Chapter 4| Chapter 4 |
Chapter 5
Indicators
What is an indicator?
We use indicators in our daily lives, perhaps without thinking about it. We track the Dow Jones Industrial Average, our weight, our checkbook balance. A parks and recreation manager monitors use of ballfields by leagues; a utility manager tracks water or electricity usage per day.
An indicator provides descriptive or analytic information on conditions or trends. The Community Indicators Handbook (1997) defines indicator as a measurement that reflects the status of some social, economic, or environmental system over time. . . Generally an indicator focuses on a small, manageable, tangible and telling piece of a system to give people a sense of the bigger picture (page 53).
Let’s examine this definition:
• A "measurement" is something that can be quantified (i.e., a number can be attached). The measurement can be from an existing quantitative data source (e.g., property tax receipts). Under some circumstances, it may not be possible to begin with a quantitative data set. In those situations, a rating system can be devised with numbers attached to the ratings later. For example, your community may be concerned with the condition of homeless shelters. You can rate the shelters as good, fair, or poor and then attach a score, such as 3, 2, and 1, to these evaluations.
• Examples of "social, economic, and environmental" measurements are, respectively, number of births, per capita income, and amounts of hazardous waste generated at a facility.
• "Over time" merely suggests that it is preferable that indicators be tracked over several years to determine where we have been, where we currently stand, and where we are going. Examining trends can help in assessing whether conditions are getting better, worse, or staying the same. For example, average house prices over the last 10 years gives a community historical as well as current information. Realtors may use the pricing data to project likely average house prices for the next five years. If affordable housing is decreasing, the community may wish to address policies affecting this trend. Presenting the information in a chart or graph permits visualization.
• A "system" describes something interrelated, with indicators as small pieces of information that tell us about the larger system. We may not be able to see or understand all aspects of the system; however, from indicators we can glean some parts. For example, your cholesterol level tells something about your health; graduation rates in a community tell us something about the educational system; property taxes speak to resource availability.
What are indicators used for?
Indicators serve many functions:
Each of these functions can be performed separately or in sequence; obviously, there is some overlap among the functions.
Assessment. Assessments usually measure program performance; for example, whether a recycling program has increased recycling rates. Or an assessment can monitor conditions, such as the number of clean air days. Or assessments can examine trends, such as the number of premature births at the local hospital over several years. Assessments may be done by local officials (e.g., the recycling program manager) or by another local organization (e.g., the hospital).
Problem or issue identification. Assessments may highlight a possible problem. For example, tracking elementary school reading test scores may indicate a problem if the test scores are consistently lower than other communities. It is important to understand the exact measurement: Is the test score an average, where children with learning disabilities are included? The assessment may only identify a general problem, and further effort may be needed to specifically address the cause. The root problem could be student-teacher ratios, inadequate diets, inadequate library material, illiteracy among the parent population.
Policy development. Policy development seeks to address a problem or issue. In the above case, it may be to improve reading ability. Obviously, many policies on educational programs could be addressed: a policy to reduce the student-teacher ratio, a policy to improve the adequacy of the school library, or a policy to establish an adult reading program.
Goal setting and evaluation. After a policy is initiated, goal setting occurs. It is useful to have one or more indicators chosen to reflect that policy and goal. For example, the community may set a numerical goal on minimum reading test scores. After several years, the community assesses where the community stands in relation to that goal. Other indicators may be the number of books checked out from the library or student-teacher ratios.
Comparisons. Comparative analysis allows a community to examine where it stands in relation to communities with similar characteristics, both within and outside the immediate region. This comparison can aid a community in determining what its goals should be.
Indicators can become tools for change. To accomplish change, indicators must be used, not just collected. Moreover, it will take time to build a list of indicators, and instant change may not be observed. However, indicators can be a big help to long-term policy development.
In addition, indicators can serve as motivation for actions by private as well as public groups: Smart growth may require changes and new initiatives from many individuals and organizations, not just the local government.
What is a sustainability indicator?
Building upon the definition of an indicator, a sustainability indicator considers measurements and trends that link or combine all three dimensions of a sustainable or healthy community: economic, environmental, and social factors.
There are several desirable characteristics of sustainability indicators. The indicators should:
• consider external and internal transboundary effects. If water run-off from upstream activities affects your community’s water supply, an indicator representing that run-off should be considered. Likewise, if your community’s run-off affects a downstream community, that run-off activity should be considered. Air pollution is another example of transboundary effects. Air pollution does not respect county or municipal boundaries.
