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156 PB-244-947 07281 Coastai Zone Information Center JUN 14 1976 NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM 156 REPORT TRANSPORTATI0N DECESION - MAKING A GUIDE TO SOCIAL AND ENVIRONMENTAL CONSIDERATIONS COASTAL ZONE INFORMATI0N CENTER HE 206.2 T73 ATION RESEARCH BOARD 1975 ARCH COUNCIL TRANSPORTATION RESEARCH BOARD 1975 Officers MILTON PIKARSKY, Chairman HAROLD L. MICHAEL, Vice Chairman W. N. CAREY, JR., Executive Director Executive Committee HENRIK E. STAFSETH, Executive Director, American Assn. of State Highway and Transportation Officials (ex officio) (ex officio) NORBERT T. TIEMANN, Federal Highway, Administrator, U.S Department of Transportation (ex officio) FRANK C. HERRINGER, Urban Mass Transportation administrator, U.S. Department of Transportation (ex officio) (exofficio) ASAPH H. HALL, Acting Federal Railroad Administrator, U.S. Department of Transportation (ex offico) HARVEY BROOKS, Chairman, Commission on Sociotechnical Systems, National Research Council WILLIAM L. GARRISON, Director, Inst. of Transp. and Traffic Eng., University of California (ex officio, Past Chairman 1973) JAY W. BROWN, Director of Road Operations, Florida Department of Transportation (ex offico, Past Chairman 1974) GEORGE H. ANDREWS, Director, Washington State Department of Highways MANUEL CARBALLO, Deputy Commissioner, New Jersey Department of Transportation L. S. CRANE, Executive Vice President (Operations), Southern Railway System JAMES M. DAVEY, Managing Director, Detroit Metropolitan Wayne County Airport LOUIS J.GAMBACCINI, Vice President and General Manager, Port Authority Trans-Hudson Corporation ALFRED HEDEFINE, Senior Vice President, Parsons, Brinckerhoff, Quade and Douglas ROBERT N. HUNTER, Chief Engineer, Missouri State Highway Commission A. SCHEFFER LANG, Assistant to the President, Association of American Railroads BENJAMIN LAX, Director, Francis Bitter National Magnet Laboratory, Massachusetts Institute of Technology DANIEL McFADDEN, Professor of Economics, University of California HAROLD L. MICHAEL, School, of Civil Engineering, Purdue University D. GRANT MICKLE, Highway Users Federation for Safety and Mobility JAMES A. MOB, Executive Engineer, Hydro and Community Facilities Division, Bechtel, Inc. MILTON PIKARSKY, Chairman of the Board, Chicago Regional Transit Authority J. PHILLIP RICHLEY, Vice President (Transportation), Dalton, Dalton, Little and Newport RAYMOND T. SCHULER, Commissioner, New York State Department of Transportation WILLIAM K. SMITH, Vice President (Transportation), General Mills B. R. STOKES, Executive Director, American Public Transit Association PERCY A. WOOD, Executive Vice President and CHief Operating Officer, United Air Lines NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Advisory Committee MILTON PIKARSKY, Chicago Regional Transit Authority (CHAFFMAN) HAROLD L. MICHAEL, Purdue University HENRIK E. STAFSTEH, American Association of State Highway and Transportation Officials NORBERT T. TIEMANN, U.S. Department of Transportation HARVEY BROOKS, National Research Council WILLIAM L. GARRISON, University of California JAY W. BROWN, Florida Department of Transportation W. N. CAREY, JR., Transportation Research Board. General Field of Transportation Planning Area of Urban Transportation Advisory Panel B 8-8(3) JOHN K. MLADINOV, New York State Department of JACK Kinstlinger, Pennsylvania Department of Transportation Transportation (Chairman) IRVING J Rubin. Ford Motor Company RICHARD J. BOUCHARD, U.S. Department of Transportation JOSEPH L. Scofer northwestern university WILLIAM BUNKLEY Ohio Department of Transportation ALI F SEvin Federal Highway Administration W. F. CADDELL, JR., North Carolina State Highway. ROY A. FLINT, City of White Plains, New York ROBERT LAVellle FEderal Higway Administration KEVIN E. HEANUE, Federal Highway. Administration J A SCOTT, Trasnportation Research Board Program Staff K. W Henderson, jr. program Director DAVID K WITHEFORD Assistant Program Director HARRY A. SMITH, Projects Engineer LOUIS M. MAcGREGOR, Administrative Engineer, ROBERT E. SPICHER, Projects Engineer JOHN E. BURKE, Projects Engineer, HERBERT P. ORLAND, Editor R. IAN KINGHAM, Projects Engineer PATRICIA A. PETERS, Associate Editor ROBERT J REILLY, Projects Engineer EDYTHE T. CRUMP, Assistant Editor NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM REPORT 156 TRANSPORTATION DECISION-MAKING A GUIDE TO SOCIAL AND ENVIRONMENTAL CONSIDERATIONS MARVIN L. MANHEIM, JOHN H. SUHRBIER, ELIZABETH D. BENNETT, LANCE A. NEUMANN, FRANK C. COLCORD, JR., AND ARLEE T. RENO, JR. MASSACHUSETTS INSTITUTE OF TECHNOLOGY CAMBRIDGE, MASSACHUSETTS RESEARCH SPONSORED BY THE AMERIC AN ASSOCIATION OF STATE HIGHWAY AND TRANSPORTATION OFFICIALS IN COOPERATION WITH THE FEDERAL HIGHWAY ADMINISTRATION AREAS OF INTEREST: TRANSPORTATION ADMINISTRATION URBAN TRANSPORTATION ADMINISTRATION US Department of Commerce URBAN COMMUNITY VALUES NOAA Coastal Contor Library 2234 Soutli L_'_-1_L;_-:i Avenue Charleston, SC 29405-2413 TRANSPORTATION RESEARCH BOARD NATIONAL RESEARCH COUNCIL WASHINGTON, D.C. 1975 NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP Report 156 Systematic, well-designed research provides the most ef- Project 8-8(3) FY '69 fective approach to the solution of many problems facing ISBN 0-309-02331-9 highway administrators and engineers. Often, highway L. C. Catalog Card No. 75-20627 problems are of local interest and can best be studied by highway departments individually or in cooperation with Price: $7.20 their state universities and others. However, the accelerat- ing growth. of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators Notice of the American Association of State Highway and Trans- The project that is the subject of this report was a part of the National Cooperative Highway Research Program conducted by the portation Officials initiated in 1962 an objective national Transportation Research Board with the approval of the Governing highway research program employing modern scientific Board of the National Research Council, acting in behalf of the techniques. This program is supported on a continuing National Academy of Sciences. Such approval reflects the Governing Board's judgment that the program concerned is of national impor- basis by funds from participating member states of the tance and appropriate with respect to both the purposes and re- Association and it receives the full cooperation and support sources of the National Research Council. of the Federal Highway Administration, United States The members of the advisory committee selected to monitor this project and to review this report were chosen for recognized Department of Transportation. scholarly competence and with due consideration for the balance The Transportation Research Board of the National Re- of disciplines appropriate to the project. The opinions and con- clusions expressed or implied are those of the research agency that search Council was requested by the Association to admin- performed the research, and, while they have been accepted as ister the research program because of the