toward the relationships between precipitation aug-
29U:S. BUREAU OF RECLAMATION (1971). Project mentation and usable water supply. Simulation
Skywater Atmospheric Water Resources Program. U.S. models that have been developed recently hold
Government Printing Office, Washington, D.C. considerable promise in evaluating some of these

348

relationships.30 There has also been inadequate atten- Ecological research to date indicates that cata-
tion to the determination of the precipitation in- strophic ecological impacts should not be expected.
creases that are possible during critical drought Sustained precipitation augmentation could bring
periods, as well as the degree to which storage about some alteration in the structure of plant and
capacity can be utilized to make more fully usable animal communities through shifts in rates of repro-
the increases in average runoff that might result. duction, growth, and mortality of weather-sensitive
species. For example, while unmanageable outbreaks
Costs: Estimates of costs of precipitation augmenta- of weeds or insects are highly unlikely, big game
tion are cited in several investigative studies. Costs animals could be affected adversely by increased
ranging from $1.00 to $2.30 per acre-foot of addi- snowpack. On the other hand, increased precipitation
tional runoff are cited .3 1 However, these represent might lead to superior browse for big game animals.
only the direct capital and operation costs, and do In any event, ecological changes would require
not include any indirect economic, environmental, or several years to occur, and, due to the relatively small
ecological costs related to side effects. Some side incremental change in precipitation expected, may be
effects may be beneficial, others may be harmful; very difficult to identify and measure. Experimental
hence, indirectly related costs may be negative or modification efforts should include careful monitor-
positive. Also, most of the present cost estimates are ing of ecological changes, particularly the long-term
derived from planning reports. As such, they repre- and cumulative effects.
sent expectations rather than actual operational Cloud seeding may affect precipitation many miles
performances. Moreover, the question of usability downwind from target areas. There have been some
must be taken into account since it is not at all studies that provide evidence of increasing precipita-
certain that an acre-foot of runoff is necessarily tion as much as 100 to 200 miles distant from target
equivalent to an acre-foot of usable water. Therefore, areas. There apparently is no evidence thus far of any
the cost estimates'cited must be considered to be decreases peripheral to the target areas. Explanations
only approximate and are probably too low. of these effects have been postulated, but the causal
links between cloud seeding and downwind effects
Economic, Environmental, and Ecological Effects: have not been definitively established.
Determining the economic, environmental, and eco- Floods, as well as droughts, have been blamed on
logical consequences of modifying precipitation is augmentation efforts but such claims have not yet
even more complex than evaluating the augmentation been proven. Analysis of simulated increases in
to usable supply. While the direct benefits of precipi- precipitation, particularly in and areas, indicates that
tation augmentation are susceptible to relatively flood peaks may be substantially heightened by
simple economic analysis, the "side effects"-those relatively modest increases in precipitation, as low as
external to the intended purpose of the augmentation 10 percent, for example. Future research should
effort-are much more difficult to analyze. For focus attention on this subject.
example, even within the target areas of these efforts, There have been a number of legal actions initiated
it is possible simultaneously to have both beneficial as a result of presumed side effects from cloud
and adverse effects (e.g., rainfall coming at a particu- seeding but, because of difficulty of proof, no
lar time could be highly beneficial to one crop but damage judgments have been entered.
detrimental to another).

Operational Status: Descriptive mathematical models
3OLUMB AM & LINSLEY RK (1971). Hydrologic conse- of precipitation from orographic cloud systems are
quences of rainfall augmentation. Journal of the Hydrau- now sufficiently advanced to predict, at least in a
lics Division, Proceedings of the American Society of Civil
Engineers 97(HY 7):1065-80. limited number of cases, the effect of cloud seeding
U.S. BUREAU OF RECLAMATION (197 1). Colorado on precipitation. However, economic, environmental,
River Basin Pilot Project, Cloud Seeding Research in the ecological, and other side effects cannot yet be
San Juan Mountains. Bureau of Reclamation, Denver, predicted reliably because of limitations in knowledge
Colo. and AUBERT EJ et at. (1969). The Utilization of and practical experience. Predictive capabilities for
the Atmospheric Water Resources in the Connecticut River convective cloud systems are considerably less accu-
Basin: An Essay, TRC Report 7494-352, prepared for the
U.S. Bureau of Reclamation, contract 14-06-D-6S69. rate. At the present time, the effects of seeding
Travelers Research Corporation, Hartford, Conn. p. iii, cyclonic systems cannot be predicted at A.

349

Aerial view of cloud seeding operation near Payson, Arizona

The present state of knowledge might suggest that largely to authorizations for weather modification
cloud seeding be limited to experimental programs research and development, including precipitation
for the time being. The Bureau of Reclamation augmentation. However, in December 1971, Congress
project for the Upper Colorado Basin, for example, enacted a Weather Modification Reporting Act which
fits this category, and should soon supply much provides that no person may engage in weather
needed preoperational data to guide future opera- modification activity in the United States unless he
tions. Yet, there are certain existing non-Federal submits reports on such activity to the Secretary of
operational projects which have merit, do not appear Commerce." It also contains enforcement and pen-
to cause undue damage, and yield significant opera- alty provisions. The legislation itself does not require
tional data. Realism suggests that such operations be reporting by Federal agencies. No other regulatory or
allowed to continue unless and until the need to policy legislation has been enacted.
impose additional regulation becomes apparent. Rules for implementing the Weather Modification
33
Reporting Act were adopted in October 1972.
Legal and Institutional Implications: No significant These rules require an initial report defining the
body of common law has been found adaptable for purpose, size, and location; describing equipment,
the control of precipitation augmentation. A few seeding agents, and techniques; and showing other
cases that have reached the courts demonstrate that related information to be provided to the Adminis-
traditional tort and property rules are not fully trator, National Oceanic and Atmospheric Adminis-
satisfactory for solving the unique problems posed by tration, before commencing any weather modifica-
precipitation augmentation. tion project or activity. During the project, interim
State legislation shows a marked lack of uniform- reports are to be presented and at its conclusion a
ity: (a) at least one State completely prohibits cloud
seeding, (b) some require licensing and regulation of Weather Modification ReportingAct, P.L. 92-205, Decem-
operators, (c) some attempt to establish strict liability ber 18, 1971, 85 Stat. 735, 15 USCA 330 et seq.
for modification activities, and (d) some provide no 33 U.S. NATIONAL OCEANIC AND ATMOSPHERIC AD-
regulation whatever. MINISTRATION (1972). Maintaining records and submit-
While substantial congressional interest has been ting reports on weather modification activities. Federal
demonstrated, Federal legislation has been limited Register 37(208):22977, October 27, 1972.

350

final report is to be prepared and submitted. These until results of current research develop better
reports are to include specific data such as number of information on (1) operational capability,
days of field operations, number of seeding missions, (2) side effects, and (3) the extent of regula-
amount of seeding agent used, and similar data. The tion needed. When adequate research results
regulations also require maintenance and retention of are available, Congress should consider regula-
adequate records. tory and other policy legislation.
The potential impact on downwind areas and the 9-5. The Act of December 18,1971, under which the
possibility of other side effects probably will lead to Secretary of Commerce has promulgated rules
interstate involvements, calling for some type of and regulations for reporting on all weather
Federal regulation. Ultimately, a Federal policy to modification activities should be made applica-
regulate cloud seeding operations that have any ble to Federal agencies. This could be accom-
potential for interstate influence will be required plished by an executive order.
because of such interstate aspects. However, it does
not seem wise to develop or implement specific INCREASING WATER SUPPLY
policies until the processes of precipitation augmenta- THROUGH LAND MANAGEMENT
tion and their side effects are understood more
thoroughly. Substantial understanding is rapidly be- The manner in which a watershed is managed can
coming available through the research program of the affect the amount and quality of water available for
Bureau of Reclamation and other research efforts. use. Four land management techniques hold potential
The processes should be adequately understood to for increasing the useful supply of water: (1) vegeta-
permit policy formulation by or before completion of tion management in forest and brush areas, (2) phrea-
the Bureau of Reclamation's present research pro- tophyte control along river banks, (3) snowpack
gram scheduled for 1977. Until then, operational management in forest and alpine areas, and (4) water
regulation should be limited to that provided by State harvesting by treatment of soil surface to increase the
and local entities. When the understanding of proc- collection of precipitation.
esses and side effects permits, Congress should Experiments conducted in the United States since
address itself to appropriate legislation which would 1909 indicate that water yield can be increased by
identify the Federal role and establish such Federal altering the amount and kind of vegetation on a
policy as may be needed in applying and regulating forested watershed. Moreover, forest cutting patterns
this imminently emerging technology for the benefit also can affect water yield.
of society. Phreatophytes, deep-rooted vegetation growing
CONCLUSIONS ON PRECIPITATION along the banks of canals and rivers, present a unique
AUGMENTATION circumstance. They exist in the shallow water-table
environment along the banks of streams, in the flood
The Commission concludes that precipitation aug- plains, and in the delta areas at the heads of
mentation has potential as a technique for increasing reservoirs. Because their root systems connect di-
future water supplies. The technique will probably be rectly to the water table, and because they often
limited initially to certain areas of the Nation and to receive large quantities of advective energy from
certain times of the year. But there is insufficient adjacent dry areas, they consume great quantities of
information at present to develop a comprehensive water. Phreatophyte control has been the subject of
national policy with respect to this technology. research efforts since 1940.
Nearly 40 years ago, the possibility of increasing
RECOMMENDATIONS water yield by snowpack management was suggested.
9-3. Research on precipitation augmentation should A range of techniques, including snow fencing, can
continue with emphasis not only on increasing affect the timing and the amount of snowmelt runoff.
rainfall and snowfall propitiously, but also on When managers of water resources undertake inves-
means of determining the effect on usable tigations of the various options open to them for
water supplies and on downwind and side augmenting water supplies, their catalog of alterna-
effects, particularly those having economic, tives should include land management techniques.
environmental, or ecological consequences. For some situations, increasing water supply through
9-4. Development of comprehensive Federal policy land management might be the best way to proceed.
on precipitation augmentation should wait Under certain circumstances, these techniques carry

351

ON 61

Decreasing forest undergrowth increases usable water supplies

with them only nominal adverse side effects and, have to be subordinated to other more beneficial
occasionally, beneficial side effects which should objectives.
certainly not be overlooked. An important objective Second, land management techniques to increase
of this section is to explore the potentials of land water supplies must not be viewed in isolation. They
management techniques so that they will be taken are but one of several approaches to increasing the
into account properly by water managers and, where amount of water available for use. In considering the
appropriate, implemented-either alone or in conjunc- array of alternative techniques, it is clear that one
tion with other water augmentation methods. need not operate in a particular area on an exclusive
Before initiation of land management to increase basis. On the contrary, as different technologies
usable water, a number of factors must be considered. evolve, it will probably be desirable to combine one
First, it must be understood that increasing supplies or more techniques so they may operate in concert
of water is not the only objective of land manage- with one another, particularly when the simultaneous
ment. In some situations it may be a relatively minor action of separate techniques working together have
benefit resulting more or less incidentally from the greater combined effect than the sum of their
comprehensive management of land and, where con- individual effects in isolation.
flicts in multiobjective resource management pro- Land management techniques themselves have to
grams occur, improving usable water supplies may be explored and the magnitudes of their respective

352

water-augmenting potentials examined to give some smaller increases and, in some cases, no increase at all.
perspective to the problem. Each of the four tech- Generally, forest management which involves harvest-
niques identified will have implications not only from ing all of the trees in selected areas tends to produce
a water supply standpoint but from a comprehensive greater increases in runoff than is produced by
land management standpoint as well, and this, too, comparable reductions in vegetative cover by harvest-
must be considered. The differences in opportunities ing timber on an individual tree selection basis. In the
between privately owned land and public lands are East, most of the *increased water yield occurs during
also of importance. the growing season; in the West, during the winter
and spring. Data indicate a steady decline in increased
Managing Forests and Brushland to Increase Water annual water yield after the first year of vegetative
Supplies cover removal. The rate of decline depends upon the
Forests, brush, and range lands are important rate of revegetation.
sources of the Nation's water supply. Commercial and Conversion of one type of vegetal cover to another
noncommercial forests occupy approximately one- in forests and brushlands has produced rnixed results.
third of the total land area of the United States, In the East, a conversion from hardwoods to eastern
receive about one-half the total precipitation, and yield white pine may reduce water yield, while conversion
about 65 percent of the Nation's total streamflow. Of of hardwoods to grass tends to increase water yield.
the annual precipitation of the Nation, amounting to In the Southwest, conversion from trees to grass, on
an average of 30 inches, forest lands receive 42 inches moist sites, has significantly increased runoff. Sim-
compared with 24 inches on all other lands. Forest flarly, in the West, substituting grasses for chaparral
lands yield 17 inches of annual runoff compared to 4 has been found to increase water runoff.3 6
inches from other landS.3 4
Because vegetation affects the quality and quantity Managing Streambanks, Canalbanks, and Flood
of water yield from a watershed, management prac- Plains to Increase Water Supplies
tices can be applied to improve the useful water Experimental data suggest that where rainfall is
supply. Vegetation impacts upon the water supply in relatively plentiful, removing riparian vegetation (i.e.,
a number of ways. It intercepts rain and snowfall vegetation which grows on the banks of rivers or
which are evaporated from the surface of leaves and lakes) produces no greater water yield increase than
needles. It draws moisture from the soil and releases does the removal of similar quantities of vegetation
it into the atmosphere by transpiration. Through the elsewhere on a watershed. The situation is different
beneficial effects of its roots, its leaves, and other where precipitation is low. In the and and semiarid
residue, it may facilitate infiltration of precipitation areas of the Southwest, phreatophytes occupy about
into the' soil. And it tends to shade the soil and 16 million acres of land. These plants inflict signifi-
reduce wind velocity, thus reducing evaporation from cant drafts upon ground water and reduce the flow of
the soil surface. streams and discharges of springs. In some cases, this
The net loss of water through evaporation and vegetation invades stream channels, reduces channel
transpiration from the vegetative cover on a water- capacity, and thereby tends to increase flood stages.
shed varies with the amount and kind of vegetation However, its removal may result in higher flood stages
present, and, in forested areas, with the forest cutting downstream.
practices employed. By altering the amount and kind Many Federal, State, and local agencies have
of vegetation and the forest cutting practices, water undertaken phreatophyte research and control pro-
yield can be affected. grams. Data from some programs now being imple-
Harvesting timber tends to increase runoff. Fxperi- mented indicate the extent to which available water
ments with total forest cover removal have resulted in supplies might be increased by reducing the consump-
first-year increases in runoff ranging from 1.3 to 18.0
31 tion of water by phreatophytes. It is estimated that
inches. Partial removal of vegetative cover produces removal of 6,000 acres of saltcedar and mesquite, two
common phreatophytes, along the Rio Grande River
34 SOPPER, William E (1971). Watershed Management, pre- will produce an annual increase of about 14,000
pared for the National Water Commission. National Tech-
nical Information Service, Springfield, Va., Accession No. 36HIBBERT AR (February 1971). Increases in strearnflow
PB 206 370. p. 2, after converting chaparral to grass. Water Resources.
"Ibid., p. 17. Research 7(l):71-80.

353

acre-feet of water for use. Along the Gila River in topography, are important factors that influence the
Southern Arizona, 11,200 acres of phreatophytes are distribution and melting of the snowpack. In many
estimated to consume about 40,000 acre-feet of cases, manmade barriers can affect the distribution of
water annually .31 Phreatophytes often provide very snow. Accumulating snow in deeper packs as a result
important wildlife habitat, particularly in the South- of barriers tends to prolong the period of snowmelt
west, and their removal increasingly is being opposed runoff. Snow fences may accumulate as much as 50
by sportsmen and conservation groups. Otherwise., acre-feet of water per mile of fence. Costs for
the plants usually are of only limited value. additional water yield from snow fencing in the
In managing streambanks to increase water sup- Rocky Mountains are currently estimated at about
plies, a distinction should be made between phreato- $23 per acre-foot.
phytes which constitute native vegetation and those In forest areas, the watershed can be managed to
which represent invasion of a non-indigenous species affect snow accumulation and melt. Openings in the
as a result of overgrazing or other land management forest tend to trap snow, and wind currents redistri-
practices. A distinction should also be made between bute it into the forest where the shade provided by
phreatophytes which line the banks of natural water- the trees protects it from the sun. Moreover, studies
courses and those which have grown up along the have shown that in forest openings the maximum
banks of canals, irrigation ditches, and other man- snow accumulation was on the downhill side where
made watercourses and impoundments. Finally, cold air draining downhill was restrained by the trees,
tradeoffs should be evaluated. If the efficiency of an thus reducing winter snowmelt. The redistribution of
irrigation project is threatened by a proliferation of snowpack resulting from the creation of openings in
phreatophytes which line artificial canals, which are the forest also tends to produce increased stream-
not native vegetation, and which, if allowed to remain flows. This is probably because (1) some water,
uncontrolled, would bring pressures to bear for formerly used to replace soil moisture consumed by
additional and otherwise unnecessary supplementary vegetation, is available for strearnflow instead,
irrigation works to offset the reduction in efficiency, (2) reducing vegetation decreases interception; snow
it may be more sensible and involve less cost on foliage evaporates more rapidly than snow on the
(economic and environmental) to control those phre- ground (lower albedo of the snow-foliage mix and
atophytes than build additional irrigation works. The exposure to wind movement), (3) more snow is
ensuing discussion in this section on Balancing Con- deposited in openings where soil moisture deficits
flicting Interests describes the factors which should are least, and (4) snow in an opening is exposed to
be considered in evaluating phreatophyte control evaporation for a shorter time. Moreover, once the
programs. snow in an opening begins to melt, it melts more
rapidly than snow in the forest, reducing the opportu-
Managing Snowpack to Increase Water Supplies nity for evaporation and transpiration losseS.3 I
Particularly in the West, alpine and commercial It is possible to manage forest areas to increase
timber snowpack zones yield a major portion of the snow accumulation, or delay or advance melt, for the
water runoff. In Colorado, for example, the alpine purpose of regulating the amount of water yield and
area produces an estimated 20 percent of the State's the timing of delivery. Generally, reducing forest
water runoff, but comprises only about 3-1/2 percent vegetation tends to facilitate greater snowpack ac-
of the State's land area. In California, 51 percent of cumulation. Snow accumulation in clearcut areas
the total runoff yield is produced in the snowpack of tends to be greater than in areas selectively cut.
the State's commercial timber and alpine zones. 38 Stripeutting, however, tends to result in greater
The amount of usable water yielded from snow- accumulations than clearcutting large areas.
The timing of snowpack melt is also affected by
packs is a function of the amount of snow accumu- cutting practices. Particularly in some areas of the
lated and the rate and timing of melt. Sunshine, West, uncut forests provide more water from snow-
temperature, and wind, as they are influenced by 39HOOVER MD (1969). Water yield improvement for the
3 timber snow zone of the Central Rocky Mountain area, pp.
7 SOPPER, William E (197 1). Watershed Management, pre- 111-116 in MEIMAN, James R [ed.] Proceedings of the
pared for the National Water Commission. National Tech- Workshop on Snow and Ice Hydrology, at Colorado State
nical Information Service, Springfield, Va., Accession No. University, August 18-22, 1969. U.S./IHD Snow and Ice
PB 206 370. p. 88. Work Group, c/o Colorado State University, Fort Collins,
"'Ibid., p. 56. Colo.

354

L
=1V71''ZO r
M-1

%jif

W T

"two,

77,

i'm 11 CA"-, 1

Winter snowpack can be managed to increase usable water supplies

melt later in the year than do large clearcut areas. Managing Soil Surfaces to Increase Water Supplies
Selectively cut areas, however, tend to provide runoff
from snowpack melt which is stretched out over even Water harvesting as a means of increasing water
longer periods than that produced from uncut forests. supplies was brought to the attention of the Commis-
IL

Generally, snowmelt is more rapid as wider strips of sion during our visit to the Agricultural Research
timber are cut. Service, and more recently through testimony on the

355

review draft of this report at regional public confer- efficient storage facilities without which water har-
ences held in early 1973. Water harvesting is the term vesting systems are incomplete.
most commonly used in referring to the treating or
waterproofing of a land surface to increase the Potential for Increasing Water Supplies
collection of precipitation. It is most applicable to A recent estimate places the potential increase in
land areas not covered with brush or trees and thus water supply from watershed land management activi-
does not involve conventional notions of vegetation ties at approximately 9 million acre-feet annually for
management. Desert shrubland, for example, can be the 48 contiguous States combined, as shown in
made into a productive watershed through applica- Table 9-1.
tion of water harvesting techniques. In the Tucson, The estimates shown in Table 9-1 are the product of
Arizona, area an average of over 300,000 gallons per one of many possible sets of assumptions; they
acre per year of high-quality water can be obtained
40 provide a working notion of the potential for
through water harvesting. increasing annual water supplies by land management
Research over the last several years on specialized techniques. As can be seen, in some cases the
construction equipment, on different types of catch- quantities of water involved and the associated costs
ment areas (e.g., graveled plastic catchments, sodium make watershed land management an attractive tech-
treated catchments, and compacted earth catch- nique for increasing water supplies. The estimates
ments), and on storage methods has reduced the cost exclude national parks, designated wilderness areas,
of treatment of water harvesting catchments to a and areas whose physical characteristics preclude use
point where, in many areas, the water produced is of these land management techniques. The manage-
economically competitive with water from other ment programs contemplated in Table 9-1 assume
sources. This is particularly true when small volumes strip or block cutting in commercial forests at higher
of high quality water are wanted for livestock, elevations for snowpack accumulation, even-aged
domestic, or industrial purposes, and where ground management at the lower elevations, conversion of
water is either not available or of poor quality. chaparral and pinon-juniper to grasses and forbs, and
Experimentation is also under way to develop conversion of selected areas of phreatophytes to
dual-purpose water harvesting systems which will shallow-rooted vegetation.
combine water harvesting with production of spe-
cialized crops such as grapes." Experimentation Balancing Conflicting Interests
indicates that the precipitation harvested (and stored)
from I acre of land in a 12-inch per year rainfall area Land management to attain some increase in water
in the Sonoran Desert in Northwest Mexico and supply can be accomplished without lowering water
Southwest United States will support I acre of quality, degrading the watershed, or deteriorating the
lettuce if the water is applied as needed with trickle forest environment. But in planning the use of land
irrigation. Under this system, 2 acres of land would management techniques to increase water supplies,
be needed to grow I acre of lettuce. balances must be struck.
Dual-purpose water harvesting systems may offer a The measures that would be contemplated in a
solution of what to do with farm land when ground land management program such as that assumed for
water is exhausted in those areas where ground water Table 9-1 are not comparable to single-purpose
use for irrigation exceeds annual recharge. Additional experimental measures designed to test the maximum
research will be needed to further reduce costs of extent to which land management might increase
water harvesting systems, including development of water supply. That kind of single -objective program,
while maximizing water supplies, would occasion
other costs which could be unacceptably high. Exper-
"CLUFF, C Brent & DUTT, Gordon R (1973). Communica- imental measures designed to maximize runoff from
tion to the National Water Commission from the Water forest areas, if applied in a large-scale management
Resources Research Center, University of Arizona, Tucson. program, would mean great loss in timber production.
January 16, 1973. In contrast, increased water yield achieved from the
CLUFF, CB et al. (July 1972). Development of Economic multiobjective management program assumed in
Water Systems for Increasing Water Supply, Phase 11.
Research funded by the State of Arizona and the U.S. Table 9-1 would assure sustained-yield timber opera-
Office of Water Resources Research. The University of tions. Specialized cutting practices, particularly for
Arizona, Tucson. snowpack management, will add comparatively minor

356

TABLE 9-I.-Potential annual increase in water supply from watershed land management

Potential Annual In-
crease Under Present Direct Finan-
Forest Conditions cial Cost per
Area and Source (1,000 acre-feet) Acre-Foot

Northeast
(New England, Middle Atlantic,
Great Lakes, and Central States)
Commercial forests 2,350 $ 2.18

Southeast
(South Atlantic and Gulf States)
Commercial forests 2,750 2.64

Eastern United States Total 5,100 Avge. $ 2.42

Pacific Northwest
(Eastern portions of Oregon and
Washington)
Commercial forests 160 3.17

California (excluding North Coast)
Commercial forests' 130 2.13
Phreatophyte areas 10 10.50
Chaparral 410 20.45
Woodlands-grasses 370 45.00

Northern Rocky Mountains
(Idaho, Montana, W. South Dakota,
and Wyoming)
Commercial forests 1,000 .89
Other 40 90.00

Southern Rocky Mountains
(Arizona, Colorado, Nevada, New
Mexico, and Utah)
Commercial forests 530 1.07
Phreatophyte areas 900 14.00
Chaparral 290 18.00
Other 300 128.00

Western United States Total 4,140 Avge. S 21.42

48 Contiguous United States Total 9,240

Source: SOPPER, William E. (1971). Watershed Management, prepared for the National Water Commission, National Technical
Information Service, Springfield, Va. Accession No. PB 206 370, pp. 106-107. After a report by IC Reigner, RC
Maloney & EG Danford (1969).

Note: This estimate illustrates one of several possible potentials of land management to increase water supply. The Commission
is aware of, and commends to the readers' attention, other estimates such as those of the Senate Select Committee on
National Water Resources, Committee Print No. 21, 86th Cong. 2d Session (1960), and those appearing in
the Comprehensive Framework Studies of the various regions of the Nation.

increments to timber cutting costs. Numerous experi- streams, and with appropriate drainage structures,
ments conducted by the Forest Service confirm that erosion is not significant. Immediate stand regenera-
soil erosion and consequent water quality effects are tion and other treatment measures also will elintinate
primarily a product of the logging practice employed, unacceptable rates of erosion. Soil nutrient levels,
particularly with respect to road construction. Where after timber -is properly removed, are neither dras-
roads are located on limited grades, away from tically nor irreversibly depleted.

357

The presence or absence of vegetative cover on a Federal and State agencies have conducted studies
watershed affects not only the hydrologic cycle, but to discover the elements of a satisfactory environ-
other systems as well. Wildlife habitat and recreation ment for the species of wildlife present in given areas.
opportunities may depend upon the presence of Doves, for example, seem to prefer dense thickets of
vegetative cover. mature saltcedar; large blocks of saltcedar are pre-
Timber cutting practices designed to increase run- ferred over narrow strips or small patches. Saltbush, by
off and snowpack accumulation, such as those as- contrast, has little value for dove nesting but does
sumed in Table 9-1, need not harm, and may even provide cover for other small game birds and animals.
improve, habitat for many species of wildlife but may In view of the importance of phreatophytes to
be undesirable for others. For example, Forest wildlife, selective clearing appears to be indicated.
Service data indicate that timber cutting in patches Thus, by selecting the amount and kind of vegetation,
and narrow strips improves the forest edge effect and and the sizes of the areas treated, a management
the growth of forage, increasing the wildlife carrying program could be developed which strikes an appro-
capacity of an area. It is possible to convert vegetative priate balance between water yield and wildlife and
cover from one type to another and simultaneously other values.
give appropriate consideration to recreation values. A Water harvesting is a way of converting otherwise
management program for the East Sycamore water- unusable or marginal land resources into water
shed in Arizona (part of the Salt River Project), for resources. Nevertheless, such techniques will change
example, includes treatment and conversion in areas natural soil and vegetative conditions and can be
originally so thick with chaparral as to be impassable. expected to encounter problems of public accept-
Clearing patches and converting them to grasses can ance. The tradeoffs involved, however, should be
create new recreation opportunities for hikers and realistically assessed. In some sections of the Nation
campers. A Forest Service analysis of this particular water harvesting may be the only way that additional
management program indicates that clearing and water can be economically developed at acceptable
converting small areas may simultaneously increase environmental costs, particularly when compared
water yield and improve wildlife habitat in the area. with alternative ways of augmenting water supplies.
Treatment of riparian areas presents particular Effect of Ownership on Land Management
problems. Experiments report stream temperature
increases resulting from streambank vegetation re- Legal and institutional arrangements may make
moval ranging from 30 to 180F. Such tempera- some kinds of land management techniques to in-
ture increases may have important fishery implica- crease water supply more or less difficult to imple-
tions, harming some species and benefiting others. ment depending on whether lands are held in private
Data also disclose that high water temperatures are or public ownership.
rapidly reduced when a stream passes through an area Managing Privately Owned Lands: More than half of
shaded by vegetation. Where high stream tempera- the Nation's forest land is privately owned. Theoreti-
tures are undesirable, retaining riparian vegetation cally, private landowners seek to maximize their
may be indicated, notwithstanding the adverse impact return; if it is to their economic benefit to develop
such a decision may have on the quantity of usable additional water supplies, it is likely they will do so.
water supply. In some instances, land management measures will
Another factor to be considered is that in some
areas, the Southwest for example, phreatophytes serve to provide a year-round source of water where
provide cover and nesting areas for resident and before strearnflow was intermittent. In other in-
migratory game species, most notably doves. More- stances, means of capturing the additional supply will
over, in some areas, the existing configuration of be necessary if it is to be utilized effectively. In either
vegetation supports species of birds identified as rare event, cooperative programs, such as those sponsored
or endangered such as the Mexican duck, gray hawk, by the Soil Conservation Service under the Small
41 Watershed Program, might be adapted so as to
and green kingfisher. encourage private landowners to apply land manage-
42 BRISTOW B (1968). Statement by Arizona Game and Fish ment practices to increase water supply."
Department on phreatophyte clearing projects, pp. 41-43 "The Small Watershed Program is carried on under the
in 12th Annual Arizona Watershed Symposium Proceed- provisions of the Watershed Protection and Flood Preven-
ings, Phoenix, Arizona, September 18, 1968. State of tion Act, P.L. 83-566, August 4, 1954, 68 Stat. 666, as
Arizona Land Department, Phoenix, Ariz. a-ended, 16 USCA 100 1, et seq.

358

In some instances, there may be little incentive for sion concludes, however, that increasing water yield is
a private landowner to alter management practices if inappropriate where it requires eradication of native
he himself has no need for additional water or if vegetation and threatens the extinction of endangered
conditions do not permit his harvesting the increased species of wildlife.
water supply. To encourage practices which will
increase the available supply of water to others, RECOMMENDATIONS
financial inducements may be necessary. Generally, 9-6. The Congress and the President should direct
State water laws will not permit vesting of ownership Federal agencies having land management re-
of water in a landowner if he intends merely to sell sponsibilities to give adequate consideration to
the developed supply to other beneficial users. To water yield as an objective of multiobjective
overcome this obstacle, short of amending State land management plans.
water laws, local water agencies may find it econon-ii- 9-7. Local non-Federal water management agencies,
cally feasible to finance some land management
44 whose constituents would benefit from an
practices of private landowners. increase in water supplies derived from land
Managing Publicly Owned Lands: Lands hold in management practices, or public and private
public ownership present greater opportunities for landowners who would benefit, should finance
applying land management practices to increase water the additional cost of those management prac-
supplies. Moreover, these opportunities exist where tices which are attributable to the water supply
the need for water is often greatest. objective.
National forests occupy 21 percent of the total OVERVIEW OF POTENTIAL
land area in the 11 Western States and yield approxi- TECHNOLOGY
mately 55 percent of the streamflow." These lands
are managed under concepts of multiple use and New sources of fresh water may be obtained
sustained yield .4 ' Land management techniques that through developments which alter the hydrologic
include water yield as an objective are consistent with cycle in controlled ways, developments which create
these national forest multiobjective concepts. Pres- fresh water from salty or polluted water, or develop-
ently, the Forest Service is carrying on a number of ments which transfer and store water. Each of these
projects which include land management for this offers the opportunity for using new or improved
purpose. Projects of particular value are under way in technology, if such technology is available.
Arizona, California, Colorado, and Utah and others At the request of the Commission, the National
are planned. Academy of Sciences (NAS) established a Committee
CONCLUSIONS ON LAND MANAGEMENT on Technologies and Water to explore potential
technological advances and their possible impact on
A practical potential exists for increasing or other- water supply and water use. This section presents key
wise improving water supplies by application of portions of the findings of that Committee in regard
appropriate land management techniques. Adroit to potential water increasing technologie S.4 '7
management of land resources can, in some cases, A number of potential water increasing technol-
simultaneously yield increased water supplies (be- ogies not now generally under study were identified
cause of less evapotranspiration) and increased useful- and discussed by the Committee. These technologies
ness of supplies (by delaying or stretching out runoff) have in no way been proven to be either technically
without harmful environmental effects. The Commis. or economically feasible; yet, on the basis of con-
sidered judgment, they were thought by the NAS
Committee to have sufficient promise to merit
44 See Chapter 7, Sections D and E, for a discussion of State attention in the future. Application of any of these
water laws. technologies depends upon research and development
SOPPER, William E (197 1). Watershed Management, pre-
pared for the National Water Commission. National Tech- 4 7 U.S. NATIONAL ACADEMY OF SCIENCES, Committee
nical Information Service, Springfield, Va., Accession No. on Technologies and Water (1971). Potential Technol-
PB 206 370. p. 3. ogical Advances and Their Impact on Anticipated Water
As required under the Multiple-Use Sustained YieldAct of Requirements, prepared for the National Water Commis-
1960, P.L. 86-516, June 12, 1960, 74 Stat. 215, 16 USCA sion. National Technical information Service, Springfield,
528-531. Va., Accession No. PB 204 053.

359

being specifically directed toward making them be achieved. The Global Atmospheric Research Pro-
operable. Some of the technologies are thought to be gram now under way among the nations of the world
physically feasible now and others, even with a is expected to provide methods for predicting general
research and development program, would require a atmospheric circulation. The progress being made
considerable period of effort, perhaps 10 to 30 years suggests that within the next decade or so useful
or longer in some cases, before they could be made forecasts applicable to water management may be
technically feasible. available.
The following technologies for increasing water
supply are presented without evaluation by the Augmenting Fog Drip
Commission as to practicality or desirability. They When low-lying clouds or fog intercept the earth's
are presented here as illustrations of what some surface condensation of water occurs, and the
serious scientists, picked by the National Academy of ground' and covering surfaces become wet. Such
Sciences, consider worthy of future investigation. interception occurs naturally in several places in the
world, including the famous Green Belt in the
Compact Water Desalting Units for Residential Use desert-like climate of coastal Peru and the coniferous
Although most of the desalting development effort forests along the coastal shores and mountains of
has been concentrated on larger-scale facilities for California and Oregon.
communities and cities, as discussed in earlier sections The prototype planting of Norfolk Island Pine on a
of this chapter, there is some opportunity for using cloud swept ridge on the island of Lanai in Hawaii
individual household-size units in situations where suggests that vegetation management might augment
saline water might be distributed to family units or the water received as fog drip. Other development
where dwellings are located in rural areas having only possibilities using fog drip include planting crops
saline water sources. Rural use is considered the more under trees so the crops could utilize drip water, or
likely because it would usually be more economical using impervious surfaces under trees to collect fog
to have a large central desalting facility in a municipal drip water for delivery to crops.
system than to distribute salt water to each house- Artificial lee Fields
hold with its own small purification unit. An excep-
tion might be, the situation in which only saline water Water may be stored as artificial glaciers by
would be distributed throughout the community, creating masses of ice to meet the demand for water
each residential unit then purifying only the small in seasons when normal strearnflow is low but water
fraction of the water needed for drinking and demand is high. Such ice fields could be created by
cooking. Under that circumstance, sanitary uses could utilizing the cold winter air to freeze water removed
be met by the saline supply. Some home desalting from storage in reservoirs or diverted from streams.
units are already in use, and it may be expected that The water yield from mountainous watersheds in
during the next 10 to 30 years, there will be increased the Western United States does not coincide with the
application of such units. peak demand seasons. Year to year holdover of water
in reservoirs utilizes space which might serve to store
Long-Tenn Seasonal Precipitation Forecasting additional water if a means of auxiliary storage of
Normal water supply, planning and management reservoir water could be devised. One such method
decisions, as well as flood forecasting, could be would be to release the water from reservoirs on
improved by accurate longer-range precipitation fore- winter nights and spray it on shaded terraces or
casting. Arid region agricultural programs could be northern slopes. The water would freeze as it fell,
modified to suit expected conditions. Such forecasts forming an ice field. In the late spring and early
would provide a basis for guiding water use, ap- summer this ice would melt slowly, supplying addi-
praising its seasonal availability, and making reservoir tional water for downstream use when strearnflows
management decisions. The impact of this technology are low. Such accumulations of ice occur naturally
could affect water use patterns and planning trends, under waterfalls.
particularly along the western margin of affected Deliberate Snow/Ice Avalanching
continents.
Numerous technological breakthroughs will be Water can be stored in deep snowpiles by
needed before successful long-term forecasting can deliberately avalanching selected snowfields. Snow in

360

these deep piles would melt slowly and yield water Collapsible Bladders for Transport of Liquids
late in the spring to meet increased water demands or Petroleum products can be transported through
replenish reservoir storage. waterways and the sea by using large watertight bags or
As much as 10 to 15 percent of some high bladders fabricated from strong sheet materials of
mountain areas consist of avalanche paths, some of reinforced synthetic rubber or some types of plastic
which do not avalanche with any consistency. It may
be possible deliberately to induce avalanching re- films. The folded or rolled empty bladder would be
peatedly at selected sites, resulting in massive moved to the point of loading, partially immersed in
amounts of snow piled up at downhill terminal sites. the waterway, loaded with the liquid to be trans-
Advantage could be taken of the reduced area of ported, and then towed by ship to its destination. It
large amounts of snow at the terminal site by could then be pumped out, collapsed, and returned
applying snowmelt retardants to further delay the for reuse. Quantities exceeding 100,000 gallons could
melt and prolong the water yield. The prospect of be readily transported in this way.
delivering prolonged yields of cold water from such The same method also could be used for trans-
snowpiles may Make the technique locally feasible in porting fresh water. Very large bladders could be
offsetting adverse thermal quality in streams. loaded at the fresh water source, perhaps at a river
mouth, and towed to cities or to industrial users
located on tidewater or navigable inland watercourses
Melting Ice Caps to Create Lakes where fresh water supplies are scarce. Water towing
may provide a water source competitive with desalted
There are sufficiently large enclosed basins of ice water, or with water transported over very long
of considerable depth, which, if melted, would create distances by pipeline.
lakes for water storage. In theory, a nuclear plant
generating electrical energy might be installed in a Undersea Aqueducts
polar region where waste heat could be released for Large quantities of fresh water could be trans-
Melting ice, thereby avoiding the adverse effects of mitted for long distances to serve coastal cities and
thermal pollution. If economically feasible, the elec- adjacent inland areas using undersea aqueducts. Since
tric power could be transmitted to a locally situated fresh water has a lower density than salt water, salt
electroprocess industry such as an aluminum reduc- water will support a bouyant fresh water aqueduct.
tion plant or, by displacement, be transmitted over Foundation problems are thereby limited to the
great distances, and the water conveyed to storage in relatively simple problem of holding down the aque-
reservoirs on land to increase the fresh water supply. duct. The density of the sea water also reduces the
str'ength required to withstand the pressures needed
Iceberg Towing to produce flow. In principle, a large-diameter,
Iceberg towing would involve capturing Or quarry- flexible or semirigid plastic pipe could be laid from a
ing floating icebergs and towing them to a suitable specially designed vessel. The pipe would lead from a
offshore point where they could be broken up into pumping station near the mouth of a river, such as
manageable pieces (perhaps by means of explosives). the Rogue or the Columbia, along the coast on the
The fragments would be hauled onshore and the bulk continental shelf to its destination. Additional
ice would then be granulated and utilized either for pumping stations could be provided along the route
cooling large thermal powerplants or large central air as required. On the basis of materials needed, such an
conditioning plants, such as the New York subway aqueduct should be relatively inexpensive to con-
system. Water from the melted ice would be added to struct.
the municipal supply. In a humid area, the melting An extension of undersea aqueduct technology
slush would theoretically condense additional mois- could permit drawing deep cold ocean water for
ture from the air, to augment water yield. cooling purposes. A further application could be the
Iceberg towing might be significant for certain controlled updraft of nutrient-rich deep ocean waters
large cities, particularly Boston, New York, and to produce major new fisheries.
Philadelphia in the East, and possibly the Los Angeles Offshore Reservoirs
basin. From an economic standpoint, the "cooling"
value of the ice may exceed its value as a fresh water Large fresh water reservoirs could be created in
source. ocean water near major centers of water use, utilizing

361

techniques similar to those for undersea aqueducts. meeting the Nation's future water demands. And
Offshore underwater reservoirs could provide a means there may be others. But the current program of
for coastal cities with combined sewers to hold flood research and development and technology assessment
discharges in a sanitary, inoffensive, nonpolluting way is not providing a comprehensive basis for deter-
until they could be processed through a waste mining the feasibility of these technologies or of
treatment plant. Elsewhere, they could be used for those relating to water use which are potentially of
temporary storage of fully reclaimed effluent from comparable importance.
waste treatment systems until these waters could be Thus, even though considerable sums are being
recycled. The use of such reservoirs as terminals for spent on research and development in water tech-
undersea aqueducts would be possible in cases where nology and its adaption to practical situations, the
reservoir sites are inadequate or land is too costly for Nation still is not able to make judgments regarding
this purpose. the potential utility of one technology as against
Offshore reservoirs might take two forms, depend- others because all have not been studied adequately.
ing on whether the ocean surface could be reserved Rather, some have been studied in depth while others
for the exclusive use of the reservoirs or not. If such have had little, if any,attention. And there is nothing
reservation is possible and enforceable, the fresh to indicate that the technologies receiving the greatest
water reservoir could be floating but made of material attention are in fact the ones most likely to be
denser than sea water so that it would sink to the successful or, if successful, the ones which will be
bottom when not in use and float when filled. most effective in increasing water supplies.
A submerged fresh water reservoir would require Nor is there evidence that the opportunities af-
sufficient ballasting (perhaps with sand) to hold it forded by new technologies are being adequately
down when completely filled and should be located appraised and incorporated into water resources
so as not to interfere with ocean surface uses. planning programs. In fact, the opposite appears more
commonly to be the rule. Water planning usually has
CONCLUSIONS ON POTENTIAL TECHNOLOGY reflected a conservative position toward technology.
Each of the technologies identified above by the That is, planning is done within the framework of
National Academy of Sciences' Comniittee on Tech- existing technology and does not as a rule presume
nologies and Water would have to be carefully investi- the availability of new technologies. This is all the
gated for possible adverse environmental effects and more remarkable since planning entities regularly
should only be undertaken if the net benefits appear anticipate economic and other changes which will
substantial, if the technology is the least-cost alterna- affect the demand for water development. Measures
tive, and if environmental standards can be satisfied. which would help alleviate these difficulties are
In addition to these potential technologies for discussed in the following paragraphs.
increasing water supply which have been suggested by Imbalance in Research and Development Programs
the National Academy of Sciences, the investigation
of potential technologies for decreasing water Of the dozen technologies discussed in this chap-
demand may also yield significant benefits. Apphca- ter, only one, desalting, has had a long-term sustained
tion of research to ways in which industrial and other research and development program. It dates from
processes can be changed in order to effect substan- 1952. The Office of Saline Water in the U.S.
tial reductions in the amount of water required per Department of the Interior was established specifi-
unit of output or per unit of raw material processed cally to direct research in this important area, largely
could yield significant economic and environmental through contracts with industry and research organ-
benefits by reducing the total quantity of water izations. The indicated present and future reductions
necessary to produce the quantity of goods and in desalting costs and the existence of technology
services demanded by society. adapted to differing conditions attest to the success
of this highly specialized approach.
IMPROVING TECHNOLOGICAL Research and development in weather modification
INNOVATION and the more narrowly defined field of precipitation
augmentation also have extended over a long period
In the preceding portion of this chapter attention but on a much more intermittent basis with many
was directed to some dozen different water technol- participating research entities. It is only in the last
ogies which, if found to be feasible, could assist in few years that serious, well funded research in

362

precipitation augmentation has been initiated by the concluded that there is a pressing need for a U.S. Office
Federal Government. In contrast to desalting, the of Water Technology (OWT) to direct an effective,
entire program is not directed by a single agency. balanced research and development program and to
Study of land management to increase water assist planning agencies in technology assessment and
supply has been carried on over a lengthy period also, innovation.
but usually as part of a broader program of land The Office of Water Technology would provide the
management for multiple purposes. In recent years, management for a concerted effort to develop and
however, some studies have been undertaken for the introduce new or improved technology into the water
specific purpose of increasing water supply. A supplying and water using areas. The new OWT would
number of Federal agencies, as well as States, are include the program of the Office of Saline Water, the
conducting land management studies. weather modification activities of the National
The other technologies discussed in this chapter Oceanic and Atmospheric Administration, the pre-
and other technologies relating to improved water use cipitation augmentation and geothermal research and
are receiving either no research and development development programs of the Bureau of Reclamation,
attention or limited and very preliminary study, the water research activities of the Environmental
usually supported by general programs of research Protection Agency, and the program of the Office of
grants. Water Resources Research. As has been done so
effectively by the Office of Saline Water, research and
Imbalance in Planning Programs development activities should be accomplished prima-
rily under contract with industry and non-Federal
The Nation, at both the State and Federal levels, has research organizations.
been and is conducting extensive studies relating to The principal role of the OWT should be to manage
future water demands and how those demands are to the program and make it an effective adjunct to
be satisfied. Yet almost without exception those ongoing water supplying and water using activities. It
studies are based upon very conservative positions should do this by three distinct activities: (1) carrying
regarding technology, and water supply works being on a systematic examination of technological trends
built or planned are basically unchanged from those to forecast the direction of technological develop-
planned almost a century earlier. ments, both those in the water field and those in
Research and development, if properly directed, related fields, which will impinge on water supplying
could have a profound effect on future plans. Thus, and water using activities; (2) providing assistance to
planning programs should incorporate technology planning agencies so that they in turn may draw their
assessment as a significant part of the program not plans so as to take advantage of technologies that are
only to take advantage of new technologies, but also favorable and to minimize the adverse effects of
to identify opportunities for developing such technol- others; and (3) budgeting and carrying forward a
ogies. broadly conceived and balanced research and develop-
ment program."'
Proposed Office of Water Technology
From its examination of the research being done "The Commission's recommendation regarding establish-
with respect to new water supply technology, as well ment of an Office of Water Technology is presented in
as that relating to water use, the Commission has Chapter 11.

363

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Chapter 10
Better Decisionmaking
in Water Management

This chapter explores the decisionmaking processes include other standards of value in deciding what is a
that are involved in water management. These proc- good public water resources investment. The section
esses contribute not only to formulation of water on evaluation concludes with a description of a highly
projects and programs, but also to the planning and quantitative tool of policy: the discount rate. The use
management of the use and conservation of water and the effects of the use of discounting to measure
resources at local and State as well as at the Federal the present value of future benefits and costs of
levels. public investments are discussed in such manner as to
Decisions to act, whether they are legislative or demonstrate the very great significance of the selec-
executive, Federal or local, discretionary or min- tion of a rate of discount in determining which
isterial, seldom come about spontaneously or effort- projects and programs are selected for authorization.
lessly. A decision to construct (or not to construct) a The final section, entitled "Authorization, Bud-
water development project of certain specifications, geting and Appropriations," examines procedures
in a given place, for specified reasons, and at certain through which plans of development are translated
costs is typically the last in a chain of choices or acts. into legislative authority, are scheduled for implemen-
The advancing stages by which thoughts become tation and, finally, are financed.
plans, plans are translated into proposals for action,
and action is executed form the thread of this
chapter. The thread leads through water resources WATER RESOURCES PLANNING
planning and project evaluation, legislative authoriza-
tion, budgeting, and appropriation of funds. Water resources planning is carried out at every
At the outset this chapter examines the proper role level of government as well as by private industry.
of water resource planning in the decisionmaking Planning is not decisionmaking but it is the prelude to
process. Then, the contributions and limitations of informed decisionmaking. A considerable portion of
public participation in the planning process are the Nation's water planning is done in urban areas by
considered, and several recommendations are made, city water and sewer departments, sanitary districts,
including one for a public advocate who may appear and drainage and flood control districts. In rural
in a representative capacity in proceedings where areas, local water planning is being done by such
significant and unrepresented public interests are agencies as soil conservation districts, watershed
involved. districts, and irrigation associations. Some States now
Next, the chapter takes up the problem of evalua- have statewide water plans. In many States there are
tion of water resources development proposals. Evalu- intrastate basin planning organizations, taking many
ation is an integral step in the planning process. forms, from irrigation districts to river basin authori-
Traditionally, water development proposals have had ties. In Wisconsin, for example, where the State
to be justified on the ground that they will contribute constitution prohibited the State from undertaking
to national economic efficiency or development. projects of internal improvement, a private corpora-
Today, there is growing recognition of a need to tion was granted a charter for the development and
management of one of the State's major river basins.
Water resources planning by Federal agencies
Poor planning led to disasterfor this subdivision built evolved as a resource development activity. Naviga-
on a flood plain near Manassas, Virginia tion, hydroelectric power, irrigation, drainage, flood

365

protection, reclamation, and similar types of improve- planning for the land uses that water developments
ments constructed with Federal funds have had to be are expected to serve; (2) while much attention has
planned and coordinated. The planning was designed been devoted to planning for large river systems, too
largely to make the Nation's water resources either little effort is made to relate that planning to the
more productive, or, as in the case of flood control, needs of metropolitan areas; (3) plans have taken too
less destructive to existing enterprises. little account of the environmental consequences and
Some planning of this kind will continue to be water quality planning has been conducted apart
done in the future, but most of the economic projects from water planning in general; (4) plans often do not
of this type have already been built. A more pressing reflect the interest of the general public, large
need for the future is for planning for other purposes segments of which have little voice in it; (5) planning,
such as for joint or coordinated management of especially that required of the States as a condition of
existing multipurpose water facilities by Federal, future Federal assistance, is expensive and time
State, and local governments, for improved water consurning out of proportion to the States'need for
quality in the Nation's streams and lakes, and for it and the benefits that result from it; (6) plans,
better local and non-Federal use of water and related particularly river basin plans, tend to avoid setting
land resources, as, for example, where it may be priorities and to proceed unrealistically with early
necessary to locate, license, and regulate the use of action proposals that would ultimately cost substan-
land for industrial, commercial, or residential pur- tially more than is likely to be spent for the area
poses, or where it is necessary to coordinate the involved; (7) in the absence of national priorities,
planning of metropolitan water and sewage treatment planning leads to development conflicts among re-
facilities with planning for land use in the areas to be gions of the Nation; (8) planning is too rigid in its
served. adherence to long-range forecasts in a world of rapid
There is usually no "best" plan in any objective social, economic, and technological change; and
sense. In any given situation, the number of the (9) planning tends to bury in the arithmetic of
alternative combinations of actions that might be benefit-cost analysis important issues that must be
taken is usually very large and the full range of their decided on a nonquantitative and judgmental basis.
consequences is difficult to determine with any Each of these charges deserves serious reflection
precision. Most of the development problems for and consideration. Many of them are discussed in
which plans are drawn can be solved in a number of later sections of this chapter or elsewhere in the
ways. report. Those selected for discussion here reflect the
Planning for development, in most instances, in- Commission's considered conviction that large-scale
volves many factors that are not always easy to Federal water developments will riot play as domi-
quantify. Proposed developments usually affect some nant a role in future water resources planning as in
values which the planners may not know how to the past. The most important challenges to planners
measure. Rather than recommend a specific planning in the future are those associated with local, non-
solution, the planner should describe the major Federal uses of water and land: water supply and
alternative courses of action, lay out the probable wastewater treatment for growing metropolitan areas;
adverse and beneficial consequences of each choice, management and regulation of use of water for local
and submit the resultsto the elected decisionmakers commercial, industrial, and residential development;
for their determination. water for recreation; water quality and pollution
control; and powerplant siting and licensing.
Deficiencies in Planning
From its hearings, meetings, and studies and from Integrating Water Planning with Planning for Land
professional planners, utility managers, water users, Use and for Other Purposes
and others interested in and affected by planning, the Water planning sometimes appears to be an end in
Commission has been able to collect and consider itself. Water planners, operating apart from other
both the strengths and weaknesses of the kind of functional planning agencies, often work without any
planning that is being done today for the develop- first-hand knowledge of the needs and intentions of
ment, regulation, and use of the Nation's water those who are planning for such things as land use,
resources. Most frequently voiced are criticisms that transportation, housing, and industrial development.
(1) water planning is not adequately integrated with Important decisions about land use may be con-

366

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Use of land and water in upstream areas affects estuaries and coastal zones

strained or thwdrted by independently -conceived and filled; and may approve the use of the flood plain
water resource developments. for channel -constricting uses, such as filling for site
Land use planning and water resources planning improvement or for the disposal of solid waste
should be integrated. Water resources planning is materials.
important, but it is only one aspect of overall Water planners, on the other hand, sometimes
resources planning to satisfy human wants. An proceed without the involvement of the land use
example of the relationship between water and land planners, for example, in the construction of reser-
planning is found in their mutual concern for flood voirs in rural areas. Such reservoirs frequently become
damage reduction. Flood damages follow when lands recreation magnets for urban residents living in
used for carrying flood flows are occupied by municipalities a considerable distance away, The
buildings and other types of improvements. Land use recreation attraction of the reservoir sets in motion a
plans made without the involvement of the water land development process which will have a signifi-
planner may permit the extension of residential and cant impact on local service demands and on local tax
industrial buildings onto the flood plain; may permit revenues. Rural governments in the vicinity of the
flood storage areas, such as swamps, to be drained reservoir site are not often equipped to manage the

367

land development, traffic, law enforcement, and resource that serves other functions like housing,
sanitation problems that follow in the wake of such industrial development, recreation, and agriculture,
water developments. water planners must operate within a framework of
The uses of land and water in upstream areas may demands that may be continually shifting. Water
directly or indirectly affect downstream estuaries and supplies that are adequate for today's rural town may
coastal zones. Similarly, land uses in the coastal zones be inadequate for tomorrow's suburb. A different
themselves may affect the uses of water there. Hence, treatment of wastewater will be required when
both water and land use planning for upstream and farmlands become residential tracts and water which
for coastal zones need to be developed in conjunction was used for irrigation is transferred to municipal or
with each other. Land use plans prepared and industrial use. To meet these changes, water develop-
implemented by the States should, where appro- ment plans must not only be tailored to satisfy
priate, provide for developing and protecting the immediate and foreseeable projected demands but
important characteristics of estuaries and coastal also should be flexible enough to allow for con-
waters as a part of an overall effort to coordinate land versions to the demands of the more -distant future.
use planning with water resource planning.' While representation of transportation and other
How lands are to be used will in large measure interests on water resource planning bodies does help
determine where and how much water will be to reduce the risks of inadvertent conflicts, it does
demanded and for what purposes. For example, not wholly answer the need for coordinating water
decisions made in preparing land use plans for planning with planning for other functions. The
industrial parks, powerplant sites, irrigated agiicul- problem is, in part, one of devising arrangements
ture, commercial development and other water-using which will allow for joint scheduling of different but
purposes will determine whether or not, how, and the interrelated planning programs, arrangements which
extent to which water resources will have to be would make possible the joint consideration, within a
developed to serve the intended uses. Similarly, a common time frame, of the areas of mutual concern.
decision to license or not to license a thermal States that receive grants for water planning under
powerplant at a given site may in turn rest upon the Title III of the 1965 Water Resources Planning Act
availability of adequate sources and receiving bodies are required to coordinate that planning with all the
for cooling water and may influence plans for other Federal, State, and local planning being done in
development of water resources for that site and for their States. There has been little attention to this
other adjacent and nearby lands. Just as the Federal requirement by the States and no guidelines exist
Power Commission and the Atomic Energy Com- which would direct them to take specific, verifiable
mission are now called to engage in planning as part actions to effect such coordination. This is an area
of their licensing missions, State and local licensing where leadership and action by the Water Resources
and permit granting authorities will have to enter into Council is necessary, and it is an appropriate function
planning (including, whether they realize it or not, of that body to outline and enforce procedures to
water planning) in order to fulfill their duties in the accomplish this purpose in its administration of the
future. grant program.
Those whose principal function is to plan and Bills introduced in the CongreSS2 would establish
manage water resources operate under dual con- grant programs to enhance State land use planning
straints. First, like the miner who must mine where capabilities. Some of these bills would create a Land
the ore is, they must live with the kinds of physical and Water Resources Council. Others would place a
constraints that confront all who deal with natural program of improving State land use planning in the
resources. For water planners these constraints can Department of the Interior.
usually be overcome, but only at a cost. These costs, Even though land use planning by itself is beyond
both monetary and nonmonetary, must be made the Commission's statutory mandate, the strong
known to those who plan for other kinds of interrelationships between water and land use
development as well as to those who decide whether planning suggest that it is appropriate for the Com-
to undertake the water project. Second, because they mission to urge the President and the Congress, in
plan for the development and management of a S. 632, proposed Land and Water Resources Planning Act
of 197 1, February 6, 197 1, 92d Congress, Ist Session; see
See Chapter 2 for a discussion of estuaries and the coastal also S. 992, proposed National Land Use Policy Act of
zones. 197 1, February 25, 1971, 92d Congress, 1st Session.

368

considering any legislation on the Federal role in land installed six dams and reservoirs above Austin. These
use planning, to make adequate provision for co- - are operated as a system to provide flood storage,
ordinating that Federal effort with water resources generate electricity, provide water supply, and offer
planning at local, State, and Federal levels. The recreation opportunities.
chairman of the Water Resources Council should be a Similar types of intrastate water planning and
member of any coordinating body implementing any management organizations exist in various parts of
national land use policy legislation. the United States. Their number is large and their
programs differ in size, complexity, and breadth of
Recommendation No. 10-1: If Congress enacts legis- purpose. They represent a local, pragmatic, and
lation to establish a program of Federal grants to action-oriented approach to a water management
States for improving State land use planning, it need that was both obvious and urgent to residents
should make adequate provision in that legislation and officials in their areas. Since most of these
for the coordination of water and land use plan- intrastate bodies were created to serve a specific local
ning at the State, Federal, and local levels, and should purpose, the purposes of each do not often
encourage the use of coordinating institutions, such encompass a full range of water interests. Thus, their
as the Title 11 river basin commissions, where they authority may not allow them to deal with such
exist. important water concerns as ground water manage-
ment, recreation, fish and wildlife propagation, or
Intrastate Water Planning and Management water quality. Problems are often not dealt with as
lhtrastate planning organizations play important logical wholes and there are no established
roles in the water planning programs of many States. mechanisms for integrating the planning of these
Some have the authority not only to plan but also to organizations with one another and with many of the
finance., construct, and operate facilities. The Miami Federal, State, and local planning agencies.
Conservancy District in Ohio is an example of a These are limitations, however, which could be
multipurpose intrastate agency that has made a removed. The scope of these organizations' functions
significant contribution to its area. Begun in 1914 in could be broadened as needed to allow them to forge
response to a devastating flood, it has constructed more comprehensive water management programs.
and locally financed five detention dams and many The States, where necessary, could give these intra-
other local improvements.' In more recent years it state water planning and management agencies better
has acquired important pollution control functions. guidance on how their local planning and develop-
The Wisconsin Valley Improvement Company, ment programs affect and are affected by one another
owned by six paper mills and four power utilities, was and by those of the Federal and State agencies with
granted a charter in 1907 to develop the Wisconsin related water interests. The upgrading and
strengthening of these types of intrastate bodies is
River, which has a drainage area of almost 12,000 worthy of attention because they can be effective,
square MileS.4 The Corporation is regulated by the independent, and economical.
State, which approves its plans for building and The Federal water planning interest, which focuses
financing works, establishes minimum and maximum largely on multistate and international river basins, is
water levels, and approves sen-dannual toll charges. also affected adversely when local and State water
In Texas, the Lower Colorado River Authority planning organizations fail to plan for the manage-
(LCRA) is an example of the type of intrastate basin ment of water resources in which there is a Federal
agency developed by that State to manage its waters. interest. The volume, quality, and the dependability
Created in 1934, it is one of the first of the local river of the supply in the main stems of the larger rivers are
authorities established in Texas. Since then, a number affected in important ways by the kinds of resource
of others have been formed, including the Central and use and development policies which are established in
Upper Colorado River Authorities. The LCRA has the upstream watersheds usually under State or local
3BOOZ, ALLEN & HAMILTON, INC (1971). Analysis of control. It would, therefore, also advance the Federal
Managerial, Financial and Regulatory Functions of Re- water interests to encourage and assist local and State
gional Water Resources Authorities and Other Institutional governments to do a better job of building effective
Arrangements. U.S. Office of Water Resources Research, intrastate basin planning organizations in their areas
Washington, D.C. p.36. to achieve better local management of their water and
'Ibid., P. 53. related land resources.

369

Recommendation No. 10-2: The Water Resources whole, however, planning gives no special attention to
Planning Act of 1965 should be amended to open the the internal water needs of urban areas and fails to
present program of water resources planning grants properly recognize nonutility types of urban water
not only to the States, but to local, intrastate uses. As a result, plans are not often geared to the
planning entities as well. water problems and concerns of the average urban
resident. To meet these urban needs, a more local-
New Organizations for Metropolitan Areawide Water ized type of water planning is required, one con-
Planning ducted closer to the site of the problems and
Because the majority of the population today lives involving the participation of those who are inti-
in cities and metropolitan areas, a more urban mately familiar with the full scope of urban interests
orientation for water planning agencies is needed * and the local political and economic constraints of
Today, in many parts of the United States, planning the metropolitan communities. This localized plan-
entities with such an orientation are needed to ning must be conducted by an entity having authority
provide better ways of developing and using water to deal with problems whose solution may involve
resources. They are needed especially in some of the other areas outside the local basin or metropolitan
heavily urbanized areas where competition for the use planning area, particularly where those areas may be
of a limited water supply is growing rapidly. The wholly or partly located in different States.
multijurisdictional character Of rivers flowing through The kind of intensive planning and management
many of our larger urban areas makes it impractical called for in metropolitan areas is seldom either
for individual cities or counties to plan independently necessary or workable on the scale of the larger,
for their use. These rivers constitute a valuable local multistate river basins where the water interests are
resource which must be used both simultaneously and usually more numerous as well as more diffuse; where
sequentially by a large and growing number of public the issues are not often as clear cut; and where the
and private users. demand-supply situation tends to be less tightly
A planning organization resembling or modeled constrained. It would be useful, therefore, to have the
after a river basin planning commission is an appro- Water Resources Council and the Federal-State river
priate mechanism for bringing together in one place basin planning commissions identify smaller geo-
the necessary information about the water resource: graphic planning areas both within and outside the
information about the character, scope, and timing of jurisdiction of existing river basin commissions where
the demands that are being placed on that resource more intensive water planning and management can
by different user groups, and information about the serve metropolitan areas.
nature, the extent, and timing of the future changes Where Federal interests are not involved directly,
that can be anticipated in the supply and demand State and local governments should be encouraged to
situation on the river. In such a forum, the principal proceed on their own to establish intrastate planning
users can negotiate with one another and develop a bodies. The adoption of State laws for intrastate
collective strategy for the river, one which will permit basin or metropolitan planning commissions or
each of them to use his allocated share of the authorities, as in Texas and Wisconsin, would be
resource with reasonable security and, at the same helpful; State legislation could not only establish
time, commit him to abide by procedural rules and criteria for their creation but also provide advance
use regulations which are designed to accommodate authorization and specify funding sources for them.'
new users and protect the rights of all the other users Where there is a distinct Federal interest in a small
of the river. basin or metropolitan planning area because of the
Urban interests have not, however, been able to interstate or international dimensions of its water
develop or promote their special views within the problems, a now Federal-State-local river basin organi-
federally dominated multistate river basin planning zation could be created by amendment of the Water
commissions created under the Water Resources Resources Planning Act to authorize Federal partici-
Planning Act. Ordinarily the multistate basin planning pation in a new type of planning organization. The
groups are not organized to provide direct representa- membership, geographic scope, authority, functions,
tion of urban interests. The plans prepared by these financing, operating rules, and duration of each of
kinds of river basin commissions may include flood 'See Chapter 11 for a more complete discussion of
control and navigation features which are designed in organizations for water resources planning and manage-
part to serve groups living in urban areas. On the ment.

370

these commissions would have to be tailored to meet trations and other factors, have substantial water
the particular problems of the area and to make full quality control problems.8 The plans are to be made
use of the resources and powers of the participating by area waste treatment management agencies desig-
States and local governmental units. nated by the Governors, and participation of the U.S.
Army Corps of Engineers is authorized.
Recommendation No. 10-3: The Water Resources Other provisions of the Act require the President,
Planning Act of 1965 should be amended to provide through the Water Resources Council, to prepare
for the establishment of Federal-State-local planning comprehensive regional or river basin plans for all
organizations for areas where there is a distinct basins in the United States by 1980. The sum of $200
Federal interest and where such organizations may be million is authorized to be appropriated for this
needed to provide more intensive and continuing purpose-9 At the same time the States are required to
attention to the water management needs of smaller have and to maintain continuing planning processes
basins or metropolitan planning areas. which result in plans which incorporate all elements
of any applicable areawide waste treatment manage-
ment plans and applicable basin plans prepared under
Integrating Water Quality Planning With Water Re- the guidance of the Water Resources Council." In
sources Planning addition, grants are authorized of up to 50 percent
Considerable progress has been made in getting the of the administrative expenses of qualified planning
various water agencies to work together in joint agencies capable of developing basin water quality
planning programs. Those representing fish and game, control plans which, among other things, are to be
forestry, agriculture, navigation, power development, developed in cooperation with and consistent with
and so on are beginning to find ways to accommodate comprehensive plans prepared by the Water Re-
their separate interests in the formulation of multi- sources Council.' '
purpose water development plans. Until recently, These provisions of the 1972 Amendments should
planning for water quality has been conspicuously make it possible to end the separation of water
missing from this family of water concerns. Water quality planning from water resource planning by
quality planning has been assigned to the U.S. bringing State water quality plans into phase with the
Environmental Protection Agency (EPA), an inde- comprehensive water resource plans for river basins
pendent entity. Under administrative rules laid down being developed by the Water Resources Council, and
by EPA, basin plans for water quality had to be by making local waste treatment plans one of the
prepared by States as a condition for the approval of building blocks of State water quality plans.
Federal construction grants for sewage treatment The Water Resources Planning Act
6
works. There was no requirement for a direct tie In the Water Resources Planning Act of 1965, the
between these water quality plans and water resource Congress set out a policy "to encourage the conserva-
planning conducted by the States or under the tion, development, and utilization of water and
auspice s of Federal-State river basin planning com- related land resources of the United States on a
missions. An unnatural separation of water quality comprehensive and coordinated basis. . ."' 2 Con-
planning from water resource planning, generally, was gress sought to achieve the "coordinated planning ...
promoted by this arrangement. through the establishment of a water resources
The 1972 Amendments to the Federal Water council and river basin commissions, and by providing
Pollution Control Act7 contain a number of pro- financial assistance ... to increase State participation
visions which if properly administered will permit in such planning."' ' To date, seven river basin
combining water quality planning with water resources
planning. One section of the Act requires develop- 'Ibid., Section 208, 86 Stat. 839, 33 USCA 1288.
ment of areawide waste treatment management plans 'Ibid., Section 209, 86 Stat. 843, 33 USCA 1289.
for areas which, by virtue of urban4ndustrial concen- "Ibid., Section 303(e)(3)(B), 86 Stat. 850, 33 USCA
6 U.S. ENVIRONMENTAL PROTECTION AGENCY 1313(c)(3)(B).
(January 197 1). Guidelines for Water Quality Management 'Ibid., Section 102(c)(2)(1)), 86 Stat. 818, 33 USCA
Planning. Environmental Protection Agency, Washington, 1252(c)(2)(D).
D.C. "P.L. 89-80, July 22, 1965, 79 Stat. 244, 42 USCA 1962.
'Federal Water Pollution Control Act Amendments of 3 Water Resources Planning Act, P.L. 89-80, July 22, 1965,
1972, P.L. 92-500, October 18, 1972, 86 Stat. 816. 79 Stat. 244, 42 USCA 1962.

371

commissions have been established under Title 11 of Beginning with $1,875,000 in FY 1967, the appro-
that Act. Despite the policy declarations of Congress, priation was increased to $2,375,000 in FY 1970,
which indicated that the Water Resources Council and was held at $3.6 million in fiscal years 1972 and
and the river basin commissions are to coordinate 1973. One consequence of this underfunding has
Federal water planning activities, Congress has not been lackluster performance of the States as basin
used these bodies as the single point of coordination commission members. Another is the failure of the
for all water-related planning. basin commissions to incorporate the views and
The U.S. Department of Housing and Urban secure the cooperation of local governments and
Development (HUD) administers a flood insurance private interests in the river basin planning. Thus,
program, pursuant to the National Flood Insurance congressional authorizations for special planning
Act of 1968 '14 and, through grant programs author- studies and failure to support the Planning Act with
ized under Section 701 of the Housing Act of adequate funding have not permitted the river basin
1954,15 as amended, engages in water and related commissions and the Water Resources Council to
planning activities in municipalities, counties, multi- develop fully their potential as effective planning and
county development districts, and States. Like the coordinating bodies.
water quality planning heretofore done under EPA
grants, these programs need not be planned in Recommendation No. 10-4: In appropriating funds
coordination with established river basin comrfiis- for future water resources and water quality planning,
sions. The Tennessee Valley Authority (TVA) and the Congress should provide for coordination with the
Federal-State compact commissions, such as the plans and programs of the established Federat-State
Delaware River Basin Commission, also do not river basin commissions and the Water Resources
conduct their planning activities under the auspices of Council. Congress should appropriate larger amounts
the Water Resources Council. The U.S. Army Corps under the Water Resources Planning Act for support
of Engineers carries on many water planning studies, of State water planning.
such as the Northeastern U.S. Water Supply study, 16
wl*h are conducted independently of other planning THE ROLE OF THE PUBLIC IN WATER
efforts of river basin commissions that are coordi- RESOURCES PLANNING
nated by the Water Resources Council. The Bureau of In many of its conferences held throughout the
Reclamation has been charged with lead agency country, the Commission detected concern about the
responsibilities in the multiagency Westwide Study,' 7 Nation's water policies and practices, and evidence of
which is preparing an I I -State water plan. The river increasing desire on the part of many "publics"' 8 to
basin commissions and the Water Resources Council participate in the planning processes of water re-
are merely participants along with other State and source agencies. Much of this heightened interest in
Federal agencies having an interest in the planning. public participation reflects an upsurge in interest in
The Act authorizing the Westwide Study, although environmental quality, but all phases of water re-
passed three years after the Water Resources Planning source activities, not just environmental aspects,
Act, assigned the responsibility for this interdepart- should be open to public review and should be
mental and intergovernmental water study to the influenced by public reactions.
Secretary of the Interior. Public participation should not be a one-way
In addition, the Congress has never given to the street. It should not only be a way of ascertaining
States the amount of money it authorized in the different views, it should also provide those whose
1965 Act for their participation in the river basin interests may be affected an opportunity to learn
commissions, $5 million annually for ten years. about decisions being made.

Title X111, P.L. 90-448, August 1, 1968, 82 Stat. 572, 42 '8 For the purpose of this chapter, a "public" refers to an
USCA 4001. individual or a group not having governmental decision-
1 6P.L. 83-560, August 2, 1954, 69 Stat. 640,40 USCA461- making authority. "Public participation" refers to activi-
ties of such individuals or groups in trying to influence
16Act of October 27, 1965, Title 1, P.L. 89-298, 79 Stat. decisionmaking. This section deals with public participa-
1073, 42 USCA 1962d-4. tion in water resources planning carried out by single
17Authorized in the Colorado River Basin Project Act in government agencies and by interagency enterprises, and
1968. P.L. 90-537, September 30, 1968, 82 Stat. 885, 43 also in licensing procedures for private and other non-
USCA 1511. Federal water resource or related projects.

372

Some publics' views are vocally expressed and easy differences."' Polarized views constrain publicin-
to detect; others, no less important, may be faint and volvernent, but by providing opportunities for articu-
easily overlooked. The problem is to identify impor- lation of these diverse strongly held views, public
tant viewpoints and insure that they are adequately involvement evidently can make for easier resolution
expressed and properly considered. It is important, of conflicts.
however, to find a way to insure that expression and A fourth constraint is that publics are usually
consideration of public viewpoints do not improperly likely to participate in planning only if they perceive
impede the decisionmaking process. that their interests are affected substantially. When
Determining the role which public participation the impact of a proposed water project upon the
should play in water resource planning requires public at large is diffused, even though the overall
discovering (1) the limitations which are inherent in social impact may be substantial, individual publics
public participation; (2) the requirements which must may not be roused to participate.
be met to insure adequate participation; (3) how that
participation should be structured (a) in Federal Requirements for Adequate Public Participation
water resource planning, (b) in planning for non-
Federal projects, and (c) in licensing proceedings; and A public can be assured of the opportunity to have
(4) how excessive and damaging delays which might its views considered only if adequate procedures are
attend public participation in licensing proceedings provided. Public participation has its greatest effect in
can be avoided. the formative stages of planning. Unfortunately, this
is a point at which interest in participation is often
low. In general, however, several basic requirements
for adequate public participation can be identified:
Limitations Upon Public Participation (1) Notice must be provided to inform the
The effectiveness of public participation in water publics of the planning activity and of the
resources planning is subject to certain constraints. opportunities for participation, at the start.
Some constraints are appropriate, others are not. The (2) Forums must be provided to have the
first constraint, and an appropriate one at that, is views of publics heard throughout the planning
imposed by our system of representative government. process, especially at or immediately preceding
Public participation does not transfer the authority important decision stages. This should include
and duty for making decisions from those entrusted the opportunity to propose and react to alterna-
by law with that responsibility to those who are eager tives as the planning process evolves.
to participate. While it is desirable for planning (3) Information must be made available to
agencies to encourage public participation, that does interested publics so that their participation can
not diminish their responsibility to perform the be informed, responsible, and substantive.
duties assigned them by law. Secondly, even for those (4) Planners and decisionmakers must be able
who are aware of the opportunities and who want to to assimilate public inputs and place them in
participate, limitations imposed by time and money perspective with all of the other information
may be disabling. Such publics may be at a significant which must be taken into account in planning
disadvantage when pitted against others who have and decisionmaking.
adequate funds, technical expertise, and political (5) Decisions should be made openly by duly
knowledge to advance their views. A third constraint constituted officials.
is that those who feel that the planning agency always
has its mind made up may be reluctant to participate
in resources planning. Similarly, planning agencies "WARNER, Katharine P (1971). Public Participation in
may be reluctant to invite public participation if they Water Resources Planning, prepared for the National Water
believe some participants are always opposed to Commission. National Technical Information Service,
proffered proposals. Springfield, Va., Accession No. PB 204 245. pp. 127-129.
Nevertheless, a study conducted for the Commis- Compare, PETERSON MS (1971). Case description: Mor-
sion indicates that in a significant number of cases rison Creek Stream Group Basin, California, Ch. XXVII in
public participation in the planning process reduces GOLDMAN, Charles R (1971). Environmental Quality and
Water Development, volume 11, prepared for the National
misapprehension, softens what might otherwise be Water Commission. National Technical Information Serv-
hardened viewpoints, and facilitates the resolution of ice, Springfield, Va., Accession No. PB 207 114.

373

(6) Schedules and deadlines should be set and a. Direct Federal water resources planning agencies
kept to avoid unnecessary delays and to permit to adopt procedures and issue appropriate direc-
expeditious decisions. tives and guidelines to field entities to provide
Although there may be no single optimum plan- opportunities for broad public participation in
ning process for all projects and programs, a process water planning activities from the inception of
can be designed for most planning which will allow the planning process on.
for adequate public participation. The points at b. Monitor public participation in interagency plan-
which the public should have access to the planning ning by reviewing the adequacy of provisions for
process are outlined below. public participation.

Access Points for Public Participation in the Water
Resource Planning Process 20 The WRC is the appropriate entity to direct
Federal agencies to provide for public participation in
1 . Planning agency communication with publics water resources planning in which the Federal Gov-
concerning initial contemplation of study, pro- ernment is involved and it is the appropriate entity to
posed scope of study, and opportunities for coordinate provisions for public participation in
public participation. Federal interagency planning. It should not, however,
2. Identification of study goals and objectives. prescribe specific, detailed public participation pro-
3. Evaluation of resources; their availability and cedures, but should, instead, impose minimum re-
capability of meeting needs. quirements leaving to individual agencies responsi-
4. Formulation and evaluation of alternative plans. bility for adopting, revising, and refining the neces-
5. Assessment of plans in light of costs and benefits sary rules and procedures.
in achieving originally hypothesized goals and Until recently, public participation in water re-
objectives; and, as a result, reassessment of sources planning has emphasized public hearings.
original goals and objectives. Generally, hearings were held at the beginning of a
6. Reformulation and evaluation of alternative planning effort when general views of interested
plans. publics were solicited. Then, typically, there was a
7. Recommendation of a plan. lapse in further public participation until after plan
8. Review of the plan. formulation was essentially completed, whereupon
Water resources planning tends to proceed from the plan was unveiled, usually to a group of people
identification of goals and objectives, through exam- drawn from those residing in the area affected by the
ination of the setting, consideration of alternatives, proposed project. Public hearings of this type are
calculation of benefits and costs, and reassessment, to reactive in nature. The public is presented with a
recommendation and review. Publics should have proposal on which to comment; a fait accompli, often
opportunities to contribute at each step. "Opportun- with little if any opportunity to participate in its
ity" is the key word throughout. Whatever pro- development or to view the alternatives which were
cedures are adopted, they should be flexible enough considered by the technical planning staff.
to allow for innovation and adaptability to assure Many of the newer public participation techniques
public participation which might not otherwise de- are responsive to a desire by various publics to be
velop. Adoption of the following recommendation more actively involved. Such techniques have
would strengthen public participation and lead attempted to escape dependence on those who always
eventually to better decisionmaking. show up and are more or less adequately represented
by local interests and articulate individuals. New
Recommendation No. 10-5: As provided in the techniques seek a broader representation and, hence,
Water Resources Planning Act, the Water Resources a broader consideration of public values and social
Council (WRC) with the approval of the President needs. This is not to suggest that old voices should
should: not be heard; but there is good reason why new
voices, particularly voices of those who are seldom if
These steps correspond closely to those enunciated by the ever noted, should be heard.
U.S. Water Resources Council in its Proposed Principles Some agencies have held public meetings, work-
and Standards for Planning Water and Related Land shops, and technical briefings throughout affected
Resources (December 21, 1971). Federal Register areas and, chaired by local organizations, have devel-
36(245):24144-24194, part 11. oped explanatory brochures, and have explored issues

374

Now

r@ _4 ,TIt t
-I t I t

I A I I I

A-

-Y

'OP

ILI
A
t7 "Y" 1111

Congressional field hearings provide check on adequacy of public participation in planning

with public participants. Other agencies have created be similarly structured to insure adoption of adequate
citizen review committees whose effectiveness tends and effective public participation procedures.
to vary depending on the stage of the study in which
participation is first introduced; the earlier the stage, Recommendation No. 10-6: As a prerequisite - to
the more effective seems to be a review comn-dttee7s project authorization, Congress should require
efforts.' ' Federal water resource agencies to report to it on
Recommendation 10-5 is limited to the WRC and to public participation with respect to particular pro-
Federal agencies but it should be implicitly extended, jects, showing compliance with agency public partici-
to the extent applicable, to non-Federal water plan- pation procedures, describing the questions con-
ning agencies. Non-Federal water planning activities, sidered and the viewpoints expressed, and providing
including the planning activities of State agencies and supporting information for the decisions reached on
commissions created by interstate compacts, should controverted points.

2'NEW ENGLAND RIVER BASINS COMMISSION (197 1). The report to Congress recommended here would
Report of the Citizens Review Committee on the Con- provide information for Congress on the issues which
necticut River Basin Comprehensive Water and Related participating publics felt were important and on the
Land Resources Investigation to the New England River
Basins Commission. New England River Basins Commis- ways in which an agency dealt with these in its
sion, Boston, Mass. planning. The report would also permit Congress a

375

check on the adequacy of an agency's public partici- It has been suggested that limited financial,
pation regulations, on the WRC's guidelines, and on technical, and manpower resources available to many
the extent of compliance with both. If it wishes, publics warrant government funding of participation
Congress can always augment an agency's public by various publics in the planning process. The
participation procedures by seeking additional testi- Commission has considered this possibility, but has
mony from public witnesses on specific issues in rejected it. Access to agency background material,
order to assure that all views are adequately con- adequate notice, opportunities for participation at or
sidered. before decisive stages in the planning cycle, full
disclosure of material facts, hearings at or near the
Recommendation No. 10-7: Water resources plan- project site, and congressional review of public
ning agencies should structure their planning pro- participation should be sufficient to overcome dis-
cedures so as to proceed promptly to resolution of parities in resources among various publics and
issues and to conclusions, even though consensus is between them and the planning agencies. The
impossible, by scheduling the timing of public partici- administrative problems of identifying those publics
pation and defining the issues to be addressed. who should receive participation grants and of dis-
Agencies should not place excessive or sole reliance on tributing such funds equitably make public funding
formal proceedings, but should supplement the inadvisable.
formal proceedings both before and after recom-
mendations are made with informal meetings with Licensing Proceedings for Non-Federal Projects
interests affected by the proposal.
Many non-Federal projects are subject to licensing
Public participation is vital; it is also an expensive, requirements with respect to their use of water. For
time-consuming process requiring significant commit- example, under the Rivers and Harbors Act of 1899,
ments. of an agency's planning budget and staff time. all persons who discharged "refuse" into navigable
On controversial projects, there is always the possi- waters or their tributaries had to obtain a permit
bility that hearings will become lengthy restatements from the U.S. Army Corps of EngineerS.1 2 Under the
of conflicting views long after it has become clear 1972 Amendments to the Federal Water Pollution
that consensus is impossible. That does not mean that Control Act, applicants for Federal licenses or
some views should be ignored or inadequately ex- permits to conduct any activity which may result in
plored in the name of efficiency. But lack of any discharges into navigable waters are to provide
consensus should not impede the completion of the licensing or permitting agency with certification
reports. Informal discussions with both proponents from the State (after public notice and, where
and opponents of proposed projects can lead to appropriate, after public hearings) that the discharge
better public response. Once fair and full considera- will meet applicable effluent limitations and Federal
tion has been given to competing views, it is performance standards for discharge sources. Certi-
important that the planners draw their conclusions. fication with respect to construction of a facility will,
The reports to Congress on public participation with certain exceptions, fulfill the requirement with
efforts will make the conflicting views known to respect to any other Federal license or permit
Congress and that body may make an informed required for the operation of the facility, as Well.13
decision. Permits are required from the Corps of Engineers for
the discharge of dredged or fill material into the
24
Recommendation No. 10-8: Water resources planning navigable waters at specified disposal sites, and
21
agencies should help compensate for the lack of from EPA for the disposal of sewage sludge.
resources of some participating publics (a) by pro- Except for hydroelectric powerplants, which under
viding timely, well-publicized information with several court decisions are subject only to the
respect to (1) opportunities to participate, jurisdiction of the Federal Power Commission, a
(2)altemative courses of action, (3)the course of
action favored by the planning agency, (4)benefits "Rivers and Harbors Appropriation Act of 1899, March 3,
and costs, and (5) other relevant factors; (b) by 1899, 30 Stat. 1151, 33 USCA 407.
scheduling at least one public hearing in the area of ' 'P.L. 92-500, October 18, 1972, Section 401, 86 Stat. 816,
the proposed project; and (c) by making basic data, 877, 33 USCA 1341.
reports and other background information readily 2 41bid., Section 404, 86 Stat. 884, 33 USCA 1344.
available to the public. 2 'Ibid., Section 405, 86 Stat. 884, 33 USCA 1345.

376

variety of permits must be obtained from local, State, planning and development of the resource to consider
and Federal governmental agencies before any con- the views of interested publics.
struction is undertaken which affects a water body. It is not always feasible or desirable for private
Some of these licensing arrangements recognize concerns to disclose their plans prematurely. For
that the public has an interest in the siting and use of example, premature disclosure might impede the
water-related facilities and provide for public hearings acquisition of necessary interests in real property by
or other opportunities for publics to be heard with fostering artificial land speculation or, where the
respect to whether or not and under what conditions power of eminent domain is unavailable, by
a particular license should be issued. However, these encouraging property owners to hold out for un-
arrangements do not always operate to give interested reasonable prices. However, disclosure should be
publics an opportunity to express their views in the made as soon as feasible in order to inform the public
critical early planning stages, before a specific about the expected water use and to give them an
proposed project has been submitted by the non- opportunity to express their views where it will count
Federal developer for the required permits. most, in the early stages of planning.
Several bills introduced in the 92d Congress with
respect to powerplant siting are of intere St.2 6 Public Participation in Planning for Non-Federal
Although these bills deal with powerpla-nt siting, their Projects
principles can be extended to other water-related Under present arrangements, some Federal
activities as well. The primary thrust of this proposed licensing agencies must engage in planning as part of
legislation is to consolidate the many present their licensing mission. The Federal Power Com-
licensing requirements into as few proceedings as mission, for example, is required to satisfy itself that
possible, providing a procedure in which relevant a hydroelectric project "will be best adapted to a
factors may be considered and in which early comprehensive plan for improving or developing a
disclosure of plant siting plans make early public waterway or waterways for the use or benefit of
participation possible. 27 This is desirable. interstate or foreign commerce, for the improvement
Recommendation No. 10-9: Federal and State and utilization of water power developments, and for
governments should require advance public dis- other beneficial public uses, including recreational
closure, as soon as feasible, in the prelicense planning purposes; . . ." and is authorized to require the
of major non-Federal projects expected to have an modification of projects to accomplish this.18 The
impact on water resources (i.e., where a permit Atomic Energy Commission evaluates proposed sites
eventually will be required for the water use and for nuclear powerplants to determine whether they
meet the public interest in various ways, including
where issuance of the pern-dt is subject to a deter- 29
mination that it will serve the public interest). health and safety.
These agencies have formal procedures for inter-
The public has a legitimate interest in the use of ested persons to intervene in licensing proceedings
water resources, especially the navigable streams and and to participate as parties. However, under these
lakes which historically have been impressed with a procedures there is a question whether the views of
public trust. Where this interest is recognized by all interested publics will be presented to the agencies
legislation requiring a permit, as where it must be as they engage in the planning which their licensing
established that the public interest is served before a procedures require. For one thing, some planning
permit can be issued, it is appropriate to advise the decisions are made before a hearing is scheduled and
public of a proposed use as far in advance as possible before the public has an opportunity to participate
and to encourage the private entity responsible for effectively. This problem should be met by
encouraging public intervention at an earlier stage in
'For example, the proposed Power Plant Siting Act of the planning process. In most situations it can also
1971, H.R. 5277, 92d Congress, Ist Session (1971); the be tackled effectively by providing for public parti-
proposed Electric Power Supply and Environmental Pro- cipation in land use planning and zoning, which can
tection Act, H.R. 11066, 92d Congress, ist Session
(1971). '8 Federal Power Act, P.L. 74-333, August 26, 1935, 49 Stat.
"See Chapter 6 on balancing environmental and develop- 84 2, 16 USCA 8 03.
mental values for a discussion of H.R. 5277 and H.R. 29U ,S. ATOMIC ENERGY COMMISSION, Regulations, 10
11066. CFR 100.

