community impact assessment

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COMMUNITY IMPACTASSESSMENT

CALTRANS ENVIRONMENTAL HANDBOOK VOLUME 4

JUNE 1997

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PREPARED BY:

CALTRANSENVIRONMENTAL PROGRAMCULTURAL STUDIES OFFICE

P.O. Box 942874, M.S. 27Sacramento, CA 94274-0001

(916) 653-0647

JUNE 1997

http://www.dot.ca.gov/hq/env/index.htm

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________________________________________________________CALTRANS ENVIRONMENTAL HANDBOOK VOLUME 4

COMMUNITY IMPACT ASSESSMENT________________________________________________________

TABLE OF CONTENTS________________________________________________________

CHAPTER 1: INTRODUCTION1-1 CONTENT OF THE VOLUME 11.1.1 WHAT IS A COMMUNITY IMPACT ASSESSMENT? 11-1.2 PURPOSE OF VOLUME 4 31-2 LAWS AND REGULATIONS 31-2.1 NEPA 31-2.2 CEQA 31-2.3 TITLE VI OF THE CIVIL RIGHTS ACT 41-2.4 OTHER RELEVANT LAWS 51-3 WHEN IS A TECHNICAL REPORT ADVISED? 51-4 CALTRANS POLICY 6

CHAPTER 2: PREPARATION FOR CONDUCTING COMMUNITY ASSESSMENTS2-1 CONTENT OF THE CHAPTER 92-2 PROJECT DESCRIPTION 92-3 SCOPING 92-3.1 SOURCES FOR SCOPING 92-3.2 ROLE OF PUBLIC INVOLVEMENT 102-3.3 LEVEL OF DETAIL IN THE DOCUMENT 112-4 DELINEATE THE STUDY AREA 112-5 OUTLINE THE TECHNICAL REPORT 122-6 TOPIC SEQUENCE 132-6.1 EXAMPLE STUDY OUTLINE 132-7 INFORMATION SOURCES AND METHODS 142-7.1 DATA COLLECTION 142-7.2 ENVIRONMENTAL JUSTICE 142-7.3 CENSUS BUREAU DATA 162-7.4 WORKING WITH RIGHT OF WAY STAFF 172-7.5 OTHER USEFUL SOURCES 172-7.6 METHODS 182-8 ANALYSIS AND PRESENTATION 192-9 SIGNIFICANCE 192-9.1 WORKSHEET APPROACH 202-9.2 CEQA GUIDELINES, APPENDIX G 21

CHAPTER 3: DESCRIBING THE AFFECTED ENVIRONMENT3-1 CONTENT OF THE CHAPTER 233-2 LAND USE CHARACTERISTICS 233-2.1 RURAL/URBAN LAND 233-2.2 MAJOR LAND USES 233-2.3 DEVELOPABLE LAND 23

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3-2.4 DEVELOPMENT TRENDS 243-2.5 JOBS/HOUSING BALANCE 243-2.6 PLANNING 253-3 FARMLAND 263-3.1 ANALYZING PROJECT-RELATED IMPACTS 273-3.2 LOCAL FARMLAND PRESERVATION POLICIES 273-3.3 PROJECTS WITH FEDERAL INVOLVEMENT 273-3.4 CATEGORIES OF FARMLAND 283-3.5 CALIFORNIA’S AGRICULTURAL POLICIES 293-3.6 FARMLAND MAPPING AND MONITORING PROGRAM 293-3.7 CEQA AND FARMLAND CONVERSION 303-3.8 WILLIAMSON ACT 303-3.9 TIMBERLAND PRODUCTIVITY ACT 313-4 SOCIAL 313-4.1 DEMOGRAPHIC CHARACTERISTICS 313-4.2 COMMUNITY/NEIGHBORHOOD CHARACTERISTICS 323-4.3 POPULATION GROWTH POLICIES 323-4.4 PUBLIC SERVICES AND FACILITIES 323-4.5 CIRCULATION/ACCESS 333-4.6 DEMOGRAPHIC INFORMATION 333-5 RELOCATION OF HOUSING AND BUSINESSES 343-5-1 RESIDENTIAL CHARACTERISTICS 343-5.2 PROJECTIONS OF HOUSING STOCK 343-5.3 HOUSING POLICIES AND PROGRAMS 343-5.4 BUSINESSES 353-6 ECONOMICS 363-6.1 SELECTING VARIABLES AND DATA ELEMENTS 363-6.2 TAX REVENUE 363-6.3 EMPLOYMENT 373-6.4 LABOR FORCE CHARACTERISTICS 373-6.5 EMPLOYMENT PROGRAMS AND POLICIES 38

CHAPTER 4: COMMUNITY IMPACT ANALYSIS4-1 CONTENT OF THE CHAPTER 394-2 LAND USE - FEDERAL GUIDANCE/STATE GUIDANCE 394-3 GROWTH INDUCEMENT 404-3.1 PLACEMENT IN DOCUMENT 424-3.2 AIR QUALITY AND GROWTH 424-3.3 CALTRANS POLICIES AND THE PLANNING PROCESS 434-3.4 ANALYTICAL TECHNIQUES 444-3.5 CUMULATIVE EFFECTS 444-3.6 SECONDARY OR INDIRECT IMPACT ON GROWTH 444-3.7 SIGNIFICANCE AND CONCLUSIONS 454-3.8 INFILL 464-3.9 GROWTH AND AGRICULTURAL LAND 464-3.10 MITIGATION MEASURES 464-4 CONSISTENCY WITH LOCAL AND REGIONAL PLANS 474-5 FARMLAND IMPACTS 494-5.1 OVERVIEW OF THE FORM AD-1006 PROCESS 494-5.2 UNAVOIDABLE CONVERSION OF WILLIAMSON ACT CONTRACT LAND 504-5.3 MITIGATION MEASURES 504-6 SOCIAL IMPACTS 514-6.1 COMMUNITY COHESION 514-6.2 ANALYTICAL TECHNIQUES 52

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4-6.3 MITIGATION MEASURES 544-6.4 ACCESS AND CIRCULATION IMPACTS 544-6.5 ANALYTICAL TECHNIQUES 554-6.6 MITIGATION MEASURES 564-6.7 PARKING IMPACTS 564-6.8 ANALYTICAL TECHNIQUES 574-6.9 MITIGATION MEASURES 574-7 RELOCATION IMPACTS 574-7.1 RESIDENTIAL DISPLACEMENT 584-7.2 MOBILE HOMES 584-7.3 AFFORDABLE HOUSING 594-7.4 DISPROPORTIONATE IMPACTS 594-7.5 SENIOR CITIZENS AND DISPLACED PEOPLE 594-7.6 ANALYTICAL TECHNIQUES 604-7.7 IMPACT ON SCHOOL DISTRICTS 614-7.8 BUSINESS DISPLACEMENT 624-7.9 EMPLOYMENT IMPACTS 624-7.10 LOSS OF CLINTELE 624-7.11 ANALYTICAL TECHNIQUES 634-7.12 COMPENSATION FOR DISPLACEMENTS 634-8 ECONOMIC IMPACTS 644-8.1 LOCAL TAX REVENUE 644-8.2 ANALYTICAL TECHNIQUES 654-8.3 MITIGATION MEASURES 654-8.4 BYPASSES AND ROADSIDE BUSINESS IMPACTS 654-8.5 PARKING LOSS IMPACTS 674-8.6 JOINT DEVELOPMENT 674-8.7 SECONDARY AND INDIRECT IMPACTS 68

APPENDICES

A. REFERENCES 69 B. DATA SOURCES 73 C. FARMLAND 79 D. GROWTH INDUCEMENT 87 E. RELOCATIONS 99 F. RAMP CLOSURE STUDIES 109 G. PUBLIC INVOLVEMENT 117

Environmental Handbook Volume 4Community Impact Assessment

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CHAPTER 1

INTRODUCTION

1.1 Content of the Volume

In meeting its responsibilities, the CaltransEnvironmental Program is developing anEnvironmental Handbook series to assist all unitswithin the Department to better understand ourresponsibility to ensure that state transportationprojects are planned and developed to beconsistent with the charge to be a good steward ofCalifornia’s resources. To assist in this objective,these volumes will provide a compendium of themost vital laws, regulations, guidelines, practices,procedures and processes that must be addressedas part of the project development and planningprocesses. The volumes provide guidance only.They are not a substitute for legal requirementsand do not impose requirements different from orin addition to those imposed by law. Thesevolumes are intended also to provide guidance toour local agency partners and to environmentaland engineering consultants where interactionwith Caltrans and the Federal HighwayAdministration (FHWA) is necessary indeveloping transportation projects.

Volume 4 of the Caltrans EnvironmentalHandbook series focuses on community impactassessment as part of the overall projectdevelopment process. It describes themethodological approaches and the variety ofsources available for obtaining the informationneeded for the assessment process. A quick lookat the Table of Contents will familiarize the readerwith the arrangement of the volume. Volume 4 isorganized into four main chapters and sevenappendices. The first chapter introduces thepolicies, procedures, laws and regulations relatedto community impact analysis. The secondchapter focuses on how the environmental plannershould prepare for conducting the communityimpact analysis, including delineating the affectedsocial and economic environment. The thirdchapter provides information on how to describethe affected environment as it relates tocommunities and neighborhoods and includes

sidebar boxes highlighting common data sourcesfor the various issue areas. The fourth chapterexplains how to analyze community impacts oncethe data has been collected and presents theappropriate technique(s) for assessing eachimpact. The fourth chapter also includesexamples of mitigation measures designed toavoid or help offset project-related impacts.There are also a number of appendices providingsupplementary material on such topics asfarmland, relocation policies and publicinvolvement.

We have attempted to write this volume of theEnvironmental Handbook, as much as possible, ina non-technical fashion. Most of the datacollection and analysis can be carried out bypersons without specialized training, althoughprior experience and an educational background ingeography, social ecology, economics, sociology,or regional planning, to name a few of thedisciplines, may be very helpful, particularly incomplex situations.

1-1.1 What is Community ImpactAssessment?

The term “community” encompasses a wholerange of definitions, as will be described later inthis volume. Listed below are some of the basictopics or subjects addressed in community impactanalysis or assessment studies prepared asbackground technical reports for EnvironmentalDocuments:

Social Impacts:• Relocation of Housing• Population Characteristics• Community Institutions• Community Stability and Cohesion Economic Impacts: • Change in Employment • Income Gains or Loss • Tax Base Changes Land Use and Growth• Consistency of Projects with Local Plans• Shift in Location Where Growth Will Occur


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• Development Opportunities Enhanced Public Services Impacts: • Schools and Health Systems • Police and Fire Protection • Accessibility and Parking • Utilities As one can see from the above lists, communityimpact assessment considers how the proposedproject activity will affect the people, institutions,neighborhoods, communities, organizations, andlarger social and economic systems. These aresometimes collectively called socioeconomicimpacts, but this is generally less regarded now asa term by FHWA’s Headquarters Office ofEnvironment and Planning, and as such, is alsobeing substituted here by Caltrans, although thetwo terms are interchangeable. Many of theseimpacts mentioned in the above lists, of course,are not mutually exclusive. A transportationrelated “social” effect on the local populationcaused by displacement may also have an effecton the local economy, and vice-versa. Forexample, a project that would result in displacinga large number of residents would have more thanjust social effects. There are fiscal impactsbecause properties are removed from the local taxroll. There are also economic effects becauseconsumers and employees in the local labormarket are at the same time displaced. To giveone final example, clearly a loss in parking spaceswould be not just a public service impact, butlikely an economic one as well. The social and economic sections of anenvironmental document prepared forCaltrans should focus on important topicsidentified through a scoping process and athorough public involvement effort. Theenvironmental document sections (or the technicalreport backing them up) should be specificallytailored to the project. A good community impactanalysis should clearly describe the relevantexisting conditions, the potential impacts of theproject on the community and its neighborhoods,the significance of the identified impacts, andpotential solutions (or mitigation) to best avoidthe adverse impacts resulting from the project.

It is important to keep in mind for many proposedtransportation projects it will not be necessary toanalyze each and every issue described in thisvolume. For example, a project to upgrade anexisting highway facility in a heavily urbanizedregion may not be expected to contribute in anymeasurable way to overall growth in thecommunity. In such a case, the project's growthimpact on the capacity of public services andfacilities in the community probably need not beconsidered in depth unless other circumstancessuggest it. Similarly, consideration ofneighborhood effects is not relevant for manyprojects situated in rural areas, though farmlandissues may indeed be prominent. Generally, community impacts are associatedwith the larger and more complex projects. Forexample, it is highly unlikely that a projectinvolving a roadway curve correction, or aninterchange improvement, or a median wideningwould necessitate the preparation of a specializedcommunity impact assessment study. In addition, even when there appears to be anoutstanding community issue in need of furtherexploration, bear in mind that the analyticaltechniques sections found in this volume in manyinstances provide a high degree of detail. Usuallyit will not be necessary to analyze every impactas rigorously as outlined in this volume. While no two community impact assessmentreports will be exactly the same, because ofdifferences in project characteristics and localissues, a standard methodology or use of achecklist is nevertheless useful to ensure that acomplete analysis is undertaken for each project.The information presented here is designed tohelp the technical background study, or morecommonly, specific environmental documentsection, focus on the appropriate issues,methodology, and data sources necessary to assesscommunity impacts. 1-1.2 Purpose of Volume 4


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The purpose of this volume is to set forth studyprocedures for gathering information andassessing impacts related to proposedtransportation improvements on communities andneighborhoods. It is designed to provideguidelines to assist Caltrans environmentalpersonnel, their consultants, and othertransportation partners in completing communityimpact assessment documentation and to provideguidance on how to reduce or avoid project effectson the human environment. To assist in this objective, this EnvironmentalHandbook volume will provide a compendium ofthe most vital laws, regulations, guidelines,practices, procedures and processes that must beaddressed. As stated earlier, this Handbookprovides guidance only. 1-2 Laws and Regulations Both the National Environmental Policy Act of1969 (NEPA) and the California EnvironmentalQuality Act of 1970 (CEQA), and the regulationsand guidelines that implement these laws, requireconsideration of social and economic impacts ofprojects in the preparation of environmentaldocuments. NEPA and CEQA policies state thatconsideration is to be given to qualitative factorsand unquantifiable environmental amenities andvalues, along with economic and technicalconsiderations in decision making that may affectthe environment. Federal and State guidelines do not specificallymandate analysis of every potential project relatedcommunity impact. Caltrans, however, must beresponsive to issues raised by concerned citizens,interest groups, and local agencies. Accordingly,community impacts should be clearly identifiedand carefully evaluated, both during the scopingprocess and in the preparation of theenvironmental document. There is additionaldiscussion on scoping in the following chapter, aswell as in Volume 1 of the CaltransEnvironmental Handbook. FHWA is stressing that state, regional and localtransportation agencies such as Caltrans, the

Metropolitan Planning Organizations andRegional Transportation Planning Agencies, andlocal governmental agencies acting throughCaltrans, use public participation as a foundationto develop viable project alternatives, as a sourceof information to identify and evaluate potentialimpacts on the communities and neighborhoodsthat are served, and as a method to identifyacceptable ways to address impacts. 1-2.1 NEPA The Federal Council on Environmental Quality(CEQ) regulations which resulted from thepassage of NEPA specify that "effects" includesocial and economic effects. Section 1508.14 ofthe CEQ regulations states that economic or socialeffects are not intended by themselves to requirepreparation of an Environmental Impact Statement(EIS). However, it further states that when an EISis prepared and economic or social and natural orphysical environmental effects are interrelated,then the document will discuss all of these effectson the human environment. 1-2.2 CEQA Many people in California, including somedecisionmakers, harbor the general belief thatCEQA addresses only purely “environmental”issues, not the social, demographic, or economicissues often raised by proposed projects. This iserroneous. This assumption, however, isunderstandable due to the complex linkage thatmust be demonstrated between the physical,social, and economic environment and thedetermination of “Significance.” This nexus isdiscussed below. The CEQA Guidelines make extensive referenceto the relationship of socioeconomic and physicalimpacts. The CEQA Guidelines define"significant effect" as "a substantial, orpotentially substantial, adverse change in any ofthe physical conditions within the area affected bythe project including land, air, water, minerals,flora, fauna, ambient noise, and objects of historicand aesthetic significance" (CEQA Guidelines,15382). “An ironclad definition of significant


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effect is not possible because the significance ofan activity may vary with the setting. Forexample, an activity which may not be significantin an urban area may be significant in a ruralarea" (CEQA Guidelines 15064 (b)). There are additional passages in the CEQAGuidelines that address the linkage: “Economicand social changes resulting from a project shallnot be treated as significant effects on theenvironment. Economic or social changes may beused, however, to determine that a physicalchange shall be regarded as a significant effect onthe environment. Where a physical change iscaused by economic or social effects of a project,the physical change may be regarded as asignificant effect in the same manner as any otherphysical change resulting from the project.Alternatively, economic or social effects of aphysical change may be used to determine that thephysical change is a significant effect on theenvironment. If the physical change causesadverse economic or social effects on people,those adverse effects may be used as the basis fordetermining that the physical change issignificant. “A social or economic change related to aphysical change may be considered indetermining whether physical change issignificant. An economic or social change byitself shall not be considered a significant effecton the environment” (CEQA Guidelines, 15382). “There must be a physical change resulting fromthe project directly or indirectly before CEQA willapply.” Clearly then, CEQA does not focus solely onphysical changes in the environment. Thus, if aneconomic impact will cause physical change, or aphysical change will cause an economic impact,then the impact should be considered. "Economicor social effects of a project may be used todetermine the significance of physical changescaused by the project. For example, if theconstruction of a new freeway or rail line dividesan existing community, the construction would bethe physical change, but the social effect would bebasis for determining that the effect would besignificant." (CEQA Guidelines 15131 (b)). In

another example, a court decided that a projectinvolving the construction of a waste-to-energyfacility next to a place of religious worshipconstituted a social effect relevant to determiningwhether related physical impacts were significantunder CEQA (Christward Ministry v SuperiorCourt, 1986). 1-2.3 Title VI of the Civil Rights Act Title VI of the Civil Rights Act of 1964, andrelated statutes, requires there be nodiscrimination in Federally-assisted programs onthe basis of race, color, national origin, age, sex,or disability (Religion is a protected categoryunder the Fair Housing Act of 1968.). Becausemuch of the information needed to assess possiblediscrimination during project development isobtained during the study of potential communityimpacts, Title VI issues can logically be evaluatedat the same time and covered in the section ofenvironmental documents dealing with the socialor human environment. Caltrans must act in fullcompliance with Title VI. The more-recentemergence of Executive Order 12898, addressingEnvironmental Justice in low-income andminority communities, is not technically a law,and is treated elsewhere in this volume at section2-7.2. Essentially, the environmental justicemovement is part of a larger trend towardsachieving social equity in environmental planningand land use. Social equity calls for a moreforward-looking and “proactive” planningapproach that fully identifies community effects,considers alternatives (including avoidance), andinvolves the public. Planners at the State andlocal levels are increasingly expected to eliminateunnecessary barriers in the environment and lookfor ways to enhance access to the project planningprocess and information, and facilitate fullparticipation in helping people to achievesustainable communities. Appropriateimplementation of Title VI and EO 12898 will beaccomplished through proper implementation ofthe FHWA/FTA NEPA process. 1-2.4 Other Relevant Laws


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There are other laws that involve communityimpact analysis. The Intermodal SurfaceTransportation Efficiency Act of 1991 (ISTEA)incorporates Sections 109(h) and 128 of Title 23of the United States Code on Highways, whichrequires that social and economic impacts ofproposed federal-aid projects be determined,evaluated, and eliminated or minimized as part ofenvironmental documentation for projectdevelopment. These include "destruction ordisruption of man-made and natural resources,aesthetic values, community cohesion and theavailability of public facilities and services;adverse employment effects, and tax and propertyvalues losses; injurious displacement of people,businesses and farms; and disruption of desirablecommunity and regional growth." Implementingregulations for the legislation are contained in 23CFR 771. The Uniform Relocation Assistance and RealProperty Acquisition Policy Act of 1970, asamended in 1987, collectively known as theUniform Act, as amended, provides for uniformand equitable treatment of persons displaced fromtheir homes, businesses, non-profit associations,or farms by Federal and federally-assistedprograms, and establishes uniform and equitableland acquisition policies. For more informationon these policies, see Appendix E. The Americans with Disabilities Act (ADA) of1990 extends the protection of the 1964 CivilRights Act to the disabled, prohibitingdiscrimination in public accommodations andtransportation and other services. The ADAstipulates involving the community, particularlythose with disabilities, in the development andimprovement of services. For example, in railtransit projects, participation by those in thecommunity who are disabled is essential for thedevelopment of the station plan. In planning forroadway improvements in a town, to use anotherexample, it is important to listen to and involvethe disabled community in the development ofaccess at sidewalks and ramps, street crossings,and in parking or transit access facilities. Seefurther discussion on public involvement insections 2-3.2 and 2-7.2.

1-3 When Is a Technical ReportAdvised? If the early Caltrans Project Development Team(PDT) meetings, or scoping meetings, indicatethat there exists substantial interest in the projectfrom a community standpoint, and an EIS/EIR isthe likely Environmental Document to beprepared, it may be appropriate to also prepare aseparate specialized Community ImpactAssessment technical report or background study.Ideally, in those cases in which one is prepared,the technical report should provide briefsummaries on the pertinent topics related tocommunity impacts. These text portions then canbe directly incorporated into the environmentaldocument. The preparation of a separate technicalreport addressing community impacts, however, isnot always necessary even when a decision toprepare an EIS/EIR has been made. There is one major difference between thetechnical reports prepared for such environmentalareas as cultural resources or natural resources andthose prepared for addressing community issues.Resource agencies such as the State Office ofHistoric Preservation (within the Department ofParks and Recreation) and the CaliforniaDepartment of Fish and Game have regulatoryresponsibilities to review and approve certaintechnical reports prepared by Caltrans for thosespecific areas of concern. Conversely, there is nolike state agency which routinely reviews andapproves community impact assessment reports.On the other hand, FHWA and FTA, as well asinterested citizen groups and decision makers maywell desire to see an accompanying report whichexplores community impacts in some degree ofdetail. A community impacts technical report probablywill be produced as a separate document (one thatis not included directly in the federalenvironmental document). Most likely, it will bein the form of a report that will be made availableto others upon request. If community issues areamong those dominant in the environmentaldocument (ED) however, the technical reportshould be a bound appendix accompanying the


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ED. For further discussion, see "Questions andAnswers About the NEPA Regulations", March16, 1981, The Council on Environmental Quality,questions 25a. and 25b. and FHWA, CommunityImpact Assessment: A Quick Reference forTransportation (September 1996), pp. 36-38. Fordirection on CEQA documents, see the CEQAGuidelines, 15147. Technical reports should beadequately summarized in the environmentaldocument. If during scoping or with meetings involving thepublic and local agencies it appears that a separatetechnical report is not necessary, theenvironmental analyst may move directly topreparing brief text sections on the pertinentsocial, economic, and land use topics, written soas to be inserted directly into the environmentaldocument. The content of these sections shouldbe restricted to that which is appropriate to thesetting and the expected consequences of thetransportation project as revealed through ascoping effort (one that actively involved theaffected community), and the use of commonsense judgment. Be aware, however, whenenvironmental justice issues might be a concern,that is, there is the presence of a minority or low-income community that will be adversely effected,there may exist a need to prepare a technicalreport though it was not identified early (i.e., noresponses to the scoping meeting notices) due tothe absence or ineffectual outreach to minority orlow-income populations. As with all environmental issues, if there is aquestion of whether there is a potential significantimpact due to a project, then preparation of anEnvironmental Assessment/Initial Study (EA/IS)under NEPA/CEQA is needed. If one (or more)significant impacts is identified as a consequenceof studies for the EA, or from public involvementactivities, then the preparation of an EIS isappropriate; if there are no significant impactsthen the EA supports a Finding of No SignificantImpact (FONSI) by the federal agency. TheCaltrans environmental checklist is used to scopethe extent of social and economic discussion (SeeCaltrans’ Environmental Handbook Volume 1 forfurther information.). Those topics related tosocial and economic issues should be addressed in

the responses to the standard checklist questions ifit is uncertain or likely that there will be anadverse effect from the project, or if there is aconsiderable number of people in the communitywho may think so. Otherwise, the EA/IS willserve to document that the community impacts arenot viewed as significant or that actions will betaken that will mitigate the project effects belowthe significance threshold. Under normalcircumstances, a separate Community ImpactAssessment report would not be prepared as abackup to an EA/IS. 1-4 Caltrans Policy Caltrans Corporate and District EnvironmentalProgram Units are to conform to the State andFederal laws and regulations concerningcommunity impact assessment. The practicesdescribed in this volume are to be consideredstandard Caltrans approaches to the analysis ofcommunity and neighborhood issues but are notmandatory or exclusionary. The most recent (1992) Caltrans Policy DirectionStatements are in the form of a series of purpose,mission, vision, and goals statements developedfor the purpose of guiding the Department's futureefforts in delivering quality transportationservices. In part, the purpose and visionemphasize that "Caltrans promotes economicvitality and enhances the quality of life for thepeople of California by providing for mobility ofpeople, goods, services and information, whileprotecting the environment and addressing itssocial needs."


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THIS SPACE FOR NOTES

CHAPTER 2

PREPARATION FORCONDUCTING COMMUNITYIMPACT ASSESSMENTS 2-1 Content of the Chapter This chapter presents the general steps Caltranssuggests its environmental planning staff andconsultants take in preparing to conduct theassessment of transportation-associated impactson communities and neighborhoods within theoverall environmental studies process. 2-2 Project Description The staff environmental planner or consultantshould begin by obtaining a good understandingof the proposed project, including alternatives andall access routes and construction staging areas.This information should be obtained from theProject Manager or leader of the ProjectDevelopment Team, and may be done throughpersonal interviews and reviewing the projectplans, as well as reading drafts of the descriptionportion of the environmental document, ifavailable. Viable alternatives should be clearlystated and given equal treatment in the studies.Because transportation projects may evolverapidly during the preliminary design phase, it isimportant to periodically check back with theProject Manager or their designee for the latestdesign variations. 2-3 Scoping Particularly in the area of community impactassessment, the range and detail of topics (i.e., thescope) to be covered can be highly variable.Therefore, it is important that the scope of theanalysis be defined through an organized process.For an Environmental Impact Statement, asystematic scoping process is required; this willalso be beneficial for defining the work to be done


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for preparing the project's environmentaldocument. The scoping meeting assists indefining issues to be addressed. Here, the variousstakeholders, interest groups and involved localgovernments and state and federal regulatoryagencies should play a major role. Constructionactivities can be very disruptive to a number ofdiverse segments of society. Efforts to involveneighborhoods, businesses and non-profitorganizations, and specific groups of peopleshould be considered at every stage of theplanning process, but perhaps no more so thanearly in the process. And, because every projectis somewhat different, each will have differentimplications for the affected interests. As a first step, a list of potential impacts should bedeveloped as an aid to focus the impact analysis.The principle tenet is for the environmentaldocument to focus on the important topics.Specific community, agency, and interest groupconcerns should be identified as part of this list ofpotential impacts. For example, consider suchquestions as these: • Is the community concerned about population

growth? • Does the project remove low cost

("affordable") housing? • Will there be a segmentation, or separation, of

some area(s) from the existing community? • Will the project involve a bypass of a

downtown commercial retail core? • What are the concerns of the people most

likely to be affected by the proposed project? 2-3.1 Sources for Scoping The probable issues can be identified in severalways in addition to formal scoping meeting(s): • Use the environmental checklist, as a start.

• Discuss the proposed project with localgovernment units, including public works andplanning department staff.

• Make initial contacts with community

members and key people known to beinterested in or directly affected by theproposal.

• Review responses to the Notice of

Preparation, if available. • Read local newspapers and neighborhood newsletters. Consider subscribing to a clipping service for large-scale projects. 2-3.2 Role of Public Involvement Public involvement, required under NEPA,ISTEA, and ADA, is not intended to be a separatetask in the community impact assessment processbut rather fully integrated within all stages ofplanning and project development. Public involvement is integral to the communityimpact assessment process. The public should beactively involved in the development of publicinvolvement procedures themselves in ways thatextend beyond commenting on environmentaldrafts. The public can provide importantinformation for the project’s purpose-and-needstatement and identification of alternatives. It canalso be a valuable tool as it can reveal possibleconflict and controversy associated with aparticular transportation project. Controversy canhelp shed light on community values, resolvesocial, economic, and environmental problemsand may be a reflection of a community with ahigh degree of cohesion. The intensity ofcontroversy may be an indicator of potentialcommunity disruption. Caltrans, depending on the magnitude and extentof controversy associated with a major project,may have already initiated a public involvementprogram. Environmental planners should workwith the staff person responsible for publicinvolvement on their project so that communityinput is timely, coordinated and fed back into theenvironmental studies and community impact


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analysis. Such instances will also offeropportunities for the public to identify avoidance,minimization, mitigation, and enhancementopportunities. Public hearings and open meetings are a primesource of information on issues of concern tomany in the community, but planners shouldunderstand that many people, including peoplewho are traditionally under-served bytransportation, namely minorities and low-income,may not be interested in attending such meetingsand may be skeptical about whether they can trulyinfluence the outcome of a transportationdecision. Capturing the attention of a larger, morerepresentative group requires careful planning andoften considerable effort. Yet, the commitment byFHWA, Caltrans and the Metropolitan PlanningOrganizations, to treat the community as a wholeas an important partner in the transportationbusiness requires feedback from the community.Therefore, it is incumbent upon transportationagencies at all levels to employ a variety oftechniques for maximum effectiveness,emphasizing early and continuous involvement.An organized and well-planned outreach programis essential for successful community input (alsosee section 2-7.2 and Appendix G of this volume).See Section 3-70 of the Caltrans ProjectDevelopment Procedures Manual (1995) foradditional information on the communityinvolvement process. What are some examples of how the public hasinfluenced a transportation decision? Amongproject changes as a result of feedback from thepublic ranges from alignment choices andchanges in the width of a transportation facility, tomodifications to planned landscaping andstructure design, as well as providing access forchildren’s school routes and schedulingconstruction work for off-peak shopping seasons,among many others. Chapter 4 of this volumecontains other examples. The collection of data on the community for theenvironmental document, the ongoing publicinvolvement process, and the follow-up analysisby the planner should have anticipated most, if notall, of the pertinent community issues before the

draft environmental document was completed andcirculated for review and comment. 2-3.3 Level of Detail in the Document The subjects covered and the level of detail foreach topic should be defined by the scopingprocess. Asking the following questions also willhelp determine the level of detail needed: • How important are the community impacts? • How does the type of project affect the level

of detail (e.g., constructing a highway on newalignment in contrast to placing HighOccupancy Vehicle lanes within an existingfreeway median)?

• Who is likely to be interested in reviewing the

technical report and what will they be lookingfor in terms of the topics and the amount ofinformation?

The FHWA Technical Advisory (TechnicalAdvisory T 6640.8A, October 30, 1987,"Guidance for Preparing and ProcessingEnvironmental and Section 4(f) Documents,"which is included as an Appendix in the CaltransEnvironmental Handbook, Vol. 1 advises: "Dataanalyses should be commensurate with theimportance of the impact". 2-4 Delineate the Study Area A basic first step in community impact analysis isto delineate the affected socioeconomicenvironment for all the proposed projectalternatives. Note that in preparing anenvironmental document, area boundaries arelikely to be drawn differently for several types ofstudies: community impact assessments, historicand archaeological resources, hazardous wastematerials, noise, and so forth. Delineation of the affected environment canfacilitate identification and analysis of communityimpacts. This can be done by drawing a boundaryline on an aerial photograph or a detailed map


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which depicts the land, buildings, and otherfeatures that may be subject to project effects. Arigorous neighborhood boundary determination isnot really necessary at this stage. The aerial photoor map should be considered a working documentwith the boundary lines subject to revision asmore is learned about the area. Delineation of theaffected social and economic environment willgenerally encompass community facilities, schooldistricts, census tracts, and community planningareas. The boundary should be drawn to include: Buildings: Residences, businesses, schools,government offices, and public service buildingsthat would be made more or less accessible, orotherwise affected by the proposed project.Include structures that may be subject to removalor relocation. Coordinate with Right of Wayconcerning information available from the DraftRelocation Impact Statement or Report (DRIS orDRIR) prepared for the proposed project - moreabout this in Appendix E. The District ProjectDevelopment unit can also often provideplanometric drawings with building shapesdepicted. Transportation Facilities: Streets, railroad lines,bikeways, and parking facilities that may beclosed or otherwise affected by the proposal.Consider pedestrian overcrossings and sidewalksalso. Project Development staff can frequentlyprovide maps with this information. Land: Developable land areas that would becomemore or less accessible upon completion of theproposed project. Neighborhood and Community Features:Communities, neighborhoods, and businesscenters that may be impacted. Local planningagencies may have maps or plans delineatingneighborhoods or communities. When conductinga community impact assessment, it is always agood idea to contact the local agency to determinewhether there is a planner with a specialgeographical expertise for the area.