Board's recog- appropriate by the advisory committee, they are not necessarily those nized objectivity and understanding of modern research of the Transportation Research Board, the National Research Coun- cil, the National Academy of Sciences, or the program sponsors. practices. The Board is uniquely suited for this purpose Each report is reviewed and processed according to procedures as: it maintains an extensive committee structure from established and monitored by the Report Review Committee of the which authorities on any highway transportation subject National Academy of Sciences. Distribution of the report is ap- proved by the President of the Academy upon satisfactory comple- may be drawn; it possesses avenues of communications and tion of the review process. cooperation with federal, state, and local governmental The National Research Council is the principal operating agency of agencies, universities, and industry; its relationship to its the National Academy of Sciences and the National Academy of Engineering, serving government and other organizations. The parent organization, the National Academy of Sciences, a Transportation Research Board evolved from the 54-year-old High- private, nonprofit institution, is an insurance of objectivity; way Research Board. The TRB incorporates all former HRB it maintains a full-time research correlation staff of special- activities but also performs additional functions under a broader scope involving all modes of transportation and the interactions of ists in highway transportation matters to bring the findings transportation with society. of research directly to those who are in a position to use them, The program is developed on the basis of research needs identified by chief administrators of the highway and trans- portation departments and by committees of AASHTO. Each year, specific areas of resea 'rch needs to be included in the program are proposed to the Academy and the Board by the American Association of State Highway and Trans- portation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies Published reports of the are selected from those that have submitted proposals. Ad- NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM ministration and surveillance of research contracfg are responsibilities of the Academy and its Transportation are available from: Research Board. Transportation Research Board The needs for highway research are many, and the National National Academy of Sciences Cooperative Highway Research Program can make signifi- 2101 Constitution Avenue, N.W. cant contributions to the solution of highway transportation Washington, D.C. 20418 problems of mutual, concern to many responsible groups. The program, however, is intended to complement rather (See last pages for list of published titles and prices) than to substitute for or duplicate other highway research programs. Printed in the United states of America. FOREWORD This report will be of particular interest to transportation administrators, engineers, and planners in all disciplines involved in transportation decision-making, as well By Stag as a variety of community groups. It presents an integrated approach for syste- Transportation matically incorporating social, economic, and environmental factors into transporta- Research Board tion planning and decision-making. Professionals participating in system and project development will find parts of the report tailored to their needs. Trans- portation administrators will find sections of the report cover a number of policy and institutional implications associated with implementation of the procedural recommendations. Those involved in both project studies and agency management will find the overview of the proposed approach to be helpful in considering (a) the coordination of federal, state, regional, and local institutions; (b) the issues of equity; (c) the amelioration of negative impacts; (d) the easing of mobility problems for the transportation disadvantaged; and (e) the determination of costs that include social and environmental costs, The increasing emphasis on social and environmental values has focused attention on the need for improving integration of a transportation facility with the community. To achieve desirable levels of integration, research was pro- grammed by AASHTO to (a) develop a practical method for evaluating the immediate and long-term effects of highways on the social and environmental considerations of communities, and (b) test, evaluate, and refine the method by applying it to specific cases covering a range of situations. Because the process must maximize the probability that significant community values will, in fact, be considered, even if the state of the art does not allow all of these values to be measured quantitatively or precisely, the research emphasizes development of an approach in the context of the location process. Although the scope encompasses all types of highways, the study findings are applicable to all types of transportation facilities, many other public works projects, and all phases of planning. The study was conducted by the Transportation Systems Division, Depart- ment of Civil Engineering, Massachusetts Institute of Technology. In the initial phase, funded in 1969, MIT prepared a study design that served as the working plan to provide solutions to meet the need for a pragmatic approach to the problem. The conclusion to the first phase was an unpublished draft report, "Community, Values in Highway Location and Design: A Procedural Guide." The second, and final, phase included (1) working with selected state highway departments to implement the proposed approach and adapt it to specific situations; (2) extending the approach for use in metropolitan area, statewide multimodal, and systems-level planning; (3) extending, testing, and refining the techniques set forth in the Procedural Guide; and (4) revising the Procedural Guide to reflect the additional knowledge. The approach developed recognizes and considers the following ten elements basic to the consideration of environmental and social values in transportation planning: 1. Differential effects. 2. Community values. 3. Community interaction. 4. Evaluation and reporting. 5. Consideration of alternatives. 6. Identification of impacts and affected interests. 7. Process management. 8. Interrelation of system and process planning. 9. Institutional arrangements and decision-making. 