• consider external and internal distributional effects. Distributional effects are similar to transboundary effects: One community’s income may be rising at the expense of another community; for example, when an industry relocates from another community.
• be forward-looking. The sustainability indicator can be a trend indicator, by providing historical information that provides indirect information about the future. Or the indicator can provide information about future conditions through mathematical models. Finally, the indicator can be conditional; that is, it can provide information for if-then scenarios.
Besides these characteristics, there are other criteria (drawn together here from numerous sources) on what makes a good sustainability indicator. These involve input (e.g., community participation), characteristics of the data collected, and an emphasis on users. These criteria are listed below (not in a hierarchical order of preference); they suggest that an indicator should have the following qualities:
1. Relevance. The indicator should be relevant to the desired policy goal of the community. If the community’s goal is improved education, the indicators might focus on graduation rates, percentage of high school graduates who seek additional technical/vocational training, number of high school graduates who attend and graduate from college, public school expenditures per student, and student-teacher ratio.
2. Appropriate spatial and temporal scale. If the community’s interest is stormwater run-off, activities upstream and downstream should be taken into consideration. The indicator should also have the appropriate time scale. If the community’s goal is employment, annual employment figures might be more appropriate than quarterly figures to take into account seasonal employment.
3. Measurable. The indicator should measure a feature that can be quantified. "Low crime rate" cannot be quantified, but number of murders, rapes, and burglaries can. On crime, is it the number of reported rapes or the number of convictions? These two measures are different.
4. Good data quality. The data should be supported by sound collection methods that can be repeated consistently over time. In addition, the community should understand exactly what the indicator measures.
5. Longitudinal data. Ideally, an indicator will have been collected over time, with consistent collection methods. This allows for historical trends to be observed.
6. Easy data availability. Data for the indicator should be affordable and accessible. Prohibitively expensive indicators, while perhaps representing the ideal, may not be an option for many communities. Instead, the community should choose indicators where the data are available and accurate and can be obtained easily.
7. Important and easily communicated information. The indicator should provide information that is worthwhile; that is, it should measure a factor important to the decision-making group. It should also be presented in terms the public and decision makers can understand.
8. Community-developed. The indicators should be developed with input from community members and be useful for the intended audience.
How should you choose your community’s sustainability indicators?
There is no magic number of indicators, nor is there an ideal set. Jacksonville, Florida, chose 74 indicators for nine broad categories; 259 indicators were used by the State of Oregon. Seattle, Washington, narrowed a list of 100 into 40 indicators; the President’s Council on Sustainable Development’s Indicators Workgroup settled on 41 indicators. The number of indicators should be manageable and realistic; what that number is depends on the community.
Simply put, the community should choose its list of sustainability indicators as it builds toward smart growth. Its list should reflect where the community wishes to go. It should be a participatory process, as detailed in other parts of this guide. The final selection of indicators will depend upon goals of the community, data accessibility, and resource availability. However, one process that a community might consider in developing its list of sustainability indicators is set out below.
1. Group selection. Although it is important to have citizen involvement, it might be appropriate when developing indicators to select a small citizens work group. However, it is important that the citizens group be diverse, to allow access to broader groups and organizations within the community, to lend credibility to the group’s activities, and to engage different skills. Some members should be good at communicating; others should be good at analyzing data.
2. Goal definition. As discussed in Chapter 3, defining the community’s goals is essential. Defining the community’s goals assists in determining the appropriate indicators and clarifies the purpose of choosing sustainability indicators. It also can help the indicators work group stay focused.
3. Framework. As discussed below, the group should organize the indicators. In addition, it should consider criteria to evaluate potential indicators. As mentioned above, the criteria should consider the community’s resources. Selecting the framework and evaluation criteria should precede identifying the indicators.
4. Identifying Potential Indicators. Reviewing data collected by various government agencies and other organizations could be a helpful starting point. This search can identify ready sources of data for indicators; it can also point out technical problems. For example, are data collected annually or every two years? If it is important to have annual data, an indicator based on biennial data may be rejected.
The indicators group should discuss whether brainstorming with a broader group is advisable at this point, or whether specialized assistance is needed. Specialized help might come from someone who teaches math at a local community college or high school, or an engineer with the local utilities board. These technical experts may be able to identify potential problems not considered by the indicators group.