Consideration also should be given tounderstanding indirect project effects. Forexample, a project might impact a nearbycommercial area whose trade area suffers overtime because of population losses due to a largenumber of residential displacements, but theproject, per se, does not directly impact thecommercial properties. Comparing Region & Study Area "Setting" sections for the social and economicenvironment often include information for boththe study area and the larger region in which theaction is proposed. Comparing study area data toregional data often helps the reader gainperspective by identifying similarities,differences, and relationships between the twoareas. Choosing the appropriate study and regional areaswill depend on the type of project being analyzed,and where it is located. As a general rule, theregion is defined as the jurisdiction that is largerthan, and includes, the study area. To illustrate, ifthe project is exclusively located within theconfines of an incorporated city, the city would bethe study area and the county would represent theregional area (although local circumstances maydictate some deviations from this standardpractice). The two areas also can be segregatedby designating an area of primary impact and anarea of secondary or indirect impact. After anarea has been designated for study, an initialwindshield survey of the area can be made to gaina preliminary impression of its character andneeds, likely impacts and potentially affectedinterests. Sometimes exceptional regionalqualities and focal points outside the strict studyarea may be relevant for discussions of growth,quality-of-life issues, and so forth. 2-5 Outline the Technical Report Preparing an outline of the technical report orspecific environmental document sections willhelp to ensure thoroughness, make the writingprocess more efficient, and identify data needs


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prior to the actual or formal analysis. Asdiscussed in Chapter 1, a decision on whether ornot it is necessary to prepare a separatebackground community impact assessment report(versus going to work writing sections directly forinclusion in the environmental document), shouldbe one of the results of the public involvementand scoping process if it had not been previouslydetermined. Topics analyzed in the technical backgroundreport or appropriate Environmental Documentsections should be determined on the basis ofpreviously-listed expected impacts and issues.Extraneous topics should not be discussed in thesection (or at least minimized) if irrelevant to theproject. For example, topics such as ethniccomposition or the age of the population need notbe discussed at length if the project is not likely tohave an impact on these populationcharacteristics, and Caltrans, the public or localdecision makers have not identified such topics asproject issues. The organization of the environmental document(ED), including the social, economic, and land usesections, is governed by whether or not thedocument is solely a CEQA or a combinedNEPA/CEQA document. Traditionally, virtuallyall Caltrans EDs followed the NEPA formatbecause federal funding or federal permits wereinvolved. This is still largely the case. However,as the local county tax measures and otheralternative transportation funding programs haveexpanded in recent years, CEQA-only documentsare more commonly being prepared. Thefollowing general outlines will help with thepreparation of an appropriate outline for aparticular study. Detailed lists of subjects appearlater. The standard Caltrans environmental document isprepared under the auspices of NEPA (usually ajoint NEPA/CEQA document) and thereforereflects FHWA guidelines (the TechnicalAdvisory mentioned earlier). Under NEPA, thebasic EIS organization is: Affected Environment

Environmental Consequences (and Mitigation) Under CEQA, the basic EIR organization is: Setting Impacts (Proposed) Mitigation When a joint or combined NEPA/CEQAdocument is prepared, the FHWA sequence takesprecedence. These basic formats are discussedfurther below. 2-6 Topic Sequence The order of topics in an FHWA/Caltrans EISmay follow any of three sequences: (1) thatoutlined in the FHWA Technical Advisory, (2) theCaltrans environmental checklist, or (3) anysequence that may be more appropriate to theparticular project (i.e., reflecting scoping andearly decisions on what the significant topics maybe). In this volume, the order of topics suggested forthe Community Impacts Assessment Study or forthe Environmental Consequences section of theenvironmental document follows the FHWATechnical Advisory sequence, although this is notmandatory. The order in the Technical Advisoryis: 1. Land Use Impacts 2. Farmland Impacts 3. Social Impacts 4. Relocation Impacts 5. Economic Impacts 6. Joint Development


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Keep in mind the general principle that theorganization of the "Affected Environment"segment of the EIS should parallel (or "track")that of the "Environmental Consequences" (thatis, the sequence of topics should be same in bothparts of the EIS). The topic sequence in an EnvironmentalAssessment generally will follow the order of theCaltrans checklist, and may be modified tocombine topics that are related logically. The growth inducement discussion will often beinserted in a different location in a CEQAdocument than in a NEPA document. Growthinducement, as stated in the FHWA TechnicalAdvisory, goes in the Land Use subsection withinan EIS. Under CEQA, however, growthinducement is usually a distinct subsectionfollowing at the end of the EIR’s “Impacts”section. For logistical reasons, it may bepreferable to include the growth analysis in theLand Use section, particularly if there is extensivedata on planned land use. 2-6.1 Example Study Outline There is no single way to prepare a communityimpact assessment. However, an example of atable of contents for a major transportation projectprepared for Caltrans is outlined on the next pagefor purposes of illustration. The generic studyoutline chosen for the example shows a full rangeof issues; the report prepared by staff orconsultants should reflect the nature of thespecific project. Sample Community Impact Assessment Report INTRODUCTION Executive Summary Background Project Summary Description Study Area Definition SETTING 1. Land Use a) Existing Land Use Patterns b) Development Trends c) Adopted Goals and Policies d) Farmland

2. Population and Housing a) Regional Characteristics b) Affected Urban Neighborhoods c) Attitudes Toward the Project 3. Economic Conditions a) Regional Economy b) Employment and Income c) Study Area Business Activity d) Fiscal Conditions 4. Community Facilities and Services a) Schools b) Police and Fire Protection c) Access and Parking IMPACTS Neighborhood Impacts Household Impacts Title VI and Environmental Justice Regional Economic Impacts Impacts on Local Businesses Property Value Effects Community Facilities and Services Impacts Land Use Impacts Growth Inducement Cumulative Impacts Secondary Impacts Conclusions MITIGATION Considered draft until approved by EnvironmentalOffice Chief. Appendices: AD 1006 Form Caltrans Relocation Assistance References Used and Contacts List of Preparers 2-7 Information Sources andMethods A variety of information sources and techniquesfor analyzing community impacts are available forthe practitioner. However, often the lack ofcurrent demographic information and rigorousquantitative methodologies for determining"significance" complicates the area of communityimpact assessment. Growth forecast model dataand census data regarding housing and populationcharacteristics are the major area withincommunity impact analysis where usefulquantitative techniques are available.


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2-7.1 Data Collection The collection of data can be the most time-consuming part of studying community impacts.After public involvement activities havecommenced, and feedback provided by interestedparties, the analyst should review the outline ofthe study, noting the data needs. As much of thedata as possible should be collected beforebeginning the formal analysis. The data sourcesnoted on the following outlines should help.Another useful source is to check onenvironmental documents prepared in the not-too-distant past for other projects (including, but notlimited to transportation-oriented) in the generalstudy area. These are usually available at thelarger local public libraries and nearby universitylibraries, as well as city and county planningdepartments. The community itself, as we discussbelow, should be viewed as a valuable source ofdata. Additional information on data sources canbe found in Appendix B. 2-7.2 Environmental Justice Do people count? Yes. It is important todetermine if minority, low income, disadvantaged,and low mobility groups in the affected areawould be disproportionately impacted bytransportation decisions and practices and to findways to mitigate if such effects could nototherwise be avoided. In recent years the term“environmental justice” has risen to prominence,and this section briefly discusses it. Moreover,many of the aspects are aligned with the need forcommunity participation in all phases ofenvironmental planning; while this is not a newrequirement, public agencies at all levels ofgovernment have not always actively sought outthe opinions of all peoples affected by their plansand actions. Executive Order 12898, “Federal Actions toAddress Environmental Justice in MinorityPopulations and Low-Income Populations,”provides that “each federal agency makeachieving environmental justice part of its mission

by identifying and addressing, as appropriate,disproportionately high and adverse human healthand environmental effects of its programs,policies, and activities on minority populationsand low-income populations.” The ExecutiveOrder makes clear that its provisions apply fullyto American Indian populations and Indian tribes. Environmental justice refers to the fair treatmentof people of all races, cultures, and income withrespect to the development, implementation andenforcement of environmental laws, regulationsand policies. The Council on Environmental Quality’s DraftGuidance for Environmental Justice (May 24,1996) indicates that environmental justiceconcerns may arise from impacts on the natural orphysical environment, such as human health orecological impacts on minority and low-incomepopulations, or from related social or economicimpacts. To ensure that environmental justice is promoted,and see that programs and projects areimplemented in a socially equitable fashion, theplanner analyzing socioeconomic issues shouldidentify ethnic and racial minority and low-income population groups in the affectedcommunity and make contacts with the leadershipin an informational outreach program. It may beuseful to contact such groups through socialwelfare organizations, local service centers, andreligious institutions. Such contacts are to beintegrated with the community participationprogram for the project. Concerns of such “grassroots” groups should be sought through publichearings and other meetings, and carefullydocumented. These efforts at public outreachshould not be seen as a one-time solicitation ofproject support. Where there are non-Englishspeaking people, the use of interpreters may benecessary to ensure an effective program. These various community groups must beinvolved early during the project developmentprocess, ideally when transportation plans arebeing developed at the regional level, well beforethe official public hearings are held for specificprojects as required by environmental laws. A


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wide range of community participation methodshave been developed. ISTEA’s planningregulations specify that states and metropolitanplanning organizations must demonstratecompliance with Title VI of the Civil Rights Act.Caltrans and its transportation partners need tomake certain that Title VI and environmentaljustice concerns are included in any communityparticipation program, including the developmentof appropriate project avoidance and mitigationoptions. Early identification that there is no publiccontroversy over project implementation on TitleVI grounds is essential to eventual projectsuccess. Executive Order 12898 does not changethe prevailing legal thresholds and statutoryinterpretations under NEPA and existing case law.For example, an environmental impact that is not“significant” within the meaning of NEPA wouldnot be rendered significant simply because aninsignificant impact had a disproportionate andadverse effect on a low-income or minoritypopulation (CEQ Draft Guidance). Neither Executive Order 12898, the CEQ DraftGuidance (1996), the U. S. DOT’s FinalEnvironmental Justice Strategy (60 Fed. Reg.33896 (1995) or the Final DOT Order (62 Fed.Reg. 18377 (1997), prescribe any specific formatfor examining environmental justice, such asdesignating a specific chapter or section in an EISor ED on environmental justice issues. Theanalysis should be integrated in a manner that is“clear, concise, and comprehensible” within thegeneral format suggested by 40 CFR 1502.10. FHWA suggests that discussions on adverseenvironmental justice issues, when associatedwith a project, should usually be folded into theseparate discussions in the ED on air qualityimpacts, noise impacts, exposure to hazardousmaterials resulting from the project, visualimpacts, and impacts on cultural resources, asappropriate. In addition, the draft ED shoulddiscuss the effectiveness of proposed mitigationfor each affected minority and low-incomepopulation. According to the Final DOT Order,mitigation and enhancement measures and alloffsetting benefits to the affected minority and

low income population, as well as the design andcomparative impacts, should be taken into accountin making determinations regardingdisproportionately high and adverse effects. It isstrongly recommended that such issues bediscussed as they arise with the CaltransHeadquarters Environmental Management Office,and FHWA Division or Region prior to makingany commitment in a draft ED, however. Here is suggested standard language to use in theNEPA environmental document in the sectionunder social impacts: This project has been developed in accordancewith the Civil Rights Act of 1964, as amended,and Executive Order 12898, “Federal Actionsto Address Environmental Justice in MinorityPopulations and Low-Income Populations.”The Executive Order requires each Federalagency (or its designee) to take the appropriateand necessary steps to identify and address‘disproportionately high and adverse’ effects offederal projects on minority and low-incomepopulations. [If there are to be displacements,the Uniform Relocation Assistance and RealProperty Acquisition Policies Act of 1970, asamended, may be added as well.] In addition, it is the Caltrans DistrictEnvironmental Program’s responsibility to includea copy of the Director’s Title VI Policy Statementin the EIS. See the Caltrans EnvironmentalHandbook Volume 1 for more details. It is on theInternet at this address:http:/trenv.dot.ca.gov/environet/index.htm 2-7.3 Census Bureau Data The U. S. Census Bureau within the Departmentof Commerce is the basic source for demographicdata. Census data provides statistics onpopulation, housing, race, age, familycomposition, marital status, nativity, parentage,country of origin, school enrollment, years ofschool completed, birth rates, place of work,means of transportation, employment status,occupation, industry, class of worker and income.


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The urbanized parts of California are divided intothree types of reporting areas: MetropolitanStatistical Area (MSA), Primary MetropolitanStatistical Area (PMSA), and ConsolidatedMetropolitan Statistical Area (CMSA). MSAs, inturn, are further subdivided into tracts composedof approximately 4,000 people. Censusinformation is further broken down into blocks,particularly for some urbanized parts of the state.Rural areas are designated as census "places," butthe information for places is not as site specific oras comprehensive. Census data are helpful in describing thedemographic character of the AffectedEnvironment or Setting section of theenvironmental document, and an especially usefultool when it relates to potentially significantimpacts. For example, data indicating that withinthe vicinity of a proposed transportation projectthere is a high proportion of minority, disabled,low mobility, low income or elderly residents isimportant to document. Studies have shown thatsuch population groups are typically moresensitive than other groups to relocation impacts. The usefulness of Census Population and Housingdata for socioeconomic analysis does have somelimitations because: 1) it is collected only onceevery ten years, 2) it is not usually available untilat least two years after the census is taken, and, 3)it is not updated until the new census is taken.Since California is a dynamic state, census datacan, in some instances, become outdated within afew years after it is collected, depending on localcircumstances and the amount of changeoccurring there. Local planning agencies mayhave more current demographic data based uponcommunity surveys or projections of censusinformation, but this is not always standardpractice. The census information can be valuablenonetheless for indicating communitycharacteristics because existing low income andminority areas tend to persist over the years evenif specific resident individuals, families, andhouseholds shift or relocate. Much census data isnow available via the Internet. Please refer toAppendix B on Data Sources.

2-7.4 Working With Right of Way Staff Caltrans Right of Way should be involved in allprojects where right of way acquisition will berequired. And, for those projects in whichrelocation is a potential issue, the staff can be amajor source for information of a social andeconomic nature. As the relocation processmoves through a succession of stages, DistrictRight of Way prepares a series of reports.Environmental planners performing communityimpact assessments should coordinate closely withthe District Right of Way staff in order to avoidduplication of effort as well as better integrateinformation. The information from Right ofWay's draft relocation studies should be used inpreparing environmental documents, but theinformation may require some reworking or beput in a different format in order to be optimallyused in environmental documents. However, donot change any of their report findings.Environmental staff should allow Right of Waystaff to summarize their own findings for the EDor to allow them to review the summary before itbecomes part of the final ED. Several years ago, an internal Caltrans RelocationStudies Task Force was established. The informalgroup established guidelines for delineatingresearch and data gathering responsibilities onhousing, business, and real-estate related issuesbetween the Right of Way and the Environmentalunits. For instance, it was decided by the ad-hocTask Force that such areas as parking impactcounts and the resulting proposed mitigation (ifany), estimating the type and number of housingand business impacts, to name a few, are areas ofdata gathering best conducted by Caltrans Rightof Way staff, or their consultants. Alternatively, research and data gathering for suchquestions as neighborhood impacts, communitycohesion, impacts of residential property andbusiness sales tax losses on the local tax base, andidentifying and analyzing impacts to low income,transit-dependent, minority, elderly, and disabledpeople should usually be the responsibility of theEnvironmental units. No mandatory Caltransdepartment-wide allocation of responsibilitiesresulted from the Relocation Studies Task Force,


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however. The District Right of Way andEnvironmental Programs should communicatewith one another to determine which unit will beresponsible for the development of whichinformation. See Appendix E for more details. 2-7.5 Other Useful Sources The California Department of Finance'sDemographic Research Unit periodically preparesa number of different reports on populationprojections, and other demographic data. SeeAppendix B for their Internet address. Affiliated with the Demographic Research Unitare State Census Data Center Network regionaloffices, each which have their own web pages andsupply their own census and economic data.Appendix B has a list of some of the morecommon sites. Local agencies can be anothersource of relatively current demographicinformation. Local and regional planningagencies, local redevelopment and local publicassistance agencies compile useful data, such asstatistics on low mobility residents for meetingrequirements to obtain grants and to administerfederal aid programs. Local chambers ofcommerce may also have collected suchinformation. Local agencies can be another source of relativelycurrent demographic information. Local andregional planning agencies, local redevelopmentand local public assistance agencies compileuseful data, such as statistics on low mobilityresidents for meeting requirements to obtaingrants and to administer federal aid programs.Local chambers of commerce may also havecollected such information. Local and regional agencies should also be reliedupon for data on projected population growth. Itis important to consult with these agencies and usetheir statistics when analyzing local and regionalgrowth impacts. Problems may arise when thelocal government's growth projections differ fromthose of the metropolitan planning organization.In such cases, the choice should be based on the

most current information, the superiormethodology, and the best match of available datato the project impact area. Caltrans DistrictPlanning units normally are tied into the regionalforecasting efforts and may have the informationneeded. The source used should be clearlyindicated. Larger banking institutions, such as Wells Fargoand Bank of America have economic researchdepartments and publish data booklets that havedemographic and economic projections andanalysis for many regions of California. Realestate and development newsletters (e.g., LosAngeles Business Journal) covering the majormetropolitan areas are also published. Schoolswith business programs, such as UC-Berkeley andUCLA, also publish annual economic forecasts.The Palo Alto-based Center for Continuing Studyof the California Economy also publishes manyrelevant forecasts for California regions. 2-7.6 Methods The methodologies presented in this volume ofthe Environmental Handbook represent basicapproaches to evaluating community impacts.Any number of methodologies may be availablefor evaluating a specific impact. A particularmethod may be more applicable to a given set ofconditions, ranging from simple methods thatproduce an order-of-magnitude estimate to acomplex method yielding detailed, preciseestimates. The analyst preparing the communityimpact assessment must choose methodologiesappropriate for the level of detail and accuracydetermined appropriate to the study. Discussionswith the community impact specialist in CaltransHeadquarters Environmental Program or thewithin the FHWA Office of Environment andPlanning may also be fruitful if the planner needsfurther guidance. The selection of methodologies should take intoaccount the following criteria: • Relevancy • Accuracy and completeness


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• Acceptability and credibility • Flexibility • Data Requirements • Cost While the methods presented herein are allconsidered satisfactory for Caltrans purposes, feware noted as being "preferred" or "selected" or"recommended" as compared to others. Untilthere is more experience and feedback from usersof this volume of the Environmental Handbook,very few methods will be considered the Caltransstandard. In some of the metropolitan areas of the State,rather sophisticated modeling efforts producepopulation, employment, and land use forecasts,and may be tied into traffic forecasting efforts inthe region. When using such forecasts, theCaltrans environmental staff needs to approachthem judiciously and to learn enough about themto resolve any concerns described below. As social sciences literature consistently pointsout, by its nature community impact analysisrelies more on informed but subjective judgmentand experience than on rigid quantitativeanalytical methods. Indeed, quantitative methodsor standards for precisely determiningsignificance in the socioeconomic area are largelyabsent. Moreover, some models may beextremely complicated for non-specialists tounderstand and, as a result, are not always as wellreceived by the public as planners might hope. Conclusions derived from sophisticatedmethodologies are not necessarily automaticallysupported because they must usually be balancedwith other factors, such as interest groupinfluence, or what political decision makers feel isin the best interests of their constituency. This isnot to say, however, that quantitative methodshave no place in community impact assessmentstudies (for example, they are used heavily inforecasting growth).

In areas where the issues are complex, themethodology and assumptions used to prepare theimpact analysis should be discussed with theDistrict Environmental Office Chief and thegeneral environmental document writer, if this is adifferent analyst than the one preparing thecommunity impact assessment. All of thesepeople should be involved with the choice ofapproaches as there are many ways to assesscommunity impacts, some of which are presentedas options in the following sections. FHWA’s Office of Environment and Planning hasrequested that the statistics (as well as otherassumptions about the community) used in thedocument be subjected to what is termed"validation." In other words, the informationshould be checked with people at the local levelfor its reasonableness if there is any possibilitythat it will not be readily accepted. This involvesmore than just “circulating” the draft document:the analyst needs to go directly to informedcommunity sources and discuss the data andconclusions with them, and, if necessary, fieldverify the data. This feedback loop is especiallyimportant with the increased emphasis on socialequity concerns within our transportation planningprocesses. 2-8 Analysis and Presentation As is true of all technical reports, the writing of acommunity impact assessment study should beconcise and carefully organized. Tables andcharts should be prepared when needed toenhance the presentation and highlightinformation. Many readers of environmentaldocuments are visually oriented while others willrely more heavily upon the narrative text. Writtentext should accompany each table or chart to assistthe reader in understanding the table or graphic.The original source for data for the compilation ofcharts and tables should be clearly identified. 2-9 Significance While CEQA requires that each "significant[adverse] impact" be identified in an EIR, NEPA


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does not. References to "significant impact" maybe made in the environmental document to fulfillthis CEQA requirement, pursuant to Californialaw. Under NEPA, no such determination need bemade for each environmental effect. The fact thata Draft EIS is required to be prepared representsFHWA's assessment that overall the project has a"significant impact" on the environment. In an effort to define more specifically"significant impacts" (as used in CEQAGuidelines- Appendix G), the concept of"thresholds of significance" has evolved. Suchthresholds can be devised in dealing with airquality, noise, water quality, and so forth whendealing with health-based standards.Unfortunately, such standards do not yet exist inthe social sciences (i.e., community analysis). As previously stated, community impactassessment is encumbered by a lack of rigorousquantitative analytical methodologies. There arefew clear standards, formulas, or criteria foridentifying potential impacts or for measuringtheir significance. The significance of a potentialimpact must be determined through carefuljudgment on a case by case basis. Much of theinformation on communities and neighborhoods isconsidered "soft data," involving such areas aspeople's perceptions, feelings, and attitudes. Softdata typically makes the acceptance for ananalysis more difficult. The credibility of socialand economic analysis can be improved, however,through clear and concise explanations as tomethodology, data sources, and objectives. Somepredictive tools do exist, but most, created in the1970s, are now seldom used because of their highcost, their questionable validity, and the frequentcontroversy that surrounds the conclusions thatare drawn from such methodologies. The environmental regulations talk about"severity" and "context," providing a usefulconcept for evaluating significance. "Context"implies that the project impacts (or "severity")should be looked at within the framework of whatis in the locality of the project. Obviously, not all community impacts associatedwith a proposed project have the same priority for

depth of analysis. The more important impactshould receive a higher priority for analysis byCaltrans staff environmental planners orconsultants performing such studies undercontract to Caltrans or its local agency partners.For instance, a project-related impact thatseriously affects large segments of the populationfor a long time period is by its nature always moreimportant than one that is not serious, affects fewpeople, and lasts for only a short duration. Withrespect to social and economic or communityimpact assessment, it would be appropriate toexpend more effort and budget more staff orcontract time to analyze the probable impacts inthe case of the former rather than the latter. Also, such thresholds of impacts that are clearlyestablished by legal mandates, or establishedsocial norms, usually at the local or regional level,and which are often tied to social or economicconcerns, should also receive a higher priority foranalysis. Thresholds of impacts for projects thatare highly controversial, or which are sources ofsubstantial conflict between various individuals,advocacy groups, or organizations, and which donot warrant higher priority for other reasons,should also receive a serious level of effort ofanalysis. A substantial community controversycould trigger a judgment that the transportationproject has a significant impact. 2-9.1 Worksheet Approach Determining the significance of impacts isultimately a matter of judgment, but displayingthe available information related to issues in thestandard format of a worksheet is a way tosystematize the analysis. An environmental issueprobably is significant for purposes of CEQA ifthere is a high probability that one or moreimpacts are the same as those identified in theshaded box on the following page, excerpted fromCEQA Guidelines’ Appendix G. A list of the issues, such as that developed as aresult of the scoping process, can be annotated ina tabular format (worksheet) with judgments onthresholds (of the kind suggested above) andqualitative comments about why exceeding a


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particular threshold is or is not important(significant). Other criteria for evaluating animpact include uniqueness, controversy, legalstandards, benefits and detriments, uncertaintyand risk, setting precedent, secondary andcumulative effects, and public health and safety. 2-9.2 CEQA GUIDELINES APPENDIX G Appendix G to the CEQA Guidelines serves afunction similar to that served by CaliforniaPublic Resources Code Section 15065. While thelatter describes kinds of impacts that are alwayssignificant, the former describes numerous kindsof impacts that the California Resources Agencyhas determined are "normally" consideredsignificant. The shaded box below provides a listthose relevant to community impact assessments.

SIGNIFICANT EFFECTS UNDER CEQA Appendix G to the CEQA Guidelines describesnumerous kinds of impacts that are normallyconsidered significant. Culled from the list asbeing considered socioeconomic in nature are anyeffects that would: • Disrupt or adversely affect a property of

cultural significance to a community or ethnicor social group;

• Induce substantial growth or concentration of

population; • Cause an increase in traffic which is

substantial in relation to the existing trafficload and capacity of the street system;

• Displace a large number of people; • Disrupt or divide the physical arrangement of

an established community; • Conflict with established recreational,

educational, religious or scientific uses of thearea;

• Convert prime agricultural land to non-

agricultural use or impair the agriculturalproductivity of prime agricultural land.

• Interfere with emergency response plans or

emergency evacuation plans.


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CHAPTER 3

DESCRIBING THE

AFFECTED ENVIRONMENT 3-1 Content of the Chapter This chapter provides more detailed informationon how the Caltrans planner or consultant shouldprepare those sections of the EnvironmentalDocument which deal with socioeconomic topics. The second major step in community impactassessment, that is, after preparing for the analysis(the focus of Chapter 2) is to describe the affectedenvironment in terms of land use, planning, social,economic, and public services and facilitiescharacteristics. Practitioners sometimes refer tothis as developing the Community Profile. Thecharacteristics of a larger jurisdiction (i.e., city orcounty) also should be described for comparativepurposes. The information from this section ofthe community impact assessment study should beused, as appropriate, in the "AffectedEnvironment" portion of the EIS. To the extent feasible, it is desirable to put thetopics in the same order as they appear in the"Environmental Consequences" section. For the"Affected Environment" portion of EnvironmentalAssessment and Initial Study (EA/IS), a similarstrategy of organization is suggested. Writing thissection involves an iterative process becausedescribing the social and economic environmentassociated with the proposed project can be bestprepared only when some basic level ofinvestigation has already been conducted. 3-2 Land Use Characteristics 3-2.1 Rural/Urban Land The acreage of rural and urban land in both theaffected area and the associated city, county, orregion should be determined. The purpose is toconvey a general understanding of the amount of


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developed, undeveloped, and underdevelopedland as it may relate to project associated growthimpacts. This information is usually availablefrom the land use and open space elements of thelocal general plan. The plan should bespecifically cited because the actual acreage mayhave changed subsequent to publication. 3-2.2 Major Land Uses Describe the current major land uses in both theaffected area and any associated city, county, orregion. This information is used to analyze anypotential land use changes or land use conflictsassociated with the proposed project. Thisinformation is also usually available from the landuse and open space elements of the local generalor community plan. If not, or if it is out-of-date,the information may be obtained by reviewingaerial photographs or up-dated through field visitswith assistance from an engineer working on theproject, or a District Right-of-Way staff member.Exhibits for both existing and planned land useshould be used if the area is not fully built out.These exhibits should encompass the study area ata minimum and may include a larger area such asa community plan or group of planning areas.Whenever possible, the land uses should besimplified to cover the standard planning andzoning classifications (SFR, MFR, IND, COMM,INST, and PARK/REC). 3-2.3 Developable Land All developable land areas that would be mademore accessible by the proposal should beidentified and described. The way in which theland is zoned should also be described. Thisinformation is used to analyze any growthinducement potential of the proposal. Suchinformation can be obtained from aerial photosand maps available from the local planningoffices. 3-2.4 Development Trends

Development trends in the affected area and theassociated city, county, or region should bedescribed. This information is used to assess thegrowth potential of the affected area. The housingelement of the local general plan should containinformation on population and employmenttrends, an inventory of land suitable for residentialdevelopment, and community housingdevelopment goals. The land use element shouldcontain information on the proposed generaldistribution and extent of uses of land for housing,business, industry, and other purposes. The localplanning or community development departmentstaff should be contacted for copies of thesegeneral plan elements and other informationregarding the prospects of the approval of suchdevelopment projects, to learn where they are inthe “pipeline,” and so forth. Unfortunately, in many local jurisdictions, due tofunding constraints, the general plans have notbeen updated for many years and planneddevelopments are not built. Other sources ofinformation may be used to help supplement thegeneral plans including data from local real estateboards and large-scale residential and commercialdevelopers. District Right of Way may haveinformation, also. For up-to-date information,most local jurisdictions possess records of thenumber and types of building permits issued.Too, the local council of governments mayperiodically publish reports containingdiscussions of development trends in the region. Land Use Data Sources In addition to general plans and land use maps,sources of land use information include localspecial area plans, environmental documents forother types of projects in the area, masterenvironmental assessments, the local planningdepartment staff themselves, the area chamber ofcommerce, and newspaper articles from the local


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newspaper. A good local public library may havemany of these references. 3-2.5 Jobs/Housing Balance In the past decade, numerous California city andcounty jurisdictions have adopted policies thatarticulate the need for a balance betweenemployment generating and residential land uses. An analysis of the interrelationship of commutingpatterns with the location of jobs and housing willcontribute to addressing concerns about trafficcongestion and air quality. Related information toinclude are housing price patterns, vacancy rates,job types, income levels, and existing commutingpatterns. Lengthening commute times and increasingcongestion brought the concept of a "jobs/housingbalance" to the forefront of some communities inthe latter 1980s. In simple terms, the idea was tohave people live close to where they work. Inthose locales where “jobs/housing” ordinanceswere enacted, there is a premise that commuting,the overall number of vehicle trips, and theresultant vehicle miles traveled can be reducedwhen sufficient jobs are available locally tobalance the employment demands of thecommunity and when commercial services areconvenient to residential areas. Santa Barbara andVentura Counties and the Southern CaliforniaAssociation of Governments, for example, in thesouthern areas of the state, and Alpine and SantaCruz Counties in the northern portion of the statehave embraced job/housing balance as a weaponin the fight to promote better air quality. Achieving a jobs/housing balance requirescontrolling the location, intensity, and nature ofjobs and housing in order to encourage areduction in vehicle trips and miles traveled and acorresponding increase in the use of mass transitand alternative transportation methods such asbicycles, carpools, and walking. Planning for ajobs/housing balance requires in-depth analyses ofemployment potential (existing and projected),housing demand (by income group and correctedfor regional housing opportunities), new housing

production, and the relationship betweenemployment opportunities and housingavailability. Other factors such as housing costand transportation systems must also be evaluated. Jobs/housing strategies include locating higherdensity housing near employment centers,promoting infill development, actively recruitingbusinesses that will tap into the local workforce,and providing affordable housing opportunitieswithin the community. When pursued,jobs/housing provisions most directly affect theland use, circulation, and housing aspects of thelocal decision-making process. Some academic-based transportation policyresearchers maintain that sub-regional imbalancescaused by rapid growth tend to disappear overtime and that commuting trips seem onlytenuously related to such imbalances when theyoccur. Furthermore, the type of job (and resultantwage level) has often been overlooked. As with understanding and analyzing otheraspects of community planning and futuredevelopment, environmental documents preparedfor or by Caltrans should discuss the above localplanning factors in regard to the jobs-housingbalance when this subject appears to be importantto the local jurisdiction. For instance, plannedfreeways on new alignment are likely to involvethis issue. When included in an environmental document, thediscussion should go beyond simplisticassumptions that jobs-housing balance is aproblem, and that it can be solved by cookbookcongestion mitigation and air qualityimprovements, transportation systemmanagement, or transportation control measuresprograms. Jobs/Housing Balance Data Sources Commuting characteristics: 1. U.S. Census of Population and Housing 2. Caltrans District Traffic Studies Unit


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3. Regional council of government's traffic model 4. Local General Plan 3-2.6 Planning Planning and regulatory powers exist at both thestate and local government level but it is moreoften at the local government level that mostdecisions concerning land use occur. InCalifornia, the power to regulate land uses isdelegated to local governments. It is the county orcity general plan that provides a focus and a guidefor local land use decisions. Local land use plansconsist of goals and policies which aim to directthe physical development of communities anddepend on regulatory mechanisms to implementthose policies and guide growth and development. A General Plan includes: • Goals and objectives for long-range land use

planning. • Specific policies to support goals and

objectives. • Seven required “elements”: land use,

circulation, housing, conservation, openspace, noise, and safety. The localgovernment has the option to adopt additionalseparate elements if it so wishes (e.g.,historical, agricultural). Also be aware thatarea, community, and neighborhood plans arepolicy instruments adopted as part of thegeneral plan itself.

The environmental planner conducting theanalysis should identify the local and/or regionalplans that pertain to the affected area and theassociated city, county, or region. The FHWATechnical Advisory suggests that information onthe scope and status of the planning process in thearea be described. Maps of the adopted land useand circulation plans would be included here.Any other specific policies that relate to theproposal should also be described. Such policiesthat relate to locally desired transportation

improvements are usually found in the circulationelement. The land use, housing, and open spaceelements may contain policies on growth thatcould apply to the proposed project. Note alsothat the CEQA Guidelines (15125) require that theSetting section of an EIR discuss anyinconsistencies between the proposed project andapplicable general plans and regional plans. 3-3 Farmland California is this nation's agricultural breadbasketwith some 250 different crops marketed.Agriculture is also a dynamic economic force, andremains California's most important industry. Arecent statistic illustrates the prominent nature ofagriculture in the state: there were posted sales of$12 billion in one year alone. AlthoughCalifornians work but 3 percent of the total U.S.farmland, approximately fifty percent of thecountry's fruits, vegetables and nuts are grownhere. Despite policies to conserve the state'sagricultural resources, however, California'spopulation is projected to expand in ensuingdecades and conversion of agricultural land tourban uses will no doubt continue. California hassome 30 million acres of farmland, so farmlandlosses may seem, in comparison to beinsignificant. Farmland losses, however, mayappear more substantial when the quality of theland affected, the location, and the impacts onlocal economies are taken into account. Although no state or federal law explicitlyprohibits conversion of agricultural lands to otheruses, the state and federal governments as well asmany local jurisdictions, have established policiesand programs to maintain farmland foragricultural use. The intent of the California Department ofTransportation is to avoid, whenever practical,locating public improvements within agriculturalpreserves or acquiring high quality agriculturalland for transportation improvements. The majority of Caltrans projects involve minimalor no farmland. Indeed, it is highly unlikely thatdevelopment of a transportation project will


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reshape agricultural enterprise in the region to asignificant degree. In certain cases, however,projects may have considerable farmlandinvolvement. Past studies, for example, haveshown that the construction of freeway facilitieson new right-of-way may consume of upwardsfrom 30 to 45 acres of land per mile in rural areas.

The physical effects on the environment may gobeyond the farmland directly converted. Forinstance, agricultural land that remains inproduction may be severed by new construction,and the proximity of a new or expanded roadwayor other facilities may have other effects on a farmor ranch so as to increase its operational costs.One example would be the construction of anexpressway which would limit access fromagricultural fields on either side of thetransportation facility. These types of indirectfarmland impacts are discussed in more detailbelow in the section under State policies. Thefederal regulatory process identified below(Farmland Protection Policy Act) provides ashorthand procedure to quantify such concernswhen there is federal involvement. Theenvironmental planner should, however, considerthese issues more extensively if there is likely tobe a sizable conversion of farmlands. 3-3.1 Analyzing Project-Related Impacts Where there is substantial right-of-way take offarmland, the environmental document shouldinclude detailed information in the EnvironmentalSetting or Affected Environment section of thedocument with a general discussion of theagricultural resources and character of agriculturein the project area. Such a discussion mightinclude the amount of land under cultivation, thenumber of acres under Williamson Act contracts(described below), important crops, the value ofagricultural production, a description of trends infarmland conversion in the particular county, anda description of applicable general plan elements,ordinances, and other policies related toagriculture in that locale. The importance ofdirect and indirect losses in farmland acreage,production, and revenue due to project effects

should be assessed based on comparisons withcorresponding totals for the locality, county, orgrowing region. 3-3.2 Local Farmland PreservationPolicies Local farmland preservation policy is typicallyimplemented through the planning policies anddevelopment regulations of local jurisdictions, andis therefore addressed in the general plan, locallyadopted CEQA guidelines, and zoning ordinances.Most counties treat agricultural land protection ineither the Open Space, Land Use, or Conservationelements of their general plans, though severalcounties have prepared or are in the process ofpreparing an optional Agricultural element (e.g.,Stanislaus and Placer Counties). Some local governments have adopted standardsestablishing when farmland conversion wouldconstitute a significant environmental impactunder CEQA, and in some instances, have gone sofar as to specify mitigation measures. The EDshould discuss any specific language from generalplan elements or policies related to farmlandpreservation if a proposed project would requirethat farmland be taken. Even in those jurisdictions where an Agriculturalelement has not been formally adopted, localgovernments have often achieved some protectionof farmland through traditional zoning techniques,such as placing restrictions on use, imposition ofminimum parcel sizes, designating spheres ofinfluence through Local Area FormationCommissions (LAFCOs), establishing urbangrowth boundaries and placing limitations onresidential density. 3-3.3 Projects With Federal Involvement The National Environmental Policy Act (NEPA)and the provisions of the Farmland ProtectionPolicy Act (FPPA, USC 4201-4209; and itsregulations, 7 CFR Ch. VI Part 658) requires thatbefore taking or approving any federal action thatwould result in conversion of farmland, the


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federal agency must examine the effects of theaction using the criteria set forth in the Act, and, ifadverse effects are found, must consideralternatives to lessen them. Neither NEPA norFPPA requires a project be modified solely toavoid or minimize the effects of conversion offarmland to nonagricultural uses. A Land Evaluation and Site Assessment (LESA)is a tool for quantifying the merits of retaining inagricultural use parcels proposed for conversion.Originally developed by the USDA NaturalResource Conservation Service (NRCS, formerlythe Soil Conservation Service, or SCS), thefarmlands assessment process results fromrequirements in the FPPA of 1981, and asamended in 1984 [guidance for implementationwas issued by FHWA on August 7 and October26, 1984, and January 23, 1985], with the FinalRule issued June 17, 1994. This process requiresa system of numerical weights assigned todifferent characteristics of affected parcels, adescription and classification of affectedfarmlands, as well as early consultation with theU.S. Natural Resource Conservation Servicewithin the Department of Agriculture. Processingof Form AD 1006 (Farmland Conversion ImpactRating) is also necessary (see below). 3-3.4 Categories of Farmland The California Department of Conservation andthe NRCS classify agricultural lands into fourcategories: Prime Farmlands, Farmlands ofStatewide Importance, Unique Farmland, andFarmland of Local Importance. It should benoted that classification as "farmland" does notnecessarily mean the land has to actually befarmed. Instead, "farmland" is a highly technicalterm and is rated primarily on factors such as soiltype and topography. Prime Farmland is land that has the bestcombination of physical and chemicalcharacteristics for producing agricultural cropsand may include land currently used as cropland,pastureland, rangeland, or forestland. It does notinclude land that is already in or committed tourban development.