10. Implementation. These elements are described in an overview and then discussed individually in detail. To assist in incorporating these elements into the transportation planning process, specific techniques that might be used are described. Most of the tech- niques can be adopted individually without difficulty. They are intended for use in developing and evaluating alternative transportation plans with the participation of other state and federal agencies and local citizens and officials. Some of these procedures are already current practice in some agencies. Several have been tried in other professions; others have been recommended in the published literature or were suggested in discussions with federal and state highway officials. Many more stemmed from direct observation of the problems transportation agencies are facing. The report is closely related to the requirements of the process guidelines set forth in Federal Highway Administration Policy and Procedure Memorandum 90-4, and is structured to assist in the revision and implementation of action plans. The overview discussion of the ten elements is roughly analogous in scope and level of detail to the FHWA PPM. The remaining sections of the report correspond in many ways to the content of an action plan. CONTENTS I SUMMARY PART 1 5 CHAPTER ONE Introduction and Research Approach The Changing Role of Highway Agencies The Impacts of Transportation Procedural Changes in Transportation Planning and Decision- Making The Issue of Public Confidence Research Approach Purpose of the Report Use of the Report 9 CHAPTER Two Findings-Overview Social and Environmental Considerations in Transportation Decision-Making Objectives of the Planning and Design Process A Four-Phase Strategy for Planning The Role of the Transportation Professional 15 CHAPTER THREE Findings-Procedural Guidelines Community Interaction Evaluation and Reporting Consideration of Alternatives Identification of Impacts and Affected Interests 77 CHAPTER FOUR Findings-Management and Policy Guidelines Process Management Interrelation of System and Project Planning Institutional Arrangements and Decision-Making 105 CHAPTER FIVE Implementation and Application Experience Implementation Application Experience 113 CHAPTER SIX Conclusions and Suggested Research Applicability to Public Policy Decisions Next Steps: Implementation 114 REFERENCES PART 11 122 APPENDIX A Legal Requirements Community Interaction Evaluation Alternatives Impacts Process Management System Planning Institutional Arrangements and Decision-Making 128 APPENDIX B Impact and Design Interrelationships Air Quality Community Cohesion Network Flows Accessibility Mobility for Special Groups References ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Guidelines (Economic, Social, and Environmental Effects on Project 8-8(3) by the Transportation Systems Division, Depart- Highway Projects). This provided additional opportunities to ment of Civil Engineering, Massachusetts Institute of Tech- discuss the subjects of transportation and community values nology, with Professor Marvin L. Manheim and Research with transportation officials, community interests, and environ- Associate John H. Suhrbier as co-principal investigators. They mental groups from all over the United States. A great deal was also are, respectively, Director and Executive Officer of the learned from these interactions, which indirectly influenced both Transportation and Community Values Project under the the form and substance of the NCHRP research. Thanks are Division. The other authors are: Elizabeth D. Bennett, Re- extended to Michael Lash, Lee Mertz, Phil Darling, George search Engineer, Urban Systems Laboratory, MIT; Lance A. Duffy, Fred Hemple, Russ Machol, and Rex Wells for the Neumann, Graduate Research Assistant, Department of Civil opportunity of working with them in this phase,, of federal Engineering, MIT; Frank C. Colcord, Jr., Professor and Chair- highway development. man, Department of Political Science, Tufts University; and Support was provided, in addition, during the initial phase of Arlee T. Reno, Jr., Research Engineer, Urban Systems Labora- the research, by the Ford Foundation through the MIT Urban tory, MIT. Systems Laboratory. Grateful appreciation is extended to the several persons who Many people have contributed to the preparation of this volunteered significant portions of their time to review interim report, either directly by preparing draft material or indirectly and draft project reports. Their input provided to this final by having been responsible for a particular phase of the re- report many specific contributions that otherwise would not have search. A number of them deserve to be listed as contributing been obtained. authors. They are: Harry Cohen (Chapter Three, sections on An important component of the research was the field studies "Evaluation and Reporting" and "Consideration of Alterna- performed in cooperation with the Georgia Department of tives"); Cathy Buckley (Chapter Three, section on "Community Transportation and the Michigan Department of State Highways Interaction," and the Michigan field work); Robert Giel (Chap- and Transportation. This cooperation enabled the research ter Four, section on "Process Management," and Chapter Five); staff to test, adapt, refine, and extend many of the research Arthur Hall (Chapter Three, sections on "Evaluation and findings, and portions of the work reported herein are a direct Reporting" and "Consideration of Alternatives," and the result of this experience. Acknowledgment is made for the Michigan field work); Michael Petersilia (Chapter Three, assistance and cooperation provided by all those with whom section on "Evaluation and Reporting," and the Georgia field the researchers were privileged to work in Atlanta, Ga., and work); Wayne Pecknold (Chapter Four, section on "Interre- Lansing, Mich., particularly G. Robert Adams, George lation of System and Project Planning"); David Schiff (Appen- Boulineau, and Sid Davis. dix B); and Daniel Greenbaum (Chapter Four, section on Related research sponsored by the California Department of "Institutional Arrangements and Decision-Making"). Transportation and by the Federal Highway Administration has Participants during the early phases of the research who made contributed immeasurably to this report. important contributions on which this final report is based The California work permitted the initial field application include Hans Bleiker, Kirtland Mead, Tridib Banerjee, James of the proposed approach and served as the basis for the early Kneafsey, Henry Bruck, John Clarkeson, Kenneth Geiser, research on system planning and institutional arrangements. Romin Koebel, Albert Mailman, William Porter, Jeffrey Tryens, Stuart Hill, Robert Fisher, Michael Stephenson, Charles Whit- and Philip Wade. marsh, and Larry Wieman were instrumental in this aspect of Particular appreciation for much valuable advice and insight the research. Thanks are extended for the insights and oppor. during the early phases of the research is due Lowell K. tunities that they and the other California people provided. Bridwell. The Federal Highway Administration work was performed Special thanks are given to Deborah Card, Carol Walb, Carla in conjunction with the development and implementation of Fink, Elaine Goldberg, and Deborah Sylvain for their variety FHWA Policy and Procedure Memorandum 90-4, Process of contributions as an integral part of the research team. TRANSPORTATION DECISION-MAKING A GUIDE TO SOCIAL AND ENVIRONMENTAL CONSIDERATIONS SUMMARY Highway agencies in the United States are evolving into transportation agencies whose primary concern is the effective use of all modal facilities for the movement of passengers and freight. At the same time they are being asked to consider a