Potential indicators can be identified by considering those listed at the end of this chapter, and by reviewing reports prepared by other communities, as well as by developing a set of indicators from sources unique to the community. A review of other communities’ reports on their use of indicators may highlight potential opportunities and pitfalls.
5. Presentation to Community. After the potential indicators have been identified by the indicators work group, they should be presented to the community for feedback.
One option is to convene public meetings on the proposed set of indicators. At the first meeting, the goals, selection criteria, indicators, and process of developing the indicators should be described, and feedback should be sought. A second public meeting should be held to present the revised list of sustainability indicators. The indicators work group should consider hiring a facilitator for these meetings. (See Appendix E for a list of possible sources of facilitation assistance.)
If public meetings aren’t possible (or even if they are), the group might consider publication in the local newspapers, or mailings to churches, the League of Women Voters, Jaycees, Kiwanis Clubs, local environmental groups, and other organizations. The group may decide to make presentations to community organizations or speak on radio call-in broadcasts. The idea is (1) to have as wide a distribution as possible, and (2) to emphasize that feedback from the community is requested so that the work group can turn the potential indicators into a final set of indicators. Local organizations may be able to assist in this effort, and the newspaper could seek suggestions.
6. Data Compilation. After the final set of indicators is chosen, the data should be collected. This may be a time-consuming effort. Some potential sources of data are provided at the end of this chapter, as well as in Chapter 7 and in Appendices A-D.
The work group might consider preparing a preliminary analysis of the data, to assess how the community is faring. The results may be surprising.
7. Report to the Community. After the indicators have been chosen, the data collected, and the preliminary assessment performed, this information should be conveyed to the community. Again, the outlets for this information can be as broad as funds allow, but at a minimum, publication in a local newspaper seems a worthwhile beginning point.
A report to the community serves several purposes: It provides feedback to community members. It gives them a glimpse of where the community stands in relation to its goals. It can bring home the point that smart growth involves personal action as well as action by business and governmental agencies.
8. Monitoring Progress. Sustainability indicators, goal setting, and compiling data are of little value without ongoing monitoring. This requires an obligation to make the smart growth effort more than a paper exercise. As discussed in Chapter 3, monitoring enables the community to evaluate where it stands in relation to its goals. It may also suggest a change in goals and/or indicators. It may be determined, for example, that the particular indicator chosen simply does not provide the data needed by the community. Or the community may reach a goal and choose another goal and set of indicators. Selecting indicators and then monitoring them is an iterative process, not a linear process.
How can indicators be organized?
A number of frameworks have been developed by communities that are systematically working toward sustainability. These frameworks fall into the following categories: (1) domain-based, (2) goal-based, (3) sectoral-based, (4) issue-based, (5) causal, and (6) combination.
• Domain-based. The domain-based framework begins with the basic dimensions of sustainable development—social, economic, and environmental—and then identifies indicators for each of the three. This framework ensures coverage of the three dimensions; one drawback, however, is its failure to reveal linkages among the three dimensions.
• Goal-based. The goal-based framework directly links the three dimensions of sustainability by focusing on community goals, rather than on a specific dimension per se. The framework requires setting community goals first; then indicators are created to reach the goals. Broad goals can then be divided into categories and subcategories, with selected indicators based on the subcategories. For example, one goal may be an economically healthy community. One category could be the community’s debt. Subcategories might include per capita debt and short- or long-term bond issues. Another category might be employment. Subcategories might include manufacturing or service employment and welfare payments.
• Sectoral-based. The sectoral-based framework focuses on the governing unit’s areas of primary responsibility, such as education, housing, transportation, recreation, and public safety. Indicators would be developed for each area, to help ensure accountability and responsiveness. This type of framework is useful for elected and administrative officials and the general public, but it has limited ability to link across different areas.
• Issue-based. This model is organized around key sustainability issues rather than local programs. These issues might be, for example, education, poverty, economic development, housing, water pollution, or crime. Like the sectoral-based model, this model is easy to communicate to officials and the public; however, a concerted effort must be made to link the sustainability dimensions.
• Causal. One frequently used framework for indicators was developed by the Organization for Economic Cooperation and Development and the Canadian government: pressure-state-response. This framework attempts to answer "what and why" questions: "What is happening, why is it happening, why is it significant, and what are we going to do about it?"