Unique Farmland is land other than primefarmland that has lesser quality soils that are usedfor the production of high-value specialty crops(i.e., citrus, nuts). The Unique Farmlanddesignation is, therefore, based on the type of cropgrown as well as soil type. Farmland of State or Local Importance arelands which do not qualify as Prime or UniqueFarmlands but that are currently irrigated, arepastureland, or produce non- irrigated crops, andare important as determined by the State or localgovernment. More detailed soil definitions arecontained in Appendix C of this EnvironmentalHandbook volume. The ratings used in scoring NRCS’s farmlandassessment Form AD 1006 combine soilproductivity, water conditions, proximity to otherurban and rural land uses, impacts on remainingfarmland after the conversion, and indirect orsecondary effects of the project on agriculturaland other local factors to arrive at a weightedscore. If the rating exceeds a threshold score, theproject agency (typically Caltrans acting forFHWA) must consider alternatives which avoid orminimize farmland impacts so as to reduce thescore. These mitigation measures are discussed inmore detail in Chapter 4 of this volume. Land that is determined not to be farmland inaccordance with the statutory definition is notsubject to the FPPA (see section 4-5.1 onUrbanized Areas in Chapter 4). Projects withinexisting right-of-way by definition do notconvert farmland and thus are not subject tothe Act. Also, where the right-of-way requiredfor a transportation project is clearly not farmland(for instance, rocky terrain, or sand dunes) and theproject would not indirectly convert farmland, theFPPA does not apply. Completion and processingof Form AD 1006 is not necessary in such cases.Chapter 4 contains standard language which maybe used in the ED. Keep in mind, however, thatthere are no set acreage thresholds belowwhich coordination through use of Form AD1006 would not be required. Some federal agencies, including FHWA, haveexpressed an interest in having the NRCS exempt


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from the FPPA provisions those actions thatwould involve expanding existing linear projects(e.g., freeway widening) and which would convertonly a few acres of farmland and, in fact, aredesigned so as to avoid the conversion of land thatwould occur if a new linear project on newcorridor alignment was to be constructed. TheNRCS has not yet agreed to such a blanketexemption for linear projects involving minimumacreage although discussions have been held (seeFederal Register, June 17, 1994). Compliance with the FPPA must be part of theNEPA process (7 C.F.R. 658.4(e)). Wherefarmland would be significantly impacted(discussed later) by a project, the EnvironmentalDocument should contain a map showing thelocation of all farmlands in the project area,discuss the effects of the various alternatives, andidentify measures to avoid or reduce the impacts.The ED must provide the rationale for decisionsmade during the farmland evaluation. It should beunderstood, however, that though the FPPArequires consideration of "farmland," it is notintended to be a federal agricultural landspreservation program. The site assessmentprocess is designed to recognize farmland that hashigh economic potential for continued production,and to discourage development that is notcontiguous to existing urbanized areas. TheFPPA, however, recognizes that conversion offarmland is sometimes necessary, in balance withother societal needs. 3-3.5 California's Agricultural Policies California has no comprehensive policy onagricultural land use. Over the past severaldecades, however, the State Legislature has setforth a strong expression of intent on theimportance "of protecting California's agriculturalland resources." State Agricultural Policy (Foodand Agricultural Code, Section 801 et seq.) statesthat the Legislature shall provide for continuingsound, healthy, productive, and profitableagriculture in California. This policy issupported, in part, by conserving and protectingthe soil, water, and air associated with farmland.In addition, the California Coastal Act also

contains policies to conserve farmland resources(not discussed in this volume). More recently,legislation was enacted that directed the CaliforniaDepartment of Conservation to develop a modelland evaluation site assessment that could be usedby agencies to help determine their projects’impacts on local farmlands. 3-3.6 Farmland Mapping and MonitoringProgram The State Legislature created the FarmlandMapping and Monitoring Program within theCalifornia Department of Conservation (CDC) totrack the conversion of the state's farmland, andreport biennially to the Legislature. The programrelies on Department of Water Resources land usemaps (updated every seven years), soil surveys,aerial photography, and field checking, to compilemaps. As of this writing, all or parts of 45 ofCalifornia's 58 counties have been mapped.While the CDC program is involved in thecompilation and provision of information, and notdirectly involved in policy formulation, theprogram's maps have been used in some locales tohelp in land use planning and conductingenvironmental assessments. FARMLAND DATA SOURCES The most comprehensive source for agriculturaldata is the agricultural census, conducted everyfive years by the U.S. Bureau of the Census (e.g.,1987; 1992). Agricultural census data areavailable in state-by-state reports in published andcomputerized formats at the county level. Thesmallest reporting unit in the agricultural census isat the county level. The agricultural censuscontains data on the average size farm by county.

If farmland issues may be prominent in theenvironmental process, consideration should begiven to contacting one of several agencies, ororganizations, depending on the need. TheCalifornia Department of Conservation and theCalifornia Department of Food and Agricultureare the state agencies with the most expertise in


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the area of agriculture and soil conservation. Inparticular, the Office of Land Conservation withinthe Department of Conservation and both theAgricultural Resources Division and theAgricultural Statistics Branch within theCalifornia Department of Food and Agriculturemay be useful to contact for information. The County Agricultural Commissioners may becontacted for information on the impacts of theproject on countywide crop production or farmincome. The County Farm Bureaus and theUniversity of California Cooperative ExtensionService (farm advisors) also may be contacted forcertain information, if appropriate. The USDANatural Resource Conservation Service is also asource for agricultural statistics. A private, non-profit group, the American Farmland Trust, hasCalifornia field offices in Davis and Visalia. TheCalifornia Institute for Rural Studies in Davis alsomaintains a public library with subject files onagricultural policy topics. 3-3.7 CEQA and Farmland Conversion State CEQA Guidelines address farmlandconversion impacts directly in two ways. First,cancellation of Williamson Act contracts forparcels exceeding 100 acres is an actionconsidered to be "of statewide, regional, orareawide significance," and thus subject to CEQAreview (see the detailed discussion in section 3-3.8 concerning the Williamson Act). Second, Appendix G of the CEQA Guidelinesstates that a project that would "convert primeagricultural land to non-agricultural use or impairthe agricultural productivity, would "normallyhave a significant effect on the environment."Note that in the second case, no set acreagethreshold of prime farmland conversion has beendetermined by case law or regulatory frameworkwhich would constitute a significant impact. Aslisted in Section 51201 of the CaliforniaGovernment Code (Williamson Act, see below)"prime agricultural lands" means any of thefollowing:

1. Land qualifying as Class I or II in the NRCS land use capability classifications. 2. Land qualifying for rating 80 through 100 in the Storie Index Rating. 3. Land used for livestock with an annual carrying capacity of at least one animal unit per acre. 4. Land used for trees and vines which earns income during the commercial bearing period of at least $200 per acre. 5. Land used for unprocessed agricultural products which earns at least $200 per acre for three of the previous five years. This definition of prime farmland varies from theone used for purposes of the Farmland ProtectionPolicy Act (see discussion above). Neither CEQA nor the CEQA Guidelines providelead agencies with specific directions concerningthe content of, or analytical approaches to be usedin, assessing farmland conversion impacts as partof the environmental process. Some localjurisdictions, such as Santa Barbara County,however, have adopted their own CEQAguidelines with numerical thresholds foragricultural land conversion that, if exceeded by aproposed project, would trigger a finding of"significant environmental impact." 3-3.8 Williamson Act The California Land Conservation Act of 1965[Cal. Govt. Code S.51200-51295], commonlyknown as the Williamson Act, providesincentives, through reduced property taxes, todeter the early conversion of agricultural and openspace lands. Farmland need not be considered"prime" in order to be placed under provisions ofthe Williamson Act. All lands defined by the stateas "prime farmland," "other than prime farmland,"and "open space land" are eligible for coverage bya Williamson Act contract. Land other than primefarmland and open space land can be placed under


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contract if the lands are located in an areadesignated by the county or city as an agriculturalpreserve. The California Department ofConservation (CDC) estimates that more than halfof the state's irrigated (mostly prime) farmland isprotected by the Act. The Act, administered by the Office of LandConservation within the CDC, offers use-valueproperty tax benefits to farm and open-spacelandowners who voluntarily enter into contracts.These contracts specify that the owners will notconvert their land to nonagricultural uses for atleast a ten year period. At the end of each yearwithin the 10 year contract period, the contract isautomatically renewed for an additional year,unless the landowner or the local governmentmoves to terminate the contract. Termination canoccur in one of four ways: 1) non-renewal; 2)cancellation; 3) eminent domain; or 4) cityannexation under certain circumstances. The primary advantage to a landowner for placingtheir property under a Williamson Act contract isthat the contracted land is assessed for countyproperty tax purposes at its agricultural valuerather than its full market value (e.g., what thevalue of the property would be if it wereotherwise available for its highest and best use).Individual landowners enter into these restrictiveuse agreements with cities and counties. Forty-eight of the state's counties participate inWilliamson Act programs for unincorporatedareas, and twenty cities. The State of Californiamakes partial payments annually ("subventionentitlements") to local governments for lost localproperty tax revenues that landowners wouldotherwise pay if the property was taxed at itsmarket value. Fees are charged to landownerswho prematurely cancel Williamson Actcontracts. 3-3.9 Timberland Productivity Act Similar in concept to the Williamson Act, theTimberland Productivity Act of 1982 (covered inGovernment Code Sections 51100 et seq.)established “Timberland Production Zones” (TPZ)for the purpose of discouraging the premature

conversion of timberland to other uses. TPZs arerolling ten-year contracts providing preferentialtax assessments to qualified timberlands. Under this program, assessments on timber arebased on the value of the timber at the time ofharvest, rather than an annual assessment on themarket value of standing timber. Land useelements of general plans are required to reflectdistribution of existing TPZ zoning (if applicable)and any timberland removed from a productionzone is subject to approval by the local legislativebody. Although existing state highways are exempt fromprovisions of the Act, the California Secretary ofResources and the local governing body should benotified in writing in the event new or additionalright of way from a TPZ will be required for atransportation project. For more information,contact the Forest Practice Regulation Unit of theResource Management Division of the CaliforniaDepartment of Forestry and Fire Protection inSacramento. 3-4 Social 3-4.1 Demographic Characteristics If the proposed project or activity impacts apopulation, the environmental document shoulddiscuss the existing and projected population andthe relevant demographic characteristics of theaffected area and the associated city, county, orregion. Census tract data or local planning agency(or MPO) information should be used. Thedemographic characteristics that should beincluded are ethnic group, age, income, and lowmobility status (elderly and/or disabled). Includeother demographic characteristics if appropriate.The level of detail should be commiserate with theimportance of the relocation or communityimpacts. If known, any substantial population changes thathave occurred in recent decades in ethnic, elderly,poor, or other demographic groups within theaffected community area should be identified.This information can be used to help determine if


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a community is becoming relatively more or lesscohesive and if a disproportionate number ofpeople of any minority or low-income sub-groupwould be potentially affected by relocation orother transportation-related impacts. Also, thepercentage of the population groups in theaffected socioeconomic area should be comparedwith those of the larger entity (city or county) todetermine whether there is a potential fordisproportionate impacts (It is also often useful toprovide statewide data averages as a benchmarkfor local data). This is especially importantinformation for determining whether the proposedproject has environmental justice and Title VIconcerns. See 2-7.2 for further discussion. Demographic data is available from the U.S.Census Bureau in published formats, CD-ROM,and via the world wide web (see Appendix B).The Census Bureau has successfully used aGeographic Information System (GIS) softwareprogram, Landview II, to graphically access anddisplay environmental justice data sets fordemonstration purposes. Displaying availabledata spatially through GIS can be an effective toolto help illustrate the distribution of impacts on lowincome and minority populations. Household Size and Composition: The existingnumber of households and average householdsize, should be discussed in the context of howthese have changed in recent years. Discuss alsothe composition of households in terms of numberof single heads of households, female heads ofhouseholds, and families. Ethnic Mix: The ethnic composition of theexisting population, as well as recent trends orchanges in ethnic composition should beidentified. Age Distribution: The distribution of thepopulation by general age groups should bediscussed. Income: The median income of the study area(and compared to the region) should be identified.The number of households with incomes belowthe officially-defined poverty level should also belisted.

3-4.2 Community/NeighborhoodCharacteristics The planner should identify the definedcommunities (communities recognized by nameand/or practice) in the affected area. Suchinformation may be available from a combinationof sources. These include local general plans,special area (community) plans, chambers ofcommerce, school districts, newspaper articles,planning department maps, and from discussionswith local planning staff. Field reviews are also anecessary component. “Immediate neighborhoods” are harder to define.They are usually sub-areas within largercommunities, but they may at times spanjurisdictional lines. They may be based on theindividual's perception of their "immediateneighborhood," such as where the children play ormothers gather, or where people are simplycomfortable walking. This may include a littlesection of open space, the corner mom-and-popgrocery, a laundromat, a beauty salon, or aneighborhood bar-- those seemingly ordinaryplaces that in everyday life tie a neighborhoodtogether or bring activity to the streets. A planner who wishes to delineate an immediateneighborhood should compile a map whichidentifies local attractions or activity centers(child care centers, parks, banks, grocery stores,churches, and so forth). Those facilities which areavailable to the young, elderly, low-income,minority, and disabled are especially importantbecause of the restricted mobility, and in manycases, transit-dependency of such groups. 3-4.3 Population Growth Policies Discuss the growth policies of the localjurisdictions. Include adopted growth targets,growth management policies, or other policiesrelating to the location or rate of populationgrowth. Population growth policies are includedusually in the local jurisdiction's general plan.Some cities and counties have adopted growthmanagement plans, and others have voter-


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approved ordinances that limit the rate ofpopulation growth in the jurisdiction. 3-4.4 Public Services and Facilities When it may be an issue, describe the type, size(capacity, acreage, floor space), and location ofpublic services and facilities within the affectedsocioeconomic environment. These include, butare not limited to parks, schools, hospitals, daycare centers, libraries, counseling facilities,alcohol and drug rehabilitation, bike paths, andemergency services. As part of their studies, Caltrans Right of Waycompiles information on the public andcommunity service facilities affected by theproposed projects so it may be beneficial tocontact them. Field surveys are alsorecommended. 3-4.5 Circulation/Access The community impact assessment or the relevantsection of the environmental document shouldbriefly describe the types of transit facilities,highways, streets, and bicycle and pedestrianfacilities associated with the proposal, if theproposed project will likely have an effect on suchfacilities. Use maps, information from thecirculation element of the general plan, and fieldsurveys. Properties that may become restricted inaccess or landlocked should be identified. The existing public transit service that is availablewithin the affected area should be brieflydescribed in the case of major projects or thatinvolve projects that might affect such service.Officials of the local public transit authorityand/or planning agency should be interviewed. The availability of parking facilities and any lotsor parking spaces that would be affected by thetransportation proposal should also be identified.

Demographic Data Sources

Household numbers and size are availablefrom: 1. California Department of Finance, Population Research Unit, Sacramento (Summary Report E-5) 2. Local council of government 3. U. S. Census of Population and Housing Sources (continued) Household composition, ethnic mix, agedistribution: 1. U. S. Census of Population 2. Housing Element (Updated) Income: 1. California Department of Finance, Financial and Economic Research Unit 2. Local council of governments In addition, population projections for Californiacounties with age and gender detail are availablefrom the Population Research Unit of theDepartment of Finance (Report Series E-150). 3-4.6 Demographic Information Local agencies are a good source for relativelycurrent demographic information. Local andregional planning agencies, local redevelopment,and local public assistance agencies compileuseful data, including statistics on low mobilitypopulations, to meet requirements for obtaininggrants and administering Federal aid programs.Local chambers of commerce may also havecollected some information. The Caltrans District Right of Way Program is animportant source of current and project relevantdemographic data for affected households. Such


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information is collected and analyzed by Right ofWay staff in conjunction with the preparation ofDraft and Final Relocation Impact Reports andStatements. A Draft Relocation ImpactStudy/Statement (DRIS) is prepared for allprojects which displace any person, business, farmor non-profit organization. The ImpactStatements are prepared for projects involvinglimited displacements (i.e., with few relocations),while the Impact Reports are written for projectswith more complicated relocation consequences.See Appendix E for more information. The Draft Relocation Impact Statements/Studies(DRIS) are prepared partially as input to the DraftED. Some demographic data collected for thesedocuments are especially useful because it may bederived directly from interviews with residentsand business people subject to relocation. Earlycoordination with District Right of Way staff isrecommended to ensure proper depth of analysisand scheduling of the DRIS (because interviewsand Final Relocation Impact Studies are notnormally prepared prior to the completion of aDraft ED). Consultant-prepared DRIS’s shouldalways be reviewed by the District Right of Wayprior to the data being used in the ED. 3.5 Relocation of Housing andBusinesses 3-5.1 Residential Characteristics The environmental planner should provide ageneralized description of the types of housing inthe affected area and the associated city or county(single family, multifamily, apartments, mobilehomes, owner occupied/rented, size, prices,condition, and age). This information can beuseful in providing a general profile of theaffected community or neighborhood. Such datamay be available from the Census and CaltransRight of Way and is most easily discerned by theenvironmental document reader when summarizedin charts or tables. The ED should describe the number and types ofresidential buildings subject to displacement. If asubstantial portion of the city, county, or region's

affordable housing would be subject todisplacement the issue should be specifically andextensively addressed. The Caltrans planner orconsultant should coordinate with Right of Way toascertain the percent of the community'saffordable housing that potentially would be lost. Caltrans Right of Way will also gather data todetermine the number of people in the affectedarea who are subject to relocation, and thisinformation should be incorporated into the ED.Estimate whether a sizable portion of the potentialrelocatees belong to a classified minority or arelow-income. If so, generally determine if thepercentage of possible relocatees belonging to thatminority or low-income group substantiallyexceeds their representation in the surroundingregion, city, or county. This is done to evaluateany potential for disproportionate relocationimpacts to such groups under Title VI andExecutive Order 12898. 3-5.2 Projections of Housing Stock For a fuller understanding of the local housingmarket, discuss recent housing construction trendsin relation to housing growth projections. Discussalso the location and amount of land available forresidential development, given the existingplanning, zoning, and average housing densities.Discuss the long-term supply and demandimplications. 3-5.3 Housing Policies and Programs Discuss local housing policies and programs thatare relevant to the project. Housing policies aretypically found in the housing element of thegeneral plan. California law requires that thehousing element incorporate an assessment of thecommunity's housing needs, including emergencyshelter and transitional housing.


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Housing Data Sources Housing stock, trends, and forecasts: 1. Local housing, community development, and planning department for the housing element (and any update reports required by California Housing and Community Development) 2. Local council of government 3. Department of Finance (Report E-5) 4. Department of Finance (Report 84 P-2) 5. U. S. Census Persons per dwelling unit and housing stockcomposition: 1. Department of Finance (Summary Report E-5) 2. U. S. Census Occupancy status: 1. U. S. Census Vacancy rate estimates: 1. Department of Finance (Summary Report E-5) 2. U. S. Census 3. Special reports, U. S. Census 4. Newsletters and periodicals from organizations such as the Bay Area Council and local property management firms, apartment associations, and regional real estates firms, such as Coldwell Banker

Other Select Housing Data Sources Housing Prices: 1. Local Board of Realtor's Multiple Listing Service (MLS) 2. U. S. Census (use with some caution as data is self-reported, as well as may be out of date) 3. Classified ads and real estate sections in local newspapers 4. Caltrans Right of Way studies Housing conditions (condition, age,overcrowding): 1. U. S. Census 2. Local housing condition survey (city redevelopment or planning department) Special Needs housing: 1. California Department of Social Services 2. California Department of Rehabilitation 3. County social service agencies, local planning agencies and non-profit housing development corporations 3-5.4 Businesses If they are likely to be affected by the proposedproject, describe the number, general size, andtypes of businesses within the AffectedEnvironment section of the EIS. Indicate if theyare established, new, or declining. Determine ifthey are likely to be highly dependent upon ahighway location for profitability. Note if anybusinesses are highly dependent on having on/offramps in close proximity. If freeway ramps arelikely to be closed for ten days or longer, pleaserefer to Appendix F. Describe the general


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clientele served by the establishments, if it can begenerally determined. For instance, do they serveprimarily local customers? minority groups?senior citizens? and so forth. 3-6 Economics Economics has been defined as the study of howthe productive and distributive aspects of humanlife are organized. For most transportationprojects, with no discernible effect on the localeconomy, discussion on this topic should be briefand largely extrapolated from existingdocumentation. However, some of the largerprojects may well have important effects on thelocal economy of a neighborhood or community.One of the most critical yet perplexing questionsthe planner must address in analyzing a localeconomy is to identify the appropriate geographicunit or area level in which the analysis will beconducted. An inherent challenge is the usualmismatch between transportation routes andpolitical boundaries. The range of impact ofeconomic activity almost never coincides with thejurisdictional boundaries of political units. It does not always make the most logical sensewhen studying likely economic effects to focus ona small geographical unit. For example, peopleoften work in a different city than the one inwhich they live. Therefore, impacts displacingpeople or businesses often have these "spillover"effects. Moreover, data availability plays into the questionof how broadly one should extend the net tocapture economic activity variables. The federalstatistical system provides only limited coverageof geographic areas below the county level. Too,the analysis of cities is often thwarted by thelimited frequency in data-gathering and level ofdetail of the available data series.

3-6.1 Selecting Variables and DataElements The regularly published federal government datathat are most useful for local economic analysiscovers the following variables: • Resident labor force (unemployment) • Employment (total and by industry) • Earnings (total and by industry) • Personal income • Population • Commuting flows • Business establishments The currency of the data may becomeproblematic; two of the most valuable are onlyavailable on a five year (Economic Census) or tenyear basis (Census of Population and Housing). Ifthe locale has been experiencing relatively rapidor constant change, the data can becomeunreliable. The planner, therefore, mustcontinually validate the data so that it representsfairly the current economic and businessconditions of the affected area. 3-6.2 Tax Revenue The property tax is imposed on real property andis based on the value of the property. The salestax is imposed on retailers for the privilege ofselling tangible personal property in California.The sales tax rate is a composite of various taxrates: a state rate, a 1% city-county rate, a localtransportation rate, a statewide rate for localpublic safety services, and a statewide rate forlocal health and social services. Therefore, if alarge number of firms or major firms may bedisplaced, the effect would be important to assess.The analyst would need to determine the amountof local taxes paid annually by the businesses. The community impact analyst should alsodetermine the amount of property tax paidannually by both the residents and the businessowners who are likely to be subject todisplacement. This amount is then calculated as apercentage of the city or county's total annual


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property tax. The local tax assessor's office canprovide the information on the total amountcollected. Tax Revenue Data Sources The County Tax Assessor's Office or CaltransRight of Way should be able to assist in providingthis information. Taxable retail sales data mayalso be obtained from the California State Boardof Equalization. Potential impacts to property values of houses andcommercial facilities should be estimated.Coordinate this with the Caltrans District Right ofWay staff. They can also provide advice on theeffect on property values based upon theirexperience with similar situations. A briefsynthesis on property value studies is availablefrom the Caltrans Headquarters EnvironmentalProgram. 3-6.3 Employment Describe the number, occupational type, generallength of employment, and the demographiccharacteristics of employees of firms slated to bedisplaced or are otherwise affected by thetransportation project. Employment Data Sources City level:

1. Local chamber of commerce 2. Local council of government 3. Local planning agency or economic development office 4. U. S. Census of Population and Housing County and Metropolitan Area level: 1. Publications from the California Employment Development Department, Sacramento, including: • "Annual Planning Information" • "Projections of Employment by Industry and

Occupation" • "Annual Average Wage and Salary

Employment" 2. California Board of Equalization, Business Permit data 3. U. S. Census, "County Business Patterns" 4. U. S. Economic Censuses, including Census of Industry, Census of Retail Trade, among others 3-6.4 Labor Force Characteristics The community impact assessment technicalreport prepared for an EIS should identify for theregion the approximate number of persons in thelabor force, the number employed, and theunemployment rate. Recent trends and changes inthe size of the labor force and the unemploymentrate should also be discussed. Discuss thecomposition of the labor force in terms of suchcharacteristics as percentage of women,percentage of skilled versus unskilled workers,and percentage of college-educated. It should beunderstood that the type of data listed above ismost likely to be relevant for the larger-scale


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transportation projects with concomitant greatercommunity impacts. Labor Characteristics Data Sources 1. U. S. Census of Population and Housing 2. California Employment Development Department, "California Labor Market Bulletin.” 3-6.5 Employment Programs and Policies When relevant to a proposed project (e.g., anumber of businesses are likely to be adverselyaffected), discuss the relevant employmentpolicies and programs of the jurisdiction(s) withinthe study area. Employment Policies Data Sources Employment policies usually are found in thelocal general plan. If there is a redevelopment areaaffected by the project, employment policies mayalso sometimes be found in the redevelopmentplan. These policies discuss the type ofemployment that is envisioned by the plannedland use designations.


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CHAPTER 4

COMMUNITY IMPACTANALYSIS

4-1 Content of the Chapter This chapter presents the basic analyticaltechniques that should be utilized by the Caltransenvironmental planner or consultant to evaluatepotential community impacts, including changesin land use. It also provides examples of howsuch impacts can be avoided, minimized, ormitigated. After completing the first two basic tasksdescribed in chapters 2 and 3, namely preparing toconduct the analysis (including delineating thestudy area and identifying the basic issues to bestudied), and then describing the affected socialand economic environment (completing thecommunity profile), the planner is then ready tocarry out the third major step in communityimpact assessment. (Of course, we are fully awarethat the step-by-step approach outlined here is notas neatly accomplished as suggested; however,based upon our experiences, better results areproduced from conceptualizing the process in thissequential manner). The third major task is to evaluate potentialimpacts by using the information previouslycollected and selectively applying the analyticaltechniques described in this chapter. Somealternative methods and their application inparticular situations are presented. Examples ofmitigation measures for some types of communityimpacts are also summarized in this chapter. The evaluation of potential impacts presented inthis chapter should be used to respond to thesocial and economic portion of the"Environmental Significant Checklist" questionsof the Caltrans Environmental Handbook, Volume1, or the "Environmental Consequences and

Mitigation Measures" portions of environmentalimpact statements and environmental impactreports as outlined in the same handbook and the"Environmental Consequences" section of the1987 FHWA Technical Advisory T 6640. 8A. 4-2 Land Use Federal Guidance The FHWA Technical Advisory - Guidance ForPreparing and Processing Environmental AndSection 4(F) Documents prepared by U.S.Department of Transportation, Federal HighwayAdministration, 1987, states: This discussion [of land use] should identify thecurrent development trends and the State and/orlocal government plans and policies on land useand growth in the area which will be impacted bythe proposed project. The land use discussion should assess theconsistency of the alternatives with thecomprehensive development plans adopted for thearea and (if applicable) other plans used in thedevelopment of the transportation plan requiredby Section 134. The secondary social, economic,and environmental impacts of any substantial,foreseeable, induced development should bepresented for each alternative, including adverseeffects on existing communities. Where possible,the distinction between planned and unplannedgrowth should be identified. Growth inducement, although noted, is not a topicdiscussed separately in the FHWA’s TechnicalAdvisory. State Guidance The CEQA Guidelines [15126(a)] specify that anEIR for a proposed project include a discussion of"changes induced in population distribution,population concentration, the human use of theland (including commercial and residentialdevelopment), health and safety problems causedby the physical changes, and other aspects of theresource base such as water, scenic quality, and


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public services. The EIR shall also analyze anysignificant environmental effects the project mightcause by bringing development and people intothe area affected." This list of topics is similar tothose expressed in the FHWA Technical Advisory.

4-3 Growth Inducement This chapter contains extensive discussion on thetopic of growth inducement because it is usuallyone of the most difficult issues for bothenvironmental staff and consultants to understand.In most cases, a community impact assessmentprepared for an environmental document shoulddiscuss growth inducement, but for manytransportation projects - where it is not anoutstanding issue, or there is no apparentcontroversy - the topic is best treated briefly. Growth inducement is defined as the relationshipbetween the proposed transportation project andgrowth within the project area. This relationshipis often difficult to establish with a high degree ofprecision. The relationship is sometimes lookedat as either one of facilitating planned growth orinducing unplanned growth. Both types ofgrowth, however, must be evaluated because theywill each have varying degrees of beneficial andadverse effects. Obviously, transportation shapes the demand forother types of land use, just as commercial andresidential development require transportationinfrastructure to provide needed mobility andaccessibility. Many planners and decisionmakerssee this transportation and land use nexus as a“chicken and egg” relationship, but at closerinspection such an analogy is overly simplisticand certainly does not characterize the issuesufficiently for legal compliance purposes underCEQA. It is not difficult to comprehend how theconstruction of a road on a new alignment wouldlikely induce some growth or development in alocalized fashion, for example, such asencouraging the construction of gasoline stations,motels, and fast food restaurants at prominent

interchanges. Yet, it is commonly accepted thatregional growth patterns depend on a whole rangeof economic forces that are local, national, andeven more recently with the emergence of thePacific Rim economy, and the passage of theNorth American Fair Trade Agreement (NAFTA),even international in scope. Furthermore, it isadmittedly difficult to assess the growth-inducingimpact due to expanding existing or constructingnew transportation facilities in an area alreadyurbanized. Unlike the issue of assessing cumulative impacts,the basic question of how growth-inducingimpacts should be addressed as part ofenvironmental studies has not itself been thesubject of CEQA court rulings in the past severalyears. And, no universally-accepted standardanalytical methods for conducting a growthinducement study have been adopted by theCalifornia Resources Agency, nor the Governor’sOffice of Planning and Research (OPR).Therefore, there has not developed a single way oflooking at the topic. In an appendix to thisvolume, Caltrans provides a Growth InducementChecklist designed to aid the environmentalplanner in answering how projects may or maynot be growth-inducing. The CEQA Guidelines [15126(g)] specify thetopics that should be considered in analyzing thepotential growth-inducing impact of a proposedaction: “Discuss the ways in which the proposedproject could foster economic or populationgrowth, or the construction of additional housing,either directly or indirectly, in the surroundingenvironment. Included in this are projects whichwould remove obstacles to population growth . . .. Increases in the population may further taxexisting community service facilities soconsideration must be given to this impact. Alsodiscuss the characteristic of some projects whichmay encourage and facilitate other activities thatcould significantly affect the environment, eitherindividually or cumulatively. It must not beassumed that growth in any area is necessarilybeneficial, detrimental, or of little significance tothe environment.” It is well understood that changes in land use andeconomic development are potentially important


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environmental impacts of major transportationinvestments. The effects of past transportationdecisions on investments are often apparent eventoday. For instance, historically, the compactdensities of older central commercial districts (inmany cases) reflect the effect of streetcar systemson development patterns. More recent examplesmay be found in the emerging suburban "activitycenters," and business parks which reflect the easeof access for automobiles provided by theirlocation at the intersection of major highways. Such examples are sometimes used to support thenotion that all transportation investments willinduce and shape economic growth and landdevelopment. The reality, however, is that thesecomplex relationships are the product of multiplesocial, economic, and geographic factors, none ofwhich is perfectly understood. A traditional shorthand way of looking at growthinducement is as the removal of obstacles togrowth, and is specified as such in the CEQAGuidelines highlighted previously. Capacityimprovements should be considered removal oftransportation related obstacles to growth. By thisgiven definition, a project to increase capacity ona highway can be understood as growth inducing.That does not make it a “bad” project, however.The conclusion sought from the analysis iswhether or not the future project capacity willexceed the predicted traffic capacity as needed bythe planned population of the area. The identifiedexcess capacity is an indicator of the likelysignificance of the growth induced or facilitatedby the project. Another way of looking at growth is expressed inSection 15126(g) of the State CEQA Guidelineswhich requires the EIR to discuss how the projectwill "foster economic or population growth." Theword "foster" is defined as "promoting orsustaining." The question is, will the projectpromote future economic or population growth? Growth and development move forward, or areheld back, mainly for economic reasons, althoughsocial, political, and environmental reasonssometimes play a part. An analysis of growth anddevelopment should explain these reasons in the

context of the proposed project and any growththat would be affected by it. The environmentaldocument should discuss the effect each of theproposed alternatives would be expected to haveon growth and development and why it is so. The discussion should not contain valuejudgments about growth, such as "some seegrowth as good" (See extract from CEQAGuidelines [151269(g)] above). Because growthis by its nature mostly a future event, theconclusions will be only judgments, but theyshould be judgments based on a thoroughconsideration of the economic, social, political,and environmental factors. If any growth is expected, the discussion must bemore analytical than a statement that growth willoccur anyway and local agencies have the powerto control growth rates and patterns. Thediscussion should not be loaded down withgeneric explanations of the typical relationshipbetween transportation and growth; it should bespecific to the project and affected area. The concept of "growth inducement" is, and hasbeen for some time, controversial. So that Caltransenvironmental staff and its consultants may have aframework for understanding the concept, ageneral canvass of the topic of growth followsbelow. An Appendix to this volume of theEnvironmental Handbook contains additionaldiscussion on the analytical methodologies thatmight be employed, as well as a planner’s“checklist” to aid in answering growth-relatedissues. The land development market controls the rate ofinvestment. Real estate lenders strongly influencethe location of growth by determining to whichbuilders they are willing to lend funds. It isunlikely that lenders place much consciousemphasis on highway location, per se, whenmaking lending decisions (they are much morelikely to be concerned with sewer and wateravailability). Several other points may be useful inunderstanding growth. A transportationinvestment may act as a credit for a developer, in


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the sense that it is a part of the development thebuilder will not have to pay for. This isparticularly the case where the existingtransportation facility would not be able to handlemuch growth without being improved. Thebuilder may see development becoming cheaperand more attractive. Conversely, localgovernments increasingly are requiringdevelopment fees including charges fortransportation facility costs, and some developersare providing interchanges or other contributionsto the State highway system, such as the requiredright of way. It should also be understood that there iscompetition as to the timing and location ofdevelopment. A comparison among those siteswhich might be developed can be revealing. Therelative advantages and disadvantages ofcompeting developments can be powerfularguments when making findings about growtheffects. This comparative information should betaken into account. 4-3.1 Growth Inducement - Placement inDocument Information about growth and the project's effectson it may be presented in one of two ways. First,it may be included in the main body of theEnvironmental Document, along with thediscussion of the purpose and need and other landuse aspects of the project's setting andconsequences. If this is the format chosen, anadditional section on Growth Inducement as thelast topic under "Environmental Consequences"can be limited to a summary of conclusions,recommendations (if any), and text references asneeded. The second way is to make the discussion amostly or wholly self-contained section onGrowth Inducement (including setting for growth,and consequences), and place it near the back ofthe EIS, following the subsection on "Irreversibleand Irretrievable Commitments of Resources" ofthe "Consequences" section and preceding the“Distribution List” section. The CEQA Guidancecalls for the placement of the growth inducement

discussion in a separate section at the end of theEffects/Consequences” discussion, which wouldbe appropriate for an ED prepared for a local orState funded project (without Federalinvolvement). The choice between the two should be based onwhich way the discussion could be presented mostclearly and least repetitiously, and how importantthe growth issue is compared to others. It isgenerally best to separate discussions ofcumulative and secondary impacts so they will notbe confused with discussion of direct projectimpacts. 4-3.2 Air Quality and Growth Transportation projects must be consistent with airquality and congestion management plans as wellas with regional land use plans and theirincorporated population (and employment)projections. The key measurable factor is vehiclemiles traveled. However, up to the present time,vehicles miles traveled (VMT) per person hasbeen increasing at a much faster rate thanpopulation or employment, raising questionsabout the extent to which transportation decisionsor land use planning by themselves can effectivelyreduce VMT. Using the projected increases in auto travel(VMT) to evaluate whether or not a proposedhighway project is growth inducing is probablynot satisfactory for purposes of achieving aquality evaluation. 4-3.3 Growth Inducement - CaltransPolicies and the Planning Process Caltrans projects are designed to facilitate plannedgrowth in accordance with local and regionalplans and policies. It is the Department'sphilosophy that local government shoulddetermine the extent of growth it wants. Then,Caltrans, subject to available resources and incooperation with local and private entities, mayprovide transportation facilities and servicesneeded to accommodate such growth.