377

often have a more important bearing on the siting of licensing agencies should consider and, perhaps most
water-using facilities than planning which is important, it can offer representation for classes of
associated with licensing. interests which otherwise might not be represented at
There is still a lingering problem regarding public all.
participation. Even when an agency's rules are
adequate with respect to who may appear as formal Recommendation No. 10-10: Where conditions
parties and when they may appear, there is doubt indicate, licensing agencies should seek to develop the
whether certain segments of the public, who may be interests of all those publics who are affected by
vitally affected by an agency's decision and who agencies' decisions. Where it is determined that some
should be heard from, are likely to be represented publics are not adequately represented in licensing
before the agency at all. proceedings, licensing agencies should use indepen-
Environmental issues and the viewpoints of those dent public advocates to represent such interests,
emphasizing environmental quality usually appear to including environmental and consumer interests.
be adequately developed in both AEC and FPC
licensing proceedings, even though "environ- In seeking to expand public participation before
mentalists" may not always agree with the decisions licensing agencies, the use of one or more public
rendered. Environmental organizations frequently advocates is preferable to amending licensing acts to
appear as formal parties, present evidence in support require each licensing agency itself to consider
of their positions, and cross-examine with respect to specified interests. There is merit in leaving an agency
differing positions. Furthermore, and this is most with a broad standard which will permit it to take a
important, the legislation under which Federal variety of previously unrepresented or under-
licensing agencies operate has been interpreted to represented interests into account as they emerge.
impose an affirmative obligation upon them to Amending organic acts by specifying particular
develop and explore environmental issues. 30 interests to be considered might prejudice other
Other segments of the public who could be greatly interests not specified.
affected by a licensing decision are not as well The task of representing otherwise inadequately
represented nor are they assisted as much byjudicial represented publics should not be left to agencies'
decisions which require the licensing agencies regular staffs. An agency's staff must develop a
specifically to take their interests into account. For position on how it believes the agency should act on
example, certain classes of power consumers neither an application before it. A public advocate should be
participate in hearings before Federal licensing independent, free to represent a particular interest
agencies nor are they represented there by the regardless of the position which a licensing agency's
agencies' staffs. Something should be done to insure staff takes or the position which the agency
that the voices of affected interests who would ultimately accepts.
otherwise not be heard get heard.
Even environmental interests, which usually are The Problems of Delay
adequately represented in "big" cases, may not be The Commission recognizes that problems of delay
adequately represented in other licensing proceedings may be especially serious in licensing proceedings of
particularly non-Federal proceedings where NEPA water or water-related projects, particularly where an
does not apply. Several States have responded to this applicant must obtain licenses from different
problem by designating an assistant attorney general agencies, and that encouraging representatives of the
to appear in appropriate cases as an advocate of the
3 1 public to participate in these licensing proceedings
public's interest in environmental quality. may tend to increase the risks of damaging and
The public advocate arrangement can be extended unproductive delay. Society's interests are not well
to encompass other values which should also be
represented and it can be tailored to fit the require- See, for example, Washington Revised Code, Chapter
ments of particular licensing proceedings. It can serve 80.50, under which a "counsel for the environment" is
to supplement direct public participation by appointed for powerplant certification proceedings-, and
providing an advocate for important interests which Wisconsin's Chapter 75, Laws of 1967, Section 25(9),
which provides for a "public intervenor" in proceedings
where protection is needed for "public rights" in water,
"See Chapter 6 on balancing environmental and develop- such as a determination whether or not a permit for a dam
mental values. should be issued.

378

served if a licensing agency is forced to act pre- In recent years, there has been a broadening of the
cipitately in a context of a crisis, inflamed by delays, traditional objectives of water resources development.
or if a license applicant is forced to change its plans In addition to the objective of developing the
or project proposals, not on the merits, but simply to Nation's water resources to increase national
avoid further delay. The objective should be to economic output and efficiency, the list of other
accommodate interests of the publics and rights of legitimate national objectives-some that may be
the parties in order to produce a sound result in economic in part, like regional development, and
licensing proceedings, and to do so expeditiously." others that have to do with what are ordinarily
Three things can be done to help solve the considered noneconomic values such as scenery, fish
problems of delay.The Commission believes, first, that and wildlife, and recreation-has been continually
31
it is essential to identify disputed issues well in augmented.
advance of the time a particular facility may be With the addition of new objectives, water resource
required. The problem of delay is most serious when planners must identify, measure, and weigh water
the applicant must meet a relatively immediate need values for a society increasingly concerned with the
and alternatives are severely limited by time nonmarket as well as the "economic" consequences
pressures. Recommendation 10-9, calling for early of water programs and projects. At the same time
public disclosure, is responsive to this concern. water quality control measures must also be
Second, the Commission endorses the concept of evaluated.
extensive informal prelicensing planning to determine
acceptable sites for industrial facilities and other Evaluation of Altemative Courses of Action
projects requiring licenses, in the context of com- One of the major deficiencies in the current
prehensive land use and water resources planning. evaluation process is its continuing failure to
Such prelicensing land use planning would tend to encompass a sufficient number of feasible alternatives
resolve a number of issues, thereby limiting those within a plan for developing the water resources or
which must be decided in a licensing proceeding. controlling the water quality of a given area. The
Third, the Commission endorses the concept of evaluator's vision and his prerogative usually do not
consolidating required licenses into a single proceed- extend beyond locating and designing construction
ing where possible. Consolidation or "one-step projects.
licensing" offers a mechanism for balancing Alternatives which might solve a given problem
competing values in a single proceeding, as discussed may be outside the mission of his agency. For
elsewhere in this report.33 Furthermore, it offers instance, the exploration of alternatives for additional
obvious potential savings of time. Not only can municipal water supplies may neglect the role of
proceedings be consolidated so that only a single
presentation need be made, but the possibility of pricing and metering in reducing consumption, the
separate appeals from numerous licensing decisions is possibilities for reuse of wastewater, or upgrading the
eliminated. quality of potential local sources of supply. Cost-
sharing arrangements may influence local bene-
EVALUATION AS A BASIS FOR ficiaries to opt for a particular engineering project
DECISIONMAKING which may be an inferior alternative (because it costs
more or yields fewer benefits or both) but which
In water resources planning, "evaluation" is simply requires smaller payments from direct beneficiaries.
a systematic method to test the desirability of In such cases management alternatives of develop-
undertaking any given water resources program or ment or no development, or development at a
project. The principles and standards of measurement different location, or at a different time do not
used in evaluation in large measure determine the readily enter the screening.
future direction and pace of the Nation's water
development. "The histories of major water development programs-the
Reclamation Act of 1902, the Flood Control Act, and the
Improved procedures to minimize delays in licensing Tennessee Valley Act- substantiate that executive and
proceedings are discussed in detail in Chapter 6 on legislative policyrnakers have not been concerned solely
balancing environmental and developmental values. with national economic development. Redistribution of
"See Chapter 6 on balancing environmental and develop- income to different regions or classes of water users has
mental values. been another principal objective.

379

"Ov

_V_

Urban flood control projects require close coordination with rail and highway transportation facilities

The context within which alternatives are analyzed 1936 economic analysis of water resources develop-
is important. The scope of water evaluation should ment, generally, has come to revolve around the
not be restricted to or made to coincide with the so-called benefit-cost ratio, for which a gain in
jurisdiction of a particular water agency. Its authority "national economic efficiency" requires a ratio of
simply may not extend to the type of alternatives project benefits to project costs that is greater than
which exist at the policy level where the political one-to-one,
decisionmaker normally operates. The methodology of this market-oriented water
resources evaluation system has been continually
The Dominance of Benefit-Cost Analysis improved to provide a rational basis for calculating in
The Flood Control Act of 1936 approved Federal monetary terms the costs and benefits of water
investment and participation by the Corps of resources projects. The objective of national
Engineers in flood control projects ". . . if the bene- economic efficiency has been accommodated fairly
fits to whomsoever they may accrue are in excess of easily within an assessment of the expected economic
the estimated costs, and if the lives and social security benefits of a project: power, irrigation water, naviga-
of people are otherwise adversely affected .-3 -1 Since tion, or economic damages averted by controlling
floods. Moreover, benefit-cost analysis has been
"Act of June 22, 1936, P.L. 74-738, 49 Stat. 1570, 33 extended to other agencies and has made evaluation
USCA 701a. procedures relatively uniform among them. It has also

380

allowed limited comparisons to be made between the Nation is to preserve its options as it plans for
programs of different agencies. development.
Nevertheless, despite the refinement of benefit-cost At the same time, conscious effort has to be made
analysis, it does not always supply a sufficient guide to avoid the temptation to achieve false precision in
to the worth of a water resources project or program. evaluation. It is folly to attempt to convert all
Adverse effects of projects are seldom treated ade- economic, social, and environmental effects into a
quately; for example, increased flood heights down- common unit. Dollar values-however appropriate to
stream caused by upstream channelization or drainage measure economic effects-may be worse than mean-
projects are rarely considered. Furthermore, a ratio of ingless to measure noneconomic ones. They may be
dollar benefits to dollar costs cannot readily or deceptive as well. A good safeguard against false
appropriately place a precise value on the accepted precision is to quantify the quantifiable, and separate
"nonmonetary" objectives of water resources projects the nonquantifiable, leaving its evaluation in the
and programs. plain, textual terms on which it must ultimately be
assessed by decisionmakers. Environmental, social,
In the calculation of monetary project benefits and ethical, and other human factors not readily or
costs, it is not always easy to account for the indirect appropriately valued by the market can never be
effects, both positive and negative, or to assess the realistically weighed in the calculation of benefits and
social impact of programs of water planning and costs.
development. Increase in national income-the net Criticism of the misuse of the national income or
gain in market value of the goods and services from efficiency criteria (benefit-cost analysis) in the evalua-
water resources development-is a contributor to tion of water resources development should not,
national well-being, but it is not the only index of the however, be allowed to detract from its usefulness in
social effects of development. Gains to a particular the decision process. These criticisms, property
locality or region, monetary or nonmonetary, cannot construed, do not argue against analytical methods
always be equated with gains to the Nation. For (which are being continually improved). They do
example, changes in the distribution of wealth among argue against abuse of the methods and against slavish
regions can be an important effect of a water project adherence to the notion that all water resource
or program. As a result of a decision to provide some projects can be evaluated with exquisite mathematical
type of water service in one region rather than in precision.
another, there may be offsetting losses in the "other" Notwithstanding the importance of benefit-cost
region. The re distributional effects need to be cata- analysis, it is not everything nor should it necessarily
logued to show at different points in time the be controlling. Rigorous analysis provides decision-
projected effects of the development. makers with information on the consequences of
Environmental changes that may occur as a result alternative decisions. It does not make those de-
of project development should also be exhibited in cisions. For a variety of reasons, not the least of
the evaluation of a project or program. Many environ- which is that the future is not susceptible to precise
mental effects can be quantified and can have dollar forecasting, important social and political considera-
values attached. Crude indicators, such as miles of tions, in addition to benefit-cost analysis, must also
free flowing stream, can be provided. It might be be taken into account by decisionmakers.
shown, for example, that a particular project would The Efficacy of Effective Demand in Evaluation
inundate 50 miles of the last remaining 100 miles of
spawning gravels accessible to an anadromous fish The first task of evaluation should be to establish
run, and that that adverse effect can be valued as a whether an effective demand exists for the particular
real cost or disbenefit. Project impacts upon eco- outputs or services of a water project or program.
systems are likely to occur not only in the first phase Evaluation can answer a searching first question: Is
of construction but will continue throughout the life there an effective demand for the "services" of a
of the project, and beyond. A time profile of particular water development? (It can answer others
expected environmental changes showing, for as well, such as: What benefits does society forfeit by
example, what wild rivers will be flowing or how undertaking development of a project?) Effective
many natural spawning areas may remain in 10, 20, demand, demonstrated where the users of a water
or SO years' time if all plans proceed as projected is project or service signify a willingness to pay for the
useful information to include in an evaluation if the service or output to be provided, is the one sure

381

measure of the econon-dc benefits that will be Under the proposed principles and standards,
obtained from a water resources project or program. environmental effects are also to be weighed. Project
Benefits exist because there is a demand, not effects which relate to the quality of life will be
because a certain quantity can be supplied. The exhibited in the project statement but the benefits
demand for more irrigation water does not stem from will not be included in the benefit-cost ratio.
a simple desire for additional acres of irrigated land. The proposed principles and standards represent a
The demand for irrigation water is derived from constructive step forward in the evolution of the
consumers' demand for food and fiber, the final evaluation process. They dispose of much of the
goods produced from irrigation water. The first previous criticism that the justifications for water
question to be asked, therefore, when considering the development projects have been too narrowly con-
likely worth of an irrigation project is: Is there an ceived. Objectives other than national economic
effective demand for the food and fiber which can be development are explicitly recognized as inherent and
produced by the irrigated project? legitimate considerations in water resources develop-
If consumers are willing to pay the full costs for ment decisions. The methods devised to measure the
food and fiber produced by water from an irrigation contribution of a water resource development to
project, including of course the full cost of delivering these objectives can usefully exhibit both monetary
the water to the irrigator, then it is safe to assume and nonmonetary effects.
that irrigators, in turn, will have an effective derived The proposed principles and standards have not
demand for irrigation water. It is of fundamental yet been approved. Controversy over an appropriate
importance in exploring the economic and social discount rate (hereinafter discussed) may delay their
worth of a project to ascertain the willingness and implementation. 3' However, the Water Resources
ability of users to bear the costs of the project. Council has sought professional opinion and has
taken extensive testimony on its draft proposal, and
Evaluation in a Context of Multiobjective Planning consequently is in a position to make necessary
In December 1971, the Water Resources Council, refinements. When this has been done, the principles
after prolonged review by the Office of Management and standards should be approved.
and Budget, published proposed principles and stan- Multiobjective planning has yet to be successfully
dards for evaluation of proposed water projects and fashioned and implemented in the field. Intelligent
programs in the light of three principal national application of the principles and standards will
objectives: national economic development, regional require the design of specific procedures. In the River
economic development, and environmental quality. 36 and Harbor Act of 1970 Congress directed the
The classification of project and program benefits in Secretary of the Army to promulgate guidelines
accordance with their contribution to national designed "to assure that possible adverse economic,
income and economic development, the basic in- social, and environmental effects relating to any
gredient in compkiting the benefit-cost ratio, has been proposed project have been fully considered in
retained. Treatment of regional development as a developing such a project .,,38 On July 10, 1972, the
national objective has been put on a narrower basis. Corps of Engineers prepared "Proposed Guidelines
for Assessment of Social, Economic and Environ-
Only where Congress has specified that regional mental Effects of Civil Works Projects ,,3 9 directing
development is to be considered an objective, as it its reporting officers to use the guidelines to identify
has, for example, in Appalachia and in several other and evaluate in a systematic way all significant
economic development regions, would regional devel- project effects, both "beneficial" and "adverse," but
opment benefits be allowed to be taken into con-
sideration in evaluating a Federal water resources
investment.

"11I.R. 16832, proposed Flood Control Act of 1972, 92d
Congress, 2d Session, would have continued in force
through December 1973 the evaluation standards now
used.
"U.S. WATER RESOURCES COUNCIL (December 21, 38 P.L. 91-611, December 31, 1970, Section 122, 84 Stat.
1971). Proposed principles and standards for planning
water and related land resources. Federal Register 1818,1823.
36(245):24144-24194, Part 11. See Federal Register 37(145):15013, July 27, 1972.

382

particularly those adverse effects specified in the phase, the Water Resources Council should establish
40
1970 River and Harbor Act. appropriate arrangements for guiding Federal and
Noting that the assessment of project effects State agencies in the development of the recom-
parallels and is concurrent with project formulation, mended system of evaluation.
the Guidelines summarized the sequence of tasks that
should be used to assess project effects, Included are The Discount Rate
steps that call for the making of a projection of
11 without project" conditions throughout the eco- The evaluation process is concerned with the
nomic time span of a proposed project, and making future uses of water and their likely contribution to
"with project" projections identifying "causative social welfare over time. The relative importance of
factors" and tracing their effects for each alternative. future benefits have, therefore, to be evaluated. The
All signficiant effects of a project are to be identified expected time stream of future benefits is associated
and assessed. An illustrative list includes specific with an expected time stream of future costs, for
effects for each of three classifications: (1) social apart from the initial investment in the relatively
effects, (2) economic effects, and (3) environmental short construction phase, there are usually continuing
factors. Under social effects are items such as noise, operation and maintenance expenditures over time.
displacement of people, archeologic remains, historic For water resources projects, benefits and costs
structures, educational and leisure opportunities, accrue at different dates. Net gain is not merely the
community cohesion, and institutional relationships. simple sum of all the gains over the life of the project
Under economic effects are included, among others, minus all the costs over the same period. What is
the familiar national economic development, as well essentially an opportunity cost has to be accounted
as local government finances, land use, desirable for. This is accomplished by converting each stream -
regional growth, and real income distribution. En- benefits and costs-to its present value. For this, a
vironmental factors include physical and hydrological rate of interest called the discount rate is used.
factors and pollution related to air, water, land, The discount rate is based on the concept that
animals, plants, and ecosystems. capital invested in water projects would yield returns
Whatever form of multiple-objective planning is over the years if instead it were invested for some
finally adopted, the implementation of proposed other purpose, and that this foregone earning poten-
evaluation principles and standards by planning staffs tial should be taken into account by discounting
of water resources agencies will entail significant those benefits of a project that do not accrue until
changes in planning procedures and in present levels the later years of its life. The discount rate seeks to
of expertise. There are a number of ways the required express the future benefits of a project in terms of
exhibits might be designed to include all significant present values.
effects to show market, nonmarket, and simulated The present value of gains minus the present value
market effects by locality or region, viz, the impact of costs equals the present net worth of the project.
zone, the contiguous region, and the rest of the The present value of benefits and the present value of
Nation, and by occupation or income class or by user costs can be converted to "average annual equiva-
group. The pioneering phase will require continuous lents." The ratio of average annual benefits to average
and close monitoring of specific procedures during annual costs is the benefit-cost ratio. Projects are
and after they have been put into operation. In this adjudged economically feasible when the benefit-cost
ratio is 1 : 1 or greater. The interest rate used in
discounting future benefits of water projects signifi-
"Section 122 of the River and Harbor Act specified that cantly affects the resulting benefit-cost ratio; hence,
possible adverse economic, social, and environmental the strategic importance of the discount rate in
effects relating to any proposed Corps project be fully shaping future water resources programs.
considered in developing the project, including: air, noise, Project costs are largely incurred during the con-
and water pollution; destruction or disruption of manmade struction period early in the life of the project. As the
or natural resources, esthetic values, community cohesion discount rate is increased, the present value of
and the availability of public facilities and services; adverse benefits accruing in later years is greatly reduced. The
employment effects and tax and property value losses; effect of increasing the discount rate on reducing the
injurious displacement of people, businesses and farms;
and disruption of desirable community and regional present worth of future benefits is illustrated in Table
growth. 10-1.

383

TABLE 10- I.-Effect of different discount rates on At the planning level, the choice of interest rate
the present worth of a future benefit has considerable influence on the design that is
of one dollar selected. The choice of a relatively high interest rate
"has the effect of eliminating the least productive of
the proposed investment opportunities and conserv-
3% 5% 8% 10% 12% ing the limited funds to use in the most productive
placeS.111 2
(cents) Different kinds of social programs may therefore
50 years hence 23.0 8.0 2.0 0.90 0.40 result from using different discount rates. The use of
75 years hence 11.0 2.6 0.3 0.08 0.02 low discount rates favors long-term capital intensive
projects, benefits from which come largely in the
Source: BARISH, Norman N (1962). Economic Analysis for more distant future. A high discount rate favors
Engineering and Managerial Decisionmaking. government investments from which yields are
McGraw Hill Co., Inc., New York. Appendix Tables, obtainable earlier.
pp. 68 8, 692, 693, 694, 695. The Joint Economic Committee sums up the
The implications of increasing the discount rate for situation: "If we need more expenditure on educa-
tion now-better books and better teachers-a re-
water resource development are stated as follows by duction in the discount rate would not provide them.
proponents of long-range river development. It would only stimulate the construction of durable
The adoption of higher discount rates means school buildings, the long-term investment portion of
that smaller, less costly projects having substan- educational expenditure."4 3
tial benefits in the near future will be favored For the design and evaluation of public water
over large multi-purpose projects having benefits projects, the choice of the discount rate is one of the
slowly budding up over a period of years. most significant and important problems for resolu-
Generally urban water supply and urban flood tion. Many economists believe that the rate of
control projects will get priority while river discount should be selected so as to insure that
basin programs will be adversely affected. Dis- capital channeled into public activities earns as
count rates of 7 percent or more would likely bountiful a return as it would elsewhere. ". . .[Tlhe
jeopardize most river navigation projects since allocation of billions of dollars of public expendi-
potential benefits from such projects do not tures ... hang[s] on the resolution of the social
usually reach anticipated levels until the second ,44
or third decade of project life. Traffic on a new discount rate.
waterway simply does not develop its full
potential overnight. This is the type of project 41 LINSLEY, Ray K & FRANZINI, Joseph B (1964). Water
which is generally viewed as contributing to Resources Engineering. McGraw-Hill Book Company, New
economic development of entire regions and it is York. p. 366. The authors also emphasize, "It should also
long-range projects of this type which would be be noted that, for long-lived assets, a large difference in
41 estimated life has less effect on annual cost than a
hardest hit as the discount rate advances. moderate difference in interest rate. For example, assume
Since long-deferred benefits are discounted over a a given life estimate is increased from 45 to 100 yrs and at
longer period of time, and hence, more heavily, the the same time the interest rate used is increased from 3 to
effect of a higher discount rate is to favor those 4 percent; the increase of annual cost due to the higher
projects which offer benefits in the immediate future interest rate is greater than the reduction of annual cost
due to the estimate of longer life."
as opposed to projects designed to last 50 to 100 43U.S. CONGRESS, Joint Economic Committee (1968).
years. It also tends to favor projects with relatively Economic Analysis of Public Investment Decisions: In-
small initial costs. The relatively short-term projects terest Rate Policy and Discounting Analysis, Report of the
are favored over long-term projects. Subcommittee on Economy in Government. U.S. Govern-
ment Printing Office, Washington, D.C. p. 11.
Criteria News, National Waterways Conference, Inc., Issue 44 HAVEMAN RH (1968). The opportunity cost of displaced
No. 41, April 23, 1971. pp. 1-2. For a discussion of the private spending and the social discount rate, in
techniques used in discounting anticipated values to WESTERN AGRICULTURAL ECONOMICS RESEARCH
present worth or in converting those values to average COUNCIL, Committee on the Economics of Water Re-
annual equivalents, see GRANT, Eugene L (1950). Prin- sources Development, Conference Proceedings, December
ciples of Engineering Economy, 3d Edition. The Ronald 17-18, 1968. Western Agricultural Economics Research
Press Co., New York, pp. 35-41. Council, Denver, Colo. pp. 51-70.

384

Up to mid-1968, the interest rate used by Federal percent, and, except for FY 1973, the rate for
water resources agencies in project formulation ap- Federal water projects has been going up by 1/4
proximated the average rate of interest payable by percent every year since. Unlike the coupon rate
the Treasury on outstanding long-term marketable which is determined by interest rates prevailing at the
securities (15 years or more at original issue)." This time of issue, the yield rate is based on the interest
is the interest rate which the Government pays on its rate which those bonds commanded in the market in
long-term Treasury bonds and is determined by the the preceding fiscal year, rates which presently are
rate of interest for such securities prevailing at the higher than they were years ago.
time of issue. Since most outstanding long-term
Treasury bonds were issued long ago when interest Discount Rates Applying to Federal Water Projects
rates were low, the resulting average rate of interest
payable is relatively low. This so-called "coupon" rate Fiscal Year Rate Percent
at present is in the vicinity of 3-1/2 percent, about
half the rate of 7 percent proposed by the Water 1963 3-1/4
Resources Council as the discount rate to apply to
,,41 1964 3-1/4
water resources projects "for the next five years. 1965 3-1/4
The "coupon rate" was endorsed by the Green
Book (May 1950) 141 the Bureau of the Budget 1966 3-1/4
Circular A-47 (December 1952r 8 and the Presiden- 1967 3-1/4
tial Advisory Committee on Water Resources Policy, 1968 3-1/4
(December 1955 ).4 9 The coupon rate was also the 1969 4-5/8
rate defined in the Water Supply Act of 1958 for 1970 4-7/8
repayment purposes, and is determined annually by 1971 5-1/8
the Treasury in accordance with that law.'o Legisla- 1972 5-3/8
tion introduced in the 92nd Congress proposed a 1973 5-1/2
return to the coupon rate. 5 1
A discount rate approximating the coupon rate was
also endorsed in Senate Document 97 and under its In the fall of 1972 the yield rate stood at 5.7 percent
formula the interest rate remained at 3-1/4 percent but it can fluctuate from day to day as the money
for a number of years. In mid-1968, under pressure market dictates.
from the Bureau of the Budget, the Water Resources The Water Resources Council in December 1971
Council was prompted to switch from the "coupon proposed that the discount rate which applied to
rate" of 3-1/4 percent to the "yield rate," then 4-5/8 Federal water resources projects be established in

Agencies in the past have employed different rates to Resources Policy. U.S. Government Printing Office, Wash-
evaluate projects. In the 1950's the Bureau of Reclamation ington, D.C. p. 27.
employed 2-1/2 percent while the Corps of Engineers used "P.L. 85-500, July 3, 1958, 72 Stat. 319, 43 USCA 390b.
a rate of 3 percent.
46U.S. WATER RESOURCES COUNCIL (1971). Proposed S. 2612, 92d Congress, lst Session, "National Water and
principles and standards for planning water and related Related Land Resources Policy Act" introduced by Sena-
land resources. Federal Register 36(245):24193, Part 11. tor Jennings Randolph joined by Senator Henry M.
Jackson, and referred to the Senate Committee on Interior
47U.S. FEDERAL INTER-AGENCY RIVER BASIN and Insular Affairs on September 29, 1971, in Section 10
COMMITTEE (December 21, 1971). Subcommittee on proposes: "The interest rate to be used in plan formulation
Benefits and Costs (May 1950). Proposed Practices for and evaluation for discounting future benefits and com-
Economic Analysis of River Basin Projects. U.S. Govern- puting costs, or otherwise converting benefits and costs to
ment Printing Office, Washington, D.C. p. 24. a common time basis shall be based upon the average rate
4 9 U.S. BUREAU OF THE BUDGET (December 31, 195 2). of interest payable by the Treasury on interest-bearing
Reports and Budget Estimates Relating to Federal Pro- marketable securities of the United States outstanding at
grams and Projects for Conservation, Development, or Use the end of the fiscal year preceding such computation
of Water and Related Land Resources, Circular A-47. which, upon original issue, had terms to maturity of IS
Bureau of the Budget, Washington, D.C. Section 15, p. 14. years or more. Where the average rate so calculated is not a
multiple of one-eighth of I percent, the rate of interest
49PRESIDENT'S ADVISORY COMMITTEE ON WATER shall be the multiple of one-eighth of I percent next lower
RESOURCES POLICY (December 22, 1955). Water than such average rate."

385

accordance with the following concept: The oppor- discount rate based on the opportunity cost of capital
tunity cost of all Federal investment activities, includ- in the private sector holds that public investment
ing water resource projects, is recognized to be the should be a countervailing force to offset the private
real rate of return on non-Federal investments. The bias against the long-term future; that use of a
best approximation to the conceptually correct rate is relatively low discount rate in water resources project
the average rate of return on private investment in evaluation encourages investment in socially useful
physical assets, including all specific taxes on capital projects which should be built but which, in the
or the earnings of capital and excluding the rate of absence of a lower discount rate, would not be judged
general inflation, weighted by the proportion of feasible.
private investment in each major sector. The average The selection of the discount rate to be used in
rate of return on non-Federal investments is estirna- discounting future benefits and costs from water
te d at 10 percent. resources projects, in the final analysis, will constitute
Recognizing both the objective of subsidizing a social and political judgment. The appropriate rate
water resource projects and the objective of an should evolve from a fully informed political process
efficient combination among and between Federal which recognizes fiscal and budgetary considerations
and non-Federal investment activities, the discount as well as national aims, preferences, and values about
rate to be established on approval of the proposed benefits that should accrue to future generations
principles and standards is 7 percent for the next five from the development of the Nation's water re-
52
years. sources. Consequently, the political process has to be
At the present time, economists are not in agree- conducted with an awareness of the operational
ment that the opportunity cost of capital in the significance of the discount rate to shape the future
private sector is a valid or relevant concept for level of Federal investment and the type of Federal
Federal investment in the public sector. Some believe water resource development which is to be under-
that individual private decisions tend to be taken. To this end, separate analyses under different
persistently and systematically biased in favor of discount rates-the coupon rate, the yield rate, and a
present or near-term considerations and against long- rate reflecting the opportunity cost of non-Federal
term prospects; that in the aggregate, individuals in capital -might be made for all projects.
their private decisions concern themselves excessively The Commission believes that the rate at which
with today and inadequately with tomorrow; that as capital is available for relatively riskless investment in
individuals with finite life spans they do not plan Government bonds should be the discount rate, since
sufficiently for future generations. As a result, it is the higher opportunity cost of capital includes a
argued, in the division of national income current factor for risk which is not present in Government
consumption is greater than it should be and savings projects.
are correspondingly less. This reduced level of capital
formation which stems from inadequate concern for RECOMMENDATIONS
53
futurity results in relatively high interest rates. 10-11. The President should approve the substance
Investment in long-term projects that do not yield all of the principles and standards of multiple-
of their benefits until some distant future date get objective planning, as proposed by the Water
short shrift (because, unless they are very attractive Resources Council, with the exceptions noted
investment opportunities, tying up capital in projects below with respect to the discount rate and
which do not pay off for a long time can be painful the principle of effective econon-dc demand.
when that capital could be earning a high rate of 10-12. The principles and standards which are
return invested elsewhere). Public enterprise is adopted for the evaluation of Federal water
uniquely qualified to place long-term benefits in resources projects should include the
perspective. The argument against use of a high principle that benefits for water resources
52U.S. WATER RESOURCES COUNCIL (1971). Proposed development projects be derived by applying
principles and standards for planning water and related the concept of effective economic demand.
land resources. Federal Register 36(245):24144-24194, This principle and thei procedures it entails
Part II, December 21, 1971. for implementation should be included as an
53 Other things equal, interest rates vary inversely with amendment to the principles and standards
savings. The lesser the savings, the higher the interest rate, proposed by the Water Resources Council.
and vice versa. Care should be taken that the information

386

used in the evaluation of water resources the Water Resources Planning Act-14 and elsewhere.
projects reveals fully (1) both the positive Complementary refinements in authorization, budget-
and negative effects of proposed projects ing, and appropriations have not yet effectively
upon all local interests and (2) any impor- linked each of these successive steps to the planning
tant positive and negative effects upon other process and toi each other.
regions. In authorizing new projects and programs for
10-13. ne discount rate for evaluation of water developing water resources, the Congress has not
resources projects should be established by always made full use of comprehensive river basin and
the Treasury Department based on the regional plans. The authorization of aid to local
average yield rates of outstanding long-term agencies in meeting national objectives prescribed for
Treasury obligations. The discount rate them is not always implemented in a timely schedule
should remain constant for a period of five by appropriation of needed funds. Failure of Con-
years and then be recomputed. gress or the President to make funds available for
certain grant programs has led to large backlogs of
AUTHORIZATION, BUDGETING, AND grant-supported projects. Local administrators then
APPROPRIATIONS avoid making commitments until the grant funds are
in hand.
The authorization, budgeting, and appropriation Budgeting procedures neither reflect nor promote
processes translate water resources plans into pro- the regional and the long-term nature of water
grams and projects. Congress exercises its power to resources development. Appropriations of funds for
approve and finance water resource development in Federal construction projects that are made annually
two stages: authorization and appropriation. In the on an incremental basis unnecessarily subject the
interval between the authorization of a program or completion of projects to uncertainty and increase
project and the appropriation of funds for it, Federal their total cost by spreading construction over a
agencies prepare schedules for its implementation. longer period of time than the most economical
These schedules are transmitted as budget requests to construction schedules sometimes call for. A growing
Congress for action in the annual appropriation acts. backlog of projects authorized under obsolete plan-
These separate steps by which water resource pro- ning and evaluative criteria and obsolete discount
grams and projects are conceived and executed by rates overburdens the appropriations process and
separate branches of government should be closely permits start of construction of projects even though
linked together if the Nation's water resources are to they may no longer measure up to current principles
be efficiently managed, and its public funds effec- and standards for evaluating the worth of Federal
tively spent. investments in water resource development.
In the future a larger share of water resources
projects may be financed by States and local govern- From Plans to Authorizations
ments than in the past, particularly if the Federal Federal funds for water resources development are
Government continues to implement revenue sharing authorized both directly for Federal construction
on an increasingly broad front. Although many of the projects and indirectly to support programs of
Comn-dssion's recommendations touching Federal assistance to State and local agencies. For Federal
planning, public participation, authorization of pro- projects specific project plans are prepared by one of
jects, budgeting procedures, and appropriations the major Federal construction agencies-for ex-
practices are not strictly applicable to decisionmaking ample, the U.S. Bureau of Reclarnation (Bureau), the
at State and local levels, the general principles that U.S. Army Corps of Engineers (Corps), or the U.S.
should guide decisionmaking are adaptable with Soil Conservation Service (SCS). The plans are
modifications at non-Federal levels of government as submitted to Congress for its approval, which is given
well as at the Federal level. in the form of an act approving the project and
Water resources planning over the years has aimed authorizing the appropriation of funds for it at a
at better coordination of the different types and future time. In some instances, authority to approve
levels of planning, both among Federal agencies and project plans is delegated to the head of a department
between Federal and non-Federal planners. Com-
prehensive planning on a regional or river basin scale "P.L. 89-80, July 22, 1965, 79 Stat. 244, 42 USCA 1962 et
by planning commissions has been authorized both in seq. (1964 Supp.).

387

IMF

7 141
J

Local officials use Soil Conservation Service Land Resources Unit map for planning

or agency, subject to veto by resolution of the Department of Commerce's Economic Development
appropriate congressional committee. Administration58 (EDA).
Congress also authorizes grants, loans, or other
Federal assistance to be made to States or local Federal Construction Projects: Modern planning and
agencies in accordance with the general outline of evaluation techniques may lead to project selection
legislation authorizing specific programs. Federal on the basis of comprehensive river basin or regional
assistance programs of this sort in the water resources plans based on principles and standards that take into
field are now administered by the U.S. Department of account a multitude of criteria -economic, social, and
Housing and Urban Development5l (HUD), the U.S. environmental -at national and regional, as well as at
Environmental Protection Agen Cy5 6 (EPA), the U.S. local levels. Nevertheless, even though comprehensive
Farmers Home Administration" (FHA), and the U.S. plans for the development of river basins are rou-
tinely submitted to Congress, Federal water project
proposals have not always arisen from or been
Housing and Urban Development Act of 1965, Title VII, considered in the context of a comprehensive basin-
August 10, 1965, P.L. 89-117, 79 Stat. 489, as amended, wide or regional development plan. On the contrary,
42 USCA 3102. projects have often been presented and considered
56Federal Water Pollution Control Act, Section 201, P.L. individually. Initiative for them has often been
92-500, 86 Stat. 816, 833, 33 USCA 1281.
"Act of August 8, 1961, Title III, P.L. 87-128, 75 Stat. 307, "Act of August 26, 1965, Title 1, P.L. 89-136, 79 Stat. 552,
as amended, 7 USCA 1921 et seq. 42 USCA 3121 et seq.

388

generated locally by those interested in obtaining confusion and conflict among Federal agencies. 62
major Federal expenditures in their local areas and by Nevertheless, there are few instances of real conflicts
the Federal agencies to which fall the mission of or failure of coordination between comn-dttees them-
constructing the projects: the Corps, the Bureau, and selves.
the SCS." Congressional committees have usually Congressional committees occasionally work more
followed the practice of examining projects one at a or less jointly, even though the several committees
time. routinely deal independently with related subject
Congressional politics and behavior lend themselves matter that arises within their separate jurisdictions.
to particularized and fragmented decisionmaking in When a basin plan with various proposals for small
project authorizations. When an individual Represen- watershed improvements, flood control structures,
tative or Senator perceives a local stake in the water quality improvement, municipal and industrial
authorization of a project or project survey, he can water supply, and regional waste treatment facilities
often command considerable resources in producing is presented for authorization as a package, the
congressional action. Mutual respect for a colleague's several committees with jurisdiction should be able to
constituency affairs and his acknowledged superior coordinate their activities.
insight into what may be best for his district or State States have legal authority under the 1944 Flood
inhibit congressional resistance at this stage. With the Control ACt6 ' to review all Corps and Bureau
aid of tacit rules of mutual noninterference and projects. Where a State's interest can be perceived and
accommodation, Congressmen have ordinarily been the State is united behind a project, it can, of course,
able to obtain authorization for local projects wher. inform its congressional delegation. But the States
ever there is substantial local support for them. are, by and large, too far removed from the authoriza-
There is no single congressional committee in tion process to wield great influence. Interest varies
either house that might consider legislation to from State to State. Sustained interest on the part of
implement all the facets of a comprehensive river State officials comes only, as a rule, when State
basin or regional development plan. Primary responsi- officials see water as a key to economic develop-
bility for the great bulk of congressional water ment. 64 Water projects planned and substantially
business rests with six substantive committees -three financed by Federal money tend to be looked on as
in each body-and the two Appropriations Commit- Federal largesse. There is reluctance on the part of
tees." Bills for authorizations are considered by the State officials to look critically on them when they
committee identified with the Federal agency or cannot be exchanged for more needed programs, and
program that the proposed project would involve, there is no mechanism whereby a water project might
while the Appropriations Committee of each body be traded for Federal help on a highway, airport, or
handles the appropriations bills for water projects and schools.
programs through various subcommittees with Traditional decision processes may be changing.
responsibilities which partially, though not exactly, Public support for water development projects today
parallel those of the substantive committees. 61 seems less certain in the eyes of most legislators. The
These facts have given rise to criticism that the environmental issue has made the average develop-
congressional committee structure itself fosters over, ment project less attractive as a constituency-pleasing
lapping and duplication of functions and abets device than it once was.
Fading with solid local support for large Federal
water development projects is the climate of non-
"ELY, Northcutt (1971). Authorization of Federal Water interference and absence of contention that has
Projects, prepared for the National Water Commission.
National Technical Information Service, Springfield, Va.,
Accession No. PB 206 096. p, 113. "Ibid., p. 852.
ALLEE, David J & INGRAM, Helen M, Cornell University 63Act of December 22, 1944, P.L. 534, 78th Congress, 58
(1972). Authorization and Appropriation Processes for Stat. 887, 33 USCA 701-1(a). See ALLEE, David J &
Water Resource Development, prepared for the National INGRAM, Helen M, Cornell University (1972). Authoriza-
Water Commission. National Technical Information tion and Appropriation Processes for Water Resource
Service, Springfield, Va., Accession No. PB 212 140. pp. Development, prepared for the National Water Commis-
4-7. sion. National Technical information Service, Springfield,
"SCHAD TM & BOSWELL EM (October 1968). Congres- Va., Accession No. PB 212 140. p. 3-2,
sional handling of water resources. Water Resources 6 4 ALLEE, David J & INGRAM, Helen M, (1972), op. cit., p.
Research 4(5):849-863. 3-2.

389

characterized congressional water politics. Old forts 68 _points to the desirability of considering
procedures designed to reduce conflict are being water development proposals in the future not merely
replaced by rules and procedures deliberately calcu- as parts of comprehensive water plans, but in the
lated to bring issues into the open: for example, the larger context of overall regional or river basin
changes in committee rules authorized by the Legisla- development.
tive Reorganization Act of 1970,11 the filing require-
ments of the National Environmental Policy Act of Federal Grant and Loan Programs: Congress's
196966 (NEPA), and the multiobjective planning and approach to Federal grant and loan programs has
project formulation advocated in the Water Resources been somewhat different from that taken in the
Council's proposed principles and standards. 67 Federal construction programs. Congress has estab-
River basin and regional planning in the future may lished policy guidelines in legislation authorizing
contribute more concretely to program and project grant and loan programs and has pern-titted adn-dnis-
authorization than it has in the past. Experience in trative implementation of the programs, within
river basin planning under the Water Resources authorized funding levels, to work out the details.
Planning Act and other legislation to draw together Periodic congressional review of overall programs has
Federal and State plans for resource development and been deemed sufficient to determine whether their
land use may ultimately produce river basin or objectives are being achieved at State and local levels
regional plans of tangible usefulness to Congress. and whether the programs are adequate to meet
Regional development plans comprehending not changing needs. In the sewage treatment facilities
only water resources development projects, but also grant program, however, the Administration has
projects and programs to improve transportation, seldom recommended and the Congress has seldom
health services, educational facilities, and economic appropriated the full amount of grants authorized.
development have been tried. The 1965 Appalachian Local administrators have become wary of making
Regional Development Act directed the Secretary of commitments to construct needed projects, because
the Army to prepare a comprehensive plan for they are not assured of receiving funds when needed.
developing and using water and related resources of As local agencies delay action while awaiting funds,
the region within the framework of the overall inflation increases costs. In order to alleviate this
economic development prograrr@ authorized for the situation the use of the "contract authority" device
Appalachian region. conferring considerable financial discretion on admin-
The plan was prepared and reported by the Office istrators has been enacted for the EPA waste treat-
of Appalachian Studies, a group specially formed ment grant program in the Federal Water Pollution
69
within the Corps of Engineers. Working under experi- Control Act Amendments of 1972.
mental conditions the Office of Appalachian Studies When contract authority is conferred in an authori-
used projections of population, employment, and zation act, the Federal agency upon whom it is
income as developmental benchmarks or targets that conferred is empowered to obligate the United States
regional development efforts might reasonably be to make payments of grant funds up to the amount
expected to achieve. Projections for economic sub- authorized, without waiting for an appropriation for
regions were converted into water development the program. Title 11 of the 1972 Act provides
targets for growth centers within water subregions. contract authority to the Administrator of the
The major conclusion reached by those who took Environmental Protection Agency (EPA) for a pro-
part in the Appalachian water planning experiment- gram of grants for construction of waste treatment
that economic and social results are best achieved by works up to $18 billion over a three-year period. The
well designed packages of total development ef- Administrator of EPA, who is charged with admin-
istering the grant program, need not await annual
appropriations for each of the years for wl-fth funds
11P.L. 91-510, October 26, 1970, 84 Stat. 1140, 2 USCA have been authorized. Instead, under the terms of the
19 Oa.
16P.L. 91-190, January 1, 1970, 83 Stat. 852, 42 USCA
4432. 6 8 U.S. DEPARTMENT OF THE ARMY, Corps of Engineers,
67U.S. WATER RESOURCES COUNCIL (1971). Proposed Office of Appalachian Studies (1969). Development of
principles and standards for planning water and related Water Resources in Appalachia. U.S. Government Printing
land resources. Federal Register 36(245):24144, Part 11, Office, Washington, D.C. p. 1-11-10.
December 21, 1971. 69P.L. 92-500, October 18, 1972, 86 Stat. 816.

390

Act, his approval of applications for grants for Budgeting
construction of treatment works "shall be deemed a The President's annual budget requests for the
contractual obligation of the United States for the appropriation of funds for specific water resources
payment of its proportional contribution to such programs are the means of implementing projects
project."" authorized by the Congress. Just as there should be
Contract authority thus helps guarantee the links between planning and authorization, the budget-
orderly and sequential funding that is necessary for ing process should also be phased with planning and
grantees to contract for the necessary steps in the authorization to achieve the maximum benefits from
stages of project construction: (1) feasibility studies, river basin planning and the most efficient use of
(2) planning, (3) preliminary engineering, (4) acquisi- public funds in putting plans and authorizations into
tion of land, and (5) construction. practice. To this end the agency responsible for
By involving Congress in a broad sense and leaving budgeting, the Office of Management and Budget
specifics to the agencies that administer Federal (OMB), acts both to review proposals for authoriza-
assistance programs, the use of contract authority tion of programs and projects and-after congres-
achieves an appropriate division between policy- sional authorization has occurred-to guide or stage
making and administration. Congress can be relieved their implementation through its review of annual
of difficult proj e ct -by -project choices in the decision budget requests.
of which the vast majority of Congressmen have no
essential interest and in which those who do have an The Evolution of Budgeting and Its Relationship to
interest are forced into trading positions. Opportuni- Planning: Three major roles for the Federal budget
ties can be taken to make use of those State have been identified: financial control, managerial
13
capabilities for resource planning that have improved control, and strategic planning. Since the budget is
since enactment of the Water Resources Planning cast in terms of the congressionally established
Act. Allowing projects to be generated out of State appropriations procedure, and since appropriations
and regional planning efforts permits proposals are made to agencies for specific types of expendi-
initiated in localities to be decided at a governmental tures, different kinds of classifications of expendi-
level close to the localities. The effects of a project tures in the budget documents are important to
upon population, income, employment, and the display information for analysis, both by Congress
environment have their greatest incidence at the local and by the Executive, of how funds are allocated
level and State and local officials may be able to among various kinds of activities and of how they are
judge most accurately whether or not a project is allocated with respect to performance of the agencies'
desirable.' ' objectives.
Close attention to detail in monitoring the Strategic planning as a budget function is con-
economic, social, and environmental features of cerned with specifying objectives, choosing among
specific proposals to be financed with Federal assist- alternative programs to achieve those objectives, and
ance can, if deemed desirable by the Congress, still be then allocating resources among the programs.
accomplished by (1) specifying guidelines for Strategic planning brings into the budgetary process
administering given kinds of projects in legislation
authorizing grant programs, (2) vesting responsibility those decisions about program objectives, specifica-
for developing evaluative criteria in the executive tions, and levels of funding which are taken as given
branch, for example, in the Water Resources Council in financial and management control functions. Some
or the Office of Management and Budget, and (3) years ago the Bureau of the Budget, the predecessor
requiring close scrutiny of grant programs by an of the OMB, established a "summer preview" calling
for each major agency to submit to the Bureau a
independent board of review locat'ed in the executive five-year financial program, together with a discussion
branch of the Government." and analysis of program issues considered by the
agency to be important in subsequent budget discus-
7'ibid., Section 203(a), 86 Stat. 835, 33 USCA 1283(a). sions. The introduction of the Planning, Program-
ALLEE, David J & INGRAM, Helen M, Cornell University ming, and Budgeting System (PPBS) in 1965
(1972), op. cit., p. 4-72.
7 1 See Chapter 11 for recommendations for an independent "SCHULTZE, Charles L (1968). The Politics and Econo-
board of review for federally funded water development mics of Public Spending. The Brookings Institution,
proposals. Washington, D.C. Ch. 1.

391

expanded and elaborated on this concept. Program The current budget document provides no in-
budgeting under PPBS calls for the grouping of formation on the regional impacts of Federal
activities and costs of related programs into broad spending. Without such, the Congress is seri-
categories appropriate to strategic planning. These ously hindered in developing consistent na-
categories are usually quite different from categories tional policy for regional objectives.
appropriate to the control or management functions
of budgeting. 74 Moreover, because program expenditures are not
broken down regionally, the priorities of locali-
Long-term Regional Budget Classifications: Grouping ties and regions cannot influence the mix of
budget data into regional sets can relate Federal Federal appropriations. Insofar as many Federal
spending with priorities established in regional budgets -including those for hospital construc-
development plans. Similarly, budget analyses that tion, pollution control, and highways, for
show the longer term consequences of project plan- example-are decided nationally the choice of-
ning and new construction starts, will offer dollar fered the locality or region is a take -the -gift-or-
leave-it choice. The region is given no chance to
measurement of alternative future water resource say: 'Highway project x is of relatively low
development programs for entire regions. priority to us, while hospital project y is far
The integration of water resources planning with more important.' Consequently, the ability of
budgeting, if it is to be achieved, requires use of a the Federal Government to respond to the need
common geographic unit for analysis and decision in of localities and regions, as the people there see
both processes. Twenty major water resources regions these needs, is decreased. Substantial gains
of the Nation are the focus of long-range planning would result from the formation of a regional
coordinated by the Water Resources Council. Present breakdown for major portions of the budget."
budgeting of the expenditures of the different
Federal agencies for the hundreds of individual The strategic planning role of short-term budgeting
projects they undertake obscures the regional plan- must be made to include consideration of long-term
ning focus, even while making implicit, if unintended, plans, tradeoffs, and alternatives for each region
regional allocations of resources, For example, if Once past levels of water expenditures have been
funds appropriated to the Corps of Engineers over reviewed, and a range of possible and practical future
two recent years are summarized by water resources funding levels has been considered, budgeting priori-
region, the regional allocations that result appear to ties for water planning regions should then be
assign a priority to the Arkansas-White-Red Region recommended for each of a variety of alternative
which is twice that assigned to the Missouri Region, criteria. As an illustration, regional allocation criteria
and a priority to the Columbia-North Pacific Region like those used by the Corps of Engineers in
which is six times that assigned to the Great Lakes formulating the five-year civil works water resources
Region .7 5 The Commission has found little evidence program might establish alternatives for regional
that long-range water resource planning efforts affect allocations of Federal water development funds for
the allocation of funds and resources among geo- all Federal agencies under a given level of funding
graphic regions in such a way as to take interregional under one or more of the following criteria:
needs and conditions into account. Regional water needs-Regions having the
The Commission believes that the 20 major regions highest level of projected water resource needs
used by the Water Resources Council should be would receive the most funds.
incorporated into the water resource budgeting Federal income taxes paid-Regions paying the
process so that the relative needs and priorities for greatest amount in Federal income taxes would
regions are related one to another. In this connection, receive the most funds.
the Commission shares the . concern expressed Population -Regions having the, greatest number
recently by the Joint Economic Committee about the of people would receive the most funds.
scarcity of regional data in the Federal budget:

76U.S. CONGRESS, Joint Economic Committee (1970).
Economic
7'lbid., p. 25. Analysis and the Efficiency of Government:
Report of the Subcommittee on Economy in Government,
Communication from the U.S. Army Corps of Engineers to 91st Congress 2d Session. U.S. Government Printing
the National Water Commission. Office, Washington, D.C. p. 19.

392

Population and per capita income-For two Budget, to cost a total of $180,556,000, of which
regions having the same population, the one $37,399,000 had already been incurred and
having the lower per capita income would $142,413,000 would be required after June 30, 1967
receive the greater amount of funds. to complete the project.
Efficiency -Regions in which proposed projects Five years later, despite the fact that an additional
have the highest benefit-cost ratio or greatest net $77,474,000 had been spent, the FY 1973 Budget
benefits would receive the most funds. shows that the total projected costs of the project
The use of each criterion would provide a yardstick had increased to $296,485,000, and a balance of
for measuring and displaying how regional allocations $180,648,000 would still be required to complete the
might be made to achieve regional parity within each project after June 30, 1972. Other examples could be
criterion's specific frame of reference. National cited showing that under the present system the rate
objectives, of course, cannot be so singularly of construction is not sufficient to keep up with
measured. In practice, some combination of one or inflationary cost increases or that substantial design
more regional criteria might, however, contribute to changes are made during construction, or both.
the determination of allocations of funds among Forward funding of construction projects by appro-
regions. priating sums at the time of new starts that, so far. as
then can be ascertained, will be sufficient to see the
Appropriations project through to completion would call attention to
Once a Federal water resources project has been the full cost of the project at the time the decision is
authorized and funds for its construction have been made and would permit a more efficient construction
recommended by the President in his budget, 'it is schedule. In order to avoid letting the construction
brought to life by the appropriation by Congress of agencies build up backlogs of appropriated funds,
funds for a new construction start. Typically, new these funds could be handled in the same way as
construction starts are initiated by the appropriation permanent, indefinite, appropriations are handled,
of a sum that is relatively small in relation to the total with certification each year as to the amount required
estimated ultimate cost of the project. An example is included as a part of the budgetary process.
the Frying Pan-Arkansas Project, estimated when
construction was initiated to cost a total of The Authorization Backlog: Some observers maintain
$166,525,000 for which a new start appropriation of that the most important water resources decisions are
only $1,830,000 was appropriated in FY 1964. made in selecting which of the many authorized
Budget requests for the next four years were for $6, projects are to be put in the budget as new starts .77
$10, $18, and $21 millions, respectively. The choices of these projects are made after author-
A single project initiated in this fashion with a ization, during the annual appropriations process.
small appropriation may attract little notice in the Here, the phenomenon of the authorization backlog
overall budget request, even though the estimated enters and plays a leading role.
ultimate total cost may be very substantial and the The authorization backlog, that is, the list of
budgetary commitment to the project, once started, projects that have been authorized but for which
may be strong. Many projects begun simultaneously funds have not been appropriated, exists in part
with small appropriations may represent very large because many more projects have been authorized
budget commitments for the future. Incremental than can be promptly funded under the current levels
annual funding of the continuation of a project in of water development spending of less than 1 percent
progress tends to minin-dze the apparent magnitude of of the total annual Federal budget. The total cost of
each project in the total construction program. the backlog of projects of the Corps, Bureau, and
Moreover, funding a project's prosecution to com- SCS, authorized but unfunded, is estimated to be
pletion through annual incremental appropriations about $15 billion. The trend has been for the backlog
may subject it to delay and uncertainty for reasons to grow in recent years.
external to the merits of the project. In some cases,
annual appropriations have failed to keep up with ALLEE, David J & INGRAM, Helen M, Cornell University
increases of costs as a result of inflation or of (1972). Authorization and Appropriation Processes for
Water Resource Development, prepared for the National
intervening design changes. For example, four years Water Commission. National Technical Information
after the first appropriation for it in 1964, the Frying Service, Springfield, Va., Accession No. PB 212 140. pp.
Pan-Arkansas Project was estimated, in the FY 1968 5-15 to 5-25.

393

Because so many projects have been selected for basis for authorization and appropriation of
authorization, some are likely never to be funded. funds for individual projects and programs
Selecting projects from the backlog to be put in the within regions. The same geographic regions
annual budget for funding involves exercising options should be used as a basis for decision in both
not necessarily best made at the budgeting stage or by the water resources planning and in the
appropriations committees. Consequently, the budgeting processes-the major water re-
choices may be made on the basis of essentially source regions of the Nation used by the
budgetary and nonsubstantive criteria such as the size Water Resources Council in the National
of the budget commitment represented by a project, Assessments.
how it fits into the current geographical spread of 10-15. The procedure for appropriating construc-
projects, its continuing political and local support, tion funds annually for ongoing water re-
and the number of other projects readied for con-
struction at the time. The passage of considerable sources projects should be replaced by a
time between project authorization and the first procedure whereby a permanent appropria-
appropriation for construction may be attended by tion of the estimated total construction cost
the occurrence of events and the development of new of each project is made at the time con-
information that, had they been known at the time of struction of the project is to begin.
authorization, might have affected the decision to 10-16. Where grant programs are authorized to
authorize the project. assist State and local entities in meeting
Projects authorized 10 or more years ago may have national objectives, appropriate Federal
been economically attractive at the then prevailing program administrators should be given
project evaluation discount rates, but may prove contract authority to obligate the United
unattractive at the rates in force at the time of the States, in advance of appropriations if
first appropriation for new construction. For ex- necessary, to pay the full authorized Federal
ample, most of the Corps' new construction starts in share of the cost of meeting such objectives.
FY 1972 were originally authorized under a discount
rate of 31/4percent. The discount rate in FY 1973 was 10-17. Each water agency should each year for-
51h percent. mulate a five-year program including a con-
With respect to new projects, Congress n-dght deal tinuation of existing projects and new
with the problem in the future by limiting the term construction projects for submission to the
of the authorization for particular projects so that Office of Management and Budget. The
authorization will lapse in the event funds are not President should formulate and recommend
appropriated within a specified term. A project to the Congress five-year national budget
authorization might, for example, be given a 5- or a allocations for the total Federal water pro-
7-year term. In such case the project, if not started gram. In his budget recommendations to
within that period, would require new authorization. Congress, the President should emphasize
A different problem is presented with respect to regions as well as individual water projects
existing authorizations that are awaiting funds. A and organizational accounts.
simple approach might be simply to deauthorize all 10-18. Water resource programs, projects, or
projects of more than 8 or 10 years' standing. separable units thereof, which have been
Another approach would be to require any project authorized for a period of ten years or
which has been authorized for a given number of longer and on which construction starts have
years to be reevaluated in light of present principles not been made, should be deauthorized by
and standards before any funds could be appropriated Congress. No funds should be appropriated
for new construction. to start any project or program authorized
RECOMMENDATIONS for more than five years until it has been
reevaluated and found feasible under
10-14. Comprehensive river basin and regional principles and standards in- force at the time
development plans should be used as the of the proposed appropriation.

394

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74-

Chapter 11

Improving Organizational
Arrangements

Section A coordination of grant applications from various
agencies of a State seeking funds from various Federal
Introduction agencies for water resources planning and programs;
coordinating Federal participation in the negotiation
and administration of water compacts; and revising
This chapter of the Commission's report examines the statutory membership of the Council.
a number of organizational arrangements for the In a separate heading under Section B, the need for
planning, development, and management of the an independent board of review in the Federal
Nation's water and related land resources and makes Government to examine federally funded water de-
recommendations for improving them. It is in five velopment proposals, river basin plans, and water
sections, which for ease of reference are lettered A development grant programs is discussed. The Com-
through E. mission recommends that such a review board be
In Section B, the Commission discusses the U.S. established.
Water Resources Council. The Council's major tasks Section C covers possible new functions for certain
are to coordinate the water activities of the various of the Federal water agencies. Recommendations are
Federal agencies among themselves and with the made that the functions of the National Oceanic and
States, to review river basin plans for major river Atmospheric Administration and the United States
basins throughout the Nation, and to assure that Geological Survey be combined into a new agency in
Federal water policies and programs are adequate to the Department of the Interior, and that a new Office
meet the Nation's water needs. The Commission of Water Technology also be established in Interior.
concludes that while the Council has accomplished Recommendations are also made for changing the
many things, it generally has been unable to review engineering design and construction activities of the
and coordinate the policies and programs of the Soil Conservation Service, the Bureau of Reclama-
Federal agencies, to confront difficult policy issues tion, and the Army Corps of Engineers.
and resolve them, and to resolve interagency con- The chapter then turns to an examination of
flicts. A policyrnaking component, with an ability to various organizations for water planning and manage-
enforce decisions when consensus cannot be reached ' ment for river basins and other regions (Section D).
should be built into the Council mechanism. The First, various intrastate arrangements are discussed,
Commission recommends that the Council be placed particularly the Texas river authorities. The Commis-
within the Executive Office of the President and have sion concludes that these authorities have been an
an. independent, full-time, presidentially appointed important force in developing the water resources of
Chairman reporting to the President. Texas, and that other States should consider using
Other recommendations for improving the Council them for entire river basins or subbasins where other
include central funding through the Council of governmental entities are inadequate. The Gulf Coast
planning studies by interagency committees and river Waste Disposal Authority in Texas appears to be an
basin commissions; extending the duration of the especially useful mechanism for attacking problems
program of grants to the States for water planning; of water pollution on an intrastate regional basis.
Section D then examines certain multistate ar-
- - - - - - rangements for river basins, including ad hoe and
interagency committees and river basin commissions
Water interrelationships require close coordination on for planning, and interstate and Federal-interstate
all levels compact commissions. The Commission recommends

397

the Federal-interstate compact as the preferred insti- may be better apprised of the Federal interest in the'
tutional arrangement for water resources planning compact. Future water compacts should clearly state
and management in multistate regions. Nevertheless, the role of the compact commission with respect to
it recognizes that the traditions, institutions, politics, existing Federal agencies and programs, especially
and water problems of various portions 'of the United with regard to project construction, water quality,
States vary greatly, that organizational arrangements and regulatory functions. Finally, Congress should
which work well in one region may not work enact legislation granting the Federal district courts
elsewhere, and that in each case the selection of an original jurisdiction over any case or controversy
organizational arrangement for water resources plan- arising under an interstate water compact, and
ning and management must be appropriate to the waiving the sovereign immunity of the United States
circumstances. to permit the United States to be made a party
As between the river basin planning commissions defendant in such a suit.
and the ad hoc and interagency committees for The final portion of Section D explores the
planning, the river basin commissions are preferred. possible uses of a federally chartered corporation, a
Unless another entity for basin planning and imple- type of organization that has not yet been utilized for
mentation is substituted for a river basin commission, water management. Such a corporation appears to
a commission should, after initial completion of its have a variety of uses, particularly in conjunction
plan, (1) keep the plan up to date, (2) continue the with an interstate or Federal-interstate compact or a
coordination of planning efforts, and (3) reestablish river basin commission. A regional corporation, be-
and revise priorities in the light of changing circum- cause of its flexibility and relative isolation from
stances. political control and responsibility, lends itself best to
Interstate and Federal-interstate compacts, if they operational tasks rather than planning or regulatory
affect a national or Federal interest, require the activities intended to be binding upon outside parties.
consent of Congress. Such compacts have been widely Federally chartered corporations may be able to play
used for water resources management. The Commis- important roles in facilitating joint efforts by local
sion encourages their continued use and makes a government units of two or more States sharing a
number of recommendations for improving them. waterway to handle such limited functions as water
There are certain kinds of water compacts, such as treatment and supply.
administrative agreements, agreements for local plan- Section E discusses institutional arrangements for
ning and zoning, and for interstate metropolitan the Great Lakes. Recommendations are made to
water management, to which Congress should grant establish a task force for negotiating a Federal-
advance consent. The presence of a Federal repre- interstate compact for the Great Lakes and to analyze
sentative should be required during negotiations of the impact of alternative management strategies on
future water compacts so that the States involved the Lakes.

Section B
Federal Coordination and Review

THE WATER RESOURCES COUNCIL' Federal agencies and the State governments -in-a more
comprehensive way than had been attempted in the
In 1965 Congress passed the Water Resources past. The task of coordinating as well as appraising
Planning Act,' by which Congress sought to coor- water policies and programs, and planning for the
dinate the various water policies and programs of the conservation and development of the Nation's water
resources, was given to a newly created Water
'Tbis section is based upon LIEBMAN, Ernst (1972). The Resources Council, consisting of the Secretaries of
Water Resources Council, prepared for the National Water Agriculture, Army, Interior, and Health, Education
Commission. National Technical information Service, and Welfare, and the Chairman of the Federal Power
Springfield, Va., Accession No. PB211 443. Commission.
'Water Resources Planning Act, P.L. 89-80, July 22, 1965, The Water Resources Planning Act has two major
79 Stat. 244, 42 USCA 1962, et seq. goals. The first is the development of water and

398

related land resource plans for the major river basins Under Council regulations, the members or their
of the Nation. Such plans are to be developed jointly "designees" are to meet at least four times a year.
by interested Federal agencies, States, localities, and Members decide issues by majority vote, except that
private groups through the device of a river basin decisions affecting the authority or responsibility of a
commission, if it can be established. The President member can be made only with his concurrence.
has directed the Council to develop such plans The bulk of the Council's work is carried out
through existing Federal-State interagency or ad hoc through a number of groups other than the members:
committees in areas where commissions have not the COR, the staff, task forces, and various technical,
been established? A second major goal of the Act is advisory, and field committees. It has been the COR,
to coordinate Federal water policies and programs however, that has generally thrashed out issues and
and assess their adequacy to meet water requirements made the majority of the decisions for the members.
and demands throughout the Nation. Certain decisions are reserved solely for the members,
In the early 1960's, the President requested the although the COR first considers these issues and
Secretaries of Army, Interior, Agriculture, and makes recommendations to the members.
Health, Education and Welfare to review existing
water resources development standards and make Major Activities of the Council
recommendations to him. The four Secretaries Shortly after the Council was created, the Presi-
formed an ad hoc Water Resources Council and dent abolished the Interagency Committee on Water
established an Interdepartmental Staff Committee Resources (ICWR) which had been established in
which produced a statement of "Policies, Standards 1954 to coordinate Federal water resources activities
and Procedures in the Formulation, Evaluation, and and develop river basin plans. He placed its field
Review of Plans For Use and Development of Water subcommittees under the Council.
and Related Land Resources," later printed as Senate Under Title 11 of the Act, the establishment of
Document 97 of the 86th Congress. Federal-State river basin commissions for planning
When the Water Resources Planning Act became was given top priority by the Council.' By October
law on July 22, 1965, the President's ad hoc Water of 1972, seven river basin commissions had been
Resources Council, with the addition of the Chairman established for New England, the Great Lakes, the
of the Federal Power Commission, became the Pacific Northwest, the Souris-Red-Rainy, the Ohio,
statutory Council. The members of the Interdepart- the Missouri, and the Upper Mississippi basins. The
mental Staff Committee, representing the members of area encompassed by each Commission is indicated
the ad hoc Council, formed a body known as the on Figure I I - 1, on page 419.
Council of Representatives (COR), which became the The Water Resources Planning Act requires the
key working group of the Council. The chairman of Council to prepare biennially, or less frequently as
the Committee became the Council's first Executive the Council may determine, an assessment of the
Director. adequacy of water supplies necessary to meet the
In 1967, the Secretary of the Department of water needs of the various regions of the United
Transportation became a statutory member of the States. The Council published its first such assessment
Council on matters pertaining to navigation features in late 1968.
of water resource projects. Regulations of the Council In 1961, the Senate Select Committee on National
provide for associate members and observers. Associ- Water Resources recommended that the executive
ate members include the Secretary of Commerce, the branch develop by 1970 comprehensive plans for all
Secretary of Housing and Urban Development, and the major river basins of the Nation. The President's
the 'Administrator of the Environmental Protection
Agency. Their concurrence in Council decisions is not ad hoc Water Resources Council began the planning
required. Observers include the Attorney General, the program which initially called for 18 framework
Chairman of the Council on Environmental Quality, studies encompassing the Nation by 1970 and 16
the Director of the Office of Management and more detailed subbasin studies. In 1965, the statutory
Budget, and the Chairman of the seven river basin Water Resources Council inherited this program. One
commissions established under Title 11 of the Act. framework study (Ohio River Basin) was completed
in 1971; eleven more are to be completed in 1973. Of

"Ibe Fedefal-State ad hoc and interagency committees are 'The river basin commissions are discussed in detail in
discussed in Section D of this chapter. Section D of this chapter.

399

the subbasin studies, eight have been completed and uniform technique for determining floodflow fre-
seven more are to be completed in 1973.5 quencies, "flood hazard evaluation guidelines for
Title III of the Water Resources Planning Act federal executive agencies," a set of model State
established a program of grants to States for the statutes and city and county ordinances, together
purpose of increasing their capabilities in water with a commentary and a legal analysis, for use by
resources planning. Five million dollars per year for States and local governments in regulating the use and
10 years was authorized. Between 1967 and 1972, occupancy of land in flood plains, and a draft version
Congress appropriated approximately $16 million of of a national unified flood control program.
the $30 million that was authorized.6 To some extent, the Council has become involved
The Water Resources Planning Act requires the in water compacts.' In 1968, after the Federal
Council to establish with the approval of the Pres- representative to the Delaware River Basin Compact
ident principles, standards, and procedures for had come to the Council for guidance concerning his
Federal participants in the preparation of compre- vote on the Tocks Island pumped storage project, the
hensive regional or river basin plans and for the Council proposed to expand its role by executive
formulation and evaluation of Federal water and order to include supervisory and coordinating respon-
related land resources projects. Senate Document No. sibilities over water compacts, but its plans were
97, issued May 15, 1962, and the supplements thwarted by the Bureau of the Budget. The Council
thereto, now comprise the applicable principles, did, however, play a major role in developing a
standards, and procedures. In 1968, the Council coordinated Federal position on the consent legisla-
began a reappraisal of evaluation practices used in tion for the Federal-interstate compact for the Susque-
water planning. Proposed new principles and stand- hanna basin, modeled on the Delaware compact. The
ards were published in the Federal Register on Council succeeded in harmonizing the various Federal
December 21, 1971. Hearings concerning them have agency views and developing a set of reservations to
been held, but as of March 1973 the final version had the compact which were incorporated in the consent
not yet been published. legislation. The Council may have to play this
The discount rate to be used in the evaluation of coordinating role again since similar Federal-interstate
water and related land resource projects has been a compacts have been proposed for the Potomac, the
sharp issue between the proponents and opponents of Hudson, and the Great Lakes.
an expanded water development program. In 1968,
the President decided that the formula calculated Discussion of the Council's Role
under Senate Document No. 97 produced a rate Five statutory du .ties are explicitly given to the
(3-1/4 percent) that was unrealistically low, and he Council by the Water Resources Planning Act:
instructed the Council to develop a more appropriate (1) preparing the national assessment of water supply
formula, which it did. For FY 1973, the rate stood at and demand; (2) developing principles, standards, and
5-1/2 percent. Under the proposed principles and procedures for project formulation and evaluation;
standards, the rate would be set at 7 percent for the (3) establishing and maintaining liaison with river
next 5 years.17 basin commissions; (4) making grants to States for
The Council engages in a number of activities to water planning; and (5) encouraging and reviewing
help reduce losses from flooding. It published a river basin plans.
A first national assessment was prepared in 1968
'The Federal Water Pollution Control Act Amendments of and a second is scheduled for 1975. Guiding, super-
1972, P.L. 92-500, October 18, 1972, 86 Stat. 843, vising, and coordinating the assessments, involving
Section 209, authorized $200,000,000 to be appropriated
to the Water Resources Council for the preparation of hundreds of people and dozens of Federal and State
feasibility plans for all basins of the United States by agencies, seems to be a task particularly suited to an
January 1, 1980. interagency group such as the Council.
6U.S. CONGRESS, House, Committee on Appropriations New principles and standards have been proposed,
(1972). Hearings before the Subcommittee on Public although the task has taken the Council a long time.
Works, 92d Congress, 2d Session, Public Works for Water, They appear to be an important step toward pro-
.Pollution Control and Power Development and Atomic
Energy Commission. Part 3.
"A discussion of the discount rate and the Commission's
recommendation for the future appear in Chapter 10 of "The subject of Interstate and Federal-interstate Compacts
this report. is treated in Section D of this chapter.

400

viding that all effects of plans and projects, beneficial second goal, Section 102(b) of the Water Resources
and adverse, monetary and nonmonetary, are dis- Planning Act requires the Council to:
played in surveys and project reports for decision- maintain a continuing study of the relation of
makers. Procedures for implementing the principles regional or river basin plans and programs to the
and standards have not yet been developed. requirements of larger regions of the Nation and
The Planning Act encourages the Council to of the adequacy of administrative and statutory
establish river basin commissions throughout the means for the coordination of the water and
United States. With seven river basin commissions related land resources policies and programs of
having been established, covering all or part of 32 the several Federal agencies; it shall appraise the
States, the Council has carried out this function as adequacy of existing and proposed policies and
rapidly as possible. programs to meet such requirements; and it shall
The grant program under Title III has been carried make recommendations to the President with
out by the Council to the limit of the congressional respect to Federal policies an d programs.
appropriations. State water planning has been aug- Generally, these functions have not been carried
mented, the number of technically qualified people in out by the Council. To some extent, this is due to the
State water planning has increased substantially, and fact that the Council has always had a limited budget
State water programs are farther ahead than they and a professional staff of less than 20 persons. Just
would have been without the grants. keeping up with the enormous task of preparing
The requirements of the Act that the Title III information, analyses, and recommendations for COR
program of grants to States be coordinated with the and Council meetings absorbs most of the staff's
planning assistance programs of other Federal time.
agencies has not been done very well by the Council. The Council did appraise the adequacy of the
Nevertheless, the Council's development of a consoli- administrative and statutory means for coordinating
dated grant application procedure is a beginning. Federal participation in interstate water compact
Under that procedure, water agencies of a State negotiation and administration, and the Council
seeking Federal funds from various Federal agencies worked out a proposed solution, but it was not
will submit a single application to the Federal acceptable to the Bureau of the Budget and was not
Government through the Council. implemented. The Council also reviewed the Federal-
The Planning Act requires that a State, as a interstate compact for the Susquehanna River Basin
condition of receiving a Title III grant, have a when it was proposed, and it coordinated and
comprehensive water and related land resource plan- developed a Federal position on that compact which
ning program which provides for coordination with culminated in a series of reservations which were
all Federal, State, and local agencies and nongovern- adopted by the Congress.
mental entities having responsibilities in affected In the area of flood hazards, the Council reviewed
fields and for coordination between State compre- Federal agency activities and issued proposed flood
hensive water resource planning and other statewide hazard guidelines for the Federal executive agencies.
planning programs. The Council has done very little It reviewed various policies and programs of States
to determine how well this condition is being met by and localities with regard to the flood hazard, and
the States, nor has the Council helped the States to published model State statutes and ordinances,
meet the condition effectively. together with other legal materials, to stimulate flood
While the goal of the Senate Select Committee and plain regulation by States and localities. But by
President Kennedy to have comprehensive plans for February 1973 it had not yet developed in final form
all of the major river basins completed by 1970 has a unified national program of flood plain manage-
not been achieved, the lag has been due largely to ment, even though it had been repeatedly requested
budgetary restrictions. Nevertheless, the Council has to do so by the Office of Management and Budget
reviewed and commented on a number of studies and (OMB), the successor agency to the Bureau of the
forwarded them to Congress. @ Budget, because the President was asked by Congr ess
While one major goal of the Act is the development to develop such a program by December 1, 1970.9
of river basin plans, another is to insure that Federal
water policies and programs, river basin plans, and "National Flood Insurance Act of 1968, P.L. 90-448, Title
coordinating mechanisms are adequate to meet "re- X111, August 1, 1968, 82 Stat. 572, 42 USCA 4001(c) (2),
quirements" throughout the Nation. To fulfill this and Historical Note thereunder.

401

The Water Resources Council met on October 15, 19 71, to discuss the new principles and standards, formation
of new river basin commissions, and consolidated grant application procedures. Present were (seated, I to r)
Deputy Administrator Robert W. Fii, EPA; Deputy Under Secretary Charles J. Orlebeke, HUD; Assistant
Director Donald B. Rice, OMB; Assistant Secretary Thomas K. Cowden, USDA; Chairman John N. Nassikas,
FPQ Assistant Secretary James R. Smith, Interior,- Secretary of the Interior Rogers C. B. Morton (Chairman);
Director W. Don Maughan, WRQ Chairman Russell E. Train, CEQ; Under Secretary Kenneth E. Belieu, Army;
Assistant Secretary Merlin K. DuVal, HEW; Administrator Robert M. White, NOAA, Commerce; Assistant
Attorney General Shiro Kashiwa, Justice; Under Secretary James M. Beggs, DOT; (standing) Executive Secretary
P. T. Steucke, WRC.

The Council has been involved in the problems, Council made recommendations to the President on
policies, and programs of the coastal zones and its own initiativelo with respect to Federal policies
estuaries, as well as in designations of wild and scenic and programs, although that is a mandate of the Act.
rivers. It published a study of alternative institutional From a review of the record, the Conunission
arrangements for river basins, and made various other concludes that the Council has not carried out very
technical studies. But on several occasions when the well the mandates of Section 102(b) of the Water
staff has attempted to tackle tough issues involving Resources Planning Act.
policies and programs, the COR or the Council There are a number of reasons why the Council has
members have shied away. Examples include the plunged deeply into the planning arena and avoided
Council's failure to resolve any cost-sharing issues, policy and program issues. To a large extent, the
taking a year to raise the discount rate, and the delay answer ties in the inherent limitations of the Council
in developing a unified national program for flood mechanism.
plain regulation. When President Kennedy established Development of the elements of the planning
his ad hoc Water Resources Council in 1961 pending program was given top staff priority early in the
passage of the Water Resources Planning Act, he history of the Council. It was particularly easy for the
asked it specifically to work on such topics as cost staff and the members of the COR to concentrate on
allocation, reimbursement, and cost-sharing, but the "As explained earlier, the Council's recommendations to the
Council has not developed policies in these.areas. The President in December 1968 to raise the discount rate were
Comirtission has not found a single instance where the submitted at the President's request.

402

planning activities, since most of them had been Order 11296, and the model State statutes and
associated with planning in one form or another prior ordinances for flood plain regulation. Critics of the
to their association with the Council. Also, at the Council, expecting it to resolve. and implement
time the Council came into existence, there were a controversial policies, often forget the consensual
number of ongoing river basin studies being con- nature of the entire statutory arrangement. The Act
ducted by interagency and ad hoc committees under requires that the Council make an assessment,
the general direction of the Interagency Committee on develop principles and standards, maintain con-
Water Resources (ICWR). When the President trans- tinuous studies, review and comment on plans, make
ferred the functions of 1CWR to the Council, the recommendations to the President-these are not
Council had to keep those planning efforts going. implementing and enforcement powers.
Finally, the member agencies of the Council and their
constituencies generally stood to gain from the Conclusions and Recommendations on the Water
planning program, but in an immediate sense they Resources Council
had much to lose from pursuing the exan-driation and
resolution of controversial programs and policy issues The Water Resources Council has become an
which might result in fewer projects and programs for
an agency. important and useful mechanism. However, a number
The Council's director cannot readily resolve dif- of improvements need to be made to help it carry out
ferent issues or move the Council staff and COR to the mandates and achieve the goals of the Water
study policies and programs that might prove detri- Resources Planning Act. The Council seems most
mental to any member agency. The director is weak in its ability to review the policies and programs
essentially an employee of the chairman of the of the Federal agencies, to confront policy questions
Council, who has been the Secretary of the Interior and resolve them, and to resolve interagency con-
from the Council's inception. Unlike the member flicts. The Council needs a policyrnaking component,
with an ability to enforce decisions when consensus
departments and agencies of the Council, the director cannot be reached. Implementation of the following
and the Council itself have no independent political two recommendations through appropriate legislation
constituency. Aside from his persuasive powers and would help to build this policyrnaking component
his power to put issues on the agenda of the COR, the into the Council mechanism.
director cannot force a resolution of issues.
There is now no poheymaking component in the Recommendation No. 11-1: The Water Resources
Council with a presidential and national point of Council should have an independent, full-time chair-
view. That the chairman of the council has always man; he should be on the White House Staff and
been chosen from the members of the Council and report directly to the President; the Council should
has traditionally been the Secretary of the Interior be placed within the Executive Office of the Pres-
has also posed problems. There is a basic potential ident.
divergence of interest between the position of chair-
man of the Council and the position of Secretary of a Recommendation No. 11-2: Each Water Resources
department. The conflicts between the Council's Council member should be represented by a qualified
planning program and the Westwide Study of the employee from the member's department or agency;
Bureau of Reclamation for I I Western States illus- the representative should serve on the Council of
trate the awkward position of the Secretary of the Representatives and should report within his depart-
Interior as head of Interior and chairman of the ment or agency directly to the Water Resources
Council. Council member or to his alternate.
The Council has been criticized for operating on
the basis of consensus, and it is true that the First, an independent and full-time chairman on
consensus rule limits what the Council can achieve. the White House Staff, with his own staff and with
But the consensus rule has the virtue that when presidential support, should be able to inject a
agreement is reached by the members, decisions are national and presidential viewpoint into Council
likely to be implemented. Examples include the matters. Adequate presidential support for the in-
development of a Federal position on the Susque- dependent chairman is a key ingredient. The inde-
hanna River Basin Compact, the flood hazard guide- pendent chairman should be in charge of the
lines for Federal agencies to implement Executive Council's budget and not need to have the budget

403

approved by the other Council members, although he budgetary considerations to permit it effectively to
.might wish to consult them. He should be able to be the water policyrnaker in the executive branch.
innovate, attack the controversial problems, resolve The second effect of these recommendations
interagency conflicts, and keep n-Assion-oriented would be to strengthen the links between the
agencies in the COR from dominating Council activi- President, the Council members, and the members of
ties and from limiting efforts in controversial areas. the COR. The alternate of a member should be able
He could direct the submission of issues to the to speak for the member and his entire department or
President for decision when necessary. His power to agency., An assistant secretary or person of equivalent
do so probably would mean that the power would .status, with major responsibilities for water resources
not need to be used frequently, and the President matters in his department or agency, seems to be
thus should not be overburdened with water resource required. Since the COR is a key working group of
matters. A full-time, independent chairman would the Council, it must be composed of able persons,
not have to devote most of his energies to other each of whom is close enough to his member to
matters as the present and past chairmen have had to adequately represent him on the COR. The represent-
do. He would give continuity to the Council despite ative should approach problems from a national
changes in cabinet officers. He would avoid the perspective. In many instances today the representa-
competing interests between the present chairman's tive on the COR is not in close contact with either
dual roles as head of the Council and of a separate the member or his alternate. Upgrading the COR
department of the government. In addition, an representative, freeing him to devote substantially full
independent chairman would provide convenient sup- time to Council activities, and having him report to
port for members of the Council against pressures the member or his alternate appears to be a way to
from bureaus in their agencies when such bureaus feel solve this problem.
affected adversely by a Council decision. He would The policyrnaking component of the Council staff
also provide liaison between the White House and should be strengthened with additional qualified
presidentially appointed river basin commission chair- personnel so that this component may devote full
men. time to policy issues, develop positions, and make
An independent chairman on the White House Staff recommendations. Strengthened policyrnaking should
would be more influential with the Office of Manage- also help to improve the planning program. Having
ment and Budget (OMB) in the area of water policy. the staff report to the independent chairman will
OMB for many years has played, and will certainly keep it independent of the COR and strengthen the
continue to play, an important role in water resources chairman.
policy. Executive Order 9384 of October 4, 1943,
charged the Bureau of the Budget with the review of Recommendation No. 11-3: Federal appropriations
plans and projects for public works.' ' In many for all resources planning studies being conducted
respects OMB, its successor agency, duplicates and under the auspices of the Water Resources Council
oversees many of the functions of the Council. OMB should be made to the Council, and the Council made
often has spurred the Council to face policy issues responsible for assigning studies and apportioning
that it otherwise might not have tackled, e.g., to funds.
increase the discount rate and to formulate a unified
national flood protection program. On the other The present system of financing river basin studies
hand, OMB has sometimes effectively vetoed useful is not satisfactory. Federal moneys for river basin
Council decisions, such as the Council's decision that planning go to the participating Federal agencies
it should coordinate Federal negotiators and repre- rather than to the entity making the study. The
sentatives on interstate water compacts. There has appropriated moneys may never become part of the
been no chairman consistently willing and able to study budget; agencies may use their funds to insure
speak directly to the President on water policy that their projects are in the plan; shifting of funds as
matters when OMB has vetoed a Council position. changes occur is difficult; the agency with the money
The chairman of the Council should be able to do may not be the best entity to do the planning, and
this. OMB is too much concerned with political and central direction of the river basin planning effort by
Submission of reports to facilitate budgeting activities of the a responsible body or person is made more difficult.
Federal Government. Federal Register 8(10):13782-1378 3. A more central administration of the river basin
October 8, 1943. planning moneys by a Council, revised as set forth in

404

Recommendations 11 -1 and 11-2 above, should pro- other Federal agencies for water resources purposes.
duce better plans. The provision in Section 209 of the There is no overview of all of the Federal grants for
Federal Water Pollution Control Act Amendments of water purposes to a particular State and no unified
1972 for Council financing of Level B plans is an Federal judgment as to whether the grants sought are
important step in this direction. the best combination from both the national and the
S tate points of view. The Water Resources Council
Recommendation No. 114: The grant program in coordinated a consolidated application from the State
Title III of the Water Resources Planning Act should of Ohio and documented its experience. 12 Its report
be extended for at least 5 years beyond the statutory suggests the need for further consideration of the
expiration date, and the present statutory ceiling of general problem of grant coordination, and parti-
$5 million per year should be removed. cularly the role of the integrated Grant Application
Program discussed under Municipal and Industrial
The program of Federal grants to States for Water in Chapter 5 of this report. An executive order
augmented water planning has been beneficial, but or other appropriate directive should be issued
the amounts granted have not been sufficient to requiring the consolidated grant application approach
adequately build up State capabilities. From 1965, from States seeking Federal funds for water resources
when the Water Resources Planning Act was passed, planning and programs.
until 1972 only about half of the moneys authorized
by the Act were appropriated by Congress for the Recommendation No. 11-6: The Water Resources
State grant program. The States' participation in the Planning Act should be amended to make the
Council's comprehensive planning program in many Secretary of Commerce, the Secretary of Housing and
cases has been that of reacting to federally conceived Urban Development, the Administrator of the En-
plans. The States should take a more active part in vironmental Protection Agency, and the Chairman of
planning for conservation and use of the Nation's the Atomic Energy Commission statutory members
water resources. Increasing grants to States under of the Water Resources Council; and to eliminate
Title III and extending the grant program for 5 more statutory membership for the Secretary of Health,
years, through FY 198 1, would help achieve this goal. Education and Welfare.