Trends describe the state (the condition that exists). Indicators of the pressure being exerted from various activities (the causes or driving forces) answer the "why" question. The response, or actions to change the state, focus on programs or policies to deal with the problem. An example of the pressure-state-response framework is a water condition problem identified by the indicators (state). The pressure is the use of septic tanks rather than a sewer system. A response could be a water department’s efforts to increase septic tank inspections (a policy or program response).
• Combination. Although each of these frameworks has disadvantages, they offer possibilities for a community to consider. In addition, one framework can be combined with another. For example, a sectoral-based framework can be modified to include categories and subcategories that span across the sustainability dimensions and incorporate aspects of the pressure-stress-response framework.
Linkages of Economic, Environmental, and Social Dimensions
Throughout this chapter we have alluded to links among the economic, environmental, and social dimensions of sustainability.
One way to think about these links is to consider questions that might arise either within the work group developing the potential set of indicators or through presentation of the indicators to a community-wide audience for feedback. For example, while the use of ballfields is a social indicator (a measure of recreation), it also represents economic and environmental activities. In this example, the following questions might arise:
- • Who uses the ballfields?
- • Does dust create breathing problems for users?
- • Does traffic flow into the ball park create noise or air problems for the surrounding community?
- • Is the park slated for improvement?
- • Is its improvement a higher priority than other (e.g., inner city) park development?
- • Are refreshments sold at the games?
- • Who sells the refreshments? Is there a competitive bid?
Another way to think about the links among these three dimensions is to consider the flow of cause and effect. One community goal may be to increase the educational level of its members (a social goal); monitoring high school graduation can help measure progress toward that goal. An educated population can attract and retain businesses that provide employment and tax revenue. The larger tax base may lead to social improvement in the community through additional funding for libraries or other activities. With education and employment, there could be a decrease in crime. However, new firms may lead to an increase in waste generation, and natural resource use. This cause and effect set of linkages is illustrated below.
Typical or Potential Sustainability Indicators
Sample sustainability indicator categories may include: health, education, public safety, recreation, transportation, economic development, housing, water quality, air quality, solid waste, arts and cultural activities, wildlife preservation, and land preservation. The list of sustainability indicators below is not exhaustive, but it provides examples. Potential sources of data are included.
Economic
1. Unemployment rate
Sources: local Tennessee Department of Employment Security office, local chamber of commerce, local economic development office
2. Distribution of income
Sources: U.S. Bureau of the Census, local chamber of commerce, local economic development office
3. Distribution of jobs by sector
Sources: local Tennessee Department of Employment Security office, local chamber of commerce, local economic development office
4. Distribution of housing
Sources: local board of realtors, local homebuilders association, local economic development office, planning commissions
5. Median value of land by acre by use
Sources: local board of realtors, local homebuilders association, planning commissions, property tax assessor
6. Net change in number of jobs
Sources: local Tennessee Department of Employment Security office, local chamber of commerce, local economic development office
7. Vacancy rate in housing and commercial structures
Sources: local board of realtors, municipal or county building inspection or permit unit
8. Ratio of business closure to business licensing
Sources: municipal or county business license office, Tennessee Department of Economic and Community Development, local chamber of commerce, local economic development office
9. Age distribution
Sources: U.S. Bureau of the Census
Social
1. High school graduation rate
Sources: local school board, Tennessee Department of Education, local chamber of commerce, local economic development office
2. High school drop-out rate
Sources: local school board, Tennessee Department of Education
3. Percentage of high school graduates who receive higher education
Sources: Tennessee Department of Education, local school board
4. Number of homeless people
Sources: religious or church associations, local or state offices of the Departments of Human Services, Children’s Services, Mental Health and Mental Retardation, Health.