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Caltrans environmental planners also should befamiliar with the Federally-required transportationplanning process. Where a metropolitan planningprocess identifies the need for a project whichwould require that substantial transportationcapacity would be added to a given corridor, or ina defined sub-area of the metropolitan area, andwhich may involve federal funding, a majorinvestment study (MIS) is required. Usuallyprepared by the project sponsor, or theirconsultant, it is a collaborative process involving ahost of partners: FHWA/FTA, Caltrans, theappropriate MPO, transit agencies, and otherinterested parties. The MIS is conducted duringthe planning stage and results in a decision on thetransportation improvement “alternative,” set ofalternatives, or package of strategies. It could alsolikely result in an amendment to the RegionalTransportation Plan and TransportationImprovement program. Caltrans projects are designed to accommodateexisting traffic and traffic projected to begenerated by planned growth. Since Caltransprojects must be cost effective, they are notdesigned with excess capacity that could induceunplanned growth during the twenty year periodfollowing completion. That is, an urban project isdesigned to achieve a certain level of service aftertwenty years as specified in the most recentsystem planning route concept report. Also,designs may anticipate median widening or otherincreases in capacity in future years. Although Caltrans projects are coordinated withlocal and regional plans to ensure compatibility interms of highway capacity as it may relate topopulation, such compatibility cannot be used toargue that the project would not be growthinducing. Past California judicial decisionsinvolving CEQA have determined thatenvironmental documents must contain a realisticassessment of projected population increases(growth inducement) and not illusory figures. Inone case, a county argued that a new local generalplan constituted a net decrease in growthinducement in comparison to the former planbecause it contained a population projection figurefar below that of the earlier plan. However, since

the new plan's population projection still calledfor a substantial increase in population above theexisting population, the Court stated the netdecrease was illusory and therefore the EIR forthe plan failed as an information document. This ruling is applicable for the growth inducingimpacts of transportation proposals. In assessinggrowth, the benchmark should be the existinglevels of population. The analyst should indicatethe existing capacity of the facility and compare itto the capacity of the improved roadway. Theanalyst can describe the coordination that wentinto the sizing of the project. The compatibility between the capacity of theproject and the population projections of local andregional plans can then be discussed. However,the mere existence of compatibility between theproposed project and local/regional plans does notimply the absence of growth inducement. Rather,the change in capacity should be presented in theenvironmental document in terms of a percentageincrease. The analyst should indicate to whatextent the new capacity will permit the populationprojection level set forth in the plans to beachieved, and explain the differences betweenplanned and unplanned growth (i.e., less publicfacility impacts). 4-3.4 Growth Inducement- Analytical Techniques A number of alternative techniques are availableto analyze growth inducement. We have placedthese in a separate appendix. The techniques aregiven short descriptors: forecasts, checklist,factors, and no-action. We also call yourattention to a specially developed checklist in thesame appendix that should be helpful in analyzinggrowth inducement. If growth inducement appears to be a verycontroversial issue, consideration may be given tohiring an outside consultant to prepare the study.Consultants may have the advantage of beingperceived as less biased, and may haveinformational resources and methodologies that


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are not available or familiar to Caltransenvironmental planners. They may also use anyof the analytical techniques described in thisvolume. In addition, planners should not overlook theemerging importance of Geographic InformationSystems (GIS) as an analysis and presentation toolfor land use and growth issues. In somejurisdictions, GIS can help address a host ofrelevant questions. These include ones like:Where are the vacant parcels located next to aproposed transportation facility? What are theprojected growth rates for a particular area? It isvery likely that geographically-arranged data sets,including information on demographics, landparcels, and transportation, will be morecommonly used to graphically-depict, forplanning analysts, decisionmakers and the public,complex issues such as growth inducement. 4-3.5 Growth Inducement - CumulativeEffects Cumulative effects of a project are discussed in aparticular part of the Environmental Document asnoted in the Caltrans Environmental Handbook,Volume 1. Often, the growth inducementdiscussion will find that growth impacts are aprimary or a secondary effect, that may or maynot be related to the cumulative impacts of theproject. There should be an evaluation andcomparison of direct and indirect impacts ofgrowth inducement. In writing the ED, thepossible need to present material dealing withgrowth inducement in the cumulative impactssection of the document should be kept in mind. Cumulative effects on growth should be discussedwhen one or more other projects are likely to addto (or offset) the proposed project's effects ongrowth. Sometimes the cumulative effects ofseveral projects can together change the situationfor developers enough that a conclusion of"contributes to growth" should be made instead of"not affect growth." An example of this would bea new state highway interchange and a newlocally or privately funded connecting road, whichtogether would allow significant business or

residential development. A secondary impactfrom this combination could be higher trafficvolumes on the state facility and the resultingneed for additional improvements to increasecapacity. 4-3.6 Growth Inducement - Secondary orIndirect Impact of Growth Secondary effects from growth should be notedwhen the project affects growth and the growth'ssecondary effects are disproportionatelysignificant. Growth can, for example, add trafficto arterial streets, add pupils to schools, adds tothe sewage load, and may eliminate habitats forplants and animals. If these secondary effects areso great that the public would have to pay toimprove arterial streets, build new schools, orexpand sewage facilities, or plant and animalpopulations would be threatened, then thesesecondary effects should be reported. Theaudience for the environmental document needs tounderstand that there is a linkage, and that it is anindirect one. Examples of indirect effects include leapfrogdevelopment, infilling of development, pressurefor development on environmentally sensitivelands, increased energy consumption, changes inland prices or tax rates, and perceived changes inquality of life. All these along with many othersecondary impacts may be related to land usedecision making as affected by transportationprojects. However, remember that there has beenno methodology identified which will reliablyinform decision makers about how much of theimpact is exclusively due to the transportationfactor as separate from all the factors affectingland use choices. It is suggested here that indirectimpacts be discussed in environmental documentsbut in many cases only direct impacts can bequantified. A highway improvement may influence a shift inthe direction of an area's growth. One example ofthis would be where a new freeway interchange,on a highway serving an urban area, providesaccess to previously undeveloped land. However,as with growth in general, location shifts are a


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result of numerous factors. For instance, if thenewly accessible area has lower land costs, betterproximity to customers and employees, and isotherwise competitively superior, regionaldevelopment may shift away from the urbanizedarea. 4-3.7 Growth Inducement - Significanceand Conclusions Section 15065 of the CEQA Guidelines listsmandatory findings of significance which do notspecifically include growth inducement.However, the Guidelines do identify"cumulatively considerable" impacts as amandatory finding of significance. Growth maybe seen to be beneficial or adverse. If adverse, itcould be seen as significant or not significant.The environmental document must make thejudgment clear on these two issues in theconcluding discussion. Thresholds of significance for growth inducementimpacts have not yet been developed.Measurements that might be used to estimateimpacts are changes in the rate of growth, inpopulation density, and in the patterns of land use.The analyst, however, is faced with the dauntingtask of attempting to forecast these numbers.Without an adequate land use model, forecastingthese factors would be very difficult. Acomparison of total vehicle miles traveled (VMT)might be used in comparing alternatives. Asnoted previously in the discussion of this topic,however, in California VMT is growing at a fasterpace than population and economic growth, andhas proven to be somewhat independent of landdevelopment. Due to the multitude of variables that are used inthe evaluation and measurement of growthinducement, it is virtually impossible to establishthreshold levels that would apply in all cases.Some threshold levels that could be used inselected projects with appropriate justification arecompliance with state air quality standards,exceeding roadway capacity, levels of service, andincreases (or decreases) in accessibility asmeasured by driving time and distances. Other

threshold levels such as percentage of populationincreases or percentage increases of developedland areas are possible in individual cases but notcomparable to other projects. In all cases, whereproject planners decide upon a threshold level tobe used, the justification for it should also beincluded in the analysis. If growth inducement under CEQA is broadenedto include not just the increase in the amount ofurbanization over and above that predicted, butalso a change in the location of new developmentin an area, growth inducement might be found forvirtually all new highway construction indeveloping or previously undeveloped areas. The section on growth should lead to aconclusion(s) about the relationship between theproject and growth. Usually one of the followingconclusions will fit the situation: • Not affect growth - this conclusion can be

made when no growth is expected, or whenthe project would yield no advantages thatwould have effects on developers' decisions.

• Cannot determine effect on growth - this

conclusion can be appropriate when only wildguesses can be made about the likely courseof growth: this is sometimes the case in ruralareas, but in urban areas the analyst should beable to be more precise.

• Hasten (or slow) growth, intensify growth,

or shift growth from elsewhere in theregion - this kind of conclusion can be madewhen developers are expected to modify theircourse of development because of the project;the terms "support growth", "contribute togrowth," "facilitate growth," or "respond togrowth" are less precise ways of making thisconclusion.

• Induce growth - this conclusion can be made

when a larger amount of development wouldbe expected to occur (area wide) during orafter the project's construction than otherwisewould have been expected in the foreseeablefuture.


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Please Note: With respect to Caltrans-spnsored projects, any draft conclusions that aproposed project may be judged to be growthinducing must be discussed with theEnvironmental Office Chief and the ProjectManager. 4-3.8 Infill A project that may increase accessibility to vacantand underutilized land in an urbanized area shouldnot normally be considered to be growth inducing.Development of such lands (infill) is generallyconsidered to be a benefit to the communitybecause construction on such land generallyutilizes infrastructure that is already in place. 4-3.9 Growth and Agricultural Land There are some that hold that any project thatwould increase accessibility to agricultural landshould be considered to be growth inducing,regardless of whether local land use plans andcurrent zoning show that the agricultural land isnot proposed to be urbanized. Certainly theanalysis should discuss the basic land marketdynamics in the area where the project is located.If there is little pressure for urbanization, theproject is unlikely to be growth inducing. The analysis of growth should consider what localofficials and planning documents say, but theconclusions should express the CaliforniaDepartment of Transportation’s own judgmentbased on an analysis of all the informationavailable. Information should be quantified whereit can be (with the exception that land valuesshould not be presented in such detail so as tocompromise right-of-way negotiations or damageclaims), conclusions should be as clear andspecific as possible, and uncertainty should bedescribed where it needs to be. Judgments shouldbe based on and supported by facts, not personalopinions. The conclusions should help theenvironmental document readers and decision-makers determine what the project's effect ongrowth would be and whether it would besignificant in the context of the region's plans,natural setting, and growth patterns.

4-3.10 Growth Inducement - MitigationMeasures This can be a highly debatable subject. Typically,aside from the "no build" alternative, it is hard toimagine how a transportation project can bemitigated for its growth inducement impacts.First, in many cases the growth is outsideCaltrans’ jurisdiction. The alternatives consideredare devised to meet a need: if the need is not met,the project is deficient. Although design andlocation variations may reduce many otherimpacts, the land use impacts associated with theterm "growth inducement" imply some restrainton land development which is unlikely to be thecase except in a few jurisdictions with stronggrowth management ordinances. There have been a some transportation projectsthat have been found to be growth inducing andhave been approved with Statements ofOverriding Considerations. Findings of growthinducement with a significant impact do have theresulting effect of requiring an EIR whereotherwise a Negative Declaration might have beensufficient for CEQA compliance. A Statement of Overriding Considerations wouldbe filed indicating that the growth inducementaspects of the project cannot be mitigated becauseother benefits of the project override theseconcerns. Given the greater emphasis increasingthe linkage between transportation andmetropolitan and regional planning under ISTEA,local government must make the basic decision toinclude a particular highway facility in theTransportation Improvement Plan. The politicalmajority necessary to include the project assuresthat there is full political consideration, eventhough one or more affected jurisdictions mayhave objections. A decision making body cannot fulfill its CEQAduties simply by considering an EIR beforeapproving the project. Rather, if an agencydetermination is to approve a project despite itssignificant adverse impacts, the agency must issuea set of findings. The purpose of findings is to


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insure that the decision making agency actuallyconsidered alternatives and mitigation measures inits deliberations. Therefore, where significant andadverse growth inducements are found to be thedirect result of a transportation project, thefollowing findings should be made in the CEQAdocument: “For each significant effect identified in the EIR,the lead agency must make one or more of thefollowing findings: (1) that changes or alterationshave been required in, or incorporated into, theproject that avoid or substantially lessen theeffect; (2) that the lead agency lacks jurisdictionto make the change, that another agency doeshave such authority; and/or (3) that specificeconomic, social, or other considerations makeinfeasible the mitigation measures or projectalternatives identified in the final EIR” (Remy,1992, 138).

While the second finding cited above is usuallytrue with respect to Caltrans and the issue ofgrowth inducement, it is the third item cited abovewhich is the one most likely to be used to assertthat the merits of a project outweigh the negativeeffects of growth inducement. In cases where thisapproach is used, it must be remembered thatthese findings must be documented with factual,tangible evidence. However, growth inducement identified in theCEQA/NEPA process should be shown to havedirect, measurable and somewhat immediateeffects on local environments. Speculations aboutregional, very long term and secondary impactsshould be identified as conjecture and not beidentified as mandatory findings of significance. 4-4 Consistency with Local andRegional Plans Note that the CEQA Guidelines (15125) requirethat the Setting section of an EIR discuss anyinconsistencies between the proposed project andapplicable general plans and regional plans. Aproject's compatibility with local and regionalplans is an important consideration, because non-compatibility can in some instances become a

controversial issue and generate local opposition.If the proposed project is not consistent with localplans, the elements in conflict should beidentified. In addition, ISTEA and the Clean AirAct Amendments require consistency between theregional plans and proposed transportationprojects. If a project is not compatible in terms offuture development, local support for projectchanges could develop. Comparison of regional forecasts with localforecasts may show that the local community mayexperience levels of growth that exceed itsestimated capacities of developable land or thecapacities of planned infrastructure. Projectopponents might argue that the project not beingin conformance with the local general plan is asignificant growth inducing impact. In mostregional plans, however, the regional predictivemodels take into account local socioeconomicdata but they may come to a different conclusionabout what will happen in the future from aregional perspective. These discrepancies shouldbe documented. However, the finding cannotnecessarily be made that there is a significantgrowth inducement when only one jurisdiction'splan is at variance with the regional pattern. Thisis to say that a state project may comply with thegrowth management portion of one local agencygeneral plan and under exactly the samecircumstances, may not comply with another.Where multiple agencies are involved, completecompliance of a project with planned growthpolicies may be impossible. What are examples of how transportation projectsmight conflict with local plans? A general plan,for instance, may call for the preservation of lowincome or affordable housing, while constructionof a proposed transportation project would removesizable numbers of such dwellings. Highwaybypasses may conflict with a city's plan torevitalize a downtown business area. A projectmay also divide communities, remove sceniclandscaping, convert agricultural land, or haveother impacts that would conflict with local goalsand policies. The goals, policies, and specific provisionscontained in the various elements of local and


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regional plans should be reviewed for anyconflicts with potential impacts of the project. UC-Berkeley Professor Elizabeth Deakin, atransportation planning expert, has studied howdevelopment permitted under adopted land useplans and zoning is frequently not consistent withavailable and planned transportation capacities.Her expository on the issue is insightful, and wequote at length: “First, many local planning documents are sogeneral as to make it very difficult to say howmuch development, and what kind, would beallowed, at a level of specificity appropriate to atransportation analysis. The same is true of somezoning, where the range of permitted uses isextremely broad. At the same time, manyjurisdictions have not established standards forwhat constitutes an acceptable level of service fortheir transportation systems. Consistency in thesecases can have only a very general meaning. Even when plans are clear about the kinds andamounts of development that would be allowed,consistency in implementation could facepractical problems. For example, whether suchdevelopment levels would indeed materialize oftenis questionable. In most communities, land useplans and regulations set forth the community'slong term aspirations for physical developmentand the housing opportunities, jobs, and taxrevenues that development would imply. Butbecause land development is overwhelmingly aprivate sector initiative, communities haverelatively little ability to assure that their planswill be realized. Many local governments haveplans and zoning that would permit developmentfar in excess of what market forces are likely togenerate, at least over a 10-20 year planninghorizon. Others operate with conservative plansand zoning but repeatedly approve developers'requests for plan and zoning amendments; indeed,much of the activity of the typical planningdepartment involves dealing with requests forplan amendments, re-zonings, and otherexceptions to or modifications of the community'splans and regulations, in order to permitdevelopment that differs from that envisioned inthe planning instruments. Coordinatingtransportation capacity with planned land uses in

either type of situation could lead to amiscalculation of transportation needs. The impermanence of land use plans andregulations also raises practical questions forconsistency in transportation implementation.Because land use plans and regulations canchange so often--multiple amendments arepermitted up to four times a year in California--continual revisions to transportation investmentplans also might be needed to maintainconsistency. While for small transportationmatters this might not pose much of a problem,major transportation facilities can take 10 yearsor more to plan and implement, making suchrepeated plan and program revisions costly anddifficult to accomplish. To summarize, regional plans should be analyzedfor how they handle growth. Discussions withlocal planning officials are useful in determiningthe existence and significance of anyincompatibilities. Determining overallcompatibility can become complicated if theproposed project is consistent with certain goalsand policies and in conflict with others. Also, aproject that spans several jurisdictions may becompatible with the plan of one local governmentand in conflict with that of another. The abovecritique is more important in the face ofrequirements under ISTEA for consistency oftransportation projects with the achievement ofclean air standards. 4-5 FARMLAND IMPACTS 4-5.1 Overview of Form AD-1006 The federal process to assess farmland impacts isguided by the provisions of the FarmlandProtection Policy Act which calls for completingForm AD-1006. The process is an iterative one,with both the Natural Resource ConservationService (NRCS, formerly the Soil ConservationService, or SCS) and Caltrans, acting for FHWA,or in some instances, FTA, completing variousportions of the form. The following is anoverview of the process; detailed instructions for


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completing the form are provided in Appendix C,along with sample exhibits. 1. Except in cases where it is obvious there is nofarmland (see below), the Caltrans DistrictEnvironmental Program submits Form AD-1006to the NRCS office which handles that particularcounty and requests that a determination as towhether the project location has farmland that issubject to the Farmland Protection Policy Act. 2. If the NRCS determines that the project doesnot involve farmland the form is sent back toCaltrans to be placed in the environmental projectfile. No further evaluation is required. If theproject location is subject to the Act, the NRCSwill measure its relative value on a numericalscale. The NRCS will also include on the FormAD 1006 numerical responses for the total amountof land that can be farmed, the percent of thejurisdiction that is covered by the Act, the percentthat the project would convert, and otherquantifiable data. 3. After Caltrans receives back from NRCS theform with a score of each "site's" (this isequivalent to project alternatives) relative value,Caltrans will assign point values by applying thesite assessment criteria as presented below. If athreshold score is reached, Caltrans will consideralternatives to avoid converting the farmland.This form should be included as an appendixwithin the environmental document. Urbanized Areas With No FarmlandInvolvement Any farmland (regardless of quality) which isalready in or committed to urban development isby definition farmland not subject to the FPPA.Where the proposed right-of-way for atransportation project is wholly within adelineated urban area the completion andsubmittal of Form AD 1006 to NRCS is notnecessary. What constitutes an urban area may be determinedin a number of ways. An urban area may beidentified by an area shown as “urbanized area”

(UA) on the Census Bureau map, or shown as anurban tint outline or urban area map on U.S.G.S.topographical maps, or shown as urban/built-upon the USDA Important Farmlands Maps. Areasshown as white on the USDA Important FarmlandMaps are not farmland and, therefore, are notsubject to the Act. The following standard statement may be used inthe NEPA document: Through coordination with the NaturalResource Conservation Service, it has beendetermined by Caltrans that the project areawhich is located in the urbanized area (Nameof urbanized area) does not meet the definitionof farmland as defined in 7 CFR 658.Therefore, the provisions of the FarmlandProtection Policy Act of 1984 do not apply tothis project. Non-Urbanized Areas With No FarmlandInvolvement The following standard statement may be used inthe NEPA document: It has been determined by the NaturalResource Conservation Service that nofarmlands as defined by 7 CFR 658 are locatedin the project vicinity. 4-5.2 Unavoidable Conversion ofWilliamson Act Contract Land Implementation of transportation projects willsometimes require Caltrans to acquire for rights-of-way purposes farmlands currently underWilliamson Act contracts (see Chapter 3). TheAct prohibits a public agency from acquiringprime farmland covered under the Act for thelocation of a public improvement if there is otherland within or outside the preserve on which it isreasonably feasible to locate the publicimprovement. The law generally exempts existingstate highways from this provision, however.Also the CEQA Guidelines, as stated in Chapter 3,


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consider cancellation of contracts for parcelsexceeding 100 acres to be of statewidesignificance. Solely on the question of valuation,Government Code section 51295 states that whena project would condemn or acquire only a portionof a parcel of land subject to a Williamson Actcontract, the contract is deemed null and void onlyas to that portion of the contracted farmlandtaken. The remaining land continues to be subjectto the contract unless it is adversely affected bythe condemnation. In such cases, the contract forthe remaining portion may be canceled. Government Code Section 51291(b) requires anagency to notify the Director of the CaliforniaDepartment of Conservation and the localgoverning body responsible for the administrationof the preserve (usually the planning department)of Williamson Act contracted land proposed foracquisition for a public improvement project(regardless of whether it is a state or federallyfunded project, or the amount of total acreageinvolved). Such notification must occur whenland enrolled in a Williamson Act contract isbeing considered for acquisition by a publicagency (see Appendix C for sample letter).Within 30 days thereafter the Director ofConservation and the local governing body shallforward their comments which shall be consideredby the public agency. This coordination should bementioned in the environmental document. Thenotification can also occur via the process ofsubmitting the Draft EIS/EIR to the Department ofConservation for review. Planners should also beaware that this process should be followedregardless of whether the project is covered underCEQA or NEPA; the FPPA and Williamson Actfarmland policies are not mutually exclusive. 4-5.3 Farmland Impacts - MitigationMeasures If the environmental assessment concludes thatthe amount or type of farmland that would beadversely affected by a transportationimprovement project would constitute asignificant environmental impact, measuresshould be considered to protect the farmland.These include alternative alignments that would

avoid farmland altogether, or that would convertfewer acres of farmland or take other farmlandthat has a lower relative value. The constructionof bridges and widening of existing highways canbe a farmland protection method, and isrecognized as such by the Natural ResourcesConservation Service. Other measures to mitigate farmland impactsinclude minimizing shoulder width, usingconcrete median barriers instead of widermedians, and leasing roadside right-of-way foragricultural purposes where no immediate or nearfuture need exists for the farmland's use fortransportation. Mitigation measures might alsoinclude placing a conservation easement onalternate farmland parcels. Agriculturaleasements involve permanent restrictions on theuse of land from more intensive purposes; theproperty ownership does not change. Usuallyadministered by land trusts or other non-profitentities, easements are acquired either by purchaseor as a mitigation for development approved onparcels elsewhere. Such conservation easementsare increasingly being used by local governmentsto mitigate farmland loss, notably in Alameda,Solano, and Marin Counties. The AgriculturalLand Stewardship Program, signed by GovernorWilson in 1995, established a FarmlandConservancy in the California Department ofConservation, which will acquire permanenteasements over agricultural land (PublicResources Code 10200, Division 10.2). And,where fields would be severed by a project,overpasses and underpasses for livestock,machinery, and drainage have been constructed inorder to provide access. The conversion of agricultural land to other usesmay be a significant impact that cannot always bemitigated. In those situations, to satisfy thefindings requirement under CEQA, the decision-makers would have to conclude that social oreconomic factors do not make it feasible tomitigate the conversion. 4-6 Social Impacts


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Frequently, the social costs of transportationprojects are borne by those communities and areaslying near the highway corridor, while thebenefits are shared by a larger population at thecity or regional level. For this reason, analysis ofsocial impacts is generally directed at theneighborhood level, where the majority ofnegative impacts are to be felt. It is probably alsouseful to briefly highlight the regional socialbenefits of the project in the Community ImpactsAssessment. 4-6.1 Community Cohesion Background Community cohesion is the degree to whichresidents have a "sense of belonging" to theirneighborhood, a level of commitment of theresidents to the community, or a strong attachmentto neighbors, groups, and institutions, usually as aresult of continued association over time.Cohesion refers to the degree of interactionamong the individuals, groups, and institutionsthat make up a community. Transportationprojects impacts tend to be more disruptive tocohesive communities. Although the term is widely used, “community”means different things to different people.Sociologists have come up with almost 100definitions for community. A classic textbookdefinition of community is: a population whosemembers are interdependent and who performmany activities that satisfy the population'seconomic and social needs. In simpler terms, acommunity is a population rooted in one place,where the daily life of each member involvescontact with and dependence on other members.It has generally been a characteristic of oursociety that people form relationships andestablish social organizations on the basis of (1)certain distinctions they perceive aboutthemselves and (2) spatial proximity. The boundaries of communities or neighborhoodscan often be delineated by physical barriers(highways, waterways, open spaces, etc.), byactivity centers, sharply different average home

values, selected demographic characteristics(ethnic groups), and (through surveys of) residentperceptions. Reports and maps developed bylocal planning agencies can also help definespatial boundaries. Cohesive communities are associated withspecific social characteristics which may includelong average lengths of residency, frequentpersonal contact, ethnic homogeneity, high levelsof community activity, and shared goals. Somestudies indicate that single family homeownership, working class families, ethnic groupclusters, mothers working at home, and the elderlycorrelate with active community participation andhigh community cohesion. Residential stabilityand longevity can be a strong neighborhood link. Generally, the effect of a transportation facilitylocated through an older, establishedneighborhood is more severe than one locatedthrough an area where the housing changesownership every three to five years. There alsomay be multi-family or renter-occupied areas thatexhibit these same qualities (for instance, whererecent immigrants or low-income people mayhave clustered), although these may be somewhatmore difficult to detect through traditionalresearch means. Local public officials andcommunity leaders, such as clergy members, canprovide valuable information and insight into thecommunity's makeup and cohesiveness. Transportation projects may divide cohesiveneighborhoods when they act as physical barriersor when they are perceived as psychologicalbarriers by the residents. For example, if aconventional two-way residential street is re-engineered to accommodate single directionaltraffic, nearby residents, who formerly crossed thestreet to visit friends or a park several blocksaway, may now find it to be much less convenientor even dangerous to do so. This can reduce thenumber of social contacts and so divide theneighborhood. If the expressway alignment isdesigned to be located at an edge of aneighborhood instead, this particular impact is notas likely to occur.


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A transportation project that is perceived as aphysical or psychological barrier may isolate oneportion of a homogeneous neighborhood. Thiscan be a particularly sensitive issue in an ethniccommunity. The facilities and services that exist in acommunity are often essential to large groups ofpeople within the community, supplying neededfood or shelter, or helping to improve the qualityof life, such as an inner-city recreational center.The accessibility of such facilities and serviceshelps determine community cohesiveness; atransportation project modifying, interfering with,or terminating such access needs to be analyzedfrom that perspective. It is also possible, however, that a transportationimprovement can increase community cohesion.For example, if a new facility diverts a substantialamount of through traffic from neighborhoodstreets, residents may consider walking to be asafer and more enjoyable experience than atpresent. Increased pedestrian traffic often createssocial relationships through casual contacts, andthis in turn can lead to a more cohesiveneighborhood. 4-6.2 Community Cohesion - AnalyticalTechniques First, the boundaries of a neighborhood should beidentified through the methods explained in the"Background" above. It is recommended that thelocal planning agency be contacted for theavailability of neighborhood maps before theother techniques are employed. One of the traditional tools for measuringcommunity cohesion by transportationdepartments across the country is by means of a“stability index” or mathematical formula withnumerical variables. The stability index, amethodological approach used for more than aquarter-century, has in more recent years receivedcriticism from some community planners forbeing too narrow, that “cohesiveness” is notsomething that can be made a part of a formula(see following discussion). Essentially, the

stability index is based on the assumption that thelonger people live in a community, the morecommitted they become to it and the morecohesive the community. A quick snapshot of anurban community may be gained by analyzing thenumerical results of the long form (a moreextensive questionnaire) of the decennial U. S.Census which asks respondents if they have beenin their current residence for more than five years.The long form, however, goes to less than 20% ofhouseholds, so it is provides merely a sample ofthe community. For reasons that the stabilityindex may have some inherent biases (e.g., it maynot capture tenants or renters, in California ahigher percentage who tend to be minorities andlow income, and who generally may be forced tomove around for economic and social reasons, butwho still may comprise a “cohesive”neighborhood). The stability index may be mostuseful when it is viewed as just a rough indicatorof neighborhood stability. The index is only onetool, and the planner should never lose sight of theneed to temper the index using information fromthose people intimately familiar with the projectarea. More information on the stability index canbe obtained by contacting the community impactassessment specialist within the CaltransHeadquarters Environmental Program. In any event, it is essential that all neighborhoodand community studies be backed up with directobservation and possibly other research measures.A field trip should be conducted through theneighborhood to observe variables that may beassociated with community cohesion. Look forevidence of informal social interaction andinterdependence (e.g., is there a NeighborhoodWatch program?), pedestrian activity (e.g., aresidewalks readily used?), children at play,predominance of single family dwellings orapartment with courtyards, shared parking lotsand yards of a housing complex, condition ofhouses, parks and other community facilities.However, interpretations of such observationsshould be made with caution as these variables donot always correlate strongly with communitycohesion. Wherever possible, these observationsshould be documented over a period of time.


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Note if residents, either individually or throughtheir representatives, express particular concernfor their neighborhood at public meetings orthrough other forums. This is a useful measure ofcommunity cohesion, especially if such attitudesare voiced by a cross section of residents that maybe affected by a proposal. Other methods to help determine communitycohesion include conducting interviews withcommunity leaders and members of community-oriented ad hoc committees, interviewingmanagers of neighborhood service organizations,having discussions with planning officials, andperusing newspaper articles regarding citizens'views of their community and neighborhoods. Another promising methodological approach tomeasure the psychological sense of neighborhoodat the community level is the development sincethe 1980s of more-refined survey instruments.Although at first quite elaborate, by the middle1990s an eleven item Likert scale that can beaffordably and reliably administered assesses thecohesiveness or “sense of community” at the moreimmediate neighborhood level. Among items thatappear on the survey include a scale to quantifythese statements: • “My friends in this neighborhood are part of

my everyday activities.” • “If there were a serious problem in this

neighborhood, the people here could gettogether and solve it.”

• “Being a member of this neighborhood is like

being a member of a group of friends.” • I don’t care whether this neighborhood does

well” (Reverse scoring is used for this item.). • “I have no friends in this neighborhood on

whom I can depend” (Reverse scoring is usedfor this item).

Finally, we should remember that the purposehere is to analyze the proposed project's impact onthe community or neighborhood, but we mustknow something about them first. Only then can

Caltrans determine if the proposal would orwould not act as a physical or psychologicalbarrier to continued social interaction and so as todivide, disrupt, or isolate that neighborhood. The significance of such project impacts shouldbe assessed as determined by assessing the variousfactors noted above or others that become knownto the community impact assessment analyst orplanner. Essentially, the basic questions are these:is there evidence that community cohesion exists,and if so, will that be damaged by the proposedproject? To what extent? In many cases, trainedsocial scientists and other consultants are best ableto conduct this type of work for Caltrans or itslocal agency transportation partners. 4-6.3 Community Cohesion-- Mitigation Measures Potential adverse impacts to community cohesionmay be mitigated by providing access between thedivided segments of the neighborhood. Structuressuch as pedestrian overcrossings and, when thehigh cost can be justified and potential air qualityconcerns are addressed, "cut and covers" havebeen successfully placed over depressed segmentsof interstates in cities like Seattle and Boston, andmay well provide linkage that permits theresumption of social interaction needed forcohesion. In certain circumstances, facilities suchas parks and activity centers that create a focalpoint for socialization can be developed on top ofthe cut and cover which itself is constructed overdepressed sections of the highway. In otherinstances, reducing the visibility of the facilitymay have the effect of sustaining a sense ofneighborhood aesthetics. Providing opportunitiesfor community involvement early in the projectplanning stages is a critical link for successfullyimplementing measures that will foster sustainablecommunities. LIST OF MITIGATION MEASURES Several mitigation measures can be implementedto avoid or minimize the negative effects of a


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project. The following is a partial list of potentialmeasures to alleviate impacts on the community: • Shift alignment• Elevate facility• Depress facility• Provide cut-and-cover structure• Reduce traffic lanes• Reduce right-of-way width• Provide trees and other landscaping• Provide scenic and rest areas• Add public artwork to a structure• Set aside land for a park• Phase the project to avoid disruption• Limit ingress (temporary or permanent)• Provide access (temporary or permanent)• Provide for or eliminate interchanges• Provide pedestrian/bicycle crossings or paths• Provide for joint use development• Provide signing• Provide street lighting• Provide for replacement land and facilities• Eliminate incompatible land uses• Erect sound or visual buffers to the facility• Provide special amenities to a neighborhood• Compensate properties taken (mandatory) 4-6.4 Access and Circulation Background While state highway projects typically improveregional access, they may also affect local accessand circulation. Beneficial impacts can include anincrease in accessibility and a reduction incongestion. Though transportation can play acritical role in maintaining people’s independenceand provide access to community-based services,there is a whole range of “side effects” that alsomay need to be considered. For example, theconstruction of a freeway or expressway canresult in the closing of cross streets and thecreation of cul-de-sacs. As a result, access bysome local residents to businesses and publicservices may become less convenient. But thenew facility can also have the effect of removingtraffic from a neighborhood.

There are numerous examples which illustrate theimportance of analyzing the effects of changes inaccess caused by new projects. For low-income,disabled, elderly residents, and possibly others,changes in access may become a serious problem.School attendance areas may have to be redrawnif the highway is a physical barrier for students.Local traffic may increase as residents travellonger distances on local streets to enter thefreeway at the limited access points. Responsetimes for emergency vehicles may lengthen withthe closure of local cross streets and may shortenwith improved highways. Pedestrian safety mayalso be affected, depending upon changes intraffic. For example, could a shoulder wideningproject eliminate sidewalks for several blocks inthe vicinity of a school or along an arterialadjacent to which people walk or jog for lack ofalternate access? How is transit service affectedby the new freeway project? If the number oftransit stops is reduced or modified, what will thisdo for the quality of life of older adults, low-income, and people of color who may rely on theservice? Economic losses can occur to businesses nearhighway connections when ramps are closedtemporarily in conjunction with projectconstruction or maintenance activities. If aproject would result in a ramp closure, thepotential for business losses should be assessed(See Appendix F for details on the need toconsider the economic impacts from temporarilyclosing freeway ramp access). Highway improvements can also improve localcirculation. For example, a highway bypass canrelieve congestion on city streets by reroutingthrough traffic away from the central businessdistrict. This may, in turn, encourage residents topatronize local businesses rather than traveling tomore remote shopping centers. A proposed project may affect residents withoutaccess to automobiles. If many residents of aneighborhood must walk to stores, a highwayproject that becomes a physical barrier mayseparate them from access to needed goods andservices. A high level of pedestrian travel may bean indication of a potentially serious effect.