Recommendation No. 11-5: AD applications emana- In 1969, the members of the Water Resources
ting in any single year from various agencies of a Council approved a proposal to add the Secretaries of
particular State seeking Federal funds for water and Commerce and HUD, and the Administrator of EPA
related land resource planning and progranis should to the Council as full statutory members. Legislation
be consolidated into a single grant application and was drafted for this purpose but was'not forwarded
submitted to the Water Resources Council for coordi- by the Administration to the Congress, apparently
nation of the applications for funds from the various because it seemed inconsistent with proposed Admin-
appropriate Federal agencies. istration legislation to reorganize the - executive
branch. Today, the Secretaries of Commerce and
The President, by Executive Order 11647 issued on HUD and the Administrator of EPA are nonstatutory
February 12, 1972, established Federal Regional associate members of the Council; they cannot vote
Councils to coordinate the grant programs of the and their roles are essentially advisory.
Federal human resource agencies (Labor; Housing and Each of these agencies has been given substantial
Urban Development (HUD); Health, Education and water resources reponsibilities since 'enactment of the
Welfare (HEW); Transportation; Office of Economic Water Resources Planning Act in 1965. The Depart-
Opportunity (OEO); Environmental Protection ment of Commerce now has statutory responsibilities
Agency (EPA); and the Law Enforcement Assistance for certain marine resources affairs,and f6f fostering
Administration). No such councils have been estab- industrial expansion and economic development -in-
lished to coordinate grants to States from the various volving substantial use of water resources.
Federal agencies for water planning and programs.
At present, States apply to many Federal agencies
for water planning and program grants. A Federal 12 U.S. WATER RESOURCES COUNCIL (1972). Ohio Con-
agency to whom an application is made often is solidated Grant, Analyt4cal Report. National Technical
Information Service, Springfield, Va., Accession No. PB
unaware of grants being made by or sought from 209148.

405

The Department of Housing and Urban Develop- pacts of the Delaware and Susquehanna types, and
ment plans for urban population centers and provides water management compacts of the Ohio River
a link between urban planning and comprehensive Valley water sanitation compact type.
river basin planning. Its administration of the flood
insurance program, established pursuant to the There is a need to provide a focal point within the
Housing and Urban Development Act of 1968, Federal Government for coordination of the Federal
requires coordination with flood damage prevention interest in interstate and Federal-interstate compacts
programs, for which the Council has major responsi- dealing with water and related land resources. An
bilities. independent chairman of the Water Resources
The continued expanded use of nuclear power, the Council, which is charged by Congress to encourage
role of nuclear power in regional powerplant siting the development of water and related land resources
and river basin planning, and the licensing of nuclear on a comprehensive and coordinated basis, would be
powerplants all involve consideration of impacts on the appropriate person on the White House Staff to
water resources. The Atomic Energy Commission has have the responsibility for performing that function.
direct programatic interest in the problem of waste The independent chairman of the Council should
heat disposal connected with nuclear generation of maintain and distribute to appropriate Federal of-
electric energy. During the past 2 years, the AEC has ficers and agencies current information relating to
become a full member of several river basin commis- water compact negotiations and administration which
sions and is participating actively in the development may affect Federal interests. He should provide
of comprehensive river basin plans. . appropriate information, advice, and assistance to
EPA now has the major responsibilities for water States in the negotiation and drafting of water
quality, a function that must receive adequate compacts. He should assist Federal representatives to
planning and coordination by the Council. The water compact negotiations in obtaining information, ad-
quality function was vested in HEW at the time the vice, and support from other Federal agencies; he
Water Resources Planning Act was passed in 1965. should help develop a coordinated Federal position
While HEW today has some water-related responsi- on all substantive issues that arise in the course of
bilities, particularly in the field of public health, negotiations for the guidance of the Federal repre-
those responsibilities do not seem to justify con- sentative; and he should submit to the President his
tinued statutory membership in the Council for HEW, views and recommendations, as well a 's those of the
which could hereafter participate in Council affairs as Council, on any water compact presented to Congress
an associate member. There is some virtue in not for approval.
having the statutory membership of the Council grow The chairman of the Council should also provide
too large, and thus only those departments and guidance to Federal representatives on compact com-
agencies with major water responsibilities should have missions whether they serve a limited role as on the
statutory membership. , Ohio River Valley Water Sanitation Commission or
The Water Resources Planning Act should be the highly important role of Federal representative to
amended to achieve the ends of this recommendation. a Federal -interstate compact of the Delaware and
If and when a Department of Natural Resources is Susquehanna variety. Federal representatives in the
established, Congress at that time can review the administration of the water compacts should report
Water Resources Planning Act to see what other to the President through the chairman of the Water
amendments to that Act would then be appropriate. Resources Council.
Full membership now in the Council for the Secre- AN INDEPENDENT BOARD OF REVIEW
taries of Commerce and HUDj for the Administrator
of EPA, and for the Chairman of AEC should better During the last few decades, a number of studies
enable the Council and those agencies to carry out have been made of the way the Federal Government
their statutory responsibilities. processes water development proposals which Federal
agencies present to Congress for approval and fund-
Recommendation No. 11-7: Congress should enact ing. The studies were concerned with whether the
.appropriate legislation giving to the chairman of the project proposals of the water constructio n agencies
reconstituted Water Resources, Council the responsi- were soundly conceived and whether they repre-
bility for coordinating Federal participation in the sented reasonably beneficial investments of Federal
negotiation and administration of river basin com- tax receipts.

406

The (First Hoover) Commission on Reorganization their conclusions that an independent board of review
of the Executive Branch of the Government, created was needed because the water resource projects they
in 1947, had several recommendations on this sub- examined did not always have economic justifications
jeCt. 13 The main report of the Commission called for which would stand up under critical scrutiny. They
a Board of Impartial Analysis for Engineering and found that neither the Bureau of the Budget (BOB)
Architectural Projects. The Board was to report to nor Congress had sufficient staff resources to make
the President and Congress on the public and eco- detailed, in-depth reviews of the many complicated
nomic values of project proposals of the Department water project proposals that they were being asked to
of the Interior. Another function of the proposed approve. Nor did they think that BOB could be
Board was to review previously authorized projects to unbiased in reviewing projects, because of BOB's
determine whether they should be built or dis- overriding commitment to carrying out the Pres-
continued. Board members, outstanding in their ident's budgetary policies and its service relation to
knowledge of the water resources field, would be the Chief Executive. The study commissions found
appointed by the President and become part of his that the President and Congress were forced to make
Office. Subsequent study commissions came to gener- decisions on the basis of information which was often
ally similar conclusions about the need for a board to inaccurate, misleading, and inadequate. The projects,
review water development proposals." moreover, were so complex that they could be
The Need for Independent Review evaluated only by persons who were highly skilled
and were free to devote sufficient time to" do the
The earlier study commissions recommended an work properly. Testimony received by the National
independent board of review because they found Water Commission in its regional conferences indi-
many examples where the Federal water agencies had cated that these problems still exist.
underestimated the costs and overestimated the bene- The Commission does not find it surprising that
fits of projects they had proposed for authoriza- Federal construction agencies tend to color their
tion." The study commissions were consistent in calculations with self-interest in making project evalu-
ations. These tendencies cannot be checked by an
"COMMISSION ON REORGANIZATION OF THE EXEC- interagency coordination process in which all the
UTIVE BRANCH OF THE GOVERNMENT (1949). participants are equal and each is in control of his
Department of the Interior, House Document No. 122, own separate program. The member agencies will
81st Congress, Ist Session. U.S. Government Printing
Office, Washington, D.C. pp. 2-4. only be critical of those features of another member's
14 PRESIDENT'S WATER RESOURCES POLICY COMMIS- proposals which might threaten the performance of
SION (1950). A Water Policy for the American People, 3 their own programs and projects.
vols. U.S. Government Printing Office, Wasliington, D.C.
Vol. 1, p. 3. Functions of a Review Board
COMMISSION ON ORGANIZATION OF THE EXECU-
TIVE BRANCH OF THE GOVERNMENT (Second The Commission agrees that an independent review
Hoover Commission) (1955). Report on Water Resources board is needed in order to keep a check on the
and Power, House Document No. 208, 84th Congress, Ist project evaluation biases of the Federal construction
Session. U.S. Government Printing Office, Washington,
D.C. Vols. 1, 11, pp. 38-39. agencies. In addition, there are a number of other
COMMISSION ON INTERGOVERNMENTAL RELA- tasks of equal value wl-dch such a review board should
TIONS (1955). Report to the President for Transmittal to perform to assist the President and Congress in
Congress. U.S. Government Printing Office, Washington, making their decisions about the water resource
D.C. pp. 241-247. investments. The board should:
PRESIDENTIAL ADVISORY COMMITTEE ON WATER
RESOURCES POLICY (1955). Report of the President's (1) Highlight the policy issues involved in those
Advisory Committee on Water Resources Policy, House
Document No. 315, 84th Congress, 2d Session. U.S. plans and projects which affect other national
Government Printing Office, Washington, D.C. sectors, e.g., food and fiber production,
See, for example, COMMISSION ON ORGANIZATION transportation, and energy production;
OF THE EXECUTIVE BRANCH OF THE GOVERN- (2) Consider the economic efficiency of investing
MENT (Second Hoover Commission) (1955). Report on in water developments versus the alternative
Water Resources and Power, House Document No. 208, investment opportunities that may be avail-
84th Congress, 1st Session. U.S. Government Printing
Office, Washington, D.C. Vols. 1, 11, pp. 19-25, 127, 130, able for achieving the same national and
134,138. regional objectives;

407

(3) Examine the income distribution effects of While it would not be appropriate for the review
Federal investments in water resource pro- board to pass judgment on individual grant applica-
jects; tions, although it may wish to examine the merits of
(4) Make certain that an adequate evaluation has a selecte.d number of the larger projects funded under
been made of the principal alternative ways a grant program, the board should review the grant
of dealing with the water needs of regions programs to determine how well they perform as
and communities; instruments of national policy. The board should
(5) Determine 'the extent to which both the report to the President and the Congress its assess-
organized and unorganized interest groups of ment of the grant programs at the time of the
a region are aware of the proposed develop- requests for annual appropriations for the grant
ments and of their likely effectsi and the administering agencies. Under this procedure, the
extent to which these interests have partici- grant programs would be under a continuing reap-
pated in the plan formulation process; praisal conducted on an annual basis.
(6) Evaluate the effectiveness, propriety, and
- current need for the Federal aid programs of Procedures for the Review Board
the water resource development agencies; It would be necessary for the review board to have
(7) -Appraise the valuation given to the environ- the authority to conduct investigations and hold
mental and other intangible costs of proposed hearings. To minimize its staff, the board could rely
developments, and the risks entailed in the on the sponsoring agencies to furnish the data it
cumulative effects of tolerable amounts of
certain kinds of environmental damages. would require to make its evaluation of the agency's
project proposal and plan. When it found question-
If the review board is to assess fully the relevant able features which could lead to an adverse finding
on a project proposal or plan, it would be appropriate
policy issues involved, it should evaluate not only for it to meet with the Federal, State, and local
,project proposals but also river basin plans and grant sponsors of that plan and its opponents, to discuss
programs. The river basin plans are the context within the board's findings, to request additional substan-
which the individual projects must be considered and tiating data that may be needed, and to hear any
evaluated, where the intents 'and purposes of the evidence which may have been overlooked. If the
regional development agencies are displayed, and sponsors would not choose to withdraw or modify a
where interregional conflicts become apparent and proposal which the board found reason to criticize,
the need for national policy guidance becomes the board could then proceed to forward the pro-
acutely evident. One of the functions of a review posal, along with a record of its meeting with the
board would be to make interregional comparisons in sponsors and a copy of its evaluation.
an effort to uncover the interrelationships and inter- If the review board, in the course of its reviews,
dependencies among the different basin plans. A board should find that a water plan or project is likely to
could point out for the consideration of the President have unwanted effects upon other national sectors
and the Congress where the incompatibilities exist (food, energy, transportation, etc.), it would call
between basin plans and how the water developments them to the attention of the President and the
proposed in one region are likely to affect the water Congress. It would not be the responsibility of a
development prospects of another region. review board to recommend how these national
The grant programs may constitute the largest part policy issues should be resolved, since these are not
of the water resource development investments of the technical questions. Instead, it would alert the politi-
Federal Government, particularly since Congress cal leadersl-dp to these issues and to those types of
passed legislation in October 1972 to authorize the pending investment proposals where policy direction
Environmental Protection Agency to make grants of must be provided to avoid unnecessary conflict and
$5 billion in 1973, escalating in annual increments of waste.
$1 billion to a total of $7 billion for 1975, largely for
municipal sewage treatment facility grants. If there is Location, Organization, and Membership of a Review
to be a review of the Federal Government's expendi- Board
tures in all significant water resource development
activities, clearly the grant program should receive its Some of the study commissions that proposed a
appropriate share of attention. review board would attach it to the Office of the

408

President. The objective was to give the review Science Advisor who was simultaneously chairman of
board's findings more influence in the decisions of the Federal 'Council on Science and Technology and
the executive branch by associating those findings chairman of the President's Science Advisory Com-
with the prestige and power of the President. How- mittee. By being a member of the executive office
ever, there does not appear to be adequate justifica- staff and of the Water Resources Council, the
tion for placing such a review body in the Office of chairman will bring important assets to the board.
the President. From the standpoint of executive The danger of compromising the board's independ-
branch responsibilities, it is important only that it be ence by the dual chairmanships can be minimized if
given a strategic place in the project review process so care is taken to maintain a complete separation
that its comments on and evaluation of water between the work of the board and the Council.
development proposals can be made to Congress and Selection of the members should be made by the
the President before those proposals are acted upon. President with confirmation by the Senate. A,system
This would be true even if a Department of Natural of staggered appointments with a maximum term
Resources were established into which many of the length of about 6 years would seem to be desirable. A
Federal water agencies would be combined. review board of five to seven members would be
The review board should be structured as an enough to conduct the board's business, would
independent agency; nominally within the executive permit a mix of professional skills to be used, and
branch but insulated from presidential politics by would provide enough choice to. allow for a balanced
appointments which extend beyond the term of the geographic representation on the board. In creating
President. A provision which would prohibit more such a board, the Congress should be prepared to
than, say, four out of seven members to be selected provide a level of funding which would permit the
from one particular political party would be an board to handle its workload with diligence and
additional device to secure the board's independence competence and to hire a competent staff.
of action. The review board would function free of
any entanglements with the special interests of
operating departments. By standing apart from the Recommendation on a Board of Review
President's Office as an independent organization,
there would be less opportunity to question the Recommendation No. 11-8: Legislation should be
objectivity of a review board's actions when it is enacted to establish an independent board of review
dealing with those water development proposals to examine federally funded water development
which the President may have cause to favor for proposals, river basin plans, and water development
personal or party reasons. grant programs and to advise the President and the
The chairman of the board of review should be the Congress on their need, feasibility, and utility. The
same person who serves as the independent chairman chairman of the board of review should be the same
of the reconstituted Water Resources Council. Such a person who serves as the independent chairman of the
dual role was previously held by the President's reconstituted. Water Resources Council.

--- -- - - - - --------- -- ech n C
New Functions for Federal Water Agencies

A number of problems involving duplicative, un- efficiently manage existing functions. The first in-
necessary, or unintegrated functions of certain volves duplication in certain of the programs through
Federal agencies in the water resources field have which the Federal Government collects and distri-
been called to the attention of the National Water butes basic water data. A second area is based on the
Commission. In this 'section, the Commission deals fact that three Federal agencies-the Army Corps of
with three areas in which the functions. of Federal Engineers, the Bureau of Reclamation of the U.S.
water agencies need to be modified to keep up- with Department of the Interior, and the Soil Conservation
changes in water programs which lie ahead or to more Service of the U.S. Department of Agriculture-all

409

perform similar engineering functions in the water engineering service agencies for designing water pro-
field. A third area involves the scattering of water jects. A review of their reports reveals four general
technology functions among various Federal agencies. approaches:
1. A majority of the previous study groups
DATA-GATHERING SERVICES proposed preservation of the main features of the
existing organization, and the establishment of
The National Oceanic and Atmospheric Admini- machinery to achieve better coordination of the
stration (NOAA), among its other duties, collects existing programs. The Senate Select Committee on
data on climatological phenomena, including rainfall ' National Water Resources was the latest of the
and on floods and flood damages. It also issues flood groups to support this approach. Its report was an
warnings and flood and water supply forecasts. The important reason for the enactment of the Water
U.S. Geological Survey (USGS) collects data on Resources Planning Act of 1965, and the establish-
strearnflow (including floodflows), ground water, and ment of the approach now in use.
water quality. It also maps flood plains and investi- 2. Other studies, such as that of the "First
gates a variety of water problems. If the two agencies Hoover" Commission, led to recommendations which
were to be merged and operated as a single agency, proposed the establishment of a "Water Development
better coordination of complementary data programs Service" in the Department of the Interior, into
would enhance their usefulness, and a consolidation which would be gathered all Federal agencies re-
of data archives would be of much benefit to sponsible for engineering, design, and construction of
potential data users. water resources projects.
The Soil Conservation Service now operates a 3. A few study groups suggested that most of the
network of snow survey sites in the Western United Federal agencies concerned with natural resources be
States and prepares and issues water supply forecasts. transferred to a new "Department of Natural Re-
The Geological Survey collects snow survey data in sources." The latest such proposal was that of the
the Eastern United States, and the National Weather "Ash" Council (1970). Moreover, a minority of the
Service prepares and issues water supply forecasts. It "First Hoover" Commission (1949), as well as a task
would seem desirable to consolidate the Soil Conser- force of that Commission, made a similar Tecom-
vation Service snow survey functions in the newly mendation.
formed agency which would combine NOAA and the 4. One task force of the "First Hoover" Commis-
Geological Survey. sion proposed that all Federal engineering construe-
tion programs. be consolidated in a "Department of
ENGINEERING SERVICES Works." This proposal, like that of the task force
suggesting a Department of Natural Resources, was
Major Federal water projects are designed and rejected by the Commission itself.
constructed by the Corps of Engineers and the In approaching the question of whether the engi-
Bureau of Reclamation. A third Federal engineering neering functions of the Corps, the Bureau of
organization was created by the Soil Conservation Reclamation, and the Soil Conservation Service (SCS)
Service to administer the Watershed Protection and should be consolidated, a threshold question should
Flood Prevention Program authorized in 1954 by first be answered: Is it necessary for the Federal
16
Public Law 566. Under this program, the Soil Government to provide engineering services for all of
Conservation Service designs, supervises the construc- the water projects the Federal agencies now design
tion of, and 'for some purposes assumes a large and construct? The Commission believes the answer
proportion of the cost of engineering works serving to this question is "No." Changing and emerging roles
many of the same purposes as the major water of these agencies argue against consolidation. Many of
projects constructed by the Bureau of Reclamation the functions of these agencies can be performed by
and the Corps of Engineers. non-Federal governmental entities. States, municipal-
Various commissions and study groups in the past ities, interstate compact commissions, and entities
have questioned, the"need for three separate Federal such as conservancy, irrigation, or drainage districts
can be given the responsibility for the design and
"'Watershed Protection and Flood Prevention Act, P.L construction of many of the engineering works that
83-566, August 4, 1954, 68 Stat. 666, 16 USCA the Federal engineering agencies are now building or
fool-100t. helping non-Federal organizations to build.

410

-4@

NNW:
j@,p@ A,,
"N
i V-

Soil and Water Conservation District Supervisors review goals and progress on water conservation activities

The Soil Conservation Service (SCS) The Bureau of Reclamation
The SCS engineering organization was created for Commission studies of future needs for food and
the purpose of designing and supervising the construc- fiber, of the various ways in which these needs may
tion of the engineering works installed at Public Law be met, and of the relative cost of expanding the
566 projects. The engineering services required in the Nation's agricultural plant by bringing more land
installation of such works can be provided by under irrigation or by other means lead to' the
non-Federal organizations at a local level as it already conclusion that the Federal reclamation program, to
is in some areas; the Department of Agricult Iure need the extent that it is used to increase the capacity of
not provide such services. the Nation's agricultural plant, can be @ tapered off
SCS provides conservation engineering services in gradually. For the foreseeable future, any needed
connection with programs other than those involving increases in food and fiber production can probably
the construction of projects under,P.L. 566. These be met at less cost by non-Federal action than by the
services, virtually unique to SCS because of - the construction of major engineering works by the
specialized expertise in soil-water-plant. relationships Federal Government. But in the water-short regions
that they involve, are not likely to be easily obtain- of the West, there is a growing need for a Water
able outside SCS at the State and local levels and management program that will insure the best use of
should continue to be provided by SCS in support of the available supplies. Unless and until management
soil and plant management aspects of land use for entities are established for the Western river basins, as
erosion control and water conservation functions. recommended elsewhere in this report, the Bureau of

411

Reclamation probably will be in the best position to control, or water power projects. In the years ahead
serve as the management entity for most of these "management" entities will probably be established
basins. The Bureau should continue to have the in many of the Nation's river basins to perform many
responsibility for operation and maintenance of of the functions that have previously been performed
existing Federal reclamation projects until they are through the nationwide Federal programs. The Dela-
turned over to the water users, but its primary ware River Basin Commission is a precursor of the
mission should be to help achieve efficiency of kind of management entities that are likely to evolve.
irrigation for water conservation. That agency also Such entities should gradually be able to take over
should continue to represent the Federal Government responsibility for the design and construction of most
during the payout period of Federal reclamation of the engineering works required for the solution of
projects. The Commission foresees a gradual conver- the internal water problems of the medium-sized
sion of the Bureau of Reclamation from an agency basins for which they will probably be established,
mainly concerned with the design and construction of leaving to the Corps of Engineers only the relatively
major engineering works to an agency mainly con- few very large and complex works that will be
cerned with water system management in the Western required to meet the needs of large basins.
regions. For all of these reasons, it appears that the major
The Commission has sufficient confidence in this project construction segment of the Corps of Engi-
forecast of the future of the Federal reclamation neers program will taper off in much the same way as
program to conclude. that it would not be in the will that segment of the Bureau of Reclamation
national interest to recommend a consolidation, at program. Here again the Commission foresees a
this time, of the Bureau of Reclamation and the gradual shift to a very different kind of program
Corps of Engineers. It would seem more sensible to involving such activities, for example, as operation
permit the Bureau to complete the Federal reclama- and maintenance of completed projects where this
tion projects now under way, while gradually convert- function is not taken over by local interests, emer-
ing itself to the type of management agency that will gency flood planning, and dissemination to States,
be needed in the future. This would avoid the sudden municipalities, and other local entities of information
dislocations, the confusion, and the substantial waste needed for regulation of flood plain lands.
that would result from the transfer of the engineering
elements of the Bureau of Reclamation to a new
agency. TECHNOLOGY SERVICES
Currently, there is no central agency in the Federal
The Corps of Engineers Government concerned with broad research objec-
tives directed toward advancing technology in the
The Corps of Engineers should continue to design, entire water resources field. Water technology re-
construct, operate, and maintain navigation projects search functions are now scattered among various
and major flood control projects that exceed the Federal agencies, such as the Office of Saline Water,
capability of non-Federal entities. It should not the National Oceanic and Atmospheric Administra-
continue to be involved, however, in small projects tion (NOAA), the Environmental Protection Agency,
unrelated to navigation which could be as well and the various water construction agencies. In
handled by local interests. For example, the Com- addition, the Office of Water Resources Research in
.missio'n does not believe that the Corps should be the Department of the Interior makes grants and
involved with local flood control on small streams, contracts and disseminates information concerning
with municipal and industrial water supply and the results of water resources research.
wastewater systems, or with local small craft harbors The research of many agencies concerned with
where such functions can be handled by local water resources is directed toward specific objectives.
interests. This type of project should be a local There is a need for a single Federal Office of Water
responsibility. Technology to undertake broader studies of technol-
The Corps, like the Bureau of Reclamation, is not ogical trends and to undertake research in the field of
likely to continue to exist as an agency specializing in all possible technological advances in the water
the construction of great engineering works; it seems resources field.
virtually certain that in the future the United States An Office of Water Technology should be estab-
will need relatively few. major navigation, flood lished in the U.S. Department of the Interior to serve

412

the water research needs of all Federal agencies. It Federal reclamation projects until such time
should combine the functions of the existing Office as projects under construction or under
of Water Resources Research, the Office of Saline repayment contract are completed. While
Water, the weather modification activities of NOAA, this is being accomplished, its engineering
the weather modification and geothermal steam design and construction activities should be
-programs of the U.S. Bureau of Reclamation, the gradually phased out. It should progressively
water research activities of the Environmental Protec- strengthen its capability as a water manage-
tion Agency, and should concern itself with a range ment entity, and eventually its principal
of other alternative water technologies including responsibility, in addition to operating
wastewater reuse. One role of the Office of Water works retained under Federal control,
Technology should be to maintain a continuing should be that of improving the efficiency of
state-of-the-art and technology assessment of known water use in the water-short regions.
and possible future water technologies. It should
emphasize technology related to the development of 11-12. The Civil Works Program of the Corps of
new sources of water and more efficient use of
existing sources. It should provide technology services Engineers should be modified to: (a) limit
also to those involved in developing plans and the agency to design and construct only
strategies for the management and use of the Nation's those engineering works that cannot as
water resources. efficiently be provided by States, by inter-
state regional commission, or by conser-
RECOMMENDATIONS ON NEW FUNCTIONS vancy, drainage, port, irrigation, or similar
local districts; and (b) increase the emphasis
11-9. Legislation should be enacted to establish in placed upon the nonstructural segments of
the Department of the Interior an agency its programs, such as that segment through
made up of the National Oceanic and which it provides States, municipalities, and
Atmospheric Administration and the United other non-Federal public entities with infor-
States Geological Survey, and to assign to mation they need to make more efficient use
the new agency responsibility for the collec- of flood plain lands.
tion and distribution of basic data on the
Nation's water resources. The fisheries func-
tions of NOAA should be merged with the 11-13. An Office of Water Technology should be
Fish and Wildlife Service of the Department established in the Department of the In-
of the Interior, and the coastal zone manage- terior, combining the functions of the exist-
ment functions should be handled as a part ing Office of Water Resources Research, the
of the overall land planning functions of the Office of Saline Water, the weather modifi-
Federal Government. cation activities of NOAA, the weather
11-10. The Watershed Protection and Flood Preven- modification and geothermal programs of
tion Act of 1954 should be amended so that the U.S. Bureau of Reclamation, and the
the Department of Agriculture no longer research on wastewater reuse technology of
performs engineering functions under that the Environmental Protection Agency. Al-
Act, such as design of reservoirs and chan- though it would be placed for administrative
nels for flood control or land drainage, that purposes under the jurisdiction of the Secre-
may be readily provided by non-Federal tary of the Interior, the Office of Water
organizations at the local level. Technology should be given a charter broad
11-11. The Bureau of Reclamation should continue enough to meet research needs other than
to bear responsibility for the construction of those of the Department of the Interior.

413

Section D
Organizations for Water Planning and Management
for River Basins and Other Regions

Various regional organizational arrangements for years." Many of them have fairly extensive regula-
water planning and management are assessed in this tory and project construction powers. The authorities
section, including (1) certain intrastate arrangements, implement one or more of the following purposes:
such as State-created authorities for river basins or flood control, hydroelectric power, water supply,
portions thereof; (2) Federal-State river basin coordi- navigation, wastewater and sewage disposal, water
nating committees and commissions for planning; pollution control, conservation and reclamation,
(3) interstate and Federal-interstate compact commis- drainage, recreation, and underground water conser-
sions; and (4) Federal-State regional government vation. Many of the authorities perform coordinating
corporations. These arrangements are not mutually functions with Federal and other State entities, much
exclusive; combinations of them may be quite useful like river basin commissions established under Title 11
in solving water problems, especially of an interstate of the Water Resources Planning Act." A number of
nature. The final section of this chapter discusses the authorities work closely with Councils of Govern-
institutional improvements for the Great Lakes. ment and other local governmental bodies in their
areas, including water districts. All of the authorities
INTRASTATE ORGANIZATIONS may issue bonds to finance their projects. Two have
Early Organizational Arrangements taxing powers.
I The Sabine River Authority of Texas was created
There are a few rivers in the United States over in 1949. It is linked to the Sabine River Authority of
which State-created entities exercise various degrees Louisiana by an interstate compact, which appor-
of planning, operational, and regulatory powers en- tioned the water of the Sabine River between the
tirely within a State. One of the earliest of such States and which provided for a permanent compact
intrastate organizational arrangements is the Wiscon- administration to develop, conserve, and utilize the
sin Valley Improvement Company, a corporation waters of the Sabine River and its tributaries. The
formed in 1907 under a charter from the State of multipurpose Toledo Bend Project on the Sabine
Wisconsin. It is owned by six paper mills and four River was constructed and now operates through the
power utilities, and operates power dams and reser- compact mechanism. This combination of the use of
voirs on the Wisconsin River to supply water for State river authorities with an interstate compact
hydroelectric power and for the pulp and paper commission is somewhat unusual, but there is no
industries. reason why it cannot be used elsewhere, particularly
Another early intrastate organizational arrange- on rivers traversing or flowing between two or more
ment is the Miami Conservancy District (MCD), States.
established in 1914 by the Ohio legislature for the Water pollution control has become an important
Miami River Basin in Ohio as a result of a 1913 flood activity of the Texas river authorities. They may
that devastated the Miami Valley and the City of finance water quality projects, plan pollution abate-
Dayton. Originally created as a single-purpose flood ment programs, build and operate sewage treatment
control district, MCD since 1953 has created a
subdistrict to provide water supply, regulate stream- "Brazos River Authority (created in 1929), the Lower
flows, conserve water, and develop a regional water Neches Valley Authority (1933), the Guadalupe-Blanco
quality program. Two other subdistricts have been River Authority (1933), the Lower Colorado River
formed, one to construct channel improvements, the Authority (1934), the Central Colorado River Authority
other to serve as a local cooperating agency for a Soil (1935), the San Antonio River Authority (1937), the San
Jacinto River Authority (1937), the Upper Guadalupe
Conservation Service project. River Authority (1939), the Sabine River Authority
The Texas River Authorities (1949), the Trinity River Authority (1955), and the Red
River Authority (1959).
Texas has a number of active river authorities, Water Resources Planning Act, P.L. 89-80, July 22, 1965,
some of which have been operating for more than 40 79 Stat. 244, 42 USCA 1962, et seq.

414

plants or contract with any public agency to treat Conclusions on Intrastate Arrangements
sewage, enforce antipollution laws, and direct the The experience of Ohio with the Miami Conser-
operations of a regional waste treatment system vancy District and the Texas experience with its river
wMch the Texas Water Quality Board has ordered to authorities indicate that such organizations, especially
be created. if they are granted broad powers and have an
The Texas river authorities have been a major force independent financial base, can be useful institutional
in developing the water resources of Texas. Practi- arrangements in planning and developing the water
cally all of this development has been through means resources of intrastate river basins, particularly in
of revenue bonds without burdening the public conjunction with regional land use planning. Such
treasury. The independent financial base of the organizations would appear to be especially useful in
authorities, through their ability to issue revenue intrastate basins or subbasins which do not have
bonds, levy service charges, and in two cases, to levy entities planning or developing the water resources of
taxes, has enabled them to act effectively. The the area. They would also be useful as integrating
authorities often have difficulties engaging in acti- devices in intrastate basins or subbasins where water
vities which do not produce revenues, even though resources activities are fragmented among a number
the authorities may desire and have power to under- of existing local entities.
take these activities. The limitation of a river author- The Texas experience indicates that if river author-
ity's activities to those which produce revenues may ities do not have territorial jurisdiction generally
be inevitable if it cannot levy taxes and does not coextensive with a river basin, the resulting frag-
receive tax dollars from the State legislature or mentation in authority may not produce optimum
Federal or State grants for projects and programs. solutions to basin problems. On the other hand, river
Problems may develop when a river authority has authorities for subbasins can be useful devices,
jurisdiction which is not coextensive with a basin. particularly if there is an effective coordinating
While most of the Texas authorities have basinwide mechanism with river authorities in other parts of the
territorial jurisdiction, several do not. Where no single basin. Contractual arrangements between intrastate
regional agency has authority over an entire basin, river authorities can provide that coordinating mech-
there is no single regional agency viewing water anism. On interstate streams, interstate compacts may
problems on a basinwide basis, and it is difficult to provide that coordination. State river authorities for
develop and administer basinwide programs. subbasins of a river flowing between two or more
States, when linked together by an interstate or
Federal-interstate water compact commission, would
The Gulf Coast Waste Disposal Authority appear to be useful organizational arrangements for
In the summer of 1969, the Texas legislature water resources planning and development.
created a new antipollution agency, The Gulf Coast State river authorities appear to be useful mech-
Waste Disposal Authority (GCWDA), to meet the anisms for attacking problems of water pollution on
water quality needs in the Galveston Bay area which an intrastate regional basis. They can make water
lies along the gulf coast between main river basins quality plans for a region and construct regional
outside river authority boundaries. The GCWDA is waste disposal systems. The Gulf Coast Waste Dis-
unique among pollution control agencies, and as a posal Authority appears to hold much pron-dse,
prototype may have a significant impact upon particularly for coastal areas outside of the bound-
regional pollution control throughout the United aries of river authorities.
States as well as in Texas. The GCWDA has broad Recommendation on Intrastate Arrangements
financing, planning, operational, and enforcement
powers. It may construct, operate, or sell waste Recommendation No. 11-14: States should consider
treatment facilities; contract with owners of other the use of river basin authorities, similar to the Texas
systems for GCWDA operation of the other's plants, river authorities, in the planning and management of
or for treatment of wastes of GCWDA facilities; their water resources for river basins or portions
regulate solid waste disposal, septic tank usage, and thereof lying within the State, particularly in areas
disposal of waste from aircraft; sue to enforce Water not already included within the territory of existing
Quality Board permit limitations; and make and effective entities. States should also consider the use
enforce its own regulations. of such river basin authorities in combination with an

415

interstate compact commission for rivers flowing The Committee had no statutory standing and no
between or among two or more States. budget. The authority, power, and financial discre-
tion of the constituent agencies remained with the
AD HOC AND INTERAGENCY COMMITTEES agencies to be exercised individually by them. As a
AND RIVER BASIN COMMISSIONS result, FIARBC's decisions were advisory only, and
FOR PLANNING" implementation of decisions depended upon the
In the 1940's the Federal Government began to voluntary cooperation and individual consent of its
establish various committees, composed of represent- member agencies. In addition, the ability of the
atives from Federal agencies and the States, for member agencies to cooperate in effectuating a
multipurpose river basin planning. These committees Committee decision with which it might agree was
evolved from the experience of the Nation with the frequently limited by statutory provisions relating to
Federal natural resources planning organizations of the agencies' powers and duties.
the 1930's and with the Tennessee Valley Authority The regional interagency committees chartered in
(TVA).2 0 the 1940's and 1950's generally provided forums for
the various member agencies where each agency could
Interagency and Ad Hoc Coordinating Committees communicate its planning program to the other
agencies. Eventually, if plans were able to be recon-
In August of 1939, the Army Chief of Engineers, ciled and unanimous agreement obtained, the com-
the Commissioner of Reclamation, and the Land Use mittee would "layer" these separate plans into an
Coordinator of the Department of Agriculture con- overall river basin plan. The interagency committees
cluded a "Tripartite Agreement" to provide for traditionally operated without offices or staff. Rela-
consultation between the parties in the preparation of tions with State and local governments were informal
river basin surveys. In 1943, the Tripartite Agreement and tenuous.
was replaced by a new agreement between the One of the difficulties with the regional commit-
Departments of Interior, Agriculture, Army, and the tees was that they were not able to reconcile separate
Federal Power Commission, establishing the Federal- agency plans and policies. Often the committees were
Interagency River Basin Committee (FIARBC), which brought into existence only after conflicting project
attempted.to continue the coordination function that proposals of the separate agencies were already in
earlier had been carried out by the National Re- existence, as in the Missouri and Columbia basins, or
sources Planning Board. FIABRC set up regional after one agency had completed extensive planning in
interagency committees for specific basins: the Mis- the basin, but before a rival agency had begun, as in
souri in 1945, the Columbia in 1946, the Pacific the Arkansas-White-Red basin.
Southwest in 1948, and the Arkansas-White-Red and After passage of the Water Resources Planning Act
the New York-New England basins in 1950. All the in 1965, the President on March 29, 1966, abolished
regional committees included representatives of the FIARBC's successor, the Interagency Committee on
affected States. Water Resources, and placed its existing subcommit-
The ability of FIARBC to achieve coordination tees and the field committees under the Water
between agency programs was limited in several ways. Resources Council.

"'This section is based on part on HART, Gary W (1971).
Institutions for Water Planning, prepared for the National River Basin Commissions
Water Commission. National Technical Information The difficulties encountered in the interagency and
Service, Springfield, Va., Accession No. PB 204 244, and
INGRAM, Helen (1971). The New England River Basins ad hoc coordinating committees established for water
Commission, A Case Study, prepared for the National resources planning in the 1940's and 1950's led to a
Water Commission. National Technical Information search for a better water planning mechanism. Pro-
Service, Springfield, Va., Accession No. PB 204 375. posals were made to establish river basin commissions
"For a more detailed discussion of the national planning combining Federal, State, and private interests. When
organizations of the 1930's, see U.S. DEPARTMENT OF legislation was introduced in 1961 to establish a
AGRICULTURE. Economic Research Service (1972). A Water Resources Council, it contained a procedure
History of Federal Water Resources Programs, 1800-1960,
prepared by Beatrice H. Holmes, Miscellaneous Publication for the establishment of river basin commissions
No. 1233. U.S. Department of Agriculture, Washington, throughout the Nation, except that it was not
D.C. pp. 13-16, 18. intended that commissions would be established in

416

the areas covered by TVA or the Delaware River The chairman records the position of the Federal
Basin Compact Commission. members while the vice chairman, an officer elected
Under Title 11 of the Water Resources Planning Act by the States, acts upon the instructions of the State
of 1965, the President by executive order establishes members. Where there is controversy, there are no
a river basin commission upon written request of the means whereby one side can carry the day by winning
Water Resources Council or a State. The concurrence a majority vote among river basin commission mem-
of the Council and at least one-half of the States in bers. As a practical matter, rarely, if at all, are
the basin or basins involved is an essential condition dissenting views recorded. Bargaining takes place and
to establishment, with two exceptions: in the Upper an agreement is either worked out or the issue is
Colorado and Columbia basins, three of the four deferred. River basin commissions are thus designed
States in each basin must concur. to achieve coordination without centralization of
Each commission is to serve as the principal agency authority.
for the coordination of Federal, State, interstate, The salary of the chairman is borne by the Federal
local, and private water development plans for the Government, while the remainder of the river basin
basin; to prepare and keep up to date a compre- commission's expenses are apportioned among Fed-
hensive coordinated joint plan, including an evalua- eral and State members as the commission decides.
tion of all reasonable alternatives and recommenda- Provisions are made for advances by the Federal
tions for individual projects; to establish priorities for Government to commissions against State appropria-
the collection of basic data, for planning, and for tions for which delay is anticipated because of later
construction of projects; and to undertake studies legislative sessions.
necessary for preparing the plan and for carrying out Congress placed limits upon the extent of a
the broad policy goals of the Water Resources commission's activities. Authority was limited to
Planning Act. planning-not regulation, construction, or manage-
A commission is to submit to the Water Resources ment-and the Act states that the authority of river
Council for transmission to the President and by him basin commissions cannot be construed to limit the
to the Congress and the governors and the legislatures authority already held by States or Federal agencies.
of the participating States "a comprehensive, coordi- Even when carrying out their planning functions,
nated, joint plan, or any major portion thereof or river basin commissions are limited in what they can
necessary revisions thereof, for water and related land do. They operate administratively on small budgets.
resources development in the area, river basin, or Neither Congress nor the member States appropriate
group of river basins for which such commission was money to the river basin commission for planning.
estabhshed."2 ' Instead, Congress appropriates money directly to the
An independent Federal chairman and staff pro- member Federal agencies, and the States appropriate
vide each of the river basin commissions with a focal planning moneys to the member State agencies. The
point and an identity. The chairman is appointed by financial control over the river basin commission
the President and cannot be a member of any Federal planning effort thus resides in the member agencies.
agency. All members of a commission except the Member Federal agencies, States, and interstate
chairman are delegates from and salaried by some agencies often pursue their water goals without using
other organization. Each of the Federal agencies with the river basin commission. In fact, only partial and
a substantial interest in the river basin is entitled to a often defensive inducements exist for members to
member as is each of the States. Interstate and associate themselves actively with the work of the
international joint commissions in the basin may also commission. Likewise, only weak incentives exist for
have representatives. persons and entities making decisions on water and
Voting provisions give each member a means to related land resource questions to turn toward river
protect individual interests. According to the Act, basin commissions for information and advice..
every reasonable endeavor shall be made to arrive at a The resources available to the chairman and his
consensus on all the issues. If consensus cannot be staff give them much flexibility but not much
reached, then each member is to be afforded an authority. A commission can become involved in a
opportunity to report and record his individual views. wide range of resource and environmental questions
on the basis of the Planning Act and the responsi-
Water Resources Planning Act, P.L. 89-80, July 22, 196S, bilities of the commission membership. There is great
79 Stat. 249,42 USCA 1962b-4. latitude permitted in responding to invitations

417

tendered by Governors or others for a commission to rather than by ad hoc or interagency coor-
take up an issue. The commissions have resources to dinating committees.
study or recommend. However, the commission has 11-16. The interests of important local units of
no way to enforce its decisions. There are few government, particularly entities comprising
resources at the command of a chairman to reward large metropolitan regions in the area of a
those who work through a river basin commission and river basin commission's jurisdiction, should
penalize those who do not. He is dependent upon his be reflected more fully in the deliberations
State and Federal membership for funding. At the of river basin commissions and Federal-
same time, he cannot direct the flow of funds to interstate compact commissions.
others at work on projects related to a cormnission 11-17. After completion of its comprehensive
mission. The gingerly way in which some commis- coordinated joint plan, a river basin commis-
sions have treated ongoing studies under the leader- sion should be continued in order to
ship of a Federal agency testifies to the inability of (1) update and revise the plan, (2) continue
the commissions to challenge an established force in the coordination of planning efforts, and
water development in the region. (3) reestablish and revise priorities.
Since a number of separate entities are involved in
water resource decisionmaking in a region covered by INTERSTATE AND FEDERAL-INTERSTATE
a river basin commission, and the p9wer of those WATER COMPACTS2 2
separate entities remains undiminished, river basin Agreements between States are useful devices for
commissions can act only as facilitators and provide a dealing with water resources problems involving areas
framework for bargaining. Under certain conditions, larger than one State and beyond the legal authority
it is likely that river basin commissions can perform of any one State to solve. Such agreements, or
the role of linking various interests together more "compacts," require the consent of Congress if a
strongly. An able chairman may become influential in national or Federal interest is affected by the
a river basin commission. In areas where there is a compact. 23
widely shared, regional view of water resources, then The earliest use of interstate compacts in the water
there may be a greater tendency to work through a resources field occurred under the Articles of Confed-
river basin commission. It is likely that a river basin eration, when such agreements were employed to deal
commission may perform its role more strongly with boundary problems and navigation and fishing
where it does not need to compete with one rights in interstate waters. They generally were not
dominant water development agency which has con- used for any other water-related purposes until 1922,
trol over decisions.
when the Colorado River Compact was agreed upon
Conclusions to allocate water rights among the Colorado River
Basin States. The next half century spawned over 30
River basin commissions are to be preferred over compacts dealing with assorted water problems in a
interagency and ad hoc committees for water and variety of ways. In this same period, the Supreme
related land resource planning and should be en- Court encouraged their use in interstate disputes over
couraged as regional planning entities for water and water rights and pollution. Similarly, Congress in-
related land resources. The commissions are new and dicated that it would look favorably upon compacts
unique regional institutions, and should be given a dealing with flood control and water quality.
chance to develop joint coordinated comprehensive Existing water compacts may be grouped into four
plans for their regions. general categories: (1) water allocation compacts;
(2) pollution control compacts; (3) flood control and
Recommendations on Interagency Committees and
River Basin Commissions
"This section is based largely on MUYS, Jerome C (1971).
11-15. The planning of water and related land Interstate Water Compacts, prepared for the National
resources in the United States for major Water Commission. National. Technical Information
interstate river basins should be done by Service, Springfield, Va., Accession No. PB 202 998.
Federal-interstate compact commissions or "Article 1, section 10, clause 3, of the U.S. Constitution
provides that "No State shall, without the Consent of
by river basin commissions established under Congress, . . enter into any Agreement or Compact with
Title 11 of the Water Resources Planning Act another State or with a foreign Power."

418

SOURIS-RED- NE
W
EN
...... RAINY GLAND
GREAT LAKES
.X.

.. ...........
NO EST

.......... ... .. ....... X
i\AISSOURI"'.*:.:.:.:.
BASIN
UPPER
DEL

X.
)tZ. .. ......
W41-1 SUSQ
... .............
AGIFIG

ARKANSAS-WHITE
RED BASINS

SOUTHE.._1
HAWAII BASINS

INTERAGENCY COMMITTEES

FEDERAL-STATE COMPACT COMMISSIONS
ALASKA

RIVER BASIN COMMISSIONS

Figure 11-1. Map showing area covered by River Basin Commissions, Interagency Committees, and Federal-State
Compact Commissions

planning compacts; and (4) comprehensive regulatory water quality standard -setting and enforcement
and project development compacts. powers of the Delaware and Susquehanna River Basin
Commissions.
Water Allocation Compacts The five oldest water pollution compacts, the New
The first interstate compact to allocate the waters York Harbor, Ohio River, Tennessee River, Potomac
of an interstate stream was negotiated in 1922 by the River, and New England agreements, were originally
Colorado River Basin States. Subsequently, 18 ad- single-purpose compacts concerned only with pollu-
ditional compacts were established to apportion the tion. More recent compacts encompass a more com-
prehensive approach to water problems, of which
waters of interstate streams. The general purpose of water quality control is just one aspect. At least one
all water allocation compacts has been to accomplish of the earlier compacts-the Potomac River Basin
an equitable apportionment of the water of interstate Compact-was subsequently amended, its authorized
streams so that. development of those rivers n-dght activities being broadened to include water and
proceed unmarred by continuing controversy among associated land resources as well as water pollution
neighboring States over their relative rig hts in the abatement.
common stream. The various compacts have taken a All of the water pollution compacts provide for the
number of different approaches to allocating water creation of an administrative agency to implement
rights to the signatory States. Whatever the allocation the compact objectives. The first compact in this
formula, existing uses and rights are usually pro- field, the New York Harbor compact, granted a broad
tected. About half of the compacts expressly provide water quality standard-setting and enforcement
that the allocations are to include all Federal uses. authority, a pattern that was followed on the Ohio
Such provisions can be significant in the Western River a few years later. However, both compacts
States because of extensive Federal land holdings and contain a limitation on the interstate commission's
water use projects constructed under the Reclamation enforcement authority, amounting to a veto over
Act. enforcement action; an enforcement order requires
Pollution Control Compacts concurrence by a majority of the commissioners of
the affected State. Subsequent compacts on the
The Supreme Court, Congress, and commentators Potomac, Arkansas, Great Lakes, and in New England
have consistently viewed pollution control on inter- initially permitted those compact commissions to
state streams as a problem particularly susceptible to make recommendations only regarding pollution
solution through the device of the interstate compact. abatement. The Klamath River compact in 1957
In its 1921 decision in the interstate litigation blended the two approaches. It authorized the com-
between New York and New Jersey over pollution of pact commission to establish standards which, if
the Hudson River, the Supreme Court expressed its violated and the aggrieved State complains, are the
view that the cooperative attack on pollution through basis for recommended improvement measures by the
interstate agreement was a more positive approach to commission and for commission enforcement action
such problems than adversary litigation. New York, if the recommendations are not followed. The recent
New Jersey, and Connecticut subsequently entered experiments with the Federal-interstate compacts on
into the Tri-State Compact in 1935 to deal with the Delaware and Susquehanna return to the broader
water quality problems in New York Harbor. Since kinds of regulatory power originally conferred on the
that time, there have been at least 10 additional New York Harbor Commission in 1935, but without
compacts which deal in various ways with interstate veto provisions.
water pollution, ranging from simple bilateral agree-
ments, such as that between California and Oregon on Flood Control and Planning Compacts
the Klamath River, to such multilateral treaties as the
Ohio River Valley Water Sanitation Compact among There are a handful of compacts which deal
eight States of the Ohio River Basin. The powers that principally with certain flood control aspects of water
may be exercised by the commissions created by resources management-the Red River of the North
these compacts span the spectrum from the Potomac compact, three compacts on the Connecticut, Mer-
River Commission's carefully circumscribed authority rimack, and Thames Rivers in New England, and the
to study, report on, and recommend remedial actions Wheeling Creek compact between Pennsylvania and
on the pollution problems of that basin to the broad West Virginia. Most of these compacts emerged from

420

the Federal flood control program in the 1930's and that a single, administrative entity was essential for
were designed to promote cooperative State action in the development plan and for the coordination of Fed-
a national flood control program. eral, State, local, and private interests. To implement
The authority conferred upon the Great Lakes those objectives, the States speedily reached agree-
Commission by the Great Lakes Basin Compact is ment on and ratified a compact creating the Delaware
perhaps the most limited in the water resources field. River Basin Commission (DRBC), comprised of the
The compact creates the Great Lakes Commission to Governors of the basin States and a Federal repre-
serve essentially an advisory function concerning the sentative appointed by the President. Congress con-
water resources of the Great Lakes Basin. sented to the compact with certain reservations.
The Delaware Compact reflects a significant de-
parture from traditional compact usage in two re-
Comprehensive Regulatory and Project Development spects: (1) the United States is a signatory party with
Compacts - The Federal-Interstate Compact the States and (2) extremely broad powers are
24
Over the past 50 years there has been a growing granted to the compact commission.
recognition of the need to better coordinate water The DRBC is charged with formulating a "compre-
resource planning and programs within the Federal hensive plan" for the development and use of the
establishment and between the Federal Government basin's waters, and is endowed with broad planning,
and the States. When compacts were proposed for regulatory, and project construction powers to aid in
this purpose, it was felt generally by the States that implementing the basin plan.
some way had to be found to make the United States To assure that development projects in the basin
a full partner in the compact in order to restrict its are in general conformity with the comprehensive
authority and its general inclination to "go it alone" plan, the compact confers a "licensing" power on the
in a basin. Thus, in 1953, the Missouri Basin Survey DRBC, providing that "no project having a substan-
Commission unanimously agreed on the need for a tial effect on the water resources of the basin shall
regional coordinating and operating agency for that hereafter be undertake n@ by any person, corporation or
basin, but there were divergent points of view as to governmental authority unless it shall have been first
what kind of institutional arrangement would best submitted to and approved by the commission." The
meet the basin's needs. The Commission majority Commission is directed to approve any project which
endorsed a federally created commission appointed it finds "would not substantially impair or conflict
by the President with broad powers to plan and with the comprehensive plan," and a project not
implement a basinwide water resources program, meeting that standard may be either disapproved or
while a three-member minority argued for a commis- approved subject to modification to make it consis-
sion created under a "State-Federal" compact to tent with the plan.
which the States and the Federal Government would In addition to its comprehensive licensing
belong. Nothing came of either recommendation. authority, the DRBC is granted broad regulatory
A subsequent effort by the New England States at powers. Reinforcing that regulatory authority, the
a Federal-interstate compact in the late 1950's fared compact confers generous powers on the Commission
better among the States but failed to receive congres- to construct, develop, operate, and maintain "all
sional consent, largely because of constitutional and projects, facilities, properties, activities and services,
other objections from the executive branch. How- determined by the commission to be necessary,
ever, concurrent with the unsuccessful efforts for a convenient or useful" for the purposes of the
New England Federal-interstate compact, a more compact.
sweeping proposal emerged on the Delaware and All of the grants of authority are to be exercised in
received congressional consent in September 1961. consonance with "the purpose of the signatory
The Delaware River Basin Compact grew out of parties to preserve and utilize ... existing offices and
several decades of litigation among the basin States
over the apportionment of the waters of that stream
system and unsuccessful attempts to resolve the "Delaware River Basin Compact (1961). In U.S. CON-
controversy by interstate compact. In the late 1950's, GRESS, House (1968). Documents on the Use and Control
after a comprehensive study of various institutional of the Waters of Interstate and International Streams,
approaches to the region's interstate water problems, House Document No. 319, 90th Congress, 2d Session. U.S.
the Delaware River Basin States reached agreement Government Printing Office, Washington, D.C. pp. 95-176.

421

agencies of government to the extent not inconsistent when he "shall find that the national interest so
with the compact, and ... to utilize ... such offices and requires. -2 5
agencies ... to the fullest extent it finds feasible and Public hearings are required as a precondition to
advantageous." almost all important Commission actions, and all
A unique feature of the compact is the conferral DRBC meetings are required to be open to the public.
upon the DRBC of the power to allocate the waters In addition, the Commission is authorized, but not
of the basin among the signatory States in accordance directed, to establish advisory committees represent-
with the doctrine of equitable apportionment. This ing a broad spectrum of water resource interest
provision for administrative allocation of interstate groups.
waters was designed as an alternative to (1) what was Although the executive branch in 1961 only
considered to be the relatively inflexible apportion- reluctantly and conditionally endorsed the Delaware
ments made by the traditional water allocation compact and stated that it should not be considered a
compacts and (2) litigation in the United States precedent for other river basins, in fact the compact
Supreme Court, where the basin States had already has had precedential effect. A similar compact was
been on several occasions. This allocation power, as negotiated for the Susquehanna River and approved
well as all other DRBC authority, may not be used to in 1970. Similar proposals are under consideration for
affect adversely the rights and obligations of the the Hudson and Potomac Rivers, as well as the Great
States under a 1954 Supreme Court decree, other Lakes. The proposed compact for the Potomac River
than by unanimous agreement. The DRBC's power to Basin has been approved by the States of Maryland
make interstate allocations of water is supplemented and Virginia and needs approval only by the re-
by its authority to regulate withdrawals and diver- maining States of Pennsylvania and West Virginia
sions of surface and ground waters in certain situa- before going to Congress for approval of participation
tions. by the District of Columbia and the Federal Govern-
The Commission has very broad financing author- ment.
ity. However, it does not have the power to tax and is The Federal-interstate compacts on the Delaware
specifically precluded from pledging the credit of any and the Susquehanna, providing broad powers for
signatory party, or of any county or municipality, or comprehensive regulation and project development of
to impose any obligation for the payment of the a river basin, appear to have great potential for
DRBC bonds upon any of those governmental solving major water and related land resource prob-,
entities. lems on a regional basis. The compact for the
The heart of the compact is the constraint which Susquehanna (1970) is so recent that no evaluation of
Commission approval of the comprehensive plan the activities of the Susquehanna River Basin Com-
places on the water resources programs of the mission can be made. But in the Delaware over a
signatory parties. All Federal, State, local, and private decade of experience there with the Federal-interstate
water project planners are required to conform their compact provides some insight into the utility of this
projects to the DRBC's comprehensive plan. Since the mechanism.
content of the comprehensive plan is determined by In the 12 years of its existence, the DRBC has
majority vote of the DRBC, Congress has provided in achieved some important results. It successfully
the legislation consenting to the compact that the managed an emergency water situation in the Dela-
Federal Government need not shape its projects to a ware basin during the 1965-67 Northeast drought. In
plan with which it is not in agreement. However, the July of 1964, it expanded its water supply jurisdic-
consent legislation provides that "whenever a compre- tion to include the management of ground waters in
hensive plan, or any part or revision thereof, has been the basin. It has approved for inclusion in its
adopted with the concurrence of the member ap- comprehensive plan several multipurpose water pro-
pointed by the President, the exercise of any powers jects to augment water supplies. It has assumed
conferred by law on any officer, agency or instru- responsibilities for repaying the costs of non-Federal
mentality of the United States with regard to water water supply features in certain Federal reservoirs,
and related land resources in the Delaware River apportioning among the States the costs that the
Basin shall not substantially conflict with any such
portion of such comprehensive plan." The President
may also "suspend, modify or delete" any provision "Act of September 27, 1961, P.L. 87-328, 75 Stat. 688,
of the comprehensive plan affecting Federal interests Section 15.1(s)l.

422

States shall bear in meeting the non-Federal payment National Scenic and Wild Rivers System. The DRBC
of the water supply costs of the projects. and the Bureau of Outdoor Recreation of the
In the field of water pollution control, the DRBC Department of the Interior have discussed joint
has established basinwide water quality regulations recreational plans for the region.
and abatement schedules for most of the major waste The Delaware Compact authorizes the Commission
dischargers in the basin which account for 90 percent to review all projects which have a substantial effect
of the waste discharged into the river. In the Tocks on the water resources of the basin. Over 1,000
Island, Darby Creek, and Gloucester -Salem areas, the projects have been reviewed; most of them have been
DRBC has encouraged regional solutions to sewage included in the comprehensive basin plan. The plan,
disposal. It has financed a demonstration project to based largely on the 1958 Corps of Engineers plan for
prove the feasibility of regional waste management, the basin, has been continuously updated and imple-
thus implementing a Commission policy adopted in mented. The DRBC has endorsed a number of
1968 to encourage the use of regional water pollution Federal, State, and local water resources projects.
control facilities. Its pollution control standards and During the past 10 years, approximately 30 multi-
waste discharge allocations have upgraded sewage purpose Federal-State or wholly federally sponsored
treatment along the main stream of -the Delaware river management projects have been implemented. In
River and have helped guide industrial development. addition, three proposed projects have been approved
The DRBC's power to mandate regional waste treat- for construction and 17 others endorsed but not yet
ment could result in substantial reorganization of finally approved.
waste treatment systems along the River. The DRBC has issued statements of policy, criteria,
The DRBC has endorsed the implementation of and standards setting forth the conditions under
several Federal and State flood control projects. It which the DRBC will grant approval of projects and
has cooperated with the U.S. Geological Survey and policies. These statements play a regulatory role in
the Corps of Engineers in encouraging flood plain setting the conditions with which Federal, State, and
mapping studies so that municipalities may adopt local agencies must comply in administering their
flood plain zoning ordinatices and thus become water resource projects.
eligible for Federal flood insurance. It has also The DRBC has also maintained close working
encouraged the formation of watershed associations relationships with Federal, State, and local agencies.
throughout the basin. Each of the four member States has reorganized its
In recent years, the DRBC has begun to regulate respective water departments into environmental con-
the conditions for powerplant construction within trol agencies, and the DRBC works closely with them,
the basin. It subjected the hydroelectric features of particularly in the area of pollution control surveil-
the Tocks Island project to conditions protecting the lance. The DRBC maintains a concurrent project
environment. It barred the use of Sunfish Pond for review with the Delaware Valley Regional Planning
pumping water to supply hydroelectric power, and it Commission. As a matter of routine it notifies all
required that the reservoir construction be done with county planning commissions, HUD certified area-
a minimum of disruption to the area's natural wide bodies, and concerned municipalities of its
environment. In April 1971, the DRBC indicated that project review agenda.
all electric power projects of 100,000 kw. or more Finally, the DRBC has been a useful mechanism
would be approved only after the utility companies for allowing the public to participate in the planning
prepared siting studies analyzing the effects of the of projects in the basin and in providing a basinwide
site on the water resources of the basin. The DRBC point of view for balancing diverse values and
26
also has reviewed several nuclear powerplant pro- exploring various alternatives to proposed projects.
posals.
In the field of recreation, the DRBC's efforts have
centered around the development of the Delaware
Water Gap National Recreational Area in the northern
part of the basin. The park has been approved as part 1 6 For more details of the activities of the DRBC, see U.S.
of the DRBC's comprehensive plan. Tocks Island has ADVISORY COMMISSION ON INTERGOVERN-
been endorsed as the major water recreation project MENTAL RELATIONS (1972). Multistate Regionalism,
within it. In 197 1, the DRBC resolved that the upper A-39. U.S. Government Printing Office, Washington, D.C.
branch of the Delaware River be included in the pp. 95-96, 99-108, 111-120.

423

Evaluation of the Compact Approach to Regional In order to minimize the delays and hazards
Water Problems attendant upon compact amendment and the accom-
Perhaps the chief advantage of the compact a panying need for new congressional consent, States
P" should confer a broader range of powers on compact
proach to river basin management is its adaptability commissions. If the States are reluctant to grant
to the particular needs of a basin. Since a compact certain powers to the compact agency uncondition-
must be the product of agreement among the States, ally, then appropriate limitations on their use may be
it can be shaped to meet any problems the States fashioned. Similarly, it seems desirable to permit
desire, in accordance with the particular regional some leeway for certain kinds of changes in a
philosophy of appropriate intergovernmental rela- compact without the need for new ratification by the
tions. Thus, it can be targeted on a single problem, State legislatures and consent by Congress.
such as water quality management, or may seek Consideration should be given by compact negotia-
comprehensive, multipurpose goals. Similarly, it may tors to provide for weighted representation on com-
create a permanent administrative entity and endow pact commissions, as opposed to the traditional
it with such powers, narrow or sweeping, as the equality among States which has characterized voting
participating States deem necessary or appropriate to rights on compact commissions. Even though the
accomplish their regional objectives, so long as they States stand more or less on an equal plane in the
are consistent with broad national water resource Federal Union, they may have widely disparate
goals. interests in some river basins by virtue of geography,
The States may confer a wide range of powers on a population, natural resources, and other factors.
compact agency which are generally adequate to deal Although it obviously would be difficult to devise an
with most interstate water problems. Indeed, it seems acceptable formula, there appears to be some merit in
likely that a compact commission may be endowed recent proposals for proportional representation on
with powers that the member States might not compact commissions to reflect differing degrees of a
exercise independently, although the law on this State's interest in a particular river basin.
point has yet to be clearly stated by the Supreme
Court. The express conferral of Federal powers on a Recommendations on Interstate Compacts
compact entity by congressional consent legislation The thrust of our recommendations in this section
may well cure any defects in the States' authority, is for the greater utilization of the compact approach
and the participation by the United States as a for dealing with regional water problems other than
signatory party, thereby clearly making the compact through federally directed and dominated programs.
commission a Federal instrumentality, would put the
question beyond doubt. Recommendation No. 11-18: *The Federal-interstate
An often-voiced criticism of the compact approach compact is recommended as the preferred institu-
to regional water resources management is that tional arrangement for water resources planning and
compacts require an exceedingly long time to nego- management in multistate regions.
tiate and effectuate by State ratification and congres-
sional consent. Although the record of the various The advent of the Federal-interstate compact and
kinds of water compacts is uneven on this score, there its record on the Delaware has shown that disparate
is substantial evidence to support the conclusion that Federal, State, and local elements of water resources
the compact approach is not inherently more cumber- policy can be forged into a promising comprehensive,
some and time consuming in its creation and change cooperative, and consciously directed regional pro-
than other institutional approaches to comparable gram. While there are some jurisdictional and other
water resource problems. If there are delays in problems which remain to be fully worked out, the
creation of compacts, the reasons are often due to approach justifies endorsement for other regions
specific policy controversies rather than the use of where the States may consider it appropriate. It
the compact mechanism. The more recent experience merits particular consideration in the Western public
with the Delaware and Susquehanna compacts land States, where the Federal Government's domi-
demonstrate that even such highly complex agree- nant role as landowner and water master makes the
ments can be negotiated and approved with impres- goals of the Federal -interstate compact particularly
sive swiftness. relevant.

424

Recommendation No. 11-19: Congress should enact Federal interests are affected. As an added safeguard
legislation granting advance consent to a limited class with respect to any compact consented to in advance,
of water compacts not having a significant impact on Congress should screen such a compact by requiring
Federal interests. Such compacts should be submitted that it be submitted to Congress, to become effective
to Congress to become 'effective 90 days thereafter 90 days thereafter, unless within that period Congress
unless, within the 90-day period, Congress denies its denies its consent. In the event Congress failed to act
consent. within the 90-day period but later determined that
the compact should not remain in effect, Congress, of
The Constitution does not specify when or in what course, could deny its consent to the compact.
manner the requisite congressional consent to an
interstate compact must be given. The Supreme Court Recommendation No. 11-20: Any interstate water
has held that the critical question is whether "Con-
gress, by some positive act, in relation to such compact granting broad project construction or reg-
agreement, [has] signified the consent of that body ulatory authority to a compact commission should
to its validity."2' Consent may be express or implied state the roles of the compact commission and of
and may be evidenced either before or after an existing State and Federal agencies with regard to
agreement is reached by the compacting States. project construction, water quality, and other regula-
Congress could expedite the ability of States to tory functions.
enter into agreements involving water resources by Project Construction and Regulatory Functions: The
granting advance consent to a limited class of Delaware and the Susquehanna Compacts give a
compacts, thus removing the necessity for subsequent preference to existing State and Federal agencies in
congressional consent. One -such class of compacts the construction of projects; the compact commission
involves what might be called "administrative agree- can only act when the State or Federal agencies are
ments," which are designed primarily to bring about unable or unwilling to do so, or agree that a particular
efficiencies in water resources management. An
example would be an agreement among several States project is appropriate for commission action. How-
to contract jointly with the U.S. Geological Survey to ever, if there is to be more meaningful State and
establish certain stream-gaging stations on an inter- regional action in the water resources field, the better
state stream and to provide the resulting data to the practice would be to have compacts state that the
parties to the agreement. The substance of such an individual member States and the compact commis-
arrangement is that the States are simply taking joint sion, in that order, should construct needed projects,
action in the interests of economy and efficiency, all with Federal construction a last resort.
within the scope of their individual powers. There is Consent legislation for the Delaware Compact did
no objective to exercise their joint sovereignty to not address the issue of the relationship between the
accomplish a regional purpose outside of their indivi- DRBC and State or Federal regulatory agencies. The
dual sovereign rights and responsibilities. consent legislation for the Susquehanna Compact
Another category might include agreements for made some attempt at clarification, but the language
local planning or zoning of interstate areas. These is ambiguous. Compacts giving regulatory functions
agreements could prove useful for developing land use to compact commissions should make clear who
controls on an interstate regional basis, particularly prevails in the case of any conflict between the
with regard to flood plains, wetlands, wild and scenic exercise of authority by Federal or State regulatory
rivers, estuarine zones, and areas of natural beauty. commissions and by compact commissions. As a
A third category might include advance consent for general rule, in case of any conflict the compact
compacts for management of multistate metropolitan commission should prevail unless there are special
water systems.2 a reasons to the contrary.
There is a virtue in having such agreements subject
to a veto by Congress before they take effect so that Water Quality Regulation - Federal legislation
the involved States themselves do not decide whether since 1948 has encouraged compacts between States
for the prevention and control of water pollution.
Yet, even after recent sweeping revisions in the
1 7Green v. Biddle, 21 U.S. (8 Wheat.) 1, 86 (1823). program by Congress, no guidance has been given to
See Recommendation 12-5 in Chapter 12. the States as to the kinds of provisions which should

425

be contained in compacts dealing with water qual- (f) Participation by the United States as a signa-
ity." The Commission recommends that interstate tory party should be sanctioned.
compacts dealing with water quality contain pro-
visions covering the following matters:
(a) The compact agency should have broad Recommendation No. 11-21: Congress should enact
authority to act as the joint agent of the member legislation (1)granting the Federal district courts
States in the establishment and enforcement of water original jurisdiction over any case or controversy
quality standards and to receive grants for administer- arising under an interstate water compact and
ing programs to prevent, reduce, and eliminate water (2)waiving the sovereign immunity of the United
pollution. States and permitting the United States to be made a
(b) The compact agency should preempt the party defendant in such a suit.
member States' standard-setting authority only to the
extent that the compact agency standards must be Since an interstate compact is considered to be a
the minimal standards throughout the basin. The law of each of the compacting States, actions
States should remain free to establish individually thereunder may be challenged just as any other State
more stringent standards. Thus, States eager to action. The Supreme Court has held that the con-
develop high standards of water quality management struction of such a compact sanctioned by Congress
need not fear that joint action by compact will presents a Federal question appropriate for Supreme,
commit them to a "least common denominator" level Court review. What is not clear, however, is whether
of interstate standards. compact questions also meet the general Federal
(c) The Federal standard-setting authority of the question jurisdictional standards for United States
Environmental Protection Agency should bear the district courts. There is a split of authority, but most
same relationship to a compact commission as it does courts have answered the question in the negative.
to the member States; i.e., it should be held in reserve Consequently, general references in compacts pro-
to be utilized only if the compact agency fails to viding for judicial review of compact questions or
establish adequate standards in a timely fashion. enforcement of compact commission orders in courts
(d) With respect to violations of established of "competent jurisdiction" probably do not confer
standards, the compact agency should possess the full such jurisdiction. What is required is a specific grant
arsenal of enforcement powers. It should be permit- of subject matter jurisdiction, such as that contained
ted to defer to the enforcement agencies of the in the Delaware River Basin Compact consent legisla-
member States for a reasonable period, but should be tion:
directed to move in its own right upon request of the The United States district courts shall have
affected State or upon the expiration of a specified, original jurisdiction of all cases or controversies
reasonably short period within which a State has arising under the Compact, and this Act and any
failed, in the commission's judgment, to move case or controversy so arising initiated in a State
expeditiously or effectively against a violation. In the Court shall be removable to the appropriate
same pattern, Federal authority should be exercised United States district court in the manner
30
only upon request of the compact agency or if the provided by � 1446, Title 28 U.S.C .....
compact agency has failed to respond expeditiously Another major problem in a suit involving water
or effectively to an Environmental Protection Agency compacts is that the Federal interests in the subject
request for enforcement action. matter may be so significant as to make the United
(e) Compact agency decisions should be rendered States an indispensable party, in which event the
by a majority vote. The practice of some compacts to failure of the United States to consent to be joined
afford the affected State a veto over enforcement may effectively block relief. Congress should enact
action against it should be clearly prohibited. Pro- legislation waiving the sovereign immunity of the
vision should be made for tie breaking by arbitration United States and permitting the United States to be
or otherwise. made a party defendant in such a suit.

See Section 103 of the Water Pollution Control Act
Amendments of 1972, P.L. 92-5oo, october 18, 1972, 86 "Act of September 27, 1961, P.L. 87-328, 75 Stat. 688,
Stat. 816, 818, 33 USCA 1253. Section 15.1(p).

426

FEDERALLY CHARTERED CORPORATIONS dling particular types of financing and operational
FOR MULTISTATE WATER tasks in the Federal sphere, it would appear that
MANAGEMENT ACTIVITIES31 corporations could also be utilized at the State level.
In recent years, Congress has turned increasingly to In a sense, this has already been accomplished by
many States through the establishment of special
the Federal corporation to perform complex financial 'municipal corporations" to perform tasks not lend-
or operational tasks for the Federal Government. ing themselves to the boundaries of the States' more
Initially, such corporations were owned and operated conventional political subdivisions.
by the Federal Government without contributions In the water resource field, there are a number of
from or control by States, localities, or private existing examples of special State authorities through
interests. In the last decade a series of hybrid which a number of participating county or municipal
corporations has emerged. They have been chartered bodies perform planning, regulatory, and in some
by the Federal Government, and have been subject to 33
some degree of continuing Federal control. They have instances operational functions of mutual interest.
not had direct participation or control by private These special State authorities normally have been
stockholders, nor have they been accorded the status restricted to governmental entities; there has been
31 only limited resort to the States' general powers to
of Federal agencies. charter nongovernmental corporations, even of a
The question addressed in this section of the nonprofit character. One example of this latter type
Commission's report is whether the corporate mech- of State activity, however, is the Wisconsin Valley
anism is useful as a substitute for or supplement to Improvement Company, a private, nonprofit corpora-
regional multistate waterway commissions and tion chartered by the State of Wisconsin in 1907, to
Federal-interstate compacts through which govern- insure adequate water supply and maximize the
mental water resource planning, operations, and utilization of the hydroelectric generating capacity of
regulation have largely been conducted. the Wisconsin River. There would appear to be a role
The Tennessee Valley Authority (TVA) is a singu- for State established corporations in situations where
lar example of a Federal corporation performing the cooperation of two or more governmental or
major functions in this area. But it has never been private entities within a single State is required for
duplicated in the United States despite efforts to do optimum water management and the Federal interest
so. It does not appear to be either advisable or in the specific project is not sufficient to require its
feasible in the foreseeable future to establish addi- participation in, or control over, the operations of
tional federally owned and operated regional water any such intrastate corporation.
resource corporations of the scope and type of TVA. The potential utility of the Federal Government's
However, there may be isolated situations in which power to charter corporations as an aid to interstate
federally owned and operated water resource projects water management is, however, a matter to which
of a self-supporting nature can be organized more little previous consideration has been given. The
feasibly as a Federal corporation than as a branch of Commission has canvassed the legal and policy ques-
another government department or agency. tions inherent in having the Federal Government
For essentially the same reasons that the govern- charter various types of water management corpora-
ment corporation has proven its usefulness for han- tions in order to evaluate the extent to which such
corporations might be a useful alternative to the
This section of the report is based upon SOLOMON, establishment of other types of public or quasi-public
Richard A (1971). The Federal-State Regional Corpora- water management agencies.
tion, prepared for the National Water Commission.
National Technical information Service, Springfield, Va., General Considerations
Accession No. PB 202 997.
"The initial endeavor of this type was the Communications Participation by Non-Federal Entities in Federally
Satellite Corporation (Comsat), 47 USCA 701 et seq. It Chartered Corporations: The examples of Comsat and
has now been followed in the operational area by the
National Railroad Passenger Corporation, Public Law the other federally chartered corporations indicate
91-518, approved October 30, 1970, and in the fmancial that such an entity may have a majority of its board
area by the corporation established by the National
Housing Partnership Act, 42 USCA 3931 et seq, See also See, e.g., the discussion earlier in this chapter of the Texas
the Corporation for Public Broadcasting, 47 USCA 396,et River Basin authorities and the Gulf Coast Waste Disposal
seq. Authority.

427

of directors, or of its stockholder/members, neither home rule legislation already exists, it frequently will
appointed by nor responsible to the Federal Govern- not extend to authorizing local participation in such
ment. There is no history of federally chartered federally created governmental units. To the extent
corporations in which majority control over their that it might be advisable to provide for establishing
operations rests with participating States, either by any such corporation by means of an interstate
themselves or in concert with one or more lesser compact, State action will be essential.
governmental bodies of such States. But there does
not appear to be any legal bar to Congress so Status of the Corporations as Agencies of the Federal
providing. and State Governments: The participation of State or
It is hard to envision any major water resource local governments in the corporation's organization
problem which would not have a sufficient Federal and policy formation, even if such non-Federal
interest or interstate effect to support Federal legisla- representatives have voting control, would not pre-
tion. 34 Given such a Federal interest, a federally clude the Congress from endowing corporations with
chartered corporation can be utilized as the adrnin- the status of an agency of the Federal Government
istrative vehicle for carrying out these responsibilities. any more than it precluded it from designating the
In addition, there is no legal inhibition in providing Delaware and Susquehanna River Basin Commissions
that a majority of the member/stockholders of the as Federal agencies for certain purposes. Designation
corporations, with majority control over the corpora- as a Federal agency normally will not be dispositive
tions' affairs, may consist of persons chosen by and of the powers which the corporations could be
responsible to the States or their subdivisions rather assigned to perform, but it could in some situations
than to Federal officials or private parties as in the give them additional strength. Thus, such a classifica-
case of Comsat and the other corporations referred to tion might facilitate assumption by the corporations
above. of Federal regulatory functions (including the
The possibility that the Federal Government or an developing and enforcement of comprehensive plans),
agency thereof will be a member of the corporation and probably make their securities more easily
or that the corporation might be classified as an marketable, whether or not such obligations were
agency of the Federal Government does not require a guaranteed by the Federal Government.
different conclusion. The legal problem here is A more significant problem concerns the ability of
essentially the same as that presented by the request a federally chartered corporation to exercise State
for congressional approval of the Delaware River governmental authority. Since an interstate compact
Basin Compact, where the Federal Government was is by definition an agency of the compacting States,
to have only one-fifth of the voting strength of the whether or not the Federal Government is also a
Commission and could have been bound in a number participant, it is in a position to exercise State
of important respects by a majority vote of the State governmental powers. The authority of the individual
members. At that time, a detailed study was prepared States to endow a federally chartered water resource
of the power of the Federal Government to delegate corporation with State governmental powers is, how-
its governmental responsibilities to such an entity. 35 ever, primarily a matter of individual State constitu-
The study concluded that the Congress had authority tional law.
to commit the Federal Government to such a One answer -to the question of endowing a
minority status. federally chartered corporation with necessary State
While Federal legislation can authorize specified governmental powers could be to draft the Federal
Federal officials to act with representatives of the enabling legislation in terms of granting advance
States or their subdivisions to establish the corpora- congressional consent to two or more participating
tions, additional implementing legislation by the States (together with the Federal Government) to
participating States will be essential to provide for the enter into compacts to establish a corporation, or to
participation at the State level. Even where broad become members in an already chartered corporation.
Another possibility, discussed in greater detail below,
"Compare, Federal Power Commission v. Union Electric is to provide by interstate compact that federally
Co., 381 U.S. 90 (1965).
3 5 U.S. CONGRESS, Senate (1961). Delaware River Basin chartered corporations can be established directly by
Compact, Senate Report No. 8S4, 87th Congress, 1st existing or future interstate or Federal-State compact
Session. U.S. Government Pfinting Office, Washington, organizations such as the Delaware and Susquehanna
D.C. pp. 36-48. River Basin Commissions.

428

Financing Powers of Federally Chartered Water Re- It is conceivable that the State legislation could
source Corporations: Where the functions of a water provide that, with the consent of the State's repre-
resource corporation can be self-sustaining through sentatives on the corporate board, the corporations
project revenues or user fees, financing problems would have limited authority to levy taxes within
would not appear to be serious. It is clear that such that portion of its area of operation lying within the
corporations can be granted authority to issue State's boundaries, if concurrent action were taken to
revenue bonds or any other securities resting on the impose similar taxes upon the affected citizens of the
credit or property of the corporation as contrasted other participating States. But in this situation the
with that of the Federal or a State government. It also taxing authority for a region would be exercised by
seems clear that the Congress, if it wishes, can pledge appointed officials with little or no political responsi-
the credit of the United States as a guarantor of the bility to the region. Alternatively, State legislation
securities of a federally owned or chartered corpora- might provide for the simultaneous establishment of
tion utilized to achieve purposes for which Congress special taxing districts within each State. However,
can appropriate money. Or, as in the case of the the corporations would then be dependent upon
Federal National Mortgage Association, provision outside action for this part of their financing.
could be made for Federal purchase of the corpora- As a practical matter, operations of water resource
tion's securities. 36 corporations, or of any other type of water resource
Since some water resource operations may not be organization, which are not self-financing and self-
self-sufficient, or only partly self-sufficient, the ques- supporting, may have to depend primarily upon
tion arises as to whether there is any other mech- grants. Where such grants are part of regular ongoing
anism available to relieve them of dependency upon programs, and the Federal and State authorizing
Federal or State grants or annual appropriations. The legislation for the corporations provide that the water
requirements of the United States Constitution, that resource corporations may be the beneficiaries of
direct Federal taxes be apportioned among the States such grants, some of the worst features of the annual
and indirect taxes be uniform in their application, appropriation system may be mitigated?l If grants
present serious if not insurmountable problems with for water resource activities are made directly to the
respect to the availability of any Federal tax falling States with a minimum of Federal guidance, action at
upon the local or regional beneficiaries of a particular the State level will be required to provide the
water resource corporation. Even if it were to be corporations with any assurance of continuing funds.
determined that the legal authority existed, it seems And to the extent that the Federal or State grants call
most unlikely that the Congress would delegate any for matching funds by the ultimate recipient, it may
portion of its taxing authority to any corporation, be necessary to provide in the authorizing legislation
particularly one in which the Federal Government that the corporation can raise such funds by con-
would not have the controlling voice. tracting in advance with local governmental or private
Can a federally chartered water resource corpora- groups to purchase its services for the period neces-
tion exercise State taxing authority? There is no sary to pay off the corporate debt.
simple answer to this question, even assuming that
the States could and would designate the corpora- The Likelihood of Securing General Authorizing
tions as State instrumentalities. There are numerous Legislation: There is no history of Federal legislation
State constitutional limitations on the exercise of authorizing specified Federal and State officials to
State taxing authority by."municipal corporations" establish an indefinite number of corporations
or other local or regional State bodies; to what extent throughout the country to perform specified func-
they would apply to a particular water resource tions when and if they believe such action would
corporation will depend on the law of the particular serve congressional objectives. On the contrary, the
States involved. Over and beyond such limitations, a
question is presented as to how the taxing authority 37 The grant program for the construction of treatment
of each of the States involved can be simultaneously works authorized by Section 201(g)(1) of the Federal
invoked by, or on behalf of, a multistate water WaterPollution Control Act, P.L. 92-500, Oct. 18, 1972,
resource corporation. 86 Stat. 816, 834, 33 USCA 128 1(g)(1), provides for grants
to interstate and intermunicipal agencies, as well as to
States and municipalities, financed through an authoriza-
3 tion of contract authority. Such grants could provide an
6 See 12 USCA 1716b-1719. adequate source of financing.