5. Percentage of population living in substandard housing
Sources: local housing authority, U.S. Bureau of the Census, local U.S. Housing and Urban Development office
6. Total population change
Sources: U.S. Bureau of the Census, local economic development office, local chamber of commerce, planning commission
7. Population distribution across geographic region
Sources: U.S. Bureau of the Census
8. Public school expenditures per student
Sources: local school board, Tennessee Department of Education
9. Student to teacher ratio in elementary and high school
Sources: local school board, Tennessee Department of Education
10. Crime statistics by age, sex, and type of crime
Sources: police or sheriff’s department, Tennessee Bureau of Investigation
11. Ratio of local law enforcement officers to public
Sources: police or sheriff’s department
12. Percentage of population living below the poverty level
Sources: local housing authority, local chamber of commerce, local municipal or county housing inspection office
13. Illiteracy level
Sources: local school board, social organizations, church/religious organizations
14. Number of births to women without 12 years of education
Sources: local Department of Human Services, local Department of Children’s Services, local hospitals, local religious or social organizations
15. Library circulation rates
Sources: local libraries
Environmental
1. Number of clean air days
Sources: local air pollution board, Tennessee Department of Environment and Conservation
2. Percentage of population without potable water
Sources: local utility boards, local water department offices
3. Percentage of population not on sewers
Sources: local utility boards, local water department offices
4. Percentage of prime agriculture land
Sources: property tax assessor or register of deeds
5. Percentage of population using public transportation or car pooling
Sources: local transportation authority
6. Percentage of households participating in recycling programs
Sources: public works office, solid waste office, recycling center, environmental organizations, private waste management industry
7. Tons per capita of solid waste generated annually
Sources: public works office, solid waste office, private waste management industry
8. Tons of hazardous waste generated annually
Sources: Tennessee Department of Environment and Conservation, U.S. Environmental Protection Agency
9. Tons of toxic releases annually
Sources: Tennessee Department of Environment and Conservation, U.S. Environmental Protection Agency
10. Number of new housing units not within five miles of shopping centers
Sources: board of realtors, homebuilders association, building permits office, planning commission
11. Number of environmental education classes in public and private schools
Sources: local school board, Tennessee Department of Environment and Conservation, Tennessee Department of Education
Additional Data Sources for Sustainability Indicators
A trip to the courthouse may be a good starting point. In fact, local government offices can provide a wealth of information. Police departments can report on crime rates; the building inspection department can provide information on abandoned housing and new residential development. From the tax assessor, vacant parcels of land can be determined. Public housing authorities can give data on number of public housing units and may be able to determine categorical block grant information and expenditures. (Block grant information may also be available through housing authorities.) Local employment offices can be used to estimate the number of unemployed people. School systems can give data on drop-out and graduation rates; local libraries will have circulation rates. Public works departments can provide information on solid waste generation or sewer permits.
Beyond the courthouse, hospitals will have data on birth and death rates. Local utilities should have information on daily or weekly sewer, water, and electricity usages. Local social welfare organizations can provide information on children and women who have been physically abused. Other local organizations may provide environmental data, such as recycling participation and markets and land use efforts. Local environmental organizations may monitor environmental conditions. The private sector waste management industry can provide information on waste generation. Planning commissions may have information on traffic patterns.
Other information can be gleaned from chambers of commerce. (Some track employment data.) Neighborhood associations can identify vacant land, abandoned buildings, and may have information on various environmental factors (e.g., wetlands, sewer problems). Church and religious organizations may have data on homeless shelters and other social aspects of the community. Drug rehabilitation and family planning organizations may have knowledge on social characteristics of the community.
Communities may also look to the state and federal governments for data. For example, as noted in Appendix C, the Tennessee Department of Environment and Conservation (TDEC) collects annual data on hazardous and solid waste generation and toxic releases to the air, water, and land, as does the U.S. Environmental Protection Agency. TDEC’s Office of Reengineering is compiling an inventory of all publications and brochures distributed by TDEC divisions to provide information on particular subjects. The Office of Reengineering staff also are developing formal outreach programs in regional environmental assistance centers.
The Tennessee Department of Economic and Community Development has seven regional offices that may have information on efforts to attract industries. (See Chapter 7 for a list of these offices.) Local offices of the Tennessee Department of Human Services can provide data on recipients of Families First benefits, the number of recipients potentially entering the workforce in the next several months, the number of TennCare recipients, or how many community members receive food stamps. Tennessee’s Department of Children’s Services may have data sources for the number of homeless children.
Key Sources
Maclaren, Virginia W. Spring 1996. Urban Sustainability Reporting. Journal of the American Planning Association 62,2: 184-202.
Redefining Progress. 1997. The Community Indicators Handbook. San Francisco, CA: Redefining Progress.
Sustainable Seattle. 1993. Indicators of Sustainable Community: A Report to the Citizens on Long-Term Trends in Our Community. Seattle, WA: Metrocenter YMCA.
| Chapter 4 |