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4-6.5 Access and Circulation Impacts - Analytical Techniques Analysis of access and circulation impacts can beaccomplished by reviewing project plans andthrough windshield surveys. Plan review andwindshield surveys are conducted to determine ifthe project would: 1. Eliminate or restrict automobile or pedestrian access to stores, public services, schools, and other facilities. Pedestrian service areas are generally considered to be 1/4 to 1/2 mile in radius (roughly 1/2-1 km). Also, keep in mind that access may be temporarily hindered during construction activities. 2. Increase or decrease traffic on local streets. For instance, would a new freeway result in higher traffic on local streets that provide access to or egress from the freeway connections? Determine if other streets would have less traffic as a result of the diversion. 3. Result in more circuitous routing for emergency vehicles. 4. Result in any reduction of transit service. 5. Result in changes to popular bicycle or pedestrian routes. Particular attention should be paid as to thepresence of elderly people or children. If there area large number of older persons, try to identifypotential situations where their safety may beimpacted. For example, studies have shownelderly people feel vulnerable when crossing onsidewalks next to overcrossings and bridges.Identify if the groups impacted will be users of theproject. Detailed assessment methods are extremely time-consuming and should be utilized primarily in

cases where accessibility is perceived as a majorissue. Systematic analysis techniques involve doing asmall scale origin/destination (O/D) analysiswithin the affected communities. This level ofanalysis involves defining (1) communityboundaries, (2) the intensity and overlap of travelpatterns, and (3) the importance of the facility tousers. Determining significance requires analysisof attitudes and perceptions of the affectedresidents on the importance of the facilities andservices for social interaction as well as actualpatterns of their use (service areas, frequency ofuse, membership, etc.). This approach requiresdirect interviews with community residents orrepresentatives of local institutions and agencies. Social interaction analysis utilizes the patterns ofmovement to and from community facilities orneighborhood activity centers as a gauge of socialinteraction. At the simplest level of analysis, datacollection involves taking surveys at eachcommunity facility (grocery store, clinic, and soforth) which was found to be important. Users of the facility can be informally questionedas they arrive and depart as to the origin anddestination of their trip, frequency of use, and soforth. Shopkeepers or employees of the publicfacility should also be questioned to determinewhen various population groups use the facility.To take one example, a neighborhood grocerystore may be used by a number of distinct groupswhich arrive at different times and have differentactivity patterns. School children may arrive onweekdays after school and throughout the day onweekends; elderly residents may visitinfrequently, except at the time of the month whenpension or Social Security checks arrive. 4-6.6 Access and Circulation Impacts - Mitigation Measures Mitigation measures may include scheduling ofconstruction to occur during times of low usagefor seasonally-oriented businesses, schedulingconstruction for after-business hours, constructionof frontage roads or secondary access, and


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vehicular and/or pedestrian overcrossings ortunnels, blocking off residential streets,signalization, improved coordination ofemergency vehicle service, expanded transitservice, among others. 4-6.7 Parking Impacts Background Transportation improvement projects can changethe number and/or location of parking spaces.These changes may be temporary, such as theremoval of spaces during construction, includingthose used by the increased numbers ofconstruction workers in the area. Permanentlosses of parking spaces may occur when a newroadway is constructed, additional lanes are builton an existing facility, or even if there is a re-striping if it displaces on-street or off-streetparking. Loss of parking for customers and delivery truckscan affect businesses and the operation ofhospitals, schools, and other public services (somebusinesses, such as a convenience store, arehighly dependent on adjacent parking). Theproblem can be exacerbated when the demand forparking rises as pass-by traffic increases on theimproved roadway. The loss of business-related parking may result invehicles being parked on residential side streets,thus limiting neighborhood parking and access,and also increasing traffic on nearby streets. Theloss of parking may create the need forconstruction of spaces at a more remote and lessconvenient location, and this, in turn, could affectbusiness sales. Thus, as in the situation outlinedabove, parking impacts clearly may be both socialand economic in nature. 4-6.8 Parking Impacts - Analytical Techniques Review project plans to determine the totalnumber of parking spaces that may be removed(check with Caltrans Right-of-Way first to see

whether they will address the issue in theirstudies.). Survey the area to see if any businesswould lose a substantial portion of its customerparking spaces. Contact local merchants or thechamber of commerce regarding the effect of thepotential loss of parking. Also be aware that somelocal jurisdictions require a set amount of parkingfor specific business categories. Information maywell be available from a local parking agency orlocal planning department. Consider the effect onbusinesses that are highly dependent on parkingspaces. Determine if a loss of parking could resultin overflow parking that would cause secondaryimpacts. Finally, consider the effect onneighborhoods if commuter or business relatedparking occurs on residential streets. Ifeliminating parking is unavoidable, identify andinclude a plan of mitigation in the projectdevelopments. 4-6.9 Parking Impacts - Mitigation Measures These mitigation measures, which requireparticipation from the local government forimplementation, include hourly parkingrestrictions, residential parking stickers, and theintroduction of meters that would prevent businesscustomers and/or commuters from overloadingresidential parking facilities, transit riders fromusing business or residential parking facilities, andbusiness customers and employees from usingtransit parking facilities. Other measures haveincluded construction by Caltrans of new parkingfacilities including multi-level garages or the useof highway right-of-way for parking. 4-7 Relocation Impacts Background Displacement has three aspects: (1) the numberand type of families and businesses displaced; (2)the probability that comparable decent, safe, andsanitary housing relocation sites can be found forthose affected; and (3) the psychological andeconomic impacts associated with the relocationprocess.


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Relocation impacts are among the most sensitiveof community-related effects associated withtransportation improvements because they mayinvolve modifying relationships between peopleand their homes and neighbors. The forcedremoval of families from neighborhoods, orbusinesses from their existing locations affects notonly the relocatees themselves, but also those whoremain in the affected neighborhood and thosewho live in the new areas where the relocateeswill live. Not all social impacts associated withdisplacement can be offset by financialcompensation or physical relocation. The impactsto a person’s social attachment to a particularcommunity or the loss of close proximity tocustomary services and recreation facilities maynot be duplicated in another community. Relocation impacts should be assessed by CaltransEnvironmental Planners in collaboration withCaltrans Right of Way Program staff, as theseunits typically collect most of the criticalinformation needed for an analysis. Chapter 10,Section 10.05.00.00 of the Caltrans Right of WayProcedure Handbook is an important reference forthe type of information collected by Right of Waywhich can be also be beneficial for the purposesof preparing a community impact assessment (seeAppendix E). 4-7.1 Residential Displacement The most obvious impact associated withrelocation is the displacement of residents. Theseverity of displacement impacts varies greatlywith the people involved, and impacts are oftenrelated to demographic characteristics. If a personis highly mobile and has had a history of changingresidences frequently, the impact may be only aminor inconvenience. If on the other hand thecommunity is stable and cohesive and residentshave been in their homes for many years, many ofthose displaced may have a difficult timeadjusting to new homes and neighborhoods

because they have a strong attachment to theirexisting home and neighborhood. After all, theseneighborhoods often determine the type of childcare and quality of schools available, the degreeof personal safety, and the availability of jobs. Improved financial assistance has helped to offsetthe adverse economic impacts of residentialrelocation. The adverse psychological and socialimpacts of relocation have understandably beenmore difficult to mitigate. Certain populationgroups such as senior citizens, low incomeresidents and non-English speaking people oftenhave strong community ties and depend uponprimary social relationships and important supportnetworks that can be severed upon relocation.Households with school age children mayconsider relocation especially disruptive if schooltransfers would be involved. Disabled people andthose without automobile transportation oftenhave special relocation problems. 4-7.2 Residential Displacement - Mobile Homes Displacement of mobile home park residents mayinvolve impacts not typically encountered byresidents of more traditional houses or apartments.First, the term "mobile home" is now somewhat ofa misnomer as most units only move from thefactory to a permanent site. The term“manufactured housing” is becoming morecommon, especially when applied to modelsconstructed in the past quarter-century or so.Mobile home parks often occupy an unfavorableposition in community planning and zoning due totheir low tax base and because conventionalresidential owner-occupants rarely want them tobe located nearby because they feel they mayaffect their neighborhood’s overall propertyvalues. Manufactured housing still suffers fromfinancing and zoning barriers arising out of oldattitudes towards mobile homes. Consequently,new parks that could be built to accommodatedisplaced mobile home owners are difficult toestablish in some parts of California.


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When mobile home park occupants must relocate,the mobile home is often sold in place due to theloss in value when it is not established on a pad orsite and the relatively high cost of moving thehome. Some parks charge a fee when a homeremains, but this is usually less than the cost oftransporting it. Also, an old mobile home may beconsidered obsolete or unattractive and so maynot be allowed in other, or newer, parks.Therefore, changes in occupancy do not alwaysresult in vacant spaces, and this limits the supplyof spaces available to accommodate displacees.Too, often the rental rate for the mobile homespace is raised to “market levels” for a newowner. In cases where a vacant space does becomeavailable, the space is often filled as a result of acontinuing agreement between the parkmanagement and local mobile home dealers whohave what is tantamount to an option on thevacant site for their customers. Normally, new parks will accept only new ornearly-new manufactured housing units. Whenused units are accepted, park management oftenrequires painting, new skirting and awnings,landscaping, and such. New parks are generallydesigned to accept "double wide" units (theaverage size of new mobile homes is 1,210 squarefeet). This eliminates them as a source for moreaffordable "single wide" units. Because of these special characteristics, it is oftendifficult to locate mobile home residents near theirformer area or with their neighborhood friendsand relatives. This exacerbates the otherrelocation impacts such as loss of support groups,commute time increases, and so forth. Residents in mobile home parks often live in a“community within a community.” Many parkshave organized community activities for seniorsset up around a recreation center. Planners shouldcontact the park manager to determine whether ornot there are organized activities. 4-7.3 Residential Displacement - Affordable Housing

A loss of a substantial number of housesaffordable to people with low and moderateincomes may have an effect on the community'sstock of affordable housing. This could have theeffect of increasing the demand for housing in agiven sector of the market, bidding up the cost ofthat housing if the market supply is constrainedand thereby disproportionately affecting certainincome groups. The U.S. Housing and UrbanDevelopment Department (HUD) has developedmethods for calculating affordability anddefinitions of low and moderate incomehouseholds. Caltrans Right-of-Way may have thisinformation and can provide information on thenumbers of affordable houses subject to removaland the number of affordable houses in thecommunity. Also, be aware that, in someinstances, units in older motels may be leased forseveral months or longer and constitute regularand permanent residential units for the low-income and migrant worker families, rather thanjust serve overnight customers. 4-7.4 Residential Displacement - Disproportionate Impacts In addition to affordable housing impacts, thedemographic characteristics of the residentssubject to relocation should be investigated todetermine if any groups (low income, minority,senior citizens, disabled, etc.) would bedisproportionately impacted by the proposedproject. Occasionally, advocacy groups will arguethat the project's proposed alignment wasdetermined primarily on the basis of the economic(low) cost of land and housing, so it is importantto document that early planning took into accountand took steps to ameliorate potential impacts tothe housing stock of any particular social oreconomic group. In analyzing impacts ofrelocation, it is important to identify whichgroups, if any, would benefit and which would bedisadvantaged by a highway project. See theearlier discussion on community participation,environmental justice and Title VI considerations.


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4-7.5 Residential Displacement - Senior Citizens and Disabled People Senior citizen and physically disabled residentsare typically more seriously affected by relocationthan other groups. Some older people move to becloser to family and some move to a betterclimate, but most want to stay put. According to atelephone survey conducted by the AmericanAssociation of Retired Persons, 78% of thosepolled indicated they do not want to leave theirown homes. This makes sense. Older Americansoften rely on others for emotional support, and arefrequently dependent on community services andlocal access to stores. Look at the services olderpeople can avail themselves to in their currentresidential location. Is basic convenienceshopping (food, pharmacy, dry cleaning, and soforth) available nearby? Is there an emergencyhealth care facility or full-service hospital nearby?Is the neighborhood considered safe? How closedoes available public transportation come? Howlikely is it that these amenities will change withimplementation of the project? When members ofthese age groups are displaced, the relationshipsproviding such assistance are often lost and notalways re-established. Be aware, too, that olderpersons are not homogeneous. For instance,studies show that the "young" elderly, aged 65 to74, are relatively healthy. Those aged 75 and overare more likely to be disabled. 4-7.6 Residential Displacement - Analytical Techniques Much of the information needed for analysis ofrelocation impacts can be obtained from CaltransRight of Way staff. Please refer to Chapter 10,Section 10.05.00.00 of the Caltrans Right of WayManual noted earlier, and consult with DistrictRight of Way on the scheduling and preparationof the Draft Relocation Impact Statement orReport. For consultant contracts, Caltrans DistrictRight of Way should review the scope of workpertaining to relocation studies (whether thecontract will be for a separate relocation study oras part of the larger environmental document)prior to issuing a request for proposals orsoliciting bids. Also, remember that the District

Right of Way Program should review allrelocation studies prepared by consultants toensure compliance with the laws, proper depth ofanalysis and sufficient supporting documentationprior to the data being used in the environmentaldocument. The analyst should provide a description of thenumber and types of residences subject torelocation (e g., single family, multifamily,apartments, mobile homes, owner-occupied,rented, size, price, condition, and age). Determineif a substantial portion of the city, county, orregion's affordable housing would be subject todisplacement. List the measures proposed underthe provisions of the Uniform Relocation Act forthe loss of such housing (See the section onmitigation measures below). Coordinate withRight of Way to ascertain the percent of thecommunity's affordable housing that would be lostand whether or not the percentage may beconsidered a significant impact. Generally, if theproposed project would reduce the overallvacancy rate below 2 percent or if it would impactmore than 5 percent of a specific type of unit, theimpact would presumed to be consideredsignificant. However, investigation and analysismay prove otherwise; hence, “significance” canonly be determined according to the particularcircumstances. The planner should determine the number ofpeople in the affected area who are subject torelocation (usually obtained by multiplying theCensus data on the average persons per householdby the number of units). A determination shouldalso be made as to whether a substantial portion ofthe relocatees belong to a classified minority orare low-income. If so, the planner needs todetermine whether the percentage of relocateesthat belong to that minority group significantlyexceeds their representation in the surroundingregion, city, or county. This is done to evaluateany potential for disproportionate impacts to suchgroups. Caltrans District Right of Way canusually help provide this information on ethnicand racial composition, as well as the percentageof low-income people.


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It should be noted that although required forpurposes of determining compliance with Title VIof the Civil Rights Act, concern for minorities hasgained additional attention in the recent past underthe heading of environmental justice. In 1994,President Clinton signed Executive Order 12898:“Federal Actions to Address EnvironmentalJustice in Minority Populations and Low IncomePopulations.” The Executive Order requires thateach Federal agency, to the greatest extentallowed by law, shall administer and implementits programs, policies, and activities that affecthuman health or the environment so as to identifyand avoid “disproportionately high and adverse”effects on minority and low-income populations.Further guidelines and methodological approachesto aid agencies to determining whether there maybe environmental justice concerns are expected tobe eventually issued by the U.S. Department ofTransportation, but have not yet been madeavailable. Inquire with the Caltrans HeadquartersEnvironmental Program for more information. Determine if a substantial number of transitdependent and/or physically disabled people willbe subject to displacement. Coordinate withRight-of-Way to determine any measures neededto be taken to reduce the relocation impact tothese groups. Public assistance agencies andRight of Way may have this information. Effective and established techniques for assessingthe severity of social and psychological impactsfrom residential displacement are not available.The severity of impact is related to numerousfactors; the effectiveness of mitigation efforts islargely related to the amount of compensationavailable and the expertise and sensitivity ofapproach applied to relocation situations byCaltrans Right of Way personnel, but as discussedearlier, there are other situations where the socialand psychological effects associated withrelocating people cannot be wholly mitigated. Finally, keep in mind that while the generalattitude prevails that displacement is a negativeimpact, this is not always the case. In manyinstances, individuals and families forced torelocate due to a project do improve their quality

of living because of a better housing situation thanthe one they left behind. 4-7.7 Residential Displacement - Impact on School Districts With projects that would include a sizable numberof residential displacements, the planner shouldcontact school district offices that serve theaffected community area. The purpose is togather information to determine if there would beany potential impacts associated with the reducedattendance related to projects that require manyhouseholds to be displaced. The nature of school financing in California haschanged dramatically over the past several yearsand it is discussed briefly here because it affectsthe way the environmental planner should look atanticipated impacts on public schools. In 1972, the State enacted legislation whichestablished a system of revenue controls thatlimited the maximum amount of general purposeState and local revenue that a school district couldreceive. The revenue limit formulas include botha base revenue limit - a basic education amountper unit of average daily attendance (oftenabbreviated ADA, but not to be confused with theAmerican Disabilities Act) - that has beenequalized over time, and revenue limitadjustments that provide additional revenues forspecial needs, such as unemployment insurance. Though the statutes remain on the books, since thepassage of Proposition 13 in 1978, as well throughthe results of court decisions, schools are nolonger largely financed through local propertytaxes. Currently, as a result, losses in assessedproperty valuations due to removing propertyfrom the tax rolls have no effect on revenuesreceived by school districts. This is because anysuch reductions in local tax revenue distributed toa school district are automatically compensated byincreased State aid in an equal amount. Instead,the current education financing system is drivenby pupil enrollments, measured as average dailyattendance. School districts have their total district


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revenue limit funds calculated based on ADA ofthe previous year. In other words, the question for the analyst withrespect to impacts on school financing becomesnot how many total properties are likely to beremoved from the local tax rolls, but how manydisplacements are likely to involve families withschool age children, and are they likely to berelocated within the same school district? On theother side of the ledger, those enrollments that aredrained from one school district must be assumedto shift to other school districts, with acorresponding increase in their respective revenuelimits. By law, impacts on student enrollments may bemitigated through "Severance Aid" (EducationCode Article 16, section 41960 extract in CaltransStatutes). 4-7.8 Business Displacement - Background

An important aspect of business displacement isthe availability of land to which the firm(s) canrelocate and remain economically viable. Whilevacant land with proper zoning may be available,its location may not meet the specific needs of theparticular business. Large-scale widening projectsoften displace highway dependent firms such asgas stations and fast food restaurants. If thesefirms cannot find another location along a busyroadway, they may not be able to attract enoughcustomers to remain profitable. One study, conducted in Texas, found that the rateof "non-survival" for businesses displaced bytransportation construction projects was 23%, butthere has been no known recent researchconducted on this topic. In any event, in suchcases, displacement results in a direct loss of localincome. In most instances, the business volume isquickly absorbed by other firms offering similarservices and products in the region. Thus, there isa redistribution rather than a real loss in net

business activity. Individual businesses, however,may experience severe gains or losses, andalthough the precise impacts might not be known,efforts to characterize these possible effectsshould be made by the planner preparing thecommunity impacts assessment. 4-7.9 Business Displacement - Employment Impacts Relocation of business firms and industries canresult in unemployment and associated financialimpacts. If the firms relocate within thecommunity and remain viable, the unemploymenteffect will be temporary. A more serious impactwill occur if the firms cannot relocate or do sooutside the region. The size of the firm maydetermine the importance of the employmentimpact to the community. The physical removalof a city's major employer could well be asignificant impact under CEQA, and it couldresult in multiplier effects to related businesses.The loss of a small business, however, is likely tohave a lesser effect on employment in thecommunity because of the fewer numbers ofhouseholds affected. Employment impacts areless severe when the employer has sufficient leadtime to become established at a new location,prior to closing the existing facility. Loss of key employees may occur when somebusinesses are displaced and workers are notwilling to relocate or travel to the new area. Thiscould affect the firm's ability to re-establish itselfin the new location. The severity of this impactvaries with the type of business, the distance toand attractiveness of the new location, as well asthe employees' interest in continued employmentwith the firm. As with many of the areas ofconcern within the broad area related tocommunity impact assessment, it would not beexpected that this issue would be relevant to mostof Caltrans’ projects. 4-7.10 Business Displacement - Loss ofClientele


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Often firms are profitable because they have builtup a loyal clientele over time. Relocation to anew area may require time to re-establishcustomers. This time period may be short for wellknown firms such as nation-wide fast foodfranchises or service stations. The time period,however, may be long enough to affect theeconomic survival of those without national orregional name recognition. Local residents may be dependent on certain firmsfor needed goods and services. People withoutautomobile transportation may be affected if anearby grocery store or senior citizens' center ismoved out of the neighborhood. Analysis ofrelocated businesses should, therefore, include anassessment of any special characteristics of theirclientele. 4-7.11 Business Displacement - Analytical Techniques Determine if there are appropriate relocation sitesavailable for the displaced businesses. CaltransRight of Way may have looked into this; checkwith them first. Often redevelopment agencieswill develop plans for relocating displaced firmsand these can be useful in determining the severityof relocation impacts. Describe the size (in square footage if possible)and types of businesses (i.e., retail, wholesale,manufacturing, service, government, or non-profit) subject to relocation. Determine thepercentage of the city, county, or region'sbusinesses that are subject to relocation. Estimatethe number of years such firms have been inoperation. (Caltrans architectural historians shouldbe able to help in this regard). Determine if thebusinesses are established, declining, or new. Usethis information to analyze the ability of the firmsto economically survive a relocation. Ifappropriate, an analysis of relocation impactsshould include an assessment of the potential forbusinesses to relocate to economically viableareas. Availability of relocation sites will beaffected by zoning restrictions, property values,accessibility or other special requirements of the

business (e.g., a dog kennel, print shop, autodismantling). Some may be non-conforming landuses. Describe whether the businesses subject torelocation serve primarily through traffic or localcustomers. Determine if the displaced firms willsuffer a loss of clientele upon relocation. Firmscatering primarily to through traffic, if relocatedalong a highway with adequate access, aretypically less affected than those which serve alocal clientele which has been built up over manyyears. Determine the number and type (professional,skilled or unskilled labor, etc.) of employeesworking for the firms subject to displacement.Make an assessment of the opportunity for theemployees to continue to work for the relocatedfirms. Note whether or not the firms will likelyhave to relocate to a distant location that mayrequire the employees to relocate or travel longdistances to work. If it has been determined thatany businesses will close rather than relocate, thisimpact should be mentioned. Indicate if any ofthe displaced firms is a major employer in thecommunity and discuss the potential forsubstantial layoffs. If people are employed withfirms that would close and their skill is one withlimited job opportunities, this should be indicated.

In some instances, certain institutions andorganizations serving special groups may havedifficulty in finding a nearby replacement site, andthereby no longer be convenient to the peoplewho most need their services, such as a healthcare facility for the elderly or a substance abusetreatment center that is forced to move. But thereare other land uses which on the surface wouldnot be expected to have a tough time making a goof it. For example, there have been situations inCalifornia where neighbors did not want a churchto move into a building. In some neighborhoods,churches are viewed as nuisances that will causenoise, parking hassles and traffic jams and,because of their tax-exempt status, not contributeto the tax rolls. In other neighborhoods, they areviewed as stabilizing forces, and would bewelcome with open arms.


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4-7.12 Compensation for Displacements Coordinate with Right-of-Way and/or localagencies as to potential mitigation measures forimpacts considered to be significant under CEQA.Such measures may include the establishment ofspecial financial and/or advisory services throughRight-of-Way programs, buy and lease backprograms for businesses subject to displacement,Caltrans funding of additional mobile home units,last resort housing, special transit (e.g., dial-a-ride) services, and local plans for relocating firmsto economically viable locations. The Department's Relocation Assistance Program(RAP), as established by Federal and State law,provides help to individuals, families, businesses,and others that are required to relocate as a resultof a public improvement project. Its primaryobjective is to assist all project displacees so thatthey do not suffer disproportionate injury as aresult of projects constructed for the benefit of thepublic. Federal and State Laws (The Uniform RelocationAssistance and Real Property Acquisition PoliciesAct of 1970 Public Law 91- 646, as AmendedApril 2, 1987, and California Government Code,Chapter 16, Section 7260, et seq., or often justcalled the Uniform Relocation Act, in shorthand)require that relocation assistance be provided toany person, business, farm or nonprofit operationdisplaced because of the acquisition of realproperty by a public entity for public use.Compliance with the Federal Act is required byany public agency where Federal funds are to beused in the acquisition or construction of theproposed project. It is not considered mitigation,per se, but an entitlement because compensation isrequired by other than environmental laws, and is,of course, provided regardless of magnitude ofimpact. The Relocation Assistance Program specifies thatbefore any project may be undertaken whichinvolves the displacement of people, aReplacement Housing Study (final relocationimpact document) must be completed to determine

the needs of relocatees and the availability ofreplacement housing. These studies serve toassure that orderly relocation can be accomplishedand that realistic and adequate plans aredeveloped for the relocation of all displacedpersons. The information contained in thesestudies can also assist the environmental plannerin determining whether under CEQA the socialimpacts are significant. The Federal Uniform Relocation Assistance Actof 1970 (as amended) and the CaliforniaRelocation Assistance Act (Govt. Code Section7260 et seq.) both require that, within a reasonableperiod of time prior to displacement, comparablereplacement housing will be available or providedfor each displaced person. Such assurance is partof the RAP Study process and must be specificallygiven on every project requiring residentialdisplacement. A standard paragraph statement such as thefollowing model should be included in all federalenvironmental documents for projects withrelocations: Relocation assistance payments and counselingwill be provided to persons and businesses inaccordance with the Federal UniformRelocation Assistance and Real PropertiesAcquisition Policies Act, as Amended, to ensureadequate relocation and a decent, safe, andsanitary home for displaced residents. Alleligible displacees will be entitled to movingexpenses. All benefits and services will beprovided equitably to all residential andbusiness relocatees without regard to race,color, religion, age, national origins anddisability as specified under Title VI of theCivil Rights Act of 1964. Please refer to Appendix E for more detailedinformation on Relocation Assistance. 4-8 ECONOMIC IMPACTS Also see discussions under Business Impacts


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4-8.1 Local Tax Revenue Background Removal of residences and businesses for aproject results in an initial loss of property andsales tax revenue. These fiscal impacts areprojected only to the local jurisdictions. In mostcases, the amount of tax revenue lost will be aninsignificant percentage of total revenue. Forinstance, in the early 1990s, statewide only about20% of local government’s total general revenuederived from property taxes. Also, the loss isoften only temporary as displaced homeownersand businesses will resume payment of property-related taxes upon relocation. However, theoriginal taxed property is permanently taken offthe tax rolls and not necessarily replaced by newconstruction if the stock of housing is sufficient.There may be a more important impact if most ofthe displacees relocate outside the original taxingjurisdiction or if businesses cease operationsaltogether. If a project facilitates a substantial amount ofgrowth, property and other tax revenues mayincrease. In many cases, this could more thanoffset any revenue losses associated withrelocation. 4-8.2 Local Tax Revenue - Analytical Techniques An analysis of the impact on local tax revenue,both property and sales taxes, should be done, if asizable portion of a community's residences and/orbusinesses may be removed. The tax revenue lostshould be calculated as a percentage of total localtax revenue and not just presented as a totalamount. Property tax information can be obtainedfrom the county tax assessor offices. Sales taxinformation can be obtained from the CaliforniaState Board of Equalization. If most of theresidents and businesses will be relocated in thecommunity, however, the tax loss should bedescribed as minor and temporary only, and acalculation of the property and sales tax changesneed not be done.

4-8.3 Local Tax Revenue - Mitigation Measures Loss of revenue may be compensated for, at leastin part, by several methods. These includerelocation assistance that moves businesseselsewhere in the community, by the short termboost to the local economy that stems fromconstruction expenditures (contact the communityimpact assessment specialist within the CaltransEnvironmental Program in Sacramento for moreinformation on this), and from long term effects ofimproving access to businesses which results inhigher income and tax revenues. Right of waycompensation also may return in the form ofreinvestment elsewhere in the community. 4-8.4 Bypasses and Roadside BusinessImpacts When a highway bypass project is proposed as asolution to transportation problems, typically, oneof the main concerns is what the effect will haveon local businesses. Because, by definition, abypass implies the city's main street no longercarries through traffic, businesses which caterprimarily to through traffic may suffer financiallymore than those serving local needs. Studies haveshown, however, that frequently businesses willrelocate along the highway bypass and remainprofitable. Also, businesses serving local needsmay enjoy more patronage because the downtownshopping area is perceived to be more attractiveand safe because the bypass has diverted traffic,noise and congestion away from the former statehighway and adjacent local streets. In general,then, bypasses tend to have a beneficial impact onthe social aspects of a community (no disruptionof cohesive aspects; few or no direct relocations,improved pedestrian safety, etc.), and may or maynot have a beneficial impact on the economy ofthe town or city to be bypassed. As is true of somany community impacts, the effect varies witheach project. The planner preparing the community impactassessment should discuss any likely effects to


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downtown businesses and related employmentthat may be associated with a highway bypassproposal. Determine if the downtown businessesbypassed serve primarily local customers or ifthey are dependent on through-highway traffic.Discuss the potential for any businesses torelocate to economically viable sites along thenew bypass. Determine, also, if there arebusinesses serving primarily local customers willbe better off because by reducing congestion andnoise and improving parking followingconstruction of the bypass, downtown may wellbe made more pedestrian-friendly. The following factors are important in the initialassessment of potential economic effects tocommunities due to bypasses: • population of the community • nature of local economic base • type/location of businesses • % of traffic-dependent retail • type of existing highway • average daily traffic (ADT) • origin/destination of traffic • distance to other cities and towns Analysis variables may include interregionaltraffic volumes and patterns, future growth(existing and proposed land use and development)trends, traveler spending potential, distance fromthe existing to the proposed facility. The analyst will probably find some businessoperations easy to determine as to the extent theiroperations depend on pass-by traffic. The twoheadings below offer some illustrations: Typically Traffic Dependent • Restaurant/Lounge

• Gas station• Ice cream store• Roadside vegetable stand Typically Not Traffic Dependent • Bank• Industrial• Realty• Laundry• Insurance• Law firm• Mortuary• Appliance repair• Veterinary• New auto sales• Computer sales There are other classes of operations (dependingon local circumstances) which by their nature arenot so clearly defined as to the degree they rely ontraffic to sustain their business: Variable Traffic Dependency • Flea market• Antique store• Garden center• Hardware• Miniature golf/amusement center• Grocery store Studies conducted around the nation by variousstate's Departments of Transportation generallyindicate the following: 1. The size of community influenced the intensityof the economic impacts. Generally a larger town has a larger economicbase, and will continue to draw more people topurchase goods and services there. Some studieshave shown that towns with less than a populationof 5,000 are harder hit; others have used 500 as abottom-line population.


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2. The effects of a bypass on towns with tourist-based or service-oriented economies may be lessthan other towns. A decrease in truck traffic and auto congestioncan actually enhance pedestrian safety in a CBDand make the local residents more willing to godowntown because of an environment made moreconducive to shopping. 3. A new highway bypass built a mile away (orcloser) from the existing roadway experiences lessof a drop in sales volumes. Studies have shown travelers do not generallyperceive a mile (or thereabouts) to be so great aninconvenience when in need of services such asgas and food. 4. Some highway-oriented businesses were able toovercome losses in revenue through creativemeans. Changes in business practices to serve more localdemand; expand advertising to local clienteles,and so forth have counteracted the effects of adrop off of drive-by traffic. It should be remembered that these summaries areprovided as a rule of thumb only; specific bypassstudies should be consulted to determine theextent to which the various methodologies andfactors identified above can be duplicated in adifferent bypass experience. A publication prepared for the U.S. EconomicDevelopment Administration, UnderstandingYour Economy: Using Analysis to Guide LocalStrategic Planning (1991) outlined key locationand economic function considerations of citiesrelative to larger regional economic forces. Thesemay be useful for understanding the effects ofhighway bypasses: Areas in close proximity exchange significantflows of goods, services, people, and income.Geographic patterns of development and tradewithin and around the study area can be examinedto identify the function of the local economy

within the regional economy. Other things toconsider include: • Population characteristics and trends and

implications for population-support functions(e.g., housing, retail trade)

• Location of employment centers and policy

implications of community patterns • Special regional functions (e.g., airports,

universities, recreation facilities) Adjacent communities often compete with thestudy area for consumer and producer markets inthe region. At the same time, adjacentcommunities are potential consumers of goodsand services produced locally. Finally, it should be noted that circuitity of traveland alternative access issues are non-compensibleunder Federal law. While the previous analysisand discussion is appropriate for theenvironmental document for a bypass project, thisshould be made clear so as to not mislead thepublic or decisionmakers into thinking bypassedbusinesses located on old routes would be eligiblefor loss of goodwill payments and other benefits.Only properties with actual physical takings areeligible for acquisition and relocation benefits(i.e., compensation). 4-8.5 Parking Loss Impacts Please refer to the discussion under Social Impacts(Section 4-6.7). 4-8.6 Joint Development In developing a project, there may arise anopportunity to utilize public lands (right-of-way)for more than just transportation purposes. Jointdevelopment involves integrating transportationinfrastructure and non-highway uses into a singleenvironment and functional whole. Since they areusually developed independently, it requiresconsiderable coordination to achieve mutualgoals. Highway projects can be integrated with


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the development of bikeways, public buildings,apartments, parks, and other public or privateundertakings, and may fit better into the overallfabric of the community than if they weredeveloped separately. For example, in someproject locations (thus far, all outside California),a commercial development has been successfullybuilt on a cut and cover deck above the highwayimprovement so as to help replace commercialbuildings displaced by the highway project. Too,public parking may be made available to a city bythe space created underneath a new elevatedstructure. When appropriate, the ED should discuss how theimplementation of joint development projects willpreserve or enhance the community’s social,economic, environmental, and visual values. Thisdiscussion should include information oncommercial and residential opportunities,conservation and preservation opportunities, andopportunities for increasing communityaccessibility and retail sales. 4-8.7 Secondary and Indirect Impacts The NEPA Implementing Regulations (40 CFR1502.16), the FHWA Technical Advisory andCEQA Guidelines S(15126 (G)) all require thatsecondary (or indirect) consequences be includedas part of the environmental review process.Direct effects and indirect effects of a project bothare “caused by an action.” Direct effects “occur atthe same time and place,” while indirect effects“are later in time or farther removed in distance,but are still reasonably foreseeable.” There are a variety of secondary or indirectcommunity impacts that may be associated withmajor transportation projects. For instance, alarge project’s physical removal of many homes,leading to a reduction in a small community’shousing supply, could have secondary effects onthe existing housing market by creating anincreased sales price for the available homes.Other examples include the ability of an area’seconomy to survive the removal of a large numberof houses, businesses, and community services,the loss of sales due to construction or changes in

traffic patterns, a community’s ability to absorbrelocated residents, changes in property value dueto the construction of a project, increasedcommuting time to drivers, belated relocation dueto loss of job, and increased costs of doingbusiness, to name but a few of the consequencesthat may result from project implementation (seesection 4-3.6 also). To some extent, such impactsare tied to understanding the cause and effectrelationships of the social and economic system,which we have been identifying throughout thisvolume. Understandably, indirect effects are noteasy to measure. This is not to suggest that thesecommunity impacts are not real; they should bepresented in the ED so that they might beconsidered in the decision-making process. Andin this regard, when large numbers of systemvariables are involved, diagrams and matrices mayprovide a clear illustration to the reader. The degree of confidence planners have inpredicting indirect or secondary effects of aproject will be based on a combination of sources,including published research results, observationsfrom other like-projects, and professionaljudgment supported by education and experience. Another question planners confront: if a proposedaction is determined to cause secondary orindirect effects, what can and should be done tomitigate the adverse impacts? Consistent withexisting FHWA regulations, mitigation proposalsmust be both reasonable and have an identifiedrelationship to project impacts. Opportunities forincorporating environmental enhancementactivities into project features are now expandingour traditional view of mitigation. It is especiallyimportant to work with local public agencies andorganizations to seek ways to better integrate thetransportation facility into the surroundingcommunity fabric.