429

1945 Government Corporation Control ACt3l re- to such self-supporting operations appears to be
flects the reluctance of the Congress to permit unduly restrictive.
Federal officials to shield activities from congres- Even where a water resource entity is dependent in
sional control and scrutiny by utilization of the whole or in part on grants or annual appropriations
corporate device. But the various situations in which from the participating governmental bodies, a public
Congress has granted advance consent, sometimes in corporation might well constitute a viable mechanism
fairly general terms, to the States entering into by which governmental units could act together to
interstate compacts not yet negotiated, and without plan for and carry out one or more assigned opera-
limitation upon the number or grouping of participa- tional tasks. The basic problem in both the planning
ting States, indicates that it might also be willing to and regulatory areas is whether a corporation's
give advance authority to the establishment of water enhanced independence may not be at the expense of
resource corporations. Resort to general legislation the essential political accountability and respon-
would, initially at least, almost certainly carry with it siveness of any entity clothed with governmental
a restriction on the scope of activities which could be regulatory power. This problem could be enhanced
performed by any federally chartered corporation substantially if a governmental agency responsible for
established thereunder to those expressly specified in comprehensive planning or regulation also is author-
39
the authorizing legislation. In addition, any general ized to conduct some, but not all, of the operational
Federal legislation will be effective only if the functions within its area.
constitutions and laws of the States involved The problem of political accountability and re-
authorize the States, or their local governmental sponsiveness could be somewhat mitigated by pro-
units, to participate in such interstate organizations. viding that the directors of the corporation be chosen
by and be accountable to the President and
Functions to be Included in a Water Resource Governors of each State (or, to the extent lesser
Corporation: Subject to the various considerations governmental entities of a State were directly repre-
discussed above, there are no insurmountable legal sented, by the chief elected officials of such entity).
barriers to legislation casting virtually all water But this remedy, or the more extreme one of having
resource agencies into the corporate mold. There the corporate board members elected by the populace
appear to be practical or policy reasons, however, of the area they serve, not only will be at the expense
why some functions lend themselves more to the of operational flexibility and continuity, but would
corporate form of administration than others. be of doubtful utility unless such nominated or
Water resource activities can be said to fall into elected members of the board of the corporation
three broad categories: (1) comprehensive planning; devote full time to their activities as board members.
(2) construction, operation, and maintenance of par- If, instead, they perform the normal part-time role of
ticular projects; and (3) regulation of various uses and corporate directors, it seems clear that the full-time
users of waters. Most conventional thinking has corporate officers with only indirect political re-
considered that public authorities operating in corpo- sponsibility will normally become dorninant.
rate form best fit the second of these functional types Such considerations could lead to a decision to
and then, perhaps, only where such operations are restrict the specific responsibilities of any water
self-supporting. Rigid limitation of the corporate role resource corporations to Operational functions,
including the internal planning necessary for such
operations. Among possible types of operation, water
38 P.L. 248, 79th Congress, Title 111, December 6, 1945, 59 supply and sewage treatment and disposal are obvious
Stat. 602, 31 USCA 869. candidates since they can be self-supporting in whole
Thus, in giving its consent to the compact establishing the or major part. And federally chartered corporations
Bi-State Development Agency, in the St. Louis-East St. might play a useful role as sales or purchase agents, in
Louis area of Illinois and Missouri, the Congress added a
proviso expressly requiring its approval before the Agency the event there are major interbasin water transfers
could assume any powers beyond those specifically among private and public parties within a single basin
provided for in the original charter. See P.L. 743, 81st but involving more than one State. Finally, other less
Congress, August 31, 1950, 64 Stat. 571, 30 USCA 603. self-sufficient functions related to water management
(The compact agreement as tendered to Congress had such as recreational or fish and wildlife development
provided that the Agency could assume such new
functions as might be conferred on it by concurrent or even the furnishing of flood control and naviga-
legislation of the two States.) tional aids might fit the corporate mold, either as an

430

adjunct to revenue -producing activities, or independ- executive and legislative branches of the Federal
ently if the appropriate financial base could be Government can be persuaded that they need have no
established. fears of river basin compact cominissions taking over
On the other hand, because of the problems of control of waterway management at the expense of
political accountability and responsiveness, two signi- significant Federal interests, action to establish addi-
ficant areas of water management, water pollution tional river basin compact commissions undoubtedly
control and flood plain management, would appear to can be expedited. It does not appear, however, that
be particularly unsuited to the corporate form of the use of the corporate form of organization could
agency organization. These areas are essentially significantly accelerate this process.
regulatory in nature and are concerned primarily with The corporate device might be useful as an
imposing restraints and obligations on existing private organization ancillary to Federal-State interstate com-
entities in and around the waterway. For the same pacts. Thus, future compacts should be drafted to
reasons, the corporate form seems unsuited to com- provide that the commissions established thereby
prehensive river basin planning responsibilities where could themselves establish either State or federally
the approved plan must be adhered to by all public chartered corporations to perform discrete opera-
and private interests operating in the waterway. tional tasks within their delegated powers where the
commission believes they could be more efficiently
undertaken by a separate corporate agency. These
Federally Chartered Corporation as a Substitute subsidiary corporations should not be limited to the
for or Adjunct to a River Basin Authority Established same member-participants as the commission itself.
by Interstate Compact On the contrary, one of the principal advantages of
authorizing the commissions to establish corporate
Does the federally chartered corporation have a offspring would be to permit local or municipal
role if the type of comprehensive river basin bodies along the waterway to assume direct responsi-
authority, exemplified by the Delaware and Susque- bility for operational tasks which are not of im-
hanna River Basin Commissions, is the optimum mediate interest to all of the commission's participa-
organizational device for waterway management? Such ting States, or to the areas of the river basin remote
river basin commissions hitherto have been the from particular projects.
product of Federal-interstate compacts adopted by
the legislatures of the participating States after
extensive periods of negotiation. The compacts then Prospects for Single or Liniited Function Water
have been subjected to further intensive congressional Resource Corporations
study, and their subsequent ratification by the Even if federally chartered corporations are not the
Federal Government in all cases has been accom- optimum organization for broad-based water resource
panied by a large number of conditions and reserva- agencies covering an entire river basin, there may well
tions, which could well result in future controversy be a place for such corporations to perform discrete
and litigation. operational functions for two or more governmental
Would any of these delays and ambiguities be units in different States or where Federal and State
avoided if the Federal Government were to take the interests in a particular problem are sufficiently great
lead in encouraging the establishment by such entities to require joint operational control.
of federally chartered membership corporations in While there might be exceptional situations where
which the Federal and State governments would play all Federal participation could be dispensed with, it
essentially the same relative roles they do in the river seems clear that Federal enabling legislation will
basin commissions established by compact? A neces- generally prove to be essential, at least to the securing
sary corollary inquiry is whether use of the corporate of any debt financing required by the proposed
device under such circumstances would create addi- agency. Some agreements between States do not
tional problems not inherent in the utilization of require congressional approval under the compact
interstate compacts. clause 40 and a number of operating "interstate
The first question, it seems clear, must be answered compacts" have never received congressional
in the negative. The delays and ambiguities involved
in Federal-interstate compacts would not be avoided
by the alternative use of the corporate device. If the See Virginia v. Tennessee, 148 U.S. 503 (1893).

431

approval.' ' But the touchstone for determining the agement field without at least a minority Federal
validity of such extra-constitutional compacts is presence on the board, the availability of the corpo-
whether the subject matter of the agreement impinges rate route may still be attractive in some situations. If
on Federal or national interests. In the interstate the Federal authorizing legislation permits the local
water management area the Federal Government has governmental bodies to act directly, without having
long been recognized to have a direct and continuing to await the necessary State and Federal action
interest, and it is difficult to envision that Congress in required to effectuate an interstate compact, the
the foreseeable future would be prepared to withdraw necessity of accepting minority Federal nominees on
completely from the field. the corporation's board of directors may be con-
The need for Federal legislative authorization for a sidered the lesser of two evils. This would be
limited function interstate water agency does not also particularly true if the option afforded localities to
connote a need for direct Federal participation in the join in creation of such a federally chartered corpora-
corporation. The Federal interest may be adequately tion were tied either to a Federal grant of funds for
protected by specific mandatory or prohibitory capital investment, or to some other Federal benefit.
language written into the enabling statute. Con-
versely, State and local governmental bodies may be Conclusions on Federally Chartered Regional Corpo-
extremely reluctant to establish corporations for rations
carrying out essentially local functions, if they can do
so only at the expense of Federal participation in the There are no insurmountable legal barriers to the
management of the corporation. This inhibition on utilization of the federally chartered corporation as
local participation would appear to be particularly an administrative device for resolving water manage-
strong if the Federal representative would exercise ment problems involving joint efforts by two or more
voting control or have a veto over the corporation's States (or the local governmental subdivisions of two
actions. or more States) in which the 'Federal Government
There are a number of federally chartered corpora- also has a legitimate interest; however, unless the
tions, including Comsat and the Railroad Passenger corporation is approved by, or itself stems from, an
Corporation, which have been organized to perform interstate compact, it may not be able to exercise
vital public functions in which the United States has some of the governmental powers of the participating
an interest, which are not classified as Federal States.
agencies and in which the Federal Government does The corporate device, because of its flexibility and
not participate in a managerial capacity and appoints relative isolation from political control and responsi-
only a minority of "public" members to the control- bility, lends itself best to operational tasks rather
ling board. There is no existing situation, however, than planning or regulatory activities intended to be
where a federally chartered corporation, established binding upon outside parties.
to perform important public functions, has no Fed- Utilization of federally chartered corporations as a
eral nominees among its directors. It seems unlikely substitute for Federal-interstate compacts normally
that the Congress would be prepared to charter any will not expedite materially the formation of broad-
corporation as a Federal agency without at least some scope waterway agencies like the Delaware River
federally appointed directors. However, it might be Basin Commission. However, the federally chartered
willing in specific cases to authorize two or more corporation, as an alternative method of organizing
localities in separate States to organize a federally such agencies, might prove useful in isolated situa-
chartered corporation, which would not be a Federal tions. Consideration should be given to authorizing
agency and over which it would exercise no con- river basin commissions, which have been or will be
tinuing control, to perform discrete operations of a established by compact, to themselves establish sub-
limited nature such as regional water supply and sidiary corporations. These could perform the dis-
wastewater treatment functions. crete operational tasks which otherwise are likely to
be subordinated to the river basin commission's
Even if Congress is not prepared now to authorize planning and regulatory activities, and which the
a federally chartered corporation. in the water man- commissions may not be as well equipped to perform
themselves as through subsidiary corporations estab-
See, eg., the Southern Regional Education Compact, lished for the specific tasks.
upheld, McCready v. Byrd, 195 Md. 131, 73 A.2d 9 Federally -chartered corporations, with or without
(1950). direct membership by respresentatives of the Federal

432

Government, can play an important role in facili- governing bodies if at least one is located in
tating joint efforts by the local governmental units of a different State, to form corporations, or
two or more States sharing a waterway to handle such become a member of an existing corpora-
limited functions as water treatment and supply. In tion, for the purpose of carrying out discrete
view of the Federal interest in such waterways and water resources operation and management
the historical precedents in the water resources field, functions. Such corporations could be char-
resort to reciprocal State legislation, without any tered under either Federal or State law, with
Federal legislative input, would not generally appear or without Federal membership. The con-
to be feasible. There would appear to be some real gressional legislation should specify the
hope in this more limited area for general Federal terms and conditions under which such
enabling legislation. corporations may be established and may
operate.
11-24. Legislation should be enacted to enable
Recommendations on Federally Chartered Regional future or existing interstate or Federal-
Corporations interstate water compact comniissions, such
as the Delaware or Susquehanna River Basin
11-22. Legislation should be enacted granting ad- Commissions, to establish corporations,
vance consent to two or more States to enter chartered under either Federal or State law,
into a compact to establish a corporation to for the purpose of carrying out discrete
carry out limited water resources operation water resources operation and management
and management functions, such as water functions within the delegated powers of
supply and wastewater management. Such such commissions. These subsidiary corpora-
legislation should spell out the terms and tions should not be limited to the same
conditions under which such corporations member-participants as the commission's
may be established and operated. member-participants. The States involved
11-23. Legislation should be enacted to enable two should also pass appropriate enabling legisla-
or more States, or two or more local tion.

---------------- Section E

The Great Lakes

The Great Lakes are a major natural resource of tion, and sites for residences, parks, and industrieS.4 2
North America and of inestimable value to Canada Yet, these uses and the development and protection
and the United States. The Lakes, their connecting of the Lakes' resources are not subject to coor-
waters, and the St. Lawrence River provide a water- dinated, basinwide management.
way of almost 2,000 miles extending into the Various agencies of two nations, eight States, one
heartland of the continent from the North Atlantic Canadian province, 191 U.S. counties, and thousands
Ocean. The region is rich in extensive forests and of municipalities and other governmental units are
farmlands and contains vast mineral deposits. The concerned with decisions and activities affecting
combination of a ready transportation route, vast various components of the Great Lakes system. The
resources, and an abundance of high-quality water Commission is concerned that the existing arrange-
favored early settlement of the region and the ments are needlessly overlapping and uncoordinated.
development of industries and large metropolitan There is no defined hierarchy or chain of command
areas. running through these agencies, nor could there be,
The Lakes and the adjacent lands serve numerous, considering the variety of governments, functions,
sometimes conflicting, uses: domestic and industrial
water supply, transportation, waste disposal, power "Pollution problems of the Great Lakes are discussed in
generation, fisheries (commercial and sports), recrea- Chapter 4.

433

Agar-,
Air
W.

"'A
now

IV it.

-Nt

Af
A
JAL

%A 10

Soo Locks Complex of the U.S. Corps of Engineers facilitates navigation on the Great Lakes

goals, and constituencies involved. However, the sacrificing representation of the diverse interests
Commission believes that basinwide management is within the basin. Fundamental improvements are
needed, that existing programs affecting the Great needed in two fields: institutional arrangements for
Lakes can be better integrated, that needed new managing the uses and quality of the Great Lakes,
measures can be undertaken, and that the present and analytical tools for predicting the full range of
overlap among agencies can be reduced, all without effects of different management measures.

434

INSTITUTIONS43 tional agencies in making its investigations and
discharging its operating responsibilities. Moreover,
Existing International Arrangements because of the lirnited autho 'rity it has been given, the
IJC has had to pursue its objectives by patient
The International Joint Commission (IJC) was negotiation, persuasion, and the building of a con-
created pursuant to the Boundary Waters Treaty in sensus.
1909. It is empowered to make binding rulings on The Great Lakes Fisheries Commission, established
any "applications" brought before it concerning the by the 1955 Convention on Great Lakes Fisheries,
use, diversion, or obstruction of flow of boundary has the responsibilities of formulating and coordi-
waters by one nation which might affect the level or nating research programs on needed measures to
flow of boundary waters within the other nation. It produce maximum sustained productivity of certain
also is authorized to investigate and make advisory fishes and a program of sea lamprey control. There-
recommendations on any problems referred to it by fore, it has a limited subject matter mandate.
either of the Federal Governments. The IJC utilizes
boards of technical advisors to investigate problems Existing Arrangements Within the United States
addressed to it and to oversee the operation of works
constructed on its approval in response to an applica- The Great Lakes Commission (GLC) was created
tion. pursuant to a 1955 interstate compact among the
The Boundary Waters Treaty provided that the Great Lakes States; congressional consent to the
boundary waters should not be polluted to the injury compact was granted in 1968, with certain reserva-
of those on the other side of the boundary. In order tions. The authority conferred upon the GLC by the
to implement this provision, the United States and Great Lakes Basin Compact is perhaps the most
Canada executed a Great Lakes Water Quality Agree- limited in the water resources field. The purposes of
ment in 1972, after months of negotiation. This the compact include the promotion of "the orderly,
agreement specifies certain water quality objectives, integrated, and comprehensive development, use, and
such as desirable levels of dissolved oxygen for the conservation of the water resources of the Great
Lakes, and describes pollution control measures which Lakes Basin" and planning "for the welfare and
the two governments are to undertake. The IJC, development of the water resources of the Basin as a
assisted by a newly formed Water Quality Control whole as well as for those portions of the Basin which
Board of Canadian, U.S., State, and Provincial en- may have problems of special concern." However, the
vironmental officials, is currently undertaking its authority of the GLC is limited to considering
expanded programs to implement the objectives of problems and making recommendations. The com-
the Agreement. It is responsible for collecting, analyz- pacting States (the Federal Government is not a
ing, and disseminating water quality data and for party) agreed only to consider the GLC's recom-
recommending further water quality measures to the mendations."
parties to the Agreement. The Great Lakes Commission serves valuable func-
The International Joint Commission has been fairly tions in assembling data and information, in pro-
successful in the missions which it has undertaken. It moting the common interests of the member States,
has been accepted by both nations, and has con- and in seeking assistance and cooperation from the
ducted its business in a sensitive manner. However, Federal Government in overcoming obstacles to the
provided with only a skeleton staff and a minimum proper development and conservation of the water
budget, it has had to rely almost entirely upon service resources of the basin. However, it is inadequately
contributions of State, provincial, Federal, and na- financed and staffed and, more importantly, lacks the
necessary authority to act as a management entity
"For general background, see KELNHOFER, Guy J Jr itself or effectively to integrate the programs of other
(1972). Preserving the Great Lakes, prepared for the units of government. Furthermore, its membership is
National Water Commission. National Technical Informa-
tion Service, Springfield, Va., Accession No. PB 211 442, 44 Great Lakes Basin Compact, 1955, pp. 177-183, in U.S.
and CRAINE, Lyle E (February 1972). Preliminary Draft CONGRESS, House (1968). Documents on the Use and
of Final Report on Institutional Arrangements for the Control of the Waters of Interstate and International
Great Lakes, A Report to the Great Lakes Basin Streams, Compacts, Treaties, and Adjudications, 90th
Commission. Mimeo, Great Lakes Basin Commission, Ann Congress, 2d Session, House Document No. 219. U.S.
Arbor, Mich. Government Printing Office, Washington, D.C.

435

limited to the States, so that the important Federal Improving Institutional Arrangements
programs and interests are not directly represented. The Commission has concluded that existing en-
The Great Lakes Basin Commission (GLBC) is a tities, for the most part, are meeting their responsi-
river basin commission established in 1967 pursuant bilities adequately. The missing link seems to be a
to the Water Resources Planning Act. It has a Federal
chairman and a number of Federal members, in- mechanism for providing overall policy guidance to
cluding the Department of State, representing integrate the things being done.
agencies concerned with the basin, in addition to the This conclusion does not mean that the solution to
State members. Membership of the Department of the problems of the Great Lakes is simply to
State establishes a relationship between GLBC and superimpose upon or to supersede the existing com-
IJC. The Great Lakes Commission is also a member of plex of institutions with a new super agency given
the GLBC. extensive management powers. The Commission be-
The GLBC has as its principal function the lieves that new arrangements should be structured so
preparation and maintenance of a comprehensive as to account for the diversity of Great Lakes basin
coordinated joint plan for Federal, State, interstate: problems and the local nature of many of them.
local, and nongovernmental development of the water Furthermore, new arrangements should recognize the
and related land resources of the basin. It currently is existing institutional realities within the basin. The
developing a comprehensive framework study. How- numerous governmental entities are independent in
ever, its planning is handicapped by the lack of clear large measure from each other; many have and
policy guidelines, the absence of a regional policy probably will retain a legitimate interest in aspects of
body to which its planning might be related, and the Great Lakes problems. The decision rules which
rule of consensus which it respects for decisions. In govern the dealings among the various entities are at
its coordinating role, the GLBC is dealing with least as important as the formal structure which may
entities at different levels of government, not re- be designed.
sponsible to a single source of authority. It performs Many different approaches have been suggested for
information, counseling, and persuasion activities, dealing with the institutional problem of the Lakes.
important in their own right, but lacks management The proposals range from (1) intensifying coordi-
authority. nation and information-exchange efforts of existing
The Upper Great Lakes Regional Commission was organizations; to (2) creating a Great Lakes Policy
established following the designation of an area Council to formulate regional policy, which would
within Michigan, Wisconsin, and Minnesota as an be implemented in part by management agencies
economic development region under the Public Works chartered by the Council for specific situations, or a
and Economic Development Act of 1965. This Great Lakes Adjudication Council which would be
Commission has one Federal member and three State analogous to a legislative court and make policy by its
members, the State Governors or their designees. Its decisions in particular controversies -16 to (3) estab-
major function is to promote the economic develop- fishing five separate councils to focus attention on
ment of the region. Through a planned program of each of the separate takes and coordinating the work
public investments, the Commission seeks to stimu- of these councils and of other organizations whose
late private investors to establish enterprises that will activities have broad impact through a Great Lakes
Council on Environmental Management` to
provide employment opportunities for the regional I
labor force. (4) adopting a new Federal-interstate compact to
There are a number of other significant institu- establish a strong basinwide agency with extensive
tional arrangements, either single government or
intergovernmental, which bear upon the use and
protection of the Great Lakes, but space does not
45 ""See CRAINE, Lyle E (February 1972). Preliminary Draft
permit a full description . of Final Report on Institutioiial Arrangements for the
Great Lakes, A Report to the Great Lakes Basin
Commission. Mimeo, Great Lakes Basin Commission, Ann
Arbor, Mich. Part IV.
4 5 For a more complete description, see KELNHOFER, Guy 41 See KELNHOFER, Guy 3 ir (1972). Preserving the Great
J Jr (1972). Preserving the Great Lakes, prepared for the Lakes, prepared for the National Water Commission.
National Water Commission. National Technical Informa- National Technical information Service, Springfield, Va.,
tion Service, Springfield, Va., Accession No. PB 211 442. Accession No. PB 211442. pp. 5 6-6 1.

436

management powers within the United States' por- of a funding pool, chartering of subarea management
tion of the Great Lakes basin. 48 agencies where needed for specific problems, and
The States and the Federal Government alike have serving as a voice for common Great Lakes interests.
strong interests in the uses, development, and protec- 3. The decision rules which must govern the
tion of the Great Lakes. The Commission believes relationships of the existing entities with each other
that the Federal-interstate compact is a flexible and with any new entities.
device to accommodate these interests and to provide 4. The questions of representation on any such
both policy guidance for existing programs and a entity: the types of interests that should be repre-
structure for new management arrangements where sented, the number of representatives, and the
existing ones are insufficient. Accordingly, the Com- methods of selection.
mission recommends that a joint Federal-State task 5. The ways in which such a policy entity might
force undertake the negotiation of an appropriate implement policy, where necessary, itself or through
compact. If diversity of interests among the States new management entities responsible to the policy
would impede their initiating the task force, the body.' 9
Federal Government should take the lead. More than two-fifths of the Great Lakes basin lies
The compact should create a basinwide agency in Canada. It is not practical, therefore, to make plans
with power to plan for the basin and to implement for the Great Lakes without considering how Cana-
the planning by integrating and directing manage- dian authorities will be brought into the planning. It
ment. Such an agency likely would replace both the is not practical, either, for the United States to
GLC and the GLBC, since its broader authority attempt to define for Canada the role that country
would encompass the present functions of the two should play in these planning operations. Canada and
existing agencies. the Province of Ontario have their own views about
Beyond this point, the Commission believes that it the proper use and development of the Great Lakes
is not appropriate to suggest the content of the and about the conduct of Canadian-United States
compact or the structure of the resulting institutions. relationships.
Clearly, it will not be sufficient simply to copy a The United States would be well advised, there-
structure adopted in another basin. The resulting fore, to pursue its own institutional arrangements for
arrangements should be a product of negotiations governing the development of its portion of the
among the interested parties, responsive to the needs Lakes, but in such a way as to encourage eventual
of their constituencies, and tailored to perform Canadian participation, perhaps through parallel
functions which are now unperformed, through real- organizations for its portion of the Great Lakes. This
istic relationships and decision rules. type of evolutionary approach seems to offer a
Without attempting to specify the details of any more viable way to improve international cooperation
institutional arrangements which the task force should on the Great Lakes than attempting a direct appeal
produce, the Commission does recommend that they for the establishment of a new binational arrange-
include the following matters in their deliberations: ment.
1. The proper jurisdiction of any entity which
might provide policy guidance for the basin. Specifi- MANAGEMENT
cally, to what extent should such an entity concern In making plans and assessing managenient strat-
itself with water-related land uses? egies for the Great Lakes, there is a need for reliable
2. The functions of such an entity, considering and economical ways to test the effectiveness of
such matters as the establishing of basic policy, alternative proposals before they are adopted. A
development of a framework plan, promulgation of cut-and-try approach is not workable in the Great
environmental standards, monitoring, the operation Lakes; it takes so long for the volume of water
currently in storage in the larger lakes to flow
"'See, for example, the draft compact developed by the through, that as much as a hundred years might pass
Great Lakes Commission. SUBCOMMITTEE OF THE before the full effects of particular management
SPECIAL COMMITTEE ON GLC ACTIVITIES (1968).
Proposed Federal-State Compact, Initial Draft of the "C6mpare, CRAINE, Lyle E (January 1972). A Summary
Subcommittee of the Special Committee on GLC Report on Institutional Arrangements for the Great Lakes,
Activities as of July 1, 1968. Great Lakes Commission, A Report to the Great Lakes Basin Commission, Mimeo,
Ann Arbor, Mich. Great Lakes Basin Commission, Ann Arbor, Mich.

437

policies could be demonstrated. Here is where it incomplete and inconsistent data base, insufficient
would be helpful to have models that would simulate knowledge of interactions among the biota, water,
the action of the Lakes and allow the responses, and sediment, and the multiplicity of processes that
beneficial and adverse, to be traced through the Lakes must be considered. Finding no regional planning
system. These models would help planners and models interrelating the physical, chemical, and bio-
managers to predict the effects of alternative regula- logical processes in the Lakes, several GLBC member
tory actions and development plans. agencies joined in undertaking a Limnological
Hundreds of studie s-rese arch, data gathering, Systems Analysis in 1969 to investigate the level of
monitoring, predicting-have been conducted on the mathematical simulation which might be most useful
511
Great Lakes, providing data which can be used in a in evaluating the effects on the Great Lakes of
modeling program. Moreover, a modeling program alternative management strategies. The first phase, a
can channel future study by identifying matters on combined feasibility and design study, was completed
which more information is needed. recently." The second phase, which would be based
Several existing models suggest the promise of a on the findings of the first study, is projected to
broader modeling program as a management tool. A include modeling, data assembly, and the develop-
simple chemical budget model has been developed to ment of a water resources plan.
investigate the response of the Lakes to alternative The GLBC's contractor for the first phase con-
chemical loadings and to estimate how the Lakes will cluded that a broader, interrelated modeling program
respond to the 80 percent reduction in phosphate is feasible and has recommended the use of Great
loading that enforcement conferences have recorn- Lakes scale models to simulate the effects of con-
mended for Lake Michigan and the lower Lakes. sumptive use of the Lakes' waters and of increased
Working with the model, it was determined that, with fertilization. The contractor also recommends a
the exception of Lake Ontario, 80 percent treatment eutrophication model, models to simulate water
is not sufficient to maintain a phosphorous concen- quality effects of discharges and runoff, and a food
tration of 0.005 mg/liter, used in the study as a chain model on a lakewide or regional scale -
reasonable level to stabilize plant production in the The Commission supports further steps toward
Great Lakes. increasing our understanding of how the Lakes
... treatment levels must be in excess of 90 function, to facilitate the choice of the best manage-
percent. With population growth, loss from ment strategies. The modeling techniques being
uncontrollable sources, and release from the developed by the Great Lakes Basin Commission
biota and sediment, even higher levels of treat- show promise, and the Commission believes that they
ment will be required." should be pursued. The GLBC has budgeted just over
Two operating forms of a hydrologic balance $3 million for Phase Two of its Limnological Systems
model are in current use in the Great Lakes by the Analysis, over 4 years, with $2 million to be spent on
Corps of Engineers to predict lake levels for 6-month the development and use of models. Although it
periods and to test various lake regulation alter- requested Federal funds in Fiscal Years 1972 and
natives. Models for indicator bacterial groups afe 1973, none were forthcoming. The State members of
being applied in the Great Lakes by the University of the GLBC have contributed $80,000 for the Limno-
53
Michigan Sea Grant effort. logical Systems Analysis through Fiscal Year 1973.
A Great Lakes Model - Understanding How the Recommendations on the Great Lakes
Lakes Function
. The Great Lakes Basin Commission has turned to 11-25. The President should work with the Gov-
modeling techniques in its planning. In its framework ernors of the Great Lakes States toward the
planning study, the GLBC found that it was con- creation of a Great Lakes task force to
strained in assessing planning alternatives by an
52 HYDROSCIENCE, INC@, Westwood, N.J. (1972). Sum-
"See GREAT LAKES BASIN COMMISSION (1972). Great mary Report; Limnological Systems Analysis for the Great
Lakes Environmental Planning Study, Preliminary Plan of Lakes, prepared for the Great Lakes Basin Commission.
Study. Great Lakes Basin Commission, Ann Arbor, Mich. Great Lakes Basin Commission, Ann Arbor, Mich.
5'UPCHURCH SB & ROBB DGN (Apn*l 1972). Mathe- -53GREAT LAKES BASIN COMMISSION (1972). Great
matical Models: Planning Tools for the Great Lakes. Water Lakes Environmental Planning Study, Preliminary Plan of
Resources Bulletin 8(2):338-348. Study. Great Lakes Basin Commission, Ann Arbor, Mich.

438

negotiate and obtain consent to a Federal- 11-26. Federal funds for research should be al-
-interstate compact especially designed to located to the Great Lakes Basin Commis-
suit the unique circumstances of the Great sion or its successor over a period of at least
Lakes Basin, including provisions for even- 4 years to develop improved methods for
tual cooperation with Canada on problems analyzing the impact on the Lakes of alter-
which transcend the international boundary. native management strategies.

439

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Chapter 12

Water Problems
of Metropolitan Areas'

Most of the water problems discussed in this growth in recent years has been in communities of
report-problems like water reuse, flood control, 25,000 to 100,000 persons on the fringe of existing
pricing, reservoir site preservation, pollution control, large cities. Some metropolitan areas have emerged
recreation, planning, and interbasin transfers-are and others have expanded through coalescence of
problems which occur everywhere in the country, in smaller communities or settlements. While in a few
humid areas and in and ones, in areas where the instances new towns and other unit developments are
economy thrives and in areas of poverty and unern- being built wherein residences, commercial establish-
ployment, and in urban as well as in rural settings. ments, utilities, and public facilities are planned
Many of these problems, however, have special, as together '4 in too many instances growth has meant
well as general, application. The solution of problerns sprawl.
of providing water services for metropolitan ar eas The water resources available to meet future
affects so many people, involves so much water, and metropolitan area needs are limited. The Nation's use
entails such large expenditures of money that it is one of water has increased by two-thirds from daily
such special application that deserves separate rec- withdrawals of just over 200 billion gallons in 1950
ognition and treatment. to an estimated 339 billion gallons in 1971 s Increas-
Seventy-five percent of the Nation's population ingly, cities are obliged to go outside their immediate
now lives in metropolitan areas comprising less than 2 metropolitan areas for sources of supply, even
percent of its area.2 Another 13 percent lives in beyond the river basins in which such cities are
nearby communities. By the year 2000, it is expected located.
that the proportion of the population in metropolitan The costs of providing metropolitan water services
areas will have grown to 85 percent.3 The most rapid are escalating rapidly. The replacement cost of
'As used in this chapter, the term "metropolitan area" existing urban systems to provide water services is in
refers to a geographic area in which there is at least one the vicinity of $175 billion and it is estimated that
city of 50,000 or more inhabitants. The area includes the some $15 billion per year will be spent in the next
city and all adjacent areas having a population density of few years for new construction. 6 Combined capital
1,000 or more persons per square mile. The term "urban" and other current expenditures in 38 of the Nation's
is used only in a general sense to mean nonrural. The tcrm
"water services" includes water supply and distribution for
domestic, commercial, and industrial use, sewage collec-
tion and disposal, and urban storm water drainage. 4RIVKIN/CARSON, INC. (1971). Population Growth in
2RIVKIN/CARSON, INC. (1971). Population Growth in Communities in Relation to Water Resources Policy,
Communities in Relation to Water Resources Policy, prepared fox the National Water Commission. National
prepared for the National Water Commission. National Technical Information Service, Springfield, Va., Accession
Technical Information Service, Springfield, Va., Accession No. PB 205 248.
No. PB 205 248. p. 1. -'U.S. BUREAU OF THE CENSUS (1972). Statistical
3PICKARD, Jerome P (1967). Dimensions of Metro- Abstract of the United States, 1972. [73rd edition] U.S.
politanism, Research Monograph 14. Urban Land Institute, Government Printing Office, Washington, D.C. p. 173.
Washington, D.C. 6AMERICAN SOCIETY OF CIVIL ENGINEERS (1968).
Urban Water Resources Research. National Technical
Information Service, Springfield, Va., Accession No. PB
Squaw Peak Water Treatment Plant serves burgeoning 184 318. Costs have been updated to 1971 using the
growth in the Phoenix, Arizona, area Engineering News Record index.

441

SMSA's' in 1969 for water supply and waste collec- WATER MANAGEMENT PROBLEMS
tion and disposal were estimated at $30.50 per capita The primary objectives of water management for
and represented 20 percent of total capital outlays metropolitan areas must be (1) to provide the three
and 4 percent of other current expenditures, respec- basic water services-water supply, wastewater col-
tively.' Both the amounts and percentages can be lection and treatment, and storm water manage-
expected to rise dramatically in the future to achieve ment-efficiently and effectively, (2) to make effi-
higher standards of water pollution control. cient use of scarce water resources, and (3) to lessen
Urbanization creates drastic environmental the disruptive and degrading effect of urban growth
changes. Landscapes are filled. Natural surfaces are and development on the urban environment and
dotted over with buildings and water-absorbing land water quality. In pursuing these objectives, metro-
is sealed with paving that accelerates and augments politan water planners and managers encounter
runoff. Some water flows are diverted, withdrawn, numerous obstacles and problems which vary widely
used, and discharged back to their watercourses as from area to area depending on the size of the
effluents. At the same time, people concentrated in population served, the geographic area involved, the
high-density complexes desire the amenities of open source of water supply, topography, climate, natural
space and water-related recreation. Water managers drainage, political boundaries, and a host of other
are going to be called increasingly to help furnish factors. The problems of most frequent occurrence
these amenities along with the basic water services are these:
they must provide to meet the demands of urban 1. Inadequate or unnecessarily costly service be-
developments. cause too many different water agencies are operating
Against this background of increased demand for within the same metropolitan area.
urban water services, rising costs, and competing 2. Poor integration of water supply, wastewater
claims for conserving and protecting the urban treatment and drainage services with each other and
environment, the Commission has attempted to with planning for the use and occupancy of land.
describe the most pressing metropolitan water man- 3. Insufficient attention to the nomitility aspects
agement problems. Three basic water utility services of providing metropolitan water se rvi ces -including
are provided in metropolitan areas-water supply, neglect of recreational, esthetic, and environmental
wastewater collection and treatment, and storm water values.
disposal. These services can often be improved 4. Inadequate data, particularly on current water
through geographic consolidations and joint admin- management practices in metropolitan areas.
istration of different functions or tasks involved in 5. Inability to finance future water needs of
supplying them. At the same time, good utility metropolitan areas.
management can help improve the quality of the 6. Inadequate institutions for managing metro-
urban environment. politan water services and for determining and repre-
senting metropolitan viewpoints in Federal, State,
regional, and multistate water resource management.
"Standard Metropolitan Statistical Areas (SMSA). The 7. Water pollution, a substantial portion of which
Nation's 247 SMSA's range in size from population comes from nonpoint-sources outside current pollu-
concentrations of only 60,000 to over 10 million. SMSA's tion control programs, particularly in growing com-
cover central cities, inner and outer suburbs and small munities.
communities in nearby rural surroundings. The SMSA's use 8. The encroachment of urbanization upon
county fines as minimum boundaries, and thus include
large nonurban areas, and should be differentiated from watersheds and the resulting deterioration of the
the term "metropolitan area" as used in this report. quality of water supplies.
RIVKIN/CARSON, INC. (1971). Population Growth in
Communities in Relation to Water Resources Policy, Consolidating Fragmented Water Services
prepared for the National Water Commission. National
Technical Information Service, Springfield, Va., Accession Providing each of the three basic water services-
No. PB 205 248. p. 30. water supply, wastewater treatment, and storm water
$RIVKIN/CARSON, INC. (1971). Population Growth 'in drainage -within a metropolitan area involves a
Communities in Relation to Water Resources Policy, number of tasks. For example, providing water
prepared for the National Water Commission. National supply may require collection, storage, transmission,
Technical Information Service, Springfield, Va., Accession
No. PB 205 248. p, 45. treatment, and distribution of water to users. Storm

442

water and wastewater management involves collection Total cost (amortization and O&M)
and interception of sanitary wastes and storm runoff, in cents per 1000 gallons for
conveyance through combined or separate sewers, given capacity of plant
treatment, and discharge. Coordination of the major
supply and disposal components serving different I m.g.d. 10 mg.d. 100 m.g.d.
parts of a metropolitan area system is desirable to
assure proper interconnections, capacities, pressures, Secondary treatment 19 11 6.5
and grade lines to avoid overdraft on sources of Nutrient removal
supply and to avoid overload on waste treatment (including solids) 26.8 14 8.6
plants. Removal of nutrients
Within a typical large metropolitan area there may plus nonbiodegrad.-
be hundreds of local jurisdiction s-citie s, towns, able organics 58 24 15.6
counties, and special districts-that divide responsi-
bility for management of the basic water services of
the area among them. For example, the Chicago
metropolitan area, comprising six counties and Cost estimates made for construction of one-plant
approximately 2,000 local units of government, has and t,hree-plant designs to serve the Joliet, Illinois,
349 separate water supply systems and 135 separate area showed that the one-plant design would cost
wastewater disposal systems. The City of Chicago about two-thirds as much as the three-plant design.' '
treats and delivers water from Lake Michigan to the Similar estimates for the Municipality of Metro-
City and about 70 suburbs. The Metropolitan Sani- politan Seattle showed that a two-plant design for
tary District of Chicago provides main interceptors sewage treatment and disposal would cost signifi-
and waste treatment plants for Chicago and 105 cantly less than alternative designs for five plants and
suburbs. 9 Myriad park districts, forest preserves, and nine plants serving the same area." Economies for
similar organizations have responsibilities for water- operation and maintenance (O&M) of treatment
oriented recreation and for providing and maintaining plants are as impressive as those for construction
open space. costs. Unlike construction costs, O&M costs continue
In some instances, where several agencies are for the life of a facility and represent a relatively high
authorized to provide the same service to different proportion of total cost. Estimated O&M costs for
parts of a metropolitan area, waste and inefficiency the Joliet one-plant design for the period 1970-2005
may result. Consolidation of the performance of one were less than half the estimated O&M costs for the
or more of the separate tasks in a single water service three-plant design for the same period."
throughout a metropolitan area, or some significant There are site-specific limits to the economy and
portion of it, may yield econornies of scale that have efficiency that can be achieved through areawide
not heretofore been captured by individual cities or consolidation. Both the degree of consolidation that
districts pursuing separate courses. may be efficient and the maximum size of a
Economies may be realized through construction consolidated system are subject to these limits. For
of larger facilities to serve larger areas. For example, example, analyses of sewerage facilities for Niagara
in an area where the source of supply, the location of County, New York, 14 indicated that a regional plan
distribution lines, and the required pressure zones of involving 10 plants would result in capital costs
individual localities permit it, a water treatment plant practically equal to those of an 18-plant scheme.
to supply 100 million gallons per day (m.g.d.) might Moreover, when O&M costs were included, it was
be built and operated more economically than 10 NORTHEASTERN ILLINOIS PLANNING COMMISSION
plants to treat 10 m.g.d. each. Similarly, a 10-foot (1970). Wastewater Report for the Outer Area. North-
diameter supply line will cost less per cubic foot per eastern Illinois Planning Commission, Chicago. pp. 7-16.
second of flow capacity than a 5-foot diameter line of 12 CORNELL, HOWLAND, HAYES & MERRYFIELD/HILL
the same length. There are comparable economies in (1971). Reevaluation of Metro Comprehensive Sewerage
waste treatment plants, as is demonstrated by the Plan. Cornell, Howland, Hayes & Merryfield/Hill, Seattle,
following data on treatment costs for reuse: 1 0 Wash.
"Costs for the one-plant and three-plant designs, respect-
'Report of the Special Master at 75, Wisconsin v. Illinois, ively, were $1.6 million and $3.7 million with the present
388 U.S. 426 (1966). worth of future O&M costs escalated at 2-1/2 percent per
"Chapter 7, Section H, Table 7-5. year.

443

shown that while cumulative costs over a 50-year In addition to direct savings in costs of construc-
period for an 18-plant scheme would be $358 million; tion, operation, and maintenance, areawide water
the same costs for the 10-plant design would be $340 distribution system interconnections can improve
million. Most interestingly, however, the study also operating efficiency and reliability. In some instances,
showed that further consolidation from 10 plants to lower pressures can be maintained for emergency
two plants would increase capital costs from $123 peak demands. Damage or malfunction in one part of
million to $173 million, and cumulative 50-year a system need not curtail service if that part can
annual costs would increase from $340 million to obtain supplies from other, unaffected parts of the
$420 million. system. Where several smaller treatment plants are
Detailed analyses of a number of systems in the placed under one management duplicated overhead
Dallas-Ft. Worth area indicated similar results.' 5 can be avoided and more specialized management
While partial consolidation in several areas that are skills may be obtained than might be available to
fully urbanized revealed savings of 3 to 10 percent, small, independent service agencies.
consolidation in suburban areas involving consider- Unlike main water supply facilities and wastewater
able open space would increase costs in some loca- treatment plants, the consolidation of distribution
tions up to 25 percent. Another study has demon- systems (for water) and collection systems (for
strated that there are actually disecononties of scale wastewater disposal) may not necessarily offer econo-
in facilities to transmit wastewa.ter if they are mies in scale. The distribution of water and collec-
designed to serve more than 100,000 people in a tion of sewage may be more costly where the supply
suburban setting. 16 and collection lines must be longer for a consolidated
In addition to the distance that sewage is trans- system than for separate systems. Although there
ported before treatment and disposal, there are other may be few economies of scale in construction of
fin-tits on economies of scale, such as topography, distribution and collection facilities, there can be
variations in the degree of treatment required at economies in standardization of equipment, material
different discharge points, and variations in demands purchases, specialization of crews, and higher quality
for reuse of treated water at different locations. For supervision.
example, cost-savings of a two-plant design for the The settlement and urbanization of lands along a
Seattle metropolitan area compared to an alternative watercourse alter the natural drainage and enlarge the
five-plant design were shown to be dramatically risk of damage from floods. Flood control and flood
greater where advantage was taken of topography to plain management can be more effective on an
plan only for primary treatment for one plant and areawide basis than if done by individual urban
secondarly treatment for the other (one discharging communities. In the Root River watershed in South-
effluents to the lower Duwamish River and the other east Wisconsin, 12 communities were affected by
discharging to deep salt water in Puget Sound) flooding; nine of these found it advantageous to.
as opposed to providing necessary, advanced treat- adopt zoning ordinances in conformance with a plan
ment for three additional plants where some effluent to prevent flood plain encroachment; and three had
would have to be discharged to smaller receiving such Ordinances under preparation." They found
bodies, Lake Washington and Lake Saminamish." that certain elements of a coordinated flood plain
regulation plan including parkway and open space
would be in jeopardy unless all communities partici-
14GREELEY & HANSEN (1970). Comprehensive Sewerage pated.
Study, Niagara County, State of New York, SPC-CS-172. Areawide management of some functions is also
Chicago, IU. likely to result in a better use of water resources.
"CAMP, DRESSER & McKEE (1970). Upper Trinity Uncoordinated management by many cities pumping
River -Comprehensive Sewerage Plan, vol. 1. Camp, Dresser ground water in a metropolitan area, for example, can
& McKee, Boston, Mass. result in unplanned depletion of ground water sup-
"DOWNING, Paul B (1969). The Economics of Urban plies. Similarly, complete treatment of wastewater by
Sewage Disposal. Frederick A. Praeger, Publishers, New
York.
17 CORNELL, HOWLAND, HAYES & MERRYFIELD/HILL $SOUTHEAST WISCONSIN REGIONAL PLANNING
(1971). Reevaluation of Metro Comprehensive Sewerage COMMISSION (1966). A Comprehensive Plan for the
Plan. Cornell, Howland, Hayes & Merryfield/Hill, Seattle, Root River Watershed, Planning Report No. 9. Southeast
Wash. p. V-2. Wisconsin Regional Planning Commission, Waukesha, Wis.

444

one city to attain quality standards is ineffective mit diversion of utility revenues to subsidize the
without the cooperation of other cities that discharge general support of the areawide agency.
effluents into the same body of water.
Some cities, particularly those already providing Improving Relationships Among Water Services and
local services efficiently and effectively, see few gains Land Use Through Coordinated Planning and Admin-
from areawide management to offset expected losses istration
of local control over services which they view as Basic water services that are provided in metropoli-
essentially local in character and which affect land tan areas are often related to other kinds of urban
use and subdivision development. Pyramiding of services. The management of one service can fre-
management in an areawide organization may sac- quently be integrated with and related to the manage-
rifice the presumed economies of consolidation. ment of other services that it affects or by which it is
Moreover, some real problems have to be met when affected. Metropolitan land use planning and water
areawide management of a service is implemented. facilities planning should be coordinated but not
Wastewater carried to a large downstream plant for necessarily combined in the same agency. For ex-
treatment may change patterns of return flows in the ample, plans for providing open spaces can be
intervening stretch of river to the detriment of some harmonized with plans to reserve floodways and
water rights holders! 9 Interconnections provided to regulate the occupancy of flood plains. Failure to
meet emergencies, if carried too far, could negate reserve land or regulate its use can result in unsuitable
economies of scale by increasing pump lifts. development with attendant risk of loss in the event
Some cities, especially in the West, own their own 20
water rights. Others have contracted debt for existing of floods. Waste treatment plants can be located so
water and sewer systems. These assets and liabilities that treated water that is stored for later discharge
cannot be redistributed throughout larger metro- can be made available for swimming, fishing, boating,
politan areas in which the cities are located without and esthetic uses." However, the valid concerns of
substantial adjustments, sometimes requiring changes water facilities planners and land use planners are not
in law. always the same and the public interest may be better
Efficiency does not necessarily call for the con- served by exposing and resolving such differences at a
solidation of all the tasks of providing even a single publicly visible level rather than submerging such
water service for an entire metropolitan area. For differences in the internal decisionmaking process of
example, the Metropolitan Water District of Southern a single agency. Water facilities planners and managers
California (MWD) provides main transmission faci- are primarily concerned with meeting the demands
lities for water supply to the Los Angeles metro- for service, with facility cost and technology and with
politan area. Local distribution of treated water is left the rates paid by users. Land use planners are
to individual cities. Similarly, areawide organizations primarily concerned with guiding population and
in Chicago, Milwaukee, and Seattle provide sewage activity allocation. Internal compromises of these
interceptors, treatment plants, and outfalls while different concerns could be made to serve bureau-
some local organizations provide wastewater collec- cratic or special interest influences unless an oppor-
tion within their local service areas. The benefits of tunity is provided for the public scrutiny which such
consolidation may thus sometimes be achieved by an issues warrant.
arrangement in which the main transmission and In addition to consolidating all elements of a single
treatment of water supply and the main interception water service such as water supply throughout all or
and treatment of wastewater are brought under one parts of a metropolitan area, the consolidation of
areawide management, while local distribution of different water services, such as water supply, waste-
water and collection of wastewater remain under the water treatment, flood control, flood plain manage-
management of individual local entities. Charges to ment, and water-based recreation, may be related
customer agencies by wholesale suppliers should be through joint administration of some or all of the
based on cash requirements of the supplying utility
rather than depreciation schedules which could per- "This subject is discussed in more detail in Chapter 10,
Section B, Water Resources Planning.
21 CORNELL, HOWLAND, HAYES & MERRYFIELD/HILL
S@e, for example, Metropolitan Denver Sewage Disposal (1971). Reevaluation of Metro Comprehensive Sewerage
District v. Farmers Reservoir & Irrigation Co., 499 P.2d Plan. Cornell, Howland, Hayes & Merryfield/Hill, Seattle,
1190 (Colo. 1972). Wash. p. x.

445

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Denver's Washington Park requires adequate water supply for its preservation

separate tasks involved in providing those services. various water services. Ideally, land use planners
For example, there is an important relationship should provide the basic population and activity
between controlling water pollution through im- distribution base to guide the work of those who plan
proved sewage treatment, and providing water sup- for specific utilities and other services, and water
plies from municipal and industrial water use. By facilities should be planned so as to be able to adapt
upgrading wastewater treatment, it may be possible to changes in land use.
to provide effluents which can be reused for- in- The Root River Basin Plan previously referred to in
dustrial purposes, releasing for municipal use large connection with areawide management is also an
quantities of high-quality water currently used by example of integrating the planning of several water
industry. At the same time, the volume of effluent to services with planning for land use. A coordinated
be discharged may be reduced." watershed plan was developed in which the tradeoffs
Joint administration can be achieved in a variety of between flood-retarding structures, flood plain regula-
ways. A single function such as planning may be tion, channel improvement, sewer grade lines, wildlife
combined in one office to deal with several services needs, open space, and parkways were considered. As
such as water supply, wastewater treatment, flood a result, the plan developed and now being imple-
control, flood plain management, and water-related mented was satisfactory to all interests and involves a
recreation. Similarly, planning for other kinds of relatively minor amount of construction. The integra-
urban services, such as transportation, parks, and tion of water management with land use, unfortun-
recreation, may be combined with the planning of the ately, occurs too infrequently.
"See Chapter 7, Section H, Reuse of Municipal and ome of the different functions (e.g., planning,
Industrial Wastewater, for rnore detailed discussion of this design, construction, operation, and maintenance)
subject. involved in providing two or more services can be

446

combined and administered jointly within one organ- TABLE 12-I.-Estimated savings resulting from joint
ization, as is sometimes done in water and sanitation administration of water supply and
districts. In many instances, the management of waste disposal
different services can be improved simply through
effective coordination of their operations without Percent of Total
resorting to joint administration of design, construc- Separate Costs
tion, and operation in one office. Good results are
most likely, however, where the different agencies are Savings indicated Savings indicated
guided by 'overall plans that include their separate, by up to 69 by 70 to 99
but related, services. percent of percent of
Gains in efficiency to be had through joint respondents respondents
administration of different services were estimated in
the recent study summarized in Table 12-1; however, Administration 36 7
the more important advantage is the better use of Engineering and
resources that may be made possible. design I I -
In spite of growing advocacy, 21 the concept of Construction 7
jointly administering different services is yet to be Operation and
fully implemented even though there has been signi- maintenance 13 -
ficant progress on partial integration. A 1969 survey Financial and
indicates that 58 percent of the Nation's cities of over collection 31 8
10,000 population have combined water supply and Overall
savings 23 1
wastewater services under one administrative head, -
but only about half of these included waste treatment Source: AMERICAN WATER WORKS ASSOCIATION,
or water treatment (in other words, about half Committee for Water and Wastewater Operations
confined joint administration only to the sanitary (April 4, 197 1). Joint administration water/
collection system and the water distribution sys- wastewater works. Journal American Water Works
tem) 24 and only one-fourth of them include the third Association 63(4):199-202.
primary service, storm sewer systems. Few of the
joint administrations manage all water and water- inadequately planned and fragmented water supply,
related services on an integrated basis for an entire wastewater treatment, and drainage in metropolitan
metropolitan area, although Philadelphia is an areas. At the same time management of those services
example of a city that has combined water supply, should be related to planning for the use of land.
wastewater services, and storm sewer systems in one Gains in efficiency and economy like those demon-
department and supports them through service strated for areawide consolidation of a single water
charges. service may be available if planning or administration
The conditions that are found from metropolitan of different services are joined and extended over all
area to metropolitan area are so different and the or parts of an entire metropolitan area.
potential number of formulas- for combining the
performance of different tasks are so numerous that
the best arrangement for any particular metropolitan
area depends on the specific circumstances that exist Using Water Facilities to Improve the Quality of the
there. In many instances, combining the work forces Urban Environment
for administration, engineering, accounting, billing, Urban development is often disruptive of the
and O&M for water services can help improve natural environment. Urban water managers need to
explore ways in which water facilities can be used to
"McPHERSON MB (1970). Prospects for Metropolitan improve the quality of the urban environment. New
Water Management. American Society of Civil Engineers, urban planning and design technologies may enable
Urban Water Resources Council, U.S. Office of Water
Resources Research, New York. pp. 9-28. them to utilize water as a means of better integrating
24 AMERICAN WATER WORKS ASSOCIATION, Commit- recreation areas and facilities into the total urban
tee for Water and Wastewater Operations (April 4, 1971). environment. For example, natural watercourses can
Joint administration water/wastewater works. Journal be preserved as parks. In San Antonio, Texas, a
American Water Works Association 63(4):199-202. beautification plan for the San Antonio River front

447

improved an area that had become blighted." The Financing the Future Water Needs of Metropolitan
preservation of reservoir sites for storing water supply Areas
or storm flows may provide opportunities for their The problem of financing future water facilities
use as focal points in the design of new communities, and services in the Nation's metropolitan areas
parks, and recreation areas. involves determining how much it will cost to
With the help of landscape architects, architects, construct and operate the water facilities that will be
recreation specialists, and urban planners, water required, and who is to pay the cost with what funds.
facilities such as storage towers, treatment plants, and These two questions are discussed in sections of the
storm drainage channels can be made more estheti- report dealing with capital demands for future water
cally pleasing. The design and location of water facilities'8 and with principles of cost-sharing.'9 The
facilities can sometimes be made a part of plans for Commission has recommended that ultimately water
providing open space and recreation facilities, so long services should be supported from their own reve-
as skill and care are exercised to prevent unacceptable nues. If this recommendation is implemented, metro-
compromise of the quality of water supplies. politan areas themselves will face the necessity of
Basic Data and Research Needs 26 covering most of the costs of providing the facilities
needed by a growing number of metropolitan area
Day-to-day operations of metropolitan water sys- residents. Local revenues raised within the metro-
tems are likely to become increasingly corriplicated. politan areas-taxes and user charges-will continue to
The needs for data to operate them are greater than, be the major source of funds.
for example, the general need for information in river Metropolitan tax revenues increased from $130 to
30
basins which include large areas of less intensively $229 per capita from 1962 to 1969. Property taxes
developed land. Large metropolitan water systems continued to make up the bulk of this revenue
require data of many kinds to allow water managers although their proportion of the total has been
to make timely and efficient operating decisions decreasing.
throughout the system. Most metropolitan area water Metropolitan areas have experienced a multitude of
agencies are well aware of this need and some are tax financing problems during the past 2 decades. The
moving to improve their information systems. In major problems include: (1) declining relative econo-
general, however, there has been a serious lack of mic value of the central city as centers of production,
analysis of existing data in developing techniques trade, or consumption, (2) high income/low service
required for modern, urban water operating pro- population leaving the central city and low income/
cedures .17 high service population moving to the city, (3) fixed
Data are still needed on some of the physical boundaries of the central city preventing inclusion of
aspects of metropolitan water management including suburban areas in the tax base, (4) increased Federal
the quantity and quality of main storm and combined and State taxes causing city taxpayers to resist local
sewer flows and overflows. There is also a need for tax increases, (5) mandated formulas by State and
certain types of demographic and economic data such Federal governments committing large expenditures
as population concentrations and property values that of local revenue, and (6) reliance on the property tax
often are not readily available. Data are particularly as the major source of revenue creating an inflexible
limited for small systems, for factors influencing revenue base. The problems of inflexible tax bases
water utilization, and for factors affecting the condi- and increased demands for services are critical and
tion of distribution systems. complicated. The administrative and political pro-
cesses at the State level for evaluating new tax
legislation, or often even for raising tax rates, are
likely to require time.
25SAN ANTONIO RIVER AUTHORITY (1968). San When metropolitan services are financed through
Antonio River Study. San Antonio River Authority, San user charges government officials levy charges on the
Antonio, Tex,
2 6 The subject of basic data is more fully discussed in Chapter users of particular government goods and services at
17.
2 7 ACKERMANN WC (1966). Research problems in hydrol- 21 See Chapter 16.
ogy and engineering, pp. 495-502 in KNEESE, Allen V & 2 11 See Chapter 15.
SMITH, Stephen C [editors], Water Research. The Johns
Hopkins Press, Baltimore, Md. 3'Derived from U.S. BUREAU OF THE CENSUS.

448

such levels that the revenues from these charges equal Thus, although there has been much speculation
the cost of supplying the goods and services. User about the debt capacity of metropolitan areas to bear
charges not only ration government services and the capital costs of water facilities, there appears to
allocate the cost burden to the beneficiaries, but also be no indication of an immediate crisis as far as the
provide important information about the demand for relationship of debt to total revenues is concerned.
particular services. Based on general financial trends established during
User charges for water and sewer service nearly the 1960's, metropolitan areas appear to be able to
doubled from $33 per capita in 1962 to $65 in 1969. continue to make substantial contributions to capital
Revenue from these fees remained a constant 15 costs and current expenditures for future water supply
percent of total urban revenues. and sewage facilities, assuming that intergovernmental
From 1962 to 1969, intergovernmental revenues to revenues, both from the States and Federal Govern-
metropolitan areas more than doubled from $60 to ment, to metropolitan areas are effectively spent
$154 per capita. Intergovernmental revenues, most of where necessary to assist cities to catch up with
which came from State governments (less than 5 federally imposed water quality requirements.
percent came from the Federal Government)
increased from 27 percent to 34 percent of total
revenues for this 7-year period." The pressure to INSTITUTIONAL ARRANGEMENTS
increase intergovernmental revenues to metropolitan
areas is intense. Cities face rising welfare costs, The National Water Commission cannot invent or
increased costs associated with crime and crime prescribe precise institutional arrangements for plan-
prevention, rising costs of providing new and techni- ning and managing water resources that would be
cally more complicated facilities and equipment to appropriate for every one of the Nation's metro-
meet rising standards of environmental protection, politan areas. Metropolitan areas are too diverse in
and a host of other demands on their fiscal capacities. size, topography, climate, hydrology, political setting,
Total debt outstanding for all city governments and social characteristics to be analyzed and treated
(not SMSA's) has almost tripled from about $16 in a manner leading to prescription of uniform
billion in 1955 to $43.8 billion in 1970." During the institutional arrangements. Arrangements prescribed
same time, tax revenues have increased from just over for the Philadelphia-New Jersey-New York complex
$5.1 billion to $13.6 billion and the ratio of debt/tax would necessarily differ from arrangements designed
revenues has increased from 3.1 to 3.2. Over this for Phoenix or for Portland-Vancouver. Each metro-
period, the ratio of long-term, full faith, and credit politan area must fashion particular organizational
debt to tax revenue dropped from 2.1 to 1.6, while arrangements suited to its own situation.
the ratio for nonguaranteed, revenue bond debt Governmental and private efforts to provide water
increased from .9 to 1.2. These debt/tax revenue supply in the United States generally have had an
ratios reflect both an increased reliance on non- enviable record of delivery of safe water supplies for
guaranteed debt and a relatively stable capacity for municipal use. 33 Treatment and disposal of waste-
new debt. water has been done with less success. Water supply,
However, over the same period-from 1955 to wastewater treatment, and storm water removal
1970-the ratio of debt to total revenues actually today are still acute problems in some metropolitan
declined. While debt outstanding was increasing frorn areas. In some cases, existing local government
$16 billion to $43.8 billion, total revenues, including institutional arrangements to provide these services
intergovernmental revenues and user charges, were are not working as well as they might, and State and
increasing from $10.2 billion to $32.7 billion, and the Federal programs designed to give impetus and effect
ratio of debt to total revenues declined from 1.6 to to these local efforts are not succeeding. There are
1.3. These ratios reflect the changes in makeup of few metropolitan areas showing fully satisfactory
total revenues as a result of the increase of inter- resolutions of water supply and wastewater treatment
governmental revenues to cities. From 1955 to 1970, problems, although some, such as Seattle, Washing-
tax revenues have declined from 50 percent of all city ton, and San Diego, California, have made impressive
revenues to 42 percent.

31Jbid. 33 Municipal and industrial water supply problems are discus-
"See Table 12-2. sed at greater length in Chapter 5, Section E.

449

TABL
E 12-2.-Revenues, debt outstanding and ratios, city governments, United States, selected years

Item 1955 1960 1965 197

Total Revenue (millions) $10,227 $14,915 $20,318 $32,704
Tax Revenue only (millions) 5,100 7,109 9,289 13,647

Percent of Total 5 Wo 48% 46% 42%

Debt Outstanding (millions) $15,973 $23,178 $31,862 $43,773

Long Term 15,302 21,904 29,280 38,870
Full Faith & Credit 10,864 14,473 18,477 22,005
Nonguaranteed 4,438 7,430 10,803 16,863
Short Term 671 1,274 2,582 4,903

Ratios of Debt/Total Revenue

Debt Outstanding 1.6 1.6 1.6 1.3

Long Term 1.5 1.5 1.4 1.2
Full Faith & Credit 1.1 1.0 .9 .7
Nonguaranteed .4 .5 .5 .5
Short Term .1 .1 .1

Ratio of Debt/Tax Revenue

Debt Outstanding 3.1 3.3 3.5 3.2

Long Term 3.0 3.1 3.2 2.8
Full Faith & Credit 2.1 2.0 2.0 1.6
Nonguaranteed .9 1.1 1.1 1.2
Short Term .1 .2 .3 .4

Source: U.S. BUREAU OF THE CENSUS (1972). Statistical Abstract of the United States, 1972. f93rd edition] . U.S.
Government Printing Office, Washington, D.C. p. 426.

gains through the use of metropolitan, areawide, and appear to be the most direct approach. It is, however,
regional waste treatment systems. 34 one which though widely discussed has gained fittle
To the extent that revised institutional arrange- popular and political support. It does not, therefore,
ments can contribute to the resolution of metro- appear to be a realistic alternative for many metro-
politan water problems, the formation of new gen- politan areas in the foreseeable future.
eral-purpose metropolitan area governments would, , One can argue for the creation of a metropolitan
agency with a wide variety of related water manage-
3 4 URBAN SYSTEMS RESEARCH & ENGINEERING, INC. ment functions which, over time, could become the
(1971). Metropolitan Water Management, Case Studies precursor of a full-blown general-purpose metro-
and National Policy Implications, prepared for the Na- politan government. It is not the mission of this
tional Water Commission. National Technical Information Commission to develop the- virtues of such an
Service, Springfield, Va., Accession No. PB 199 493, and approach, but it is noted that when the purposes of
U.S. COUNCIL ON ENVIRONMENTAL QUALITY
(1972). Environmental Quality, Third Annual Report of special districts are too limited, their proliferation
the Council on Environmental Quality. U.S. Government may produce functional fragmentation that is as
Printing Office, Washington, D.C. p. 204. undesirable as the geographic fragmentation that was

450

intended to be corrected." On the other hand, municipal boundaries; the creation of areawide and
metropolitan water resource agencies which are too multipurpose authorities to avoid the development of
multipurpose in scope bring forth the opposition of overlapping single-purpose authorities; authorizing
established political interests to general-purpose interlocal contracting and joint exercise of local
areawide metropolitan government, and, depending government powers; and providing State financial
on the form of their governing body, may bring the assistance to facilitate the planning and construction
criticism of those who counsel in general terms of areawide metropolitan capital improvements .3 7 In
against insulation of basic governmental services from many cases, existing institutional arrangements,
political processes. strengthened by the adoption of these proposals,
In some metropolitan areas the institutional answer would be the best vehicles for solving metropolitan
may be the formation of metropolitan area authori- water problems.
ties to handle water supply, wastewater treatment, Metropolitan agencies which have a statutory base,
and drainage. Such entities would be compatible with are created by election, and are governed by a
the familiar concept of a two-level approach to urban reasonably representative council of local government
government, whereby areas may deal with some officials can effectively contribute to the resolution
services on an areawide basis while leaving others to of real metropolitan problems, including problems of
administration at local and city levels. water supply and wastewater treatment and may
The Advisory Commission on Intergovernmental become effective metropolitan governments.
Relations and other organizations have recommended In contrast, the informally organized Councils of
a range of State and local governmental reforms to Government (COG), usually voluntary associations of
enable the metropolitan processes and institutions to cities and counties, act best as a planning agency and
work more efficiently. 36 These recommendations a forum for discussion. The earliest of these COG's
include the preparation of State water resources plans dates back over 15 years, but it is only in the last 5
that account for metropolitan area needs; the use of years that their numbers have increased significantly.
extraterritorial powers by cities to prevent the pro- There are more than 220 COG's now imoperation and
liferation of inefficient, unplanned, and nonintegrable few were created by public election.
water systems serving developments just outside Although COG council members usually are
individuals vested with political power and can
3 exercise influence to implement COG-developed plans
5U.S. ADVISORY COMMISSION ON INTERGOVERN- in their .own jurisdictions, the informally organized,
MENTAL RELATIONS (1964). The Problems of Special
Districts in American Governments, A-22. U.S. Govern- voluntary COG's themselves have a limited political
ment Printing Office, Washington, D.C. pp. 74-75. And basis on which to exercise their power to act as
HAGMAN D (1970). Regionalized-decentralism: A model clearinghouses. for Federal grant applications. More-
for rapprochement in Los Angeles. Georgetown Law over, should Federal grants become a major source of
Journal 58:901-915. local funds in the future, it would be inappropriate
36U.S. ADVISORY COMMISSION ON INTERGOVERN- for voluntary COG's to become back-door govern-
MENTAL RELATIONS (196 1). Organization and Planning ments by acting as a clearinghouse or screening agent
in Metropolitan Areas, A-5. U.S. Government Printing
Office, Washington, D.C. pp@ 18-42. COMMITTEE FOR for grants which are essential to the functioning of
ECONOMIC DEVELOPMENT, Research and Policy Com- local government. Intervention by a multitude of
mittee (1970). Reshaping Government in Metropolitan Federal and State agencies administering grant pro-
Areas. Committee for Economic Development, New York. grams for metropolitan water facilities can be an
COMMITTEE FOR ECONOMIC DEVELOPMENT (1966).
Modernizing Local Government. Committee for Economic invitation to chaos. However, necessary procedures
Development, New York. pp. 18-19. COMMITTEE FOR like those under OMB Circular A-95 3 8 for screening
ECONOMIC DEVELOPMENT (1967). Modernizing State 37
Government. Committee for Economic Development, New U.S. ADVISORY COMMISSION ON INTERGOVERN-
York. pp. 19-22. COUNCIL OF STATE GOVERNMENTS MENTAL RELATIONS (1969). 1970 Cumulative State
(1965, 1966). Suggested State Legislation, vol. 24, 2S. Legislative Program, M-48. U.S. Government Printing
Council of State Governments, Lexington, Ky. AMER- Office, Washington, D.C. Sections 87-20-00; 31-31-00;
ICAN BAR ASSOCIATION (1967). Section of Local 31-63-00; 31-69-00; 31-91-00; 31-91-30; 33-21-00.
Government Law, Publications No. 5, 6, vol. 17. American 3 8 U.S. OFFICE OF MANAGEMENT AND BUDGET (197 1).
Bar Association, New York. NATIONAL LEAGUE OF Evaluation, Review and Coordination of Federal Assis-
CITIES (1970). National Municipal Policy, Adopted at the tance Programs and Projects, Circular No. A-95, Revised
46th Annual Congress of Cities, December 1-4, 1969, San July 26, 1971. Office of Management and Budget, Wash-
Diego. National League of Cities, Washington, D.C. ington.

451

and reviewing local applications for Federal assistance environmental considerations rather than political
should not be permitted to rest on discretionary considerations '43 the 1972 Amendments may impru-
decisions made by organizations that are not them- dently place broad powers in o rganizations that are
selves duly constituted and locally politically ac- not required to be created by or accountable to either
countable. This may occur where, as in the program the States or any particular local electorate. For
of the Farmers Home Administration for grants for example, where the problem area covers parts of two
water and waste disposal systems, the approval of a or more States, the organization may be made up of
I'multijurisdictional substate areawide general pur- elected officials of local governments from both
pose planning and development agency that has been States, or their designees, subject only to approval of
officially designated as a clearinghouse agency" under the Administrator of EPA, who also has a veto power
OMB Circular A-95 is required for any grant to be over designations by the Governors. 44
made .3 9 In other circumstances, Federal legislation The designated organization is to be capable of
has, in the Commission's view, unwisely dictated the developing effective areawide waste treatment man-
creation of appointed local or regional agencies or agement plans. Within a year of its designation, the
planning groups having not only great discretionary planning organization is to have a planning process in
authority over grant applications but also certain operation. Plans developed are to include alternatives
federally prescribed regulatory authority and powers for waste treatment management and are to be
that ordinarily are vested in formally constituted and applicable to all wastes generated within the area.
elected units of local government, not in ad hoe Plans are also to include, among other things, (1) the
collections of various elected officials. identification of treatment works necessary to meet
For example, the 1972 Amendments to the Fed- anticipated municipal and industrial waste treatment
eral Water Pollution Control Act provide for a new needs of the area over a 20-year period; (2) the
"Areawide Waste Treatment Program."' 0 That pro- establishment of construction priorities and time
gram calls for the Administrator. of the Enviion- schedules for such treatment works; and (3) the
mental Protection Agency to publish guidelines for establishment of a regulatory program to implement
the identification of certain areas which, as a result of the waste treatment management requirements of
uyban-industrial concentrations or other factors, have section 201(c) of the Act, to regulate the location,
substantial water quality control problems. After modification, and construction of any new facilities
publication of the guidelines, the Governor of each within the area that may result in any discharge in the
State is called on to identify each area within his area, and to assure that any industrial or commercial
State which has such problems. The Governors, wastes discharged into any treatment works in the
within an allotted time, are to designate for each area area meet applicable pretreatment requirements. The
a "single representative organization, including plan is also to include the identification of the
elected officials from local governments or their agencies necessary to construct, operate, and main-
designees, capable of developing effective areawide tain all facilities required by the plan, the identifica-
waste treatment management plans for such area."41 tion of measures necessary to carry out the plan
If the Governors do not act within the given time, the (including financing), the time and costs of doing so,
"chief elected officials of local governments" within the economic, social, and environmental impacts of
an area may by agreement designate the boundaries carrying out the plan, and the processes to identify
of the area and the "single representative organiza- and control various sources of pollution within the
tion."4' Notwithstanding isolated declarations of area.
intent that the development of management plans is Plans are to be certified by the Governor to the
to be based on technical, social, economic, and Administrator for the latter's approval. All publicly
owned treatment works in the area financed in part
39 Rural Development Act of 1972, P.L.92-419, Sectionl06, by grants under the Act must be in conformity with
August 30, 1972, 86 Stat. 657, 658, 7 USCA 1926(a)(3). the plan.
40Federal Water Pollution Control Act Amendments of
1972, P.L. 92-500, Section 208, October 18, 1972, 86
Stat. 816, 839, 33 USCA 1288.
4'Ibid., Section 208(a)(2)(B), 86 Stat. 840, 33 USCA 41ROE, Robert A (1972). Remarks of Representative Roe,
1288(a)(2)(B). Congressional Record 118 (M);1-19132, October 4, 1972.
421bid., Section 208(a)(4)(A) and (B), 33 USCA 44P.L. 92-500, October 18, 1972, Section 208(a)(7), 86 Stat.
1288(a)(4)(A) and (B). 816, 840, 33 USCA 1288(a)(7).

452

In addition to planning agencies, the Governors are independent municipalities will lead to ever-
to designate one or more waste treatment manage- greater competition for the same relatively
ment agencies for each problem area. Such manage- limited water sources and storage sites ...
ment agencies may be existing or newly created local, Already competition for regional sources (and
regional, or State agencies or political subdivisions. its attendant litigation) is growing rapidly ...
They are to be the exclusive recipients of grants for more and more, the problems of water supply
publicly owned treatment works. Management are extending beyond local areas-often beyond
agencies designated by the Governors must be found states. 45
by the Administrator to have authority to carry out Metropolitan areas in many parts of the country
appropriate portions of the areawide waste treatment are finding it necessary to look well beyond their own
plan; to manage waste treatment works and related jurisdictions to obtain the additional supplies they
facilities; to design and construct new works; to must have if they are to meet future demands. When
operate and maintain new and existing works-, to those supply sources lie in another State, or when the
accept grants; to raise revenues, including waste metropolitan community is a multistate urban area,
treatment charges; to incur short- and long-term the kind of political and administrative problems
indebtedness; and to enforce community cost-sharing involved in securing an equitable share of the regional
by participating communities. water resources may be more than the State and local
governments can cope with.
FEDERAL,STATE-LOCAL COOPERATION Examples of the extent and seriousness of this
The State and local reforms already mentioned problem are not hard to find. Chicago was able to
deal with water problems internal to the metropolitan divert water for its use from Lake Michigan only after
area-those concerned with intercity and intracity a lengthy court battle with other Great Lakes States.
coordination and with areawide consolidation of Growing requirements for water in the Chicago area
certain water services. Solution of these internal may move that city within the near future to seek an
problems will require State and local action, perhaps additional diversion of water from the Lake. The
with help from the Federal Government. Along with Minneapolis-St. Paul metropolitan area is another
these internal problems is another class of external example of a community that is looking for an
problems-those which require actions that are additional supply source as its population and indus-
beyond the capabilities of State and local govern- try expand. It seeks ways to augment the low flow of
ments acting alone and which require Federal action, the Mississippi River from which a large part of its
as well. water is being drawn. Two potential sources have
The need to secure additional water supply sources been mentioned: the St. Croix River, which divides
is an example of the type of external problem which Minnesota from Wisconsin; and Lake Superior. It has
many metropolitan areas are often poorly equipped been observed that such
to solve on their own. Finding new sources of water -interbasin transfers are becoming an ever-
supply for growing populations and industries in more-prominent feature of metropolitan water
metropolitan areas, combined with the problems that systems. The Boston metropolitan region
arise from discharging increasing quantities of metro- imports the bulk of its water from the Quabbin
politan wastewater into regional supply sources, are Reservoir, which is actually in the Connecticut
twin concerns that are placing unusual demands upon River drainage basin. Plans to ease pollution in
the institutional capabilities of both States and Lake Michigan from the Milwaukee region
metropolitan areas. A Corps of Engineers official, involve transfers of lake waters, in the form of
discussing the situation in the Northeastern United sewer effluent, into rivers which ultimately
States, made the following statements: empty into the Gulf of Mexico. Denver operates
a diversion system across the Continental Divide
Current projections of well-established trends all from the headwaters of the Colorado River. The
point to a water-supply crisis of major propor- major water supply question in Lubbock, Texas,
tions in the foreseeable future ...

As the population increases and urban centers
merge into supercities, the burden on existing 45 GROVES RH (May 1971). Northeastern US water supply
water-supply systems will become intolerable. study. Journal American Water Works Association
Localized response to the growing needs of 63(5):311-312.

453

is the possibility of long-distance water importa- Diversion from Lake Francis in Canada through
49
tion to satisfy future requirements. Houston, Lake Champlain.
46
too, must consider this source before long. The solutions which are being studied would
Congress has agreed that the major metropolitan require the creation of new kinds of regional or
areas of the country are indeed handicapped in their interstate water institutions to plan, develop, and
ability to solve unaided their large and complicated allocate water for groups of metropolitan areas
water supply problems. It stated its sense of the throughout the northeastern United States. A Corps
urgency of this problem in Title I of Public Law spokesman expressed the belief that:
89-298 when it said: Regionalization of water supply systems appears
Congress hereby recognizes that assuring ade- inevitable, and the process will be accelerated by
quate supplies of water for the great metro- the need to resolve environmental as well as
politan centers of the United States has become economic problems-problems that are dealt
a problem of such magnitude that the welfare with most effectively at the regional level.
and prosperity of this country require the Only supply systems of regional, state, or even
federal government to assist in the solution of
41 interstate magnitude are likely to develop the
water supply problems. quantities of water needed to meet estimated
In 1965, under the provision of that Act, it future demands.' 0
authorized the Corps of Engineers to undertake the These types of regional organizations, with the
Northeastern United States Water Supply Study capacity and the authority needed to make firm
(NEWS). Congress enacted the legislation in response allocations of a regional water supply, do not yet
to the drought of 1961-67 which reduced historic exist. Without them, an increasing number of disputes
yields in the Northeast by 25 to 30 percent. The can be expected among and between States and
NEWS study encompassed a 200,000 square-mile area
that included all or parts of 13 States and the District metropolitan areas as they begin to compete even
of Columbia. Five metropolitan regions were iden- more actively for the water resources they must have
tified by the Corps as the Northeast's most critical to sustain their economies. It is totally inadequate to
supply areas: The Boston, Massachusetts, and Provi- leave the resolution of such disputes among States to
dence, Rhode Island, metropolitan areas; the original actions in the U.S. Supreme Court. On the
Northern New Jersey-New York City-Western Con- other hand, it is inappropriate and unnecessary for
necticut metropolitan area; the York-Harrisburg- the Federal Government to intervene in the problems
Lancaster area of Pennsylvania; metropolitan Balti- of water supply on the scale that has already occurred
more; and the Washington, D.C., metropolitan with respect to water quality and water pollution
area. 413 Sources of regional water supply under control.
consideration for development in that study include Traditional interstate compact agreements have not
such outlying bodies as the St. Lawrence River and to date proven sufficiently flexible or capable of
Lake Ontario. Low-flow augmentation was one of the being implemented quickly enough to solve metro-
alternatives contemplated for the Hudson River basin, politan water problems, although deficiencies in the
through such means as: present use of compacts appear to be curable,
Diversion from the St. Lawrence River through particularly through the device of advance congres-
Lake Champlain ... sional consent to compacts." Interstate compact
commissions, perhaps with the advice and assistance
of Federal-State river basin planning agencies, may
prove able not only to make allocations among areas,
4 6 URBAN SYSTEMS RESEARCH & ENGINEERING, INC. but perhaps also among major uses within regions:
(June 1971). Metropolitan Water Management, Case navigation, irrigation, power, municipal supply, recre-
Studies and National Policy implications, prepared for the
National Water Commission. National Technical Informa-
tion Service, Springfield, Va., Accession No. PB 199 493. 4 9 MONTANARI FW & KARATH EA (May 197 1). N.Y. City
pp. 69-70. Water Supply and Environmental Management. Journal
47P.L. 89-298, October 27, 1965, 79 Stat. 1073, 42 USCA American Water Works Association 63(5):319.
1962d-4(a). 5 0 GROVES RH (May 197 1). Northeastern US water supply
48SCHWARTZ, Harry E (May 1971). Scope of the NEWS study. Journal American Water Works Association
Study. Journal American Water Works Association 63(5):311-312.
63(5):313. See Chapter 11, Section C.

454

ation, and fish and wildlife propagation. Of course, more dramatic in areas of high population density
these allocations would have to be conditioned by than in sparsely populated suburbs. Economies in
such related considerations as the amount of regional construction of consolidated water supply, waste-
supplies already appropriated or allocated and not water treatment plants, and drainage facilities do not
subject to reallocation from established uses, the necessarily extend to local water distribution and
effect of allocations on downstream users, and the wastewater collection facilities, although in larger
effect of allocations on national objectives in power systems consolidation of distribution and collection
production, population distribution, food and fiber also can yield economies in central purchasing, better
production, transportation, recieation, and so on. 52 equipment, specialization of crews, and higher-quality
This regional allocation process, however it may be supervision.
structured, will require metropolitan areas to play a Relationships among water services and between
more active role in basin affairs. The practice of water services and other urban services need to be
having Federal-State bodies do the planning for river recognized. Placing the planning for different func-
basins will not satisfy metropolitan interests when tions of basic water services under joint administra-
basin organizations are given the power to make tion and coordinating the performances of other
determinations about water supply allocations. Many functions such as design, construction, operations,
metropolitan areas extend into more than one and maintenance can result in savings in the cost of
State's jurisdiction. The State government and the providing services and enable the better use of
metropolitan area are sometimes political and eco- metropolitan water resources. Land use planning and
nomic rivals. Faced with choices, State representa- utility planning need to be coordinated. Planning for
tives to the basin planning bodies will tend to give water should complement existing plans for the use
priority to statewide interests. It will, therefore, not of land. Water utility planners should design water
always be adequate to rely upon the State representa- systems which are complementary to land use goals
tive to define and defend the interests of the but should anticipate and be prepared to accom-
metropolitan area where competitive choices are modate to changes in land use plans that may come
being made on a regional level. Whatever body may about in the future.
be empowered to make allocations of a regional water More attention by water planners and managers to
supply, it is important that metropolitan areas be esthetic, recreational, and environmental values can,
given a more direct voice than they have at present in within limitations imposed by other aspects of their
the regional water planning processes. duties such as maintaining the quality of water
supplies, enable management of water utilities to help
CONCLUSIONS improve the urban environment.
In recent years, a number of different studies have Existing local governmental institutions which
resulted in recommendations that certain local traditionally have delivered water supplies and
government functions throughout entire metropolitan handled wastewaters are in some cases being strained
areas be consolidated. In many situations such an and are unable to meet the water supply and
approach for selected functions of some water services treatment demands being made of them. These
will improve the physical and economic opera- existing institutions can and should be strengthened
tion of metropolitan water systems. through State and local government reforms whereby
While areawide consolidations may not everywhere (1) long-term State and river basin planning is made
be necessary or desirable, in many instances they can to account for metropolitan needs, (2) municipalities
result in economies of scale, improvements in effi- can exercise extraterritorial powers to prevent inef-
ciency and reliability, better coordination, and better ficient, unplanned water services from developing in
overall use of the water resource. Where they are their metropolitan areas, (3) areawide water manage-
implemented, the anticipated loss of local control and ment authorities are authorized and implemented,
legal and technological problems can usually be (4) interlocal contracting and the joint exercise of
mitigated and offset by the advantages to be gained. local government powers is encouraged, and (5) cities
There are, however, limits to what can be achieved are not permitted to make excessive charges to water
through areawide consolidation. Efficiency gains are users served outside their corporate boundaries.
The Federal Government must assist the States and
S2 Chapter 7, Section F, discusses allocation of water in local governments in solving metropolitan problems
humid regions by a permit system. of an external nature arising from the facts that

455

(1) many metropolitan areas extend over two or more whatever opportunities there may be to pro-
State boundaries, (2) many metropolitan areas must vide water services in ways that will also
look beyond their jurisdictions to obtain supplies, provide recreational and esthetic benefits to
and (3) their effluent discharges affect areas beyond metropolitan area residents.
their jursidictions. To date, interstate compact com- 124. The following State and local government
missions have not been effective devices to solve such actions should be taken to improve metro-
problems, but with improvements, they may prove politan area water management.
able to make appropriate allocations of supplies and a. States, with the cooperation of metro-
regulation of discharges for metropolitan areas. politan areas, should prepare State water
Metropolitan areas must be given a more direct voice resources plans that account for metro-
than they have at present in the regional planning politan area needs and that require the
process. head of the appropriate planning agency
Data on some aspects of urban hydrology are of the State government to encourage,
inadequate to meet the future needs of metropolitan assist, and advise metropolitan and local
area water management. Moreover, techniques for government agencies responsible for plan-
joint administration of some metropolitan water ning metropolitan area water programs,
services on an areawide basis will create even greater particularly with respect to preparation
demands for data and for analysis of the data that are and updating of regional metropolitan
available to enable water managers to make timely water resources plans.
operating decisions throughout the system. b. States should enact legislation authoriz-
ing new metropolitan management
authorities, which may be created from
RECOMMENDATIONS and made up of existing local entities, to
12-1. Municipalities, county governments, special provide and coordinate specified public
districts, and other local government units water services for particular areas includ-
should continue to explore the potential for ing the main water supply, wastewater
consolidating separate tasks in providing treatment, and storm drainage functions.
water services to achieve economies of scale Accompanying the legislation to
throughout all or significant portions of their authorize new management authorities
metropolitan areas. should be additional legislation to estab-
12-2. Municipalities, county governments, special lish procedures to insure that the activi-
districts, and other local government units ties of special authorities are coordinated
responsible for providing basic water services with those of other government units and
in a metropolitan area should improve the that the public is fully aware of the
efficiency and effectiveness of those services activities of special authorities operating
by coordinating the planning for water serv- within metropolitan areas.
ices with the planning for land use and c. States should permit local government
occupancy. Consideration should also be units to cooperate with other localities in
given to combining other functions, such as providing services and facilities in accord
engineering and design, construction, opera- with geographic, economic, population,
tion and maintenance, finance and collec- and other factors that influence their
tions, for different water services. Extension mutual needs and developments by
of such combined services should also be authorizing interlocal. agreements and
made to all or to significant portions of a contracts for the joint use and exercise of
metropolitan area where gains in efficiency their powers, privileges, or authority.
and better use of resources can reasonably be d. States that have not done so should
expected to result. consider legislation to authorize cities to
12-3. In addition to reliance on hydrologists and exercise jurisdiction for planning and
engineers, water planners and managers implementing water resources manage-
should enlist the aid of landscape architects, ment, including zoning and subdivision
architects, recreation specialists, and urban regulation, in areas adjacent to or just
planners to help them make full use of beyond their corporate limits when an-

456

nexation of those areas is part of a State other liquid waste; (3) delineate portions
or county plan for city expansion. Such of the metropolitan area which the sys-
extraterritorial jurisdiction should not, tems may be expected to serve at pro-
however, be permitted to interfere with jected dates in the future; and (4) set
the exercise of lawful jurisdiction for the forth schedules and methods of acquiring
same areas for the same or similar pur- necessary land and financing the con-
poses by counties, towns, special dis- struction and operation of the proposed
tricts, or other units of local government. system. I
e. States that have not already done so 12-5. Congress should invite the formation of inter-
should consider legislation giving appro- state compacts to solve water problems of
priate State and local authorities regula- multistate metropolitan areas by delineating
tory authority over individual wells and the conditions under which it will give ad-
septic tank installations and directing the vance consent to compacts made for purposes
development of plans for metropolitan of managing multistate metropolitan water
areawide water and sewerage systems that systems.
(1) provide for the orderly extension and 12-6. Federal grant procedures should not be based
expansion of metropolitan area water on decisions made by local organizations that
supply and sewerage system; (2) assure are not duly constituted under State law and
adequate sewage treatment facilities for politically accountable to their local elec-
safe and sanitary treatment of sewage and torate.

457

@,,:-,7

4w 11

lof x

Ch ap te r 13

Federal-State Jurisdiction
in the Law of Waters'

In a number. of the regional conferences held by inconsistently affected both by State law and by
the Commission as it began its work, serious concern Federal law.
was expressed by government officials and private Sometimes State and Federal water laws are
citizens about the relations between the Federal compatible and work in harmony with one another.
Government and the States and their citizens over Other times they are incompatible. When conflict
water rights. State officials are troubled by the occurs, it is not impossible to strike a balance to
difficulties in coordinating Federal water claims and insure effective and efficient performance of the
uses with State water law, administration, and plan- economic system to optimize the yield which society
ning. Owners of privately held water rights fear that derives from its scarce water resources. Neither
Federal actions (based on recent court decisions) will jurisdiction, Federal nor State, need be subordinated
impair or destroy their property without compensa- absolutely to the other, particularly if the result is a
tion. Adjudication of the conflicting claims is made reduction in social and economic efficiency. Effective
difficult by uncertainties about the ability of a compromises are constitutionally possible.
plaintiff to bring a law suit against the United States. One expert has observed: "If [Federal law] fits
In the United States, water law has evolved under a with the state law into a single pattern it creates no
system of dual sovereignty. Accordingly, it is sepa- problems. When it and state law clash, when gaps
rated into the Federal law of water on the one hand appear, when federal law upsets that which state law
and 50 independent sets of State laws on the other, has set up, when federal law undoes the tenure
Each State has developed its own set of water laws security that states give to property rights, when
and the Federal water law has been superimposed federal rights override instead of mesh with private
thereon. At one time it was thought that, apart from rights, then there is federal-state conflict in the field
the navigation power of the United States, water law of water rights. There is confusion, uncertainty, bad
was exclusively State law. For example, the U.S. feeling, jealousy and bitterness. To a substantial
Bureau of Reclamation for many years developed its degree, this is what exists today."2
irrigation projects on the basis of water rights No law can be enacted to give an absolute and
obtained in accordance with State laws and proce- unqualified assurance as to the future. Virtually all
dures. Now it is recognized that every owner of a property rights carry with them some uncertainties.
water right can be, and often is, simultaneously and But, to the extent that the law can be formulated to
minimize future uncertainties, or at least compensate
for them, it serves the socially useful purpose of
This chapter is based in large measure on a study made for encouraging long-range planning and development,
the Commission and reported on in TRELEASE, Frank J both private and public, for optimum use of re-
(197 1). Federal-State Relations in Water Law, prepared for sources.
the National Water Commission. National Technical
Information Service, Springfield, Va., Accession No. PB
203600.