broader range of possible direct and indirect social, environmental, and economic effects in all aspects of their decision-making. In almost all cases this has proven to be a difficult, and sometimes controversial, challenge. This report presents an integrated approach for systematically incorporating social, economic, and environmental factors into transportation planning and design. Specific techniques are described for implementing the approach, together with examples illustrating their use in actual studies. Most of the techniques and pro- cedures can be adopted without difficulty and, in fact, many represent the current practice in several states. Taken together, however, the proposals reflect an approach to transportation planning and decision-making that is significantly dif- ferent from what has been traditional. Full implementation may require major changes in policies, work styles, and institutional arrangements. Basic Findings Three key findings form the basis of the proposed planning approach and supporting techniques, as follows: 1. The over-all process through which social, economic, and environmental considerations are brought into transportation planning and decision-making is as important as the particular techniques used for predicting impacts. The issues of "the environment" cannot be handled simply by hiring a few sociologists or ecolo- gists; nor can opposition be eliminated simply by a program of citizen participation. Decision processes must be structured so that the inevitable conflicts among competing interests can be resolved with a full understanding of the choices made. 2. Issues of social equity must be explicitly recognized and taken into account in transportation decision-making. The planning, design, implementation and opera- tion of a transportation system is as much a political process as it is a technical one: every decision involves the need to balance the gains to some interests against the losses to others. This requires that the total set of effects, on all groups, be con- sidered using procedures that pay particular attention to the differential effects- how individual groups gain and lose. 3. Different groups of people can be expected to have different interests and different'priorities. The importance people attach to a particular factor depends on the context. Consensus objectives, if they exist, are generally at too abstract.a level to provide guidance to those responsible for specific choices among alternative actions. At the operational level, it can safely be assumed that different interests will have different priorities. Further, these interest groups may have only a partial understanding of their objectives, and their priorities are likely to be dynamic, 2 changing with time. As individuals are confronted with new issues they clarify their understanding of their preferences, and perhaps modify them through the process of making choices. It is clear, then, that trying to determine "community objectives" in the abstract (by certain kinds of opinion polls, for instance) provides little help to transportation decision-makers. Similarly, techniques such as linear scoring functions and cost/ benefit analysis that assign different weights (i.e., importance) to factors cannot be assumed to represent "public preferences." The best way to find out about people's transportation preferences is to ask them how they feel about specific alternatives and why they feel that way. By identifying who would gain and who would be harmed, the planner can modify alternatives to reduce negative impacts, increase benefits, and develop compensatory programs. Planning Approach The described approach and supporting techniques stress: 1. Community interaction. Early, effective, knowledgeable involvement of the public helps to clarify issues and identify both the incidence and magnitude of impacts and aids in the development and evaluation of proposals. Community inter- action normally will utilize several techniques simultaneously as part of a coordi- nated and carefully managed program to gather information, distribute information, and interact with community groups. Emphasis should be placed on small group, face-to-face interaction and on the use of existing institutions and channels of com- munication. Agency staff must have an attitude of openness and responsiveness and be able to listen and learn from community inputs. 2. Evaluation and reporting. Evaluation can be defined as the process of periodically appraising alternative transportation program packages to ascertain their acceptability, desirability, and feasibility; to identify issues, tradeoffs, and major areas of uncertainty; and to determine future tasks for the planning staff. Evaluation should take into account the incidence of all significant impacts and the different viewpoints held by agencies, officials, and concerned groups and individuals. Evaluation should occur throughout a planning process to assist in structuring the learning that takes place among the participants. A systematic evaluation process is an important management tool in determining matters requiring further study, in controlling the quality of work performed, and in setting priorities for subsequent activities. Documentation of work performed and decisions made is crucial to effective evaluation. Required reports such as the Environmental Impact Statement can then become natural products of a planning process. 3. Consideration of alternatives. A range of transportation improvements involving various types of highway facilities, other modes, transportation regulations, controls, and constraints, as well as the no-build option, should be examined in system- as well as facility-oriented studies. Alternatives should serve as a catalyst to meaningful and constructive debate in the community of affected interests and should be a focal point for bringing out issues and clarifying community objectives. Communities generally have a unique and valid understanding of their problems and of potential solutions, and should be encouraged to develop alternative transporta- tion-related proposals. These proposals should be studied by an agency in sufficient detail to determine their feasibility, desirability, and equity. 4. Identification of impacts and affected interests. Timely identification of the nature, magnitude, and incidence of potential social, economic, and environmental effects facilitates the development of alternatives that avoid or minimize adverse 3 effects and that take full advantage of opportunities to increase benefits. The process of identifying, analyzing, and evaluating effects must be designed to account ex- plicitly for qualitative as well as quantitative information and to recognize the uncertainty associated with predictions. Numerous prediction procedures are avail- able, ranging from quick approximation methods to precise measurement tools, and the choice should be a function of the immediate needs of the study. 