APPENDICES


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APPENDIX A

REFERENCES The following general list of books, reports and articlesshould prove useful for community impact assessmentsin conjunction with the various suggestions provided inthis volume. PART 1 ---------------------------------------------------------- Planning And Socioeconomic Assessments Alonso, William and Paul Starr, eds. The Politics ofNumbers. New York: Russell Sage Foundation. 1987. Babbie, Earl. The Practice of Social Research.Belmont, CA: Wadsworth, 6th ed., 1992. Bass, Ron, "Cumulative Impact Analysis", a handout atCEQA Workshop. Sacramento, Ca., Association ofEnvironmental Professionals, January 30, 1992. Bookout, Lloyd W., "Jobs and Housing: the Search forBalance," Urban Land, October 1990, 5-9. Branch, Melville C., Regional Planning: Introductionand Explanation. Westport, Conn.; Praeger Publishers,1988. Buckner, John C. “The Development of an Instrumentto Measure Neighborhood Cohesion.” AmericanJournal of Community Psychology. (Volume 16,Number 6) 1988. Bullard, Robert D., ed. Unequal Protection:Environmental Justice & Communities of Color. SanFrancisco: Sierra Club Books, 1994. Burdge, Rabel J., "The Social Impact AssessmentModel and the Planning Process," EnvironmentalImpact Assessment Review, Volume 7, 1987. Canter, Larry, et. al. Impact of Growth: A Guide forSocio-Economic Impact Assessment and Planning,Chelsea, MI: Lewis Publishers, Inc., 1985. Catanese, Anthony. J., Scientific Methods of UrbanAnalysis. Urbana, IL., University of Illinois Press,1972.

Cervero, Robert A., "Jobs-Housing Balancing andRegional Mobility", Journal of the American PlanningAssociation, Spring 1989, 136-150. Deakin, Elizabeth, Transportation and Land UsePlanning in California: Problems and Opportunitiesfor Improved Performance. Working Paper No. 53,Berkeley, The University of California TransportationCenter, 1991. Edwards, John D., Jr., "Traffic and Land Use Planning,and the Decline of the Central Business Districts," ITEJournal (December 1991). Federal Highway Administration, Innovations inPublic Involvement for Transportation Planning.Federal Highway Administration, Washington, D.C.,1994. Federal Highway Administration, Position Paper onSecondary and Cumulative Impact Assessments.Federal Highway Administration, Washington, D.C.,April 1992. Finsterbusch, Kurt. Understanding Social Impacts:Assessing the Effects of Public Projects. Beverly Hills,CA.: Sage Publications, 1980. Finsterbusch, Kurt, Lynn G. Llewellyn and C.P. Wolf,eds., Social Impact Assessment Methods. Beverly Hills,Sage Publications, 1983. Frank, J.E., The Cost of Alternative DevelopmentPatterns: A Review of the Literature. Washington, D.C., Urban Land Institute, 1989. Fulton, William, Guide to California Planning. PointArena, Solano Press Books, 1991. Giuliano, Genevieve, "Is Jobs-Housing Balance aTransportation Issue?" Transportation ResearchRecord No. 1305, 1991, 305-312 Gordon, Peter, and Richardson, Harry W., "CongestionTrends in Metropolitan Areas", in Curbing Gridlock:Peak-Period Fees to Relieve Traffic Congestion -Volume 2 Commissioned Papers, Special Report 242,Washington, D. C., National Research Council, 1994. Huddleston, Jack and Prem Pangotra, "Regional andLocal Economic Impacts of TransportationInvestments," Transportation Quarterly. Volume 44,No. 4, October 1990.


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Klosterman, Richard E., Community Analysis andPlanning Techniques. Rowman & Littlefield, Savage,Maryland, 1990. Lave, Charles, Things Won't Get a Lot Worse: TheFuture of U.S. Traffic Congestion. Working Paper No.33. Berkeley, The University of CaliforniaTransportation Center, June 1991. Leistritz, F. L., and B. L Ekstrom, Social ImpactAssessment and Management. New York, NY.Garland Publishing Inc., 1986. Leistritz, F. L., and S. H. Murdock, The SocioeconomicImpact of Resource Development: Methods forAssessment. Boulder, CO. , Westview Press, 1981. Menendez, Aurelio and Peter Cook, "TransportationModeling and Institutional Change," ITE Journal(January 1990). Meyer, J.R. and J.A. Gomez-Ibanez, Autos, Transitand Cities. Cambridge, MA., Harvard University Press,1981. Nasar, Jack L. and David A. Julian. “ThePsychological Sense of Community.” Journal of theAmerican Planning Association (Volume 61) Spring1995. Remy, Michael H., Tina A. Thomas and James G.Moose, Guide to the California Environmental QualityAct, 6th Ed. Point Arena, Solano Press, 1992. Rickson, Roy E., John S. Western and Randel J.Burdge, "Social Impact Assessment: Knowledge andDevelopment." Environmental Impact AssessmentReview (Vol. 10), 1990. Rohe, William M. and Scott Mouw, "The Politics ofRelocation: The Moving of the Crest StreetCommunity." APA Journal (Winter 1991). Transportation Research Board, Interim Materials onHighway Capacity, Transportation Research Circular,No. 212, (January 1980). U.S. Department of Transportation, "Social ImpactAssessment: A Sourcebook for Highway Planners",Vols. I-V, (June 1982). U.S. Department of Transportation and Owings &Merrill, Environmental Assessment Notebook Series(Highways), Notebook 2 (Social Impacts) andNotebook 3 (Economic Impacts), 1975.

U.S Department of Transportation, Federal HighwayAdministration. “Community Impact Assessment: AQuick Reference for Transportation”, September 1996. PART 2 -------------------------------------------------------- Agriculture and Rural Lands American Association of State Highway andTransportation Officials, A Guide for TransportationLandscape and Environmental Design, WashingtonD.C. June 1991. American Farmland Trust, Western Office, AHandbook for Conserving Agricultural Land. Davis,CA. January 1990. Bass, Ron. "Assessing the Environmental Impacts ofAgricultural Land Conversion," California Office ofPlanning and Research, April 1982. Bass, Ronald, et. al., "The Impact of FarmlandConversion in California." The EnvironmentalProfessional, (Volume 14) 1992. California Department of Conservation, AdvisoryGuidelines for the Farmland Mapping and MonitoringProgram. April 1984. California Department of Conservation, "TheWilliamson Act: Protecting Our Land Resources." n.d,c. 1991. California Governor's Interagency Council on GrowthManagement (et. al.) Agricultural Conservation andGrowth Management. August 1992. Jones & Stokes Associates, Inc., The Impacts ofFarmland Conversion in California. Prepared for theCalifornia Department of Conservation. January 24,1991. Madge, Anne E., "Protecting Farmland through ImpactFees in California." Land Use Law. January 1992. Salant, Priscilla. A Community Researcher's Guide toRural Data. Washington, D.C. 1990. Schmidt, Robert H., Jr., "Freeway Impact onAgricultural Areas," Natural Resource Journal(Volume 20) July 1980.


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University of California Agricultural Issues Center,Land in the Balance: The Williamson Act Costs,Benefits, and Options. Prepared for the CaliforniaDepartment of Conservation. December 1989. Wayman, Dick. "Local Land Trusts as FarmProtection" Coast and Ocean. (Volume 6) Fall 1990. PART 3 ----------------------------------------------------------- Demography and Census Adams, Charles F., California in the Year 2000. PaloAlto: Pacific Books, 1992. California Institute of Public Affairs, Ethnic Groups inCalifornia: A Guide to Organizations and InformationResources, Claremont Colleges, 1987. Murdock, Steve H., and David R. Ellis, AppliedDemography: An Introduction to Basic Concepts,Methods and Data. Boulder, CO: Westview Press,1991. Myers, Dowell. Analysis with Local Census Data:Portraits of Change. San Diego: Academic Press,1992. Quinn, Barbara. "Public Services in Aging America."American City and County. November 1989. PART 4 ______________________________________Economic Forecasting and Fiscal Analysis Armstrong, J. Scott. Long-Range Forecasting: FromCrystal Ball To Computer. New York: John Wiley &Sons, 1985. Burchell, Robert W., et. al., The New Practioner'sGuide to Fiscal Impact Analysis, Rutgers University:Center for Urban Policy Research, 1985. California Office of Planning and Research, EconomicPractices Manual. Second Edition. Sacramento, CA.Office of Procurement, Publications Section, 1984. Huddleston, Jack R. and Prem P. Pangotra, "Regionaland Local Economic Impacts of TransportationInvestments." Transportation Quarterly, Vol. 44, No.4, October 1990.

McFarland, W. F., D. Burke, J. Memmot, and J.Buffington, Economic Analysis of TransportationExpenditures: A Literature Review. TexasTransportation Institute, November 1989. N.C.I. Research, Understanding Your Economy: UsingAnalysis to Guide Local Strategic Planning. Evanston,Ill: Prepared for the Economic DevelopmentAdministration. September 1991. Perera, Max H., "Framework for Classifying andEvaluating Economic Impacts Caused by aTransportation Improvement," TransportationResearch Record 1274 Shaffer, Ron., Community Economics: EconomicStructure and Change in Smaller Communities. Ames,Iowa: Iowa State University Press, 1989. PART 5 ______________________________________ Growth Inducement and Land Use Audirac, Ivonne, Anne H. Shermyen, and Marc T.Smith, "Is the Development Debate of the 1990s toResonate as a Fanfare for Community?", Journal of theAmerican Planning Association, Autumn 1992, 514-516. Bourne, L.S., "Self-Fulfilling Prophecies?Decentralization, Inner City Decline, and the Qualityof Urban Life", Journal of the American PlanningAssociation, Autumn 1992, 509-513. Cambridge Systematics, LUTRAQ Reports: Volume 1:Modeling Practices: Volume 2: Existing Conditions.Portland, Oregon, 1000 Friends of Oregon, 1991. Deakin, Elizabeth, "Land Use and TransportationPlanning in Response to Congestion Problems: AReview and Critique", Transportation ResearchRecord 1237, 1989 Deakin, Elizabeth, Land Use and TransportationPlanning in Response to Congestion: The CaliforniaExperience, Working Paper No. 54. Berkeley, Ca.: TheUniversity of California Transportation Center,November 1991. Deakin, Elizabeth, "Jobs, Housing, and Transportation:Theory and Evidence on Interactions Between LandUse and Transportation, Transportation, Urban Form,and the Environment, Proceedings of a Conference,Beckman Center, Irvine, California, December 9-12,


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1990, TRB Special Report 231. Washington, D.C.,Transportation Research Board, 1991. Deakin, Elizabeth, "Urban Transportation CongestionPricing: Effects on Urban Form", in Curbing Gridlock:Peak-Period Fees to Relieve Traffic Congestion -Volume 2 Commissioned Papers, Special Report 242,Washington, D.C., National Research Council, 1994. Dobbins, Allison, David Gillen, Mark Hansen, YuanlinHuang, Monish Puvathingal, DRAFT The Air QualityImpacts of Urban Highway Capacity Expansion:Traffic Generation and Land-Use Impacts. Berkeley,Institute of Transportation Studies, April 1993. Emerson, Donald, "Framework for Analyzing theImpact of Fixed- Guideway Transit Projects on LandUse and Urban Development", TransportationResearch Record 1274, 1990, 150-155. Department ofTransportation, 1990. Giuliano, Genevieve, "Land Use Impacts ofTransportation Investments: Highway and Transit". InThe Geography of Urban Transportation, edited bySusan Hanson. New York, The Guilford Press, 1986. Giuliano, Genevieve, "New Directions forUnderstanding Transportation and Land Use,Environment and Planning A, Vol. 21, 1989, 145-159. Giuliano, Genevieve and Kenneth A. Small, Is theJourney to Work Explained by Urban Structure?.Working Paper No. 107. Berkeley, The University ofCalifornia Transportation Center, 1992. Gordon, Peter, Harry W. Richardson, and Myung-JinJun, "The Commuting Paradox, Evidence from the TopTwenty", Journal of the American PlanningAssociation, Autumn 1991, 416-420. Hartgen, David T., Transportation Myths: TravelBehavior, System Condition, and Land Use.Transportation Public Report No. 41. Charlotte, NC;Transportation Academy, University of North Carolinaat Charlotte, 1990. Holtgrieve, Donald G., Assessing Growth Inducementin Conducting Socioeconomic Analysis forTransportation Projects. Caltrans EnvironmentalDivision, Sacramento, June 1992. Landis, John D. et al., "How Shall We Grow?Alternative Futures for the Greater San Francisco BayRegion", CPS Brief A Publication of the CaliforniaPolicy Seminar, UC Berkeley, April 1993.

Lowry, Ira S., "Planning for Urban Sprawl", A LookAhead: Year 2020 - Proceedings of a Conference onLong-Range Trends and Requirements for the Nation'sHighway and Public Transit Systems", TransportationResearch Board, 1988, 275-312 Patton, Gary A., "Land Use and Growth Management:The Transformation of Paradise", In California'sThreatened Environment, edited by Tim Palmer.Published by Planning and Conservation League, andavailable from Island Press, Covelo, CA., 1993. Payne-Maxie Consultants, The land use and urbandevelopment impacts of beltways. Washington, D.C.,Department of Transportation and Department ofHousing and Urban Development, 1980. Suhrbier, John H., and Deakin, Elizabeth A.,"Environmental Considerations in a 2020Transportation Plan: Constraints or Opportunities?", ALook Ahead: Year 2020 - Proceedings of a Conferenceon Long-Range Trends and Requirements for theNation's Highway and Public Transit Systems", SpecialReport 220, Transportation Research Board, 1988,232-259 Transportation Research Board, A Look Ahead - Year2020, Special Report 220. Washington, D.C., 1988. Urban Land Institute, Myths and Facts aboutTransportation and Growth. Washington, D.C.: TheUrban Land Institute, 1989. Wachs, Martin, "Transportation, Urban Form and AirQuality in California: the Policy and ResearchConnections: Introductory Remarks", Symposium onThe Transportation Land Use Air Quality Connection,Lake Arrowhead Conference Center, November 1991 Wachs, Martin, "Learning from Los Angeles:transportation, urban form, and air quality",Transportation, 20, 1993, 329-354.


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APPENDIX B

DATA SOURCES An Overview on Research Strategies This Appendix is intended to help environmentalplanners and others concerned with communityimpact assessment issues collect the neededinformation. It concentrates on basicinformational sources and publications covering awide area, with a specific focus on the federalcensus and state agencies. It also provides severalrules of thumb. For some experiencedenvironmental planners, the discussion belowwill not contribute greatly to their knowledge onhow to go about gathering and critically usinginformation and data. On the other hand, someenvironmental planners have educationalbackgrounds in vastly different areas than those inwhich they work and may find this guidance to beuseful. No attempt is made here to cover eachpotential issue area completely, but the Appendixintroduces a number of the sources that we havefound valuable to other planners working in thesocial and economic area. The nature of research, data sources, and theirstrength and weaknesses are included in thediscussion. As was pointed out in Chapter 1 ofthis volume, the federal and state environmentalguidelines call for a level of detail of datacollection and analysis consistent with theexpected magnitudes of the impacts of theproposed project. When undertaking a search ofinformation on a topic, if your need seems to be asimple one, you may want to start with one ormore of the comprehensive publications listed inthe bibliography (Appendix A). The researchmethodologies described in the chapters of thishandbook also should be consulted. The first question everyone should ask whenpursuing information is, "Who already knowswhat I need to know?" In many cases, in-housestaff might have the expertise. For example, theEconomic Analysis Unit in the CaltransHeadquarters Transportation Planning Programmay well be able to point the environmental

planner in the direction of certain broad-coverageeconomic data and information, depending on thenature of the question. The Caltrans HeadquartersTransportation System Information Program hasexpertise on use of the U.S. Census. Find a well-informed, helpful reference librarian (includingthe staff of the California State LibraryGovernment Section, or the Caltrans HeadquartersTransportation Library (916/654-4601 CALNET464) who can assist you in tracking downdocuments, telephone numbers, and personalcontacts. The community impact specialist withinthe Environmental Program may also be of someassistance (916/653-0647 CALNET 453). Themain library in the town in which the project islocated should always be visited by the plannerfor any projects in which community and land useissues may be prominent. Not only will suchlibraries usually have within their holdingsimportant local planning documents, but they willoften have newspaper clippings on variouscommunity issues as well. The Los Angeles Timesand the San Francisco Chronicle have beenindexed for the past twenty years; many of thelarger libraries have these indexed volumes andthe newspapers on microfilm. Don't overlookother popular literature abstracts andbibliographies to provide contextual information.Among the most useful in the area of social andeconomic topics are the: Readers Guide toPeriodical Literature, Social Sciences Index, andPublic Affairs Information Service, to name a few.

Government agencies, both federal and state, haveresident experts on just about every subjectimaginable, so a related question to ask is, towhich agency might this information beimportant, and who might have collected suchdata? An example where concerned local officialsquestioned Caltrans environmental staff about theeconomic effects (job losses) of a major projectwith extensive farmland conversion (due to rightof way acquisition) on local seasonal laborers.The question led to a call to the state'sEmployment Development Department whichrevealed they had recently had produced a majoreconomic study on essentially the topic of acreageand seasonal labor.


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This notion of contacting potentially usefulgovernmental agencies, of course, holds true forlocally-generated information and data as well.When searching for information on extant mobilehome parks in a community, for instance, onemight find the needed information at the localhealth department, the planning department, or thetax assessor's office. Many of these localgovernmental agencies already may have gatheredextensive community data, as Chapter 2 in thisHandbook indicates. The most recent data should be used for allanalyses. If the only available data is not current,it should be statistically updated using clearlystated assumptions and methodologies. Read thetechnical documentation that accompanies eachdata source. This background material explainshow the data was collected and providesdefinitions of terms used and often reprints thequestionnaire used to collect the data. Sources often have biases that must be understoodand evaluated when considering the data. Be sureto understand the reason data is collected,combined and/or compared. For instance, theplanner should be aware that a city might projectits growth differently than the regional council ofgovernment; an apartment-owners associationmight tally up a different total of availableapartment units than the county planners.Perhaps, the least unbiased statistical data onsocial and economic topics are provided by theFederal Government (this notion is challenged inAlonso and Starr's book, The Politics ofNumbers. See Appendix A for full citation).Nevertheless, it is very likely that the planner willbe required to link together data from differentsources to obtain a integrated picture of thecommunity. Many social and economic impacts are difficult toquantify. In many cases, random sample surveys(interviews or questionnaires) are the most viablemethod available to gather these data, althoughthey can become expensive tools. Becausesurveys can be unintentionally biased (e.g., basedupon the wording in the question, the answersavailable, when and where the response isgathered), only professionals experienced in

designing and implementing the survey should beused to assure statistical validity and reliability.There are several good secondary books on surveyresearch methods. Another option whenquantifiable data is scarce is to use the DelphiTechnique; that is, form a panel of experts withsome knowledge on the subject and have thembrainstorm the topic at length. Combine that witha judicious use of the secondary literature. It isimportant to stress that these techniques are calledfor only with complex projects. Publications from the American PlanningAssociation (312/955-9100), Lincoln Institute ofLand Policy (800/848-7236), Urban Land Institute(800/321-5011), and International City ManagersAssociation (202) 962-3620 may be particularlyuseful in many of these areas. BY THE NUMBERS When quantification is possible, numbers maybestow credibility and authority on an issue bypinning down what otherwise might seem a vaguegenerality or unsubstantiated personal opinion.Putting numbers into studies is a two-part task.Obviously you must obtain the numbers, then youmust present them in the clearest and simplestway possible. Governments-- local, state andfederal-- are the largest collector and disseminatorof statistical data. Associations and institutionscovering every imaginable type of activity alsogenerate numbers. These groups are usually morethan happy to give the planner help. To get thenumbers from these sources, just pick up thephone. If that person does not know, they canoften direct you to one that does. After you gather the information, you must addvalue to them. This simply means that youinterpret the numbers and reorganize them asnecessary, making comparisons or doingadditional calculations so that the material can bepresented as clearly as possible to the readers.Comparing values at different points in time isone way to gain perspective. Another is tocompare the local area to that of another nearby,and usually to the state as a whole. As anexample, between 1982 and 1988, statistics


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indicate that the city of Palo Alto's sales taxrevenue climbed 29%. That sounds like a lot --until compared to the county average, which was48% during the same time span, or neighboringSunnyvale, which saw a 66% sales tax revenuejump. Also, when gathering, analyzing, and presentingnumerical data, planners must recall thedifferences between median and average. Themedian is that number at the midpoint in a list ofranked numbers. For example, in comparing 11items ranked smallest to largest, the sixth item isthe median, even if the actual value of thatnumber is not halfway between the highest andthe lowest. The average or mean on the otherhand is the sum of all divided by the number ofobservations. In measurement statistics, whendata are highly skewed, median is a better statisticto use. Percent-change expresses a ratio betweentwo numbers and gives readers a way to makecomparisons. Percentages, however, can bedeceiving. If you start with a small base number,small actual gains can produce deceptively largepercentage gains. In such cases, the actualnumbers should also be given so readers can judgefor themselves, or the readers should be told that aparticularly large percent increase resulted from avery small base. The following list of sources of information canbe used in either the primary or secondaryinformation gathering process as appropriate tothe subject: U. S. GOVERNMENT Department of Commerce- Bureau of Census A census of the United States is conducted everyten years by the Bureau of the Census(Department of Commerce). Census informationis available through State Census Data Center(SCDC) Networks, most with their own Web sitesthat contain census population and economicinformation (see listing below under Regional andLocal), and at various public and universitylibraries throughout the State. Hard copy censusmaterial is usually available at federal depositorylibraries, such as the California State Library andthe Los Angeles Public Library and at the State

Census Data Center Network. In addition, most ofthe Census material is now available on CD-ROMand computer diskette from the Department ofCommerce (301) 763-4100; however, check withthe Caltrans Census Data unit in the HQTransportation System Information Program tosee whether the Department already has the datayou need. There are three main components to the censusstructure; tract, block group, and block. Thecensus tract is a portion of a city area and isdesignated by a one- to four-digit numberfollowed in some cases by a two digit suffix, e.g.,5678.62. A tract generally consists of about 4,000people, so physical size can vary a great dealdepending on the density level. The block groupis a breakdown of the tract area, which can befurther broken down into the block. The block isthe smallest geographic census area, typically anordinary city block, and bounded by visiblefeatures. The average population within a "block"is 100, but this number can range from zero to1000+, depending on the area. Information for every city in California isavailable (population and housing units) in thetract census; however, not every tract has acorresponding "block" or detailed breakdownbecause of the need to suppress certain kinds ofinformation (not breach confidentiality) as well askeep costs down. The 1990 short form contained questions about: POPULATION HOUSING Name Number of units in structure Household relationship Number of rooms in unit Sex Tenure (owned or rented) Age Value of home or monthly rent Marital status Congregate housing Race Vacancy characteristics Hispanic origin The 1990 long form (which went to about 17% ofthe total households) contained questions about: POPULATION Social characteristics: Education- enrollment and attainment Place of birth, citizenship, and year of entry Ancestry


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Language spoken at home Migration Disability Fertility Veteran status Economic characteristics Employment and unemployment Occupation, industry and class of worker Place of work and commuting to work Work experience and income in 1989 HOUSING Year moved into residence Number of bedrooms Plumbing Kitchen facilities Telephone Autos, light trucks, and vans Heating fuel, water source, sewage disposal Year structure built Condominium status Farm residence Shelter costs, including utilities Keep in mind two facts when choosing amongfiles and data. First, data in 100% reports aremore accurate than data in sample reports.Second, remember the hierarchy principle. Moredetailed data are reported for areas higher in thegeographic hierarchy, such as counties and largecities, rather than small cities, census tracts, andblocks. Comparing raw data from 1980 and 1990allows you to measure trends. Make sure,however, that the boundaries and definitions areconsistent. Although the Census Bureau is best known for itssurveys in years ending in zero, be aware that theyfrequently prepare studies throughout the decade.For instance, a 260 page report, on housing andhousehold characteristics in the Riverside-SanBernardino-Ontario Area in 1986 included notonly the traditional information on housing andincome captured in the decennial census, but onmore detailed items as mortgage, lot size andsquare footage. The Census Bureau's Economic Census(conducted in years ending in 2 and 7, e.g., 1992)reports for California offer detailed informationabout the state's business and industrial activity.They cover retail trade, wholesale trade, serviceindustries, transportation, manufactures, mineral

industries, construction industries, and severalrelated programs, including statistics on minority-and women-owned businesses. The "geographic area series" features generalstatistics such as the number of establishments,the number of employees, payroll, gross values offirms, and sales or other measures of revenue, forthe State, Metropolitan Statistical Areas, counties,places, and zip codes. County Business Patterns is an annual series thatpresents state and county-level employment.annual payrolls, total number of establishments,and number of employees in broad sectors. SeeExhibits. Another source of information for analysis,especially in the area of economic descriptors andland use, is the "Standard Industrial ClassificationManual" which is generally used in conjunctionwith land use planning maps and text. The "SIC"manual covers and measures economic activity inthe economic and related censuses and includescompany business patterns and selected currentsurvey reports. These types of publications focuson establishments, geography, and products. STATE OF CALIFORNIA California Resources Agency The Land Use Planning Information Network(LUPIN) was developed by the State of CaliforniaResources Agency to address and supportCalifornia’s land use planning information needs.A project of CERES (California EnvironmentalResources Evaluation System), LUPIN utilizes theWorld Wide Web to disseminate informationrelevant to land use and environmental planning.Both CERES and LUPIN are programs created incooperation with local, State, and Federalgovernment agencies, academic institutions, andcommunity groups. LUPIN includes: planning-related reports from federal and State agencies,County and City General Plans, EnvironmentalDocuments, legal references, and maps, amongother on-line materials Their website address is:http://ceres.ca.gov/planning/


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State Controller • Annual Report of Financial TransactionsConcerning Cities and Counties of California. State Board of Equalization • Information on taxable sales. The State Boardof Equalization (SBE) will provide you with thename of the owner of a business, its location, thetype of business, and starting date (and closingdate if it is no longer in business). Another SBEpublication, Taxable Sales in California, reportssales per capita, and by type of store. Employment Development Department • Information on employment, unemployment,hours and earnings, and various special studies. The California Employment DevelopmentDepartment makes county- and regional-levelestimates and projections of employment byindustry and occupation for all of California.Also, when such issues arise, planners may find ituseful to contact the Department's labor marketspecialist (Labor Market Information Analyst)which there is for each California county. Department of Finance • DOF has many useful publications fordemographic and economic research. As of Fall1996, their Internet address: http://www.dof.ca.gov University of California- Berkeley, UC DataArchive and Technical Assistance • Information on statewide academic research,

Asian and Latino Demographic Data Books,and 1990 Census data. Their website (Fall1996):http://www.ucaccess.org/rescenters/ber/dataarch.html.

Department of Housing & CommunityDevelopment • Information on housing elements and other issues, such as affordable housing, mobile homes, etc. Department of Industrial Relations • Information on the California consumer price index. Department of Rehabilitation • Statistical information on disabled

Californians. Other California Agencies and Departments canbe a helpful source, depending on the type ofimpacts to be studied. Examples include theCalifornia Department of Aging, CaliforniaDepartment of Commerce, Office of Planning andResearch, California Air Resources Board, REGIONAL and LOCAL The State Census Data Center (SCDC) Networkand many of their affiliates have their ownwebsites that provide a wide range of usefulinformation, including census and economic data.The following can be accessed online at the givenaddress as of fall 1996. Association of Bay Area Governments (ABAG):http://www.abag.ca.gov/index.html San Diego Association of Governments(SANDAG) http://www.sandag.cog.ca.us. Southern California Association of Governmnents(SCAG) http://www.scag.ca.gov/. Sacramento Area Council of Government(SACOG) http://www.sacog.org/.


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Other regional offices and affiliates can bereached through the folowing website:http://www.dof.ca.gov/html/Demograp/othdata.htm. Other helpful local sources of information: • Association of Realtors (Local) • Churches and Synagogues • City and County Tax Assessors office • Chambers of commerce • Police and fire departments • Public utility companies • Real estate journals • School district business office


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APPENDIX C

FARMLAND INSTRUCTIONS FOR COMPLETINGTHE FORM AD-1006 The initial evaluation consists of Caltrans completingParts I and III of Form AD-1006 as described below. PART I Name of Project: Provide the District/County/Route Designation and local name of project (e.g., 3-Pla-65, Lincoln Bypass) Proposed Land Use: Identify the primary land uses shown on the proposed local land use map adjacent to the project area (e.g., residential, agriculture). Date of Land Evaluation Request: Provide the date when Parts I and III are completed. Federal Agency Involved: Enter: Federal Highway Administration, or if appropriate, the Federal Transit Agency. County and State: Enter: County of project location. PART III A. Total Acres To Be Converted Directly: Provide an estimate of the number of acres of additional right-of-way required for each project alternative. B. Total Acres to Be Converted Indirectly Provide the estimated number of acres for each alternative that would be unusable for farmland due to access restriction.

C. Total Acres In Site: Provide an estimate of the total number of acres of existing plus additional right- of-way required for each alternative. Site A would be one alternative, Site B would be another alternative, and so forth. Do not include the No Project alternative. Upon completion of Parts I and III, the Districtforwards this form and a map exhibit showing projectlocation to the local NRCS field office. The mapswhich accompany the form should be as detailed aspossible. General location maps are not sufficient. AUSGS quad map is acceptable. NRCS has 45 calendar days to return the form toCaltrans. NRCS will either mark NO in Part II,indicating that no farmlands are involved, or completeParts II, IV, and V (Part V will contain a value ratingof between 0 and 100 with the higher the rating thehigher the impact). If farmland involvement isindicated on the form, then the evaluation process iscontinued as outlined below. PART VI Part VI contains the federal site assessment criteriawhich are to be completed by Caltrans. The criteria areto be used to assess the impact of each projectalternative on farmlands. These numbers are thenadded to the rating score provided by NRCS in Part Vof the form. The criteria to be assessed are outlined in 7 CFR 658.5Weighted scores, to be entered by Caltrans, will rangefrom 0 to some maximum number (which varies bycategory); the higher the number, the greater themagnitude of the project's impacts on farmland. The following questions frame the criteria to beapplied to obtain scores for the form. Remember thatthe term "site" used below refers to the farmland thatwould be converted by the action. Scores should bemade within the context of the surrounding area, andthe programs and policies of the state and localjurisdictions where the project is proposed. 1. Area In Nonurban Use: How much land isdesignated as non-urban relative to other uses within aradius of 1 mile along the proposed location of theproject?


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Greater than 90% ----- 15 points 90%-20% ----- 1 to 14 points Less than 20% ----- 0 points 2. Perimeter In Nonurban Use: How much of theperimeter of the site borders on land in non-urban use? Greater than 90% ----- 10 points 90%-20% ----- 1 to 9 points Less than 20% ----- 0 points 3. Percent Of Site Being Farmed: How much of sitehas been farmed (or managed for a scheduled harvestor timber activity) more than five of the past ten years?

Greater than 90% ----- 20 points 90%-20% ----- 1 to 19 points Less than 20% ----- 0 points 4. Protection Provided By State And LocalGovernment: Is the site subject to state or localgovernment policies or programs or private programsto protect farmland? If yes ----- 20 points If no ----- 0 points 5. Distance From Urban Built-up Area: Usuallyleave blank. This is not assessed for linear orcorridor-type projects, including highways. 6. Distance To Urban Support Services: Usuallyleave blank. This is not assessed for linear or corridor-type projects, including highways. 7. Size Of Present Farm Unit Compared ToAverage: Is the farm unit(s) containing the site (beforethe project) as large as the average-size farming unit inthe county? (Data on average farm sizes in each countyare available from the NRCS field offices havingjurisdictions over the county in question. This data isbased on the latest available census of agricultureacreage of farm units in operation with $1,000 or morein annual sales). As large or larger ----- 10 points Below average ----- 0-9 points; deduct 1 point for each 5% increment below the average to a minimum of 0 points if 50% or more is below the average.

8. Creation Of Non-farmable Farmland: Whatpercent of the total farmable land will becomeconverted to non-farmable land by each alternative? 25% of the total - ---- 25 points 5% to 25% of the total ----- 1 to 24 points Less than 5% of the total --- -- 0 points 9. Availability of Farm Support Services: Dofarmland site(s) have available an adequate supply offarm support services and markets (e.g., farm suppliers,equipment dealers, processing and storage facilities,and farmers markets)? All required services are available ---- 5 points Some required services are available ---- 1 to 4 points No required services are available ---- 0 points 10. On-Farm Investments: Does the site(s) havesubstantial and well-maintained on-farm investmentssuch as barns, other storage buildings, fruit trees andvines, field terraces, drainage system, irrigationwaterways, or other soil and water conservationmeasures? High amount of on-farm investment ----- 20 points Moderate amount of on-farm investment ----- 1 to 19 points Low amount of on-farm investment ----- 0 points 11. Effects Of Conversion On Farm SupportServices: Would the project at this site, by convertingfarmland to non-agricultural use, reduce the demandfor farm support services so as to jeopardize thecontinued existence of these support services and, thus,the viability of the farm's remaining area? Substantial reduction of demand for support services ----- 25 points Some reduction of demand for support services ----- 1 to 24 points No reduction of demand for support services ----- 0 points 12. Compatibility With Existing Agricultural Use:Is the project anticipated to conflict with, or encourageconversion of, surrounding farmland to non-agricultural use? If so, then is it incompatible withagricultural use?


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Proposed project is incompatible ----- 10 points Proposed project is tolerable ----- 1 to 9 points Proposed project is compatible ----- 0 points Upon completion of all 12 blocks, add the points andwrite the total in the row with the heading: TOTALSITE ASSESSMENT POINTS. PART VII Relative Value Of Farmland (from Part V): Enter the relative value of farmland to be convertedindicated in Part V. After the above coordination is completed, adetermination should be made on whether or not toproceed with farmland conversion. The decision shallconsider the impacts of farmland conversion alongwith other environmental considerations and projectneeds. The final decision on alternative analyses andmitigation shall be coordinated by the District withFHWA California Division. Total Site Assessment: Enter the total points from Part VI. The total number of points indicated in Part VII is usedto determine the level of significance given minimizedfarmland involvement as stated below: A. Sites (or in most cases, as we mean them here,project alternatives) receiving a total score of less than160 points shall be given minimal level ofconsideration for protection and no further alternativeanalysis need be evaluated for farmland issues underthe FPPA. B. Sites receiving a total score of 160 points orgreater shall be given stronger consideration forprotection. The following must be considered: • Use of existing facilities and structures or using land that is not farmland. • Alternate sites, locations, and designs that would serve the proposed purpose but convert either fewer acres of farmland or other farmland that has a relative lower value.