'TRELEASE, Frank 1 (1971). Federal-State Relations in
Water Law, prepared for the National Water Commission.
Supreme Court decisions form basis for conflict National Technical Information Service, Springfield, Va.,
between Federal and State water laws Accession No. PB 2 03 600 p. 11.

459

6
THE PROBLEM river but on reserved Federal land. The Supreme
Court held the license could be issued to build the
The issues in Federal-State relations in the law of dam despite the fact that its construction violated
water 3rights may be divided into three problem State law.
areas: An unrelated development occurred in the 1950's
1 . Coordination of Federal water activities with and 1960's. Since the days of Chief Justice John
State water administration; Marshall, the Commerce Clause of the Constitution
2. Sovereign immunity as a bar to the adjudica- has been construed to give the Federal Government
tion of Federal water claims; and power to regulate navigation. This power was ex-
3. Compensability of State-created water rights tended in the 1930's to permit Federal development
impaired by Federal activities. of navigable rivers with multipurpose projects, such as
A brief statement of background may help to Hoover Dam. 7 The Commerce Clause was also con-
explain the issues. It was observed earlier that during strued to permit the United States to take certain
the formative period of State water law, Federal property without compensation. The Court held that
rights to the use of water were thought to be based when the Government condemned land along a
on State law. Both the Bureau of Reclamation and watercourse for navigation projects, it did not have to
the Forest Service explicitly adopted this concept and compensate the landowners for those values attribut-
obtained rights by filings with State water law able to the navigable water, the "navigation servi-
officials. In 1963, however, a very different concept tude." Thus, the Government acquired dam sites and
of water rights was introduced by the U.S. Supreme port sites at prices which did not take into account
Court's decisions in City of Fresno v. California and adjoining water.8
Arizona v. California.4 The Fresno case rejected the These decisions seemed to threaten established
city's claim under State law to area-of-origin protec- State procedures and vested private rights. In some
tion, indicating that the 1902 Reclamation Act did instances, Federal officials refused to disclose their
not require compliance with State law but required existing uses of water and were also claiming reserved
only that compensation be paid for the taking of rights to future uses of water in any amount
property interests recognized by State law. Since the necessary to serve the purposes of withdrawn Federal
city had no compensable property interest in area-of- lands. These actions, seemingly validated by the
origin protection, it received no protection at all. Supreme Court, impaired planning, for neither pres-
Arizona v. California similarly limited the operation ent nor future water proposals could obtain satisfac-
of State law as applied to Federal reclamation tory assurances of future prospects. First of all,
projects. sovereign immunity was a bar to judicial definition of
Arizona v. California also created a new species of claims. And, since the priority date of reserved
water right in the Federal Government, the reserved Federal rights is the date the Federal establishment
right for certain Federal establishments.' The Court was created-usually the turn of the century or
held that water was reserved for a variety of Federal earlier-a use commenced at any time by the Federal
activities when public land was withdrawn for such Government could wipe out water rights for other
purposes as national forests, parks, monuments, and uses that may have been in effect for 70 years or
wildlife refuges. A somewhat similar theory had been longer, and without compensation. The reservation
used in 1955 to justify a Federal Power Commission doctrine applied to both navigable and nonnavigable
license for a private power dam on a nonnavigable streams.
/
Throughout the Nation, owners of water rights and
of real property, the values of which depended on
'Indian water rights are treated separately in Chapter 14. water, were made vulnerable to uncompensated losses
4City of Fresno v. California, 372 U.S. 627 (1963), and by development of a project on a navigable river or
Arizona v. California, 373 U.S. 546 (1963). lake, and, in some cases, on a nonnavigable river or
'This new species of water right originated in Winters v, take as well.
United States, 207 U.S. 564 (1908), dealing with Indian 6Federal Power Commission v. Oregon, 349 U.S. 435
water rights, which is discussed in Chapter 14. Prior to (1955).
Arizona v. California, the Winters case was assumed by
many to be limited to Indian Reservations. In Arizona v. 'Arizona v. California, 283 U.S. 423 (1931).
California the concept was more broadly stated to apply to United States v. Rands, 389 U.S. 121 (1967); United
aH Federal reservations. States P. Twin City Power Co., 35 0 U.S. 222 (195 6).

460

DISCUSSION from State control must be acknowledged. The
The Commission believes that the conflicts de- Constitution specifies the Nation's powers and the
scribed above can be settled and the uncertainties functions of the Congress. These cannot be aban-
they generate can be resolved by appropriate con- doned. The United States has an interest in all of its
gressional action. Accordingly, it recommends the territory and must manage its resources for the
adoption of a proposed "National Water Rights benefit of all of its people, not just those who live in
Procedures Act," the principles of which are set forth the neighborhood in which a given issue arises.
hereafter in recommendations 13-1 through 13-9. The The States, however, have a valid interest in
recommendations are designed to preserve Federal protecting the rights of persons to use water and in
powers but to hold the Federal Government account- the values associated with those rights. State water
able in court for injury to individuals owning State- law and procedures are concerned with local condi-
based water rights. The recommendations of this tions, with water rights held by individuals and
chapter also seek to integrate Federal water rights organizations, with public water supplies for cities,
into State water rights administration, but they do and in general with promotion of State prosperity.
not relate to Indian water rights, which are treated in Although State water laws are adapted to local
the next chapter. conditions, they usually seek to create a system of
Although the principal effects of the proposed Act secure water rights that will encourage investment yet
would occur in the West, where water rights are provide the flexibility needed to accommodate
highly systematized, Eastern States would also be change. In many States, water rights are quantified
benefited by it. States with permit systems could and recorded, withdrawals policed, uses regulated,
include Federal uses in its records, and Eastern water and supplies rationed. This is the traditional sphere of
officials and water rights owners would be entitled to State action.
sue the United States when water rights disputes There is no reason why federally-created water
arose, since the proposed Act would waive the rights for Federal purposes cannot co-exist with
defense of sovereign immunity. Moreover, Eastern State-created rights for private and public purposes.
water rights owners would be protected against What is needed is a mechanism for insuring that they
noncompensable takings under the navigation servi- mesh smoothly.
tude and would have the benefit of the proposed For a time a sort of Federal-State partnership
Act's eminent domain procedures in connection with provided the machinery. The 1902 Reclamation Act
directed that the Interior Department "shall proceed
Federal water resource development. in conformity with [State I laws,"9 and the assumption
by other Federal agencies that their water rights
Conforming Federal Uses to State Procedures stemmed from State law provided the needed impetus
and unity. We now know that federally owned water
Recommendation No. 13-1: The United States should rights may be created by Federal law, for if State
adopt a policy of recognizing and utilizing the laws of water rights are not suitable for Federal purposes, the
the respective States relating to the creation, adminis- Federal Government must create its own, and has
tration, and protection of water rights (1) by estab- ample power to do so."
lishing, recording, and quantifying existing non- No solution to the controversy is possible if the
Indian Federal water uses in conformity with State problem areas are regarded as arenas of conflict
laws, (2) by protecting non-Federal vested water between State's rights and Federal supremacy, if the
rights held under State law through the elimination of Federal attitude is one of haughty superiority or if
the no-compensation features of the reservation "Reclamation Act of 1902, P.L, 161, 57th Congress, June
doctrine and the navigation servitude, and (3) by 17, 1902, Section 8, 32 Stat. 388, 390, 43 USCA 383.
providing new Federal procedures for the condemna- "The United States, through the Bureau of Reclamation,
tion of water rights and the settlement of legal administers the entire flow of the Colorado River below
disputes. Lee Ferry in accordance with Federal taw in the Mexican
Water Treaty and the Boulder Canyon Project Act. No
Discussion - At the outset, the fundamental State filings were made by the United States for any of
proposition that the United States must be able to this water. Arizona v. Ca?ifornia, 373 U.S. 546 (1963),
indicates that both the water rights of the United States
exercise aV of its constitutional powers and carry out and those of the users are created and governed by Federal
all national policies, purposes, and programs free law.

461

States seek to control Federal powers and programs mental action without prior payment of compensa-
and put State interests above those of the Nation. A tion). Nevertheless, these bills are now moribund,
search must be made for the legitimate interests of hopelessly@ terminal cases, Misunderstood, with the
each and for means to accommodate both. sins of predecessor proposals heaped upon them, they
There is a satisfactory solution at hand. The retain enough "State's rights" baggage to produce an
Federal Government must retain Federal control of automatic adverse reaction in the Federal depart-
Federal programs and the Federal water rights asso- ments, regardless of their real merits or their true
ciated with those programs. The States, on the other faults. It is desirable to begin anew, and that is what
hand, need stability of water rights and undisturbed the proposed National Water Rights Procedures Act
State administration of water. Each objective can be proposes to do.
achieved under the proposed National Water Rights
Procedures Act. The Act would call for a revitaliza-
tion of the concept of conformity-not Federal Recommendation No. 13-2: The United States, in
compliance with or submission to State law, but making any use of water and in constructing, adminis-
(1) the conforming of Federal water rights to the tering, and operating any program or project involv-
form of State law, (2) Federal use of those substan- ing or effecting the use of water, should proceed in
tive State laws that advance the Federal purpose, and conformity with State laws and procedures relating to
(3) Federal observance of those State procedures (1) the appropriation, diversion, and use of water and
which do not impair the substance of the Federal (2) the regulation, administration, and protection of
right. The Act would establish a policy of compensa- water rights. This rule should be subject to two
tion for the holders of State water rights if the exceptions: (1) It should not apply to Indian water
Federal Government takes their water for its pro- rights and (2) it should not apply where State law
grams. It would provide improved procedures and conflicts with the accomplishment of the purposes of
remedies for the settlement of legal problems arising a Federal program or project. In the second case the
out of water rights. Federal official charged with administering the Act
Under this solution the Federal Government would should be able to exercise his discretion in deter-
surrender nothing of overriding importance. The Act mining whether such inconsistency exists. If he
would not permit a State to veto a Federal project or concludes that there is a conflict or inconsistency, he
use, dictate the purpose of the use, or destroy a should be obliged to hold a hearing on the question
Federal water right. and thereafter set forth his conclusions in writing,
Nor would the States lose anything of value. which should be subject to judicial review.
Protection of vested rights and orderly administration
of water and water rights does not require control
over the initiation and exercise of every right so Discussion - This recommendation proposes a
protected and administered. The States would receive procedural approach to most Federal-State water
Federal water rights into their systems, record them, rights problems that should be satisfactory to both
enforce them, protect them, and distribute water to interests. If it were adopted, the Federal Government
them in accordance with their place in the whole would retain all constitutional powers to deal with
scheme of rights. The laws that the States would not waters for Federal purposes, free from State control.
enforce against the United States are those they Federal water rights and uses would not be subjected
cannot enforce under the U.S. Constitution. to those State regulations which impede the accom-
Pending in the 92nd Congress were two pertinent plishment of statutory purposes. For example, a State
bills-the Moss and Hosmer bills, S. 28 and H.R. official could not deny a permit on the ground that
2312, respectively. Both were word for word the the use was not in the public interest where Congress
Kuchel Bill, S. 1636, of the 89th Congress, which in had decided the contrary by authorizing the use.
turn was a modified version of S. 1275 of the 88th Existing Federal water rights would merely be identi-
Congress. These were not bills that would subject the fied and quantified under the State system, and
United States to the control of State governments. thereafter the bulk of them would, at least in that
They were earnest attempts to propose workable respect, be indistinguishable from water rights held
solutions to the problems of (1) the reserved rights of under State law. They would be recorded on the same
non-Indians, (2) the navigation servitude, and (3) in- forms and in the same places and be administered and
verse condemnation (i.e., property taken by govern- enforced in the same way.

462

The only requirement imposed on Federal officials Recommendation No. 13-3: Legislation should be
is to cooperate with State officials; the only "sur- enacted to provide:
render" is of the occasional autocratic refusal to a. that the United States may be joined as a party in
adhere to State procedures. These refusals were proceedings for the adjudication of non-Indian
inspired by fears that conformity and cooperation water rights in any source of water, when the
might constitute an acknowledgment of State power United States claims or is in the process of
that could some day operate to the detriment of the acquiring rights to water under the authority of
United States. It is now clear that those fears were an act of Congress, as owner, by appropriation
baseless. The States need only recognize the full under State law, by purchase, by exchange, or
effect of the supremacy clause and foreswear un- otherwise, and where those rights would, if
constitutional attei-npts to control Federal uses of owned or claimed by a private citizen, be
water. It is clear that the States do not have the included in and determined by such proceedings.
power to control Federal water uses, and they would "Proceedings for the adjudication of non-Indian
not gain the power from a policy of Federal water rights" means such proceedings as are
conformity to State procedures. provided by State law for the determination,
In the usual case, "compliance" with State laws adjudication, certification, and recording of
would result from Federal conformity, since *rnost water rights, excepting, however, Indian water
State laws are consistent with and appropriate for rights;
most Federal objectives." Federal conformity would b. that the United States shall be subject to all
mean obtaining a permit, constructing the works judgments, orders, and decrees of the court or
pursuant thereto, applying water to the project use, agency conducting such proceedings;
and eventually adjudicating or certificating the right. c. that the United States shall have the right to
Thousands of Federal uses have been obtained in judicial review of proceedings in which it has
exactly this manner. The result of applying the policy been joined as a party under these provisions
of conformity would be the clear-cut identification of before the U.S. Court of Appeals for the Circuit
rights owned by the Federal Government and created in which the State lies. The right to seek such
by Federal law, but procedurally conformed to review shall arise after a final judgment or order
private rights owned by individuals which have been is entered by the State administrative agency or
created by State law, so that both Federal and private the State trial court, as the case may be, and
rights will be interrelated and intermeshed into one when the case is ripe for consideration by the
system of administration and enforcement. first State appellate court having jurisdiction.
If the United States should encounter rejection of Findings of fact by the State tribunal shall be
its applications, cancellation of its permits, or declara- sustained if supported by substantial evidence.
tions that its rights were abandoned or forfeited, it
need only assert its constitutional supremacy, an- Discussion - This recommendation is designed to
nouncing that it regards the permits as in force and restate and clarify existing Federal law (the McCarran
the documents as evidence of the Federal water right. Amendment) 13 and to carry out the principles
Judicial review of this assertion is provided for in announced in 1971 by the Supreme Court in the
12 4
Recommendation 13-9. Eagle County and Water Division No. 5 cases.' The

A blanket claim by a Federal agency that compliance with Power Commission, 328 U.S. 152 (1946), the Supreme
any State procedures would be burdensome and thwart Court held that it was up to the FPC to determine which
Federal objectives is not likely to succeed. A similar State laws were compatible with Federal objectives and
contention was made in United States v. District Court for which interfered therewith. Federal agencies at their
Water Division No. 5, 401 U.S. 527 (1971), and was discretion determine the necessity for exceptions, judicial
rejected, the Court indicating that compliance may be review is triggered in the event of abuse of discretion, and
required as long as the United States has the same burdens negligible litigation has occurred since the Supreme Court
as all other water users have. rendered its decision.
"McCarran Water Rights Suits Act (Federal Liability), P.L.
"The question may be asked whether this procedure would 495, 82d Congress, July 10, 1952, Section 208, 66 Stat.
lead to endless law suits and new Federal-State contro- 549, 660, 43 USCA 666.
versies over those laws which had to be conformed to and '4 United States v. District Court in and for the County of
those which did not. A Supreme Court decision suggests Eagle, 401 U.S. 520 (197 1); United States v. District Court
an answer. In First Iowa Hydro-Electric Coop. v. Federal in and for Water Division No. 5, 401 U.S. 5 27 (197 1).

463

recommended provision clarifies existing law by Reserved Rights
including all public proceedings designed to deter- Recommendations 134 through 13-6 deal with
mine non-Indian water rights for regulatory and reserved rights for Federal establishments other than
administrative purposes in any State, no matter where Indian Reservations. Before turning to the recommen-
held, or what form the proceedings may take, or by dations themselves, a brief discussion of the law may
whom initiated, or what sources of water are 'in- be helpful.
volved, so long as the States have found the proceed- It has been held by the U.S. Supreme Court that
ings to be appropriate for purposes of water adminis-
tration. 1 5 the withdrawal of land from entry (by Congress or
Proceedings being conducted at the present time in other lawful means) for Federal use (e.g., for military
Colorado pursuant to the rulings in the Eagle County posts, national parks, forests, and wildlife refuges)
and Water Division No. 5 cases illustrate the process. may also result in the acquisition of a Federal right to
The Color .ado law subordinates the priority of a use water on the reserved land.'6 Whether such
private use for failure to appear in earlier adjudica- reserved Federal water rights are created depends
tions. The United States cannot "comply with" this upon whether or not it was intended to create such
provision of Colorado law, but, as nearly as possible, water rights at the time the land was withdrawn. Such
the statements of United States' claims, the evidence intent ordinarily must be based on implication, since
presented, and other essential procedures are being withdrawal orders rarely mention water.
11 conformed to" the Colorado requirements. When If a reserved Federal water right is determined to
these proceedings are complete, the rights of the have been created, it has characteristics which are
United States to its water uses will be described and quite incompatible with State appropriation water
recorded in a manner that makes them indistin- law: (1) it may be created without diversion or
guishable from the water appropriations of Colorado beneficial use, (2) it is not lost by nonuse, (3) its
water users. priority dates from the time of the land withdrawal,
Records of Federal water uses and claims would be and (4) the measure of the right is the amount of
conformed to State laws in all States, East or West, water reasonably necessary to satisfy the purposes for
North or South, which have administrative proce- which the land has been withdrawn.
dures regulating water uses. If a State has no such Reserved rights, which were not recognized until
procedures and puts no requirements on its own 1963 in Arizona v. California, create large uncertain-
water users, the United States will be under no ties in the water budgets of Federal and State water
obligation to record its rights or notify any official or resources planners and private investors. The privilege
agency of its uses. of the Federal Government to put to use in 1973
The Commission believes that the provisions on water attaching to land withdrawn in 1873, and thus
judicial review strike a satisfactory balance between cut off the supply of water which others had begun
the expertise and efficiency available to State pro- using during the intervening 100 years without notice
ceedings and the natural preference of United States of the Federal claim, creates substantial hardships.
officials to have review of Federal water claims in a In recognition of existing Federal uses based on the
Federal court. At present, under the McCarran reserved rights doctrine and to prevent disruption of
Amendment, the only chance of Federal court review existing non-Federal uses by initiation of uses pursu-
is before the U.S. Supreme Court, usually in its ant to tion-Indian reserved rights claims, the Commis-
discretionary certiorari (i.e., review) jurisdiction. By sion makes the following two recommendations:
giving the United States a right of appeal from the Recommendation No. 13-4:
State proceedings to the U.S. Circuit Court of a. If on the date the proposed National Water
Appeals, Federal court review is assured without Rights Procedures Act becomes effective the
sacrificing the potential contribution of those State United States is making use of water pursuant to
administrative agencies charged with administering an act of Congress or an Executive Order of the
and adjudicating water rights. President, whether under the "reservation
doctrine" on lands withdrawn from entry and
"Neither the McCarran Amendment nor the Eagle County reserved for Federal purposes, or on other lands
case is explicit on the adjudication of Indian Water rights. pursuant to other authority, and the right to
For reasons stated in Chapter 14, the Commission
recommends their adjudication in Federal court. "Arizona v. California, 373 U.S. 546 (1963).

464

7 - %

4A%Mi-

Instream values must be preserved

465

make such Federal use has not been filed with Recommendation 13-4 recognizes that Federal
the State in conformity to State taw, the Federal agencies may also have made some water uses that
agency or officer in charge of such use should neither comply with State law nor can be justified
establish the quantity of such use and record the under the reservation doctrine. The power of Federal
use by proceeding in conformity to State proce- agencies to make such uses cannot be denied under
dures for the acquisition and adjudication of the Supremacy Clause, if the water has been taken
water rights by other water users. through the exercise of constitutional power. Never-
b. In the case of reserved lands of the United States, theless, such Federal uses should also be subject to
the priority of the water right should be the date adjudication and recording so that the water rights
the reserved land was withdrawn from entry; in records are complete and accurate. In this case, the
the case of other lands owned by the United priority date should be that customary under Western
States, the priority of the water right should be law, the date the use was initiated. Otherwise, prior
the date the water use was initiated. established uses might be impaired without compen-
c. The proposed Act should also provide standards sation. If a Federal agency needs more water than is
and procedures for establishing minimum flows available to it under its right, it can of course resort
in streams crossing Federal lands for the purpose to eminent domain to acquire an additional supply.
of preserving instrearn values in such waters. The The proposed Act recognizes the desirability of
minimum streamftows should he limited to unap- protecting instream values in unappropriated water
propriated water and should be recorded in the on Federal lands and provides for the delegation of
State water rights records as provided in authority to Federal officials, under appropriate
(a) above. standards, for the establishment of minimum flows in
streams crossing Federal lands, both reserved lands and
Discussion - Where Federal uses have been initi- acquired lands. 17 The minimum flow requirements
ated in reliance on the reserved rights theory, these should be filed in the State water records to provide
rights should be brought into conformity to State law notice to future water users; existing users would be
only in the sense that they be quantified and protected by limiting the requirements to unappro-
recorded. Thereafter it will be possible for resource priated water.
planners and others to take them into account in the
regulation of water resources. If Federal uses were Recommendation No. 13-5: Any withdrawal, diver-
required to comply with State law in the same way sion, or use of water initiated by an agency or officer
other uses are, many of the Federal uses would be of the United States after the effective date of the
forfeited or lose their priority for past failures of the proposed Act, for use on or in connection with any
United States to meet State requirements for permits lands of the United States reserved or withdrawn at
or to appear in State adjudication proceedings. any time for any purpose other than for an Indian
"Conformity to State procedures" means only appli- reservation, should be made in conformity to State
cation of State procedures to record these existing taw, as provided for in Recommendation 13-2, and
uses; it does not mean applying State law to forbid the priority date of the water right for such use
their continuation. should be the date of the initiation of the use by
The procedural part of the recommendation, by application for permit or otherwise as determined by
removing ambiguities in the McCarran Amendment, is State law.
designed to make possible adjudication of existing
Federal rights in all States. The United States should Discussion - This recommendation modifies the
conform to the procedures of those States that have effect of the reservation doctrine by fixing the
adjudicated early rights and that require new rights priority of future uses on reserved lands as the date
(1) to be 'initiated by permit and (2) to be separately the use is initiated as determined by State law. Thus,
proved, adjudicated, or licensed in proceedings initi- prior non-Federal uses are protected from uncom-
ated by the appropriator. If the use is of a stream pensated impairment.
which the State has not yet adjudicated, a permit
application will serve as sufficient conformity and the This recommendation to establish minimum flows for
Federal right can wait with other rights for its streams on Federal lands parallels the recommendations to
adjudication. In some instances the United States the States in Chapter 7, Sections E and F, urging
may see virtues in initiating such proceedings. protection of instrearn values under State law.

466

The reservation doctrine is a financial doctrine as a result, how much economic growth may have
only; it confers no power on the Federal Government been lost. And second, while it is true that no prior
that it does not otherwise enjoy. Anytime the United user has yet been deprived of his supply by the
States needs water (or any other resource) to carry invocation of reserved rights, the potential for harm is
out a program authorized by the Constitution, it has indisputable. It thus seems preferable to eliminate the
ample power to acquire it. What the reserva tion threat to planning and investment and to existing
doctrine does is to empower the taking of water users, in advance rather than to wait for injury to
without compensating prior established users for occur.
impairment of their supply.
The Commission believes that this aspect of the Eniinent Domain - As a means of protecting
reservation doctrine should be eliminated. Uncom- private water users from exercise of Federal reserved
pensated destruction of existing non-Federal uses rights, Recommendation No. 13-5 adopts the rule
places a disproportionate share of the burden of new that new Federal uses on reserved land take their
Federal development upon a few. The loss will appear priority at the date the new use is initiated in
to them to be arbitrary and capricious. Other users in accordance with State law.' 8 This rule would operate
the same area but on another watershed will remain to permit the United States to file on unappropriated
unaffected, though also subject to reserved rights. water in the same manner as would any other
Moreover, since the reservation doctrine does not prospective user. If, however, the supply of unappro-
apply in Midwestern and Eastern States where there is priated water is insufficient to serve the new Federal
comparatively little public land, its application in the use, the United States would acquire water through
West appears to be discriminatory. Finally, from the the eminent domain procedures set out in Recom-
standpoint of economic efficiency, the United States mendation 13-8. Prior users would thus be compen-
should be required to cover the full costs of the sated when their water was taken for use on reserved
resources it needs whether for exploring outer space, land.
building a post office, or constructing a water project.
Optimal resource allocation depends upon a proper Quantification - The Public Land Law Review
accounting for the opportunity costs of foregone Commission, the U.S. Department of Justice, and the
alternative uses. Paying for resources does just that by Dingell Bill (H. R. 659 of the 92d Cong.) have each
compensating sellers for their foregone opportunities. proposed the quantification of non-Indian reserved
The traditional and most reliable means of determin- rights as a solution to the problem of planning and
ing those costs is by requiring the new user to investment. The Commission gave extended consider-
purchase the resource in the open market or, in the ation to this proposal, but concluded that its disad-
case of the Government, requiring that it pay just vantages outweigh its advantages. In the first place,
compensation. the quantification process would be expensive. The
In addition to the adverse effects imposed on prior Dingell Bill would authorize appropriation of $10
users, the reservation doctrine frustrates sound plan- million in the first year, $20 million in the second,
ning in the public and private sectors of the economy. and so on until the level of 'Spending reached $50
The prospective claims of the Government are highly million in the fifth year and in each year thereafter to
uncertain, as to time, manner, and quantity of use. keep the inventory up to date.
Consequently, no planner or investor can establish a In the second place, Government officials would
meaningful water budget. It is impossible to prove strenuously resist final, permanent quantification.
how many non-Federal projects were not undertaken The vagaries of the future combined with suscepti-
because of-these uncertainties, but statements to the bility to charges of "give away" naturally lead these
Commission reveal profound concern on the part of officials to seek open-ended decrees which, after all
State officials. the expense, settle nothing. Even if final quantifica-
It is sometimes argued by Government attorneys tion could be achieved, it would not satisfactorily
that since no one has been hurt by the reservation solve the problem. Federal officials would be inclined
doctrine since 1963, when it was first applied to to state their claims as broadly as possible, employing
non-Indian lands, there is no need to legislate at this every faculty of the imagination to foresee every
time. There are two answers to this argument. First, State law may give priority from the date of application
we do not know how much investment has been held for a permit or from some other date, but all States
up which might otherwise have been undertaken and, protect actual, existing uses.

467

conceivable future use in the largest quantities imag- Discussion - This provision allows the United States
inable. The result would be the reservation of water to reserve water for a designated period of time for
on the basis of the grossest speculation with conse- specific projects of sufficient importance to require
quences for planning and development even more congressional action. It would operate to allow a
adverse than those produced by the present law. Federal agency with plans sufficiently developed for
Efficient use of resources cannot be achieved when a timely submission to Congress to obtain a State
resource is withdrawn from present use and stock- permit for water for the project. Thereafter, no
piled for possible future use, although no plans for intervening non-Federal use would be superior to the
such use exist and the purposes of the future use are prospective Federal use until the time limit expires.
mere speculative possibilities. The time period is geared to the authorization process
This is not to say that water should never be and then to appropriation of funds and commence-
reserved for future use. Until definite plans exist for ment of construction. The design is to strike a
specific projects, water should not be withdrawn balance between the periods of time necessarily
from other appropriations. When definite plans are involved in moving projects through Congress and the
formulated, however, water should be withdrawn for desirability of averting undue postponement of other
a sufficient period of time to permit perfection of the uses of water awaiting the congressional decision.
plans, securing of financing, and negotiation of water Regardless of State law, proposed Federal uses will
delivery contracts. Most States have procedures to enjoy a minimum period of protection from compet-
accomplish this. However, to assure that the Federal ing uses. The State is free, however, to extend the
interest is protected by Federal law, the Commission period of protection for as long as its law allows.
believes that Congress should enact legislation on the Special provision for smaller Federal projects not
subject, as set forth in Recommendation 13-6 below. requiring congressional authorization is unnecessary.
The States are familiar with, and their laws accom-
Recommendation No. 13-6: In any State which modate, projects that require a few years to con-
requires a permit for the initiation of a use of water, struct. A typical State procedure, applicable to the
or otherwise regulates the initiation of the use of United States and other developers alike, would allow
water, the United States may apply for a permit or the project sponsor to apply for a permit on the basis
other permission to use water under State law, and, of definite plans, fix a time period of completion of
subject to vested rights, it should have the right to use the project (based on duly diligent construction
such water from the date of its application if the efforts) and, upon timely completion, fix the priority
following conditions are met: as of the date of the application.
I . Congress authorizes the construction of the
project for which the application was made The Navigation Servitude and the Rule of No
within 5 years of the date of the application; and Compensation
2. Construction of the project commences within 5
years of the date of congressional authorization. Recommendation No. 13-7: The proposed Act should
Provided, however, that: provide that whenever the United States or a person
a. Nothing in this recommendation is intended acting under its authority takes, destroys, or impairs
to deny the application of State law which any right, acquired under the laws of a State, to the
allows longer periods of time for the initia- diversion, storage, or use of any water, in connection
tion of water development projects; and with or as the result of any Federal project for
b. Nothing in this or in Recommendation 13-5 development of navigable or nonnavigable water or
above is intended to affect water rights for for altering its flow or level, the United States will
projects authorized by Congress prior to the pay to the owner the fair market value of such water
effective date of the proposed Act. Spe- right.
cifically, any project authorized before the
proposed Act takes effect, which project was Discussion - This recommendation is directed
designed to use reserved water rights appur- solely at the no-compensation feature of the naviga-
tenant to withdrawn lands, shall be entitled tion servitude as applied to rights of use in water. The
to the amount of water and the priority date servitude also includes the historic public right of
that obtained under Federal law prior to the passage over navigable water, free from obstruction or
enactment of the proposed Act. monopolization by owners of the beds or banks, and

468

this feature of the servitude is unaffected by the negotiated purchase or condemnation, existing water
recommendation. The absolute powers of the United rights so impaired or to acquire and use other water
States to develop navigable waters also remain un- rights so as to avoid such impairment. It should be
touched. the policy of the United States to require its agencies
What is aimed at here is the Federal taking, and officials to proceed in conformity with State laws
without compensation, of interests in water to governing the acquisition of water rights by preferred
further its own water development projects. Such users, and to acquire by purchase or condemnation
uncompensated takings are subject to the same specific water rights which will provide it with the
objections made against destruction of water rights needed quantity of water rather than taking the
under the reservation doctrine. The large number of required amounts of water from the source and
cases of congressional disregard of the no- forcing the holders of water rights to prove injury and
compensation rule merely heighten the inequities of damage.
enforcing it in other situations and places.
The major inroad on the rule was made by Section Discussion - Federal powers to take water are
III of the 1970 River and Harbor and Flood supreme, but supremacy does not require the disrup-
Control Act,'9 which in effect provided for fair tion of systems of water rights and the damage and
market value compensation of real property interests inconvenience to numerous persons under circum-
taken for a navigation project. This legislation over- stances which may lead to confiscation. By simply
ruled United States v. Rands'o and similar cases, seizing water, the United States leaves it to the prior
which held that port-site and dam-site values were not users to sort out the damage and bring the suit. Since
compensable when land was taken for navigation damage will depend on water shortages and who
purposes. While Section I I I might be read by a court suffers them, the calculation of damage is both
as similarly protecting the values created by water difficult and delayed. Considerations of fairness,
rights in navigable waters, it is desirable to clarify the accommodation, and comity require that the United
matters in advance of litigation, giving equal protec- States, wherever possible, acquire water rights and
tion to all property values, real property and water not just take water.
rights alike, impaired by Federal water works. The declared policy of Congress for improved
Apart from Section I I I of the 1970 Act, there is condemnation procedures expressed in the 1970
further precedent for congressional action of the sort Relocation Act is obviously designed to apply to land
proposed. In several cases the Supreme Court has acquisition for urban renewal and other purposes; it
construed Section 8 of the Reclamation Act of 1902 should be made clear that cases of water rights
to require compensation for the taking of water acquisition are also included. The major policy
Tights. 2 embodied in the 1970 Relocation Act is that no
person should be displaced until he has the Govern-
Eminent Domain Procedures ment's money in hand; that is, the Government
should not seize property and force the owner to sue.
Recommendation No. 13-8: The proposed Act should There are other policies as well, calling for efforts at
provide that whenever the United States, in the fair negotiation for sale and for total acquisition if
construction and operation of a water resources the owner would be left with an uneconomic rem-
project or in obtaining a supply of water for a use on nant, and those are equally applicable in the water
Federal land or for a Federal purpose takes, destroys, field. The latter might be especially needed, for 160
or impairs existing water rights, the policies of irrigated acres may be a fine farm but 160 desert
Section 301 of the Uniform Relocation Assistance acres only a poor pasture. In such cases the Govern-
and Real Property Acquisition Act of 1970'2 shall ment should condemn both land and water.
specifically apply to such projects and uses, and the
United States shall initiate proceedings to acquire, by Sovereign Immunity: Suits by State Officials and
Individuals
"'River and Harbor and Flood Control Act of 1970, P.L.
91-611, December 31, 1970, 84 Stat. 1818, 33 USCA Recommendation No. 13-9: The proposed Act should
595a. provide that:
United States v. Rands, 389 U.S. 121 (1967). Uniform Relocation Assistance and Real Property
"Dugan v. Rank, 372 U.S. 609 (1963); United States v. Acquisition Act of 1970, P.L. 91-646, January 2, 1971, 84
Gerlach Live Stock Co., 339 U.S. 725 (1950). Stat. 1894, 1904, 42 USCA 465 1.

469

I A person alleging an unlawful interference with whether they conflict with State law. Implementation
his right to the diversion, storage, or use of water of Recommendation 13-2 would require that sover-
by the United States, its agents or officers, may eign immunity be waived in suits to determine
bring an action in a District Court of the United whether a Federal official's refusal to conform to
States for appropriate relief. State law is an abuse of discretion. Judicial review of
2. A State official, acting in his official capacity, this determination requires waiver of sovereign im-
alleging that the United States, its agents or munity. Since the questions presented in the htiga-
officers, have violated State law without justifica- tion are primarily questions of Federal law, exclusive
tion under the taw of the United States may jurisdiction is given to the Federal Courts. The
bring an action in a District Court of the United question of remedies is left to the general law, as it
States for appropriate relief. now exists and as it may change in the future.
3. Such actions shall not be dismissed nor relief
denied on the ground that it is against the United
States or that the United States is an indispensa- CONCLUSIONS
ble party. The United States may be named as a The Commissi ,on believes that existing law creates
defendant in any such action and a judgment or unnecessary friction between the Federal Govern-
decree may be entered against the United States. ment and the States, and poses threats of uncom-
Nothing in this provision is intended to affect pensated taking of water rights held by private
other limitations on judicial review or on the citizens under State law. These defects in present law
power or duty of the court to permit any action can be remedied without impairment of Federal
or deny relief on any other appropriate legal or powers and Federal functions.
equitable grounds. The action may be brought One source of friction is the failure of the Federal
against the United States, the Federal agency, or Government to proceed in conformity with State law
the appropriate Federal officer. Such an action when making use of water. As a consequence,
may be brought in any judicial district in which adequate records of water use do not exist, impairing
(a) a defendant in the action resides, or (b) the State and private planning and investment. All Fed-
cause of action arises, or (c) any real property or eral uses of water, present and prospective, should be
water right involved in the action is situated. recorded with the State in accordance with State
Additional persons may be joined as parties to forms and procedures. Further, Federal water uses
any such action in accordance with the Federal should comply with State law except in those cases
Rules of Civil Procedure without regard to other where State law conflicts with the purposes of a
venue requirements. Federal program or project authorized by Congress.
The determination that a conflict exists should be the
Discussion - This recommendation proposes to responsibility of the Federal program officer, subject
abolish the defense of sovereign immunity, which to judicial review. The immunity of the United States
allows the Federal Government to avoid judicial from law suits should be waived so that such conflicts
review of its actions in a number of instances. Just can be adjudicated. Sovereign immunity should also
what those instances are is an exceedingly complex be waived -so that Federal and State water rights can
subject itself and the removal of the complexity is an be determined and integrated into a single system of
independent reason for the recommendation. In administration. Owners of State water rights should
making this recommendation, the Commission is be able to sue the United States in Federal Courts for
following the lead of the Administrative Conference unlawful interference with the exercise of their rights.
of the United States and the American Bar Associa- Two legal doctrines enable the United States to
tion, both of which support S. S98, 92nd Congress, take State created water rights without payment of
which provides for a general waiver of sovereign compensation. The navigation servitude, created by
immunity. the courts and already greatly modified by Congress,
With respect to use of water, Recommendation allowed the United States to take land and water
13-2 would require Federal officials to conform to without paying for water-dependent values in naviga-
State law unless State law is inconsistent with the ble streams. This doctrine should be changed and the
accomplishment of Federal purposes as established by United States required to proceed pursuant to the
Congress. Federal officials are given authority to policies of Section 301 of the Uniform Relocation
determine what the statutory purposes are and Assistance,and Real Property Acquisition Act of 1970.

470

The reserved rights doctrine as it applies to RECOMMENDATIONS
withdrawals of land for purposes other than Indian 13-10. To achieve the reforms which the Commis-
Reservations was first announced in 1963 and permits sion believes should be made with respect to
the creation of a water right by mere reservation of Federal-State relations in the law of water
land for Federal use and without contemporaneous rights, the provisions of Recommendations
initiation of a water use. Many reservations were Nos. 13-1 through 13-9 should be enacted in
made between 70 and 100 years ago, but water has a proposed "National Water Rights Proce-
yet to be diverted onto the reserved land. Meanwhile, dures Act" covering the problems discussed
non-Federal uses have been made of the water supply, in this chapter of:
and these uses would be subject to divestment by
future Federal action. In order to prevent such a. conforming Federal water uses to State
divestment without compensation, the non-Indian procedures;
Federal reserved right to make use of water in the b. future use of water on Federal reserved
future should take its priority from the date the use is lands other than Indian Reservations;
initiated, not from the date of the reservation. c. the navigation servitude and the rule of
Minimum flows may be established using unappropri- no compensation;
ated water to protect instrearn values in waters on d. eminent domain procedures; and
Federal lands. e. sovereign immunity.

471

@ia@ AT

4VI

.... . ....
If

Chapter 14
Indian Water Rights

BACKGROUND and manner of use, and forfeiture of the right are
In the West, State law historically has provided for inapplicable to Indian water rights. Finally, nor do
creation of water rights by diversion of water from a the priority rules of appropriation law apply to
stream and its application to a beneficial use. The key Indian water rights. Ordinary appropriation rights
attribute of an appropriative right created in this date their priority from the time of use or from the
manner is its right to receive water in times of date of permit; Indian water rights have priority at
shortage before other rights similarly created later in least from the date the Indian Reservation was
time are served. As Western water law developed, established. Thus an Indian Reservation established
statutory modifications required the filing of an in 1865 which commences its first use of water in
application to appropriate water with a State official, 1965 has, in times of shortage, a right to receive
and upon grant of the application, a permit was water ahead of any non-Indian water right with a
issued as evidence of the water right. priority date after 1865. If an Indian Reservation is
Indian water rights are created outside of this determined to have an aboriginal water right dating
system of State law and exist independently of it.' from time immemorial, it will, of course, be the first
An Indian water right arises under Federal law. In priority on the river.
nearly all cases it comes into being when a Reserva- The legal principles governing Indian water rights
tion is created, whether the act of creation is a treaty, and the reasons behind them were established by the
in act of Congress, or an executive order, and it U.S. Supreme Court early in this century in the case
pertains to lands within the Reservation. Where the of Winters v. United States.' That case remains the
Reservation is located on lands aborigiDally owned by foundatio'n on which the law of Indian water rights
rests. The UnitedStates sued in behalf of the Indians
the Indian tribe, their water rights may even be said
to have existed from time immemorial. of the Fort Belknap Reservation to enjoin upstream
diversions that interfered with the flow of 120 cubic
No divers ,ion of water and application to beneficial feet per second I o.f water necessary fo Ir irrigating
use is necessary for the creation of an Indian water pasture and farmland on the Reservation. The defense
right: The right arises no later than the date the was that the defendants had acquired a water right
Reservation is established, although the first use of under StatIe law by diverting and applying water to
the water is much later in time. Moreover, no beneficial use prior to an .y use of water on the
application for a permit to appropriate water need be Reservation (excepting a small quantity not in issue).
made to a State official in order to create an Indian Accordingly, claimed the defendants, under Montana
water right because the right stems from Federal law. law and Western water law generally, the defendants
State regulations on initiation of u Ise, purpose, place were prior appropriators with the superior right. The
Court rejected the argument, stating : 3
This chapter deals exclusively with the rights of Indians to The power of the Government to reserve the
use water from surface streams on Indian Reservations. It waters and exempt them from appropriation
does not discuss Indian use of ground water, Indian rights
off Reservations, or rights of Indian allottees. under the state laws is, not denied, and could not

New techniques are being developed for irrigating the ' Winters v. United States, 207 U.S. 564 (1908).
Navajo Irrigation Project in New Mexico 3ibid., at 577.

473

be. [Citations omitted.] That the Government occupation and give up the waters which made it
did reserve them we have decided, and for a use valuable or adequate? * * * If it were possible to
which would be necessarily continued through believe affirmative answers, we might also be-
the years. This was done May 1, 1888 [the date lieve that the Indians were awed by the power of
the Reservation was established by an agreement the Government or deceived by its negotiators.
with the Indians] . * * ' Neither view is possible. The Government is
Having disposed of the issue of the power of the asserting the right of the Indians. But extremes
Goverrinlent to create a water right for an Indian need not be taken into account. By a rule of
Reservation, the Court was faced with the question of interpretation of agreements and treaties with
the exercise of the power. Did the Government the Indians, ambiguities occurring will be re-
intend to reserve water for the Fort Belknap Indian solved from the standpoint of the Indians. And
Reservation? This question was answered affirma- the rule should certainly be applied to determine
tively, in language that has since become the Great between two inferences, one of which would
4
Charter of Indian water rights. support the purpose of the agreement and the
The case, as we view it, turns on the agreement other impair or defeat it. On account of their
of May, 1888, resulting in the creation of Fort relations to the Government, it cannot be
Belknap Reservation. In the construction of this supposed that the Indians were alert to exclude
agreement there are certain elements to be by formal words every inference which might
considered that are prominent and significant. militate against or defeat the declared purpose
The reservation was a part of a very much larger of themselves and the Government, even if it
tract which the Indians had the right to occupy could be supposed that they had.the intelligence
and use and which was adequate for the habits to foresee the 'double sense' which might some
and wants of a nomadic and uncivilized people. time be urged against them.
It was the policy of the Government, it was the Following Winters, more than 50 years elapsed
desire of the Indians, to change those habits and before the Supreme Court again discussed significant
to become a pastoral and civilized people. If aspects of Indian water rights.5 During most of this
they should become such the original tract was 50-year period, the United States was pursuing a
too extensive, but a smaller tract would be policy of encouraging the settlement of the West and
inadequate without a change of conditions. The the creation of family-sized farms on its arid lands. In
lands were and and, without irrigation, were retrospect, it can be seen that this policy was pursued
practically valueless. And yet, it is contended, with little or no regard for Indian water rights and the
the means of irrigation were deliberately given Winters doctrine. With the encouragement, or at least
up by the Indians and deliberately accepted by the cooperation, of the Secretary of the Interior-the
the Government. The lands ceded were, it is very office entrusted with protection of all Indian
true, also arid; and some argument may be rights-many large irrigation projects were con-
urged, and is urged, that with their cession there
was the cession of the waters, without which 'The only Supreme Court opinion during the period was
they would be valueless, and "civilized commun- United States P. Powers, 30S U.S. 527 (1939), holding that
ities could not be established thereon." And allotted lands sold to non-Indians shared in the water
this, it is further contended, the Indians knew, supply reserved for the Reservation. The Court did not
and yet made no reservation of the waters. We consider the nature and extent of Indian water rights,
realize that there is a conflict of implications, noting, "The present proceeding is not properly framed to
that end." 305 U.S. at 533. However, the lower Federal
but that which makes for the retention of the courts did begin to refine the concepts underlying Indian
waters is of greater force than that which makes water rights and struggled with the difficult question of
for their cession. The Indians had command of admeasurement of the quantity of the entitlement. It is
the lands and the waters-command of all their unnecessary to review the cases here. See United States v.
beneficial use, whether kept for hunting, 'and Ahtanum Irr. D., 236 F.2d 321 (9th Cir. 1956), on second
appeal 330 F.2d 897 (9th Cir. 1964); United States v.
grazing roving herds of stock,' or turned to Walker River Irr. D., 104 F.2d 334 (9th Cir. 1939); United
agriculture and the arts of civilization. Did they States P. McIntire, 101 F.2d 650 (9th Cir. 1939); Skeem v.
give up all this? Did they reduce the area of their United States, 273 Fed. 93 (9th Cir. 1921); Conrad
Investment Co. v. United States, 161 Fed. 829 (9th Cir.
1908); United States v. Hilmer, 27 F.2d 909 (D. Ida.
41bid., at 575-77. 1928).

474

A - 1, @'2

'X,

Atk,

'A
W
e
J

Some Indian tribes rely heavily on fishing for their food supply

structed on streams that flowed through or bordered Winters case was not readily apparent, though with
Indian Reservations, sometimes above and more often hindsight it seems more obvious than the Department
below the Reservations. With few exceptions the of the Interior perceived. To many Indian tribes,
projects were planned and built by the Federal though not all, the confining way of life that goes
Government without any attempt to define, let alone along with intensive irrigation was not appealing.
protect, prior rights that Indian tribes might have had Their cultural values led them to prefer to pursue a
in the waters used for the projects. Before Arizona v livelihood as stockmen, hunters, and fishermen. For
California, referred to hereinafter, actions involv- religious and esthetic reasons they often preferred to
ing Indian water rights generally concerned then leave the waters of their Reservations undisturbed
existing uses by Indians and did not involve the full and free flowing. Indian Reservations often are
extent of rights under the Winters doctrine. In the located at high elevations with relatively short
history of the United States Government's treatment growing seasons and a paucity of fertile land, a
of Indian tribes, its failure to protect Indian water circumstance that may reflect discredit on the Gov-
rights for use on the Reservations it set aside for them ernment that located them there. Finally, it must be
is one of the sorrier chapters. admitted that the physical task of quantifying the
There were, it should be said in fairness, some water rights of a Reservation is difficult, expensive,
extenuating circumstances. The full reach of the and time consuming-a consideration that leads this

475

Commission hereinafter to recommend that where consisted mostly of reclamation projects, planned,
tribes lack the means, the United States appropriate financed, and operated by the Federal Government,
the necessary sums for the engineering, historical, and the same government that holds title to the Indian
legal studies that should precede the institution of water rights as trustee for the tribes.
legal action to quantify and define tribal water rights. Although Arizona v. California indicates that
In 1963, the Supreme Court of the United States "practicably irrigable acreage" is the appropriate
addressed for the second time the question of the formula for measuring the quantity of Indian water
nature and extent of Indian water rights. In reaffirm- rights for Reservations on which farming and ranch-
6
ing the Winters doctrine in Arizona v. California, the ing were expected to take place, other Indian
Supreme Court clarified substantially the question of Reservations created for other types of occupations
quantification of Indian water rights. The Special may have water rights measured by different formu-
Master had rejected both an open ended decree, las. The general principle seems to be that stated in
which would have the vices of uncertainty and lack of Winters, that the rule of interpretation of.agreements
finality, and final quantification based on projected with Indian Nations is that "which would support the
water requirements on the Reservations, which would purpose of the agreement."8 Thus, the United States
have the vice of all projections in granting too much now seeks a decree on behalf of the Pyran-dd Lake
or too little depending on the actuality of the future. Indians of sufficient water to maintain the Lake and
Instead, the Master adopted as the full and final its fisheries.'
measure of water rights for the Reservations the Arizona v. California is a graphic illustration of the
amount of water necessary to irrigate the practicably dilemma posed by the competition between Indian
irrigable acreage on the Reservations. The Supreme and non-Indian water rights. Most Indian Reserva-
Court affirmed this formula, stating: 7 tions were established before substantial water devel-
We also agree with the Master's conclusion as to opment was made by non Indians. Thus, Indian
the quantity of water intended to be reserved. priorities are usually superior to non-Indian priorities.
He found that the water was intended to satisfy But for a variety of reasons, including some alluded
the future as well as the present needs of the to above, Indian irrigation lagged far behind other
Indian reservations and ruled that enough water irrigation. The Nation is therefore confronted, in the
was reserved to irrigate all the practicably decade of the 1970's-100 or more years after most
irrigable acreage on the reservations. Arizona, on Indian Reservations were e stablishe d -with this
the other hand, contends that the quantity of dilemma: in the water-short West, billions of dollars
water reserved should, be measured by the have been invested, much of it by the Federal
'Indians' 'reasonably foreseeable needs,' which, Government, in water resource projects benefiting
in fact, means by the number of Indians. How non-Indians but using water in which the Indians have
many Indians there will be and what their future a priority of right if they choose to develop water
uses will be can only be guessed. We have projects of their own in the future. In short, the
concluded, as did the Master, that the only Nation faces a conflict between the right of Indians
feasible and fair way by which reserved water to develop their long-neglected water resources and
for the reservations can be measured is irrigable the impairment of enormous capital investments
acreage..The various acreages of irrigable land already made by non-Indians in the same water
which the Master found to be on the different supply. To resolve that conflict is not an easy task,
reservations we find to be reasonable. but the Commission believes it must address the
The am 'ount of water.adjudicated to the five Indian problem in a report which seeks to be comprehensive.
Reservations amounted to nearly I inillion acre-feet
out of a supply estimated at the time to be between 6 ACCEPTED PREMISES
and 7 million acre-feet. The five Reservations were In formulating its recommendations on Indian
for the most part sparsely inhabited and the priorities water rights, the Commission took as settled the
assigned to the Reservations generally antedated following propositions:
non-Indian priorities on the river, even though the
latter went back to the late 19th century and

'Arizona v. California; -373 U.S. 546 (1963)*1 decree, 376 Winters v. United States, 207 U.S. at 577.
U.S. 340 (1964). 9 United States v. Nevada and California, U.S. Supreme
7 37 3 U.S. at 600-01. Court, No. 59 Original, 1972 Term.

476

1. The cases of Winters v. United States and initiated under both State and Federal law (and oft@n
Arizona v. California establish beyond dispute that financed with Federal funds) and will impose eco-
water rights may attach to Indian Reservations upon nomic hardship, conceivably amounting in some cases
creation of the Reservations by any lawful means to disaster for users with large investments made over
(treaties, acts of Congress, executive orders, etc.). long periods of time. The existence of unquantified
2. The priority and quantity of these Indian Indian claims on streams not yet fully appropriated
water rights present questions of law which involve, makes determination of legally available supply diffi-
at least in part, an interpretation of the documents cult and thus prevents satisfactory future planning
creating each Reservation and may involve for some and development.
Reservations the question of aboriginal rights. These 7. The monetary value of unused Indian water
questions are judicial questions and legislation cannot rights is difficult but not impossible to determine. It
determine them or adversely affect such rights with- should be possible on a case-by-case basis to establish
out just compensation. The Indians, acting on their a fair market value for unused Indian water rights.
own behalf or in conjunction with the United States, The problem of valuation is no more difficult than
may initiate litigation to determine their water with other species of property that are not the
rights.' 0 subject of everyday commerce.
3. Indian water rights are different from Federal
reserved rights for such lands as national parks and
national forests, in that the United States is not the DISCUSSION AND RECOMMENDATIONS
owner of the Indian rights but is a trustee for the Recommendation No. 14-1: At the request of any
benefit of the Indians. While the United States may Indian tribe the Secretary of the Interior or such
sell, lease, quit claim, release, or otherwise convey its other Federal officer as the Congress may designate
own Federal reserved water rights, its powers and should conduct studies in cooperation with the Indian
duties regarding Indian water rights are constrained tribe of the water resources, the other natural
by its fiduciary duty to the Indian tribes who are resources, and the human resources available to its
beneficiaries of the trust. Reservation. An object of the studies should be to
4. The volume of water to which Indians have define and quantify Indian water rights in order to
rights may be large, for it may be measured by develop a general plan for the use of these rights in
irrigable acreage within a Reservation (i.e., land which conjunction with other tribal resources. When war-
is practicably susceptible of being irrigated) and not ranted by the results of such studies, litigation should
by Indian population, present use, or projected future be instituted by the United States in behalf of the
use. It may also be measured by other standards such Indian tribe to adjudicate its water rights. Congress
as flows necessary to sustain a valuable species of fish should appropriate funds to support the studies and
relied upon by the tribe for sustenance.' ' the litigation.
5. Development of supplies subject to Indian
water rights was not illegal. Ordinarily, therefore, Discussion - There is a need to niake an inventory
neither Indian tribes nor the United States as the of the resources on Indian Reservations as part of the
trustee of their property can enjoin the use of water planning for the economic and social development of
by others outside the Reservation prior to the time the reservations and their inhabitants. The Indians
the Indians themselves need the water. should have the major role in this planning, but
6. The future utilization of early Indian rights on Federal funds should be made available for its
fully appropriated streams will divest prior uses support. Irrigation is but one possible means of
"While the proposition that Indians alone may sue to development; other activities contributing to eco-
adjudicate water rights has not yet been squarely adopted nomic and social growth should be considered.
by the Supreme Court, it seems to be the congressional Indeed, it would be unfortunate if Indian tribes were
intent in 28 USCA 1362, and it seems 'to follow from to dedicate presently unused water rights to uneco-
other Indian litigation. See Poafpybitty v. Skelly Oil Co., nomic irrigation projects in a hasty effort to find
390 U.S. 365 (1968); United States P. Alpine Land and
Reservoir Co., 431 F.2d 763 (9th Cir. 1970); Great Lakes some use for the rights. If the other recommendations
fnter-Tribal Council, Inc. v. Voight, 309 F. Supp. 60 (D. made hereinafter are adopted, tribes will suffer no
Wis., 1970). prejudice from delaying use until valuable purposes
See United States v. California and Nevada, No. 59 are found for the water, since interim leasing to the
Original, 1972 Tenn, U.S. Supreme COUTt. United States is provided for.

477

Because non-Indian water resource development The recommendations so far have dealt primarily
tends to stifle water development on Indian Reserva- with quantification and recording of Indian water
tions, where both take from the same source of rights. It must be assumed that disagreements will
supply, a number of steps should be taken to arise between Indians and non-Indians over the
quantify uses in such cases of potential competition. priority dates and quantities of Indian water rights.
Settlement of such disputes, whether actual or
Recommendation No. 14-2: Prior to the authoriza- potential, requires action by some tribunal, and the
tion of any federally assisted non-Indian water question arises, what tribunal? Candidates for the
resource project, a final adjudication should be made nomination include (1) the State tribunals, employing
of all Indian water rights which when exercised could State procedures, (2) existing Federal courts, or (3) a
substantially affect the water supply for the project- Federal tribunal especially created for'the purpose.
Even a Federal administrative agency could be desig-
Discussion - This recommendation has two objec- nated as the initial forum, but judicial review would
tives: (1) to force consideration of the supply Of be required because of the many issues of law
water available to a non-Indian project and (2) to presented by Indian water rights litigation.
protect Indian Reservations from the claim that their The present law is somewhat uncertain on the
rights were indefinite when the non-Indian project adjudication of Indian water rights. It is clear that the
was built. By forcing quantification of Indian water United States can initiate litigation in Federal district
rights before a competing non-Indian Federal project courts on behalf of Indians to adjudicate Indian water
is built, the amount of water available for the project rights (as was done in the Winters case), and can
can be determined and its feasibility (or lack thereof) intervene in other litigation for that purpose (as was
can be established. If there is insufficient water for done in Arizona v. California). It also seems highly
both Indian and non-Indian development, an agree- probable, although there is no Supreme Court author-
ment with the Indian water rights holders will have to ity squarely on the question, that Indian tribes can
be made if the non-Indian project is to be secure in its themselves initiate litigation in Federal district courts
water supply. to adjudicate their water rights. What is less clear is
whether non-Indian water users and State officials (or
Recommendation No. 14-3: Existing water uses on the States themselves) can sue the United States and
Indian Reservations, whether or not they have yet the Indian tribes as defendants to obtain a water
been adjudicated, should be quantified and recorded rights adjudication. The issue turns on the interpreta-
in State water rights records for the purpose of tion of the McCarran Amendment, 12 waiving sovereign
providing notice of such use. AD adjudications or immunity of the United States in certain water rights
other binding determinations of Indian water rights adjudications. The only Supreme Court cases constru-
whether heretofore or hereafter rendered similarly ing the McCarran Amendment, the Eagle County"
should be recorded. When requested to do so by a and Water Division No. 5 14 cases, did not involve
tribe, the Secretary of the Interior should also file Indian water rights. With the law in this state of
notice of the existence of unquantified Indian water uncertainty, the Commission believes that new, clari-
rights with the appropriate State official. fying legislation' is desirable.

Discussion - This recommendation is in accord Recommendation No. 14-4: Jurisdiction of all actions
with the general belief of the Commission that State affecting Indian water rights should be in the U.S.
records should accurately reflect all actual and District Court for the district or districts in which lie
potential uses of water. Water resource planning, the Indian Reservation and the water body to be
development, and administration depend upon accu- adjudicated. Indian tribes may initiate such actions
rate compilations of claims against supply. Quantifi- and the United States and affected Indian tribes may
cation of existing uses should not require litigation 'McCarran Water Rights Suits Act, P.L. 495, Section 208,
but only a report by the Secretary of the Interior. Juty 10, 1952, 82d Congress, 66 Stat. 549, 560, 43 USCA
Quantification and recording of Indian water rights 666.
with State officials would not-and could not under 'United States v. District Court of Eagle County, 401 U.S.
controlling law-affect in any way the special charac- 520(1971).
teristics of the rights created and guaranteed by 14 United States v, District Court for Water Division No. 5,
Federal law. 401 U.S. 527 (1971).

478

be joined as parties in any such action. The jurisdic- them, or even on a significant number. Until an
tion of the Federal district court in such actions should adjudication is necessary to establish the supply
be exclusive, except where Article III of the Constitu- available for further Indian or non-Indian develop-
tion grants jurisdiction to the U.S. Supreme Court. In ment, or until an Indian or non-Indian use interferes
such actions, the United States should represent the with an existing use by the other, an adjudication
Indian tribes whose water rights are in issue, unless may cost more than it is worth and hence will be
the tribe itself becomes a party to the action and avoided. If it should develop that Federal district
requests permission to represent itself. Any State in courts are unduly burdened by Indian water rights
which the Reservation ties and any State having water cases, or that they are ill-adapted to adjudicate them,
users that might be affected by an Indian water rights further attention can then be given to the establish-
adjudication may initiate an adjudication and may ment of a special court. For the present, the
intervene in an adjudication commenced by others, suggestion seems premature.
including adjudications initiated by the United States One further reason for establishing a special court
and by Indian tribes. Upon such appearance by the has been advanced: the inability under existing law of
State, the State may move to represent its non-Indian any court other than the U.S. Supreme Court to
water users ptyens paftiae, and the motion should be adjudicate interstate stream disputes. No court in the
granted except as to non-Indian water users as to Nation, short of the Supreme Court when States and
whom the State has a conflict of interest. the United States are parties, has power to adjudicate
Discussion - Because of potential conflict between rights along a river in two or more States. State courts
Indian and non-Indian water users and to avoid the lack power to act outside of State boundaries;
suspicion of bias that might attend adjudication by Federal district courts now lack the jurisdiction to do
elected State officials, the Commission recommends so, though they could be given it by Congress. These
that Indian water rights be adjudicated in Federal impediments to interstate stream adjudications have
court, the traditional forum for this kind of litigation. existed since the formation of the Union, and they
An effort should be made to simplify the litigation have forced into the Supreme Court some trouble-
when numerous water users are affected, by allowing some litigation that might better have been handled
the State to represent them parens patriae. A final in Federal district courts. But the Commission has
decree would be binding on all affected users in the insufficient evidence that interstate Indian water
State and the water supply would be administered in rights controversies are sufficiently numerous and
accordance with State-created priorities for non- incapable of settlement by other means to recom-
Indians and the Federal adjudication of the Indian mend either that jurisdiction of Federal district
water rights. In effect, the Federal adjudication courts be extended or that a special Federal court be
would be a supplementary adjudication for deter- granted interstate jurisdiction.
mining the amount of water available to the Indian Indian Water Rights Not Yet Utilized
Reservation and its place on the list of priorities.
A third alternative forum, in addition to State Most Indian water rights have not yet been
tribunals and Federal district courts, was also consid- adjudicated and therefore the dates of the rights and
ered by the Commission. Several spokesmen for their quantities are not yet fixed in judicial decrees.
Indian interests suggested that a special Federal court Even where the rights have been judicially deter-
be created for adjudicating Indian water claims. The mined, as in Arizona v. California, not all of the water
advantages of specialized knowledge and more expe- set aside for Reservations has been put to use at the
ditious disposition of lawsuits were claimed to out- present time. As time goes on, increased utilization of
weigh the disadvantages of increased litigation costs the water reserved for Indians may be expected to
and the special court's lack of knowledge of local occur, and as a result the water supply of some
conditions. The Commission has been reluctant to existing non-Indian projects is likely to be decreased.
recommend the creation of a special Federal court to The injuries resulting from this collision between
adjudicate all Indian water rights. In the first place, Indian and non-Indian uses may be mitigated in some
not enough evidence now exists that such a court instances by improved water practices in the affected
would keep occupied. While there are a large number projects,' 5 but in other cases conflict will be un-
of Indian Reservations with rights that have not yet avoidable as demand for water will exceed the supply.
been adjudicated, it is not clear that either Indians or See, for example, Pyramid Lake Paiute Tribe v. Morton,
non-Indians are about to launch litigation on all of 4 E.R.C. 1714 (D.D.C. November 9, 1972).

479

This problem gives the Commission great concern streams, that is, in streams all of whose waters are
and will become of increasing concern to the Nation. being put to beneficial use. The Commission starts
The Indians unquestionably should be encouraged to with the proposition that such acquisition must be
make use of water that is legally as well as morally made with the consent of the Indian water rights
theirs. Moreover the United States should offer holders; eminent domain should not be employed as a
financial assistance to Indian tribes which lack the tool to extinguish unused Indian water rights, for the
funds to make economic use of their water. At the promise to the Indians that there would be water
same time, efforts should be made to cushion the available to the Reservation ought to be honored in
shock of those who have over decades made large kind if that is the Indians' desire. 16
investments in irrigation and municipal water supply If, on the other hand, an Indian tribe should desire
and who accordingly have quite legitimate expecta- to lease some or all of its water, procedures should be
tions of legal protection. In considering what advice established to make this possible. The Corrunission
to give the President and the Congress on the conflict recommends that on fully appropriated streams the
between these two just causes, the Commission has United States make a continuing, binding offer to
explored three alternatives: (1) that nothing at all be lease any interest in Indian water that Indians care to
done, leaving the situation as it now stands; (2) that tender, at a price fixed by fair market value for the
the United States make a standing offer to acquire, in interest tendered. Thus, Indians would have choices
whole or in part, Indian water rights in fully ranging from long-term leases of their water rights to
appropriated streams, at the sole option of the Indian the lease of their water from year to year under
owners; or (3) that non-Indian users injured by contracts renewable at the option of the Indians. No
subsequent Indian water development be compen- time limit should be placed on the right of the
sated for the losses suffered. None of the alternatives Indians to lease and the duty of the Federal Govern-
is wholly satisfactory, but on balance the Commission ment to accept the offer, for the Indians should not
has concluded that a combination of the second and be forced into untimely decisions on questions of
third alternatives provides the greatest hope for a great importance to them. Since the purpose of this
solution. recommendation is to reduce the conflict between
potential Indian uses and existing non-Indian uses, it
No Action: A recommendation that nothing be done would apply to fully appropriated streams only. If
might have the advantage of not stirring up trouble ' there is unappropriated water available, the Indian
although the growing awareness by the Indian tribes use would not impair non-Indian uses, and vice versa.
of the existence and value of their water rights makes Where an Indian tribe leases water to the United
this doubtful. It would also save the Federal Treasury States, the Commission recommends that the lease
some money, although the economy would be likely payments be charged to those non-Indian users who
to suffer. But such a recommendation has the had actual notice, or whose predecessors in title had
weakness of failing to face up to existing problems actual notice of the prior Indian rights at the time
that almost certainly will become more pressing in they commenced their use. However, the Commission
the next 20 years. The costs of inaction are possible would not charge such lease payments to non-Indian
deprivation of benefits that rightly belong to Indian water users who had no notice of the superior Indian
tribes, and more generally the social losses from water rights. As to such users, the Commission
impaired planning and deterred investment in both believes the United States itself should assume finan-
Indian and non4ndian uses on streams not fully cial responsibility for the lease payments.
appropriated and the disruption of existing uses on It is unnecessary and inadvisable to provide for
fully appropriated streams when presently unused quantification of all Indian water rights as a prerequi-
Indian rights are subsequently utilized. Because of the site to the operation of this lease arrangement. On
concern of both Indians and non-Indians, the Corn- many Indian Reservations there will be no desire to
mission believes that a do-nothing recommendation is lease any water; on others, the quantity of the Indian
an abdication of responsibility. entitlement will not be in dispute; and on still others,
Standing Offer to Acquire Unused Indian Water "'An exception would be the taking by eminent domain of
land and water incidental to the exercise by the United
Rights in Fully Appropriated Streams: A second States of a sovereign power for a public purpose; for
alternative is for the United States to offer to acquire example, the construction of a flood control project, or a
unused Indian water rights in fully appropriated public highway.

480

the quantity can be established by negotiation. Thus, though the supply was subject to Indian rights. For
to provide for mandatory quantification is wasteful example, the United States entered into a contract
of resources. Moreover, binding quantification must with the Metropolitan Water District of Southern
be accomplished by judicial action, for the priority California in 1933 for the construction and operation
and amount of Indian water rights present questions of Parker Dam as the diversion point for the Colorado
of law. Neither Congress nor an administrative agency River Aqueduct, which was built by the District with
can now declare the extent of Indian water rights, for a capacity of 1.3 million acre-feet per year at a cost
those rights vested in the Indian tribes when the to the District in excess of $200 rnillion. The Parker
Reservations were established. Hence, rather than Dam Project was authorized and the delivery contract
providing for blanket adjudication of Indian water confirmed by Congress in 1935.17 At that time, as
rights, at great cost and for no purpose in many Congress knew well, a number of Indian Reservations
instances, the Commission recommends adjudications had water rights in the mainstream of the Colorado
only when there is a genuine controversy. Procedures River in an amount not yet quantified but with
for such adjudications were set forth heretofore in priority dates much earlier than the Aqueduct's.
Recommendation No. 14-4. Those claims were later quantified at approximately I
million acre-feet in Arizona v. California and if the
Recommendation No. 14-5: Congress should make water is ever fully utilized by the Indians, the supply
available financial assistance to Indian tribes which for the Aqueduct will be substantially diminished.
lack the funds to make economic use of their water The Commission believes it is unfair to deprive users
to permit them to make econontic use of it. In of their water supply without compensation when
addition, Congress should enact legislation providing Congress has supported investments in projects whose
that on fully appropriated streams the United States supply was subject to unused Indian rights.
shall make a standing offer of indefinite duration to Not all water users subject to divestment by the
Indian tribes to lease for periods not to exceed 50 exercise of Indian water rights are beneficiaries of
years any water or water rights tendered by the Federal projects, but the Conunission believes that
Indian owners at the fair market value of the interest these users should receive protection too. The Federal
tendered. Government led the way in developing the West for
non-Indian beneficiaries, and if private investors and
Compensation of Non-Indian Users State and local governments followed, the protection
The preceding recommendation helps to solve the afforded Federal beneficiaries should be accorded to
clash between Indian claims and earlier initiated the others. The Federal Government was the trustee
non-Indian uses when Indians are prepared to accept for the Indians and their water rights, yet by its
the offer of the United States to acquire Indian actions in developing its own projects on streams
water. But the problem still remains when the Indians subject to Indian claims it was indicating that such
wish to make use of their water and the use will development was proper and that such investments
impair a non-Indian use earlier in time though later in would be secure. If that representation turns out to
legal priority. In such cases, the Commission recom- be wrong, those who suffer injury should receive
mends that the United States provide a substitute protection whether or not they take their water from
water supply for the non-Indians users, or, if that is a Federal project.
not feasible, compensate them for the impairment of It cannot be persuasively argued that in every
existing values, unless the non-Indian users had notice development since 1908 investors have had adequate
of the Indian water rights at the time they com- notice of the superior Indian water rights merely
menced the development and had reason to believe because of the decision in the Winters case. That
that the water supply would be inadequate to serve decision gave little indication of the magnitude of
both Indian and non-Indian uses. Indian claims, and the quantity awarded in other
For those who have made investments and are cases thereafter remained relatively small until Ari-
presently making use of water subject to divestment zona v. California adopted the irrigable acreage
by the exercise of Indian rights, the provision of formula in 1963. Even that decision is not dispositive;
substitute water or the payment of compensation can the Court did not hold that the irrigable acreage
formula is required as a matter of law, and it did not
be justified on the grounds of fairness. It has been the
historic policy of the Federal Government to encour- 17Act of August 30, 1935, P.L. 409, Section 2, 74th
age development of water resources by others, even Congress, 49 Stat. 1028, 1039.

481

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-y "N
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V
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Main irrigation canal under construction on Colorado River Reservation in Arizona

set forth any standards for determining how much of existing users. The Commission endorses this
acreage is irrigable. In light of these circumstances, it approach and recommends that the cost of providing
cannot be fairly said that in the absence of a special a substitute supply or paying compensation to non-
showing of actual notice of conflicting Indian water Indian users whose supply is impaired be treated as
rights non-Indian investors in water projects pro- nonreimbursable-a general obligation of the Nation
ceeded at their own risk before Arizona v. California. as a whole-and not be charged to the Indian project.
There is precedent for the Federal Government
assuming the financial responsibility for disruption Recommendation No. 14-6: Congress should enact
occasioned by the implementation of Federal policies legislation providing that whenever the construction
and programs. Section 202 of the Colorado River and operation of a water resource project on an
Basin Project Act declared the necessity of meeting Indian Reservation shall take,-destroy, or impair any
the requirements of the U.S.-Mexican Water Treaty to water right valid under State law to the diversion,
be a national obligation to be satisfied by the storage, or use of water off the Reservation, which
nonreimbursable Federal importation of water into right was initiated prior to the date of the decision in
the basin rather than by reduction of the water rights Arizona v. California (June 3, 1963), the United

482

States shall provide a substitute water supply or pay Reservations at this time, no new Federal water
just compensation to the owner of such right; resource project should go forward until an adjudica-
provided, however, that: tion is had of Indian water rights that might
a. such owner shall not be entitled to a substitute substantially affect the project's water supply.
supply or to compensation if prior to develop- The forum for adjudicating Indian water rights has
ment of his right he had actual notice of received the Commission's attention. At one time the
conflicting Indian water rights claims that would Commission proposed to adjudicate Indian water
render the water supply inadequate to serve the rights in State tribunals according to State procedures
diversion requirements of himself and the Indian with an appeal to the Federal circuit court of appeals.
Reservation, and The Indian tribes objected to the proposal because of
b. compensation shall not include values created by controversies stretching back over the years between
subsidies granted by the United States to such State officials and Indians over water rights. It
owner. seemed preferable, therefore, to place the litigation in
The cost of such compensation shall be recognized the Federal courts, the traditional forum for deter-
as a prior national obligation and shall not be mining Indian water rights.
reimbursable by the beneficiaries of water resource The most intractable problem the Commission
projects on Indian reservations. faced is the conflict between existing non-Indian uses
and newly initiated Indian withdrawals. While the
Indians often have legal superiority to make use of
CONCLUSIONS water, a later initiated Indian use often would disrupt
preexisting non-Indian uses representing large Fed-
The Commission concludes that there is increasing eral, State, and private investments. One means of
danger of conflict between Indian and non-Indian ameliorating the conflict is to provide for the Federal
uses of water. The problem arises from the fact that Government to lease Indian water and water
many non-Indian water resource projects rely on rights in fully appropriated streams when the Indians
supplies in which Indians have water rights with are of a mind to sell, but condemnation of unused
earlier priorities. Indians wish to make use of their Indian water rights is not an acceptable solution to
water, and the Commission, recognizing the legiti- the problem when Indians do not wish to sell. In that
macy of this desire, believes that the Secretary of the event, the Commission recommends that a substitute
Interior should conduct studies of the natural and water supply be provided, or if that is not feasible
human resources available on Indian Reservations in that compensation be granted to non-Indian water
cooperation with the Indians for the purpose of rights holders whose supply is impaired by future
developing plans for the utilization of the resources. Indian development. This protection would be
At the same time, it is important to obtain a afforded only for development undertaken before the
quantification of existing uses on Indian Reservations decision in Arizona v. California (June 3, 1963) and
and to provide procedures for adjudicating Indian in the absence of actual advance knowledge of the
rights to make new uses. These quantifications should existence of conflicting Indian water rights imperiling
be filed for information purposes with the State the water supply of the non-Indian development. The
authorities who maintain records of non-Indian uses costs of the compensation would be a national
within the State, but such filings should not subject obligation not chargeable to Indian projects and the
Indian water uses to State laws or State regulation. compensation would not include those values gener-
While adjudications are not necessary for all Indian ated by Federal subsidies to the non-Indian users.

483

@4N 7,

----------- apter 15
Paying the Costs of Water
Development Projects'

In this chapter the Commission deals with the portant. Furthermore, the Nation's water resources
subject of how the costs of water development are now more highly used and the demands on them
projects are shared among various levels of govern- Are so great that they are becoming increasingly
ment and the direct and indirect beneficiaries of the valuable. New cost-sharing policies are needed to
project. encourage improved management of water and re-
Policies for cost-sharing are separate from, al- lated resources and to increase fairness in the distri-
though closely related to, policies of economic bution of financial burdens. Water shortages expected
evaluation. The question of whether a project should in the future will create an insistent demand that the
be developed is not the same as the question of who users of water and water-related services pay in full
should pay for it if it is developed. However, the for the benefits they receive.
question of who pays for a project will often The need for reform of cost-sharing policies has
determine the enthusiasm with which the project is long been recognized, but numerous attempts by
supported and the prospects for its authorization. interdepartmental committees, most recently under
IPresent policies governing Federal and non-Federal sponsorship of the Water Resources Council, have
cost-sharing arrangements in the water resources field met with little success. The supporters and bene-
have been established over a long period of time by ficiaries of project construction, quite understand-
unrelated congressional actions on particular projects ably, have resisted proposals for higher non-Federal
and programs and by similarly uncoordinated admin- shares as a threat to development programs and, in
istrative determinations. As a result, these policies are the case of beneficiaries, to their pocketbooks.
now inconsistent among programs, among purposes, Reform of cost-sharing policies will require ex-
and among agencies. The situation causes widespread tensive attention by the Congress. The Commission
confusion, results in distorted development, en- believes the following analysis of present cost-sharing
courages local interests to "shop around" among policies and of the principles which should be
agencies to get the most favorable arrangement, and considered and its specific recommendations for
results in deviations from principles of equity which reform will aid congressional consideration of the
require that beneficiaries should bear an appropriate subject.
share of project costs.
The Commission believes that most past decisions PRESENT FEDERAL COST-SHARING POLICIES
on cost-sharing policies were wisely made given the Present cost-sharing policies have been developed
circumstances of the time. However, circumstances by the Congress and by administrative decisions. The
have changed. The urgencies of such goals as develop- Congress establishes general policy in two ways. The
ing the West and recovery from the Great Depression
are no longer present. New national concerns, such as
protection of the environment, are increasingly im- Background for this chapter is contained in a report
prepared for the National Water Commission by the
National Bureau of Standards: MARSHALL, Harold E &
Ae users of recreational facilities at irrigation project BROUSSALIAN, VL (January 1972). Federal Cost-
Sharing Policies for Water Resources. National Technical
reservoirs should pay their appropriate share of the Information Service, Springfield, Va., Accession No. PB
costs 208304.

485

first is through formal statements of cost-sharing Since cost-sharing policy should be viewed as a
policy contained in legislative acts covering broad means for accomplishing national objectives, one
programs such as flood control and water quality would expect consistent cost-sharing rules among the
control. The second way is by Congress repeatedly construction agencies dealing with the same purposes,
authorizing Federal agencies to carry out specific but not necessarily among the grant agencies. In fact,
programs or activities, and including cost-sharing cost-sharing policies are inconsistent among both
arrangements in the authorizations. When this is done construction and grant agencies. The following dis-
consistently over a period of time, it is usually cussion describes these cost-sharing policies by water
considered that a firm congressional policy has thus development purposes.
been established. Cost-Sharing for Waterway Navigation and Harbors
Federal cost-sharing policies affect the "construc-
tion" agencies-the U.S. Army Corps of Engineers The Federal government generally bears all costs of
(Corps), the U.S. Bureau of Reclamation (Bureau), constructing, operating, and maintaining waterways
and the U.S. Soil Conservation Services (SCS)-and and channels for navigation purposes, including res-
the "grant" agencies which help finance non-Federal ervoir storage necessary to maintain minimum flows
water projects.' for navigation. Non-Federal interests provide neces-
In comparing the construction agencies with the sary land, easements, and rights-of-way plus public
Federal grant agencies, it may be observed that terminals and port facilities and in some instances
whereas the different construction agencies fre- share in the construction costs in accordance with
quently have common developmental objectives, such special or local benefits received? Neither user
as providing flood protection, recreation, or water charges nor tolls are collected for use of the improved
supply benefits, the grant agencies are each charged harbor or waterway except on the St. Lawrence
with a different objective. The Environmental Pro- Seaway4 and the Panama Canal.5
tection Agency (EPA), for example, is a grant agency In a few instances, Congress has specifically author-
concerned with environmental improvement. The ized Federal funds for non-Federal projects providing
U.S. Department of Housing and Urban Development navigation benefits.
(HUD) furthers improved community development.
The Farmers Home Administration (FHA) in the U.S. Cost-Sharing for Irrigation
Department of Argiculture seeks development of
rural areas. The Economic Development Administra- The general policy calls for project construction
tion (EDA) is the U.S. Department of Commerce costs allocated to irrigation on Federal reclamation
attempts to increase incomes in depressed areas. Each projects to be repaid without interest during a
grant agency pursues its independent objective, some- 50-year period. However, under Section 9 the Recla-
6
times through programs of financial aid for provision mation Project Act of 1939, and other legislation,
of water and sewer services. revenues from hydroelectric power and from other

'T6chnically, the SCS program is a grant program because cost-sharing requirements were placed on the Port of
construction is supposed to be contracted by local Portland, Oregon, for the initial opening of the deepwater
watershed organizations. The projects are usually designed channel in the Columbia and Willamette Rivers from
and supervised by SCS personnel, and local organizations Portland to the sea early in the 20th century. More
may request SCS to award the contracts for project recently, efforts of the Corps of Engineers to require 50
construction. See 16 USCA 1005(2). percent cost-sharing on the deepening of the channel in the
'Under the provisions of Section 2 of the River and Harbor Delaware River above Philadelphia were rebuffed by the
Act of 1920 (P.L. 263, 66th Congress, 2d Session, June 5, Congress. See House Document 358, 83rd Congress, and
1920, 41 Stat. 1009, 1010, 33 USCA 547), the U.S. Army hearings on H.R. 9859, 83rd Congress, 2d Session, which
Corps of Engineers is required to include a statement in its became the River and Harbor Act of September 3, 1954,
reports on proposed navigation projects of the special or P.L. 780, 83rd Congress.
local benefits anticipated from the project and recom- 4Act ofMay 13,1954, P.L. 358, Sec. 12, 83rd Congress, 68
mendations as to the local cooperation that should be Stat, 92, 96-97, as amended, 33 USCA 988.
required as a result of those benefits. During the Commis-
sion's New Orleans conference on the review draft of this 'Act of July 5, 1884, c. 229, Sec. 4, 48th Congress, lst
report, the Executive Director of the Port of Houston Session, 23 Stat. 133, 147, as amended, 33 USCA 5.
Authority explained how the city had financed half the 6P.L. 260, 76th Congress, ist Session, August 4, 1939, 53
initial cost of the Houston Ship Channel in 1912. Sirrdlar Stat. 1187, 1193-1196, as amended, 43 USCA 485h.

486

water users have been applied to repayment of the varies from project to project, with the irrigators
construction costs for irrigation facilities where irriga- generally paying about half of the construction costs
tors do not have the ability to repay the interest-free allocated to irrigation."
irrigation cost allocation. Repayment of interest-free
construction costs allocated to irrigation for all Cost-Sharing for Flood Control
authorized projects is currently estimated to be about Flood control cost-sharing varies with the types of
60 percent from power revenue S.7 On many projects facilities constructed. With respect to major reser-
the irrigation water users will actually repay only voirs, costs of flood control, including operation and
about 10 to 15 percent of the total allocated maintenance, are borne entirely by the Federal
irrigation construction costs, including interest. There Government. 12 With respect to minor reservoirs, the
has also been criticism that some of the allocations of policy is the same except that the Corps of Engineers
multipdrpose project costs to nonreimbursable may recommend that non-Federal interests be re-
features have been excessive and, therefore, some of quired to provide land, easements, and rights-of-way
the allocations to irrigation are unjustifiably low.8 if the reservoir is clearly in lieu of a local protection
The proportion of allocated irrigation construction project.
costs designated for repayment by irrigators, on the The policy for local protection projects, including
basis of their capacity to pay, varies greatly among levees, flood walls, and channel improvements, re-
projects and project units. Among 21 units in the quires non-Federal interests to provide land, ease-
Missouri Basin Project, the proportion of allocated ments, and rights-of-way, and to operate and
irrigation costs designated for repayment without maintain the projects after completion, except for a
interest ranged from zero to 72 percent.' In only two few projects authorized in the 1938 Flood Control
project units were irrigators designated to pay more Act or as a part of the Mississippi River and
than 40 percent of allocated construction costs. Tributaries Project. The non-Federal cost shares of
Operation and maintenance costs are assessed these local protection projects average 20 percent of
against the irrigation districts served, except for installation costs but have varied from I to 60
irrigation water delivered under utility-type contracts percent.
where delivery prices include both repayment of Hurricane protection projects under Corps policy
construction costs, and operation and maintenance require at least 30 percent local cost-sharing for
costs. construction and local assumption of all project
Irrigation cost-sharing policy for Soil Conservation operation costs. The policy for beach erosion control
Service small watershed projects (so-called P.L. 566 projects, protecting nonfederally owned shoreline, is
projects)' 0 requires that non-Federal interests assume for the Federal Government to assume up to 70
operation and maintenance costs and pay one-half of percent of construction costs depending on the
the allocated installation costs. Local interests may degree of public ownership and public use. Protection
obtain interest-bearing loans for this purpose from of private property without public access receives no
the Farmers Home Adn-dnistration. cost-sharing assistance. Operation, maintenance, and
On irrigation projects built by the Corps of land rights costs are borne by non-Federal entities.
Engineers in the Eastern States, cost-sharing policy Under the P.L. 566 program, the Soil Conservation
Service pays all construction costs allocated to flood
7U.S. BUREAU OF RECLAMATION (1969). Summary control. Non-Federal interests provide land, ease-
Report of the Commissioner, Statistical Appendix. U.S. ments, and rights-of-way, and operate and maintain
Government Printing Office, Washington, D.C. Part 11, p. the projects after completion.
78. -
8HOGAN, Harry (1972). The Acreage Limitation in the In a few instances specifically authorized by
Federal Reclamation Program, prepared for the National Congress, Federal funds have been provided for State
Water Commission. National Technical Information Serv- and local flood control projects in amounts not to
ice, Springfield, Va., Accession No. PB 211 840. p. 231. exceed what the Federal flood control cost share
9U:S. BUREAU OF RECLAMATION (1970). Summary would have been in a similar Federal project.
Report of the Commissioner, Statistical and Financial
Appendix. U.S. Government Printing Office, Washington,
D.C. Part IV, pp. 159-227. 1 'For an example of how this is computed, see Chapter 5,
Watershed Protection and Flood Prevention Act of 1954, Section C.
P.L. 566, 83rd Congress, August 4, 1954, 68 Stat. 666, as "Flood Control Act of 1938, P.L. 761, 75th Congress, June
amended, 16 USCA 1001 et seq. 28, 1938, 52 Stat. 121S, 33 USCA 701c-1.