5. Process management. Effective use of expertise and resources, both of the transportation agency and of other institutions and agencies, is necessary to achieve the "systematic interdisciplinary approach" required by the National Environmen- tal Policy Act of 1969. A process should be decisive, yet managed in a style that will enable it to be open, dynamic, flexible, creative, and responsive to changing conditions and the needs of the community. Important qualifications for a project or study manager are the ability to manage an interdisciplinary group, understand- ing in at least a general sense the language and techniques of each discipline, and the ability to work with community groups effectively and constructively. 6. Institutional arrangements and decision-making. The arrangement and or- ganizational structure of institutions influences the manner in which social and environmental effects are investigated, and to a large degree determines the effec- tiveness with which these considerations are incorporated into transportation plan- ning and decision-making. Responsibilities for conducting studies, providing data, preparing reports, and making decisions should be allocated so as to maximize efficiency and effectiveness, promote coordination, encourage public input, provide equal access to decision-makers and the decision-making process, provide a clarity of decision-making authority, and permit an orderly process of appeal of transporta- tion decisions. Conflict is inevitable among interests and institutions; the structure should make it possible for such conflicts to be resolved constructively. A desirable pattern of institutions, however, is not something that can be determined in the abstract, but must be tailored to the local situation. In developing institutional arrangements, a state can play a strong role in providing incentives to local and regional institutions to stimulate the development of capabilities that would allow them to assume increased responsibilities for transportation planning and design. System Planning Most transportation agencies have found it difficult to deal with region-wide effects during project studies; many options desirable from an environmental viewpoint already may have been foreclosed, and many adverse effects already may have been established by system planning decisions. To overcome these problems, increased attention must be given to social and environmental considerations in system planning decision-making, especially in decisions on programming. System planning should be viewed, not as a phase of planning preceding project studies, but as a framework within which project decisions can be made, serving to coordinate ongoing project studies. This can be achieved by emphasizing corridor and subarea studies, by preparing a system environmental report, and through a redefinition of the traditional system plan format. System plans should be defined using a strategy of implementation decisions being made over a period of time, thereby enabling system-level options to be kept open longer. Plans formulated according to such staged strategic commitments can more readily respond to changes in conditions as portions of a system are brought into operation or as new information becomes available, than can target-year master plans. 4 Periodic review and reassessment of transportation decisions should be built into all stages of system and project studies to provide a mechanism of accounting for new information and changes in previous assumptions or estimates. The pro- gramming activity represents a key forum for this reconsideration. The program- ming process should produce a single program document covering all modes and showing the schedule of all transportation actions, including capital investments in facilities, service improvements, and planning and design studies. Process Objectives It is proposed that the objectives of all phases of a transportation planning and design process should be: 1. To clarify issues of choice. 2. To fully inform decision-makers. 3. To achieve substantial, effective community agreement on a course of action that is feasible, equitable, and desirable. Four-Phase Strategy Implementation of the findings and attainment of the proposed process objectives require sufficient flexibility in the planning process to facilitate modifications as new knowledge is developed. Although the specific tasks to be carried out must be deter- mined for each study, a four-phase strategy is recommended as providing a workable framework for any stage of a planning process, as follows: 1. Study design. 2. Exploration of alternatives. 3. Detailed analysis. 4. Choice. Roles of the Transportation Professional The proposed approach assigns broad duties to the transportation professional. In addition to the traditional responsibility for developing technical plans, transporta- tion professionals also need to assume the following roles: � Community advisor. � Ombudsman and -spokesman. � Impartial negotiator. � Agent of, and advisor to, the decision-making authority. Applicability The planning approach and supporting techniques are based on investigations of current planning and design procedures in a cross section of states; analysis of the state-of-the-art of research; review of legislation, administrative directives, and court decisions; and performance of research studies. The recommended approach and many of the techniques have been used in field applications performed cooperatively with the states of Georgia, Michigan, and California. They have been developed specifically for highway decisions at both system and project levels. Although the research initially was oriented to the construction of freeway-type facilities in urban areas, subsequent phases have examined smaller-scale projects, rural settings, and different geographic regions. The findings and recommendations should be applica- ble to the operations of all national, state, and metropolitan highway organizations 5 and to the full range of service improvements. The results should be adaptable with few modifications to the planning of other transportation modes (transit, air, rail). In addition, the approach should be applicable in fields other than transportation; that is, power plant and refinery siting, urban development flood control projects, and similar public works decisions. In sum, the basic principles should be valid for the spectrum of public policy problems, Use of the Guidelines The discussions of this report are not intended as a rigid set of specifications to be adopted as a whole. It is expected that each agency will modify and adapt the approach and techniques described to its own unique conditions and style of work. Chapter Two presents an overview of the proposed approach. Chapter Three presents detailed procedural findings to aid in system and project development. Chapter Four, intended primarily for agency management, discusses detailed find- ings with respect to the policy and institutional implications of the procedural recom- mendations. Major federal requirements for the treatment of social and environ- mental effects during highway planning and design are summarized in Appendix A. Technical issues associated with the prediction of certain environmental and social impacts are