See the discussion at 4-1.3 for other mitigationmeasures associated with reducing project impacts onfarmland. The maximum score that can be assigned to the landevaluation (Part V) is 100 points. Therefore, where thesite assessment (Part VI) is less than 60 points, the totalscore (Parts V and VI) will necessarily be less than 160points. The NRCS sees no benefit in submitting FormAD 1006 to its field offices for coordination in suchcases. In an attempt to curtail unnecessary paperwork, theSCS advises that Form AD 1006 need not be submittedto them in cases where the site assessment criteria (PartVI) score is less than 60 points for each projectalternative. The rationale is based on its regulation (7CFR 658.4) which provides that "Sites receiving a totalscore of less than 160 points be given a minimal levelof consideration for protection and no additional sitesbe evaluated." To document compliance with the SCSregulation, Caltrans need only complete Parts I, III, V(assign 100 points), and VI and place the completedform in the project files. The environmental documentshould summarize the steps taken to identify andevaluate farmland impacts and comply with the FPPA. Caltrans experience has been that NRCS has respondedin a timely manner to requests for completing theirportion of the form. In accordance with the NRCSregulation implementing the FPPA, it should be notedthat the NRCS must provide a complete response toForm AD 1006 within 45 calendar days of its receipt.Where the NRCS fails to provide the necessaryinformation within 45 days, the proposed project canproceed as though the FPPA requirements did notapply. In these cases, however, it is still necessary to considerimpacts to farmland in order to comply with NEPArequirements. The project environmental documentshould identify the farmland impacts and mitigationmeasures, if applicable, and summarize thecoordination undertaken with the NRCS. Theenvironmental document should also include astatement that (1) the NRCS failed to provide the landevaluation information within 45 days, and (2)therefore, in accordance with the NRCS regulation (7CFR 658,4(a)), the FPPA does not apply. [Sample AD1006 Form on this page] Currently not available in electronic form


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AGRICULTURAL LAND CLASSIFICATIONS These definitions, unless otherwise noted, havebeen excerpted from the California Department ofConservation’s Office of Land Conservation, AGuide to the Farmland Mapping and MonitoringProgram, 1992. Publication Number FM-92-01. PRIME FARMLAND: is land which has the best combination of physicaland chemical characteristics for the production ofcrops. It has the soil quality, growing season andmoisture supply needed to produce sustained highyields of crops when treated and managed,including water management, according to currentfarming methods. Prime Farmland must have beenused for the production of irrigated crops at sometime during the two update cycles prior to themapping date. It does not include publicly ownedlands for which there is an adopted policypreventing agricultural use. PRIME AGRICULTURAL FARMLAND: means any of the following: (1) all land which qualifies for rating as class I orclass II in the Natural Resource ConservationService land use capability classifications. (2) land which qualifies for rating 80 through 100in the Storie Index Rating. (3) land which supports livestock used for theproduction of food and fiber and which has anannual carrying capacity equivalent to at least oneanimal unit per acre as defined by the U.S.Department of Agriculture. (4) land planted with fruit- or nut-bearing trees,vines, bushes or crops which have a nonbearingperiod of less than five years and which willnormally return during the commercial bearingperiod on an annual basis from the production ofunprocessed agricultural plant production not lessthan two hundred dollars ($200) per acre.

(5) land which has returned from the productionof unprocessed agricultural plant products anannual gross value of the previous five years. From: California Government Code Section51201(c) ( The Williamson Act ). FARMLAND OF STATEWIDEIMPORTANCE: is land other than Prime Farmland which has agood combination of physical and chemicalcharacteristics for the production of crops. It musthave been used for the production of irrigatedcrops within the last three years. It does notinclude publicly owned lands for which there is anadopted policy preventing agricultural use. UNIQUE FARMLAND: is land which does not meet the criteria for PrimeFarmland or Farmland of Statewide Importance,that is currently used for the production of specifichigh economic value crops (as listed in the lastthree years of California Agriculture produced bythe California Department of Food andAgriculture). It has the special combination ofsoil quality, location, growing season andmoisture supply needed to produce sustained highquality or high yields of a specific crop whentreated and managed according to current farmingmethods. Examples of such crops may includeoranges, olives, avocados, rice, grapes, and cutflowers. It does not include publicly owned landsfor which there is an adopted policy preventingagriculture use. FARMLAND OF LOCAL IMPORTANCE: is either currently producing crops, or has thecapability of production. Farmland of LocalImportance is land other than Prime Farmland,Farmland of Statewide Importance, or UniqueFarmland. This land may be important to thelocal economy due to its productivity. It does notinclude publicly owned lands for which there is anadopted policy preventing agricultural use. GRAZING LAND:


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is land on which the existing vegetation, whethergrown naturally or thorough management, issuitable for grazing or browsing of livestock. Theminimum mapping unit for Grazing Land is 40acres. AGRICULTURE PRESERVE: means an area devoted to either agricultural use,as defined in subdivision (b), recreational use asdefined in subdivision (n), or open space use asdefined in subdivision (o), or any combination ofsuch uses and which is established in accordancewith the provisions of this chapter. From: California Government Code Section51201 (d) (The Williamson Act). URBAN AND BUILT-UP LAND: is used for residential, industrial, commercial,construction, institutional, public administrativeprocess, railroad yards, cemeteries, airports, golfcourses, sanitary landfills, sewage treatmentplants, water control structures, and otherdevelopment purposes. Highways, railroads, andother transportation facilities are mapped as a partof Urban and Built-up Land, even though they areassociated with agriculture. Urban and built-up Land does not include stripmines, borrow pits, gravel pits, farmsteads, ranchheadquarters, commercial feedlots, greenhouses,poultry facilities, and road systems for freewayinterchanges outside of areas classified as Urbanand Built-up Land areas. These lands areconsidered Other Lands.


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SAMPLE

State of California Business, Transportation and Housing Agency M e m o r a n d u m To: ______________, Director Date : 09/06/01 Department of Conservation 801 K Street, MS 24-01 Sacramento, CA 95814 File No.: 03-PLA-43 0.0/3.3 03123-123123 From: DEPARTMENT OF TRANSPORTATION DISTRICT 3 P.O. Box 911 Marysville, CA. 95901 Subject: SAMPLE NOTIFICATION MEMO In accordance with Government Code Section 51291(b), this letter is to serve as notification of the possibleacquisition of Williamson Act contracted land for a proposed highway improvement project in Placer County.The project proposes to rehabilitate a portion of State Route 123 from post mile 0.0 to 3.3 This is the portionof the highway which runs from the junction of Routes 123 and 65 in Lincoln to just east of Sierra CollegeBoulevard. The rehabilitation will include repairing and widening the roadbed, overlaying the roadbed withasphalt concrete pavement, and improving sight distance. The attached maps delineate the general project location and the limits of the proposed project. The final mapis a portion of the Williamson Act Agricultural Preserves map depicting the three participating parcels and thestrips of land adjacent to the existing highway being considered for acquisition. The total proposedacquisition of Williamson Act contracted land is approximately 6 acres. According to the Placer CountyAssessors Office, this land is not considered to be prime agricultural land. The remaining area surrounding theproject is zoned as agricultural residential with ten to twenty acre minimum parcels. If we have not been contacted by your office within 30 days, we will assume you have no comments orconcerns regarding this proposed acquisition. Please contact Robert Jones at (916) 555-9876 if you have any questions. Sincerely, Edna Waters, Chief Environmental Branch Enclosures


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THIS SPACE IS FOR NOTES .

Environmental Handbook Volume 4 Community Impact Assessment

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APPENDIX D

GROWTH INDUCEMENT Growth inducement as it is usually presented inmanuals, guidelines, and other referencedocuments is not measured on a numerical scale.Rather it is viewed as an off-on switch: it exists orit does not. It is seen to exist when the project ispredicted to result in various demographic,economic and environmental effects. Onlyprimary effects can be measured reliably andmany of these primary effects are only partiallyrelated to growth inducing aspects of developmentprojects. There is no single method for analysis of growthinducement under all situations andcircumstances. The analytical techniquespresented in this Appendix are based largely onthe traditional transportation planningmethodology of estimating need for atransportation project based on projected newpopulation or economic activity. All the analyses prepared should include absoluteand percent increase in all impact indicators. Analytical Techniques - Forecast Methodology Of the analytical techniques described below, theforecast methodology for assessing growthinducement is preferred because it is the mostquantitative and least speculative procedureavailable. This method is basic to othertechniques as it supplies information needed.However, if a traffic forecast cannot be obtainedor another method appears justified because ofspecific circumstances (for instance, the projectinvolves constructing a commuter rail line), thealternative methodologies described below may beused by the analyst. The forecast method used to assess growthinducement involves summarizing thetransportation planning and traffic engineeringprocess by which the size and type of theproposed project (and alternatives) were

developed. The summary is then used to illustratethe relationship of the proposal's capacity and theamount of planned growth anticipated in the areaover a twenty year period with the objective ofaddressing the level of growth inducement. Landuse and resulting traffic forecasting drives theenvironmental analysis of transportation projects,not the other way around. There is a basic problem of "lumpiness" withhighways because a half a lane cannot be built tomatch a demand that is less than a full lane.Caltrans designs projects for twenty years in termsof matching capacity with demand. Many newfacilities are reduced in capacity to match trafficdemand twenty years out (design year) but with adesign which allows for future increases later(after twenty years). For example, Caltrans mayonly construct four lanes initially, but the projectis designed and right of way is already purchasedand set aside for ultimately six or eight lanes. Or,six lanes of conventional freeway are opened now,but the project included a design for HighOccupancy Vehicle (HOV) lanes or transit in themedian to be opened later. In part, this reflectsthe problem that the "useful" life of pavement israther short (twenty years or less). A major highway structure (e.g., Benicia-Martinezbridge) poses a somewhat different problem inthat one cannot easily go back and merely widensuch structures. Therefore, in such cases, thestructure tends to have some excessive capacityin the short term and sometimes even beyond atwenty year projection. it is not altogetherunusual, on the other hand, that standard concretebridges, such as those at interchanges, arewidened when the demand reaches high levels. The forecast methodology is based upon theresults of a traffic forecast developed by CaltransDistrict planners and project engineers. Theforecast is used by Caltrans to determine the typeand size of a transportation proposal. Forproposals for urban settings, it is the outputderived from a transportation model. Thetransportation model uses locally and/orregionally derived information as input. Thisinformation includes local/regional socioeconomicdata, growth policies, land use development


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policies, planning goals, and developmentconstraints. Each metropolitan planningorganization has a transportation model. Indeveloping a traffic forecast Caltrans eitherconducts the entire modeling effort (e.g., LARTSin Los Angeles) or participates in it. Therefore,traffic forecasts are based on local/regional databut are not solely a product of the local/regionalgovernment. A traffic forecast for an interurban/rural project isdeveloped by projecting past growth trends for atwenty year period. A transportation model is notused. Variations to a simple "straight line"projection are made when corrective factors suchas major growth generators (new business centers,military migration, significant changes inemployment rates, family size, etc.) haveoccurred. The summary of the traffic forecast effort shouldinclude: 1. A brief and understandable discussion of how the forecast process (model or simple projection) works. 2. The information employed as input for the model or projection including the locally generated data. Origin and destination data within the study area as provided in the traffic model may be useful as well. 3. The change in capacity expressed as a percentage. 4. A discussion of the relationship between the capacity of the proposed project and the local/regional growth policies upon which the taffic forecast is based. (Most specifically, an indication of the extent the new capacity will permit the population projection level set forth in the plans.) 5. A discussion of the coordination that occurred between Caltrans and local/regional government in the proposal's design.

The information needed for this summary isavailable from the offices within the appropriateCaltrans District that handles transportationplanning data. Analytical Techniques - Use of a Checklist One way to address the problem of identifyinggrowth inducement impacts is to use the checklistdeveloped for Caltrans (see next page). In usingthe checklist, if an effect warrants a "yes" answer,it is a growth inducing impact. A checklistresponse of "yes," however, does not necessarilyindicate an effect which should be deemedsignificant. As is true of other CEQA checklists, theidentification of even one item as significantlygrowth inducing constitutes a significant adverseimpact that must be mitigated if the impact iswithin the agency’s control or justified in astatement of overriding considerations in an EIRand in project planning. However, not all growthinducing impacts are necessarily significant.Also, understand that a effect that is perceived asnegative to some (e.g., increased housing demand)may be positive for others (e.g., increased salestax revenues). The checklist can be easily formatted as if it werean Appendix to the CEQA Guidelines. However,it could also be used as an outline format for afreestanding growth technical study for aproposed project. Respond YES or NO to each question. If one ormore questions are answered YES then there issome potential for growth inducement due to thedevelopment of new infrastructure (such ashighways or roads). Each question answered YESshould be discussed in the Initial Study and/orDraft Environmental Impact Report prepared forthe project. Many of the questions refer togrowth-related information or policies in localplanning documents. If the community’s generalplan or other local planning documents do notaddress the questions posed here or do not supplythe factual information that will answer them, thenthe question should be answered YES.


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Otherwise, a NO answer that is based on othersources of information should be defensible. Notethat some of the following questions requireinformation derived from traffic forecasts: thusthis approach depends at least in part on theForecast Methodology (see above). Measurement and evaluation of growthinducement should be considered in three parts[steps] including: the amount of growthinducement created by the action over otherproject alternatives including the no-projectalternative, the level of significance of the action,and the level of adverse consequences of theaction. For example, a finding of growthinducement may be identified but the results ofthe action may be economically positive withoutnegative effects on the environment or thenegative effects on the environment may bemitigated by others. Even though local plans and policies can bechanged at the discretion of legislative bodies andeven though the effects of transportationimprovements may not be seen for decades afterconstruction, the most common and mostmeasurable indicator of a significant adversegrowth inducing impact is a project’s lack ofconformance to local and regional growth plans. A very common but less measurable indicator ofgrowth inducement is in the identification ofcumulative impacts resulting from infrastructureprojects. In many cases, it is nearly impossible todistinguish between these forms of impacts.Nevertheless, it is very important to provide anaccurate representation of growth influencesunder the Secondary/Cumulative Impacts sectionbecause of the factors that are beyond the controlof Caltrans. GROWTH INDUCEMENT CHECKLIST 1. a) Will the project attract more residentialdevelopment or new population into the communityor planning area? b) If yes, would it be higher thanis projected in the local general plan?

2. a) Will the project encourage the development ofmore acreage of employment generating land usesin the area (such as commercial, industrial oroffice)? b) If yes, would it be beyond that which isdesignated in the current local general plan? 3. a) Will the project lead to the increase ofroadway, intersection, sewer, water supply, ordrainage capacity? b) If yes, would it be beyondthat projected or planned for in the local generalplan? 4. Will the project encourage the rezoning orreclassification of lands in the community generalplan from agriculture, open space or low densityresidential to a more intensive land use? 5. Is the project not in conformance with thegrowth related policies, goals or objectives of thelocal general plan or the area growth managementplan? Or, is it in conflict with implementationmeasures contained in the area’s growthmanagement plan? 6. Will the project lead to the intensification ofdevelopment densities or accelerate the schedule fordevelopment or will it facilitate actions by privateinterests to redevelop properties within two miles ofan existing or future major arterial roadway orwithin four miles of a limited access highwayinterchange? 7. Will the project measurably and significantlydecrease home to work commuter travel times toand from or within the project area (more than10% overall reduction or five minutes or more incommute time savings)? 8. Is the project directly related to the generation ofcumulative effects as defined by CEQA guidelines? A Guide for Using the Preceding Checklist Question 1.a) above asks a very direct questionthat should be quantitatively answerable by anycity or county. If the answer to subpart b) is yesthen the proposed project is not only ringing thegrowth inducement alarm button, it is probablynot in conformance with the community housing


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element and possibly other elements of the generalplan as well. A comparison with regional planswould be the next step taken by the planneranalyst. Question 2 is a parallel question directed to non-residential or mixed land use projects. Thefollow-up questions would likewise be similarsuch as whether or not the trip generationresulting from these proposed land uses would begreater than that anticipated in the circulationelement of the general plan and how do theresulting traffic volumes compare with theregional transportation plan. Question 3 relates to the planned capacities ofcapital facilities. Although public facilitieselements in general plans are desirable, only aboutseventy cities and counties (out of a total of over500 jurisdictions) in California have them.Fortunately, however, most do have some otherinstitutional mechanism for taking into accountcapital facilities that should be consulted. Theoffice of the city manager or chief administrativeofficer might be contacted for such information. Question 4 is similar to questions 1 and 2 in that itdeals with the project's effects on local land useplanning. It may be possible to answer thisquestion before specific planning required toanswer questions 1 or 2 is carried out. Question 5 suggests a search for conflicts inexpressed goals or policies an agency may exhibit.However, not all jurisdictions have specificgrowth related policies in their general plans.Likewise, growth management plans are optionalto local and regional jurisdictions. Therefore, thisquestion may not apply to all actions underconsideration. If a local jurisdiction does notexpress growth-related policies in its planningdocuments then the appropriate regional planshould be consulted. Question 6 addresses the second costconsideration. The circulation or public facilitieselement of a general plan may include costs andanticipated funding for new roadways and masstransit systems. If the project in question wouldreduce or remove costs to public agencies for new

infrastructure or would reduce costs fordevelopment of nearby private or publicly ownedland, then the effect is growth inducing (althoughit may not necessarily be significant). Suchpotential impacts are quite quantifiable and areusually a required part of project planninganyway. Question 6 specifically tries to identify negativeproximity impacts. It asks how the project beingevaluated will affect related and/or nearby landdevelopment densities and scheduling. Does itprovide a windfall or investment incentive for theaffected development interests? The selection of atwo mile proximity threshold for measurement ofimpacts from new or improved arterials and fourmiles for interchanges is based on nationwidestudies of transportation related impacts on landvalues and development potential. Localconditions, of course, may warrant changes inthese standard threshold distances. With regard to whether or not a project willaccelerate growth in the project area it should benoted that at least sixty cities and twelve countiesin California utilize general plan diagrams (maps)which illustrate growth phases. Mostcommunities include population projections andgoals that may be referenced in the housingelement. Information on planned developmentdensities are most often located in the land useelements of the general plans and/or on thegeneral plan diagram itself. If the action fordevelopment of new infrastructure includes ageneral plan amendment that will allowaccelerated timing or increased developmentdensities, then it may be considered growthinducing (although again we emphasize notnecessarily creating a significant adverse impact). Question 7 (evaluation of changes in commutetimes) will, in most cases, be directly related tothe action under study, i.e., the project. However,secondary effects of the project such as off-sitecommute patterns should not be overlooked.While a reduction in commuter time and vehiclemiles traveled (VMT) is generally a positiveeffect, such a reduction can also encourage moredrivers on the route, considered a growth inducingimpact. An increase in commute time or VMT


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not directly caused by population or economicgrowth as a result of project implementation mayalso be recognized as a significant adverse impactbut not a growth inducing one. A greater than tenpercent reduction in commute time due to theproject should usually be considered significantand a ten percent reduction or less shouldnormally be considered insignificant. Measuredanother way, one recent study found that inCalifornia increased highway capacity leading tofive minutes or more time savings causesincreased trips and vehicle miles traveled(Dowling 1994). Significance may be basedgenerally on the likelihood that a commuter wouldchange routes, trip frequency, the time of day tripsare made, mode choice, residences or workplacelocations as a result of implementation of thetransportation project. Question 8 is a link to a closely-related impactcategory. Here the question is whether the effectsof the cumulative development in the planningarea exceed the planned limits for growth in thelocal community plan. Cumulative developmentshould be measured in the same units for whichstandards are set in the community plan such ashousing units, square footage of non-residentialdevelopment, population, jobs, vehicle trips perday, vehicles per hour at selected intersections, oracres of urbanized land. Analytical Techniques - Factor Analysis Alternative: The Factor Analysis Alternative involvesidentifying the various factors that may promoteor restrain growth in an area subject to theinfluence of a transportation proposal. Thefollowing factors affecting growth in a projectarea may be analyzed: land cost, public attitudes,planning policies, natural environment, land use,travel times, infrastructure, economics. Thisalternative approach to studying potential growthinducement is useful only when the growth factorsin sum would clearly promote or restrict growth.The factors are evaluated for their cumulativeeffect on promoting or restraining growth.

The assessment of which factors are stimulatinggrowth (land use development or urbanization)cannot be precise and mathematical because thestate-of-the-art has not yet been developed. Thereliability of such assessments is limited. A gooddescription of what is going on in urbanization inthe portion of the region being studied is probablythe best that can be accomplished. A review ofthe literature has clearly shown that no agreementexists among development experts on how thesevariables may be compared and contrasted fordecision making. All these factors may promoteor restrain growth but they probably will neverhave equal or an absolute weight in the analysis. Some of these factors may be secondary orindirect impacts. Many of them are also identifiedin a FHWA guidance memorandum on secondaryimpacts (see Appendix B, Bibliography).Consistency of projects with regional and localplans and accessibility as measured by increasesor decreases in travel time should be the primarymeasurement tools for identifying significantimpacts. Increases or decreases in project relatedvehicle miles traveled is another criteria that maybe measurable if such forecasts are available forthe project. All other factors should be clearlyidentified as subordinate, either in theirimportance or because of the state-of-the-artmethodologies available in measuring them. The factors to be used are: Cost of Land: Is the cost of land in the affectedarea high, average, or low (as compared to thecounty or statewide figures)? Local Government Plans and Policies: Do localgovernment plans and policies support or restrictgrowth in the affected area? Articulated Public Attitudes: Does publicopinion as articulated in public meetings, thepolitical process or the media, support or opposegrowth in the affected area? Terrain and Land Use: Is the terrain of theaffected area suitable for development? Areexisting land uses in the affected area conducive


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to or would they conflict with newresidential/retail/office/industrial growth? Cost and Labor Pool: Are the cost, availability,and skills of the labor pool in the affected areaconducive or restrictive to employment growth? Commute Time: How would commute times tothe affected area be changed? Access: Location may also be a factor, includingthe spacing of interchanges. If there is a severalmile stretch of new facility without interchanges,it is logical to assume that growth inducementwould be reduced. Local planning agencies mayrequest that interchanges not be constructed inorder to reduce the pressure for local development(although given taxing policies this is likely to bea rare situation, and even so, subject to laterpolicy changes). This factor is independent of thefactor of reduced driving time: if there is noaccess to adjacent land, accessibility has not beenimproved in such a way to facilitate growth. A way to address this factor is to compare thecapacity of the project interchanges with local tripgeneration, projected volume and capacity on theintersecting routes at interchanges, and localtransportation plans. Presumably, ramp volumeprojections are used in designing the interchangeand these estimates should be available to theenvironmental planner. Infrastructure: Is the existing infrastructure,(e.g. local roads, water and sewage facilities,schools, and community facilities) adequate orinadequate to handle growth? Would the localeconomy support construction of new facilities? Constraints: Are there any features on thehighway that could constrain the new capacity ofthe transportation improvement? For example, ifa section of two-lane road is expanded to fourlanes, the actual capacity of the four-lane sectionmay be constrained by the unimproved two- lanesegments at each end of the four-laneimprovement. Occupancy rates, population densities, andvarious other environmental constraints might be

added to the list of factors to be compared ifpertinent to the project setting. The following process may be used for analyzinggrowth inducement under the Factor AnalysisAlternative: 1. Collect information pertaining to the growthfactors identified above that apply to the affectedarea. The amount of uncertainty associated with aproject may in itself be valuable decision-makinginformation. 2. Provide a summary that describes the extent towhich each factor may promote or restrict growthif the proposed project is constructed. If it is clearthat the factors cumulatively either could act topromote growth or restrict it, such a findingshould be stated. If the factors influencing growth in the affectedarea can be compared to similar growth factors atalternative locations that may have a potential fordevelopment in a region, they may be addressedon a comparative basis. The purpose is to showthat the affected area is more or less subject togrowth inducement than other areas. Thiscomparative analysis is most appropriate whenthere is local concern for growth at one locationalong a highway corridor and other locations morefavorable for potential growth can be identified. An example of this would be a proposal toconstruct an interchange on an existing freewaywhere the land is undeveloped. If local oppositionto growth surfaced and/or other factors werenegative toward new growth, the likelihood ofdevelopment occurring at the project area couldbe compared to the likelihood of suchdevelopment at other locations along the corridor.If the growth factors in the project area appearedto be constrained in comparison to alternativelocations, the analysis could show that the projectmay not promote a substantial amount of newdevelopment. Analytical Techniques - The No-ActionAlternative


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This method uses the No-Action Alternative as abasis for comparison. This approach involvesdiscussing the growth that would occur both withand without the proposed project. (This method iseasier to employ when the local or regionalplanning agency has conducted a growth study forscenarios with and without the proposed project.).

The document should discuss the growth that mayoccur with the proposal based upon policies andprojections available in local and regional plans.The anticipated growth in terms of acreage subjectto development, number of residences, newhouseholds, businesses, employees, tripsgenerated, and any other appropriate measuresavailable from the local or regional agency shouldalso be described. Discuss the growth that may occur if the project isnot approved. Assume that no other highwayimprovements will be constructed in lieu of theproposal. This is best done by describing theconstraints to growth that may exist in the absenceof the proposed project. Constraints include alimited supply of developable land withconvenient/economical access, a limitedinfrastructure, and the availability of alternativelocations for growth on the same or connectinghighways in the region. Use the same measuresemployed for the discussion of anticipated growthassociated with the proposed project. Compare the levels of anticipated growth with andwithout the proposal to determine the growthinducement potential of the project. This methodworks best when the proposed project wouldprovide access or significant new highwaycapacity to a large amount of undeveloped butdevelopable land. An example would be a newhighway through undeveloped land that parallelsan existing highway traversing a built-up area. An objection to the No Action Alternative(comparison of the "no project" alternative withother build alternatives) has been raised by someon the grounds that, in urban areas, the methodusually demonstrates that the growth is expectedto occur in the project area with or without theproject, albeit perhaps at a different rate. This is

precisely the point: growth reflects the market, notthe project. While the project removes travelconstraints, it is not the primary factor in growth.Another objection is that the no project alternativeis often the most air polluting alternative. Thisfinding makes the no-project alternative a "strawman" in that it is not realistic to assume it wouldever be approved because it would be in violationof the Clean Air Acts. Growth Inducement - References For additional information on means of assessinggrowth potential, consult the list of references inAppendix A Additional Discussion The balance of this Appendix looks at growthinducement theory in further detail. With respect to the linkage betweentransportation, land use, air quality, the research isfrequently incomplete, and there are large gaps inthe available data. By their nature, case studiesoften provide anecdotal evidence from which it isdifficult to make valid generalizations. Many people who debate transportation, land use,and air quality issues believe that a low densitysingle- family residential environment anddependence on the automobile is inherentlywasteful of energy and resources. The question of the extent to which the expansionof transportation capacity can help alleviate airpollution and the extent to which new capacitymight aggravate the problem is a thorny one. Onthe one hand, transportation engineers havecustomarily held the view that constructing newroads and opening transit lines satisfies growingtravel demand more efficiently, and the resultantreduction of congestion translates to lesspollution. Others say that more capacity actuallyinduces land development which in turn increasestravel demand. The end result is the production ofadditional pollutants. Recent research studies on the effects of highwayinvestments on land development have been


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spurred largely by the interest in using highwaysas instruments of economic development.However, most such studies have concluded thathighway investments are only one factor in alarger growth and development equation and inareas with weak markets for developmenthighways in and of themselves will not turn alocal economy around. Other studies involvingprojects which have seen a large amount ofprivate development suggest there had beenpreviously a pent-up demand that thetransportation system was now releasing.However, many that have associated the new"growth" in an area to a highway project havebeen criticized by other transportation economistsbecause they failed to account for the likelihoodthat development would have occurred as a matterof course elsewhere in the region had the highwaynot been developed. In other words, the region hasexperienced a shift and not an increase in totals.. Some have argued that it is precisely this shift thatis of concern. This is especially true if thedevelopment that is induced by transportationimprovements causes drivers to make more trips,make longer trips, or shift modes by relocatingfrom high-density areas where many trips wouldbe made by foot or transit to low-density areaswhich tend to be heavily dependent on cars. The linkage between transportation and land usechange has been frequently discussed intransportation planning literature. While there is ageneral perception that transportation just doesn'tserve growth, but creates it, the assertion isunsupported by empirical data. For instance,University of Southern California transportationresearch specialist, Dr. Genevieve Giuliano,expressed in her article, "New Directions forUnderstanding Transportation and Land Use"(1989) that recent studies show no consistentrelationship between highway improvements andchanges in land-use. Instead, her study of theliterature found that land-use impacts were largelydependent upon four factors: overall localeconomic conditions, access to medium-income orhigh-income residential areas, availability ofdevelopable land, and favorable zoning policies.

The balance of this discussion looks at growthinducement theory; the discussion is drawnlargely from the views expressed by Dr.Genevieve Giuliano, University of SouthernCalifornia, in correspondence from 1992. Theletters are on file in the Caltrans HeadquartersEnvironmental Program. Her statements areshown in italics below: ...Once population and employment have beenallocated to specific locations within the region,these infrastructure requirements are fixed. Thus,the traditional planning process is "top-down,"and growth inducement becomes an irrelevantconcept. How can transportation infrastructureinvestment induce growth, when we use expectedinvestment as the basis for justifying theinvestment in the first place? It is important tonote that the standard four-step [UrbanTransportation Model System] compliments [sic]this top-down approach. Population andemployment distributions are the initial modelinputs, and trip generation rates are deriveddirectly from them. ... The standard regional planning process beginswith assumptions regarding expected populationand employment growth over a specified planninghorizon. These regional plan projections arederived from state and national economic growthforecasts, past growth trends, etc. Once theseregional totals are established, the growth isallocated to local jurisdictions. By state law, localplans must be equated to regional plans, so thetotal projections of local jurisdictions must beequated with the regional totals. Heretofore, regional and local forecasts have oftenbeen developed independently. ISTEA and theClean Air Act of 1990 mandate conformitybetween the MPO's transportation improvementprogram and the Caltrans STIP, changing thesituation in ways that are beginning to emerge. In estimating a metropolitan region'stransportation infrastructure needs, such asfreeways, major arterials or transit, the usualprocedure has been to derive data directlygenerated from these population and employmentprojections, as well as other socioeconomic inputvariables, such as vehicle availability, household


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income and household size. Larger MetropolitanPlanning Organizations (MPOs), such as theSouthern California Association of Governmentsand the Association of Bay Area Governmentsdevelop their own sophisticated analyticalmethods and periodically generate updates onthese forecasts. There are now several more sophisticated modelsavailable (one being used in the San FranciscoBay area) but almost none have undergonevigorous testing. The 1000 Friends of Oregon’stwo-volume report (Cambridge Systematics,1991) contains a summary of currently availableinteractive transportation and land use modelingsystems, a survey of the current state of practice intransportation and land use forecasting at themetropolitan level in the United States, and adetailed look at the forecasting system being usedin the Portland area. The study states that the"transportation models do not have any means ofshowing how future transportation systems impactthe distribution of land use. Rather, land use datais incorporated as an input to the first step in thetraditional four step transportation process. Theonly means by which any feedback occurs fromtransportation to land use is through the updatingof the regional transportation forecasts and plans,which occurs in regions at five or ten yearintervals." And while the traffic forecast models of the sortdeveloped in conjunction with regional agencyprojections allow for cumulative, area-wideanalysis, the level of detail needed for mostproject-level environmental impact assessment isoften missing, or is at too aggregate a level to beuseful for addressing local concerns. The Caltransenvironmental planner or consultant analyzinggrowth is advised to couple the methodologicalapproaches suggested in this Volume with a lookat the various factors influencing growth at thatlocation, including local market conditions, publicattitudes towards growth, other infrastructureconstraints, and large development proposals inthe planning pipeline, to name but a few. There isno known scientific methodology for isolating theinfluence of each of these factors that may affectgrowth, and the use of computer technology tohandle the accounting does not change this fact.

Growth inducement studies prepared by Caltransor its consultants rarely use computer modeling.Qualitative and subjective approaches weighingand comparing variables appear to be generallypreferred by those who analyze potential growthassociated with a transportation improvement forenvironmental document purposes. A study done as a technical background documentfor an environmental document in District 6(Fresno) looked at the effects of highway projectson residential development at selected locations inFresno and Madera Counties. The study, "FresnoArea Growth Inducement Study of the Effects ofHighway Network Improvements on ResidentialDevelopments," used a gravity model to producequantitative measures of the growth pressures andrelative attractiveness of each residential locationin the context of regional and local plans vis-a-visthe roadway network. The gravity model wassupplemented with opinions on likely land usechanges made by an expert panel. The typical outcome of growth inducementanalysis for Caltrans environmental documentshas been, as expressed by Dr. Giuliano, ...that theproject will facilitate planned growth and anyinducement effect will be local (e.g., aredistribution of expected growth). Thisconclusion is inevitable if we take expected(planned) growth as a given and plantransportation facilities to service that growth.Furthermore, the conclusion that growth willoccur whether or not the facility is built is also adirect result of our initial planning assumptions. ... We know from historical experience that ourability to forecast growth is limited, and that ourability to control growth is limited as well.Studies of growth controls show that their effect isprimarily one of redistribution when demand forthe growth exists: growth deterred in one citygoes to its closest neighbors.... It is also worthnoting that growth inducement is not an issue ifone believes that land use can be controlled. The relationship between transportation and landuse is difficult to determine. In a couple of my papers I made the point therelationship between transportation and land use


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is not fixed. The transportation system is veryflexible, and economic activity can take placeunder varied circumstances. Rather than a fixedrelationship, we might think about upper andlower bounds. Certainly, some quantity oftransportation infrastructure must be available,but we really can't say how much is appropriateor adequate. Moreover, at some point the lack ofsupply should hinder further economic activity,but we don't know where that point is. Places likethe Bay Area and LA have grown rapidly over thelast decade, despite the almost total absence ofnew transportation facilities and risingcongestion. Places like Denver have languished,despite rather rich transportation resources. If thesystem is so flexible, it is clearly difficult at best toidentify induced growth. . . . Even when significant land use changes occurin conjunction with transportation investments,there is no way to determine whether theinvestment caused these changes, or whether thechanges created the demand for thetransportation improvement. The fact that thedevelopment community is an active proponent oftransportation investments, and in recent yearshas become an increasingly important financialcontributor to such investments, lends credence tothe latter interpretation. In any event, land useand transportation decisions are so closely tiedtogether that it has been impossible so far toseparate their effects. There are several aspects of the context of urbanhighway investments that can affect the extent ofland use impacts. First, it is important to realizethat any single highway investment is but a part ofa much larger urban transportation system.Highway improvements are marginal: they addsome increment of accessibility to the area. In anarea that already enjoys a high level ofaccessibility, we would not expect a newinvestment to have much of an impact. In an areawith limited accessibility, the same investmentwould be expected to have a much greater impact.Most U.S. urban areas fall into the formercategory, however. Second, the availability of developable land mustbe a key consideration. Land use change is morelikely to occur in the form of new construction

rather than reconstruction because of the highcost and longevity of most residential andcommercial infrastructure. . . . Local zoning is a third critical factor in impactassessment, because land use change cannotoccur unless local zoning permits it.Consequently, transportation investments may notresult in significant land use changes if there isstrong local opposition to such changes. Majortransportation investment decisions are generallymade at the regional level, and localconstituencies may not support these decisions. A fourth factor to consider in studying land useimpacts is the state of the regional economy. . . . Finally, the scale of analysis must be considered.It is relatively straightforward to determinewhether highway investments have an impactwithin their immediate vicinity. . . .The question ismore complicated if the region as a whole is ofinterest. Regional impacts are more difficult toobserve because transportation investments areincremental. General economic conditions in the nation and theregion determine regional population andemployment growth. The evidence on regionaldevelopment indicates that regions such as theRustbelt can't stimulate much growth even withaggressive economic development programs. . . . the extent of development that occurred ineach area seemed to be largely a function of therate of economic growth of the area. The studyauthors (see Payne-Maxie Consultants, 1980)conclude that the extent of land use impacts isdetermined largely by market conditions. Whenconditions are favorable, land use change willoccur; when conditions are not favorable, impactsare unlikely. Given the high level of accessibility that exists inU.S. urban areas, the impact of any single facilitywill be marginal. In most urban areas the supplyof accessible, developable land is relativelyplentiful . Any new transportation facility provides newcapacity, but new capacity by itself does not


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generate travel demand. If I build a new highwayin a stagnant area (say Detroit) will I increasetraffic in Detroit? Supply is already more thanadequate, thus there is no latent demand. If theCentury Freeway in Los Angeles openedtomttsassorrow, will traffic increase in LA? Yes,because the demand for travel so exceeds thecurrent supply that latent demand is extensive,and the added capacity would rapidly be utilized.Did the Freeway induce these trips? No. The newtrips are the outcome of supply availability and agiven level of demand: the level of demand isdetermined in turn by the level of population andemployment activity. The question of growth inducement is whether theCentury Freeway would generate even moregrowth; that is, more growth than would haveoccurred without the freeway. The complimentary[sic] question for Detroit is whether building anew highway will generate new growth. Myanswer is the same in both cases. New or inducedgrowth would occur only if the projectsignificantly increased the propensity foreconomic growth of the region. Otherwise, anyobserved growth associated with the facilitywould be the result of a redistribution of growthwithin the region e.g. growth that would haveoccurred somewhere in the region whether or notthe project existed. Measurement of such growth is virtuallyimpossible. No model system exists today withthe sophistication to perform such an analysis.