487

Cost-Sharing for Drainage to power production. It is required to repay to the
Under Federal flood control acts,' ' the Corps of Treasury from net power revenues the Federal invest-
ment in power facilities which earlier had been
Engineers may undertake channelization. of major appropriated by Congress, plus a return on that
tributaries providing outlets for non-Federal drainage investment. In addition, TVA pays approximately
enterprises. Administrative policy is to recommend $25 million annually to State and local governments
that non-Federal interests assume one-half the costs in lieu of taxes.
allocated to land enhancement (increase in market There is some dispute that the interest rate used
value). Congress accepted these Corps recommenda- for repayment of the Federal investment in hydro-
tions for the Central and Southern Florida projects electric facilities is artifically low, although in recent
but in other cases it has not, particularly for Corps years it has been increased. Also, to the extent that
projects in the lower Mississippi Valley.
The SCS under the P.L. S66 program provides most Federal power projects do not pay taxes, it is
drainage for lands in agricultural production. Non- said that power consumers' rates do not cover all
Federal interests are required to provide land, ease- 61 costs." On the other hand, to the extent that power
ments, and rights-of-way, and to bear up to 50 rates must cover some irrigation subsidies and to the
percent of the installation and operation and extent that unrealistically short amortization periods
maintenance costs. No Federal cost-sharing assistance are assigned to some Federal power facilities, power
is provided for drainage in urban areas except as rates are higher than they might otherwise be.
drainage conditions may be ameliorated by urban Cost-Sharing for Recreation
flood control projects. The Federal Water Project Recreation Act of
Cost-Sharing for Hydroelectric Projects 1965 14 was intended to encourage the States and
Electric power generated by Corps of Engineers or other non-Federal public entities to assume responsi-
Bureau of Reclamation projects is generally sold at bility for the development of recreation potentials
prices sufficient to recover all project costs allocated created by Federal reservoirs. For any particular
to power, including interest. The power is generally Federal water project, the responsible Federal agency
marketed by agencies of the U.S. Department of the is authorized to bear 50 percent of the "separable"
Interior. In several Western river basins that include cost of providing recreational facilities and to make
both hydropower and irrigation water projects, con- available Federal lands for the use of non-Federal
solidated "basin accounts" are used. On Federal entities agreeing to operate and maintain these
Reclamation Projects power revenues in excess of facilities. All "joint" costs allocable to recreation are
those needed to repay costs allocated to power with borne entirely by the Federal Government."
interest are used to repay interest free costs allocated Only a few non-Federal entities have taken advan-
@o irrigation. In many projects, power users have tage of the terms of the Act. If non-Federal interests
benefited from generous amounts of joint costs do not accept responsibility for recreation develop-
allocated to nonreimbursable purposes such as flood ment, the responsible Federal agency must bear the
control or navigation. cost of developing "minimum facilities that are
The consolidated financial plan of the Bonneville required for the public health and safety" and that
Power Administration permits the use of revenues are accessible by roads previously in existence or
from older projects on which all reimbursable power otherwise necessary for project construction. In
costs have been paid, to pay power costs of new certain cases, the Federal Government may bear the
projects as well as some of the costs allocated to full cost of developing, operating, and maintaining
irrigation. The plan provides for paying all of the reservoir recreation areas that are designated by the
system power costs within 50 years after the last Congress as "National Recreation Areas."
powerplant is completed. The SCS assists non-Federal entities to develop
Electric power produced by the Tennessee Valley recreation potentials created by P.L. 566 reservoirs,
Authority (TVA) is marketed by TVA. TVA now and bears 50 percent of the construction cost thereof,
including land rights.
operates under a system of self-financing with respect -
"'Federal WaterProject Recreation Act of 1965, P.L. 89-72,
13FIbod Control Act of 1944, P.L. 534, 78th Congress, 2d July 9, 1965, 79 Stat, 213, as amended, 16 USCA 460 1-12
Session, December 22, 1944, Section 2, 58 Stat. 887, 889, et seq.
33 USCA 70la-1. See Glossary for definition of separable and joint costs.

488

At flood control and navigation projects other than allowed on the costs of storage for future supply so
reservoir- projects the Corps encourages non-Federal long as that supply is not used. No more than 30
development of recreation potentials by leasing lands percent of the costs of the project may be allocated
without charge and by paying up to 50 percent of to storage for future supply! 7
development costs if a non-Federal entity will agree Capacity for water supply may also be included in
to operate and maintain the development. reservoirs constructed under the P.L. S66 program of
In the case of small boat harbor projects, the Corps SCS. Non-Federal interests must repay all the costs of
requires non-Federal interests to (I)make cash con- storage for future supply and at least one-half the
tributions equal to 50 percent of those harbor costs costs of storage for present supply needs. Provision is
allocable to recreation and (2)provide lands, ease- made for postponement of the payment of the costs
ments, rights-of-way, spoil disposal areas, and onshore of storage for future supply and for an interest-free
facilities. period of up to 10 years as above! "
The grant agencies also provide Federal cost-
Cost-Sharing for Fish and Wildlife Protection and sharing for storage and conveyance of municipal and
Improvement industrial water. HUD and FHA provide up to 50
perceiit of construction and land rights costs. EDA
The cost of measures for preventing or offsetting may supplement other grants up to a maximum of 80
damages to fish and wildlife under the Fish and percent of construction costs. Operation and main-
Wildlife Coordination Act' 6 are allocated to the tenance, however, is a non-Federal responsibility
various purposes served by a project and shared in by under municipal and industrial water supply pro-
the Federal Government and others in accordance grams.
with the cost-sharing policies applicable to those
respective purposes. Cost-Sharing for Wastewater Collection
If costs are incurred to improve the fish and The grant agencies provide Federal cost-sharing for
wildlife resource over what it would otherwise be sewage collection projects, HUD may grant up to 50
without the project, and if the basic purpose of percent of wastewater collection project costs or,
including measures for improvement is to create under need criteria, up to 90 percent for communities
recreational benefits, the cost-sharing policy applied of less than 10,000 people. FHA, limited to rural
to these costs is that established by the Federat Water communities under 10,000 people, may grant up to
Project Recreation Act described above (i.e., the 50 percent of sewage collection project costs. EDA
Federal Government pays 50 percent of separable may supplement other grants up to 80 percent (100
costs and 100 percent of joint costs allocable to percent for Indians) in areas qualifying for economic
recreation)- development assistance! 9
The costs of those fish and wildlife facilities that
remain under Federal administration, such as a Cost-Sharing for Interceptor Sewers and Sewage
national fish hatchery provided in connection with a Treatment Plants
Federal water project or a national wildlife refuge, are
bome entirely by the Federal Government. The same policies that apply to HUD, FHA, and
EDA for wastewater collection also apply for inter-
Cost-Sharing for Municipal and Industrial Water
supply "' Water Supply Act of 1958, P.L. 85-500, Title 111, July 3,
Both the Bureau of Reclamation and the U.S. 1958, 72 Stat. 297, 319, as amended, 43 USCA 390b.
Army Corps of Engineers may include storage "Rural Development Act of 1972, P.L. 92-419, August 30,
capacity in reservoirs to make water available for 1972, Sec. 201(f), 86 Stat. 657, 668 (amending the
municipal and industrial use. All the construction Watershed Protection and Flood Prevention Act of 1954),
16 USCA 1004.
costs of storage for present or anticipated future 19 Under the Urban Growth and New Community Develop-
demand must be repaid, with interest, by State or ment Act of 1970, "new community assistance projects"
local interests. No payment for the costs of storage including water and sewer facilities may receive 20 percent
for future supply need be made until the supply is construction grants up to a total of 80 percent for all
first used. An interest-free period of up to 10 years is Federal funds. Urban Growth and New Community
Development Act of 1970, P.L. 91-609, December 31,
16Fish and Wildlife Coordination Act, P.L. 85-624, August 1970, See. 781, 84 Stat. 1770, 1799, as amended, 45
12, 1958, 72 Stat. 563, as amended, 16 USCA 661 et seq. USCA 4519.

489

ceptor sewers and sewage treatment. In addition, the but not for reservoirs, the community may reject
Environmental Protection Agency (EPA) provides levees and bargain in favor of a more costly large
grants for up to 75 percent of such project cost. reservoir which provides the same protection.
Likewise, the least-cost means of irrigating a tract
Cost-Sharing for Water Quality Enhancement of land might call for a system of pumps and
Section 2 of the Federal Water Pollution Control sprinkler irrigation with high operating costs. Because
Act Amendments of 1961'0 authorized the inclusion Reclamation law provides a subsidy only for capital
in Federal reservoirs of capacity to store water for costs and not operating expenses, the irrigators may
release at times of low flow to improve water quality- select a high capital cost, water wasteful, gravity
The 1961 Act provided that the Federal Government flow, flood irrigation system which has low operating
shall pay all the costs of such additional storage expense.
where the benefits aye "widespread or national in Cost-sharing policies should provide incentives for
scope." The practical effect has been to provide for Federal and non-Federal interests to agree on projects
flow augmentation entirely at Federal expense. Con- that will be most desirable for both the Nation and
gress has approved inclusion of this capacity in a few the local area. This does not imply that there is a
Corps of Engineers projects. It has disapproved single percentage of cost-sharing that will be suitable
inclusion of similar capacity in Bureau of Reclama- in all circumstances. But, there is need to reform
tion reservoirs. Authority was recently granted by cost-sharing policies to provide consistent incentives
amendments" to P.L. 566 for inclusion of similar for bargaining to achieve selection of the most
capacity in SCS reservoirs under cost-sharing policies desirable projects from both national and local
to be consistent with those adopted by the Water viewpoints. Present cost-sharing policies provide
Resources Council .22 inconsistent incentives in several major respects.
Maximum percentages for Federal cost shares are (1) They are inconsistent among means. For example,
summarized in Tables 15-1 and 15-2. alternative means of achieving a particular purpose
such as flood reduction. (2) Policies differ among
APPRAISAL OF PRESENT COST-SHARING agencies for similar purposes. (3) Policies differ
POLICIES among purposes. (4) Policies for repayment of non-
Federal cost shares are not consistent among the
Planning a Federal or federally assisted water several major water development purposes.
project involving cost-sharing sometimes leads to
negotiations between the Federal and non-Federal Inconsistency Among Means
interests over the kind of project, size of project, and Present cost-sharing policies require different cost
the mix of project services. A loss in net benefits may shares for different means of accomplishing the same
result if, because of cost-sharing policies, non-Federal objectives. For example, an analysis of local annual
interests negotiate for an inferior project, but one cost shares for 31 Corps of Engineers local flood
that is desirable from a local financial standpoint. For protection projects authorized in the 1968 Flood
example, the least-cost means of providing flood Control Act revealed wide ranges both within and
protection for a community may be a levee system. among different means of flood control: For channel
But, because local cost-sharing is required for levees improvements, the local cost share varied from 7.8
"P.L. 87-88, July 20, 1961, 75 Stat. 204-205. Section percent to 54.3 percent; for diversion channels, 9.5
102(b) of the Federal Water Pollution Control Act percent to 53.7 percent; for levees, zero to 49.7
Amendments of 1972, P.L. 92-500, Oct. 18, 1972, 86 percent; for small reservoirs, 33.9 percent to 42.9
Stat. 816, 817, contains similar provisions for storage percent; and for one conduit project, 8.2 percent."
capacity for water quality control. Wide variation of cost shares within a particular
"Rural Development Act of 1972, P.L. 92419, August 30, means results from varying costs of land rights and
1972, Sec. 201(e), 86 Stat. 657, 668, 16 USCA 1004. other local contributions. A study of 462 Corps local
"The Water Resources Council has proposed that cost of
reservoir capacity for low flow augmentation for water 23MARSHALL, Harold E & BROUSSALIAN VL, U.S.
quality improvement should be shared on a matching basis. National Bureau of Standards (January 1972). Federal
U.S. WATER RESOURCES COUNCIL (1971). Proposed Cost-Sharing Policies for Water Resources, prepared for the
principles and standards for planning water and related National Water Commission. National Technical Informa-
land resources. Federal Register 36(245):24144-24194, tion Service, Springfield, Va., Accession No. PB 208 304.
Part 11. December 2 1, 197 1. p. 139.

490

TABLE 15-1.- Maximum Federal cost shares for construction agencies

Percentage of Costs
Land, Easements
and Rights- Operation, Maintenance
Purpose Agencya Construction of-Wayb and Replacement

FLOOD PROTECTION Bureau 100 100 100
SCS 100 0 0
[Local Flood Protection] Corps 100 0 0
[Large Reservoir] Corps 100 100 100

NAVIGATION Bureau 100 100 100
Corps 100 oc 100
[Recreation; small boat
harbors] Corps 50 0 100
HYDROELECTRIC POWER Bureau od 0 0
Corps od 0 0

MUNICIPAL AND INDUSTRIAL
WATER SUPPLY Bureau 0 0 0
SCS 50 0 0
Corps 0 0 0

IRRIGATION Bureau Variable Variable 0
SCS 50 0 0
Corps Variable Variable 0

WATER QUALITY [Low ,
flow augmentation] Corps too 100 100

RECREATION: FISH AND
WILDLIFE ENHANCEMENT Bureau 50 and 1 ood 50 0 and I ooe
SCS 50 50 0
Corps 50 and 100d 50 0 and looe

DRAINAGE Bureau Variable Variable 0
SCS 50 0 0
Corps 50 50 0

a Bureau=Bureau of Reclamation, SCS=Soil Conservation Service, Corps=Army Corps of Engineers.
b When Federal lands are involved, they axe provided to the project without charge.
c Costs of lands, easements, and rights-of-way for navigation reservoirs are borne by the Federal Government.
d Hydroelectric power users may have benefited from unwarranted allocation of joint construction costs to
other project purposes and from repayment arrangements with low interest rates.
e The two percentages represent the maximum Federal shares of separable and joint costs, respectively.

491

TABLE 15-2.-Maximum Federal cost shares for grant agencies

Percentages of Costs
Purpose Type of Agency
Facility Land, Easements and Operation, Maintenance
Construction Rights-of-Way and Replacement

HUD 50-90 50-90 0
Collection FHA 50 50 0
Sewers EDA 50-80b 50-80b 0
Pollution
Abatement Treatment EPA 75 0 0
Plants and FHA 50 50 0
Interceptor EDA 50-80b 50-80b 0
Sewers

Conveyance HUD 50 50 0
Water Supply and FHA so 50 0
Reservoir EDA 50-80b 50-80b 0

a Cost share percentages shown in the Table are taken from the respective agencies' legislative acts.
b EDA can pay up to 100% of eligible costs on a project for American Indians.

flood protection projects indicated a weighted The Corps was ultimately authorized to build the 13
average local share of 18 percent of construction reservoirs allocated to the SCS in the original plan. As
CoStS.2 4 a result, all of the costs of land rights and operation
There are instances where no Federal assistance is and maintenance allocated to flood control and
available to undertake the most efficient means in a amounting to $4.7 million, will be borne by the
given situation, such as relocation of residences in lieu Federal Government. Had the SCS built at the 13
of flood reduction or the use of instrearn aeration in sites, the $4.7 million would have been borne by the
lieu of low flow augmentation for water quality local interests. Unquestionably, the local interests
enhancement. (other things equal) chose the Corps project because
it saved them money."
Inconsistency Among Agencies for Similar Purposes
In a number of instances, several construction Inconsistency Among Water Purposes
agencies have different cost-sharing policies for the Existing cost-sharing policies for multiple -purpose
same or a similar purpose, such as flood reduction, projects provide for the Federal Government to
irrigation, or recreation. This situation leads to assume large shares of the costs allocated to some
unproductive competition between agencies and purposes, such as flood reduction, and little or none
"shopping around" by local interests for the best of the costs allocated to other purposes, such as
deal. municipal water supply. This provides strong incen-
For example, a study of the Papillion Creek project tives for non-Federal interests to bargain for the
in Nebraska suggests that high local costs for land formulation of projects where costs can be allocated
rights and for operation and maintenance induced to purposes requiring minimum or no local cost-
local groups to choose a Corps project over the sharing. If non-Federal interests are not required to
original proposal of a joint Corps-SCS project. The
original project plan called for 21 reservoir sites, 13
to be undertaken by the SCS and eight by the Corps. 2 S LOUGHLIN JC (April 1970). Cost-sharing for Federal
water resources programs with emphasis on flood protec-
"'Ibid., p. 141. tion. Water Resources Research 6(2):374-378.

492

contribute significantly toward the costs for a par- legislation authorizing those projects, but it has been
ticular water purpose, there is little incentive for the silent on the matter of repayment interest rates with
local interests to seek the most desirable project from respect to other projects. Except for the Water
the standpoint of the Nation. It follows that some Supply Act of 1958, which established a rate formula
non-Federal cost-sharing for all water purposes should for use in repaying costs associated with the supply of
be included in multiple -purpose projects. municipal and industrial water, Congress has not
Inconsistency Among Repayment Arrangements enacted general legislation covering the subject of
repayment interest rates. The interest rate policy on
Ideally, all parties to a cost-sharing agreement reimbursable costs of projects for which repayment
should provide their respective shares at the time rate formulas have not been stipulated in the author-
project costs are incurred. This practice would help to izing acts has been established primarily through
insure that all members of each group fully under- agency administrative decisions. 26
stood their financial burden and it would reduce the Repayment interest rates and formulas used for
Federal overhead now required to administer repay- reimbursement of water project costs have varied
ment arrangements. among agencies and for different purposes of develop-
Presently the Federal Government often advances ment. For example, reclamation law has provided for
funds for the full cost of building a project and project cost shares associated with irrigation to be
permits repayment of the local cost share over a repaid Mthout interest. Though a single consistent
period of time. In effect, these are loans to the policy has not emerged for other purposes, in the past
non-Federal entities and the terms of repayment are repayment interest rates have been based generally
critical. Present policies for repayment of such upon average interest rates paid (coupon rates) on
non-Federal cost shares are inconsistent among agen- outstanding long-term Federal bonds.
cies and among purposes. Cuff ently, the repayment interest rate policy on
Investments in water resource development proj- new Federal power projects is tied closely to the
ects are financed by diverting funds either from Water Resources Council interest rate policy used for
public and private consumption or from alternative evaluating the economic feasibility of proposed proj-
investments. If reimbursement policy does not pro- ects. In effect, these policies are based not on the
vide for repayment of the non-Federal cost share with interest rate paid (coupon rate) by the Treasury on
interest comparable to the interest paid by the outstanding long-term U.S. Government bonds, but
Federal Government on its borrowings, the interest more or -less on the average current market yield for
foregone is an additional Federal contribution. such bonds. With current interest rates substantially
The Commission supports the use of Federal cost- higher than in the past, the new repayment interest
sharing (subsidies) when it is the best way to obtain rate, which is applicable only to new projects, is
desirable social objectives. However, due to their significantly higher than the old.27
complexity, current policies for reimbursement of There seems to be little logic and a large measure
cost shares are not easily understood and the sub- of inconsistency in the variety of repayment interest
sidies inherent in them are not readily apparent. For rates specified in different acts and developed admin-
example, if 6 percent interest is the cost of capital to istratively by agencies for water development pur-
the Government, project beneficiaries who begin poses. Moreover, although cost-sharing policy may
immediate repayment of their cost shares in equal reflect the intent of Congress to favor one particular
annual installments over 50 years, but with no charge objective of water development over another, on the
for interest, pay an equivalent of only 32 percent basis of sound economics, there seems to be a lack of
rather than 100 percent of their real (i.e., with logic in the difference that presently exists between
interest) cost share.
Interest costs during construction and during devel- HOGGAN DH (June 197 0). Repayment interest rates for
opment periods following construction should prop- water projects. Water Resources Research 6(3):683-688.
erly be considered a part of the construction costs. A 2 7 For example, a Government bond maturing 10 years from
delay in repayment of 10 years, at 6 percent interest, now, with a coupon rate of 3-1/4 percent, and originally
increases the equivalent investment cost by 79 per- issued at par, may now be selling on the market for a price
of $80 for each $100 of par value. Accordingly, it would
cent. have a current market yield to maturity of approximately
Congress has included interest rate formulas for 6 percent compared with its coupon rate (the rate which
repaying reimbursable costs of some projects in the the Treasury pays) of only 3-1/4 percent.

493

interest rates used for evaluation of proposed projects Cost-Sharing Policies Should be Consistent Among
and the interest rates used for repayment of actual Federal Agencies for the Same Water Purpose: Pres-
project costs. Unless a deliberate subsidy is intended ent cost-sharing policies for specified water purposes
to be injected by way of the repayment interest rate, are inconsistent among Federal agencies, which leads
it should be the same as the discount rate used in to considerable confusion and establishes incentives
formulating the project. Otherwise, unintended sub- for distortion. Projects of some agencies are "pushed"
sidies will be bestowed. more vigorously than similar or superior projects of
other agencies. The grant agencies have established an
interagency coordinating committee to channel appli-
CONCLUSIONS cations to a single agency for negotiation, and
The Comirtission believes that joint Federal and thereby reduce or avoid the practice of "shopping
non-Federal financing of water development projects around" by local groups. The Commission endorses
is a useful and appropriate procedure for accom- this kind of coordination.
plishing national objectives. However, the Comiiu*s- Cost-Sharing Policies Need Not Require a Uniform
sion has found what many other students of the Percentage of Cost-Sharing for All Water Develop-
subject have found and declared over many years- ments: Cost-sharing policies, varying among purposes
present cost-sharing policies are grossly inconsistent and programs, cannot be improved simply by adop-
and lead to inefficiencies and inequities at both ting a uniform cost-sharing formula. Variability among
Federal and non-Federal levels. projects and shifting social preferences makes the
There is a critical and long-recognized need for adoption of a simple uniform percentage rule unwise.
reform of cost-sharing policies. In the Commission's
judgment, desirable reforms will not be forthcoming Cost-Sharing Policies Should Require Uniform Terms
until cost-sharing policies receive extensive attention for the Repayment of Non-Federal Cost Shares:'The
and review in the Congress. The Commission believes considered use of subsidies which result when direct
that the Congress should undertake such a review, beneficiaries are relieved of some of the costs of
looking toward enactment -of cost-sharing legislation water projects may be a desirable means for the
designed to remedy the deficiencies and to achieve Federal Government to accomplish some public
the goals discussed in the following paragraphs. policy objectives. When subsidies are granted, how-
Deficiencies in Present Cost-Sharing Policies ever, it is desirable that they should be open and
straightforward, so that considered and informed
Cost-Sharing Policies Should be Consistent Among reviews may be carried out from time to time as
Alternative Means for Accomplishing the Same Pur- objectives and conditions change. It is the Commis-
pose: Inconsistency in cost-sharing among different sion's position that the proportion of Federal finan-
means for achieving a given purpose (such as flood cial assistance to non-Federal interests should be set
control or water quality improvement) is a serious forth in decisions on cost-sharing and not concealed
deficiency of present policies and leads to some in policies governing the terms of repayment. Present
means being inappropriately favored over others. To inconsistencies in this regard contribute to misalloca-
reduce these inconsistencies, (1) uniform cost-sharing tions of the Nation's always-limited investment
policies should apply to all alternatives for a given capital resources.
purpose now available under agency authority and The use of a lower interest rate for repayment
(2) the authorized scope of an agency's approaches to arrangements than the interest rate used for project
project development should be broadened to permit evaluation purposes is one of several alternative ways
alternative means of producing desired ends, such as to inject subsidies into water projects. But, unlike
ground water pumping instead of dam building to straightforward allocations of project costs to non-
augment periodic low strearnflows, or relocation of reimbursable purposes, it tends to obscure the true
people and property from hazard areas instead of magnitude of the subsidy. Hence, the Commission
levee building to protect against floods. To remedy believes that unless it can be demonstrated as
this deficiency will probably require a broadening of unsuitable, it is preferable that the interest rate used
the concept of a "project." For example, a flood for project evaluation and for repayment arrange-
control "project" might involve relocation of people ments should be comparable (assuming, of course,
away from a hazard area. they realistically reflect the yield on long-term U.S.

494

Government securities) .18 In addition, the Commis- The Role of Subsidies
sion believes that interest costs during construction The Commission does not disapprove of subsidies.
and development should be included in the cost of But it believes that subsidies are only justified if they
projects and, where such costs are reimbursable, serve some compelling social purpose; where society
should be paid by beneficiaries. benefits, but where conventional markets and pricing
Cost-Sharing Policies Should Promote Equity Amo mechanisms cannot provide those benefits. The Com-
ng mission believes that a general rule to follow is this:
Project Beneficiaries and Taxpayers: Present cost- Direct beneficiaries of water projects who can be
sharing policies tempt Federal water project bene- identified and reached should ordinarily be obliged to
ficiaries to request projects that they would not be
willing to pay for if their own money were involved. pay all project costs that are allocated to the services
This leads to unwise development. For example, large from which they benefit. Where water projects are to
Federal cost shares of flood control, drainage, and be subsidized because conventional markets and
shoreline or hurricane protection projects have en- pricing mechanisms cannot be counted on to achieve
couraged unwise economic developments in areas socially desired benefits, such subsidized projects
prone to periodic flooding and hurricane hazards. In should be the most efficient way to achieve the
some cases, large windfall gains have accrued to purposes for which they are developed. It need
landowners and valuable open space and wetland scarcely be added that whatever cost-sharing arrange-
areas have been destroyed. Likewise, availability of ments are adopted should be financially sound and
interest-free financing for irrigation projects has led administratively feasible.
to the construction of projects and facilities far in Goals of Cost-Sharing Policy
advance of need, and to the reclamation of lands at per
acre costs far in excess of the value of the land The initial step in the general review of cost-sharing
after the project is completed. policies should be to reconsider the goals that water
Only by placing development of water projects for development programs are designed to accomplish.
purposes that yield economic returns on a self- The Commission believes that the general goals of
supporting basis can equity be promoted. The Commis- water project development should be: (1) to provide
sion believes that the best way to do this is for adequate supplies of water and water-related services
the identifiable users of project services insofar as is for the Nation developed at least-cost over time; (2)
practicable and administratively feasible to bear their to promote the efficient use of water and water-
proportional share of development and operating related services by users; (3) to encourage improved
costs of the projects through systems of pricing or management of land and other related resources in
beneficiary charges such as special assessments, taxes, conjunction with water; and (4) to promote harmony
and fees. of water developments with other national policies
and programs. These national goals can best be
Cost-Sharing Policies Should Not Lead to Expansion achieved through complementary activities by Fed-
of the Federal Role in Water Resources: Availability eral, State, and local governments and by private
of Federal money under favorable cost-sharing ar- enterprise. Cost-sharing policies should be reshaped to
rangements has led in many instances to Federal promote achievement of these goals.
construction of projects that could just as well have When direct beneficiaries share in the costs of
been built by non-Federal interests. Not only does Federal projects, costs are distributed more equitably
this inequitably shift part of the cost of local benefits and incentives are provided to improve water develop-
to Federal taxpayers, but it tends to move control ment projects. Such cost-sharing by non-Federal
over water resources to Washington officials and interests:
increase the size of the Federal payroll. To alleviate I . Provides incentives to require that Federal
this situation, the Commission believes cost-sharing water projects harmonize with land and water
arrangements should be the same for projects that management activities of regional, State, and
serve the national interest, whether they are built by local governments and of private interests as
Federal agencies or by non-Federal entities. well.
2. Discourages uneconomic development to serve
See discussion of evaluation discount rate, Chapter 10, low-value uses or in advance of real need for
Section D. project services.

495

F'4

Users should pay full costs of small boat harbors such as this one at Hastings, Minn.

3. Reduces unfair subsidization by promoting a resources policies that are in harmony with other
more equitable distribution of costs. national programs and policies. This requires projects
4. Reduces windfall gains to landowners and to be in the proper locations, at the proper time, to
others. provide the proper services in the proper amounts.
Cost-sharing policies should be equitable, with project
In summary, appropriate cost-sharing policies beneficiaries bearing proportionate shares of project
should provide incentives for the selection of efficient costs. Adoption of the following recommendations
projects that will lead to progress toward water will lead toward the achievement of these goals.

496

RECOMMENDATIONS (2) Extension of the System: Appro-
Legislation should be enacted to govern cost- priate Federal or non-Federal en-
sharing policy for Federal and federally assisted water tities should be required to reim-
developments, including arrangements for repayment burse the Federal Treasury, from
over a period of time not beyond the useful life of charges assessed against the bene-
projects of costs reimbursable to the Federal Govern- ficiaries of the project over its useful
ment, and incorporating the principles stated below. life, for the entire first cost of each
addition to the existing inland
waterway system, with interest
15-1. Insofar as is practicable and administratively equal to prevailing yield rates for
feasible, the identifiable beneficiaries of proj- long-term U.S. Treasury bonds at
ect services should bear appropriate shares of the time of construction; provided
development and operating costs through that, if the Congress should deter-
systems of pricing or user charges (eg., special mine that a part of the cost of any
assessments, taxes, fees, etc.), as follows: such addition is properly chargeable
a. Municipal and Industrial Water Supply - to national defense, it should
Costs of Federal reservoir capacity allo- authorize assumption of that part
cated to municipal and industrial water by the Federal Treasury.
supply should be completely recovered, d. Electric Power - All real costs of con-
with interest equal to prevailing yield struction, operation, and maintenance of
rates for long-term U.S. Treasury bonds future Federal hydropower projects
at the time of construction. should be recovered through sale of
b. Irrigation Water Supply - All costs of power at rates based on the true eco-
new Federal irrigation facilities should be nomic costs of production and trans-
recovered from irrigators and other direct mission. Appropriate payments from
beneficiaries through contracting entities, power revenues should be made to local
with interest equal to prevailing yield governments in lieu of taxes. Any excess
rates for long-term U.S. Treasury bonds revenues after the project is paid out
at the time of construction. should be returned to the Treasury.
c. Inland Navigation - Costs incurred by e. Water-Based Recreation - Recreation ad-
the Federal Government for the opera- mission and user fees should be collected
tion, maintenance, and extension of the from all identifiable recreation users of
Nation's shallow-draft inland waterway Federal water projects where revenues
system should be recovered as follows: can be expected to exceed the costs of
collection. The goal should be to recover
(1) Operation and Maintenance: By a operation, maintenance, and replacement
combination of: (a) a uniform tax costs of recreation facilities, but charges
on all fuels used by commercial and should be related to fees charged for
recreational vessels when operating comparable nearby private facilities. If
on the system; (b) lockage charges recreation and user fees are inadequate to
at Federal locks in amounts suffi- offset the full recreation operation, main-
cient to repay the cost of operating tenance, and replacement costs, consider-
and maintaining all of the locks ation should be given to making up the
within integral segments of the total deficit from other recreation-related reve-
system. The charges should be nue sources such as excise taxes on
imposed gradually to allow the in- water-related recreation equipment.
dustry time to adapt over a 10-year Where construction or operation of water
period, after which the total development projects destroys, preempts,
amounts collected should be suffi- or degrades natural recreation opportu-
cient to recover the entire cost of nities, beneficiaries of the principal pur-
operating and maintaining the total poses of the project should pay, as part
system. of the project's costs, for development

497

and operation of substitute recreation enhancement of common species of fish and
facilities to compensate for lost recrea- wildlife should be primarily a non-Federal
tion opportunities. responsibility and should be financed by
f. Municipal Waste Collection and Treat- States or, possibly, by Federal-State grant
ment - Costs of municipal waste collec- programs for these purposes. Cost of enhance-
tion and treatment should be recovered ment of species which can safely be harvested
through charges based on the costs that should be borne by user charges such as
users impose on the system; however, special duck stamps or license fees.
Federal grants will be required for a 15-3. Regional Development
sufficient period to finance the massive Economic development benefits of water
investment programs now required to projects accruing only to one region may
eliminate the backlog produced by gener- result in offsetting losses in other regions.
ations of waste treatment neglect and This result may be desirable and intended,
meet higher standards now imposed. The i.e., it may be national policy to develop one
Commission believes this period should region, for example, Appalachia, without re-
be 10 years. Federal grants should be gard for other regions. However, the analysis
contingent on the adoption by the of whether a water project is the best use of
grantee of schedules of user charges that Federal funds for development of a particular
will recover all system costs exclusive of region requires the expertise and judgment of
Federal and State grants. agencies in addition to Federal water develop-
9. Flood Control, Drainage, and Shoreline ment agencies. In any particular region, Fed-
Protection, Including Hurricane Protec- eral funds might be more effectively em-
tion - Costs of Federal or federally ployed to achieve regional development by
assisted projects providing such benefits investing in transportation, education, or
as protecting lands through flood control, manpower training programs rather than in
drainage, and shoreline protection, in- water projects.
cluding hurricane protection, should be
recovered from identifiable beneficiaries Federal construction agencies should not be
through local units of government such as authorized to share in water project costs that
municipalities, flood control, drainage, or are allocated to strictly regional development
shoreline protection districts that have objectives. However, grants from other Fed-
power to make assessments upon lands eral agencies with regional economic objec-
benefited by the projects, or through tives, such as EDA, should be eligible to meet
State governments because of their criti- such costs.
cal role in determining flood plain man- 15-4. Low Flow Augmentation
agement, with interest equal to prevailing
yield rates on long term U.S. Treasury Where practical, costs of low flow augmenta-
bonds outstanding at the time of con- tion should be allocated and paid for in
struction. accordance with distribution of benefits. The
15-2. Enhancing Environmental Values beneficiaries of low flow augmentation are
difficult to identify in a precise way, however,
There should be heavy Federal financial in- because release of stored water serves a
volvement in the preservation and enhance- number of purposes simultaneously. For
ment of nationally significant water-related example, low flow augmentation may benefit
environmental areas including wild and scenic water supply, costs of which should be fully
rivers, such as the Salmon, Buffalo, reimbursed. It"may benefit navigation, costs
Suwannee, or upper Delaware, or unique of which should be paid for by user fees. It
wetlands, such as the Everglades. There is a usually enhances fish and wildlife which
Federal responsibility for enhancement of should be paid for by the States involved
migratory waterfowl and anadromous fish unless national benefits are created. It also
species and for the preservation of designated provides esthetic benefits which are of sub-
endangered wildlife species. However, the stantial regional or national value but not

498

easily quantified or assigned to specific bene- reservoir were under Federal control. In the
ficiaries. Since it will be impossible to quan- case where water supply or low flow augmen-
tify all benefits and identify all beneficiaries, tation is -needed, the additional reservoir
remaining unallocated costs should be as- capacity should be financed by the Federal
signed to water quality improvement and Government where necessary and the costs
shared between Federal and non-Federal en- subsequently recovered from the respective
tities in the same proportion as grants-in-aid water users in accordance with recommenda-
for waste treatment facilities. The cost share tions for the purpose served.
proportions, however, should be adjusted 15-6. Repayment Arrangements
when necessary to reflect changes in the grant Where the provision of initial excess capacity
program for waste treatment. in water development projects is economically
15-5. Non-Federal Projects and environmentally superior to alternative
Toward the end of providing financial incen- piecemeal development of a series of smaller
tives for the optimum design and operation of projects as each is needed, long-term Federal
non-Federal multiple-purpose water projects, financing should be made available. This will
cost-sharing policies for Federal participation be a definite advantage for project bene-
in such projects should be the same as for ficiaries even where reimbursement requires
Federal water projects. Non-Federal projects full repayment with interest. Such long-term
also serve the national interest and Federal financing will facilitate development of large
cost-sharing policies should fully recognize and complex projects serving various purposes
their contributions. For example, the river where full capacity may not be utilized for
regulation purposes served by a hydroelectric several years. Repayment policies should pro-
power or water supply reservoir under State, vide for flexible repayment arrangements with
local, or private ownership should be eligible provisions for deferred repayments and the
for the same post-sharing assistance as if the capitalization of deferred interest charges.

499

t -:4,

. . . . . . . . . .

'SN

VIK' 111w,

Chapter 16
Financing Water Programs

The successful achievement of water development necessarily the place to economize in government
goals depends upon the availability of adequate expenditure, but is convinced that there is need for
financial resources. The selection of realistic program realistic reappraisals of the goals, programs and
goals depends upon assessments of the Nation's program schedules, and the means of financing
financial capability and the setting of priorities of governmental programs at all levels of government.
expenditure to meet various national goals of which The financial resources of the Nation are limited and
water development is only one. judgments must be made as to national investment
This chapter presents various estimates of capital priorities in both the public and private sectors and
demands for water programs and discusses alternative among Federal, State, and local governments.
means of raising the necessary financial resources.
The capital demands presented are general estimates. CAPITAL DEMANDS FOR WATER RESOURCES
They are included only to give a perspective on cost DEVELOPMENT
of meeting various water development goals. These This section indicates the general magnitude of
estimates are not "needs" in any absolute sense. They funding "demands" that may be expected for con-
must be related to the goals that might be adopted struction activities for water resources and closely
which will require very large capital expenditures in related purposes. Estimates for water developments
the next several years, particularly in the light of the are based primarily on projections of past trends and
recently stated congressional water quality program project costs identified in comprehensive river basin
goal of no discharge of pollutants into navigable plans. For water pollution control, cost estimates
waters by 1985. The Commission, however, does not from various sources are presented to indicate the
endorse the concept of "no discharge" on the general order of magnitude of the differences in costs
grounds that such a goal is prohibitively costly and of meeting various goals for water quality programs,
ignores the ultimate problem of waste disposal. If As such, the funding levels presented are intended for
wastes cannot be recycled, they must be disposed of information and comparison purposes and should not
in air, water, or land disposal sites. Thus, the be interpreted as amounts endorsed by the National
Commission's counsel is to thoroughly appraise the Water Commission as needed to implement specific
alternatives in each situation and to make reasoned programs or policies.
judgments among them. These alternatives include Water pollution control activities are given special
alternative goals, alternative programs, alternative attention because current indications are that future
schedules for attaining selected goals, and alternative expenditures in this category could greatly over-
means of financing the investments. shadow those in other water resource categories.
It appears that revenues from available taxing
sources will be barely adequate to meet projected Historic Trends
demands for various programs at all levels of govern-
ment over the next several years.' The Commission Information published by the Office of Manage-
does not feel that water development programs are ment and Budget in conjunction with the President's

- ------- ----------------
----- ----------------
'See SCHULTZE, Charles L et aL (1972). Setting National
Grand Coulee Dam, a key.feature of $2 billion Priorities, The 1973 Budget. The Brookings Institution,
Columbia Basin project Washington, D.C. Chapters 12 & 13,

501

TABLE 16-I.-Federat outlays by category and agency for water resources and related developments (in millions of dollars)

1971 1972 1973 1974
Program and Agency Actual Actual Estimate Estimate

Flood control works:
Agriculture: Soil Conservation Service (mostly grants) 65.5 71.2 90.7 75.3
Defense-Civil: Corps of Engineers 404.1 457.1 562.6 497.9
Interior: Bureau of Reclamation 2.4 1.8 2.5 2.4
State: International Boundary and Water Commission 1.8 2.9 7.8 12.3
Tennessee Valley Authority 0.4 . 1 .9 .9
Total flood control works 474.2 533.1 664.5 588.8
Beach erosion control: Defense-Civit: Corps of Engineers 1.7 3.0 4.2 2.8

Irrigation and water conservation works:
Agriculture: Sod Conservation Service (grants) 10.9 12.1 15.4 14.0
Interior:
Bureau of Indian Affairs 6.9 11.7 13.0 IS.0
Bureau of Reclamation (includes grants and loans) 64.6 84.3 147.6 122.5
Total irrigation works 82.4 108.1 176.0 151.5

Navigation facilities:
Commerce: Economic Development Administration (mostly grants) 15.0 14.5 12.5
Defense-Civil:
Corps of Engineers 220.0 233.3 259.3 218.7
Panama Canal Company .1 1.8 1.0
Transportation: Saint Lawrence Seaway Corporation 0.1 .5 .6 1.7
Tennessee Valley Authority 0.3 2.2 4.9 .6
Total navigation facdities 220.4 251.1 281.1 234.5

Multiple-purpose dams and reservoirs with hydroelectric power facilities:
Defense-Civil: Corps of Engineers 326.3 380.9 312.4 306.3
Interior: Bureau of Reclamation 119.2 144.7 181.3 149.5
Tennessee Valley Authority' 31.9 39.9 57.7 74.7
Total multiple-purpose facilities 477.4 565.5 551.4 530.5

Powerplants:
Defense-Civil: Panama Canal Company 4.0 .3
Interior: Territorial Affairs (grants) 2.8 1.9 2.2 1.1
Tennessee Valley Authority 364.6 452.7 333.7 351.4
Total powerplants 367.4 454.6 339.9 352.8

Power transmission facilities:
Defense-Civil: Panama Canal Company 1.2 .8 .2
Interior:
Territorial Affairs (grants) 1.0 .8 .2
Bureau of Reclamation 10.8 6.9 8.8 16.9
Bonneville Power Administration 101.9 90.2 82.3 89.8
Southwestern Power Administration 2.4 2.6 L7 .6
Tennessee Valley Authority 72.9 75.3 84@6 75.8
Total power transmission facilities 188.0 177.2 179.0 183.5

Water supply and waste disposal facilities:
Agriculture:
Farmers Home Administration (grants) 20.4 25.6 46.5 46.6
Forest Service 8.1 11.9 29.7 31.7
Commerce: Economic Development Administration and
Regional Action Planning Commissions (primarily grants) 69.5 102.2 106.2 96.5
Health, Education, and Welfare: Health Services
and Mental Health Administration 15.6 21.3 31.5 36.9
Housing and Urban Development: Grants and loans 163.4 148.2 145.2 144.1
Interior:
National Park Service 5.6 24.3 20.0 22-1
Bureau of Reclamation 29.2 16.4 29.4 25.5
Environmental Protection Agency (grants) 478.4 413.4 727.0 1,600.0
Other agencies (mostly grants) 16.6 15.8 15.6 12.0
Total water supply and waste disposal 806.8 779.1 1,151.1 2,015.4

Total water resources and related developments 2,618.3 2,871.7 3,347.2 4,059.8

Source: U.S. OFFICE OF MANAGEMENT AND BUDGET (1972) and (1973). Special Analy@s; Budget of the United States Government,
Fiscal Yens 1973 and 1974, U.S. Government Printing Office, Washington, D.C., pp. 267-8 and 23940, respectively.

Includes outlays for Raroon Mountain Pumped Storage Power Project (a sing1cpurpose project) as follows: 1971, $16.2; 1972, $25.9;
1973 est. , $40.0; 1974 est., $53.8.

502

TABLE 16-2.-Comparison of Federal outlays for water resources with those for other Federal civil public works
and the total U.S. budget (billions of dollars)

Federal Civil Public Works Federal Water Resources Expenditures
Direct Civil Net % of Total % of Total
Year Construction Grants Lending Total Total Civil Works Budget

1964 2.7 4.2 0.1 7.0 1.5 21 1.3
1965 2.8 4.6 0.2 7.6 1.5 20 1.3
1966 3.0 4.4 0.3 7.7 1.7 22 1.3
1967 2.8 4.7 0.4 7.9 1.7 22 1.1
1968 2.5 5.3 0.3 8.1 1.8 22 1.0
1969 2.2 5.5 0.3 8.0 1.8 22 1.0
1970 2.2 5.8 0.3 8.3 1.9 23 0.9
1971 2.6 6.4 0.2 9.2 2.6 28 1.2
1972 3.3 6.5 0.2 10.0 2.9 29 1.2
1973 est. 3.8 7.2 0.3 11.3 3.3 29 1.3
1974 est. 3.3 8.1 0.3 11.7 4.1 35 1.5

Source: Adapted from U.S. OFFICE OF MANAGEMENT AND BUDGET (1973). Special Analyses, Budget of the United States
Government, 1974. U.S. Government Printing Office, Washington, D.C., p. 228.

Fiscal Years 1973 and 1974 budgets indicates actual It is extremely difficu It to obtain similar data on
and estimated Federal outlays for various water how much is actually being spent on water resources
resources categories. This is presented in tabular and development by entities other than Federal agencies
graphic form. Table 16-1 shows actual and projected because water resource development is an integral
water and related development outlays for grants and part of investment in traditional economic sectors,
loans as well as for direct construction for Fiscal such as electric utilities and transportation, and
Years 1971, 1972, 1973, and 1974. It also serves to because water resources development is carried out
illustrate the degree of involvement of Federal by hundreds of public agencies at all levels of
agencies in various water and related activities. Figure government and by thousands of private firms.
16-1 illustrates the trends in outlays for various water Expenditures on water facilities are not always
resources categories over the period 1965 to 1974. separated from other expenditures on accounting
For example, it shows that "water supply and waste records, and even if they were, the task of compiling
disposal" (primarily water pollution control) are these data would require a major effort. On the basis
responsible for most of the upturn since 1970. of the data available, the Commission staff estimates
Table 16-2 compares outlays for water resources that current investment in water resources develop-
from 1964 to 1974 with other Federal public works ment by all entities is in excess of $11 billion
and with the total Federal budget. It shows that the annually, exclusive of thermal electric power genera-
proportion going towards water resources is increas- tion and transmission line construction which are
ing, primarily because of increases for water pollution included in estimates of water and related resources
con trol. investments in the Federal budget.
Table 16-3 is compiled from data contained in a Table 164 presents generalized estimates of cumu-
report prepared for the Commission using informa- lative investments made for water resource develop-
tion obtained directly from Federal water agencies ments by the Federal Government, by States and
and may not be on a comparable basis with the other local entities, and by private interests. When munici-
tables. It indicates the growth, in constant dollars, of pal water supply, sanitary sewer, and storm and
Federal expenditures since 1900 for water resources combined sewer facility costs are included, as well as
categories used in the Water Resources Council those for wastewater treatment, State and local
framework studies. There was little if any real growth investments considerably exceed Federal and private
in total expenditures in the 1950-1970 period. expenditures.

503

LA
FIGURE 16-1. 10-year trend in Federal water resources expenditures

$Billions $Billions

4.0- -4.0

3.0- Total -3.0

Water Supply and -
Waste Disposal

2.0 - 2.0

- Power Transmission -

1.0 - Multiple Purpose with Hydroelectric Power -1.0

Navigation

Irrigation and Water Conservation

Flood Control and Beach Erosion
I I I I I I I 1 1
1965 1966 1967 1968 1969 1970 1971 1972 1973 1974

Fiscal Years Estimates

Source: U.S. OFFICE OF MANAGEMENT AND BUDGET (1973). Special Analyses; Budget of the United States Govern-
ment, Fiscal Year 1974. U.S. Government Printing Office, Washington, D.C., p. 240.

TABLE 16-3.-Estimated historic Federal expenditures for water resources and related activities
(billions of 1972 dollars)

Indexing Flood Water Supply & Watershed Fisheries Multiple
Factor Navigation Control Irrigation Power Pollution Control Protection &Wildlife Purpose Total

1900 18.7 .35 - - - .35
1905 18.6 .43 - .09 - - .52
1910 17.5 .55 - .14 - - - .69
1915 18.2 .85 - .18 - - - - 1.03
1920 6.8 .28 .06 .04 - - - - .38
1925 8.1 .53 .12 .07 - - - - - .72
1930 8.3 .66 .35 .07 .04 - - - - 1.12
1935 8.6 1.48 .38 .18 .11 - - - - 2.15
1940 7.0 1.02 .74 .24 .23 .01 - - .11 2.35
1945 5.5 .28 .40 .08 .14 - - - .07 .97
1950 3.3 .44 .90 .48 .53 .03 .01 - .84 3.23
1955 2.55 .29 .38 .19 .44 .02 .02 .01 .66 2.01
1960 2.03 .59 .69 .17 .46 .15 .03 .02 1.07 3.18
1965 1.73 .70 .92 .16 .61 .23 .06 .02 .49 3.19
1970 1.22 .23 .36 .11 .55 .56 .08 .02 .40 2.31

Note: Totals-without indexing factor-do not agree with amounts shown in Figure 16-1 due to differences in accounting procedures. The indexing
factor is the multiplier used to convert current dollars to i 972 constant dollars.

Source: Adapted from LEGLER, John B et al., (1971). A Historical Study of Water Resources Policy of the Federal Government, 1900-1970,
prepared for the National Water Commission. Mimeo, Washington University, St. Louis, Mo. pp. 397-398.

TABLE 16-4.-Total historical expenditures for water resources development

Cumulative Expenditures

State & Local Private
Period of Federal Ownership Ownership Ownership
Estimate or Financed and Financed and Financed Total

(billions of 1972 dollars)

Instream Uses
Hydro Power Total to 1968 9.3 3.2 6.2 18.7
Flood Control Total to 1969 25.3 2.0 1.3 28.6
Navigation Total to 1969 16.8 1.6 - 18.4
Recreation Total 1956-65 1.1 1.9 3.3 6.3
Fish & Wildlife -
Waste Treatment Total to 1971 11.3' 62.8 no est. 78.7
Sanitary Sewers Total to 1971 4.6 2
Storm & Combined
Sewers Total to 1971 - 36.3 3.2 2 39.5

Out-of-Strearn Uses
Municipal Water Total to 1971 6.6 78.5 9.32 94.4
Industrial (except
cooling water) Total to 1965 6.6 4.6 13.3 24.5
Cooling Water Total to 1969 .1 .1 1.4 1.6
Irrigation Total to 1968 10.6 3.4 13.9 27.9

Total 87.7 194.4 56.5 338.6

Includes $6.6 billion at Federal facilities.
'To 1966 only.

Source: NWC staff estimates.

Possible Future Expenditures while others include estimates for cooling water as
"Framework" planning studies undertaken by the well. Some include "needs" but not costs. Addition-
Water Resources Council provide one measure of ally, the estimates do not reflect comparable needs,
costs, or program policies, particularly in the water
possible future capital demands. Drafts of such pollution control category, 2 where water quality
studies are available at present for 10 of the 20 water standards have been upgraded since they were origi-
resource study areas used by the Water Resources nally required by the Water Quality Act of 1965.
Council for the United States. Studies are not Additional estimates of water quality needs were
available for the following river basins: Great Lakes, developed separately, primarily because of substantial
Lower Mississippi, Tennessee, Arkansas-White-Red, changes in federally imposed treatment requirements
Texas-Gulf, Rio Grande, South Atlantic-Gulf Basin, under the Federal Water Pollution Control Act
Alaska, Hawaii, and Puerto Rico. The available Amendments of 1972. However, for comparison
studies cover 68 percent of the land area and 63 purposes, the water pollution estimates in the frame-
percent of the population of the 48 contiguous work studies are also shown in Table 16-5 with other
States.
Methods used in the various studies are not always 'Also commonly referred to as "water quality." In some
consistent. For example, some only include estimates cases (Fig. 16-1), it is also combined in the same category
for hydroelectric power under the "power" category, with water supply needs,

506

TABLE 16-5.-Projection of capital investment costs based on extrapolation of "needs" in Framework
Studies of WRC

(billions of 1972 dollars)

1970-1980 Percent 1980-2020 Percent
Non- of Non- of
Category Federal Federal Total Total Federal Federal Total Total

Municipal and Industrial
Water Supply 0.4 13.7 14.1 7 6.7 32.2 38.9 7
Irrigation and Drainage 3.0 12.0 15.0 7 9.6 27.8 37.4 7
Power' 6.9 12.9 19.8 10 6.7 35.1 41.8 8
Flood Control 8.5 10.4 18.9 9 22.3 25.0 47.3 9
Recreation 9.4 9.3 18.7 9 24.4 24.4 48.8 9
Fish and Wildlife 2.4 1.8 4.2 2 6.9 5.2 12.1 2
Water Quality 31.0 50.5 81.5 40 116.0 111.0 227.0 42
Land Management 6.7 6.7 13.4 6 15.3 15.3 30.6 6
Navigation 10.8 3.1 13.9 6 25.5 7.6 33.1 6
Shoreline Protection
and Development 2.8 2.8 5.6 3 7.8 7.9 15.7 3
Other 1.3 1.3 2.6 1 2.6 2.7 5.3 1

83.2 124.5 207.7 100 243.8 294.2 538.0 100

'Primarily hydroelectric although cooling water facilities were included in some studies.

Source: National Water Commission staff compilation, adjustment, and extrapolation from framework planning studies
undertaken by the Federal agencies and river basin commissions.

estimates from the framework studies. (In order to by the former Federal Water Quality Administration
reflect roughly the policy change noted above, (now a part of The Environmental Protection
estimates in the framework studies for pollution Agency). Estimated control costs are based on meet-
control costs were increased by the following ing water quality standards established under the
amounts: 1960, 100 percent; 1965, 50 percent; 1968, 1965 Act.3 These and the other data in Table 16-6
25 percent.) Estimates for the 10 areas without are illustrative of the relative magnitude of the
studies were made by extrapolation, on the basis of various types of pollution problems.
area, population, type of development activity and
character of water resources. Municipal Treatment Costs - The most thorough
All of this data is combined in Table 16-S, which survey of municipal waste treatment needs conducted
projects capital investment needs for Federal and to date was made by the Environmental Protection
non-Federal sectors for capital improvements for the Agency (EPA) in the fall of 1971 in cooperation with
4
1970-1980and 1980-2020 periods as developed by the the States and cities involved. All cities serving
Commission staff, based on data in framework studies 10,000 or more persons were asked to indicate waste
for each of the water resource categories. These treatment construction measures planned through
projections do not include any estimates for major 1976 to meet water quality standards or related
interbasin water transfer projects.

Water Pollution Centrol Costs 3 Water Quality Act of 1965, P.L. 89-234, 79 Stat. 903.
4U.S. ENVIRONMENTAL PROTECTION AGENCY
Pollution Control Costs Under 1965 Act Standards: (1972). The Economics of Clean Water, Summary of
The information in Table 16-6 was compiled pri- Analysis and volume 1. Environmental Protection Agency,
marily from an unpublished study completed in 1970 Washington, D.C.

S07

TABLE 16-6-Pollution control costs under standards established under the 1965 Federal Water Pollution
Control Act

Estimates of
Capital Costs
Pollution a Contro% for Abate-
Sources Relative Importance Priority mentc
(rank) (rank) (billions of dollars)

Point sources:
municipal sewage 1 1 14-18
industrial wastes 3 2 10-25

Other sources:
storm and combined sewers 5 4 15-55
acid mine drainage 6 6 5-15
oil and hazardous spills 7 7 1-5
agricultural wastes 2 3 1-7
dredging spoil disposal; miscellaneous 4 5 1-2

47-127

al3ased on (1) the proportion of waste discharged by source to total of wastes discharges and (2) the population affected by
bsuch discharges.
"Control priority" takes into account (1) the costs of control and (2) the availability of control technology.
c"Abatement" costs are the capital costs to meet water quality standards. (However, it should be noted (1) that abatement
programs do not exist for all sources and (2) enforcement measures concentrate on municipal and industrial sources.) Estimates
of costs have not been converted to 1972 dollars.

Source: U.S. FEDERAL WATER QUALITY ADMINISTRATION (1970). Unpublished information.

6
enforcement requirements.' These cost estimates cities. The actual cost will depend on the abatement
total $18 billion when expanded to include the total strategy used. Maximum application of processes to
sewered population, and they are shown in Table conserve water and reduce liquid waste would result
16-7 for each State. in lower costs; higher costs would result if additional
In addition to this survey, EPA made a study of treatment facilities were simply added to handle
probable expenditures for the same period and waste volumes generated under current production
purposes, based on their projection of likely trends in processes. Although some process changes will
actual construction costs and inflation. The study probably be employed to reduce waste treatment
resulted in a reduced estimate of $14 billion of requirements, it is not likely that enough changes will
probable capital investment through 1976. be implemented to achieve a maximum reduction in
treatment costs (the $11 billion level). Table 16-8
Industrial Waste Treatment Costs - EPA estimated shows the estimated costs of meeting treatment
that it will cost American manufacturers between $11 requirements by industrial category for the
billion and $29 billion from 1968 to 1976 to meet anticipated median efficiency.
the same pollution abatement requirements as the
Time Schedule for Meeting Standards - The above
'Federal policy, under the Federal Water Pollution Control cost estimates were based on the assumption that all
Act, includes the following under "treatment facilities" as abatement facilities, municipal and industrial, could
eligible for Federal cost-sharing: sewage treatment facili-
ties, interceptor sewers, and related facilities such as pump 6See U.S. ENVIRONMENTAL PROTECTION AGENCY
stations. Normal sanitary sewers (or "collecting sewers") (1972). The Economics of Clean Water, volume 1. Environ-
are not now included. mental Protection Agency, Washington, D.C.

508

TABLE 16-7.-Survey results of estimated construction cost of sewage treatment facilities planned for the
period FY 1972-1976

(Millions of 1971 Dollars)'

FY-1972 FY-19732 FY-19742 FY-1975 FY-1976 3 Total

TOTALS 5,278.2 6,080.0 3,198.2 2,236.5 1,289.3 18,082.2
Alabama 33.5 9.6 9.5 7.9 5.1 65.6
Alaska 4.1 26.4 2.3 7.5 - 40.3
Arizona 10.7 8.9 - 6.2 1.4 27.2
Arkansas 12.5 27.7 11.3 10.0 - 61.5
California 280.4 930.9 218.4 369.0 340.8 2,139.5
Colorado 23.3 14.4 8.4 30.0 6.1 82.2
Connecticut 96.2 95.1 53.5 - - 244.8
Delaware 7.8 8.8 79.0 2.5 5.6 103.7
District of Columbia 62.7 40.9 - - - 103.6
Florida 313.0 125.7 89.4 106.3 17.0 651.4
Georgia 36.3 89.6 15.8 - 12.6 154.3
Hawaii 15.0 28.5 4.6 24.1 - 72.2
Idaho 15.7 8.6 7.4 .3 .4 32.4
Illinois 336.7 332.5 240.8 382.9 38.7 1,331.6
Indiana 161.3 207.2 121.7 22.1 27.6 539.9
Iowa 16.8 78.8 72.7 21.8 7.2 197.3
Kansas 19.8 28.8 5.9 3.2 11.6 69.3
Kentucky 46.8 35.0 14.3 39.5 27.1 162.7
Louisiana 68.5 40.6 28.2 17.7 .1 155.1
Maine 25.4 100.5 15.0 35.4 25.0 201.3
Maryland 201.5 204.0 214.6 15.7 36.6 672.4
Massachusetts 206.5 190.8 149.9 80.0 - 627.2
Michigan 331.8 523.2 307.3 100.4 130.0 1,392.7
Minnestoa 142.3 112.1 41.5 30.8 12.9 339.6
Mississippi 32.5 17.4 7.4 14.5 18.2 90.0
Missouri 9.2 160.0 71.9 38.1 27.4 306.6
Montana 13.7 2.7 7.8 - 3.0 27.2
Nebraska 1.8 28.7 23.5 24.1 15.7 93.8
Nevada .4 30.7 10.8 1.3 - 43.2
New Hampshire 21.3 36.9 62.8 58.5 10.5 190.0
New Jersey 461.9 554.4 105.6 299.6 6.3 1,427.8
New Mexico 17.8 12.8 .1 - - 30.7
New York 1,047.1 422.4 140.8 102.0 167.2 1,879.5
North Carolina 36.6 66@5 31.3 18.2 1.1 1517
North Dakota 1.4 3.7 1.7 - .3 7.1
Ohio 277.2 250.3 313.3 62.7 156.8 1,060.3
Oklahoma 14.4 24.2 28.5 8.1 39.8 115.0
Oregon 41.5 72.3 9.9 13.0 12.6 149.3
Pennsylvania 187.2 343.3 259.0 105.8 1.2 896.5
Rhode Island 9.9 35.6 25.7 - - 71.2
South Carolina 31.2 29.5 33.3 18.8 17.8 130.6
South Dakota 9.3 1.7 2.8 3.3 .9 18.0
Tennessee 120.6 31.0 17.4 11.9 7.8 188.7
Texas 127.5 165.5 110.3 34.4 11.5 449.2
Utah 14.5 3.5 2.5 1.4 5.S 27.4
Vermont 5.3 13.5 13.5 6.3 3.7 42.3
Virginia 100.0 243.3 81.1 11.0 61.5 496.9
Washington 38.1 67.8 23.8 52.6 5.8 188.1
West Virginia 38.2 32.5 2.1 23.0 - 95.8
Wisconsin 135.1 97.2 21.3 6.6 3.9 264.1
Wyoming 1.5 2.4 - - - 3.9
Guam 2.2 10.5 - 4A .7 17.5
Puerto Rico 4.2 48.6 76.0 .8 .5 130.1
Virgin Islands 8.0 2.5 2.5 3A 3.8 19.9

To convert to 1972 dollars multiply by 1.15.
@Separate costsfor FY 1973 and FY 1974 estimated from FY 1972/1974 total.
3 Estimates decline yew by year because they relate only to facilities planned as of 197 1.

Source: U.S. ENVIRONMENTAL PROTECTION AGENCY (1972). The Economics of Clean Water. Environmental Protection
Agency, Washington, D.C. Volume 1, p. 117.

509

TABLE 16-8-Projected cash outlays required in principal industries to meet water quality standards
established under the 1965 Act by 1976

Outlays for Construction, Interest,
Operation, Maintenance, and Replace-
ment 1968-1976.
Industry (billions of 1972 doflars)

Primary Metals 5.35
Chemical and Allied Products 4.26
Paper and Allied Products 4.13
Food and Kindred Products 3.28
Petroleum and Coal 2.37
Textiles .87
Stone Clay and Glass .62
Electrical Equipment .48
Fabricated Metal Products .47
Rubber and Plastics .36
Lumber and Wood Products .31
Transportation Equipment .31
Leather .30
Machinery .28

Median Estimate Total 23.39'

Maximum Cost Total 29.04 2

Minimum Cost Total 11.43 3

'Totals do not account for publicly supplied waste treatment.
'Assumes little process improvement in water use in the plants involved.
'Assumes substantial process improvements in industrial water use.

Source: Adapted from U.S. ENVIRONMENTAL PROTECTION AGENCY (1972). The Economics of Clean Water-Summary
Analysis. Environmental Protection Agency, Washington, D.C. p. 69 1971 costs converted to 1972 costs using a factor
of 1.15.

be under construction by 1976. This is probably riot considerably higher treatment requirements and
realistic. EPA estimates that the peak year effort to extend Federal control to all discharges of waste
correct the known backlog could not be reached until material into the Nation's waters. EPA and CEQ have
1977, even if the annual real growth in construction considered the cost implications of expanding current
industry capacity is 25 percent. programs to actually achieve a goal of "no discharge"
In 1972, the Council on Environmental Quality or "zero discharge" of pollutants. 7 They found that
(CEQ) published estimates of 1970 expenditures and incremental costs rise very fast at higher levels of
of the capital and total annual costs required to meet treatment and that incremental benefits as commonly
then-existing water quality standards by 1980. Table measured rise more SloWly.8 Their findings are
16-9 presents estimates of expenditures required to summarized in Table 16-10 which shows that 100
control major public and private point-sources of percent removal of pollutants from municipal and
water pollution. The expenditures for State and local industrial wastewater (not including storm water
treatment systems include Federal grant assistance. flows) would cost five times as much as 85-90 percent

Effect of Recent Legislation: The Federal Water 71bid.
Pollution Control Act Amendments of 1972 impose 'See Figure 4-1 for graphic presentation of this data.

510

TABLE 16-9.-Estimated water pollution control expenditures: Current levels and required to meet water quality standards established
under the 1965 Act by 1980

(in billions of 1972 dolIars)

Cumulative Require-
1970 1980 ments 1971-80

Capital Investment Ann ual- Capital Investment Annual- Capital Opera- Cash
ized ized Invest- + ting Flow
Pollution Sources In Place Annual Cost2 In Place Annual Cost2 ment Costs Requirements

Public
Federal installations NA NA 0.2 NA 0.3 1.4 3.1 4.5
State and local treatment
systems, 20.9 1.5 2.6 33.8 1.8 4.3 21.8 27.1 48.9

Private
Manufacturing 5.5 1.3 1.2 13.6 1.2 2.8 13.7 16.3 30.0
Utilities 0.3 0.1 0.1 4.4 0.3 0.9 5.2 4.8 10.0
Feedlots - - - .8 0.6 2.2 2.1 4.3
Construction Sediment NA NA 0.1 0.1 1.0 0.1 1.1
Vessels - - - 0.3 0.2 1.0 0.6 1.6

Total 26.7 2.9 4.1 52.9 3.4 9.2 46.3 54.1 100.4

Exclusive0f COIICCtOTor combined sewer system construction - includes Federal grants.
Operating costs plus interest and depreciation on investments in environmental controls.

Source: U.S. COUNCIL ON ENVIRONMENTAL QUALITY (1972). Environmental Quality, The Third Annual Report of the Council on Environmental
Quality. U.S. Government Printing Office, Washington, D.C. Table 1, p. 276. (Figures in table converted to 1972 price level by multiplying by 1.15.)

*indicates less than .05.

TABLE 16-10.-Index of pollution control investment costs related to level of abatement

Cost Index Increase
per Percentage
Level of Removal Gain from Previous Cost Index Point Gain
Level (85 percent level of removal = 100)

100 Percent 1 500 250
99 1 250 50
98 3 200 17
95 10 150 5
85 - 100 -

Source: U.S. ENVIRONMENTAL PROTECT10N AGENCY (1972). The Economics of Clean Water - Summary
Analysis. Environmental Protection Agency, Washington, D.C. p. 23

TABLE 16-1 l.-Total national costs for municipal and industrial treatment'
(dollars in billions)

Ten-Year Capital 20-25 Year Total Annualized Costs
Level of Removal Expenditures Operating Costs Expenditures in 1981
100% 1) 95-99% 94.5 220.0 316.5 21.1
80 % C15, 47.2 110.1 157.3 12.4
20 % @ 100%
95-99% 35.3 83.5 118.8 8.4
85 _90%2 17.6 43.2 60.8 4.1

Excludes $12.0 billion costs for intercepting sewers. (Also, no other sewer costs are included.)
2Roughly program to meet standards set under 1965 Act.

Source: U.S. ENVIRONMENTAL PROTECTION AGENCY (1972). The Economics of Clean Water. Environmental
Protection Agency, Washington, D.C. Volume 1, p. 156.

removal generally required to meet standards under Commission staff estimates (also rough) indicate
the 1965 Act. that control and treatment for the "first flush" of
Table 16-11 converts their findings into 10-year storm-generated urban runoff would be dispropor-
capital expenditures and operating costs over a tionately costly in comparison with both the collec-
25-year period showing an increase from $61 billion tion and treatment of municipal sewage wastes.
contemplated under the current program to $316 Commission staff estimates of capital and operation
billion at the zero discharge level, and an increase in costs for the collection and treatment of municipal
annual costs in 1981 from $4.1 to $21 - 1. and industrial wastes and urban storm runoff to meet
The costs shown in Table 16-11 are rough esti- water quality standards established under the 1965
mates and do not include costs associated with Act, and to use the "best known technology" are
control of the "other" pollution sources outlined in shown in Table 16-12. Table 16-13 presents compar-
Table 16-6. The potential costs that may be required able estimates for treatment of municipal sewerage
under the 1972 legislation to control pollution from and storm water runoff on an annual and per capita
such sources as storm and combined sewers, agricul- basis. The amounts shown in Tables 16-12 and 16-13
tural wastes, and other dispersed sources are not are similar to, but not the same as, the estimates by
known but they could be tremendous. EPA, due to differences in both estimating pro-

512

TABLE 16-12.-Estimated additional costs for municipal and industrial wastewater management
(billions of 1972 dollars)

Annual Cumulative Total
Capital O&M in O&M to Expenditures
Item Cost 1983 1983 to 1983

A. To Achieve Water Quality Standards
Established Under the 1965 Act
Municipal Wastes
Collector Systems 40 .04 0.3 40.3
Treatment 15 1.5 9.0 24.0
Storm Flows
Combined Sewers 32 .40 2.0 34.0
Separate Storm Sewers 81 1.0 5.0 86.0
Industrial Wastes 10 1.7' 11.91 21.9
Thermal Electric Cooling 4 NA NA >4.0

Total 182 4.64 28.2 210.2

B. To Achieve a "Best Known Technology"
Municipal Wastes
Collector Systems 40 .04 0.3 40.3
Treatment 40 3.3 23.1 63.1
Storm Flows
Combined Sewers 54 .65 3.2 57.2
Separate Storm Sewers 180 2.2 11.0 191.0
Industrial Wastes 49 8.4' 59.01 108.0
Thermal Electric Cooling 8 NA NA >8.0

Total 371 14.59 96.6 467.6 1

Includes replacements costs.
NA - Not analyzed.
Source: NWC staff estimates.

cedures and in the way costs are allocated between 1965 Federal Water Pollution Control Act and a "no
waste treatment and sewers. discharge" policy are given in Table 16-14. The
reliability of available information appears inadequate
Summary of Cost Estimates: Capital requirements to for policy and program decisions concerning the
meet different goals of water quality treatment have billions of dollars of public and private moneys
not been and probably cannot be estimated with any involved.
degree of certainty except possibly with respect to Table 16-15 presents the Commission's estimates
municipal sewage and industrial wastewater treat- of capital requirements for Federal and other govern-
ment. Many factors contribute to this uncertainty. mental investments under three policy assumptions.
The quantities of waste are unknown and the target These are presented in terms of annual capital
levels of quality are poorly defined. Future tech- investment for all water resource development.
nological advance can only be roughly estimated and Operation and maintenance costs are not included.
the choices between alternative technologies cannot
be effectively covered in a nationwide estimate. The Effect of Inflation on Construction Costs
Possibly the most serious difficulty is our inability to
predict the continued escalation of costs. The continued escalation of costs cannot be
Rough estimates of the range of capital investment reliably predicted. Since World War 11, construction
required to meet standards established under the costs have moved continually upward. Figure 16-2

513

TABLE 16-13.-Estimated additional per capita costs for municipal wastewater management, 19831
(in 1972 dollars)

Per Capita Per Capita Total
Annual Annual Annual Annual Annual
Capital Capital Capital O&M O&M Per Capita
Cost CoSt2 CoSt3 Cost Cost Cost
(billion S) (billion (billion M

A. To Achieve Water Quality
Standards Established Under
the 1965 Act
Municipal Wastes
Collector Systems 40 3.13 15.65 .04 .20 15.85
Treatment 15 1.17 5.85 1.50 7.50 13.35
Storm Flows
Combined Sewers 32 2.50 12.50 .40 2.00 14.50
Separate Storm Sewers 81 6.34 31.70 1.00 5.00 36.70

Total 168 13.14 65.70 2.94 14.70 80.40

B. To Achieve a "Best Known
Technology" Policy
Municipal Wastes
Collector Systems 40 3.13 15.65 .04 .20 15.85
Treatment 40 3.13 15.65 3.30 16.50 32.15
Storm Flows
Combined Sewers 54 4.22 21.10 .65 3.25 24.35
Separate Storm Sewers 180 14.08 70.40 2.20 11.00 81.40

Total 314 24.56 122.80 6.19 30.95 153.75

'NWC staff estimates.
'Amortized annual capital cost, 25 years at 6 percent interest (.07823).
'Based on estimated 1983 sewered population of 200 million people.

presents the Engineering News-Record (ENR) Con- It is also obvious that sharply increasing the level
struction Cost Index for the past 70 years. The of expenditures for water pollution control can
1950-1970 period was characterized by a rather greatly increase the rate of inflation in water pollu-
stable average annual increase of 4 percent. However, tion control costs. It appears that some investment
in the past 2 years there has been a sharp escalation. levels now being proposed will seriously escalate costs
In 1971, EPA estimated an increase of 15 percent in in waste treatment construction substantially beyond
construction costs for municipal waste treatment cost escalation associated with general inflationary
facilities.9 While it is not likely that a 15 percent trends in the economy.
annual rate will continue for several years, it is
important to recognize that such a rate would double
the costs indicated here in less than 5 years. Conclusions on Capital Demands
9 U.S. ENVIRONMENTAL PROTECTION AGENCY The Commission finds that the estimated demands
(1972). The Economics of Clean Water-Summary Anal- for capital at all levels of government for water
ysis. Environmental Protection Agency, Washington, D.C. resources development might range from $23 to $38
P. 10. billion annually in current dollars through 1983

514

2000 1 1
FIGURE 16-2
1500 CONSTRUCTION COST INDEX
ENGINEERING NEWS-RECORD
(1913=100.0)

1000

800

600

400
x
IV
M
r
200 A
v

100

80
0/000--i

60
1910 1920 1930 1940 1950 1960 1970

Year

TABLE B-1-7 (Cont'd)
COMPARATIVE ASSESSMENT AND EVALUATION
STUDY OBJECTIVE PLAN DESCRIPTION OF PLAN TILGMAN ISLAND, MARYLAND
Reduce flood BENEFICIAL EFFECTS
damages on Plan TI-4 5,350 feet of levee/wall ADVERSE EFFECTS ECONOMICS
Map Ref.
Tilghman Island encircling Will reduce flood hazard and Same as TI-2. D.O.P.-stand, project flood
Northern the small area provide degree of protection F.C.-$2,878,200
Section north of Knapp's Narrows A.A.C.-$223,200
(8' NGVD design elev.). indicated for area north of A.A.B.-$1,100
Reduce flood Plan TI-5 Nonstructural protection to Knapp's Narrows. B.C.R.-0.00
damages on
4' NGVD (15-year) flood level; D.O.P.-15-year
Tilghman Island Will reduce flood hazard and Loss of unique social life style for F.C.-$120,500
A.A.C.-$8,900
A.A.B.-$2,500
Includes trailer relocation provide degree of protection those relocated Temporary, minor B.C.R.-0.28
house acquisition and demolition,
and floodproofing by floodwall. Indicated for entire community. noise Pollution and aesthetic disturb-
ances. Construction of flood wall may
result in adverse environmental effects
such as destruction of adjacent wetland
areas, increased situation and tur-
bidity and destruction of benthic
organisims. Use of shoreline will be
Reduce flood Plan TI-6 Nonstructural protection restricted. Adverse effects to the
damages on 5' NGVD(40-year) flood level; aesthetic conditions of the area.
includes structure raising, Will reduce flood hazard and Same as above. D.O.P.-40-year
Tilghman Island home and trailer relocation, provide degree of protection F.C. -$1,038,150
A.A.C.-$76,400
acquisition and demolition A.A.B.-$12,500
atandard floodproofing, and; B.C.R.-0.16
floodproofing fllodwall.
Reduce flood Plan TI-7 Nonstructural protection to
damages on 6' NGVD (90-year) flood level;
includes structure raising,
Tilghman Island home and trailer relocation, Will reduce flood hazard and Same as above. D.O.P.-90-year
acquisition and demolition, provide degree Of protection F.C.-$2,272,100
standard floodproofing, and Indicated for entire community. A.A.C.-$204,100
floodproofing by floodwall. A.A.B.-$21,000
B.C.R.-0.10

TABLE 16-15-Summary of annual capital demands on governments under various water resources policies

Average Annual Capital Expenditures
1974 to 1983
(billions of 1972 dollars)

State and Local
Policy Federal Government Total

1. "Needs" as visualized in Water Resources Council
Framework Studies 10 13' 23'
2. Including environmental goal of attaining water quality
standards established under the 1965 Act for municipal
wastewater and stormflows by 1985 2 15.0 8.7 23.7
(12.6)3 (4.2)3 (16.8)3,4
3. Including environmental goal of treatment with
"best known technology" for municipal wastewater and
stormflows by 1985 2 26.0 12.3 38.3
(23.6)3 (7.8)3 (31.4)3,1

Not strictly comparable because some private investment is included. Potential interbasin water transfers are not included in these
estimates.
2Policies 2 and 3 assume that spending for water resources, other than for water quality, is as follows: Federal, $2.4 billion,
including expenditure for thermal power and transmission lines; and State and local, $4.5 billion.
'Data in brackets are expenditures for water quality. Policies 2 and 3 assume a 75 percent cost share for municipal waste and
stormflow facilities. (See Table 16-12.)
'$16.8 billion for 10 years is $168 billion. See Table 16-13.
'$31.4 billion for 10 years is $314 billion. See Table 16-13.

materials, some waste products will need to be will increase the financial burden of State and local
disposed of in air, water, or land resources. It is clear governments. The purpose of this section is to
that, in some cases, water resources are the most consider alternative methods of financing govem-
economic and environmentally least damaging media mental expenditures for future water resource devel-
for disposal. Each situation should be judged on the opments.
factual merits involved. If no discharge were really
adopted as a mandatory goal, it is very likely that the Nature and Background of Public Finance Problems
costs would be beyond the capacity of the Nation to It is not sufficient to look at water resource
finance without seriously neglecting other pressing financing in isolation since water program expendi-
needs. tures must compete for funds with all public
There is presently not only inadequate information spending categories. An overview of total spending
on the investments required to meet various levels of and revenue patterns is also useful in suggesting
water pollution control but also a lack of adequate alternative sources for water resource expenditures, as
information on the relative effectiveness of invest- well as in indicating potential problem areas that
ments to control various sources of water pollution. must be resolved to achieve effective water resource
There is a definite need for a cost-effective strategy to financing.
control water pollution. Over the past 20 years, total governmental
ALTERNATIVE METHODS OF FINANCING revenues -Federal, State, and local-have increased
WATER DEVELOPMENTS from $67 billion in 1950 to $334 billion in 1970, a
fivefold increase. During the same period, govern-
The Commission recognizes that adoption of the mental expenditures increased by a like magnitude
cost-sharing principles recommended in Chapter 15 from $70 billion in 1950 to $333 billion in Fiscal

517

Year 1970. 12 The implication from these data is that Alternative Sources of Revenue for Financing Water
there exists an endless cornucopia of funds in a Resources Projects
growing U.S. economy to meet increasing needs for A basic perspective of patterns of change for
public expenditures.
As shown in Table 16-16, the rate of increase of specific revenue sources at all levels of government
total direct revenue collections for all levels of for the period 1950-1970 is provided in Table 16-17.
government nearly doubled during the last 5 years of At the Federal level, general revenues increased at a
the 1960's over the first 5 years. Collection of State slightly lower rate for the period 1950-1970 than did
revenues increased more rapidly during the decade total governmental revenues. The growth in the
than did the collection of Federal revenues. Such a personal income tax dominated tax collections by the
rapid rate of increase in State and local expenditures Federal Government, accounting for nearly three-
is reflected by a concomitant increase in debt at all fourths of the total increase in Federal tax revenues
levels of government. While Federal Government debt during the period 1965-1970. This indicates the
tremendous response of the progressive personal
increased by 30 percent during the decade of the income tax to increases in economic growth.
1960's, total State and local debt increased by 105 At the State level, growth of 13-1/2 percent per
percent, year in personal income taxes registered the greatest
In summary, during the decade of the 1960's total relative increase in tax revenues, but since personal
government revenues increased by an annual average income taxes started from a much lower base they
rate of over 8 percent compounded in comparison accounted for, only 19 percent of total State tax
with an average annual increase during that same revenue in 1970. Although sales and gross receipts
decade in gross national product (GNP) of 6.8 revenues increased at a compound annual rate of only
percent. GNP can be considered a crude index of 9.2 percent, they nonetheless continued to dominate
capacity for generating revenues and it is clear that State tax collections in 1970, accounting for 57
revenues have been increasing more rapidly than has percent of total State tax collections.
GNP. At the State and local level, annual revenues For local government, the property tax has shown
have increased at an annual average of 9 percent a strong resurgence in recent years. Property tax
during the 1960's, while total State direct expendi- receipts accounted for 81 percent of the growth in
tures have increased at an annual rate of nearly local government revenues in the period 1965-1970.
12-1/2 percent during the period 1965-1970. At the Revenues from user charges and miscellaneous fees
same time, total governmental debt increased at an also showed strong increases at both the local and
annual average rate of 3.7 percent during the decade State levels during this period.
1960-1970, but State and local debt increased at an In the following paragraphs, each existing and
annual average rate of over 7-1/2 percent. potential source of revenue for water resource project
These data indicate the broad external dimensions financing is briefly considered. The advantages and
of the aggregate public spending-revenue situation. disadvantages of each source of revenue are pinpointed
They show that governmental spending, revenue, and and the flexibility and potential of individual revenue
State and local debt have grown at faster rates than sources for contributing increased revenues toward
GNP in the last decade. And they also make clear that water resource financing are highlighted. Since many
the problem of funding new public expenditure water resource projects are local in nature, the
increments must be considered in terms of all levels discussion begins with consideration of municipal,
of government and in relation to total national local, and State sources of revenue.
output.
Debt: In 1970, State and local governments expended
$29.6 billion for capital outlays of which $10.8
billion was for highways, $7.6 billion for education,
1 2U.S. BUREAU OF THE CENSUS (1972). Statistical and $2.4 billion for local utilities.' ' During the same
Abstract of the United States, 1972. U.S. Government year, as shown in Table 16-18, State and local
Printing Office, Washington, D.C. p. 406. And U.S.
BUREAU OF THE CENSUS, Social and Economic Statis-
tics Administration (May 1972). Guide to Recurrent and
Special Governmental Statistics, State and Local Govern- 1 3MOODY'S INVESTORS SERVICE, INC (1972). Moody's
ment Special Studies No. 62. U.S. Department of Com- Municipal and Government Manual. Moody's Investors
merce, Washington, D.C. pp. 16-17. Service, Inc., New York.

518

TABLE 16-16.-Government finances, revenue, direct expenditures, and debt 1960,1965,1970

(in billions of dollars)

All State
Govern- Percent Percent and Percent Percent Percent
ments Increase Federal Increase Local Increase State Increase Local Increase

Revenue from

own sources
1960 153.1 99.8 53.3 26.1 27.2
1965 202.6 32 125.8 26 76.7 44 38.5 48 38.2 41
1970 333.8 65 205.6 63 128.2 67 68.7 78 59.6 56

Direct
expenditure
1960 151.3 90.3 61.0 22.1 38.8
1965 205.6 36 119.0 32 86.6 42 31.3 41 55.2 42
1970 333.0 62 184.9 55 148.1 71 56.2 79 91.9 67

Total expenditure,
including inter-
governmental
1965 205.6 130.1 45.5 55.5
1970 333.0 62 208.2 60 - 85.1 87 92.5 78

Debt outstanding
1960 356.3 286.3 70.0 18.5 51.4
1965 416.8 17 317.3 11 99.5 42 27.0 46 72.5 41
1970 514.5 23 370.9 17 143.6 44 42.0 55 101.6 40

Source: U.S. BUREAU OF THE CENSUS (1972). Statistical Abstract of the United States 1972. U.S. Government Printing office, Washington,
D.C. U.S. BUREAU OF THE CENSUS, Social and Economic Statistics Administration (May 1972). Guide to Recurrent and Special
Governmental Statistics, State and Local Government Special Studies No. 62. U.S. Department of Commerce, Washington, D.C. and U.S.
BUREAU OF THE CENSUS (1967). Governmental Finances in 1964-65. U.S. Department of Commerce, Washington, D.C.

TABLE 16-17-Sources of revenue-Federal, State, and local governments

Fiscal Year 1970 Revenues by Annual Compound Rate of
Level of Government Growth - 1950-70

Source of Revenue All Federal State Local All Federal State Local
(billions of dollars) % % % %

Total revenue from
own sources 333.8 205.6 68.7 59.6 8.4 8.1 9.4 8.5
General revenue 272.5 163.6 57.5 51.4 8.0 7.3 9.8 8.8
Taxes 232.9@ 146.1 48.0 38.8 7.9 7.4 9.4 8.2
Individual income 101.2 90.4 9.2 1.6 9.5 9.1 13.5 17.6
Corporation income 36.6 32.8 3.7 6.2 5.9 9.7
Sales, gross receipts,
and customs 48.6 18.3 27.3 3.1 6.8 4.3 9.2 9.7
Property 34.1 - 1.1 33.0 8.0 - 6.6 8.0
Other 12.4 4.5 6.7 1.2 7.1 7.3 7.3 5.6
Charges and miscellaneous 39.6 17.5 9.5 12.6 8.8 6.6 12.5 10.8
Utility revenues 6.6 - - 6.6 6.7 - - 6.7
Liquor store revenues 2.0 - 1.7 .3 4.1 - 3.9 5.2
Insurance trust revenues 52.7 42.0 9.4 1.3 12.0 13.3 8.6 10.2

Source: U.S. DEPARTMENT OF COMMERCE, Bureau of the Census.

governments borrowed $12.8 billion for new long- ing frequency in the postwar period. Non-
term debt, retired $7.0 billion, and registered a total guaranteed debt has risen significantly in propor-
of $143.6 billion in total outstanding debt, including tion to total debt, from 13.6 percent in 1950 to
$12.2 billion in short-term debt. 38 percent in 1965 (39 percent in 1970). For
Total new issue bond activity for calendar year practical purposes, it would thus appear that the
1971 included $16.2 billion for general obligation existing strictures setting maximum limits to
bonds and $8.1 billion for revenue bonds. 14 Histor- general obligation debt do not serve as a realistic
ical growth patterns for various categories of State guide to the future course of total debt.' '
and local debt are shown in Table 16-19. Total State The principal issue with respect to continued
and local debt outstanding increased at an annual rate financing of State and local capital outlays through
of 7.6 percent between 1965 and 1970-the long- issuance of long-term debt is the constraints of
term, full-faith-and-credit debt component increased statutory and constitutional limitations on the com-
by only 6.0 percent per year while nonguaratiteed position of State and local debt, not on the rate of
debt increased at an annual rate of 8.2 percent. As a growth in debt.' 6 Although the extent of restrictive-
generalization, approximately one-third. of all capital ness in issuing debt differs by State, it is apparent
outlays in recent years has been financed by new that the principal effect of these limitations has been
debt. As the authors of a Tax Foundation report have
summarized:
There are no universally accepted answers to "U.S. CONGRESS, Joint Economic Committee (July
questions concerning the propriety or sustain- 1967). Revenue Sharing and Its Alternatives: What Future
for Fiscal Federalism? Volume III: Federal, State, Local
ability of a given level of debt. For States and Fiscal Projections, prepared for the Subcommittee on
political subdivisions, the level of general obliga- Fiscal Policy, 90th Congress, Ist Session. U.S. Government
tion debt is limited by constitutional or statutory Printing Office, Washington, D.C. p. 1316.
provisions, Other borrowing, however, is not so HOGGAN, Daniel H (1971). State and Local Capability to
restricted and has beer) resorted to with inCTeas- Share Financial Responsibility of Water Development with
the Federal Government. U.S. Water Resources Council,
141bid. Washington, D.C. p. 13.