discussed in Appendix B. CHAPTER ONE INTRODUCTION AND RESEARCH APPROACH THE CHANGING ROLE OF HIGHWAY AGENCIES highway agencies are placing greater emphasis on utilizing For much of this century, highway agencies in the United all available modes and options to meet the need for better States have had a broad mandate to build roads. They first transportation service. were asked to "get the farmer out of the mud"; more re- THE IMPACTS OF TRANSPORTATION cently, their job has been to create a network of fast, safe, efficient highways spanning the country. These urgent needs Within this broadened mandate, transportation agencies are have, for the most part, been met, and once again the being asked to systematically identify a wide range of possi- mandate is changing. ble direct and indirect social, economic, and environmental . Highway agencies, including those in predominantly rural effects and to give these effects increased consideration in areas, are being asked to examine an expanding range of their decisions on agency actions. In almost all cases, this transportation options. Various types and levels of capital has proven to be a difficult and frequently controversial investment in fixed facilities are being studied. In addition, challenge. For, although modern transportation facilities operating, pricing, and regulatory policies, vehicle control provide major direct benefits-fast, efficient movement of strategies and experiments, and demonstration projects are people and goods, unprecedented mobility and access, and being considered. Major attention is being devoted to the increased safety-like most physical systems they also in- interrelationships among all modes of transportation-high- troduce a multitude of other effects on the human and ways, air, rail and various transit technologies-and a num- natural environment. Some of these effects may be advan- ber of agencies now have the authority to consider ways of tageous, as, for example, when a road serves as a structur- increasing the efficiency of these other modes. The concern ing device to separate industries from homes or is used to is with effective utilization of transportation facilities as a shape and direct new development. Sometimes, however, multimodal system to move passengers and freight. Thus, transportation facilities impinge upon matters that indi- 6 viduals and communities value highly, such as conservation decisions that formerly were primarily the state's responsi- of resources, preservation and enhancement of neighbor- bility. hoods, and cleaner air. When this is the case, there is the 0 Citizens are more actively participating in transporta- potential for conflict among competing objectives. tion planning, are requesting full access to information de- The impacts of transportation facilities have come under veloped in project studies, and are emphasizing the need to increasing scrutiny as concern for the natural and social minimize social and environmental disruption. environment has moved to the forefront. Highways, be- 0 Transportation agencies are directing more effort to- cause of their central role in American transportation, have ward coordination of transportation plans with the plans received particular attention; but, increasingly, projects and proposals of other state, regional, and local agencies. such as the construction of rail rapid transit systems and & Transportation agencies are devoting increasing atten- the abandonment of rail lines are receiving equally high tion to issues of equity, the disaggregate effects of trans- attention as the social and economic impacts of such actions portation proposals, and means of ameliorating negative become more clearly understood. impacts and casing the mobility problems of the elderly, In recognition of the need to account for social, eco- the young, the poor, and the disabled. nomic, and environmental factors in the planning and de- velopment of projects, transportation professionals have The allocation of scarce resources is becoming a vital devoted much effort to improving procedures for the iden- concern in transportation planning and decision-making, tification and measurement of impacts and the abatement and the concept of project cost has been expanded to in- of potentially adverse effects. At the same time, federal clude consideration of the cost of eliminating or minimizing and state laws and directives requiring public involvement, adverse effects. coordinated comprehensive urban planning, special treat- These changes mark a shift in orientation from the tra- ment of sensitive lands, and detailed reports of the probable ditional almost exclusive concern with projects, the prod- effects of proposed actions have emphasized the widespread ucts of the transportation planning and decision-making concern that transportation projects be planned so as to process, to an emphasis on the process itself. And trans- minimize, if not avoid completely, any adverse conse- portation agencies are not alone in their concern for im- quences. proving these processes; the quality of the transportation Although significant advances are being made in the planning process is receiving growing public attention. development and refinement of methods for dealing with social and environmental factors, there is widespread recog- THE ISSUE OF PUBLIC CONFIDENCE nition that improved analysis tools by themselves cannot ensure that transportation proposals will fully reflect en- Many agencies are finding that the degree of public con- vironmental considerations and community interests. The fidence they command depends in large part on the ac- importance of early information on potential impacts and ceptability of their planning and decision-making proce- community viewpoints has become apparent; attempts to dures. Transportation agencies have taken a number of respond to community wishes and to mitigate adverse ef- actions that have increased public confidence in their pro- fects by modifying substantially completed proposals have cedures: many have established environmental units and proven both costly and relatively ineffective. There is a have broadened disciplinary capabilities; innovative experi- clear need to tie together social and environmental assess- ments in citizen participation have been undertaken; new ments and the decisions that are made on transportation study procedures are being initiated. In addition, the Proc- proposals, so that the choices made reflect the knowledge ess Guidelines (FHWA PPM 90-4) and the resultant state gained through studies. Action Plans demonstrate major commitments to change In short, the over-all process through which social, eco- by the states and by the Federal Highway Administra- nomic, and environmental considerations are brought into tion (26, 27). transportation planning and decision-making is as impor- However, although these are important and constructive tant as the particular techniques used for predicting impacts. steps, many constraints and problems still exist. Actual practices change slowly within organizations as large and PROCEDURAL CHANGES IN TRANSPORTATION complex as state