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APPENDIX E

RELOCATIONS Environmental Planners and consultants whoprepare community impact assessment studies forCaltrans should have a basic understanding of therelocation laws and provisions with which theDepartment works. It should be understood at theoutset that Relocation Assistance is fairlycomplex. This Appendix is general in nature andis not intended to be a complete statement offederal and state relocation laws and regulations.Any questions concerning relocation should beaddressed to Caltrans Right of Way. This section provides some general descriptiveinformation on Public Law (PL) 91-646, the"Uniform Relocation Assistance and RealProperty Acquisition Policies Act of 1970" (andas Amended by PL 100-17, 1987). This is oftenreferred to simply as the "Uniform Act." Theinformation in this Appendix is provided only asbackground and is not intended as a completestatement of all the State or Federal laws andregulations; for specific details the planner shouldcontact the appropriate Caltrans District Right ofWay Relocation Branch. After presenting anoutline of the basic legal foundation for relocationpolicy, the Appendix looks at important relocationassistance information, including advisoryservices and the payment program. Additionally,an Exhibit to this Appendix includes a portion ofthe language from the Caltrans Right of WayManual Chapter 10, Section 10.05.00.00 onRelocation Impact Documents because they oftencontain information relevant to community impactassessment issues considered as part of the overallenvironmental evaluation process. DECLARATION OF POLICY "The purpose of this title is to establish a uniformpolicy for fair and equitable treatment of personsdisplaced as a result of federal and federallyassisted programs in order that such persons shall


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not suffer disproportionate injuries as a result ofprograms designed for the benefit of the public asa whole." The Fifth Amendment to the U.S. Constitutionstates, "No Person shall...be deprived of life,liberty, or property, without due process of law,nor shall private property be taken for public usewithout just compensation." The Uniform Act sets forth in statute the dueprocess that must be followed in Real Propertyacquisitions involving federal funds.Supplementing the Uniform Act is thegovernment-wide single rule for all agencies tofollow, set forth in 49 Code of FederalRegulations, Part 24. Displaced individuals, families, businesses, farms,and nonprofit organizations may be eligible forrelocation advisory services and payments, asdiscussed below. FAIR HOUSING The Fair Housing Law (Title VIII of the CivilRights Act of 1968) sets forth the policy of theUnited States to provide, within constitutionallimitations, for fair housing This Act, and asamended, make discriminatory practices in thepurchase and rental of most residential unitsillegal. Whenever possible, minority persons shallbe given reasonable opportunities to relocate toany available housing regardless of neighborhood,as long as the replacement dwellings are decent,safe, and sanitary and that are within theirfinancial means. This policy, however, does notrequire Caltrans to provide a person a largerpayment than is necessary to enable a person torelocate to a comparable replacement dwelling. Any persons to be displaced will be assigned to arelocation advisor, who will work closely witheach displacee in order to see that all paymentsand benefits are fully utilized, and that allregulations are observed, thereby avoiding thepossibility of displacees jeopardizing or forfeitingany of their benefits or payments. At the time ofthe first written offer to purchase, owner-

occupants are given a detailed explanation of thestate’s relocation services. Tenant occupants ofproperties to be acquired are contacted soon afterthe first written offer to purchase, and also aregiven a detailed explanation of the CaltransRelocation Program. To avoid loss of possiblebenefits, no individual, family, business, farm, ornonprofit organization should commit to purchaseor rent a replacement property without firstcontacting a Caltrans relocation advisor. RELOCATION ASSISTANCEADVISORY SERVICES In accordance with the Uniform RelocationAssistance and Real Property Acquisition PoliciesAct of 1970, as amended, Caltrans will providerelocation advisory assistance to any person,business, farm or nonprofit organization displacedas a result of the acquisition of real property forpublic use. Caltrans will assist displacees inobtaining comparable replacement housing byproviding current and continuing information onthe availability and prices of both houses for saleand rental units that are “decent, safe andsanitary.” Nonresidential displacees will receiveinformation on comparable properties for lease orpurchase (For business, farm and nonprofitorganization relocation services, see below). Residential replacement dwellings will be in equalor better neighborhoods at rents or prices withinthe financial ability of the individuals and familiesdisplaced, and reasonably accessible to theirplaces of employment. Before any displacementoccurs, comparable replacement dwellings will beoffered to displacees that are open to all personsregardless of race, color, religion, sex, nationalorigin, and consistent with the requirements ofTitle VIII of the Civil Rights Act of 1968. Thisassistance will also include the supplying ofinformation concerning Federal and State assistedhousing programs, and any other known servicesbeing offered by public and private agencies in thearea. Persons who are eligible for relocation paymentsand who are legally occupying the propertyrequired for the project will not be asked to movewithout first being given at least 90 days written


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notice. Occupants eligible for relocationpayment(s) will not be required to move unless atleast one comparable “decent, safe and sanitary”replacement residence, available on the market, isoffered to them by Caltrans. RESIDENTIAL RELOCATION PAYMENTSPROGRAM The Relocation Payment Program will helpeligible residential occupants by paying certaincosts and expenses. These costs are limited tothose necessary for or incidental to the purchaseor rental of the replacement dwellings and actualreasonable moving expenses to a new locationwithin 50 miles of the displacement property.Any actual moving costs in excess of the 50 milesare the responsibility of the displacee. TheResidential Relocation Program can besummarized as follows: Moving Costs Any displaced person, who lawfully occupied theacquired property, regardless of the length ofoccupancy in the property acquired, will beeligible for reimbursement of moving costs.Displacees will receive either the actualreasonable costs involved in moving themselvesand personal property up to a maximum of 50miles, or a fixed payment based on a fixed movingcost schedule. Purchase Supplement In addition to moving and related expensepayments, fully eligible homeowners may beentitled to payments for increased costs ofreplacement housing. Homeowners who have owned and occupied theirproperty for 180 days or more prior to the date ofthe first written offer to purchase the property,may qualify to receive a price differentialpayment and may qualify to receivereimbursement for certain nonrecurring costsincidental to the purchase of the replacementproperty. An interest differential payment is alsoavailable if the interest rate for the loan on the

replacement dwelling is higher than the loan rateon the displacement dwelling, subject to certainlimitations on reimbursement based upon thereplacement property interest rate. The maximumcombination of these three supplemental paymentsthat the owner-occupant can receive is $22,500. Ifthe total entitlement (without the movingpayments) is in excess of $22,500, the Last ResortHousing Program will be used (See theexplanation of the Last Resort Housing Programbelow). Rental Supplement Tenants who have occupied the property to beacquired by Caltrans for 90-179 days prior to thedate of the first written offer to purchase mayqualify to receive a rental differential payment.This payment is made when Caltrans determinesthat the cost to rent a comparable “decent, safeand sanitary” replacement dwelling will be morethan the present rent of the displacement dwelling.As an alternative, the tenant may qualify for adown payment benefit designed to assist in thepurchase of a replacement property and thepayment of certain costs incidental to thepurchase, subject to certain limitations notedunder the Down Payment section below. Themaximum amount payable to any tenant of 90days or more and any own-occupant of 90-179days, in addition to moving expenses, is $5,250.If the total entitlement for rental supplementexceeds $5,250, the Last Resort Housing Programwill be used. In addition to the occupancy requirements, inorder to receive any relocation benefits thedisplaced person must buy or rent and occupy a“decent, safe, and sanitary” replacement dwellingwithin one year from the date the Departmenttakes legal possession of the property, or from thedate the displacee vacates the displacementproperty, whichever is later. Down Payment The down payment option has been designed toaid owner occupants of 90-179 days and tenantswith no less than 90 days of continuousoccupancy prior to Caltrans first written offer.


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The down payment and incidental expensescannot exceed the maximum payment of $5,250.The one year eligibility period in which topurchase and occupy a “decent, safe and sanitary”replacement dwelling will apply. Last Resort Housing Federal regulations (49 CFR 24) contain thepolicy and procedure for implementing the LastResort Housing Program on federal-aid projects.Last Resort Housing benefits are, except for theamounts of payments and the methods in makingthem, the same as those benefits for standardresidential relocation as explained above. LastResort Housing has been designed primarily tocover situations where a displacee cannot berelocated because of lack of available comparablereplacement housing, or when the anticipatedreplacement housing payments exceed the $5,250and $22,500 limits of the standard relocationprocedure, because either the displacee lacks thefinancial ability or other valid circumstances. Incertain exceptional situations, Last ResortHousing may also be used for tenants of less than90 days. After the first written offer to acquire the propertyhas been made, Caltrans will within a reasonablelength of time, personally contact the displaces togather important information, including thefollowing: • preferences in area of relocation; • Number of people to be displaced and the

distribution of adults and children accordingto age and sex;

• Location of school and employment; • Specific arrangements needed to

accommodate any family member(s) specialneeds;

• Financial ability to relocate into comparable

replacement dwelling which will adequatelyhouse all members of the family.

NONRESIDENTIAL RELOCATIONASSISTANCE PROGRAM The Nonresidential Relocation assistance Programprovides assistance to businesses, farms andnonprofit organizations in locating suitablereplacement property, and reimbursement forcertain costs involved in relocation. TheRelocation Advisory Assistance Program willprovide current lists of properties offered for saleor rent, suitable for a particular business’s specificrelocation needs. The types of payments availableto eligible businesses, farms and nonprofitorganizations are searching and moving expenses,and possibly reestablishment expenses or a fixedin lieu payment instead of any moving, searchingand reestablishment expenses. The paymentstypes can be summarized as follows: Moving Expenses Moving expenses may include the followingactual, reasonable costs: • The moving of inventory, machinery,

equipment and similar business-relatedproperty dismantling, disconnecting, crating,packing, loading, insuring, transporting,unloading, unpacking, and reconnecting ofpersonal property.

• Loss of tangible personal property provides

payment for actual, direct loss of personalproperty that the owner is permitted not tomove.

• Expenses related to searching for a new

business site, up to $1,000 for reasonableexpenses actually incurred.

Reestablishment Expenses Reestablishment expenses related to the operationof the business at the new location, up to $10,000for reasonable expenses actually incurred. Fixed In Lieu Payment A fixed payment in lieu of moving and searchingpayments, and reestablishment payment may be


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available to businesses which meet certaineligibility requirements. This payment is anamount equal to the average annual net earningsfor the last two taxable years prior to therelocation and may not be less than $1,000 normore than $20,000. ADDITIONAL INFORMATION Reimbursement for moving costs and replacementhousing payments are not considered income forthe purpose of the Internal Revenue Code of 1954,or resources for the purpose of determining theextent of eligibility of a displacee for assistanceunder the Social Security Act, local “Section 8”Housing Programs, or other Federal assistanceprograms. Any person, business, farm or nonprofitorganization which has been refused a relocationpayment by the Caltrans relocation advisor orbelieves that the payment(s) offered by the agencyare inadequate, may appeal for a special hearingof the complaint. No legal assistance is required.Information about the appeal procedure isavailable from the relocation advisor. California law allows for the payment for lostgoodwill that arises from the displacement for apublic project. A list of ineligible expenses can beobtained from Caltrans Right of Way. California'slaw and the federal regulations coveringrelocation assistance provide that no paymentshall be duplicated by other payments being madeby the displacing agency.


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EXHIBIT E-1

EXCERPTS FROM CHAPTER 10, CALTRANS RIGHT OF WAY MANUAL RELOCATION IMPACT DOCUMENTS This attachment contains brief portions of Chapter 10 of the Caltrans Right of Way Manual that may berelevant to understand how relocation issues are addressed by Right of Way. The following addresses the minimum requirements, procedures and optional format to provide necessaryrelocation impact information to the District for Right of Way planning purposes and to the DistrictEnvironmental Assessment Branch for input into Draft and final environmental documents. The degree and range of use of the two studies described herein may vary widely among the Regions andDistricts. The objective of impact considerations is to supply the Right of Way organization with the scope ofrelocation requirements in a single project or a number of alternative projects. Special problems, timingconsiderations, relocation phasing and general relocation alternatives are to be included when appropriate. The statements or reports are to be provided to the project planners and environmental study units. It shouldbe recognized that Right of Way studies relate to who must be displaced, what problems must be solved bythe Relocation Assistance Program. It is not the purpose of these reports to evaluate the broad impact of theRelocation Assistance Program as it affects the community but only to provide data to the impact analysisteam.


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Types and Timing of Reports Draft Relocation Impact Statement There are two basic types of relocation impact documents: 1.) Relocation impact statements foruncomplicated projects, and 2.) Relocation impact reports for complicated projects and/or special problems.These reports are referred to as draft reports or the final impact reports. These two documents describe theimpact of Right of Way displacement of a project or project alternative. They differ, however, in terms ofscope and depth of analysis. The depth of analysis and scope of report should reflect the needs of both theDistrict Right of Way and Environmental Branches. Relocation Impact Documents are made at two intervals during the planning stage of a project: prior to thedraft environmental document and prior to any route selection or acquisition activities. Both documents will,at a minimum, address the following: 1.) Amount and types of residential and nonresidential displacement.2) Current and anticipated availability of relocation resources. 3.) any specific relocation problems. Draft Relocation Impact Statements (Draft) Relocation Impact Statements (memorandum format) will be prepared for projects involving minimal oruncomplicated relocation work and can be used as input to environmental documents. Such statements aremost appropriately used when there will be few or routine displacements, adequate replacement resourcesexist, and no unusual relocation situations are anticipated in relation to the community residential ornonresidential resources. Relocation Impact Reports (Draft). Relocation impact reports will be prepared for route selection purposes as input to the draft environmentaldocuments. Each design alternative will be discussed in general terms referenced with the three basicrequirements noted above. Information should be completed in a timely manner to allow its presentation at acorridor and/or public hearings. Final Relocation Impact Document (Statement-Report) A final relocation impact document will be prepared once a final alignment has been determined. Thedocument should be completed in time as input to the final ED. It differs from the draft relocation impactstatement or draft impact report in that only the selected alignment will be discussed in depth. Certainspecific recommendations are also to be included, as indicated below. The final relocation impact documentwill be completed and approved prior to any appraisal or acquisition activity. If it is not feasible to completethe document, an update of the draft relocation impact statement or the draft relocation impact report shouldbe used as input to the final environmental document. Relocation Impact Documents Minimum Requirements


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All Relocation Impact Reports should consider the following items as appropriate (see Section 10.05.00.00for complete listings). The items with an asterisk are considered basic report items. * Project Location Map Project Limits Map Project Alignment Map * Summary & Project Data Sheet Appraisal/Acquisition Priorities * Basis of Findings * Number of Displacement units * Type of units displaced (SFR, Apt, etc.) Characteristics of units Est. Value of units to be displaced * Owner/Renter Mix * Effect on Business Age and Condition of units affected Survey of displacees (Data Analysis) * Residential/non-residential units * Arrayed by price/bedroom * Arrayed against needs * Concurrent displacement * Availability analysis Market Trends Subsidized Housing * Relocation Plan Identification of special problems Proposed solutions for noted problems Appendix: Back up availability data Appendix: Typical Photos Appendix: Census/Population data Depth of Analysis The depth of discussion in the Relocation Impact Documents should be sufficient to: 1.) Satisfy the needs ofthe Caltrans District’s Environmental, Project Development, Design, and other project team members, and2.) Satisfy the internal needs of Right of Way. The degree of analysis depends on the complexity of therelocation effort and the relocation problems involved. The District should carefully choose which style ofdocument and what depth of analysis best suits their needs In complex projects, a full narrative report willbe prepared. This full report may include a more extensive “needs vs. availability” analysis and otherappropriate documentation to present discussion or data on special situations or needs. A summary of effects and alternative actions will be submitted for possible inclusion in the Final RelocationImpact Document. Understand that relocation is an entitlement guaranteed by law, not an arbitrary option tomediate damages to the effects of the housing environment. The District Environmental Branch planner (orconsultant) may summarize the effects of the loss of housing on the study area’s housing environment andmay include a discussion of the effects, if any, on the environment which may result from changes in thecommunity’s housing stock (e.g., effect on the community where replacement housing is to be provided,increase or decrease in property tax revenue, etc.). The Environmental Planner, however, should allow theRight of Way staff who prepared the Relocation Impact Study to review the summary so as to assure that itaccurately reflects what the study showed and data concluded.


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THIS SPACE IS FOR NOTES

APPENDIX F

RAMP CLOSURE STUDIES

The purpose of this Appendix is to present theDepartment's procedures for conducting animpact study on potential adverse impacts tobusinesses (and other services) dependent onaccess resulting from the temporary closure offreeway on and off ramps. (The basic discussion expressed below hasevolved from the former Caltrans Policy &Procedure 82-6, which is replaced by thisdiscussion. These methodologies may also behelpful in conducting analyses of other types oftransportation-related economic impacts,although they will no doubt need to be tailored tomeet the needs of the user.) To the extent feasible, construction projects onfreeways which will require the closing of rampsshould be identified and analyzed during theplanning and design stages by the environmentalplanning unit to which a study request is made. If there are no other socioeconomic issues, thereport should be focused only on the issue of theramp closure. The study need not be long; see theexample at the end of this section. The results ofthis analytical report should be summarized in theenvironmental document prepared for the project. It is recognized that despite best efforts toanticipate ramp modifications, the specific detailson prolonged closures cannot always be formallystudied in the planning or design phase whenenvironmental studies are being conducted. Thussometimes such analysis is handled in a laterstage. It is not necessary to restudy othersocioeconomic impacts previously studied duringplanning and design unless significant newcommercial development has occurred in the areain the interim. When is a study needed? First, wherever it is possible, the prolongedclosure (generally considered to be 10 consecutivedays) of freeway ramps when the closure mayhave an adverse impact on local businesses shouldbe avoided. The procedures below provide aframework for addressing such impacts. Ramp


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closures cannot always be avoided however; thereare often other factors that influence the finaldecision, including those involving travel costs,and delay and safety concerns. For temporary ramp closures of short duration, 10consecutive days or less, where there is anindication of adverse impacts or there is sufficientpublic concern to identify impacts on adjacentbusinesses, an impact study may be necessary. Ramp closures need not be studied foremergencies or short-term planned closures (lessthan 10 consecutive days) which include, but arenot limited to: • peak hour traffic management; • routine maintenance; • special events; • law enforcement purposes; • work by local jurisdictions on local streetscarrying traffic to or from the ramp. Study Procedures (1) For a project proposing a prolonged rampclosure, determine the degree to which businessesare dependent on freeway access (% of highway-oriented customers). Trip Generation (5th edition,1990), a publication by the Institute ofTransportation Engineers (ITE), contains usefuldata that can be extrapolated for a number ofpurposes in this regard. The manual gives tripgeneration rates for over 100 different land usesbased on data from nearly 3000 trip generationstudies and updated information on multiple-useprojects and pass-by trips, including such landuses as fast food restaurants and service stationswith convenience stores. Such data may be usefulfor understanding the percentage of patronagewhich is from pass-by traffic for certain types ofbusiness when changing access or re-routingtraffic. Obviously, these factors are highlyaffected by the local market, adjacent land uses,and local traffic patterns. This data should be

combined with information from Caltrans TrafficOperations or the local public works agency tobetter understand the likely changed traffic levelson the roadway. Examine the following interrelated factors: • type of business? • trade or service area? • seasonal (or peak hour) characteristics? • concentrated business area? • are emergency services affected?

• alternative access available?

Some of the data sources listed in Appendix Bmay be useful in compiling information. Thegeographical scope of study should generally belimited to businesses within one-half mile of theramp unless compelling reasons for a larger studyare evident. The level of detail of informationrequired will be only that needed to providereasonable confidence in the conclusions.

(2) Determine the travel costs, delay and safetyimpacts due to the proposed prolong ramp closure.

(3) Estimate cost of any mitigation measures.

(4) Incorporate study results in the environmentaldocument; if the environmental document hasalready been completed, the Environmental OfficeChief should furnish the results of the study to theDeputy District Director for Design orConstruction, depending on the circumstances.It may be a good idea to conduct a field survey ofbusinesses in collaboration with localrepresentatives and persons familiar with theproject area; the results of the survey should beincluded in the study.

The capacity of a business to withstand adisruption to its operations depends on the typesof goods and services they provide and theresources of the business and its cash flow.Generally, large businesses, and those that serve a


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large regional market area are more likely to beable to afford a temporary interruption in existingaccess. However, some businesses, especiallysmall ones, may not be in a position to be able tosustain a loss of access for more than a shortperiod of time if sales drop dramatically.Obviously retail businesses are more directlyaffected in changes in the transportation networkthan commercial offices and manufacturing firms.

In many instances, the assessment proceduresindicate the use of personal judgment will berequired in making a determination as to theextent of an economic impact. In addition,consultation with local officials and personsfamiliar with the project area should provideadditional information to make these necessaryjudgments.

The affected local agency should be notified ofany decision, and local businesses that may beaffected should be included in the publicdistribution of the environmental document andnotified of any public hearing.

MITIGATION MEASURES

Mitigation measures such as the use of staging,expediting construction, building temporaryramps and detours, signing and closely workingwith businesses should be considered to minimizeor avoid the impacts on local businesses. Theestimated cost of any appropriate measure shouldbe included in the analysis. It is the responsibilityof the project development unit to see that themitigation measures accepted by the ProjectDevelopment Team are incorporated into theplans, specifications and estimates (PS&E), or anyspecial environmental provisions. The results ofthe ramp closure study shall be weighed by thedecision maker.

It should also be noted that only properties withactual physical takings are eligible for acquisitionand relocation benefits (i.e., compensation).Circuity of travel and alternative access is non-compensible under Federal law.


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Exhibit F-1RAMP CLOSURE STUDY

(EXAMPLE)

The following serves as an example of a requisite study that was prepared to address temporary ramp closures. Theidentity of true place names have been omitted. Exhibits which accompanied the original report, depicting specificproject configuration details and minutes of a meeting between the hospital and Caltrans staff, are not reproducedhere. This sample was adopted from a study report prepared by Mr. Cleve Govan, Senior Environmental Planner,Caltrans

This report was prepared to address the impacts of temporarily closing on and off-ramps along I-222. Theseramp closings are necessitated by the proposed project which requires the widening of the I-222 freeway inthe vicinity of O’Brien Street. In order to prevent the purchase of additional right-of-way, the construction ofmany retaining walls are required as the new ramps are built using the location of the old ramps.Consequently, it is not feasible to stage the work allowing the old ramps to remain in operation while thenew ramps are constructed. The new O’Brien Street Park-and-Ride lot will be constructed on the west sideof the I-222 freeway, north of O’Brien Street, at the site of the Egyptian Restaurant.

The existing ramp system provides direct access to and from O’Brien Street for southbound freewayvehicles. Northbound freeway access to and from O’Brien Street is provided via Letterman Avenue. The on-ramps will be closed for a period of two years and the off-ramps closed for a duration of 6 to 9 months.

A brief description of the project area is as follows: The immediate project vicinity is the commercial areaalong O’Brien Street to the east and west of I-222, roughly between Letterman Avenue and Leno Boulevard.Letterman Avenue and Leno Boulevard are north-south arterials paralleling the I-222 freeway to the east andwest, respectively. The portions of these arterials between 14th and 20th Streets are also considered part ofthe immediate project vicinity.

Typical businesses along O’Brien Street include service stations, fast food restaurants, mini-malls, smallprivate business establishments (including a thrift store and real estate office), and professional buildings.Land use along Letterman Avenue ranges from a liquor store and a veterinary facility to apartments,condominiums, single-family dwellings, and convalescent hospitals. Land use along Leno Boulevard is moreof a light-industrial nature, with a car wash, lumber company, light manufacturing facilities, a vacantnursery, a Chinese restaurant, and several convalescent hospitals. The Twinkle Star Trailer Court is on theeast side of Leno Boulevard, extending along the north side of 20th Street and abutting the freeway right-of-way, and paralleling the west side of the freeway north to O’Brien Street. But perhaps the most sensitive landuse in the project area is the Lucky Clover Medical Center at the southwest quadrant of O’Brien Street andLeno Blvd. The main building of the facility dates to 1962, although other structures were built as early as1943.

The County of Los Angeles/City of Chester corporate boundary traverses the project area in a north-southbound fashion parallel to, and just east of, I-222. The Lucky Clover Medical Center is west of the corporateboundary in the unincorporated county area. The Medical Center is a major provider of health care in thearea. It also provides emergency services, and potential impacts on emergency vehicle access to the healthfacility was one of Caltrans’ major concerns.

All of the businesses and non-profit organizations in the project area, including the Lucky Clover MedicalCenter, have a portion of their respective patrons that arrive and exit by the O’Brien Street on and off-rampsfrom I-222. These ramps also serve the nearby residential areas, as previously noted, as well as the moredistant communities of Brookfall and Eagles Nest.


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Patrons seeking access from I-222 freeway to the business establishments in the project area will need to findalternative routes. Fortunately, such alternative routes do exist. I-222 south-bound traffic to O’Brien Streetwould exit the off-ramp at 23rd Street (.5 mile, or less than 1 km to the south), and backtrack to O’BrienStreet along Letterman Avenue or Leno Blvd.; or exit at Java Road (.8 mile, or slightly more than one km tothe north) via Tea Avenue to proceed to the project area. Likewise, I-222 northbound off-ramp traffic toO’Brien Street would exit at Rodeo Street (1.7 miles, or 2.7 km to the south), and proceed to the project areaalong Letterman Avenue or Leno Blvd.; or, exit at Java Road via Letterman Avenue or Leno Blvd.Southbound and northbound on-ramps from O’Brien Street will be closed, with alternate freeway accessfrom 23rd Street or Java Road via Tea Avenue, and Rodeo St. or Java Road via Letterman Avenue,respectively.

Because there are viable alternative routes to and from the commercial area along O’Brien Street andLetterman Avenue and Leno Blvd., it appears that potential business patrons would have adequate access tothe project area during the ramp closure period. Likewise, access to residences in the project area or moredistant residential communities would not be adversely impacted. However, due to the emergency accessneeds of the Lucky Clover Medical Center, Caltrans prepared an access time analysis to determine theadditional time required for emergency vehicles to access the Medical Center when using the previouslydiscussed alternative routes. In addition, Caltrans met with Medical Center staff to discuss the ramp closuresand identify any of their concerns. The staff indicated that with advance notification and coordination theemergency drivers will be able to cope with the construction schedules. Caltrans resident engineers willwork closely with the medical staff.

The access time analysis indicates the extra time required to access the hospital via alternative routes is notinordinate. It takes 1 minute and 22 seconds (on the average) to access the Medical Center from thesouthbound freeway off-ramp to O’Brien Street. Using this as the base condition, the access times of thealternative routes can be compared. Utilizing the 23rd Street southbound off-ramp route requires 49additional seconds, while utilizing the Java Road southbound off-ramp requires an additional 1 minute, 14seconds. Likewise, using the I-222 northbound off-ramp to O’Brien Street takes an average of 3 minutes, 4seconds to access the Medical Center. Using this as the base condition, it takes 13 seconds longer to accessthe hospital utilizing the northbound off-ramp to Rodeo Street route, while utilizing the Java Roadnorthbound off-ramp route requires an additional 1 minute, 24 seconds to access the Medical Center.

On September 14, 1994, Caltrans and Lucky Clover Medical Center staffs met at the hospital to allowCaltrans an opportunity to identify any concerns that the institution may have regarding access impacts dueto temporarily closing the O’Brien Street ramps. For northbound motorists, freeway access is provided at Java Road or Rodeo Street. For southboundmotorists, freeway access is provided at Rodeo Street, 23rd Street, or Java Road.

As mitigation for the long-term closure of the off-ramps, particularly with regards to emergency vehicleaccess, Caltrans will require the contractor to complete the off-ramps as a first order of work to insure thatthe new off-ramps will be in service as soon as possible. The on-ramps would be closed for the duration ofthe contract.

Because there are viable alternative routes to the project area and access time to the area via these alternativeroutes is not inordinate, it is concluded that the various businesses and non-profit organizations would notsuffer adverse patronage losses during closure of the I-222 freeway on and off-ramps from and to O’BrienStreet. This conclusion is further reinforced by the results of the meeting with the Lucky Clover MedicalCenter staff as previously discussed.


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As demonstrated by the access time analysis, the previously described alternative routes are sufficiently closeto O’Brien Street that any driving time adjustments would be less than two minutes. Any inconvenience dueto extra driving time would be marginal. Likewise, because driving time adjustments would be minimal, noappreciable increase in energy consumption would result.

Even though the O’Brien Street ramp closures do not pose an adverse impact on the businesses in the projectarea, or surrounding residential communities, the following measures are suggested:

1. Notify the local business and commercial concerns of the temporary closure of these ramps andalternative routes.

2. Notify emergency public services, such as the Medical Center, fire departments, and local ambulance

services. 3. Inform the California Highway Patrol and other appropriate law enforcement agencies of the proposed

action. 4. Notify the County Supervisor’s Office and the City in which the ramps are located to discuss the

proposal with them. 5. If the Supervisor’s Office and/or the City deems it worthy, conduct an open house (s) to discuss the

proposal for closing the ramps with the public. 6. Keep the County and affected City Traffic Engineer appraised. 7. Before closing the ramps, mail out informational notices, issue press releases, and make public service

radio announcements to inform the public in advance of the closures.


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THIS SPACE IS FOR NOTES APPENDIX G

PUBLIC INVOLVEMENT

Public involvement requirements have beenestablished by statute, as in NEPA and CEQA,ISTEA, and by regulations and guidance issuedby federal and state agencies. According to theAmerican Association of State Highway andTransportation Officials, “Constructive publicparticipation should be continually sought andencouraged by responsive governmental agenciesthroughout the transportation planning anddevelopment process. The emphasis should be oncommencing this participation as early in theplanning process as possible, and in all cases priorto major decisionmaking points.”

State and local transportation agencies have awide range of available options and good modelsto choose from to solicit feedback from thecommunity, resolve differences among competinginterests, and integrate the results into theplanning and project development process. Yet,traditional public involvement methods, such aspublic meetings and hearings interest only a smallfraction of the potentially interested population.Often, an initial list of invited participantsunintentionally omits important segments of thepopulation and the mere insertion of a publicnotice advertisement in the local, English-speaking newspaper, may not have the desiredresults of reaching out to a broad segment of theaffected audience. This includes involving peoplewho have a stake in transportation decisions, yetare not usually well-represented in the process.Included in this group are ethnic minorities,people with low incomes, those who are poorlyeducated, single parents, and people withdisabilities.

Capturing the attention of a larger, morerepresentative group requires careful planningand, in many cases, a more substantial effort thanwas paid in the past to such concerns. To be mosteffective, outreach techniques may need to bealtered or augmented, because styles of


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communication and behavior patterns differ fromculture to culture. Early, informal consultationwith members of target groups about whatstructural and institutional barriers to participationmay exist (or be perceived to exist), and how thetransportation agency may work to overcomethem, is an essential component. Experienceindicates that planners, engineers and othersinvolved in the process may face misgivingsabout extending “special treatment” to somepublic members or groups that have nothistorically been involved. It is important to keepin mind, however, that techniques tailored toinvolve special segments of the public (such asbusiness concerns) have long been a part of publicinvolvement programs by transportation agencies.On the other hand, feedback from traditionallyunder-served groups is not “separate” from otherinput or given more weight, but rather, to be mostuseful, is integrated with, and balanced by, theneeds and concerns of all societal interests.

When launching a public involvement effort, it isimportant to pursue a systematic process based on5 fundamental guidelines, as spelled out in arecent U.S. DOT publication on publicinvolvement, cited at the end of this Appendix.

1.) Public involvement is more than simplyfollowing legislation and regulations. In ademocratic society, people have basicopportunities to debate issues, frame alternativesolutions, and affect final decisions in ways thatrespect the role of the decision-makers.Knowledge is the core of such participation. Thepublic needs to know details about a plan orproject to evaluate its importance or anticipatedcosts and benefits. Agency goals should reflectcommunity goals. Through continued interactionwith the entire community, agencies buildcommunity support and, more importantly, assurethat the public has the opportunity to help shapethe substance of plans and projects. In summary,public agencies should act as public servants.

2.) Public involvement is really about continuouscontact between agency and non-agency peoplethroughout the transportation decision-makingprocess, from the earliest stages, as one or moretransportation problems are identified, through the

definition of purpose and need, through thedevelopment of a range of potential solutions, andup to the decision to implement a particularsolution.

3.) Public involvement will usually necessitate theuse of a variety of techniques that target differentgroups or individuals in different ways or targetthe same groups or individuals in different ways.A single, one-size-fits all approach usually resultsin missing many people and thus runs counter tobasic democratic principles. Effectiveinvolvement processes should be custom-tailoredto local conditions.

4.) Active outreach to the public means agenciesmust search out the public and work hard to elicitresponse. It is true that resources are limited, andagencies cannot force anyone to participate.Transportation agencies, however, haverepeatedly found that actively seeking out thepublic and abandoning unsuccessful approachesbring greater results.

5.) Public participation should focus on theimportance of shared decision-making rather thanon conducting participation exercises merelybecause they are legally required. Decisionsinclude both the continuous stream of informaldecisions made by agency staff and lower-levelmanagement and the less frequent formaldecisions made by decision-makers. Timelyagency response to ideas from the public andintegration of their ideas into decisions shows thepublic that participation is worthwhile. A focuson the wide range of possible decisions getsagencies past simply offering the public passiveopportunities to comment on proposed projectsjust before formal decision-making.

What are some examples of State and localagencies in California that have demonstratedinnovative approaches to enlist public input intothe process? During a transportation corridorstudy in East Los Angeles, Spanish-speaking staffof the Metropolitan Transportation Authoritywalked through the neighborhoods, personallyinviting people they met to attend a futuremeeting. A high turnout resulted. CaltransDistrict 3 (Marysville) desired to learn the


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opinions of the tightly-knit Hmong communityliving near a project area. Caltrans contacted thegroup’s church leaders, worked with them to writenotices in their native Laotian language, and thenprovided copies for students to take home to theirparents. The flyers noted that translators andchild care arrangements would be made for thosepresent at the public meeting. The attendancewent beyond all expectations. The SacramentoRegional Transit District featured an interviewand call-in show on a Spanish radio station tobetter understand the needs of the Latinocommunity.

Public involvement techniques include publicmeetings, planning charrettes, informalworkshops, tours and site visits, projectnewsletters, focus groups, citizen advisorycommittees, local cable access shows, interactivevideo displays and kiosks, world wide web sites,questionnaires and surveys, and transportationfairs. For more information on these and othertechniques, please refer to the publication, PublicInvolvement Techniques for TransportationDecision-making, jointly prepared for the U.S.Department of Transportation, FHWA and FTA(September 1996). Another useful publication is,Improving the Effectiveness of Public Meetingsand Hearings, a workbook prepared by theNational Highway Institute (November 1996).For more information, you may also want tocontact the public involvement specialist in theFHWA Headquarters Office of Environment andPlanning, Washington, D.C.: (202) 366-0106.