520

TABLE 16-18.-Indebtedness and debt transactions of State and local governments, 1969-1970

(billions of dollars)
State Local
Item Total Governments Governments Per Capita

Debt outstanding, total 143.6 42.0 101.6 706.4
Long-term 131.4 38.9 92.5 646.6
Full faith and credit 75.3 17.7 57.6 370.7
Nonguaranteed 56.1 21.2 34.9 275.9
Short-term 12.2 3.1 9.1 59.8
Net long-term debt
outstanding 121.7 34.5 87.3 599.0

Long-term debt by purpose:
Local schools 31.5 3.0 28.6 155.1
Local utilities 19.6 - 19.6 96.4
All other 80.3 36.0 44.4 395.1

Long-term debt issued 12.8 3.9 8.9 63.2

Long-term debt retired 7.0 1.9 5.1 34.5

Source: U.S. BUREAU OF THE CENSUS (1971). Governmental Finances in 1969-70. U.S. Department of Commerce,
Washington, D.C. p. 28.

to expand reliance on revenue bonds which are not one reason has been to circumvent local debt and
backed by the full faith and credit of the borrowing property tax restrictions. In 1967, there were 21,264
jurisdiction. special districts in the United States, excluding cities,
In addition to growth in revenue bond financing, counties, and school districts.' 8 The pressure in
there are two other principal methods of circumvent- recent years to decentralize government and bring it
ing legal debt limitations. The first method is by closer to the people has run head-on into the growing
shifting increased responsibility for debt financing problem of fragmentation and overlapping of jurisdic-
from more restricted to less restricted governments. tions, tax bases, functions, and services.
In some cases this shift is from State to local; in other State financing authorities have been created by
cases the shift is from local to State levels.' 7 The several States to provide for purchase by the State of
second method is through lease-purchase arrange- bonds issued by local governments. The State in turn
ments where the governmental jurisdiction requiring issues its own bonds to provide the necessary funds.
capital facilities leases such facilities and, in some This method can effectively reduce local borrowing
cases, eventually purchases them. costs.
Another means of facilitating acquisition of State The use of State and local municipal bonds to
and local capital facilities through debt expansion has finance pollution abatement facilities for private
been the creation of special districts, each with its industries is growing rapidly. This low-cost financing
own taxing and debt limitations. Although special affords an effective means of encouraging investment in
districts are created for a variety of reasons, clearly pollution abatement facilities.

'7 MITCHELL WE (October 1967). The effectiveness of debt
limits on state and local government borrowing. The "U.S. BUREAU OF THE CENSUS (1967). 1967 Census of
Bulletin [New York University, Graduate School of Governments, Governmental Organization, volume 1. U.S.
Business Administration, institute of Finance) 45:19. Government Printing Office, Washington, D.C.

521

TABLE 16-19.-Gross outstanding debt of State and local governmentsi selected periods, 1950-1970

(billions of dollars)

Long term
Total Debt Full Faith Non-
Year Outstanding Total and Credit guaranteed Short Term

1950 24.1 23.1 19.8 3.3 1.1
1955 44.3 42.3 30.5 11.7 2.0
1960 70.0 66.8 41.7 25.2 3.2
1965 99.5 94.2 56.4 37.8 5.3
1970 143.6 131.4 75.3 56.1 12.2

Data represent debt for all functions, general and nongencral.
'End of fiscal years.

Source: U.S. CONGRESS, Joint Economic Committee (July 1967). Revenue Sharing and Its Alternatives: What Future for
Fiscal Federalism?, Volume III, Federal, State, Local Fiscal Projections, prepared for the Subcommittee on Fiscal
Policy, 90th Congress, lst Session. U.S. Government Printing Office, Washington, D.C. p. 1316.

Federal Grants-in-Aid and Revenue Sharing: Federal payments totaling $30.2 billion have been authorized
payments to State and local governments totaled over the period 1972 to 1977.
$24.2 billion on a checks-issued basis in Fiscal Year General revenue sharing funds are distributed
1970 under 97 specific grants-in-aid programs and among the States by formula. Within the State,
several miscellaneous programs.' 9 Excluding duplica- one-third of the funds go to State government and
tive transactions between levels of government, State two-thirds to local governments. The FY 1974 budget
governments received $19.2 billion from the Federal estimates that $6.0 billion will be distributed to State
22
Government in intergovernmental revenues, while and local governments.
local governments received $2.6 billion from the The relative importance of Federal grants and
Federal Government in intergovernmental reve- general revenue sharing in Federal intergovernmental
nues.20 The estimated total 1972 grants-in-aid and assistance is a subject of continuing debate. However,
shared revenues accruing to State and local govern- it is expected that the general revenue sharing
ments from the Federal Government is $39.1 billion, program will ease somewhat the burden of financing
up 258 percent from the total Federal aid to State future State and local water projects by funding
21
and local governments in 1965 of $10.9 billion. competing services and reducing pressures to increase
A program of general revenue sharing was enacted taxes or issue debt to finance these services.
into law in October 1972. Federal tax revenues are
shared with States and localities with limited restric- Property Tax: As indicated in Table 16-17, the
tions and controls. Quarterly general revenue sharing property tax continues to be the bulwark of local
finance. The future of the property tax, at least on a
district-by -district basis, may be in some doubt as a
"'U.S. DEPARTMhNT OF THE TREASURY, Fiscal Service result of a series of State supreme court decisions
Bureau of Accounts, Division of Government Financiai declaring certain ways of financing schools under the
Operations (1971). Federal Aid to States, Fiscal Year property tax to be unconstitutional. However the
1970. U.S. Govermnent Printing Office, Washington, D.C. U.S. Supreme Court, in San Antonio Independent
p. 20. School District v.Rodriguez 2 -3 held that variations in
2OU.S. BUREAU OF THE CENSUS (1971). Governmental
Finances in 1969-70. U.S. Department of Commerce, 22 OFFICE OF MANAGEMENT AND BUDGET (1973). The
Washington, D.C. p. 20. Budget of the United States Government, Fiscal Year
21 U.S. BUREAU OF THE CENSUS (1972). Statistical 1974. U.S. Government Printing Office, Washington, D.C.
Abstract of the United States, 1972. U.S. Government pp. 162-163.
Printing Office, Washington, D.C. p. 413. 41 USLW 4407 (March 21, 197 3).

522

A@,

zur 0@ @7

Federal payments to State governments are increasing

523

State allocated tax base among Texas school districts the construction of waste treatment works which the
did not violate the equal protection clause of the U.S. Administrator of the Environmental Protection
Constitution. If validity of the property tax is held by Agency has determined to be eligible for Federal
some States to depend on removal of inequities financial assistance. The operation of the Authority
among geographic areas, among taxpayers, and among will ease the burden of water quality financing for
classes of property, the inevitable result will be States and local entities who experience difficulty in
greater State control over local assessments, if not issuing bonds through conventional market channels.
direct State collection and redistribution to local
governments. Conclusions on Financing
Moreover, if the question of right of access by all
citizens to some minimal standards of public services An evaluation of State and local public facility
becomes extended beyond education to other public needs and financing conducted in the mid-1960's for
goods and services, such as water supply and sewer the Joint Economic Committee reached the conclu-
services, the pressures for overhauling the property sion:
tax will continue to increase. With a continued ... that sufficient funds would be available for
increase in new construction and with rapid accelera- requirements projected (but that) it is equally
tion of property values, it can be argued that State clear that this is only possible through heavy and
and local revenue growth will depend on basic growing reliance on commercial banks and to a
property tax reform. lesser extent on two or three other specific
sources of funds, e.g., personal trusts and fire
User Charges: The most straightforward method of and casualty companies. 25
public finance is to charge the users who benefit from Numerous attempts have been made to project
the facility or services provided. With increased revenue availability from the existing tax structure
budget problems at all levels of government, increased along with potential expenditures in the next
attention has been given to user charges as noted decade." These fiscal surpluses, however, have a
earlier in this section. habit of disappearing just as cost overrides often
The outlook is for continued expansion in both swamp original construction estimates.
the volume and scope of application of user charges' Realistically, it is concluded that the most likely
Application of user charges requires that the service sources of funding for new investments in water
be priced in an understandable way and that pay- resource projects will come from incremental shifts in
ments be obtained from the direct beneficiaries. User existing revenue structures. But the Comniission
charges can be readily implemented for financing believes that more reliance should be placed on user
many services of water resource projects, such as charge revenues.
municipal water supply, sewers, irrigation, outdoor Perhaps the most disturbing problem at the
recreation, and electric power. present time is that of persistent inflation. The
As water demands increase, use will press more problem of inflation is further aggravated at the local
heavily on natural supplies, costs of service will level because those goods and services purchased by
increase and competition among uses will increase. local governments (school teachers, hospital services,
Financing water development projects through user construction, etc.) have risen in cost at a rate in
charges would conserve water supplies, discourage excess of the general rate of inflation. Therefore, it is
premature investment in facilities and reduce finan- not sufficient to project average rates of inflation for
cial burdens now borne by nonusers.
2 5 U.S. CONGRESS, Joint Economic Committee (December
Environmental Financing Authority: The Environ- 1966). State and Local Public Facility Needs and Finan-
24 cing, Volume 2, Public Facility Financing, prepared for the
mental Financing Act of 1972 established the Subcommittee on Economic Progress, 89th Congress, 2d
Environmental Financing Authority. The Authority is Session. U.S. Government Printing Office, Washington,
authorized to purchase, under certain conditions, D.C. p. iv.
debt issued by a State or local public body to finance 26U.S. CONGRESS, Joint Economic Committee (July
the non-Federal share of the cost of any project for 1967). Revenue Sharing and Its Alternatives: What Future
for Fiscal Federalism? Volume III: Federal, State, Local
2'Federal Water Pollution Control Act Amendments of Fiscal Projections, prepared for the Subcommittee on
1972, P.L@ 92-SOO, Section 12, 86 Stat. 816, 899, 33 Fiscal Policy, 90th Congress, I st Session. U.S. Government
USCA Section 1281 note. Printing Office, Washington, D.C. p. 1256.

524

the economy as a whole in considering future outlay debt acquisition and management should be
requirements for water resource projects at State and removed in State and local constitutions,
local levels. statutes, ordinances, and charters. These re-
A serious problem facing water resources financing strictions include debt and interest rate limita-
is that of inflexibility for future commitments be- tions that place local governments at a long-
cause of high fixed levels of current commitments for run cost and interest-rate disadvantage, and
all public programs. This was well illustrated by the that ignore the fact that the bond markets
statement of former Under Secretary of the Treasury themselves will reflect debt repayment capa-
Charls E. Walker, who indicated that in Fiscal Year city of local and State governments.
1973 Federal programs with permanent mandatory 16-2. In selling bonds to finance water resources.
spending will absorb $130 billion of total estimated projects, representatives of State and local
17
outlays of $250 billion for that period. In addition, governments should give increased attention
mandatory increases are estimated to amount to $11 to those factors and circumstances that will
to $12 billion annually. Thus, requirements for facilitate effective debt repayment, such as
fulfilling existing commitments provide a definite refunding provisions, implementation of user
dampening effect on all now programs and this charges, and pooling of risks within the
volume of committed expenditures must be taken umbrella of larger more stable government
into account when considering increases in future jurisdictions.
water resource expenditures. 16-3. The increasing need for debt financing of
water resource development by State and
RECOMMENDATIONS local governments, resulting from implemen-
16-1. Since continued heavy reliance must be tation of the Commission's recommendations
on Federal cost-sharing policies, should not be
placed on debt financing of water resources impeded by repeat of the Federal tax exemp-
projects of all types at the State and local tion on State and local bond interest unless
levels, unrealistic legal barriers to efficient alternative provisions are made to assist these
27THE NEW YORK TIMES (June 11, 1972). Is Man the governments with increased interest cost
Master of His Budget? burdens.

525

A-11A."'ll,

POW

)IN

1 17

Chapter 17

Basic Data and Research
for Future Progress

Data collection is a long-standing activity in the effect. As these change, so does the need for basic
Nation's water resources programs. Data are essential data.
to the planning and evaluation of alternative courses A good basic data program must include data
of action. The Commission has looked at ongoing collection, storage, retrieval, dissemination, and
data collection programs in light of the broadening means for anticipating probable future needs. An
range of water problems and an expanding public especially important consideration in formulating a
interest in water and related environmental matters. basic data program is insuring that potential users
While the main focus of water data collection in the know what data are available so that they can obtain
past has been on the supply side with respect to it when needed.
quantity, future concerns will require more informa- This section centers on the policy aspects of data
tion on water quality and on the interrelationships collection. Specific data needs are identified in the
between water and other aspects of the environment. various chapters throughout the Commission's report
The Commission's studies have indicated there are and are not recounted here.
increased needs for data for impact analyses, to
measure program effectiveness, and upon which to
direct policy on such matters as flood damage The Problem
reduction, water quality control, and water use. When first established, most water-data activity
Basic data collection is one thing; research is focused almost entirely upon water as a resource. The
another. Research can expand man's ability to con- purpose of water data was to provide sound hydro-
serve resources and to attain social objectives more logic information for water planning and develop-
efficiently. The Commission foresees considerable ment in their traditional senses. That purpose has
"payoff" opportunity for research in evaluating the been substantially broadened in recent years. Now
relation between (1) water, economic development, water is not only regarded as a conventional resource
and the environment and (2) new techniques for the but as a key aspect of man's environment. Hence the
management of water. need to greatly expand the scope of data collection
and dissemination.
BASIC DATA Data on the biological and ecological aspects of
Basic data on water and water-related matters water are now in demand by planners and adminis-
provide a basis for evaluation, planning, and decision- trators and the public. All types of water data are
making. A recent and still emerging need is for sought by economists, political scientists, environ-
monitoring trends in water quality to improve selec- mentalists, and a wide range of interest groups. They
tion of effective measures and for enforcement want data in order to judge for themselves the merits
purposes. The need for data depends upon the of water projects and to develop, examine, and
analytical techniques, evaluation methods, planning propose alternative ideas of their own. Diagnosis of
objectives, and enforcement activities which are in water problems is a growing use to which water data
are put. The National Environmental Policy Act
(NEPA) with its requirements for environmental
Bonneville Power Administration's Control Center impact statements created a demand for much addi-
records telemetered data tional information and increased the importance of

527

adequate retrieval and dissemination. Environmental The Existing Situation
data are sought by a much broader audience than Although quantitative data on surface water have
hydrologic data ever were. been adequate in general, there are some deficiencies.
Future costs of deficiencies in water data are apt to For example, in stream gaging, the objective is rather
be more subtle than the glaring examples of the past, modest-to be able to predict the character of flow of
such as reservoirs that do not fill,' levees that are any stream with accuracy equivalent to a 10-year
overtopped, wells that run dry, or culverts that wash record. Studies show some inadequacies in coverage
out. It is often difficult to establish the extent to for small streams, incomplete information with re-
which data inadequacies have adversely affected a spect to low flows, and no readily available informa-
design. More often than not, recognizing data inade- tion on flows at strategic points between gaging
quacies, designers tend to overdesign as a precaution. stations. There is need for continuous monitoring or
Therefore, while no physical failure may ever be at least daily sampling of both water quantity and
evident,, lack of data has resulted in excess cost. quality at a substantial number of stations. The
Adequate data are also of great importance in widespread practice of monthly samples is inadequate
defining problems. For example, it is suggested that for many purposes.
$110 billion be spent for treatment of urban storm Coverage of ground water, even at the level of
water without knowing how often serious overflows "general inventory," is incomplete. Water quality
occur or what quantity of pollutants are carried to
2 data have fallen behind the pace of interest and
the stream. demand. Climatological and hydrological programs,
The more diverse problems of data that lie ahead while generally adequate, have been inadequately
include such things as the avoidance of the costly coordinated. Recent developments promise a much
consequences of delay and the need to assure improved coordination system with respect to water
efficiency of operation of increasingly complex water quantity and quality data, however.
plant projects and technologies. Reservoirs, canals, Environmental data are only sketchily included in
and powerplants have become environmentally con- the ongoing water data collection program, and
troversial. When or whether new facilities can be built socioeconomic data remain spotty and are gathered
will depend on understanding more completely their largely in the absence of an understanding of needs. A
effects when in operation and the consequences of national water quality monitoring network has been
not having them available when needed. collecting water quality data for a number of years
The problem associated with basic data is the need but the quality of the data is poor, there are gaps in
to insure that the right kinds are available when coverage, and neither the Environmental Protection
needed and that potential users know and have ready Agency nor its predecessors have provided adequate
access to what data are available. Since the ultimate interpretation of findings. The Commission's discus-
use of basic data is to provide a sound base for sion of water quality data problems is contained in
decisionmaking, it is imperative that basic data needs Chapter 4, and Recommendation 4-11 covers the
be assessed in terms of the kinds of information Commission's proposed solution.
needed for decisionmaking. It should also be remem-
bered that basic data requirements change as the
decisionmaking framework changes. The Changing Scene: The problem of basic data is not
one of developing a shopping list of specific data
needs; it is the problem of achieving and maintaining
'As an example that has frequently been cited, the San relevant data to meet the changing needs of users and
Carlos Reservoir on the Gila River, Arizona, built in 1928 decisionmakers. This can best be understood by
with a capacity of 1,200,000 acre-feet on the basis of a identifying some of the influences which must be
very short record of streamflow, has never been filled to dealt with in the future.
capacity and is an outstanding instance of overdevelop- 1 . There will be an increase in the number of
Tnent resulting from lack of basic data. For a discussion of
the San Carlos Reservoir and other hydrologic problems sectors of society concerned with water, water data,
caused by lack of or faulty analysis of basic data, see and water predictions. Water data will no longer be of
LANGBEIN, Walter B & HOYT, William G (1959). Water concern only to specialists such as civil engineers,
Facts for the Nation's Future. The Ronald Press Company, hydrologists, geologists, hydrometeorologists, etc.
New York. Ch. 17. 2. There will be increased demand for hydro-
'See Table 16 -12. logical-environmental integration; water quantity will

528

have to be closely related to water quality. The measures of data) to better judge program perform-
interrelations among precipitation, ground water, and ance and to develop environmental baselines.
strearnflow, coupled with water quality, could be the 13. There will need to be an adequate and
first step in this integration process. Trends in water comprehensive program for collecting flood damage
quality, whether improving or deteriorating, are data to provide the basis for planning flood control
essential in developing policy for water quality works to more effectively reduce flood losses. A
programs, and can be assessed only in conjunction program, possibly centered in the Bureau of Census,
with water quantity measures. should be developed on the pattern suggested by the
3. The scope of data will have to be expanded to Task Force on Flood Control poliCy.3
include environmental information, such as the eco- 14. There is an urgent need for more reliable
logical and esthetic aspects of the surface water information on the use of Federal water facilities for
landscape and the monitoring of water quality. such purposes as navigation, recreation, irrigation,
4. The need for information on the potentials for and water supply on a consistent basis to provide
using underground capacity for water storage and for information for future planning.
combining underground and surface water systems Dissemination and Retrieval: A great amount of data
will increase. are already available. Practically every Federal agency
5. Demand for information on water costs, water and many State and local agencies and private groups
use, and waste (residuals) discharge will also increase. have data which are of interest and potential use to
6. There will be greater emphasis on active rather individuals concerned with water resources. The
than passive data storage whereby the data base can principal Federal water data agencies such as the U.S.
be subjected to routine statistical analysis to give Geological Survey (USGS), the National Oceanic and
prompt answers to queries. Atmospheric Administration (NOAA), and the U.S.
7. Operations, management, and forecasting will Environmental Protection Agency (EPA) maintain
require data which are recorded and reported prac- catalogs of data in storage and available for retrieval.
tically simultaneously with the occurrence of the Unfortunately, owing in part to the pervasive nature
event. Exampleg include the continuous "real time" of water resources and the wide range of interests
reporting of water data needed to operate a river involved, many people do not know what services are
system, such as in the Columbia River Basin. Con- available and where, in what forms they are available,
tinuous monitoring of water quality to provide a basis and how to get needed data. This situation could be
for detecting polluting discharges will also be re- corrected by establishing a referral center as to
quired. sources of water and water-related data. The recon-
8. There will be greater use of remote sensing stituted Water Resources Council (WRC)' is the
(aircraft and space satellites) for data collection and logical agency for establishing such a center as it
transmission. already provides a working forum and coordinating
9. Data systems will need to be designed to function for State and Federal agencies involved in
permit (1) feedback from monitoring, (2) analysis of water and water-related activities.
requests for data at data centers, and (3) sensitivity The primary purpose of a data referral center
analysis of water and environmental planning. would be to maintain a continually updated reference
10. The demand for and importance of social and system for water and water-related data indicating
economic data related to water use will increase at a what kinds of data are available, in what forms, and
very rapid rate. where the data are available. Data would remain in
11. Multiobjective planning for water resources existing storage systems rather than having WRC
and plan implementation will require a much broader manage a master data storage and retrieval system.
data base than in the past. For example, it was found The WRC center would neither store data nor fill data
early in the development of the Appalachian Water
Resources Survey that there were very few data from 3TASK FORCE ON FLOOD CONTROL POLICY (August
which to determine regional socioeconomic impacts 1966). A Unified National Program for Managing Flood
of water development. The same can be said for Losses, House Document No. 465, 89th Congress, 2d
environmental impacts. Session. U.S. Government Printing Office, Washington,
12. There will be an increasing need to develop D.C.
social and environmental indicators (i.e., aggregate 4See Chapter 11, Section B.

529

requests, but would direct requestors to appropriate determining data deficiencies related to water which
agencies or data systems. The center would not are reported in NEPA statements.
replace the functions of the existing data services. In concert with its data referral center activities
Agencies such as the Office of Water Data Coordina- and its responsibilities under the Water Resources
tion, established as a result of Office of Management Planning Act, WRC should report periodically, per-
and Budget (OMB) Circular A-67, would be a major haps once every 5 years, its recommendations for
recipient of inquiries referred through the WRC maintaining a program to insure that the proper kinds
referral center. The center should be publicized of data will be available when needed. The Council
widely and its service should be available to all can provide the interagency forum to eliniinate
Federal, State, and local governmental agencies and overlap and duplication among agencies, highlight
private groups. common needs, and look to future problems not
The WRC data center could also assist the data necessarily of concern in specific existing programs.
collection agencies in the development of flexible Council efforts should include review of recent court
retrieval systems and more useful dissemination and decisions to assess where gaps in the data base were of
retrieval formats. A desirable corollary to establish- significance.
ment of a water resources data referral center under In spite of the unquestioned value of learning from
the WRC would be publication of a periodically experience, water resources programs and activities
updated catalog of sources of water-related data have not always taken advantage of knowledge gained
which, if sufficiently complete and current, would from past mistakes. Better information on cause and
obviate the need for many intermediate and time- effect relationships in water project construction
consuming inquiries to the center. should be accumulated and made available to water
Greater attention should also be focused on planners. Most importantly, a -continuing process of
methods of data synthesis and transfer. For example, before-and-after-implementation studies would yield
recent developments in data synthesis whereby non- important information including cause and effect
existent data can be accurately imputed from other relationships and the adequacy of data.
available data have resulted in satisfying increasing
demands for data without significantly increasing the Organizational Changes: The chief water data services
water quantity gaging network. Similar potentials of the Federal Government are presently divided
exist for water quality. between two agencies-the National Oceanic and
Atmospheric Administration (NOAA) in the U.S.
Department of Commerce and the Geological Survey
Gaps in Data and Future Needs: As already indicated, (USGS) in the U.S. Department of the Interior. NOAA
a continuing problem is to insure that data collection specializes in river stages, precipitation, and other
and dissemination are relevant to present and proba- hydrologic data; USGS specializes in data on river
ble future needs. There is not now a continuing flow, the occurrence of ground water, and on the
broadly-based effort with this in mind except where physical, chemical, and radioactive quality of water.
individual agencies are identifying data needs which The work of both agencies is coordinated with one
relate to their specific agency programs and objec- another and with other agencies through the media of
tives. The opportunity to mount such an effort is OMB Circulars A-62 (meteorological and climatic
easily available, however. data) and A-67 (hydrologic data). Even though the
The identification of specific gaps in the present coordination is cordial, active, and close, it can only
data base should be a required part of planning and go part way towards accomplishing economies of
project studies, and of NEPA statements as well. This combination and scale. These potential econornies
should not be confused with the unconvincing appeal can be achieved through joint design of precipitation
for more and better data. Again, WRC is the logical and streamflow networks to take advantage of the
candidate for assessing and identifying present and natural relation between them, joint use of com-
future water data needs. It reviews planning docu- munication circuits, joint use of skills, comple-
ments in a multiagency forum, is concerned with mentary techniques of analysis, and the integration of
identifying possible future water problems, and is data collection and processing services.
charged with preparing a biennial assessment of the The hydrologists of NOAA and of the USGS have
Nation's water resources. WRC should also be able to often attempted coordination in the collection of
work with the Council on Environmental Quality in rainfall and strearnflow data to take advantage of the

530

relations between these two phenomena. However, view to making better and more widespread use
such plans tend to flounder for at least two reasons. of available data, a well publicized referral
First, the budget of each organization encounters a system is needed.
different fate as it moves up through the depart- 3. There is a continuing need to identify gaps in the
mental echelon and as different budgetary tradeoffs present data base as they become apparent
occur; and second, each organization has different through planning and evaluation studies and
sources of funds (NOAA data collection depends through a periodic assessment of the data pro-
entirely on Federal funds and volunteer services;USGS gram. One means of accomplishing this would be
depends on Federal funds and on funds provided by for planning and project study reports to regu-
States and municipalities in a matching program). larly report data deficiencies. Such a regular
Both organizations process, store, and publish reporting of data deficiencies should also be part
water data. Both organizations release statements on of the Section 102 statements filed under NEPA.
current and prospective water conditions and out- 4. Since planning and operational decisions are only
looks. These services should be combined not only in as sound as the data base on which they rest,
the interest of economy but also to simplify public standards for gaging the accuracy of different
access to needed information. The two organizations, types of data or the same kinds of data from
NOAA and USGS, interface as well in several other different sources should be developed.
fields such as mapping, earthquakes, marine and tidal 5. While data collection activities supportive of
data, and geophysical investigations. For the above action programs or of a broad nature, such as the
reasons, the Commission recommends that most of USGS gaging network and the Census, are con-
the functions of NOAA be merged with those of the tinually reviewed for relevance, what is needed
USGS in the Department of 'the Interior.5 additionally is a focus on probable future data
The merged organization should contain a bureau needs. This need is particularly apparent with
or service that combines the functions of the Environ- respect to environmental data.
mental Data Service of NOAA and of the Water 6. The water agencies should cooperate more exten-
Resources Division of USGS as well as comparable sively with general data collection and statistical
data collection bureaus for the oceans, the atmos- agencies, such as the Census Bureau, to encour-
phere, and the earth's mineral resources. This merged age collection of data useful for water resources
data service could be strengthened further by trans- planning and management. This may require
ferring to it basic water data collection activities of transfers of funds.
other Federal agencies which are marginal to their 7. The thrust of most past data collection activities
primary missions. These include such programs as has centered on the provision of raw statistics or
water quality data acquisition operated or funded by elementary statistical relationships. While this is
EPA (the prosecutor and the judge should not also be impor .tant and should be continued, future work
the expert witness) and the snow surveys and water should also focus on data which provide a general
supply forecasts of the U.S. Soil Conservation Service. view of an entire system, and on data systems
designed to provide. information on routine cause
CONCLUSIONS ON BASIC DATA and effect relationships.
8. A regularized process of before -and-after-
I . The adequacy of basic data to support evalua- implementation studies of water development
tion, planning, and decisionmaking in water projects would yield very valuable information.
resources varies considerably. It is strongest with 9. It would be advantageous to combine the water
respect to the quantitative aspects. The areas of data collection activities of the National Oceanic
greatest need are in the water quality, environ- and Atmospheric Administration and the U.S.
mental, socioeconomic, and water-use aspects, Geological Survey under one administration.
including improvement in the program of report-
ing flood damages. RECOMMENDATIONS
2. While great amounts of data are available, many
potential data users do not know what data are 17-1. The reconstituted Water Resources Council
available and where to go to get data. With the should:
a. Establish a water resources data referral
See Chapter 11, Section C. center and periodically publish an up-

531

dated catalog of sources of water-related detail elsewhere in this report. The Commission's
data. approach focuses primarily on organizational aspects
b. Identify gaps in the present water data of Federal water research activity.
base and identify the probable long-term The organization of R&D activities in water re-
basic data requirements which will be sources and related fields is varied and complex.
needed to support future planning and While the Federal role in funding water resources
decisionmaking in water resources. R&D is predominant, actual R&D activities are
c. Work more extensively with nonwater carried out by a variety of governmental agencies,
agencies to make their data collection universities, industries, and independent research
more useful to water resources planning organizations. Rapidly changing social concerns and
and management. environmental problems require that research pro-
17-2. All water resources planning reports and grams be relevant and responsive to real problems and
environmental impact statements should con- issues. The Commission is concerned primarily with
tain an assessment of the deficiencies in the the need to develop (1) closer ties between research
factual base. Such reports should indicate and planning and (2) a more broadly-based and
which decisions or findings are most sensitive intensive research and development effort to increase
to data deficiencies. usable water supplies and to handle growing volumes
17-3. High priority should be given to research in of wastes.
developing methods for data synthesis and
transfer. The Problem
174. Studies before and after project implementa-
tion should be conducted to ascertain the Water research should be looked upon as an
adequacy of the basic data used in planning important aid in the achievement of particular objec-
and decisionmaking as well as cause and effect tives or the solving of water problems. The success of
relationships. a water research program can be assessed in light of
17-5. Congress should enact legislation to merge the its contribution in assisting planners, designers, mana-
National Oceanic and Atmospheric Admini's- gers, and decision- and policyrnakers. The key ele-
tration (with the exception of the fisheries ment in making such an assessment is a view of the
and coastal zone management activities) and future. The adequacy of the water resources research
the U.S. Geological Survey into a single program in meeting past needs is relevant only to the
agency in the U.S. Department of the Interior. extent that it provides a guide for developing a
research program that will help meet future needs.
RESEARCH Water R&D effort has been generally successful in
meeting past needs. The existing reliance on agency
Research and development (R&D) is an integral R&D programs to support agency missions with an
component of the Nation's water resource manage- Office of Water Resources Research (OWRR) filling
ment activities. The purpose of water resources R&D the gaps as they become apparent should be main-
is to better understand, use, and manage the Nation's tained. Three aspects of the present situation concern
water resources. As water demands increase, R&D is the Commission. The first is whether fragmented
needed to provide improved methods for making research efforts of individual agencies will provide the
supplies available at reasonable costs and for dispos- needed capability to carry this Nation successfully
ing of wastewater in ways which are environmentally through the latter part of the 20th century. Here,
and economically acceptable. There is also an increas- reference is primarily to the major "big ticket"
ing need for R&D knowledge to reduce and, if programs involving new technologies that will require
possible, to eliminate adverse impact on the natural R&D effort beyond the capabilities of mission-
environment in the management of water resources. oriented agencies.
The Commission has not attempted to review in A second concern is whether planning and manage-
detail the performance of existing research agencies ment line agencies are reaping the most benefit from
or to outline a total Federal research program in the R&D efforts and whether R&D agencies are receiving
field of water. Specific areas requiring additional worthwhile counsel and advice from those planners
R&D emphasis (e.g., precipitation modification, and managers on the "people-problem" end of the
desalting, and environmental research) are discussed in water resources spectrum.

532

A third source of concern is the natural tendency role of industrial R&D has been important and will
of any mission-oriented department having jurisdic- very likely increase in importance as the hardware
tion over a research agency to require the latter to aspects of water management increase (e.g., recycling,
devote its resources wholly, or largely, to solving the process changes, etc.)-
problems of that department. For example, there is a Present water resources research programs of the
strong tendency for the Department of the Interior to Federal Government include:
look upon the Office of Water Resources Research as 1. Agency mission research -
the research arm of that Department in the water Research undertaken or sponsored by action
field. It is difficult for a research agency placed in this agencies, such as the U.S. Army Corps of
position to maintain a broad outlook and strive to Engineers, U.S. Department of Agriculture,
maximize the contribution of its program to the and U.S. Environmental Protection Agqncy to
Nation as a whole. improve their operations.
2. Earth-science research and surveys -
Need for Improvement Research by such agencies as the U.S. Geo-
logical Survey and the National Oceanic and
The Commission has not attempted to make a Atmospheric Administration to advance the
detailed review of water resources research under way, understanding of biospheric systems and pro-
but has examined present water research programs in cesses. This research usually requires long and
terms of major categories of research, who is doing continued attack.
what, which research activities appear to be serving 3. Research grant programs -
their purposes well, the present priorities in and These are the programs of the Office of Water
funding of research, the extent to which research is Resources Research (OWRR) in the Depart-
tied to planning, and the relationships between ment of the Interior and, to a lesser extent, of
existing research organizations. the National Science Foundation (NSF) to
sponsor research, mainly in universities and on
Present Research Program: At the Federal level, 21 small projects, with considerable emphasis on
agencies are actively involved in R&D activities in the the advancement of training and skills as an
water field. Most of the R&D in these agencies is indirect result.
carried out both in-house and by contract researchers, 4. "Big-ticket" research to develop new tech-
but largely in the context of agency missions. At the nologies -
State level, water resources research and development The chief example is the Office of Saline
is conducted on State-oriented problems and is often Water (OSW) in the Department of the In-
cooperatively funded by Federal agencies. At the terior which has had one job for many years.
university level, basic and applied water research is Another example is the weather modification
conducted on a broad spectrum from narrow single- program of the Bureau - of Reclamation
interest points of view to interdisciplinary ap- (USBR).
proaches. The first two research activities are oriented
A major contribution of the private-industrial toward agency purposes. The second two research
sector to R&D progress has been in the context of activities are those whose programs center on research
solving industry problems, such as the development itself and which are, therefore, subject to choice and
of equipment to improve water use efficiency and to redirection as may be desirable.
cope with wasteproducts. For example, the steam Generally, research under the first two categories
electric power industry is conducting research has been good. Nevertheless, mission agency research
directed toward more efficient cooling towers for should be subject to periodic review and redirection.
recycling of cooling water. Private industry R&D has Mission -oriented research has a tendency to focus on
also been directed at marketable products or pro- specific areas and to pursue these areas beyond the
cesses (instruments, treatment units, turbines, point of diminishing returns. Mission agencies are
pumps, desalting plants, etc.). No data on private more likely to be open for criticism for what they do
industrial expenditures on water resources R&D are not do than for what they do. Mission agency
available because of the proprietary nature of their research tends to be oriented toward the "hardware"
activity and because developments in nonwater tech- aspects of the mission. Studies of environmental and
nology may have significant impact on water use. The social impact have, for example, been noticeably

533

lacking. The final weakness of mission agency re- tion system to disseminate water research results.
search is that it tends to be cut back whenever funds Under the terms of the 1964 Act, OWRR has
are itight. In other words, for most mission agencies, sponsored research related to a wide range of water
research is expendable-it is nice to have, but not at resources topics.' The program has been of signifi-
the expense of cuts elsewhere in the program. cant value to educational institutions in the establish-
Although researchers in the agencies can provide ment and development of water resources programs
agency policymakers with ready access to competent and has provided through research grants needed
scientific counseling on alternative policy positions, support for manpower training. It has also stimulated
there is not much indication that policymakers take a good deal of thinking about new concepts of water
advantage of this. To a considerable degree, research use and management and has attracted funds from
is viewed as supportive of the engineering operations, non-Federal sources. Title 11 of the Water Resources
not, the policy areas. A much closer tie between the Research Act, however, requires that research under-
decisionmakers and the researchers is needed to taken under the Act, other than that performed at
accelerate application of research results. the State water resources research institutes created
The interagency Committee on Water Resources thereunder, be related to the mission of the Depart-
Research (COWRR) of the Federal Council for ment of the Interior. This might prevent the agency
Science and Technology has provided a mechanism from using the Title 11 program to fill in gaps left by
for the coordination of Federal water resources the research programs of other agencies in the
research activities. It has served to identify gaps and conduct of their mission-oriented research. If and
inadequacies in agency research programs, minimize when OWRR is made a part of the Office of Water
duplication, and influence the scope and direction of Technology as recommended in Chapter 119 of this
future R&D programs. Since 1963, the Chairman of report, consideration should be given to removing this
COWRR has been a member of the staff of the Office limitation, so that the Office of Water Technology
of Science and Technology (OST), and the Commit- can serve all agencies.
tee, while conducting its 'primary mission, has also
served in an advisory capacity to OST which has been Research Priorities and Funding: At present, the
the R&D arm of the Executive Office of the Department of the Interior (mainly OSW, OWRR,
President. Under Reorganization Plan No. I of USGS, and USBR) administers over one-third of the
1973 6 OST is abolished and its functions total Federal water resources research budget. The
transferred to the National Science Foundation. This next two largest , agency commitments to water
affords anopportunity to reassess the role of COWRR resources R&D are those of the Environmental
and improve its effectiveness in orienting the agency Protection Agency (approximately one-quarter) and
research programs toward meeting broad national the Department of Agriculture (approximately one-
needs. The Commission believes the effectiveness of sixth), including the Agricultural Research Service
COWRR could be improved if it were established as and the Economic Research Service.
an arm of the Water Resources Council and given the Approximately one-third of the total water re-
strong role in water resources research that the sources research budget is allocated to advances in the
Commission contemplates will be the role of the area of water quality management and protection.
Water Resources Council in water resources planning The next three largest areas of water research
when it is reconstituted as recommended in Chapter emphasis include: (1) research into the processes and
11.7 phenomena of the hydrologic cycle; (2) water supply
The Office of Water Resources Research (OWRR) augmentation and conservation, including desalting
was established in the Department of the Interior to research, renovation and reuse of low-quality water,
administer the Water Resources Research Act of and the conservation of water (reduction of demand)
1964. The OWRR program includes (1) support of 53 in municipal, industrial, and agricultural uses; and
State and territorial water 'resources research insti- (3) water resources planning, including research on
tutes, (2) contracts and grants for water resources the market system, water law and institutions, non-
research, and (3) the operation of a major informa-
' Water Resources Research Act of 1964, P.L. 88-379, July
"Weekly Compilation of Presidential Documents (January 17, 1964, 78 Stat. 329, as amended, 42 USCA 1961, et
29, 1973). Vol. 9, No. 4, p. 75. seq.
Recommendations 11- 1 and 11-2. 9 Recommendation 11-13.

534

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Measuring salinity of stream helps assess adverse effects of mining operation

structural alternatives in water supply development, areas of needed research which appear to hold the
and the ecological impacts of all alternatives. greatest promise for payoff include:
The identification of research needs is a never- 1 . The ecological, environmental, and socioeco-
ending job and a responsibility to some degree of all nornic impacts of water resources project
those involved in water resources. No two priorities development and management strategies.
lists are alike and priority ranking varies according to 2. The economic, social, and environmental costs
the views of those who prepare such lists. The major and benefits of (a) various levels of wastewater

S35

treatment, including the no discharge altema- for the establishment of principles, standards, and
tive, and (b) changes in water-using processes procedures for planning and project formulation.
to reach alternative levels of water quality. WRC should consider technological impacts as part of
3. Relationships between energy production and its review of planning under Section 102, and under
water use and the effects of heat and con- Section 103 it should promulgate guidelines on how
sumptive use on local water resources. to reflect research in field planning. These guidelines
4. The effects on water quality of nonpoint- should also include directions to field planning
sources of pollution, including investigations entities to highlight research needed to assist in the
of alternative means of control and study of achievement of planning objectives and in the analysis
urban storm water control in relation to the of problems. Furthermore, river basin commissions
quality of the Nation's water bodies. should be directed specifically to include in their
5. Means of more efficient water use and extend- plans prepared under Section 204(3) of the Water
ing the utility of existing supplies. Resources Planning Act recommendations for the
6. New and developing technologies in water, development of whatever research is needed to meet
including such things as desalting, weather their objectives.
modification, wastewater reuse, and geo- If these steps were implemented successfully, the
thermal resources. Water Resources Council would be well equipped to
Of these, the first three are particularly important prepare annually or biennially an assessment of needed
in the fight of the current importance of environ- research with specific priority recommendations to
mental quality. With the likelihood of massive bud- support the overall objectives of the Planning Act.
getary commitments for water quality control (item Such an assessment should then be used as a general
2), it is especially important to insure the most guide for both mission and contract agency research
cost-effective expenditure of these funds. Because activities.
steam electric powerplants presently constitute the
largest and fastest growing withdrawal use of water, it Organizational Relationships: The substance of re-
is also important to increase research on relationships search is innovative exploration, which is whetted
between energy production and cooling water (item most keenly in a competitive environment. Therefore
5). the Commission makes no proposal for central
Integrating Research and Planning: As stated earlier, assembly of all water research; the several existing
one of the concerns of the Commission is the mission -oriented organizations have served their pur-
adequacy of the present R&D program to meet the poses well within the limited fields in which they
needs of the future. Planning should not only operate.
consider future technological developments as possi- As a principle, however, research activities should
bilities but recommend the necessary research as well. serve broad objectives as well as fulfilling particular
Conversely, research should look to planning for a agency needs. For example, research into means of
substantial part of its direction in identifying problem flood damage reduction is as proper an objective as is
and priority areas. Recommendations along this line research into various methods of designing or budding
constituted five of the eight recommendations of the dams to control floods. Unfortunately, research often
National Academy of Sciences Committee in its becomes so involved in agency needs that it some-
report to the Commission.' 0 times loses sight of more important broad objectives.
The Commission believes that this loss of perspective
There are steps which can be taken to encourage has occurred, for example, with respect to the broad
integration of planning and research. For example, objectives of researching ways of increasing the
Section 102 of the Water Resources Planning Act supply of usable water.
provides for study, assessment, and review of prob- The fragmented approach of establishing an Office
lems, plans, and programs, and Section 103 provides of Saline Water, a weather modification and geo-
thermal resources program in the Bureau of Reclama-
1 0 U.S. NATIONAL ACADEMY OF SCIENCES, Committee tion, research on surface and underground storage in
on Technologies and Water (June 197 1). Potential Tech- the various action agencies, and research programs of
nological Advances and Their Impact on Anticipated Water EPA on wastewater reuse technology makes it diffi-
Requirements, prepared for the National Water Commis.-
sion. National Technical Information Service, Springfield, cult for anyone to develop a proper perspective,
Va., Accession No. PB 204 053. pp. 5-8. particularly with respect to priorities and budgeting,

536

on the overall objective(s). Furthermore, single tool 3. If the Nation is aggressively to explore the
research organizations tend to persist in their studies research and development of new technologies in
beyond useful return. For this reason, there appears water resources and related fields, it is important
to be considerable merit to establishing an Office of that an agency or office charged with this
Water Technology (OWT) in the Department of the mission be established.
Interior and giving it a broad objective (1) to assume
these "fragmented" programs as well as the n-dssion
and functions of the Office of Water Resources RECOMMENDATIONS
Research and (2) to research such things as urban
storm water control, underwater and offshore aque- 17-6. The Water Resources Council should, through
ducts, and other new areas.' ' the exercise of authority granted to it under
Such an Office of Water Technology should attack the Water Resources Planning Act:
two other problems. First there is the tendency of a. Direct that water resources planning
research operations to perpetuate themselves, to push studies include an assessment of research
obsolete research, to proceed more or less inde- needed to support planning objectives
pendently without determining the extent to which and a recommended research program to
other existing research projects would serve as well or develop the scientific and technological
better. Recognizing the reluctance of one government base necessary to cope with future prob-
agency to criticize another, the new OWT should lems.
establish a special technical review board comprised b. Review planning reports for needed re-
of experts both from within and without the Govern- search as part of the customary WRC
ment to evaluate existing water research operations review to aid the Council in preparing
and recommend whether those projects should be annually an assessment of needed re-
continued, modified, or dropped. A major contribu- search with specific priority recommen-
tion of such a special review board would be to dations to support the objectives of the
identify areas in which there is unnecessary duphca- Water Resources Planning Act.
tion of research. c. Develop guidelines for field planning
Second, a number of water resources issues need to entities to assist in reflecting technolo-
be more systematically assessed. Among these issues gical impacts in both short- and long-
are (1) the quality of urban storm water runoff, range water resources planning.
(2) acid mine drainage, (3) take eutrophication, and 17-7. The research program of the Office of Saline
(4) urban sedimentation. The new OWT would make Water, the weather modification activities of
an important contribution to water resources research the National Oceanic and Atmospheric Ad-
by undertaking a program of "problem assess- ministration, the weather modification and
ments--identifying and cataloging serious unsolved geothermal resources program of the Bureau
problems, carefully determining their nature and of Reclamation, and research on wastewater
magnitude, assessing the potential consequences of reuse technology of the Environmental Pro-
failure to solve them, and recommending the kinds of tection Agency should be transferred to a new
economically feasible research efforts which are likely Office of Water Technology in the Depart-
to result in solutions. ment of the Interior. Additionally, this new
office should absorb the functions of the
CONCLUSIONS ON RESEARCH Office of Water Resources Research and
I . The presently diversified water resource research should maintain an up-to-date state-of-the-art
effort (i.e., mission agency research and grant assessment of new technologies to assist
agency research) has generally served the Nation planners and decisionmakers in the develop-
well. merit and evaluation of water management
2. To assure continued success, steps should be alternatives.
taken to develop a closer tie between planning 17-8. The Committee on Water Resources Research
and research in order to reinforce the value and which has functioned as an arm of the
relevance of each. Federal Council for Science and Technology
should be reconstituted as a committee of the
See Chapter 9, Section F, and Chapter 11, Section C. Water Resources Council.

537

Appendix I

The National Water Commission Act

Public Law 90-515
90th Congress, S. 20
September 26, 1968
2[fl 'act
82 STAT. 868
To proN-ide fora coinpreliLnsh,e review of. national water resource problems and
progranis, and for other purposes.

Be ;t enacted by the Senate and House of Representatives of the
United Ntates of America in Congress assembled, That this Act inay National Water
be cited as the "-National Water Commission Act". Commission Act.

THE NATIONAL WATER COMMISSION

SEC. 2. (-,1) There is established the National Water Commission
(hereinafter referred to as the "Commission").
(b) The Commission shall be composed of seven members who Membe rship.
shall be appointed by the President and serve at his pleaEnire. NO mem-
ber of the Commission shall, during his period of service oil the Coin-
mission, hold any other position as an officer or employee of the United
States except as a retired officer or retired civilian employee of the
United' States.
(c) The President shall designate a Chairman of the Conlin Issioil
(hereinafter referred to as the"Chairinan") fron-I among its members.
(d) Members of the Commission may each be compensated at the Compensation.
rate of $100 for each day such member is engaged in the actual per-
formance of duties vested in the Commission. Each member shall be Travel pay.
reimbursed for travel expenses, including per them in lieu of sub-
sisterice, as authorized by 5 U.S.C., see. 5763, for persons in the Gov- 80 Stat. 499.
orinnent service employed intermittently.
(e) The Cominission shall have an Executive Director, Who Shall Executive
be appointed by the Chairman with the approval of the Commission Director.
and shall be compensated at the rate determined by the U.S. Civil
Service Commissioners. The Executive Director shall have Snell duties
and responsibilities as the Chairman mayassign.

DUTIES OF THE C031MISSION
SEC. 3. (a) The Con-unission. shall (1) review present and anticipated
national water resource problems, making such projections of water
requirements as inay be necessary. a@iid identifying alternative ways of
meeting these requirements-giving consideration, among other
things, to conservation and more efficient use. of existing supplies, in-
creased usability by reduction of pollution, innovations to encourage
the highest economic use of water, interbasin transfers, and tech-
nological advances including, but not limited to, desalting, weather
modification, and waste water purification and reuse; (2) consider
economic and social consequences of water resource development, in-
clujing, for example, the impact of water resource development on
regional economic growth, on institutional arrangements, and on
esthetic values affecting the quality of life of the American people;
Mid (3) advise on such specific water resource matters as may be
referred to it by the President and the Water Resources Council.
(b) The Commission shall consult with the Water Resources Council
re--arding its studies and shall furnish its proposed reports and rec-
onin-tendations to the Council for review and comment. The COMMiS- Reports to
sion shall submit simultaneously to the President and to the United President and
St ates Congress such interim and final reports as it deems appropriate, Congress.

539

Pub. Law 90-515 - 2 - Septernber 26, 1968

aDd the Council shall submit simultaneously to the President and to
the United States Congress its views on the Commission's reports. The
82 STAT. 869 President shall transinit the Commission's final report to the Congress
together with such comments and recommendations for legislation as
he deems appropriate.
Termination (c) The Coniiiiission shall terminate not later than five years from
date. the effective date of this Act.

POWERS OF TilE, COMMISSION

SEC. 4. (a) The Commission may (1) hold such hearings, sit mid act
at such times and places, take such testimony, and receive stich e@@i-
deiice as it may deem advisable; (2) acquire, furnish, and equip such
office space as is necessary; (3) use the United States mails iii the
same, niannor and itpon (lip- same c.onditions as other departments alid
agencies of the United States; (4) without regard to the civil service
80 Stat. 443. laws and re-ulatiolis and without regard to 5 U.S.C., ch. 51, employ
5 USC 5101- and fix the coinpensatioii of such personnel as D-lay be necessary to
5115. carry out the functions of the Con-itnission; (5) procure services as
80 Stat. 416. authorized by 5 U.S.C., see. 3109, at rates not to exceed $400 per dieli-I
for individuals, (6) purchase, hire, operate, and inaintain passeii-er
inotor vehicles; (7) enter ii)to coi)tracts or agreements for studies and
Surveys with public ajid private organizations and traiisfer funds to
Fede@al agencies and river basin commissions created purstiant to
79 Stat. 246. title 11 of the Water Resources Planjiin@- Act, to carrv outsuch aspects
42 USC 1962b- of the Commission's futictions as the Coiiiniissio@i determines call
1962b-6. best be carried out in that inanner, and (8) incur such necessary
expenses aZ exercisle such other powers as are consisteift with aod
reasonably required to perform its functions under this title.
(b) Any member of the Commission is authorized to adininister
oaths when it is deterniflied by a inajority of the Commission that
testimony shall be, taken or evidence received under oath.

POWERS AND DUTIES OF THE CHAIRMAN
SEC. 5. (a.) Subject to general policies adopted by the Commission,
the Chainuan shall be the chief executive of the Commission and shall
exercise its executive and administrative powers as set forth in section
4 (a) (2) through section 4 (a) (8).
(b) The Chairman may make such provision as he shall deem
app@oprlate authorizing the performance of any of his executive and
administrative functions by the Executive Director or other personnel
of the Commission.
OTHER FEDERAL AGENCIES

SEC. 6. (a) The Commission may, to the extent practicable, utilize
the services of the Federal water resource agencies.
(b) Upon request of the Commission, the head of any Federal de-
partment or agoncy or river basin commission created pursuant to
title 11 of the Water Resources Planning Act is authorized (1) to
furnish to the Commission, to the extent permitted by law and within
the limitsofavailable funds, including funds transferred for that pur-
pose, pursuant to section 4 (a) (7) of this Act, such inf orniation as may
be necessaxy for carrying out its functions and as may be available to
or procurable by such department.or agency,,and (2) to detail to
temporary duty with this Commission on a reimbursable basis such
personnel within his administrative jurisdiction as it may need or
believe to be useful for carrying out its functions, each such detail to
be without loss of seniority, pay, or other employee status.
Financial and (c) Financial and administrative services (including those related
administrative to budgeting, accounting, financial reporting, personnel, and procure-
services by ment) shall be provided the Commission by the General Services
GSA. Administration, for which payment shall be made in advance, or by

540

September 26, 1968 - 3 - Pub. Law 90-515
82 STAT. 870
reimbursement from funds of the Commission in such arnounts as
may P@ agreed upon by the Chairman of the Commission and the
Administrator of General Senices: Provided, That the regulations of
the General Services Administration for the collection of indebtedness
of personnel resulting from erroneous payments (5 U.S.C., see,. 5514) 80 Stat. 477.
shall apply to the collection of erroneous payments made to or on be-
half of a Commission employee, and regulations of said Administrator
for the administrative control of funds (31 U.S.C. 665 (g) ) shall apply
to appropriations of the Commission: And provided further, That the
Commission shall not be required to prescribesuch regulations.

APPROIMLMONS
SEc. 7. There are hereby authorized to be appropriated not to exceed
$5,000,000 to carry out the purposes of this Act.
Approved September 26, 1968.

LEGISLATIVE HISTORY:

HOUSE REPORTS: No. 376 (Comm. on Interior & Insular Affairs) and
No. 1862 (Comm. of Conference).
SENATE REPORT No. 25 (Comm. on Interior & Insular Affairs).
CONGRESSIONAL RECORD: '
Vol. 113 (1967): Feb. 6, considered and passed Senate.
July 12, considered and passed House, amended.
Vol. 114 (1968): Sept. 5, House agreed to conference report.
Sept. 12, Senate agreed to conference report.

GPO 98-139

541

Appendix Il --------------- --------

Background Studies Undertaken for the

National Water Commission

Prior to the development of its recommendations and the preparation of its own report, the National Water
Commission undertook (1) to review the pertinent literature, (2) to analyze the relevant findings and
recommendations of earlier water policy studies; (3) to consult with leading authorities; (4) to review the
statements of State, local, and regional officials, private citizens, and representatives of groups interested in
national water policy presented at the Commission's public conferences held in the summer and fall of 1969;
(5) to obtain the views of the Federal water agencies; and (6) to carry out special studies in 22 fields of inquiry
in which the readily available material was insufficient, in the Commission's judgment, to provide an adequate
basis for making policy recommendations. This Appendix describes and briefly summarizes the special studies
undertaken for the Commission.
Altogether, 64 studies were undertaken ranging from simple state-of-the-art summarizations in several fields
to a massive summary digest of the water resources laws of the 50 States. Computer model studies were
undertaken to develop a possible range of future water demands for agriculture under certain assumptions.
The background studies were either commissioned under contract to universities, research organizations,
consultant firms, and individual experts or were prepared by task forces or panels of consultants or by members
of the Commission's staff. In addition, a large number of staff studies were made in specific areas in which the
Commission requested special information. Each report on a study or important phase of a study, upon
completion, was submitted to the Commissioners for use as background for the Commission's deliberations
leading to the final report. In order to keep the general public and all those who had indicated their interest in
the Commission's work informed on the progress, the Commission authorized release of the completed reports
through the National Technical Information Service (NTIS) of the U.S. Department of Commerce, and sent
news releases to representatives of the press and others concerned. The reports were not necessarily approved by
the Commission either as to conclusions drawn or as to the accuracy or completeness of data presented, but
were released without endorsement to stimulate public discussions of water resource policy issues. Readers of
the reports were invited to give the Commission their comments and suggestions to give the Commission
perspective in reaching its own conclusions and recommendations on the subjects covered.
Altogether, 62 background reports were released to the public and copies are available through NTIS. The
remaining two reports, summary-digests of Federal and State water laws, were deemed of sufficient interest and
lasting worth to warrant transmittal to the President and the Congress and are being published and sold through
the U.S. Government Printing Office.
There follows a list of the background study reports released through NTIS. The reports are grouped under
10 broad fields of interest and each is described briefly, giving its NTlS accession number and the name(s) of its
author(s).

NTIS
Title and Description of Report Accession No.

1. Looking Ahead

FUTURE WATER DEMANDS, Charles W. Howe, Clifford S. Russell, Robert A. PB 197 877
Young, and William J. Vaughn, Resources for the Future, Inc.

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This report summarizes three studies on water demands: (1) urban, (2) indus trial, and
(3) agricultural. It analyzes the effects of likely market trends, public policies, and
technological change on water use and water pollution. Projections are given.

POTENTIAL TECHNOLOGICAL ADVANCES AND THEIR IMPACT ON ANTICI- PB 204 053
PATED WATER REQUIREMENTS, Committee on Technologies and Water, National
Academy of Sciences.
This report evaluates potential technological advances and their effect on water supply
and demand in the future. It presents a directory of concepts to increase or decrease
future water demand, to increase usable supplies, and to extend usefulness of impure
water. In four scenarios of possible futures, technological concepts are applied to food
production, electric power generation, urban water supply, and municipal waste
disposal, with identification of political, social, and economic factors. The report
indicates research priorities and ways in which technological change should be given
greater emphasis in water planning.
FORECASTING WATER DEMANDS, Russell G. Thompson, M. Leon Hyatt, James PB 206 491
W. McFarland, and H. Peyton Young.
This report explores the effects of policy and technology on the demand for water. It
describes models for forecasting water demands for agriculture, steam electric power
generation, petroleum refining, and residential use. Through use of a model developed
by Wollman and Bonem, alternative forecasts of relative levels of withdrawals and
losses of water in agriculture, mining, manufacturing, powerplant cooling, and
municipal purposes as well as use of water for waste disposal, are presented for the
years 1980, 2000, and 2020. The report shows how forecasts vary according to policy,
technology, population, the economy, and other basic variables. The different possible
directions are termed "alternative futures." The future water situation will depend on
options and policies chosen-rather than being a projection of the situation today.

AGRICULTURAL WATER DEMANDS, Earl 0. Heady, Howard C. Madsen, Kenneth PB 206 790
J. Nicol, and Stanley H. Hargrove, Center for Agricultural and Rural Development,
Iowa State University.
The primary objective of this study was to determine whether the Nation has enough
water and land to satisfy its future food and fiber needs under various assumptions as
to the future. Secondary objectives are to estimate agricultural demands for water, to
illustrate the substitutions between water and land, and to estimate levels of
commodity prices, value of water and land rents related to water use alternatives. The
study is based on a large-scale linear programing model of U.S. agriculture. The
analysis incorporates alternative sets of assumptions for (1) population, (2) water
prices, (3) technological advance, (4) exports, and (5) government supply control
programs. A general conclusion of the report is that projected domestic food and fiber
and export demands will not press against available water and land resources in 2000.
Present land surpluses can substitute for future water and irrigated land development
projects in agriculture.

ALTERNATIVE DEMANDS FOR WATER AND LAND FOR AGRICULTURAL PB 211444
PURPOSES, Howard C. Madsen, Earl 0. Heady, Stanley H. Hargrove, and Kenneth J.
Nicol, Center for Agricultural and Rural Development, Iowa State University.
This report evaluates the impact on land and water needs and farm prices if either
(1) nitrogen fertilizer application in the year 2000 were restricted to (a) 110 pounds
per acre and (b) 50 pounds per acre or (2) per capita beef consumption were held at

543

NTIS
Title and Description of Report Accession No.
present levels, and vegetable proteins used to meet increased demand for protein
forecast in the year 2000. The study is based on the use of the large-scale linear
programing model of U.S. agriculture referred to in the description of the Heady
report. Results of the model studies show that if vegetable protein were to be accepted
to meet the expected increased demand for protein in year 2000, productive capacity
of U.S. agriculture would surpass any level previously experienced in this Nation.
Results of the two fertilizer limitation policy models indicate that a mild restriction on
the use of nitrogen fertilizer would not strain the productive capacity of U.S.
agriculture. A severe restriction, however, would reduce the supply capacity of U.S.
agriculture considerably.

11. Environmental Reports

ENVIRONMENTAL QUALITY AND WATER DEVELOPMENT, Charles R. Gold- PB 207 113
man, University of California, Davis, in two volumes. PB 207 114
This report brings together within a single report a number of individual monographs
which together provide a basis for the author's evaluation of the causes of conflict
between environmental quality and water -associated development in the United States.
It includes surveys of the history of water development and the evolution of American
values and attitudes toward the environment. Basic principles are identified for more
realistic environmental planning and decisionmaking. The report suggests methods for
balancing human values against cost-benefit analyses.

AN AESTHETIC OVERVIEW OF THE ROLE OF WATER IN THE LANDSCAPE, R. PB 207 315
Burton Litton, Robert J. Tetlow, Jens Sorensen, and Russell A. Beatty, University of
California, Berkeley.
This report explores the contributions of water to recreation and the environment of
everyday life. A classification framework is developed for native characteristics and
these are considered together with marimade changes. Inventories of existing
conditions as well as manmade elements and improvements are related to the
characteristics of the units. The report suggests tangible ways in which water and its
treatment can contribute to environmental quality.
CLASSIFYING WATER BODIES, Robert Aukerman and George 1. Chesley, Colorado PB 208 667
State University.
This report determines the feasibility of classifying water bodies by potential use, and
the desirability of designating certain water for specific use or uses. The report
identifies criteria for a useful water classification system and evaluates existing natural
resource classification systems. Weaknesses of predetermined categories and limited
purpose classifications are explored. The authors suggest that satisfactory classification
by potential optimum use requires a comprehensive planning process which identifies
conflicts and is basically a decision system.

RECYCLING AND ECOSYSTEM RESPONSE, Harry K. Stevens, Thomas G. Bahr, PB 208 669
and Richard A. Cole, Michigan State University.
This report reviews the literature on ecosystem response to water manipulation, with
emphasis on the need for recycling. Policy implications are discussed. Topics covered
include (1) current ecosystem concepts, (2) the role of materials recycling in
ecosystem functions, (3) North American watersheds, (4) ecosystem stability and
human manipulation, and (5) the role of technology. The report includes management
recommendations and identifies areas for future research.

544

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Title and Description of Report Accession No.

LEGAL DEVICES FOR ACCOMMODATING WATER RESOURCES DEVELOP- PB 208 835
MENT AND ENVIRONMENTAL VALUES, William A. Hillhouse 11 and John L.
DeWeerdt.
This report deals with selected institutional and other legal devices which are used or
might be used to strike a balance among environmental and developmental values with
respect to water resource projects. Existing institutional arrangements are described
and procedures to improve the balancing of values and avoid unnecessary delay in
Federal and non-Federal water projects, and in licensing and permit proceedings are
recommended. The National Environmental Policy Act is assessed. Case studies
examining the Central Arizona Project, the Tocks Island Project,,the Cross-Florida
Barge Canal, Zabel v. Tabb, the proposed Snake River dams below Hell's Canyon, the
Calvert Cliffs atomic powerplant, a proposed recreational lake in Wisconsin, and the
California Peripheral Canal are presented. Litigation as a device to resolve conflicts is
analyzed and other approaches under Federal or State law for balancing environmental
and'developmental values are discussed.
PRESERVING THE GREAT LAKES, Guy J. lCelnhofer, Jr. PB 211442
This report describes the Great Lakes and how they are being used. Effects of the past
and present development practices on the Great Lakes environment are related. The
principal Great Lakes planning and management agencies are identified and their roles
are described briefly. An evaluation is made of the ability of the Great Lakes agencies,
using their authorized programs, to restore and preserve the environment of that basin.

WATER USE AND MANAGEMENT ASPECTS OF STEAM ELECTRIC POWER PB 210 355
GENERATION, Consulting Panel on Waste Heat, Peter A. Krenkel, Chairman.
This report assesses the cause, magnitude, and possible effects of heat discharges to
water from steam electric power generation and related aspects of condenser cooling
system operation. Attention is focused on electrical energy growth and siting
requirements, means of more efficiently using electric energy, problems of concen-
trated heat release, the lack of an adequate environmental research program for
determining thermal effects and setting environmental standards, problems related to
increased consumptive use of water, the need to more fully consider aspects of steam
electric power generation in water resources planning, and the need to establish in
national policy a recognition of the waste assimilative capacity of water.

111. Water Pollution Control

PUBLIC REGULATION OF WATER QUALITY IN THE UNITED STATES, N. PB 208 309
William Hines, University of Iowa.
This report explores public regulation of water quality in the United States. It
discusses the need for public regulation, inadequacies of private remedies, local and
State governmental efforts, interstate arrangements, the current Federal program, and
major legislative proposals pending in Congress. The study argues that the 1965
Federal Water Quality Act, which established a program of setting water quality
standards through a local, State, and Federal partnership, is a sound approach to
improving quality, and that current proposals to adopt a national goal of eliminating
all discharges to water would imperil rather than enhance the Nation's efforts for
water quality improvement.
WATER POLLUTION CONTROL IN THE UNITED STATES, Consulting Panel on PB 212 139
Water Pollution Control, Dwight Metzler, Chairman.
This report provides perspective on water pollution control problems in the United
States. It analyzes responsibilities and roles of local, State, and Federal governments

545

NTIS
Title and Description of Report Accession No.

and regional organizations; the objectives and costs of present pollution abatement
programs; and the effectiveness of these programs in reaching national goals. 'Ihe
report was produced by a panel of consultants, assisted by the staff of the National
Water Commission, to assist the Commission in formulating its recommendations
regarding pollution control. Recommendations are made with respect to goals and
standards, workable programs of Federal assistance, public participation, enforcement
and regulation, research, and policy formulation.

WASTEWATER MANAGEMENT PROJECT, MUSKEGON COUNTY, MICHIGAN, PB 208 310
George W. Davis and Allison Dunham, Center for Urban Studies, University of
Chicago.
This report is a case study of the regional planning effort which led to adoption of a
spray irrigation system for wastewater management in Muskegon County, Michigan. A
general overview of the problems encountered by Muskegon County is given,
describing past exploitation and the degradation which had taken place. Earlier
attempts to provide areawide water resource management are described, and the
recommended solution is explained, together with the steps leading to its implemen-
tation.

IV. Economics of Water Development
REGIONAL ECONOMIC DEVELOPMENT - THE ROLE OF WATER, W. Chris PB 206 372
Lewis, Jay C. Anderson, Herbert H. Fullerton, and B. Delworth Gardner, Utah State
University Foundation.
This report analyzes the effectiveness of water resources development as a means of
inducing economic development in subnational regions. It covers the economic
rationale for using public works to achieve economic growth and provides a
state-of-the-art analysis of the effects of alternative water development programs on
economic development in various types of regions. Irrigation, navigation, hydropower,
flood prevention, water supply, water quality, and recreation projects are considered.

POPULATION GROWTH IN COMMUNITIES IN RELATION TO WATER RE- PB 205 248
SOURCES POLICY, Rivkin/Carson.
This report examines the patterns of population growth in U.S. communities over the
past two decades, with particular reference to the influence of water and water
resources development on these patterns. Reviews are made of the experience of two
types of Federal programs: those concerning local water, sewer, and allied facilities;
and those directed towards stimulating economic and population growth in less
developed areas.
PRICING AND EFFICIENCY IN WATER RESOURCE MANAGEMENT, George PB 209 083
Washington University, Robert K. Davis, and Steve H. Hanke, The Johns Hopkins
University.
This report indicates that pricing has been long recognized as a potential mechanism to
improve efficiencies in resource use but pricing of water resources for this purpose has
not been widely employed in the United States. The study examines the potential for
pricing various water resource services including municipal, industrial, and irrigation
water supplies; sewage collection and treatment; control of losses from flooding;
outdoor recreation; use of inland waterways; and hydroelectric power. The study
concludes that efficiency in the use of water resource services can be improved
through adopting policies of cost-based pricing although the potential varies among
services.

546

NTIS
Title and Description of Report Accession No.

ECONOMIC VALUE OF WATER: CONCEPTS AND EMPIRICAL ESTIMATES, PB 210 356
Robert A. Young and S. Lee Gray, Colorado State University.
This report examines a number of issues that must be taken into account in deriving
valid estimates of the values of water, estimates which are essential for rational
allocation of water among uses and users. The study also analyzes water values for
various uses with attention to regional differences. The water uses considered are
municipal, industrial, irrigation, waste assimilation, recreation, fish and wildlife,
navigation, and hydroelectric production.
ECONOMIC VALUE OF WATER IN A SYSTEMS CONTEXT, Walter R. Butcher, PB 210 357
Norman K. Whittlesey, and John F. Orsborn.
This report shows that decisions about water allocation and investment in water
resource developments can be improved by knowledge of the value of water in
alternative uses. The interdependent system in which water resources occur and uses
take place make it important to consider these water values in a systems context.
Systems models provide the best approach to estimating these values but much can be
learned through a careful description of effects that each use has not only on quantity
of water but also on quality and time or place of availability.

V. Analyses of Policies
AUTHORIZATION OF FEDERAL WATER PROJECTS, Northcutt Ely. PB 206 096
This report identifies the major Federal agencies involved in construction of water
resource projects and examines the process by which projects come into being from
the point of initial conception, through planning and review, to construction,
including the role of the Office of Management and Budget and procedures used by
Congress in authorizing water resource projects. It also examines the procedures of the
primary agencies administering grant and loan programs for water resource develop-
ment.

AUTHORIZATION AND APPROPRIATION PROCESSES FOR WATER RESOURCE PB 212 140
DEVELOPMENT, David Allee and Helen Ingram, Cornell University.
This report examines the complex procedural steps involved in getting water resources
development projects and programs authorized and financed by the Federal
Government on the basis of interviews with 160 people from Federal, State, and local
governments and from organizations interested in water resource development.
Emphasis is placed on what actually takes place, rather than official statements of
procedures. The report discusses who is involved in the procedures, how they operate,
and what is gained by their involvement. It concludes that decisionmaking capacity is
a more limiting constraint than investment capital in water resource development. A
number of possible recommendations are postulated and discussed, including proposals
for reorganization of the structure and modus operandi of congressional committees
and for reorganization of the executive branch of the Federal Government.

FEDERAL COST-SHARING POLICIES FOR WATER RESOURCES, Harold E. PB 208 304
Marshall, National Bureau of Standards.
This report examines Federal cost-sharing policies for water resources development
with respect to their influence on decisions of local beneficiary groups. These
influences are analyzed using criteria of efficiency, equity, administrative feasibility,
and sound financial arrangements. Current cost-sharing policies are found to be
deficient. Alternative cost-sharing rules are compared with existing Federal cost-
sharing policies.

547

NTIS
Title and Description of Report Accession No.

FEDERAL DECISIONMAKING FOR WATER RESOURCE DEVELOPMENT, A. PB 211441
Allan Schmid, Michigan State University.
This report describes the important criteria for choice among decisionmaking
organizations and assesses the impacts of a number of alternative structures. The pros
and cons of movements toward consolidation of agencies are discussed. External
bargaining rules are specified with respect to agency-clientele bargaining, interagency
bargaining, State-Federal and State-State bargaining, and market bargaining. The
conclusions are that detailed consideration must be given to organizational changes
that affect negotiation rules and the rules that shape the kind of information available
to various interested groups.

WATER RESOURCE POLICY IN WISCONSIN, Irving Fox, University of Wisconsin. PB 204 928
This report provides a summary of three groups of studies pertaining to water
resources management in the State of Wisconsin. One group is an integrated set of
studies dealing with institutional design for water quality management in the
Wisconsin River Basin. The second set deals with metropolitan water resources
management, and focuses on the area of southeastern Wisconsin near Milwaukee. The
third group consists of studies with implications for policy and institutional design.
VI. Analyses of Programs
INLAND WATERWAY TRANSPORT POLICY IN THE UNITED STATES, Dwight M. PB 208 668
Blood, University of Wyoming.
This report analyzes the role of inland waterway transport within the dual framework
of national water policy and national transportation policy. A logical framework for
identifying and evaluating the problem is developed as a basis for considering the
future of inland waterway transport. A descriptive summary of the inland waterway
system and industry is presented along with a review of the history and development
of the system.

ACREAGE LIMITATION IN THE FEDERAL RECLAMATION PROGRAM, Harry J. PB 211 840
Hogan.
This report reviews the performance of the acreage limitation provisions of the
Reclamation Act of 1902 limiting irrigable farm size to 160 acres on Reclamation
project lands. The study explores congressional intent as to the role of the family farm
in the Reclamation program from initiation to the present. It appraises the extent of
farrdly farms on Reclamation projects and how the acreage limitation on farm size has
worked to fashion the present farming structure. Information is developed on the
patterns of farm ownership and operation, including the size of farm units and the
rental and leasing arrangements for farming operations. The extent and nature of the
Federal subsidy in the Reclamation program are determined. Recommendations to
reform the acreage limitation are reviewed and new recommendations are made.

ALTERNATIVE ADJUSTMENTS TO NATURAL HAZARDS, David G. Arey and PB 211 922
Duane D. Baumann, University of Pittsburgh.
This report reviews Federal water resources policies and programs for reduction of
losses from floods, drought, and hurricanes and suggests changes. Federal flood control
policy is reviewed. Response to the drought of the n-dd-1960's in Massachusetts is
analyzed, showing that a pattern somewhat similar to the evolution of Federal
programs for flood control is evolving, with Federal assumption of responsibility for
finding solutions to water supply problems in the great metropolitan centers. The
report shows that increasing damages from hurricanes has also led to increasing Federal

548

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responsibilities. Arguments are presented against single solutions, and emphasis is
placed on the need for research on alternatives.
HYDROELECTRIC POWER POLICY, Truman Price. PB 204 052
This report provides background and analysis of the more significant public policy
issues related to hydroelectric power development. The historic issues examined
include public vs. private development, preference clause, Federal transmission policy,
Federal rates policy, headwater benefits, and partnership development. The emerging
issues examined are environmental quality, project delay, and project relicensing or
takeover.

RESEARCH AND DEVELOPMENT IN WATER RESOURCES, John S. Gladwell. PB 210 823
This report reviews the role of water resources research with special emphasis on
policy implications. It points out that although the actual dollar outlay has increased
in water research, the relative effort with respect to other investments has indicated a
decreasing emphasis on the water aspects of science. Yet, the general condition of
Federal research (and water research in particular) is healthy. No single agency or
group can be identified as having the 'lead" in water research. The study points to the
Office of Water Resources Research (OWRR) as having the greatest potential for this
role, but notes that it is limited by present administrative arrangements. It
recommends a National Institute for Water Resources Research responsive to all, yet
not under the direction of any single agency. Such an institute would be a focal point
of Federal and non-Federal interests in water resources research.

V11. Preparation of Water Plans
WATER RESOURCE PLANNING, Consulting Panel on Water Resources, Harvey PB 211921
Banks, Chairman.
This report outlines the evolution of water planning, delineates roles of planning
bodies, and notes the lack of coordination between river basin and urban planning.
The report describes the interrelationships of water resources planning to other sectors
of planning, to functions within the water resources sector, to jurisdictional areas, and
to stages of planning. Institutional factors which inhibit good planning are discussed,
including inadequate definition of goals, agency conflicts, financing constraints,
inadequate public participation, and legal constraints. The Panel makes a number of
recommendations, including changes in the Water Resources Council and
reorganization at Federal, State, and regional levels.
SYSTEMS ANALYSIS IN WATER RESOURCES PLANNING, Meta Systems, Inc. PB 204 374
This report describes the potential role of systeras analysis in water resources planning
processes. The fact that the systems approach is not limited to the analysis of formal
mathematical models is emphasized. The history of and opportunity for the
applications of the systems approach to water resource problems are discussed. A
series of case discussions of systems studies are presented.

PUBLIC PARTICIPATION IN WATER RESOURCES PLANNING, Katharine P. PB 204 245
Warner, University of Michigan.
This report reviews public participation activities and procedures that have been
utilized in connection with governmental planning studies, particularly those dealing
with water resources. Key problems and issues affecting participatory planning are
discussed. These include securing adequate public involvement; appropriate
responsibilities in the planning process; and resolution of conflicts between interests.

549

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VIII. Institutional Arrangements

INTERSTATE WATER COMPACTS, Jerome C. Muys. PB 202 998
This report explores the history, function, structure, and operations of interstate and
Federal -interstate water compacts, including water allocation, pollution control,
planning, flood control, and other kinds of compacts. The Federal -interstate compact
is recommended as the preferred, permanent institutional arrangement for regional
water planning and management.

THE FEDERAL-STATE REGIONAL CORPORATION, Richard A. Solomon. PB 202 997
This report examines the political and legal aspects of federally chartered corporations
as arrangements or mechanisms for interstate water management that may be
alternatives to TVA-type Federal corporations and interstate or Federal -interstate
compact authorities. Problems of chartering and organizing corporations under Federal
law and non-Federal participation in the corporation together with the legal status of
the corporation as a Federal and as a State agency are examined.

INSTITUTIONS FOR WATER PLANNING, Gary W. Hart - PB 204 244
This report describes and analyzes river basin commissions and Federal-State ad hoc
and interagency committees, evaluates their strengths and weaknesses, and makes
recommendations for improving these institutions.
THE NEW ENGLAND RIVER BASINS COMMISSION - A CASE STUDY, Helen PB 204 375
Ingram.
This report addresses the key question "What difference do river basin commissions
make?" The New England River Basins Commission is the case study. The study
assumes a relationship between what an organization does and the inducements it
offers participants. Among participants, only the chairman and staff have a primary
stake in a commission and a commitment to make it work. The possibilities and
disabilities present in such organizations are reflected. The study concludes that river
basin commissions, with skilled leadership, serve a facilitating function which links
common interests.

INSTITUTIONAL ARRANGEMENTS FOR WATER RESOURCE DEVELOPMENT, PB 207 314
Vincent Ostrom, University of Indiana.
This report examines the structural elements that have entered into the development
of the American water industry, with special reference to California. A variety of.
public and private enterprises engaged in water resource development and the
rendering of water services are analyzed and evaluated in terms of the theory of
organization used by public administration and administrative analysts, and the
concepts of political economists.

THE WATER RESOURCES COUNCIL, Ernst Liebman. PB 211443
This report describes and evaluates the Water Resources Council, its activities, and
historical roots. Recommendations for improving the Council are made.

INTERGOVERNMENTAL RELATIONS IN WATER RESOURCES ACTIVITIES, PB 210 358
Wendell and Schwan.
This report examines intergovernmental arrangements for public water activities within
their historical context. These arrangements are classified and analyzed in terms of
financial incentives, regulation, intergovernmental planning, technical assistance,
manpower training, project development, comprehensive management, legal rights to
water and development and dissemination of information. The efficacy of interagency

550

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Title and Description of Report Accession No.

committees, interstate and Federal -interstate compacts, the Water Resources Planning
Act, and other intergovernmental mechanisms is also assessed. Arrangements for
improved environmental quality and solution of metropolitan problems are given
particular emphasis.

METROPOLITAN WATER MANAGEMENT, Urban Systems Research and PB 199 493
Engineering, Inc.
This report studied planning, decisionmaking, and program implementation practices
with respect to urban water management in 12 metropolises, four of which-Boston,
Lubbock, Milwaukee, and Seattle-were examined in detail onsite.

METROPOLITAN WATER INSTITUTIONS, Orlando E. Delogu, University of Maine. PB 204 051
This report discusses existing water supply and wastewater treatment problems in
metropolitan areas, and institutions dealing with them. New approaches for
metropolitan water management are suggested, including the establishment of new
metropolitan water quality control regions, massive Federal financial incentives, and
direct Federal assumption of metropolitan water supply and wastewater treatment
responsibilities.

COURTS AND WATER, Grant P. Thompson, Environmental Law Institute. PB 211 974
This report is an essay examining the strengths and weaknesses of courts as institutions
for resolving water conflicts. It finds that courts produce decisions, operate relatively
quickly and impartially, are accessible, and are competent to deal with "technical"
questions by isolating critical facts and the policy matters which underlie such
questions. The study discusses the role of courts in water quality, including the effect
of acts which permit an expanded judicial role in the setting, testing, and enforcement
of standards, in reviewing whether water planning meets legal standards, particularly
under NEPA, and in settlement negotiations.

IX. Special Studies in Water Law
FUNCTIONAL ANALYSIS OF APPROPRIATION LAW, Charles Meyers. PB 202 617
The origin and basic elements of the appropriation system in water law are explained.
The analysis shows the economic objectives of the system. Weaknesses of the judicially
created system are considered. The emergence of the permit system is described.
Parallels and contrasts with the riparian system are noted. The relationship of Federal
and State laws of water rights is explained. The reservation doctrine is treated. The
monograph serves as an introduction to other legal studies conducted by the National
Water CommJssion.
MARKET TRANSFERS OF WATER RIGHTS, Charles Meyers and Richard Posner. PB 202 620
This study analyzes imperfections in law and institutions that interfere with market
allocation of water resources, such as laws and policies that restrain transfers.
Legislative remedies are suggested in both substantive law and procedure. Application
of the market system to interbasin transfers is considered.
ADMINISTRATIVE ALLOCATION OF WATER, Edward W. Clyde and Dallin W. PB 205 249
Jensen.
This study defines the concept of administrative allocation of water and contrasts it
with market allocation, noting that in the Western United States initial allocation of
water and water rights is usually administrative and subsequent reallocation is usually
made through market exchange. Current criteria for market allocation are examined
and improvements are suggested. Allocation by the Bureau of Reclamation and the
Corps of Engineers is discussed briefly as are conjunctive management programs.

551

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Title and Description of Report Accession No.

IMPROVEMENT OF STATE WATER RECORDS, Richard L. Dewsnup and Charles PB 202 618
Meyers.
This report describes defects in existing laws relating to water rights. These defects
arise from inadequate records. The records are inadequate for three reasons: (1) Some
water rights are not on record; (2) water rights on record are not accurately described;
(3) water rights on record have lapsed. Recommendations to cure these defects are
made; legislation is set forth. A proposal to quantify return flow from irrigation is set
forth.

PUBLIC ACCESS RIGHTS IN WATERS AND SHORELANDS, Richard L. Dewsnup. PB 205 247
This report surveys the historical development of legal doctrines which recognize rights
of public access and use of waters for navigation and fishing and how such rights
presently include general recreational use of waters and shorelands. The legal concept
of navigability of waters is an important criterion for public use, but many States have
found additional legal machinery for enhancing such public rights. This report
discusses a number of alternative ways in which the States protect or enhance public
rights in waters and shorelands, and several of those alternatives are recommended for
further State action.

LEGAL PROTECTION OF INSTREAM WATER VALUES, Richard L. Dewsnup. PB 205 003
This report examines State water law doctrines to determine the extent to which they
provide for legal recognition of recreational, fish and wildlife, esthetic,
environmental, and other instrearn uses of water. Historically, Western water law
required water to be diverted from the watercourse before a water right could be
acquired. Accordingly, there was virtually no protection for instrearn uses. Recently,
however, many States have enacted statutes to provide ways of protecting instrearn
water values. This report evaluates a number of these innovations as a basis for
suggesting further legislative reforms to protect instrearn values.

LEGAL ASPECTS OF WATER SALVAGE, Richard L. Dewsnup. PB 205 005
This report identifies the various ways in which water is lost to use through such
processes as seepage, evaporation, and transpiration, and the extent to which State
water law doctrines encourage or discourage salvage of such losses. In many respects
legal reforms are needed in order to encourage salvage operations, and are proposed.

FEDERAL-STATE RELATIONS IN THE LAW OF WATER RIGHTS, Frank J. PB; 203 600
Trelease, University of Wyoming.
This study describes the sources of conflict between the Federal Government and the
States (and citizens claiming rights under State law); it presents a number of
recommendations for resolving the conflicts. The study deals with (1) Federal reserved
rights, (2) the navigation servitude, (3) sovereign immunity, and (4) eminent domain
procedures. A National Water Rights Procedures Act dealing with those subjects is
proposed.
RIPARIAN WATER LAW - A FUNCTIONAL ANALYSIS, Clifford Davis, University PB 205 004
of Connecticut.
This report describes allocation of water by the riparian water law system that obtains
in the Eastern United States, from the standpoint of both textbook law and results in
fact. The study is supplemented by several case studies and includes an examination of
Eastern permit systems. Recommendations are included for an improved permit
system.

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Title and Description of Report Accession No.

GROUND WATER LAW, MANAGEMENT AND ADMINISTRATION, Charles E. PB 205 527
Coiker, University of Washington.
This report describes ground water hydrology, emphasizing the importance of
.recognizing the interrelation of ground and surface water supplies. The legal doctrines
applicable to the use of ground water are described and the differences among the
States and the departure of law from scientific fact are noted. Major problems of
ground water law are identified and solutions suggested. The problem of ground water
mining is also dealt with.

X. Means of Increasing Water Supplies

EXTENDING THE UTILITY OF NON-URBAN WATER SUPPLIES, Utah State PB 207 115
University Foundation.
This report examines the concept of extending the utility of nonurban water supplies;
considers the conditions for achieving greater utility; and discusses some of the things
that rnight lead to better utilization from a regional or public viewpoint. Opportunities
for extending the utility of a given water supply are outlined with consideration of
institutional, legal, political, and economic constraints.
LAW OF INTERBASIN TRANSFERS, Ralph W. Johnson, University of Washington. PB 202 619
This report investigates the legal and public policy aspects of major interbasin transfers
of water. It contains recommendations for criteria to govern the authorization of
interbasin projects and describes various kinds of protection devices for the area of
origin. It also recommends consideration of environmental impacts of transfers.

INTERBASIN WATER TRANSFERS - A POLITICAL AND INSTITUTIONAL PB 208 303
ANALYSIS, Dean E. Mann.
This report analyzes interbasin transfers of water in terms of the institutional and
political arrangements existing and potentially available in the American political
system. The implications of ideology, size and place of diversion, costs, repayment
policy, tin-ling and staging of transfers, feasibility of institutional constraints, and the
relationship of interbasin transfers to social goals are explored. Roles of planning
institutions and Congress are analyzed and strategy recommended. Criteria for
evaluation of interbasin transfers are stated and specific recommendations are made.

DESALTING, Victor A. Koelzer. PB 209 942
This report evaluates the state of the art of desalting technology. It summarizes
progress on desalting and describes applicability of distillation, crystallization,
membrane, and chemical processes. In an attempt to evaluate the markets for desalted
water, the report looks at water costs, econornies of scale, and other marketing factors.
Applications of desalting technology are considered for incremental supply, to
improve quality of supply, for intermittent operations, in dual-purpose plants, to
renovate water for reuse, and for agriculture.