transportation agencies. PLANNING AND DECISION-MAKING Two major concerns relating directly to public confi- In recent years a number of changes have occurred in the dence often are expressed: first, that social and environ- procedures through which transportation projects are de- mental factors are not being considered centrally enough veloped. Some of these changes are the direct result of in reaching decisions about transportation; second, that the recent environmental laws and associated judicial decisions; range of alternatives investigated is unduly limited. In many others are the products of agency actions taken to in- many states, some segments of the public hold these senti- crease responsiveness to social and environmental concerns. ments so strongly that there is an effective base of anti- Among the changes that are occurring are the following: highway opinion in the form of politically active citizen groups that frequently oppose highway improvements. Seg- Responsibility for transportation studies is being re- ments of the public no longer have confidence in the de- distributed among state, regional, and local institutions, cisions made by highway agencies and, rightly or wrongly, with state agencies assuming a larger role in transit plan- highway agencies are perceived as being opposed to many ning and with local and regional institutions taking part in of the things that these elements of the public feel to be 7 important, resulting in conflicts over the priorities for scribed in a September 1971 interim report, "Community allocation of environmental and fiscal resources. Values in Highway Location and Design: A Procedural Increasingly, people are rejecting the notion that all Guide" (11, 48, 50, 51). During Phase 111 (1971-73) this "needs" must be satisfied. They, along with the Congress, basic approach and supporting procedures were field tested are requesting that "need" not be based only on the pro- in cooperation with the Georgia Department of Transpor- vision of fast, safe, and efficient transportation, but that tation and the Michigan Department of State Highways and transportation decisions also account for the costs of ad- Transportation, extended to statewide and urban area sys- verse social, economic, and environmental effects (67). tem planning and to rural conditions, and refined based on This implies that the option of no new highway construc- the results of the field tests. tion must be explicitly considered, along with different Specific examples from both the Georgia and Michigan standards or types of facility improvements, operational cooperative activities are included in Chapters Three and improvements, and the relation to other transportation Four. In brief, the activities with Georgia DOT focused modes. on a potentially controversial north-south freeway proposed Thus, the challenge remains for transportation depart- for the west side of Atlanta. The purpose of the effort, ments not only to successfully and expeditiously imple- performed in association with Atlanta University, the At- ment their Action Plans, but also to initiate further im- lanta Regional Commission, and the Metropolitan Atlanta provements in their planning and decision-making processes. Rapid Transit Authority, was to develop a study design for the west Atlanta subarea, which encompasses approximately RESEARCH APPROACH one-half of the city's population. The work, whose aim was both to define the scope of the study and to develop a The general approach and specific techniques described widely accepted study process, emphasized public involve- here result from research performed since the fall of 1968 ment and was multimodal. by the Transportation and Community Values Project of The Michigan activities involved participation in a 75- by the Massachusetts Institute of Technology. Research spon- 100-mile regional transportation study in the northwest por- sorship during this five-year period has included the Ameri- tion of Michigan's lower peninsula and focused on the pos- can Association of State Highway and Transportation Of- sible upgrading of two major north-south state highways. ficials through the National Cooperative Highway Research The area is rural in character and includes major recrea- Program, the California Department of Transportation, and tional sites that serve as a base for the state's tourist in- the Federal Highway Administration of the U.S. Depart- dustry. The study investigated a range of possible trans- ment of Transportation. The conclusions developed are portation improvements and identified potential social, based on investigations of current planning and design pro- economic, and environmental impacts of both a local and cedures in a cross section of both rural and urban states; statewide character. The effects of improved highway analysis of the state-of-the-art of research; review of legis- facilities on regional economic development and environ- lation, administrative directives, and court decisions; and mental quality were of particular importance. the performance of individual research studies. The recom- The California studies were initiated in 1970, preceding mended approach, including many of the techniques, has the Georgia and Michigan field applications, and were con- been used in field applications performed cooperatively with cerned with application of the interim research results to the states of California, Georgia, and Michigan. These the location of a possible major new expressway in the efforts provided the invaluable opportunity of working Los Angeles area. Other major elements of the California closely with state personnel in testing, adapting, refining, research were the development of procedures and tech- and extending many of the concepts and techniques de- niques for systematic treatment of community and envi- veloped during the early phases of the research. The re- ronmental factors in statewide planning and programming, sulting report is designed to meet presently recognized in urban area planning, and in transportation corridor needs while remaining sufficiently flexible to respond to analyses. In performing the research, attention was given future developments. to institutional implications as well as to procedural aspects The work, for which this constitutes the final report, has and to the development of improved mechanisms for effec- been conducted as NCHRP Project 8-8(3), "The Impacts tively integrating system and project studies (52, 54, 62, of Highways Upon Environmental Values." The objectives 64, 63, 31, 21, 32). of the research were to develop a practicable method for The Federal Highway Administration research is based evaluating the effects of various types of highways on en- on Section 109(h) of Title 23, United States Code, which vironmental values, test and refine the method through calls for "guidelines designed to assure that possible ad- application, and establish guidelines for use in highway verse economic, social and environmental effects relating planning, location, and design. The research has proceeded to any proposed project on any Federal-Aid system have in three