PRECIPITATION MODIFICATION, Jack D. Lackner. PR 201 534
This report evaluates the effectiveness of cloud seeding in increasing precipitation from
different kinds of storm systems. The evaluation is based on conclusions of
atmospheric scientists and on the results of well designed field tests. Primary interest
centers on the leverage increased precipitation may exert in augmenting water supply.
The nature of potential downwind precipitation effects and environmental side effects
are identified.

553

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Titte and Description of Report Accession No.

WASTEWATER REUSE, Jerome Gavis, The Johns Hopkins University. PB 201 535
This report evaluates the potential for wastewater reuse through reclamation of
municipal and industrial effluents from advanced wastewater treatment plants. Brief
descriptions and references indicate the extent of such practice at the present time and
likely possibilities for future developments. Comparison with desalting and interbasin
transfer costs is suggested.
WATERSHED MANAGEMENT, William E. Sopper, Pennsylvania State University. PB 206 370
This report surveys and analyzes the present state of knowledge regarding the extent
to which water supplies can be augmented by vegetation management. Effects of total
and partial vegetation removal on water quantity and quality are discussed in detail,
Effects on StTeamflow are also considered. Special attention is given to snowpack
management, phreatophyte vegetation management, and the potential for combining
watershed management with weather modification to increase water yield.
GROUND WATER MANAGEMENT, Leslie E. Mack. PB 201 536
This report provides a general summary of ground water management and makes
recommendations for improving national water policies pertaining to ground water.
The importance of ground water in the national water balance is outlined as are some
principles of ground water-surface water relationships and some aspects of ground
water hydrology and management.

As mentioned earlier, two of the background studies, comprising Summary-Digests of Federal and State laws
dealing with water resources, will be of lasting value and have sufficient public interest to warrant publication
through the U.S. Government Printing Office. The Commission has transmitted these reports to the President
and the Congress with a recommendation that they be printed and that arrangements be made for keeping the
information contained in them up to date. A description of the two reports follows:

ARY-DIGEST OF THE FEDERAL WATER LAWS AND PROGRAMS, John L. DeWeerdt and
I . A SUMM
Philip M. Glick, Editors. This report briefly summarizes the water programs and the legislation authorizing
water related activities of the 9 cabinet departments - Agriculture, Commerce, Defense, Health, Education
and Welfare, Housing and Urban Development, Interior, Justice, State, and Transportation - involved in
water resources matters. It covers also the water-related programs of the Aton-dc Energy Commission,
Environmental Financing Authority, Environmental Protection Agency, Federal Power Commission, Small
Business Administration, and Tennessee Valley Authority; three agencies of the Executive Office of the
President - Council on Environmental Quality, Office of Emergency Preparedness, and Office of
Management and Budget; and the Water Resources Council. Three Federal-State regional commissions are
also covered -Appalachian Regional Commission, Delaware River Basin Commission, and Susquehanna
River Basin Commission.

2. A SUMMARY-DIGEST OF STATE WATER LAWS, Richard L. Dewsnup and Dallin W. Jensen, Editors,
and Robert W. Swenson, Associate Editor. The report is in two parts. Part I describes the water laws of the
States in general terms, covering their development over the years, the organizational structure of the State
water and water law agencies, laws relating to surface and ground waters, and various miscellaneous
provisions. Part II contains 50 individual chapters, each devoted to the laws of one of the States. Breakdown
of the discussion of the laws follows the pattern of the general discussions in Part 1.

554

Appendix III --------

The Commission Staff and Its Operations

The National Water Commission Act authorized of its activity on its own. A small, temporary
the Commission to employ staff as needed to carry Forecast Division was created for this purpose,
out its functions, including consultants on a when- directed by Russell Thompson who was on leave from
actually-employed basis. In addition, the Commission the University of Texas. This group functioned from
engaged the services of a number of individuals, firms, August of 1970 to October of 1971.
research organizations, and universities under con- A large number of consultants was on call through-
tract to develop some of the background needed for out the conduct of the Commission's work. The
its work. Commission's panel of eight general consultants was
At the outset the staff was organized into three used in 1969 in the preparation of the Commission's
divisions-Engineering and Environmental Sciences, tentative program of studies and its revision, and the
headed by Victor A. Koelzer; Social and Behavioral members were called on frequently as individuals
Sciences, headed by Lyle E. Craine; and Legal, under during the entire course of the Commission's work.
the direction of the Commission's Legal Counsel, Several of the group authored background studies for
Philip M. Glick. Executive direction and coordination the Commission.
was provided by the Executive Director, Theodore M. Seven other panels were created: The Panel on
Schad, and the Deputy Director, Howard L. Cook. Ecology and the Environment advised the staff in the
Liaison with other Federal agencies was carried on by preparation of the Commission's program of environ-
Assistant Director Ralph E. Fuhrman, and administra- mental studies; the Panels on Institutional Arrange-
tive services were under the direction of Assistant ments and Forecast Procedures performed the same
Director Robert N. Baker. Working under the general function in those fields, and members of all three also
direction of the Commission, which met about once a reviewed background studies and drafts of portions of
month throughout the entire life of the Commission, the Commission's report in their special fields of
the staff formulated and revised the program of interest. The Panels on Water Resources Planning,
background studies and the general outline of the Water Pollution Control, and Waste Heat Disposal
Commission's report, and arranged for and undertook prepared three of the background studies in their
the individual studies. respective fields, and also helped with review of drafts
At the end of Dr. Craine's leave of absence from of the sections of the Commission's report dealing
the University of Michigan, his place as chief of the with these special areas. The final panel of consult-
Social and Behavioral Sciences Division was taken by ants, on Federal Decisionmaking, met several times to
Dean Mann, on leave from the University of Cali- critique a paper on that subject prepared for the
forDia at Santa Barbara. Originally, the Commission Commission under contract.
attempted to collaborate with the Water Resources In addition, the Commission utilized the services of
Council in 'making projections of future water re- a number of other consultants on its legal, economic,
quirements as called for in the National Water and forecasting studies.
Commission Act, but when the Council was unable to As the background studies neared completion
secure appropriations sufficient to complete the toward the end of 1971, the staff was reorganized
second national assessment of water supply and into a number of interdisciplinary task forces, report-
demand in time to be available for the Commission's ing to the Director of Report Preparation, an
work, the Commission was forced to tackle this phase additional duty taken on by Howard L. Cook. The

555

work of the task forces was coordinated at the staff ered the second draft at its October meeting, follow-
level by a Board of Coordination and Review chaired ing which the report, with the changes agreed on by
by the Director of Report Preparation and.composed the Commission, was released for review. By this time
of the senior members of the staff. Each of the 48 the staff was almost exhausted, but continued to
task forces prepared a draft of a section of what was work to revise and perfect the report in preparation
eventually to become the draft of the Commission's for the Commission's final review during the spring
proposed report for review by the Commission during of 1973, following the public conferences held by the
meetings held from August 1971 through August Commission in January and February, and its consid-
1972. After the first review by the Commission eration of the-written comments received as a result
changes were made as directed by the Commission to of the circulation of the draft.
bring the section into consonance with the Commis- The maximum number of employees on the full
sion's views, and the revised drafts were circulated to time staff at any one time was 44 in the summer of
a large number of individuals, too numerous to list 1971, but a total of 65 individuals served at one time
here, following which the Commission again consid- or another as listed below. There were 68 consultants,
ered the drafts, in the light of the comments received. some of whom served without compensation, or as a
In some instances, the process was repeated a second part of their regular duties with other Federal agencies,
time, and the draft was brought back to the Commis- and many of whom served in several capacities. They
sion a third time for review. are listed on the following pages in such a way as to
Finally in August of 1972, the drafts of all of the reflect their additional responsibilities.
48 sections were assembled by the staff, along with Administrative and secretarial staffs performed
various ancillary materials, into the first draft of the valiantly against overwhelming odds to keep the
proposed report, which was reviewed by the Commis- Commission's offices operating smoothly and to
sion at its September meeting. Further revisions were maintain the flow of material to the Commissioners
made after this meeting, and the Commission consid- for review between meetings.

556

THESTAFF

Executive Director Theodore M. Schad (Dec. '68-June '73)
Deputy Director Howard L. Cook (Feb. '69-April '73)
Assistant Director-Programs Ralph E. Fuhrman (June '69-Dec. '7 1)
Assistant Director-Administration Robert N. Baker (April '69-June '73)
Assistant to the Director Florence Broussard (Jan. '69-June '73)
Editor-in-Chief Myron B. Katz (Mar. '72-Mar. '73)

Legal Division David Friedman (June '69-Sept. '69) (June '70-Oct.
Philip M. Glick, Legal Counsel (June '69-Feb. '73) '70)
Charles J. Meyers, Asst. Legal Counsel (Jan. '70- Helen Ingram (Dec. '70-Oct. '7 1)
March '73) Ray M. Johns (Dec. '70-Sept. '72)
Ernst Liebman, Asst. Legal Counsel (Feb. '70-Jan. Truman P. Price (June '69-Feb. '72)
'73) Harry R. Seymour (Jan. '7 1 -June '7 2)
Olivia P. Adler (June '69-Feb. '71) John H. Stierna (Apr. '70-Oct. '72)
Henry Bernson (May '72-June '72) Henry J. Vaux, Jr. (Aug. '69-Sept. '70)
John L. DeWeerdt (June .'7 1 -May '73) Ann Wilm (June '69-Sept. '7 1)
Richard L. Dewsnup (Mar. '70-July '72) Forecast Division
Gary L. Greer (Oct. '70-Feb. '73)
William A. Hillhouse 11 (Jan. '72-Dec. '72) Russell G. Thompson, Chief (Aug. '70-Sept. '71)
Richard W. Callen (June '7 1 -Aug. '7 1)
Engineering and Environmental Sciences Division M. Leon Hyatt (Nov. '70-Nov.'71)
Victor A. Koelzer, Chief (June '69-June '72) James W. McFarland (Jan. '7 1 -Aug. '7 1)
Edwin B. Haycock, Asst. Chief (Feb. '70-Feb.'73) Lawrence C. Wolken (June '71 -Aug. '7 1)
Alexander Bigler (Jan. '70-Oct. '72) H. Peyton Young (Jan. '71 -Sept. '7 1)
Kenneth L. Bowden (Aug. '69-Sept. '71) Administrative and Editorial
Jerome Gavis (June '69-Sept. '69)
John S. Gladwell (Sept. '70-Oct. '71) Harold D. Jefferson (Nov. '70-Jan. '7 1)
Jack D. Lackner (June '69-Aug. '7 1) Rosa D. Keatts (May '69-May '7 3)
Joseph Morgan (Dec. '69-May '70) Jerome Horowitz (Sept. '70-June '71)
Linda Reybine (Apr. '70-Jan. '73) Arthur M. Stratton (Nov. '72-Mar. '73)
Thomas Scott (Sept. '70-Oct. '71) Janet Kline (Mar. '69-June '69)
Richard Tucker (Mar. '70-Oct. '72) Thomas E. Kaye (May '70-Jan. '73)
Robert E. Vincent (Dec. '69-July '70)
Raymond H. Wilson (June '69-Oct. '69) Secretarial
Social and Behavioral Sciences Division Dolores Anderson (June '69-May'73)
Bernice Ciaffone (Nov. '69-Sept. '72)
Lyle E. Craine, Chief (June '69-Aug. '70) LaVon DuSold (July '70-July '72)
Dean E. Mann, Chief (Sept. '70-Oct. '71) Lorraine Frederick (Dec. '69-June '73)
Gary Taylor, Asst. Chief (Nov. '70-Mar. '73) Patricia Hooper (June '69-Nov. '7 1)
Frank Bollman (May '71-Jan. '73) Una McAllister (Dec. '68-July '72)
David S. Brookshire (July '71 -Sept. '72) Mary Quaintance (June '70-Aug. '71)
Elizabeth M. Cleary (Mar. '70-Dec. '70) Dorothy Read (Nov. '7 1 -June '73)
James J. Furse (May '72-Aug. '72) Elizabeth Tune (June '69-June '70)
Rebecca Waters (June '69-May '73)

557

CONSULTANTS

Principal Consultants Economic Consultants
Edward A. Ackerman', Executive Officer, Carnegie Walter R. Butcher, Professor of Agricultural Eco-
Institution of Washington nomics, Washington State University
Harvey 0. Banks, Consulting Engineer, Belmont, Emery N. Castle, Head, Department of Agricultural
California Economics, Oregon State University
Irving K. Fox, Director, Water Resources Centre, Charles L. Leven, Director of the Institute for Urban
University of British Columbia, Vancouver and Regional Studies, Washington University (St.
Maynard M. Hufschmidt, Professor of City and Louis)
Regional Planning and Environmental Sciences and William B. Lord, Director of the Center for Resource
Engineering, University of North Carolina Policy Studies, University of Wisconsin
Ralph W. Johnson, Professor of Law, University of Howard C. Madsen, Staff Economist, Iowa State
Washington University
Edward Weinberg', Attorney, Wyman, Bautzer, Monroe Newman, Professor of Economics, Pennsyl-
Rothman and Kuchel, Washington, D.C. vania State University
Gilbert F. White, Professor of Geography and Direc-
tor, Institute of Behavioral Sciences, University of
Colorado
Nathaniel Wollman, Dean, College of Arts and Sci- Consultants on Forecasting
ences, University of New Mexico Melvin D. George, Dean, College of Arts and Sciences,
Abel Wolman, Professor Emeritus, The Johns Hop- University of Nebraska
kins University, Consulting Engineer, Baltimore, Ronald R. Hocking, Professor of Statistics, Institute
Maryland of Statistics, Texas A&M University
Legal Consultants Charles W. Howe, Professor of Economics, University
of Colorado
Edward W. Clyde, Firm of Clyde, Mecham and Pratt, Michael S. Proctor, Assistant Professor of Economics,
Salt Lake City Purdue University
Charles E. Corker, Professor of Law, University of Nathaniel Wollman, Dean, College of Arts and Sci-
Washington ences, University of New Mexico
N. William Hines, Professor of Law, University of
Iowa
Ralph W. Johnson, Professor of Law, University of Consultant on Recreation
Washington
Frank J. Trelease, Dean, College of Law, University Edward Crafts,' Recreational Consultant, Washing-
of Wyoming ton, D.C.

'Dr. Ackerman died suddenly on March 9, 1973.
' Served without compensation. 'Served under contract.

558

PANELS

Panel on Ecology and the Environment Charles W. Hodde, Consultant, Olympia, Washington
Bostwick H. Ketchum (Chairman), Associate Direc- (formerly Chairman, Pacific Northwest River
tor, Woods Hole Oceanographic Institute Basins Commission)
William J. Aron, Director of Ecology and Environ- Keith S. Krause, Executive Director, Kansas Water
mental Conservation, National Oceanic and Atmos- Resources Board
pheric Administration, Department of Cornmerce Harold 0. Ogrosky, Consultant, Lake City, Minnesota
Charles F. Cooper, Director, Center for Regional (formerly Director, Watershed Planning Division,
Environmental Studies, San Diego State College U.S. Soil Conservation Service)
David M. Gates, Professor of Botany, University of Eugene W. Weber, Consulting Engineer, Washington,
Michigan D.C. (formerly Deputy Director of Civil Works for
George H. Lauff, Director, W. K. Kellogg Biological Policy, U.S. Army Corps of Engineers)
Station, Hickory Corners, Michigan Panel on Water Pollution Control
Edward C. Raney, Division of Biological Sciences,
Section of Ecology and Systematics, Cornell Uni- Dwight F. Metzler (Chairman), Deputy Commis-
versity sioner, New York State Department of Environ-
Thomas G. Scott, Director, Wildlife Research Center, mental Conservation
Department of the Interior, Denver Edward J. Cleary, Consultant, Ohio River Valley
William C. Steere, President, New York Botanical Sanitation Commission
Garden Paul D. Haney, partner, Black & Veatch, Kansas City,
George M. Woodwell, Department of Biology, Brook- Missouri
haven National Laboratory David H. Howells, Director, Water Resources Re-
search Institute at North Carolina State University
Panel on Institutional Arrangements Walter A. Lyon, Director, Bureau of Sanitary Engi-
Dean E. Mann (Chairman), Chairman, Department of neering, Pennsylvania Department of Environ-
Political Science, University of California (Santa mental Resources
Barbara) John D. Parkhurst, Chief Engineer and General
David J. Allee, Department of Agricultural Econom- Manager, Sanitation Districts of Los Angeles
ics, Cornell University County
Lyle E. Craine, Chairman, Department of Resource Lloyd L. Smith, Jr., Department of Entomology,
Planning and Conservation, School of Natural Fisheries, and Wildlife, University of Minnesota
Resources, University of Michigan Leon W. Weinberger, Leon W. Weinberger and Associ-
Irving K. Fox, Water Resources Research Centre, ates, Washington, D.C.
University of British Columbia
N. William Hines, Professor, College of Law, Univer- Panel on Waste Heat Disposal
sity of Iowa Peter A. Krenkel (Chairman), Chairman, Department
Vincent A. Ostrom, Professor of Political Science, of Environmental and Water Resources Engineer-
Indiana University (Bloomington) ing, Vanderbilt University
Panel on Water Resource Planning Lawrence B. Bradley, Executive Director, Industrial
Development Division, Washington Department of
Harvey 0. Banks (Chairman), Consulting Engineer, Commerce and Economic Development
Belmont, California (formerly Director, Division of V_ Stevens Hastings, Director of Environmental Plan-
Water Resources, State of California) ning, Commonwealth Edison Company
Kurt W. Bauer, Executive Director, Southeastern Robert T. Jaske, Research Associate, Pacific North-
Wisconsin Regional Planning Commission west Laboratories, Battelle Memorial Institute
Hugh P. Dugan, Consulting Engineer, Walnut Creek, Joseph A. Mihursky, Chairman, Department of Envi-
California (formerly Chief Project Development ronmental Research, National Resources Institute,
Engineer, and Regional Director, U.S. Bureau of Chesapeake Biological Laboratory, University of
Reclamation) Maryland
Irving K. Fox, Water Resources Research Centre, Floyd R. Smith, President, Gulf States Utilities
University of British Columbia Company, Beaumont, Texas

SS9

Peter M. Stern, Vice President for Regional and Walter B. Langbein, Consultant on Hydrology, Arling-
Environmental Planning, Northeast Utilities Service ton, Virginia (formerly Research Scientist, U.S.
Company, Hartford, Connecticut Geological Survey)
Gabriel 0. Wessenauer, Consulting Engineer, Chat-
tanooga, Tennessee (formerly Manager of Power, Panel on Federal Decisionmaking
Tennessee Valley Authority) Harry R. Seymour (Chairman), Staff of the National
James H. Wright, Director, Environmental Systems Water Commission
Department, Westinghouse Electric Corporation, Edward A. Ackerman,' Executive Officer, Carnegie
Pittsburgh, Pennsylvania Institution of Washington
Daniel Dreyfus, Staff of the Senate Committee on
Interior and Insular Affairs
Panel on Forecast Procedures William J. Duddleson, Director of Policy Studies, The
Conservation Foundation
Robert M. Thrall (Chairman), Chairman, Department R. Frank Gregg, Chairman, New England River Basins
of Mathematical Sciences, Rice University, Hous- Commission
ton, Texas Edwin T. Haefele, Resources for the Future, Inc.
Blair Bower, Economist, Resources for the Future, Henry C. Hart, Professor of Political Science, Univer-
Inc., Washington, D.C, sity of Wisconsin
Hugh P. Dugan, Consulting Engineer, Walnut Creek, Guy J. Kelnhofer, Jr., Consultant, Roseville, Minne-
California (formerly Chief Project Development sota
Engineer and Regional Director, U.S. Bureau of S. E. Reynolds, State Engineer, State of New Mexico
Reclamation) A. Allan Schmid, Professor of Agricultural Econom-
Earl 0. Heady, Professor of Economics, Iowa State ics, Michigan State University
University 'Deceased March 8, 1973

BIOGRAPHICAL SKETCHES
PROFESSIONAL STAFF

THEODORE M. SCHAD, Executive Director, B.E., Harvard University 1937; PhD., The Johns Hopkins
The Johns Hopkins University, 1939. U.S. Army University 1954. Missouri State Board of Health
Corps of Engineers, 1939-40, 194246; U.S. Bureau 1931-37; City of Springfield, Missouri J931-36; Dis-
of Reclamation 194042, 1946-S4; Bureau of the trict of Columbia 1937-54; Executive Director, Water
Budget 1954-58; Legislative Reference Service, Li- Pollution Control Federation 1955-69; National
brary of Congress 1958-68; Staff Director, Senate Water Commission 1969-71.
Select Committee on National Water Resources ROBERT N. BAKER, Assistant Director for Ad-
1959-61; Deputy Director, Legislative Reference ministration. BA, Pennsylvania State University,
Service 1967-68; National Water Commission 1941. U.S. Army, U.S. Air Force (retired as Colonel)
1968-73. 1941-61; American Machine and Foundry Co.
HOWARD L. COOK, Deputy Director. BSCE, 1961-64; Office of Economic Opportunity 1964-69;
State University of Iowa, 1929. Assistant to Robert National Water Commission 1969-73.
E. Horton, Consulting Engineer 1929-34; Soil Erosion FLORENCE L. BROUSSARD, Assistant to the
Service, U.S. Department of the Interior 1934-35; Director. BS, University of Southwestern, Louisiana,
Soil Conservation Service, U.S. Department of Agri- 1948. Headquarters, Fourth Army 1950-56; The
culture 1935-40; staff of the Secretary of Agriculture Texas Company 1957-58; Southwest Research Insti-
1940-53; Office of the Chief of Engineers, U.S. Army tute 1958-60; Legislative Reference Service, Library
Corps of Engineers 1953-69; National Water Commis- of Congress 1960-6 1; Office of Science and Technol-
sion 1969-73. ogy, Executive Office of the President 1961-64;
RALPH E. FUHRMAN, Assistant Director for Legislative Reference Service, Library of Congress
Programs. BSCE, University of Kansas, 1930; MSSE, 1964-67; National Council on Marine Resources and

560

Engineering Development, Executive Office of the Resources Council 1968-70; National Water Commis-
President 1967-69; National Water Commission sion 1970-73.
1969-73. OLIVIA P. ADLER, Attorney. AB, Radcliffe
MYRON B. KATZ, Editor-in-Chief. Ph.B., Univer- College, 1962; LLB, Harvard Law School, 1967.
sity of Wisconsin, 1947. Bonneville Power Adminis- Central Intelligence Agency 1962-64; McKinsey and
tration, U.S. Department of the Interior 1951-53; J. Co., Management Consultants 1967-69; National
Henry Helser & Co, Portland, Oregon 1953-57; Water Commission 1969-71.
Economic Consultant, Oregon Legislature 1957-59; JOHN L. DeWEERDT, Attorney. BA, University
staff member, office of U.S. Senator from Oregon, of Washington, 1967; JD, University of Washington,
and Visiting Lecturer, Lewis and , Clark College 1970. Law clerk to the Honorable Frederick G.
1959-61; Economic Consultant, Oregon Legislature Hamley, U.S. Court of Appeals, Ninth Circuit, San
1961; Consulting Economist 1959-61; Economist, Francisco, California 1970-71; National Water Com-
Bonneville Power Administration, and Lecturer in mission 1971-73.
Economics, Portland State University 1961-72; Na-
tional Water Commission 1972-73. RICHARD L. DEWSNUP, Attorney. LLB, Univer-
sity of Utah, 1956. Teaching Fellow, University of
Chicago 1956-57; Clyde and Mecham Law Firm
Legal Division 1957-62; Deputy Attorney General, State of Utah
PHILIP M. GLICK, Legal Counsel and Chief, Legal 1962-66; University of Utah Law School 1966-67;
Division. Ph.B., University of Chicago 1928; J.D., private practice 1967-70; Member, Utah State Board
University of Chicago Law School, 1930. Associated of Fish and Game 1969-73; National Water Commis-
with private law firm 1931-33; General Counsel, sion 1970-72.
Federal Subsistance Homestead Corporation, U.S. GARY L. GREER, Attorney. AB, Columbia Col-
Department of the Interior 1933-34; Chief, Land lege 1957; LLB University of Colorado, 1964. Law
Policy Division, Office of the Solicitor, U.S. Depart- clerk to the Honorable Jean S. Breitenstein, U.S.
ment of Agriculture 193442; Solicitor, War Reloca- Circuit Judge, Denver, Colorado 1964-65; associated
tion Authority 1942-44; U.S. Navy 1944-45; Deputy with private law firm, Denver, Colorado 1965-70;
Director, War Relocation Authority 1945-46; General National Water Commission 1970-73.
Counsel, Public Housing Administration 1946-48; WILLIAM A. HILLHOUSE II, Attorney. AB
General Counsel, Institute of Inter-American Affairs Stanford University, 1961; LLB, Stanford University'
and Technical Cooperation Administration, U.S. De- Law School, 1964. Teaching Fellow, University of
partment of State 1948-53; Visiting Professor, Uni- Chicago Law School 1964-65; Associated with private
versity of Chicago 1953-55; Private practice of law, law firm, Denver, Colorado 1965-72; National Water
Washington, D.C. 1955-67; Assistant Director for Commission 1972-73.
Policy, Water Resources Council 1967-69; National
Water Commission 1969-73. Engineering and Environmental Sciences Division
CHARLES J. MEYERS, Assistant Legal Counsel, VICTOR A. KOELZER, Chief, Engineering and
BA, Rice University, 1949; LLB, University of Texas, Environmental Sciences Division. BSCE, University of
1949; LLM Columbia University, 1953; SJD Colum- Kansas, 1937; MS, University of Iowa, 1939. Hy-
bia University, 1964. Assistant Professor of Law, draulic Engineer, U.S. Geological Survey 1938-40;
University of Minnesota 1953-54; Professor of Law, Hydraulic Engineer, U.S. Army Corps of Engineers
Columbia University 1954-62; Professor of Law, 1940-42; U.S. Navy 1942-46; Bureau of Reclamation
Stanford University 1962-70; Assistant Legal Coun- (in various capacities at various localities in the
sel, National Water Commission 1970-73. Western United States) 1946-56; Harza Engineering
ERNST LIEBMAN, Assistant Legal Counsel. BA, Company (in various positions, advancing in 1968 to
Harvard College, 1952; LLB, Harvard Law School, Vice President) 1956-69; National Water Commission
1955. Private practice 1956-62; Federal Power Com- 1969-72.
mission 1962-66; associated with private law firm. EDWIN B. HAYCOCK, Water Resources Planner.
1966-68; Deputy Legal Advisor, U.S. Water Re- BS, Utah State Agricultural College, 1939; MS, Utah
sources Council 1968; Legal Advisor, U.S. Water State University, 1963. Bureau of Reclamation (in

561

various capacities at various localities in the Western U.S. Army Corps of Engineers, Baltimore District
United States) 1939-58; California Department of 1967-70; National Water Commission 1970-72.
Water Resources 1958-64; Planning Director, Utah
Division of Water Resources 1964-70; National Water ROBERT E. VINCENT, Ecologist. BS, Oregon
Commission 1970-73. State University, 1954; MS, Cornell University, 1959;
ALEXANDER B. BIGLER, Urban Planner. BA, Ph.D., University of Michigan, 1962. Alaska Depart-
ment of Fish and Game 1954-57; Graduate Research
Stanford University, 1958; MA, Sacramento State Assistant 1957-59; Research Associate, University of
College, 1959. Placer County Planning Department Michigan 1960-62; Utah Cooperative Fishery Unit
1959-61; Napa County Planning Department 1962-63; Bureau of Sport Fisheries and Wildlife, U.S.
1961-62; California State Office of Planning 1962-68; Department of the Interior 1963-69; National Water
National Planning Association 1968-70; National Commission 1969-70.
Water Commission 1970-72.
KENNETH L. BOWDEN, Hydrologist. BS, North- Social and Behavioral Sciences Division
ern Illinois University, 1956; MS, Northern Illinois LYLE E. CRAINE, Chief, Social and Behavioral
University 1957. Assistantship, University of Michi- Sciences Division. AB, Oberlin College, 1931; Ph.M,
gan, Department of Conservation 1958-61 (Ph.D. University of Wisconsin, 1937; MPA, Syracuse Uni-
Candidate); Pacific Southwest Forest @nd Range versity, 1952; Ph.D, University of Michigan, 1956.
Experiment Station, U.S. Forest Service 1961-64; Teacher, American School, Japan 1935; Instructor,
Assistant Professor, Northern Illinois University Whitewater State College, Wisconsin 1936-37; In-
1964-69; National Water Commission 1969-7 1. structor, Northern State University, Michigan 1939;
JOHN S. GLADWELL, Water Resources Research U.S. National Resources Committee 1934-44; U.S.
and Planning Engineer. BS, Texas A&M University, War Production Board 194447; U.S. Bureau of the
1959; MS, Texas A&M University, 1961; Ph.D., Budget 1947-49; Institute of Public Administration
University of Idaho, 1970. U.S. Forest Service 1949-53; Program Planning Office, U.S. Department
1959-61; Washington State University 1961-64; of the Interior 1955-56; Lecturer, University of
Assistant Professor, University of Maine 1964-65; Michigan 1956-61; Professor, Department of Conser-
Washington Water Research Center, Washington State vation, Michigan University 1961-67; Chairman, De-
University 1965-70; Associate Professor, Washington partment of Conservation, University of Michigan
State University 1970; National Water Commission 1967-69; National Water Commission 1969-70.
1970-71. DEAN E.' MANN, Chief, Social and Behavioral
Sciences Division. AB, University of California,
JACK D. LACKNER, Civil Engineer. BS, California Berkeley, 1955; MA, University of California, Berke-
State College at Los Angeles, 1966; M.S., University ley, 1954; Ph.D, University of California, Berkeley,
of Wisconsin, 1967. Civil Engineer, Secretaria de 1958. Instructor, University of Arizona 1955-57;
Energia y Mineria 1967-69; National Water Commis- American Political Science Association, Congressional
sion 1969-71. Fellow 1957-58; Assistant Professor, University of
Arizona 1958-60; Brookings Institution 1960-63; The
THOMAS G. SCOTT, Ecologist. BS, Iowa State Ford Foundation in Venezuela 1963-65; Professor,
University, 1935; MS, Iowa State University, 1937; University of California at Santa Barbara 1965-70;
Ph.D., Iowa State University, 1942. U.S. Bureau of National Water Commission 1970-71.
Sport Fisheries and Wildlife 193848; U.S. Army
1942-46; J. V. Bailey Nursery 194849; Illinois GARY C. TAYLOR, Economist. BS, Cornell Uni-
Natural History Survey 1950-63; Oregon State Uni- versity, 19S2; MS, Cornell University, 1958; Ph.D,
versity, Department of Fisheries and Wildlife, and University of California, Berkeley, 1964. U.S. Army
Associate Director, Marine Science Center 1964-70; 1952-56; Bureau of Land Management, U.S. Depart-
National Water Commission 1970-7 1. ment of the Interior 1956; Research Assistant,
Cornell University 1956-58; Agricultural Economist,
RICHARD C. TUCKER, Water Resources Engi- Economic Research Service, U.S. Department of
neer. BCE, Georgia Institute of Technology, 1964; Agriculture 1958-59; Economic Research Service
MSCE Georgia Institute of Technology, 1965. Project 1959-64; Leader, Research Unit, Economic Research
Engineer for two private engineering firms 1965-67; Service 1964-65; Chief, Environmental Economics

562

Branch, Economic Research Service 1965-70; Assist- Utility District, Washington State 1947-5 1; U.S. Navy
ant to the Director, Natural Resource Economics 1951-53; Public Utility District 1953-57; Department
Division, Economic Research Service 1970; National of Conservation, State of Washington 1957-65; U.S.
Water Commission 1970-73. Department of the Interior, Office of the Secretary
HARRY R. SEYMOUR, Political Scientist. AB, 1965-69; National Water Commission 1969-72. ,
Hamilton College; MA, Syracuse University, 1950; JOHN H. STIERNA, Economist. BS, Michigan
Ph.D, Syracuse University, 1961. Bureau of Naval State University, 1965; MS, Michigan State Univer-
Personnel 1951-55; Head, Program Development sity, 1970. Economic Research Service, U.S. Depart-
Staff, Navy Management Office 1955-57; General ment of Agriculture 1966-67; Midwest Research
Services Administration 1958-59; Chief, Management Institute 1967-70; National Water Commission
Office, U.S. Department of Justice 1959-62; The 1970-72.
Brookings Institution, Advanced Study Program HENRY J. VAUX, Jr., Economist. AB, University
1960-66; The Ford Foundation, New Delhi, India of California at Davis, 1962; MS, University of
1966-67; The Brookings Institution 1967-70; Direc- Michigan, 1964; MA, University of Michigan, 1968.
tor, Study Team on Reorganization of the Executive Graduate Assistant, School of Natural Resources,
Branch, Puerto Rico 1970-71; National Water Com- University of Michigan, 1963-64; U.S. Bureau of the
mission 1971-72. Budget 1964-66; U.S. Army Corps of Engineers 1967;
FRANK H. BOLLMAN, Economist. B Agr Sci, National Water Commission 1969-70.
University of Queensland, 1952; B. Comm., Canberra ANN S. WILM, Associate Behavioral Scientist. AB,
University College, 1959; Ph.D, University of Cali- Ohio Wesleyan University, 1966; MS, University of
fornia at Berkeley, 1971. Commonwealth Employ- Michigan, 1967. Tennessee State Planning Commis-
ment Service 1951-54; Bureau of Agricultural Eco- sion 1968-69; National Water Commission 1969-71.
nomics, Canberra 1954-60; Postgraduate Research
Agricultural Economist, University of California Forecast Division
1960-64; Arthur D. Little, Inc. 1964; California
Department of Agriculture 1964-65; Postgraduate RUSSELL G. THOMPSON, Operations Research
Research Agricultural Economist, University of Cali- Mathematician. BA, University of Minnesota 1957;
fornia 1965-7 1; National Water Commission 1971-73. Ph.D, University of Minnesota, 1962. U.S. Air Force
HELEN M. INGRAM, Political Scientist. BA, 1952-55; Instructor, University of Minnesota
Oberlin College, 1959; Ph.D, Columbia University, 1958-61; Assistant Professor, Texas A&M University
1967. Assistant 'Professor, University of New Mexico 1961-62; Associate Professor, University of Missouri
1965-69; National Water Commission 1970-71. Asso- 1962-65; Fellow, National Science Foundation
ciate Professor of Political Science, University of 1965-66; National Advisory Commission on Food
Arizona, 1972-. and Fiber 1966; Associate Professor, University of
Missouri 1966-67; Associate Professor, Texas A&M
RAY M. JOHNS, Economist. BS, University of University 1967-68; Professor, Institute of Statistics,
Maryland, 1961; MS, University of Maryland, 1964; Texas A&M University 1968-70, National Water
Ph.D, University of Maryland, 1969. Agricultural Commission 1970-71.
Statistician, U.S. Department of Agriculture 1961-64; M. LEON HYATT, Engineer and Hydrologist. BS,
Resource Development Analyst, Extension Service, Utah State University, 1965; MS, Utah State Univer-
University of Maryland 1962-66; Economic Research sity, 1965; Ph.D, Utah State University, 1969. Assist-
Service U.S. Department of Agriculture 1966-68; ant to Consulting Engineer 1958-60; Research Engi-
Calvert County Economic Development Corporation neer, Utah State University 1965-67; Graduate
1968-70; National Water Commission 1970-72. Research Assistant, Utah State University 1967-69;
TRUMAN P. PRICE, Public Administration Spe- Hydrologist, Federal Water Quality Administration
cialist. BS, University of Washington, 1945. Public 1969-70; National Water Commission 1970-7 1.

563

PRINCIPAL CONSULTANTS

ABEL WOLMAN, Consulting Engineer, Baltimore, IRVING K. FOX, Director, Water Resources Re-
Maryland. Dr. Wolman's achievements during sixty search Centre, University of British Columbia. For
years of teaching and the practice of engineering have more than a quarter of a century, Dr. Fox has been
earned him an unsurpassed reputation as a learned, engaged in water programs and in studies of water
yet very practical, adviser on all aspects of the policies. He was on the staff of the First Hoover
development, utilization, and management of the Commission, represented the Department of the
water resource. His counsel on problems of public Interior on the interagency committee established to
health, in particular, is in great demand throughout formulate a comprehensive plan for the Arkansas,
the world. Among his many other accomplishments, White, and Red River Basins, was Director of the
Dr. Wolman served for seventeen years as Chief Water Resources Program of Resources for the
Engineer of the Maryland State Department of Health Future, Inc., and also served as Vice President of that
and for twenty years as Professor of Sanitary Engi- organization. Subsequently, he became Chairman of
neering at The Johns Hopkins University with which the Department of Urban and Regional Planning and
he is still associated as Professor Emeritus. He has Professor of Regional Planning at the University of
acted as adviser to the Government of the United Wisconsin. He assumed his present position in 1971.
States upon numerous occasions, and to many foreign MAYNARD M. HUFSCHMIDT, Professor, City
governments and international organizations. He has
been retained by commissions, States, major cities, and Regional Planning and Environmental Sciences
and private enterprises. He is a member of the and Engineering, University of North Carolina at
National Academy of Sciences, the National Chapel Hill. Dr. Hufschmidt's advice to the National
Academy of Engineers, and many professional organ- Water Commission was based on more than thirty
izations. years of active participation in water programs and in
intensive studies of water problems and policies. He
EDWARD A. ACKERMAN, Executive Officer, served the Federal Government for fourteen years in
Carnegie Institution of Washington. The offices held the National Resources Planning Board, the U.S.
by Dr. Ackerman during a long and illustrious career Bureau of the Budget and the Office of the Secretary
included: Professor of Geography, University of of the Interior. Thereafter he spent ten years at
Chicago; staff member, First Hoover Commission; Harvard University in research on water resources
staff member of the President's Water Resources planning and development. In 1965 he moved to his
Policy Commission; Chief, Natural Resources and present position at the University of North Carolina.
Civil Works Branch, U.S. Bureau of the Budget; He has served as consultant to many Federal agencies,
Assistant General Manager, Tennessee Valley Author- non-Federal public entities, and private companies.
ity; Director, Water Resources Program, Resources
for the Future, Inc.; and, Executive Officer, Carnegie RALPH W. JOHNSON, Professor of Law, Univer-
Institution of Washington. The experience he gained sity of Washington. Professor Johnson has distin-
in these posts, his keen mind, and his unflagging guished himself by his studies in both natural
concern for the national interest, made his counsel of resources law and international law. He is an acknowl-
great value to the Commission. Dr. Ackerman's un- edged expert on the law of fisheries. He has served as
timely death on March 8, 1973 is a great loss to the a consultant to the Committee on Interior and Insular
Nation. Affairs, U.S. Senate, and to the National Academy of
HARVEY 0. BANKS, Consulting Engineer, Bel- Sciences. He is widely recognized as an authority on
mont, California. Mr. Banks was admirably prepared the legal asp@cts of weather modification and inter-
to advise the National Water Commission by four basin water transfers, both of which were subjects of
decades of intensive work in the water field. He has, special interest to the National Water Commission.
among other things, served in the capacity of State EDWARD WEINBERG, Attorney with the firm of
Engineer and Director of Water Resources for the Wyman, Bautzer, Rothman and Kuchel. Mr. Weinberg
State of California, as Chairman of the Board of was able to base his advice to the National Water
Directors of Leeds, Hill and Jewett, Inc., consulting Commission upon a long and distinguished career in
engineers, and as a consultant to foreign nations, the Department of the Interior; a career which
States, commissions, water districts, cities, and corpor- culminated in his appointment as Solicitor for that
ations. Department. His knowledge of water law and of the

564

legal problems that stem from resource development Integrated River Development, Chairman of a Task
was held in the highest esteem by the members of the Force on Federal Control Policy established by the
National Water Commission. Bureau of the Budget, and Chairman of the Commit-
tee on Water of the National Academy of Sciences.
GILBERT F. WHITE, Professor of Geography and His studies of flood plain management are influencing
Director of Behavioral Science, University of Colo- fundamental changes in the nature of Federal flood
rado. Dr. White has long been recognized as one of control activities.
the Nation's leading authorities on the use, develop- NATHANIEL WOLLMAN, Dean, College of Arts
ment and conservation of natural resources. Early in and Sciences, University of New Mexico. The value of
his career he gained a broad knowledge of resource Dr. WoRman's advice to the National Water Commis-
problems and programs by serving with the National sion was greatly enhanced by the knowledge he had
Resources Planning Board and the U.S. Bureau of the gained through the painstaking studies of national
Budget. He has held three important educational water requirements which he had carried out under
posts: President of Haverford College; Professor of the sponsorship of Resources for the Future, Inc., the
Geography at the University of Chicago, and his results of which were published in "The Outlook for
present post at the University of Colorado. Of Water, Quality, Quantity, and National Growth." His
particular value to the National Water Commission counsel was also valued because of his study of the
was the perspective he had gained as Vice Chairman water problems of Chile, and his research and
of the President's Water Resources Policy Commis- teaching experiences at Colorado College and the
sion, Chairman of the United Nations Panel on University of New Mexico.

565

Appendix IV

Acknowledgements

This report would not be complete without acknowledging the support provided to the Commission by many
Federal, State, and local agencies of government, universities, private organizations, professional associations,
and individuals whose efforts made it possible for the Commission to complete its work on time and within the
funds allotted for its work. Appendices 11 and III list the Commission's contractors, staff, and consultants. In
this Appendix, the Executive Director has attempted to acknowledge the special efforts of those whose
contributions to the Commission's work might not otherwise be recorded.
The Executive Director wishes first to express appreciation for the way in which the Commissioners
themselves carried out their work. Between November of 1969 and April 1973, a period of not quite 4-1/2
years, the Commission held 53 meetings, or one each month. Attendance at the meetings averaged 6.1
Commissioners per meeting for an attendance rate of 87.1 percent. Each chapter of the report was reviewed at
least five times by the Commissioners prior to final release of this report. The final report represents a dedicated
effort on the part of each of the Commissioners, who collectively provided the staff with the leadership and
direction which made it possible to complete the report on time.
While many individuals made significant contributions to the preparation and review of the drafts of each of
the chapters in the report, and of the background studies, the work of Professor Charles Meyers of Stanford
University deserves special acknowledgement. Professor Meyers authored or co-authored three of the
background legal studies, supervised the preparation of eight other background studies, and prepared the first
drafts of Chapters 7, 8, 13, and 14, and of Sections C and D of Chapter 5.
Special appreciation must also be expressed to the secretarial staff, Miss Dolores Anderson, Miss Florence
Broussard, Mrs. Lori Frederick, Mrs. Dorothy Read, and Mrs. Rebecca Waters, for their dedicated assistance in
the preparation of innumerable drafts of the report, to Mr. Arthur Stratton for the almost impossible task of
preparing an index to the report before it was completed, to Miss Linda Reybine for bringing uniformity to the
footnotes, and to Mr. Robert Baker for taking charge of putting it all together into a completed report.
In the formative days of the Commission, November-December 1968, invaluable help was received from the
Presidential Corrm-Lissions Liaison Office of General Services Administration, the Office of the Solicitor, U.S.
Department of the Interior, the U.S. Civil Service Commission, and the Water Resources Council in getting the
Commission's work under way. Mr. Robert W. Blakeley, detailed from the Corps of Engineers, handled the
Commission's administrative functions in the early days of its existence, until the Commission's own
administrative staff was appointed in April of 1969.
In formulating the Commission's program of study, the Commission and its staff consulted on several
occasions with knowledgeable staff members from Several congressional committees, including Mr. Kenneth J.
Bousquet, formerly chief of the staff of the Senate Public Works Appropriations Subcommittee; Mr. Bailey
Guard, Minority Clerk, and Mr. Richard Royce, formerly Chief Clerk and Staff Director, of the Senate
Committee on Public Works; Mr. Charles F. Cook, Jr., Minority Counsel, Mr. Daniel A. Dreyfus, Professional
Staff Member, Mr. William J. Van Ness, Jr., Counsel, and Mr. Jerry Verkler, Staff Director, of the Senate
Committee on Interior and Insular Affairs; Mr. Eugene Wilhelm, chief of the staff of the House Public Works
Appropriations Subcommittee;Mr. Richard Sullivan,Chief Counsel,and Mr. Clifton Enfield, Minority Counsel of the
House Committee on Public Works; and Mr. Jim Casey, Consultant, Mr. Charles Leppert, Minority Counsel, and Mr.
Sidney L. McFarland, Staff Director, of the House Committee on Interior and Insular Affairs.
The Commission also acknowledges the assistance of the Western States Water Council which held a joint
meeting with the Commission in Portland, Oregon, to help provide a greater understanding of western water
problems.
Field inspections of metropolitan problem areas were made through the courtesy of Vinton Bacon, then
General Superintendent of the Metropolitan Sanitary District of Greater Chicago which provided transportation
and guidance for the Commission to view work in progress in the vicinity of Chicago and the southern tip of
Lake Michigan.

566

The Mississippi River Commission and the Lower Mississippi Valley Division of the U.S. Corps of Engineers
provided the Commission with a briefing and tour of the New Orleans harbor, the lower Mississippi River levees
and control works, and the destruction caused by Hurricane Camille in August 1969 in the Louisiana coastal
areas. The Philadelphia District of the Corps later provided a survey boat for an inspection of the Delaware
River Port area at Philadelphia.
The Metropolitan Water District of Southern California provided an aerial inspection tour and explanation of
the water supply and flood control works in the Los Angeles area. In Arizona the Commission viewed the Salt
River Irrigation Project; an experimental system for power production, desalting, and food production, at
Puerto Penasco on the Gulf of California; the Environmental Research Laboratory of the University of Arizona
at Tucson, and the Water Conservation Ldboratory of the Agricultural Research Service in Phoenix, through the
courtesy of the Salt River Irrigation District and the Central Arizona Project Association.
In mid-June of 1970 the Tennessee Valley Authority provided a briefing and a field inspection of its
hydropower, navigation, recreation, and regional development activities, including a tour of the area to be
served by rural water systems on Sand Mountain, Alabama, financed under the program of the Farmers Home
Administration of the U.S. Department of Agriculture, which provided ground transportation at the site.
In early 1971 officials of the City of Philadelphia provided a briefing and tour of the City's water treatment
plant. As a part of the same meeting, representatives of the Delaware River Basin Commission provided a
briefing and answered questions on the organization, powers, and functions of that organization.
Bonneville Power Administration provided transportation from Portland to Sun River, Oregon, where the
Commission met with the Oregon Water Resources Board and made an inspection of irrigation, recreation, and
fish and wildlife conservation facilities along the Deschutes River.
In Texas the Commission was provided with information on their programs by State water agencies and the
Texas River Basin Authorities. The Texas Water Conservation Association and Water, Inc., of Lubbock, Texas,
escorted the Commission on an aerial inspection of the Colorado River Basin and the Southern High Plains area.
The Commission was also shown through the Texas Agricultural Research Station near Lubbock, operated by
Texas A&M University. This meeting was also participated in by representatives of the Governor of Texas, the
Gulf Coast Waste Disposal Authority, the Southwestern Public Services Company, High Plains Water
Conservation District #1, North High Plains Ground Water District, the West Texas Water Institute, Texas Tech
University, and personnel of Texas A&M University Agriculture Research and Extension Center, all of whom
provided the Commission with valuable data and information.
The U.S. Coast Guard provided transportation for the Commission's meeting and inspection tour in the Puget
Sound area of Washington.
The National Science Foundation, the American Society of Civil Engineers, and the Engineering Foundation
provided support for a conference at Airlie House for discussion of national policy implications of urban water
management, and the American Bar Association held two conferences for discussion of legal aspects of the
Commission's work. More than a hundred individuals gave freely of their time and paid their own expenses to
participate in these conferences, which provided valuable comments on the Commission's background studies.
The National Water Company Conference engaged the firm of Day and Zimmerman to provide the
Commission with detailed information on the investor-owned water industry.
Numerous Federal agencies facilitated the Commission's work by meeting with the Commission near the
outset of its work for discussion of water problems. Meeting rooms for the Commission's monthly meetings in
and around Washington, D.C., were provided by the Comptroller General of the United States, the Federal
Power Commission, the General Services Administration, and the Smithsonian Institution, which made the
facilities of the Belmont Conference Center available on numerous occasions. Special thanks are due to Mrs. Jo
Kugel and her competent staff at Belmont for the excellent attention given to the Commission's needs during
several meetings at that facility.

Photographic Credits
Photographic illustrations for the report were provided by a number of Federal agencies, private corporations,
and individuals, listed below by chapter. Where several photographs from a single source are used in the same
chapter the source is mentioned only once.

567

FRONT MATERIAL, Bureau of Reclamation; General Services Administration. CHAPTER 1, Forest Service;
Soil Conservation Service. CHAPTER 2, Bureau of Reclamation; National Park Service; Bert Brandt and
Associates, Bayou Preservation Association of Houston, Texas; Kentucky State Department of Fish and Wildlife
Resources; Tennessee Game and Fish Commission. CHAPTER 3, Forest Service; Atomic Energy Commission;
Metropolitan Edison Company; National Park Service; Bureau of Reclamation. CHAPTER 4, Bureau of
Reclamation; Bureau of Land Management; Forest Service; Federal Water Pollution Control Administration;
Bureau of Sport Fisheries and Wildlife; Federal Water Quality Administration; Corps of Engineers. CHAPTER
5, Bureau of Reclamation; Tennessee Valley Authority; Jim Mitchell; Portland General Electric Company;
National Park Service; Forest Service. CHAPTER 6, Bureau of Reclamation; Bureau of Land Management;
Portland General Electric Company. CHAPTER 7, Bureau of Reclamation; Soil Conservation Service; Forest
Service; Environmental Protection Agency. CHAPTER 8, Bureau of Reclamation. CHAPTER 9, Office of Saline
Water; E. 1. DuPont de Nemours and Company; Bureau of Reclamation. CHAPTER 10, Washington Post;
National Park Service; Bureau of Reclamation; Bert Brandt and Associates; Soil Conservation Service.
CHAPTER 11, Bureau of Reclamation; Water Resources Council. Soil Conservation Service; Corps of Engineers.
CHAPTER 12, Bureau of Reclamation. CHAPTER 13, General Services Administration; Bureau of Indian
Affairs. CHAPTER 14, Bureau of Reclamation; Bureau of Indian Affairs. CHAPTER 15, Bureau of
Reclamation; Corps of Engineers. CHAPTER 16, Bureau of Reclamation; National Park Service. CHAPTER 17,
Bureau of Reclamation; Bonneville Power Administration; Forest Service.

Theodore M. Schad
Executive Director

568

Index

A Appropriations procedures ......... 387,393-394
Aquaculture ............................ 72
Abu Dhabi, Sheikdom of .................. 343 Aquifer protection ................... 236-238
Acid mine drainage ....................... 67 Acquisition of land to control flood
Acreage Limitation in Federal Reclamation plain use ......................... 155,160
Program ........................... 142-149 Area of origin protection .................. 323
Recommendations on ................ 149 Arizona v. California ....... 313,460,464,475,476,
Exceptions from .................... 143 479,481,483
Administrative Allocation of Water Rights .... 292 Army, U.S. Department of
Advisory Commission on Intergrovernmental (see Corps of Engineers)
Relations ......................... 423,451 Artificial ice fields ....................... 360
Aesthetic (see Esthetic) Ash Council ............................ 410
Agricultural chemicals, pollution (see also President's Advisory Council on
from ...................... 66,103,184,187 Executive Organization)
Agricultural Stabilization and Atmospheric, washout ..................... 64
Conservation Service ................ 122,185 Atomic Energy Commission ............... 377
Agriculture, U.S. Department of Augmenting fog drip ..................... 360
Food and Fiber Programs ............. 122 Authorization procedures .............. 387-391
Forecasts of Land Availability . ......... 140 Recommendations ................... 394
Recommendations on ................ 413 Avalanching snow/ice to increase water
Agriculture, use of water in .......... 14,130-138 yield ............................ 360-361
(see also Irrigation, Drainage)
Air pollution, relation to water B
pollution ........................ 70,83,98
Algae, pollution from ..................... 69 Background studies
(see also Eutrophication) List and description ............... 543-555
Allocation of water by pricing .............. 248 Backlog of authorized projects ............. 393
Allocation of water in periods of Balancing environmental and developmental
shortage .......................... 289-292 values ........................... 205-225
Altered flows, environmental effects of ...... 24,34 Barge operations on inland waterways ..... 527-532
Alternative Demands for Water and Land for Basic data ............................. 114
Agricultural Purposes, Summary of Flood Plains ....................... 161
Heady Reports .................. 130-138 Ground water ...................... 245
Alternative furrow irrigation ............... 300 Metropolitan areas ................... 448
Alternative futures ................... 3,11-17 Recreation ...................... 198,199
for agriculture ............ 15,121,130-140 Referral center .................. 529,531
for municipal water ................... 14 Water quality ..................... 94,108
Alternative plans ..................... 225,366 Benefit-cost analysis .................. 380-381
American Water Works Association ....... 165,314 Biochemical Oxygen Demand (BOD) .......... 68
Animal wastes ........................... 65 Board of Review (proposed) . 220,329,333,406-409
Appalachian Regional Development Boats, recreational ........ 8,118,120,489,491,497
Act of 1965 ........................ 60,390 Bolsa Island Desalting plant (proposed) ....... 339
Appliances, household, water saving ......... 303 Bonneville Power Administration ........... 488
Appropriation Doctrine of Water Boulder, Colorado, sewer and water costs ..... 258
Law ..................... 260-270,271-279 Budget classifications for water resources ..... 392

569

Budgeting procedures ............. 387,391-393 Commission on Organization of the Executive Branch
Bureau of Indian Affairs .................. 185 (2d Hoover Commission) ................ 157
Bureau of Outdoor Recreation .......... 189-190 Commission on Population Growth and the
Bureau of Reclamation . 126-130,153,162,191-196, American Future ..................... 50,60
372,389,410-413,486-490 Cornn-dssion on Reorganization of the Executive
Acreage Limitations .............. 142-149 Branch of the Government (Ist Hoover
Flood coastal program ................ 143 Commission) ...................... 407,410
Irrigation program ................ 126-130 Commission on rural Poverty .............. 140
Recommendations on future Comn-tittee on Water Resources Research ..... 534
activities ..................... 413,539 Community response to flood threats ........ 161
Recreation at reservoirs ............ 191-196 Compensation to areas of origin .......... 327,332
Cloud seeding programs ............ 347-348 Conflicting interests in land management ..... 356
Geothermal desalting program .......... 339 Congressional handling of water resources
Bureau of the Budget (see Office project authorizations .................. 389
of Management and Budget) Conservation crusade ..................... 112
Bureau of Sport Fisheries and Wildlife 192-196 Consolidating licensing proceedings ... 217,224,379
Bureau of Water Hygiene (See Office Construction grants .................... 390,391
of Water Programs) For municipal waste collection
and treatment ....... 77-80,89,90,107,108
C For water supply .................... 164
Consumptive use of water ................... 8
Calvert Cliffs Project .................. 207,216 Tabulations ................ 7,9,11,12,132
Canalbank management to increase water Under Florida Water Resources Act
supplies ............................. 353 of 1972 ......................... 295
Capital demands for water resources ...... 501-518 By cooling towers ................... 173
Central and Southern Florida Project ..... 125-126 Contract authority for grant programs ....... 390
Central Arizona Project ................... 220 Cooling water .............. 11,12,13,14,19,43,
Central Valley Project, California ............ 48 101,171-183
Change in point of diversion ............ 268-269 Corps of Engineers . 372,389,409-413,454,486-492
Channelization ................. 32-37,122-125 Bank protection programs ............. 185
Effect on downstream floods ........ 34,159 Drainage programs ..122-124
Recommendations on ................. 37
Chicago, Illinois sewage treatment Flood control programs ............ 150-160
system ............................. 97-98 Flood plain management .............. 154
Chicago Sanitary Canal ................... 105 Guidelines for assessment of social,
Civil works program of the Corps of Engineers, economic, and environmental effects
Recommendations on .................. 413 of civil works projects .............. 382
See also Corps of Engineers Inland waterways programs ......... 113-121
Cloud seeding ....................... 346-351 Irrigation programs ............... 125-126
See also precipitation augmentation Permits ........................... 376
Coastal zones ............... 28-32,100-102,368 Recommendations on future activities ... 413
Collapsible bladders for transport of Recreation programs ................. 192
liquids ............................... 361 Research .......................... 535
Colorado River basin precipitation Cost allocations ......................... 12S
augmentation program ................. 348 Cost effectiveness
Colorado River Basin Project Act ........ 324,482 Pollution abatement programs ........ 98,108
Colorado River Compact .................. 418 Cost-sharing for water programs ......... 485-499
Commission on Food and Fiber ......... 139-140 Channelization ....... .............. 36
Commission on Intergovernmental Deficiencies in present policies ...... 494-495
Relations ............................ 407 Drainage ....................... 488,498
Commission on Marine Science, Engineering, Environmental values .............. 32,497
and Resources ...................... 28,113 Federal programs (table) .............. 491

570

Fish and wildlife conservation and Drainage
improvement .................. 489,498 Cost-sharing ..................... 488,498
Flood control ................... 487,498 Corps of Engineers program ........ 122-125
Goals ............................. 495 Soil Conservation Service programs ...... 122
Grants programs (table) .............. 492 Dredge spoil disposal ..................... 103
Hydroelctric power ............... 488,497 Drinking water standards ............... 169,170
Industrial water supply ............ 489,497 Dubos, Rene ............................ 17
Inland waterways ......... 118,120,486,497 Dual water supply systems,
Irrigation ....................... 486,497 recommendations ..................... 315
Municipal water supply ............. 489,497
Pollution abatement ............... 489,498 E
Recreation at reservoirs ............ 488,497
Regional development ................ 497 Eagle County and Water Division
Sewage treatment plants ........... 489,497 No. 5 cases ................... 463,464,478
Water quality enhancement ............ 490 Ecological principles and processes ......... 20-24
Council of Representatives of the Water Economic Development
Resources Council .................. 399404 Administration .......... 59,163,388,486,489
Council on Environmental Economic dislocations resulting from pollution
Quality ................ 68,219,220,221,510 abatement programs .................... 98
Councils of Government (COG's) ......... 45,451 Economic inducements for pollution control . 77-80
Cross-Florida Barge Canal ........... 48,217,220 Ecosystems ........................... 20-24
Effective demand principle ................ 381
Efficiency in water use ................ 299-306
D Effluent charges ......................... 80
Electric power, effects on water
Data, see basic data resources ...................... 14,171-184
Deauthorization of projects ................ 394 Emergency procedures
Debts, State and local ................. 519-522 For flood control ................ 150,153
Decisionmaking in water management ..... 365-394 For water supply .................... 165
Deep-tunnel storage of storm water ........... 73 Eminent domain ..................... 466,468
Deficiencies in water resources planning ...... 366 Enforcement procedures (for pollution
Delaware River Basin abatement) ........................... 94
Compact .............. 372,406,421426,432 Engineering News-Record Construction
Department of Natural Resources ........ 409,410 Cost Index (chart) ..................... 517
Desalting ........................... 335-346 Environmental advocate .................. 221
Compact units for residential use ....... 360 Environmental effects of water
Costs ................... 336,340,343,344 development .................... 19-37,138
Environmental problems .............. 342 Environmental evaluation ................. 381
Markets ........................... 342 Environmental financing authority .......... 525
Processes .......................... 336 Environmental Protection Agency ....... 69,76,99,
Prototype construction ............... 344 165,185,219,221,371,376,388,408,426,507,510,514
Research program ................... 345 Environmental quality, urban .............. 447
Recommendations 346 Environmental values
Development procedures for resolving differences Cost-sharing for ..................... 497
over environmental values ............ 205-225 Procedures for resolving differences
Recommendations on ............. 224,225 with developmental values ........ 205-225
Discharge permits ...................... 92-94 Recommendations on ............. 224-225
Discount rate (for project evaluation) . . ... 383-387 Environmental Veto over development
Recommendation ................... 387 projects ............................. 219
Dissolved solids ............. * '* * ' * ' * *45,67 Erosion and sedimentation damage control . 184-187
Division of Water Supply, Environmental Esthetic effects, of channelization ............ 34
Protection Agency .................. 165,166 Of reservoir development .............. 25

571

Estuaries and coastal zones ............. 100-103 Fertilizer (See agricultural chemicals)
Eutrophication .......................... 69 Financing water programs .............. 519-525
In Great Lakes ...................... 104 Metropolitan area water
Evaluation of alternatives ................. 379 facilities ......................... 448
Evaluation procedures ................. 379-387 Pollution abatement .................. 91
Inland waterways ................... 117 Recommendations on ................ 525
Recommendations on ................ 386 Recreational development .......... 194,199
Recreation ......................... 276 State and local ................... 517-525
Executive Order No. 11296 (flood damage First National Assessment (Water
prevention) ....................... 155,161 Resources Council) .................... 9-12
Executive Order No. 115 08 (disposal of Fish and Wildlife Coordination Act ... 200-203,489
excess federal lands) ................ 197,199 Fish and wildlife protection and
Expenditures for water resources development improvement ...................... 200-203
Federal .................... 502,504,505 Cost-sharing ..................... 489,498
Total ............................. 506 Fisheries, Great Lakes .................... 104
Five-year programs for water resources
projects ............................. 394
F Fixtures and appliances to save water ........ 303
Flood control ....................... 149-161
Family size farm ..................... 142-144 Cost-sharing ..................... 487-498
Farmers Home Administration 59,163,166,388,486 ' Recommendations on ............. 160-161
487,498 Flood Control Act of 1936 ..... 111,150,151,154
Farm management practices to save Flood Control Act of 1938
water ............................ 301,302 Cost-sharing provisions of ............. 487
Farm price support programs ....... 121,129,135 Flood Control Act of 1944 ......... 125,389,488
Federal'expenditures for water programs Flood Control Act of 1960 ......... 151,154,155
Table ............................. 502 Flood Control Act of 1968 ............. 125,490
Trend (graph) ...................... 504 Flood Control Act of 1970 ................ 123
Federal grant and loan programs ......... 390,369 Flood Control Policy, Task Force on ........ 157
Recommendations ................... 394 Flood damage reduction ............... 149-161
Federal grants for planning ................ 369 Flood emergency programs ................ 153
Federal Inter-Agency River Basin Committee .. 416 Flood forecasting ................ 150-153,156
Federal-Interstate Compacts ........ 418,421-423 Flood insurance ...................... 153,157
(Map, 419) Flood plain management ............... 151,154
Federal Reclamation Act of 1902 .... 111,142,267 To increase water supplies ............. 353
Federal-State-Local cooperation ......... 453-455 Flood Plain mapping ..................... 153
Federal-State jurisdiction over water ...... 459-471 Florida Water Resources Act of 1972 ..... 294-298
Federal Water Pollution Control Act Fog drip .............................. 360
of 1948 .............................. 82 Food and Fiber programs .............. 121-142
1956 Amendments ................... 82 Cost-sharing for ..................... 142
1961 Amendments .................. 490 Forest management to increase water
1965 Amendments (Water Quality supplies .......................... 353,354
Act of 1965) ............ 70,71,74,75,82, Forest Service ................... 195,196,359
87,92,106,507,511,516 Fort Chartres and Ivy Landing Drainage
1972 Amendments ......... 69,74,84,87-89, District No. 5, Illinois .................. 124
93,99-102,107,108,207,37 1, Framework plan for water resources
376,390,391,506,510 development ...................... 168,506
Federal Water Project Recreation Frying Pan-Arkansas project, Colorado ....... 393
Act ...................... 187,192,190,489 G
Federally chartered corporations ......... 427-433
Federal reclamation program Geological Survey (see U.S. Geological Survey)
(see Irrigation) Geothermal Research and Development
Feedlot wastes ......................... 65,73 Program .......................... 339,363

S72

Glaciers, artificial ....................... 360 Cost-sharing for .............. 120,486,497
Grandfather rights to pollute ................ 93 Deficiencies in program ............ 115-117
Great Lakes ......................... 433-439 Value of water for .................... 45
Dredge spoil disposal .............. 103,108 As a part of National transportation
Environmental quality ................ 103 system .......................... 120
Institutions ..................... 435-437 Instrearn uses of water ..................... 6,8
Interbasin transfers .................. 322 Integrated grant application program ........ 164
Management .................... 437-439 Recommendation on ................. 170
Pollution problems ............... 103-107 Integrated management of surface and ground
Recommendations on ............. 438,439 water ............................ 233-236
Great Lakes Basin Commission ............. 436 Integrating research and planning ........... 536
Great Lakes Commission .................. 435 Interagency Committee on Water
Great Lakes Fisheries Commission .......... 435 Resources .................... 399,403,416
Ground water management ............. 230-247 Inter-agency River Basin Committees ........ 416
Ground water mining .................... 238 (Map, 419)
Ground water pollution ............ 243-244,247 Interbasin transfers of water ............ 317-333
Ground water rights ..................... 293 Criteria for ........................ 330
Gulf Coast Waste Authority ............... 415 Recommendations ................ 332-333
Interior, U.S. Department of
H Recommendations on ............. 413,539
(See also Bonneville Power Administration,
High Plains of Texas ........... 231,238-239,322 Bureau of Reclamation, Bureau of
Hoover Commission (1 st) .............. 407,410 Indian Affairs, etc.)
Hoover Comniission (2nd) ................. 157 International Boundary and Water
Housing and Urban Development, U.S. Commission .......................... 192
Department of .......... 155,157,162,163,372, International Joint Commission ............ 435
388,406,486,489 Interstate compacts ................... 418-426
Human consumption of reused Interstate pollution control agencies ... 90,418,420
wastewaters ....................... 312-313 Intrastate water planning .................. 369
Hurricane Agnes ..................... 149,154 Investor-owned water utilities .............. 165
Hydroelectric power, cost-sharing Irrigation, Bureau of Reclamation program .126-130
for .............................. 488,497 Cost-sharing ..................... 486,497
Value of water for .................... 45 Corps of Engineers program ........... 125
Development in Western States graph .... 127
1 Repayment, Missouri River Basin
Project (Table) ................... 146
Icebergs, towing ........................ 361 Soil Conservation Service program ...... 122
Independent Board of Review Value of water for .................. 42-43
(proposed) ............. 220,329,333,406-409 Irrigation Efficiency, improvement of ........ 300
Indian water rights ................... 473-483 Irrigation use of sewage effluent ............ 313
Incremental cost pricing ............... 249,257 Islands, as recreational resources ............ 197
Inconsistent cost-sharing policies ......... 490-493 Recommendations on ................ 199
Industrial wastes ......................... 6S
Industrial water supply ................. 161-170
Cost-sharing ..................... 489,497 Joint administration, water supply and
Potential for savings ................. 304 waste disposal ..................... 445,447
Storage in Federal reservoirs ........... 162
Value of water for .................... 43 K
Inequities in cost-sharing policies .......... 494-6
Informal public participation in water L
resources planning ..................... 376
Inland waterways .................... 113-121 Lake Erie ........................... 103-105

573

Lake Huron ............................. 104 Mississippi River and tributaries project
Lake Michigan .......................... 105 Cost-sharing provisions of ............. 487
Lake Ontario ........................... 105 Missouri River Basin Project
Lake Superior .......................... 103 Repayment provisions ............. 146,487
Land acquisition, for recreation ............ 199 Model (State) Water Use Act ............... 280
For flood plain management ........ 155,160 Monomolecular films to reduce evaporation ... 301
Land disposal (of sewage) .................. 71 Multiobjective planning ................... 382
Land management to increase water supply 351-359 Municipal bonds, use of to finance water
development ...................... 519,522
Privately-owned lands ................ 358 Municipal sewerage systems ................. 64
Publicly-owned lands ................. 359 Municipal water supply ................ 161-170
Recommendations ................... 359 Cost-sharing ..................... 489,497
Land and Water Conservation Fund .. 156,189,278 Storage in Federal reservoirs ........... 162
Land use in relation to water resources ..... 24,445 Municipal Water Use
Land use planning ..................... 97,368 Influence of Meters on ............... 253
Coordination with water resources Influence of Pricing on ............ 252-253
planning .................. 158,161,366 Recommendations ................... 259
Land and Water Resources Council (proposed) . 368 Value of water for .................... 43
Leak control programs ................... 305 Muskegon, Michigan pollution abatement
Legislative Reorganization Act of 1970 ....... 390 project ............................... 71
Legislative Reservation of Waters ........... 272
Licensing non-Federal development ......... 207 N
Recommendations on ............. 224-225 National Academy of Sciences
Licensing procedures for non-Federal projects Committee on Resources and Man ...... 140
Public participation ............... 376-378 Committee on Technologies and
Lower Colorado River Authority, Texas ...... 369 Water ........................ 359-362
Report on Marine Environmental
M Quality ......................... 100
Report on Waste Management Concepts for
Magneto hydrodynamics .................. 179 Coastal Zone ..................... 100
Manpower, for pollution abatement programs ... 99 National Commissions
Marginal costs of sewage collection and treatment in Commission on Food and Fiber ..... 139-140
residential areas (Table) ............... 250 Commission on Intergovernmental
Marine Protection, Research, and Sanctuaries Relations ........................ 407
Act of 1972 .......................... 101 Commission on Marine Science, Engineering,
McCarran Amendment ................ 463-464 and Resources .................. 28,113
M.elting ice caps to create lakes ............. 361 Commission on Organization of the Executive
Metropolitan areas, water problems ....... 441-457 Branch of the Government (1955) (2d
Institutions ..................... 449-453 Hoover) . ..................... 157,407
Planning .......................... 370 Commission on Reorganiza tion of the Executive
Recommendations ................ 456-457 Branch of the Government (1948) (1 st
Metropolitan Water District of Southern Hoover) ...................... 407,410
California ........................ 143,445 Commission on Population Growth and the
Mexican Water Treaty .................... 482 American Future ................. 50,60
Miami Conservancy District ......... 159,414,415 National Advisory Commission on Food and
Milorganite ............................. 98 Fiber ........................ 139,140
Milwaukee, Wisconsin Sewage Treatment National Advisory Commission on Rural
Plant ................................ 98 Poverty ......................... 140
Mine drainage, pollution from ............... 67 Presidential Advisory Committee on Water
Minidoka Project, Idaho ................... 52 Resources Policy (1955) ......... 385,407
Minimum stream flows, reservation President's Advisory Council on Executive
of ...................... 273, 287-289,465 Organization (Ash Council) (1970) .... 410

574

President's Water Resources Policy Commission Offshore reservoirs ...................... 361
(1950) .......................... 407 001ala Formation ................ 221,238,239
Public Land Law Review Ohio River Valley Water Sanitation
Commission (1970) ................ 466 Commission ........................ 78,406
Senate Select Committee on National Water Oil Spills ............................... 67
Resources (1961) .............. 399,410 Omnibus (Reclamation) Adjustment Act
Task Force on Federal Flood Control of 1926 .......................... 143,267
Policy (1965) ................. 157-158 One-stop licensing procedures .............. 225
National efficiency criteria ....... ........ 381 Onsite use of water ........................ 6
National Environmental Policy Orange County Water District ........... 235,236
Act ............... 200,206-211,215-225,390 Osgood Project, Idaho, water
National Flood Insurance Act of 1968 .... 157,372 Savings on ......................... 305
National Oceanic and Atmospheric Otsego, Michigan ..................... 255-256
Administration ......... 108,154,155,363,410, Outdoor Recreation Resources Review
413,531,534,537 Commission ....................... 188-189
Recommendations on ............. 413,537 Overdrafts of ground water supplies ......... 233
National Park Service ................. 195,196
National Trails System ................... 189
National transportation system ............. 120 P
National Water Commission
Former members ...................... v Papillion Creek Project (Nebraska) .......... 492
Members ............................ iv Pathogens and viruses in wastewater ......... 309
Staff ....................... vii,557-567 Permit system for riparian States ......... 280-298
National Water Commission Act (text) .... 539-541 Recommendations on ............. 293-294
National Water Rights Procedures Act Permits (for discharges) .................. 92-94
(proposed) ........................ 461-471 Pesticides, see Agricultural chemicals
National Wild and Scenic River System ....... 189 Philadelphia, Pennsylvania ................. 256
Nationwide Outdoor Recreation Plan ........ 189 Phreatophyte control .................... 353
Natural Resources, Department of ....... 409,41() Planning ........................... 365-379
Navigable waterways, see Inland navigation For metropolitan water management .... 370
Navigation servitude ..................... 467 For recreation ...................... 199
No-discharge goal for water pollution ....... 69,70 For water pollution abatement .... 83,84,371
No npoint -sources (of pollution) ........... 65,74 To accomodate environmental values .... 217
Northeastern United States Water Supply Plant siting
study ....................... 163,372,454 Recommendations on ................ 225
Nutrients in wastewater ................... 309 Plumbing codes, amendments to save water .. . 305
Plumbing fixtures, water savings ............ 303
0 Point-sources (of pollution) ................. 64
Oak Ridge National Laboratory ............ 343 Policies, Standards, and Procedures for the
OBERS Projections ...................... 139 Formulation, Evaluation, and Review of Plans for
Ocean dumping ......................... 101 Use and Development of Water and Related Land
Office of Civil Defense ................... 165 Resources, Senate Document 97, 86th
Office of Emergency Preparedness .......... 156 Congress ............................ 399
Office of Management and Polluter pay principle ................... 84-85
Budget ................ 164,391,404,407,501 Pollution abatement ................... 63-108
Office of Saline Water ......... 336,337,339,341, Cost-sharing ..................... 489,498
342,363,537 Regulation for ..................... 87,88
Office of Science and Technology ........... 534 Pollution, definitions .................... 69-70
Office of Water Resources From agricultural chemicals ........ 66,103
Research .................. 363,532,533,534 Of ground water ............. 243-244,247
Office of Water Technology Population, effect of water policies and programs
(proposed) ............. 363,397,412,413,537 on ........................... 50-51,59-61

575

Population Growth and the American Future, Quantification of water rights to increase
Commission on ...................... 50,60 efficiency of use ...................... 300
Posten Bayou, Arkansas .................. 124 Quota restrictions (ground water) ........ 241-242
Precipitation augmentation ............. 346-351
Costs ............................. 349 R
Ecological effects ................... 349
Economic effects .................... 349 Rainfall (see also Precipitation)
Environmental effects ................ 349 Rapid City, South Dakota, flood losses .... 149,150
Legal implications ................... 350 Receiving water standards ............ 82,91,108
Recommendations on ................. 351 Reclamation Act of 1902 ....... 111,142,267,461
Research on ........................ 347 Reclamation programs ................. 121-149
Precipitation forecasting .................. 360 Bureau of Reclamation ............ 126-130
Presidential Advisory Committee on Water Corps of Engineers ............... 122-126
Resources Policy (1955) ................ 385 Cost-sharing for ....... 142,148,149,486,497
President's Advisory Council on Executive Department of Agriculture ............ 122
Organization (1970) ................... 410 Relation to farm price supports ......... 129
Pricing irrigation water ................... 256 Reclamation Project Act of 1939 ........... 267
Pricing to motivate better water use ...... 247-259 Recommendations on:
Pricing policies to conserve water ........... 303 Acreage limitation ................... 148
Recommendations on ................ 305 Appropriations procedures ............ 394
Pricing policy of water utilities (table) ....... 254 Authorization proceudres ............. 394
Pricing sewerage services ............. 80,81,255 Basic data ......................... 527
Pricing system principles .................. 249 Board of Review .................... 409
Principles and Standards for Planning Water and Channelization ...................... 37
Land Resources, Water Resources Conflicts between Federal and State
Council ........................ 156,382 and Indian water rights ...... 461,462,463,
Property tax as a source of revenues for water 464,465,468,482
development ......................... 524 Contract authority .................. 394
Protein substitutes Cost-sharing ........................ 496
Effect on demand for land and Deauthorization of projects ............ 394
water ....................... 15,137,138 Desalting .......................... 346
Public finance ....................... 519-525 Discount rate for project evaluation ..... 387
Public Law 566 programs .......... 122,184,196, Efficiency in water use ............... 305
Public participation, 410,487,488,490 Energy conservation ................. 183
In environmental decisionmaking ....... 225 Environmental values ................ 224
In planning for non-Federal projects .. .. . 377 Erosion and sedimentation ............ 187
In water resources planning ......... 372-379 Estuaries and coastal zones ............. 32
Public relations programs to stress wise use Evaluation principles and standards ...... 386
of water .......................... 303-304 Federal Agency Programs ...... 413,532,537
Public right to access to water bodies ........ 274 Financing by State and local governments . 525
Public rights in water ..................... 273 Fish and wildlife programs ............ 203
Public trust doctrine (in use of water Flood plain management .............. 160
bodies) ................... 274,276,282,377 Food and fiber programs .............. 142
Public Works and Economic Development Act Government organizations ............. 413
of 1965 .............................. 60 Grant applications ................ 170,405
Puerto Penasco, Sonora, Mexico, Great Lakes ........................ 438
Multiple purpose desalting demonstration . 343 Ground water ......... 233,234,235,236,238,
Trickle irrigation ................. 304,305 242,243,244,245,246,247
Pump taxes ..................... 240-241,251 Independent Board of Review .......... 409
Indian water rights ........ 477,478,481,482
Q Inland waterways ................... 120
Integrated grant application program .... 170
Quantification of Federal water rights ........ 466 Interbasin transfers of water ........... 332

576

Interstate compacts .... 418,424,425,426,457 Drinking water standards ........... 169,170
Interstate planning .................. 418 Flood plain ..................... 155,160
Intrastate organizations ............... 415 Ground water withdrawals ......... 233-242
Islands, as recreational resources ........ 199 To control pollution ........... 82,85-86,87
Land management to increase water yield . 359 Transportation rates .............. 120,121
Legal systems ........ 233,261,269,278,293 Water use to increase efficiency . . 299,300,305
Metropolitan water problems .......... 456 Weather modification ............. 350-351
Municipal and industrial water supply .... 170 Reimbursement (see Cost-sharing)
Permit systems under riparian water law . . 293 Repayment policy (see Cost-sharing)
Precipitation augmentation ............ 351 Reports to Congress on public participation ... 375
Prelicense planning ............... 224,377 Research ........................... 532-537
Pricing of water ..................... 259 Metropolitan areas ................... 448
Public access to water bodies ........... 279 On pollution abatement ............. 86,87
Public participation in On water technology .............. 362-363
planning .............. 374,375,376,378 On wastewater reuse .............. 314,315
Reclamation subsidies ................ 148 Reserved rights of Federal government ....... 464
Recreation at reservoirs ............... 199 Reserved rights of Indian Tribes ............ 473
Reevaluation of projects before ......... 394 Residuals .............................. 4,97
construction Reuse of wastewater .................. 306-315
Regional corporations ................ 433 Costs ....................... 43,308-311
Research .......................... 537 Recommendations ................ 314,315
Reuse of wastewater ................. 314 Revenue sharing ..................... 522,524
Riparian permit systems .............. 293 Riparian Doctrine of Water Law ..272,280-298,326
State water laws .......... 262,263,264,278 River and Harbor and Flood Control
State water records ............... 261,262 Act of 1970 ....................... 123,468
Transfer of water rights ........ 262,263,264, River Basin Commissions .................. 416
265,266,267,268,269 Map ................................ 419
Waste heat ......................... 183 Root River Basin (Wisconsin) ........... 444,446
Water pollution control ............... 107 Running Water Draw, Plainview, Texas ....... 125
Water quality planning ............ 107,372 Runoff (Bar chart) ........................ 5
Water recreation ................. 199,279 Rural Development Act of 1972 ... 59,162,163,489
Water Resources Council ....... 160,161,203, Rural Environmental Assistance Program ..... 185
403,404,405,406 Rural water supply programs ............ 163,166
Water resources planning ....... 369,370,371,
372,386,404,405 S
Water Rights Procedures Act .... 461,462,463,
464,465,467,468,471 Sabine River and tributaries, Texas
Water Savings practices ............ 305,306 and Louisiana ........................ 124
Recreational boats ........ 8,118,120,489,491,497 Sale of water rights ................... 260-270
Recreational use of reclaimed wastewater ..... 314 Saline Water Conversion Act of 1971 ........ 344
Recreation at reservoirs ................ 187-199 San Carlos Reservoir, Arizona .............. 530
Cost-sharing for .............. 195,488,497 Sea lamprey in the Great Lakes ............. 103
Statistics (Table) .................... 193 Sedimentation ........................ 66,101
Recreation, Value of Water for .............. 45 Selective cutting to increase water supplies .... 355
Recycling (see Reuse) Senate Select Committee on National Water
Reevaluation of projects .................. 394 Resources ......................... 13,399
Refuse Act of 1899 ............... 108,208,376 Sequencing uses to save water .............. 303
Regional Development Service charges for pollution abatement ....... 80
Cost-sharing for ..................... 497 Sewage treatment plants
Regional economic development, effects of water Cost-sharing ..................... 489,498
development on ...................... 48-61 Grants for construction of ............. 77-80
Regulation by interstate compacts .......... 421 Sheyenne River, North Dakota ............. 124

577

Sludge disposal ....................... 97,102 Texas Water Plan ........................ 317
Small Reclamation Projects Act of 1956 ...... 143 Tocks Island Project . @ ........... ....... 217
Snow/ice avalanching to increase water Transfer of water rights ......... 260-270,292-293
yield ............................ 360-361 Trickle irrigation ........................ 304
Snowpack management to increase water Tripartite Agreement ..................... 416
supplies ............................. 354 Tucumcari Project, New Mexico ............. 53
Social values in water ................. 271-279
Soil Conservation Service .... 32,122,151-153,157, U
162,184,196,389,409,410,411,486,487,490,492
Soil surface management to increase water Undersea aqueducts ...................... 361
supplies ............................. 355 Unified National Program for Flood Plain Management,
Solid waste disposal ...................... 101 Water Resources Council ................ 156
Souris River, North Dakota ................ 125 Unified National Program for Managing Flood Losses,
Sovereign immunity ..................... 468 Task Force on Federal Flood Control Policy . 158
Springfield, Missouri ..................... 256 Upper Great Lakes Regional Comn-fission ..... 436
Sprinkler irrigation ...................... 301 Urban erosion and sedimentation problem . 184,187
State and local government financing of water U.S. Geological Survey ........ 154,155,243,245,
development ...................... 517-524 246,247,410,534
State water laws User charges
Recommendations to provide recognition Inland waterways ................... 119
for social values ................ 271-279 Municipal water ..................... 257
(See also Federal-State jurisdiction over water) Recreation facilities ........... 190,194,199
State water rights records ................. 261 Sewerage ........................ 80,525
Recommendations for
improvements .......... 261-264,268,269 V
Steele Bayou, Yazoo River, Mississippi ....... 124
Storm drainage in urban areas .............. 158 Value of water ......................... 4048
Storm runoff in urban areas ............... 158 Variable pricing ........................... 2
Storm water pollution ................... 65,73 For pollution abatement ............... 81
Streambank management to increase water Municipal water ..................... 253
supplies ............................. 353 Vegetable proteins (see protein substitutes)
Strearnflow .............................. 9 Vegetal management to increase water
Stringtown Drainage and Levee District No. 4, supplies ............................. 353
Illinois .............................. 124 Viruses in wastewater .................... 309
Subsidies
To encourage pollution abatement ....... 77 W
In reclamation programs ........... 142-149
Recommendations on ............. 148-149 Waste assimilation, value of water for ......... 44
For water development ............... 495 Waste heat ....................... 65,171-184
Wastewater reuse ..................... 306-315
T Costs .......................... 308-311
Recommendations ................ 314,315
Task Force on Federal Flood Control Water meters ........................... 302
Policy ........................... 157-158 Recommendation ................... 259
Technological innovations to improve use of Water pollution
water ............................ 362-363 Definitions ....................... 69-71
Technology and Water Development, Sources of ........................ 64-67
Committee on ..................... 359-362 Water pollution control costs ..... 74-76,508-516
Tennessee River .......................... 53 Water Quality Act of 1965 . ....... 70,71,74,75,82,
Tennessee Valley Authority . 150,153,185,192,193, 87,92,106,516
200,372,427,488 Water Quality Enhancement
Texas River Authorities ................... 414 Cost-sharing .......................... 490

578

Water quality management .............. 63-108 Western Tennessee Tributaries, Tennessee and
Planning for ................... 83,84,372 Kentucky ........................... 124
Water Resources Council ....... 160,161,202,203, Westwide Study (Bureau of Reclamation) ..... 372
218,369,370,371,372,374,382,383,385, Wild and scenic rivers .................... 498
398406,485,493,506,531,537 Wild and Scenic Rivers Act .............. 25,189
Water resources planning ............... 365-372 Mnters v. United States ............... 473-476
Coordination with water quality Wisconsin Valley Improvement Company ..369,427
planning ................ 83,84,371,372 Withdrawal charges for water .............. 251
Water Resources Planning Act of 1965 .... 112,161 Recommendations on ................ 259
163,202,369,370,371,372,387,410,414,489 Withdrawal use of water ..................... 8
Tabulations .................... 7,9,11,12
Water savings practices ............ 253,299-304
Recommendations ................ 305-306
Watershed Protection and Flood Prevention Act, X'Y
PL 566 ........ 122,184,196,410,487,488,490
Water Supply Act of 1958 ....... 162,166,267,385 Z
Water Supply Division, Environmental Protection
Agency ............................. 166 Zero discharge goal (see no discharge goal)
Weather Modification Reporting Act ...... 350,351 Zoning ................................ 277

U.S. GOVERNMENT PRINTING OFFICE :1973 C@604-700 579

Water Policies For The Future

Final Report to the President
and to the Congress of the
United States by the
National Water Commission
3 6668 14102 7625