phases. Phase 1 (1969-69) was an initial analysis, been fully considered in developing such a project." The study design, and development of a detailed research work MIT research team developed recommendations with re- program. This phase built heavily on highway planning spect to the processes through which environmental effects experiences in Seattle, Wash.; Houston, Tex.; Baltimore, are to be considered in highway planning, location, and Md.; Kansas City, Mo.; Boston, Mass.; San Francisco, Cal.; design. These recommendations resulted in issuance, in and St. Louis, Mo. A basic approach for highway project September 1972, of FHWA Policy and Procedure Memo- location and design was developed in Phase 11, and is de- randum 90-4, "Process Guidelines for Consideration of 8 Social, Economic and Environmental Effects" (67). In- published literature or were suggested in discussions with cluded as part of this study was the preparation of tech- federal and state highway officials. Many more stem from nical reports, training aids, and other materials to provide direct observation of the problems transportation agencies assistance to state highway agencies and to FHWA in im- are facing. plementing the guidelines (66, 76, 71, 72, 23, 9). A major objective is to present recommendations that can The Process Guidelines resulted directly from the be put into immediate operation. Thus, most of the meth- NCHRP research and reflect the experiences gained in ods and techniques can be adopted individually without field applications of the research. The FHWA sponsorship difficulty. Taken together, however, the proposals reflect a has provided numerous additional opportunities to review philosophy of transportation planning and decision-making findings and recommendations with U.S. Department of that is significantly different from what has been traditional, Transportation staff, highway and transportation agency The over-all approach, then, has far-reaching implications personnel in many states, representatives of related federal for the transportation professional. and state agencies, environmental and public interest groups, and staff members of the Congressional Public USE OF THE REPORT Works committees. The three cooperative field applications and the many The report is intended to satisfy the needs and interests of meetings with individuals having an interest or responsi- transportation administrators, engineers, other disciplines bility in transportation have provided invaluable insights involved in transportation decision-making, and also a va- into transportaton agency operations and greatly aided the riety of community groups. The discussions are not in- development of the approach and techniques described in tended as a rigid set of specifications to be adopted as a this report. whole. It is expected that each agency will modify and adapt to its own unique conditions and style of work the PURPOSE OF THE REPORT approach and techniques described. This report presents an integrated approach for system- It is not necessarily intended that the report be read atically incorporating social, economic, and environmen- sequentially from cover to cover, though that may be de- tal factors into transportation planning and decision-making sirable in some instances. In reality, the various sections that stresses: have been designed so that they can be read and used separately. Timely identification of the nature, magnitude, and Chapters One and Two present an overview of the pro- incidence of potential social, economic, and environmental posed approach, developing recommendations for system- effects so that in all phases of transportation planning, al- atic and effective incorporation of social and environmen- ternatives may be developed that avoid or minimize ad- tal considerations in transportation planning, design, and verse effects and that take full advantage of opportunities decision-making. As such, this material is applicable to both to increase benefits. the administrator and those involved in project studies and 0 Early, effective, knowledgeable involvement of the agency management. public to clarify issues and to aid in the development and Chapter Three is oriented specifically to those actively evaluation of proposals. participating in system and project development. It dis- 0 Effective use of expertise and resources, both of the cusses the recommendations and basic approach in greater transportation agency and of other institutions and agen- depth in the four major activity areas of community inter- cies, with a maximum of flexibility and openness. action, evaluation and reporting, consideration of alterna- a Consideration of a range of transportation improve- tives, and identification of impacts and affected interests. ments involving various types of highway facilities, other For each activity, specific procedures and techniques that modes, transportation regulations, controls, and constraints, can be used in implementing the general recommendations and the no-build option. are presented, and examples illustrating the use of various Because transportation planning is conducted in a variety procedures on actual studies are described. of institutional and environmental settings and serves a Chapter Four is directed at those individuals whose pri- range of needs, the discussions emphasize over-all pro- mary responsibility is agency management. It discusses a cedures-strategies, work styles, ways of viewing problems number of policy and institutional implications associated -that should be generally applicable to transportation with implementation of the procedural recommendations. agencies at the national, state, regional, and local levels of Areas covered are process management, the interrelation government, and in rural as well as urban settings. To of system and project planning, institutional arrangements assist in making these procedures operational, specific tech- and decision-making, and recommendations for implemen- niques that might be used in implementing the approach tation. also are described. Chapter Five discusses application experience with the The procedures are intended for use in developing and proposed approach and its supporting procedures. Chapter evaluating alternative transportation plans with the par- Six draws some general conclusions and suggests the re- ticipation of other state and federal agencies and local citi- search indicated as necessary to implementation of the zens and officials. Some of these procedures are already procedures. current practice in some agencies. Several have been tried Legal requirements to be satisfied by a planning and de- in other professions; others have been recommended in the sign process are summarized in Appendix A. Appendix B 9 discusses technical issues associated with the prediction of (26). The section on "Social and Environmental Con- certain environmental and social impacts. siderations in Transportation Decision-Making" (Chapter The report is closely related to the requiremen*s of the Two) is roughly analogous in scope and level of detail to Process Guidelines, Federal Highway Administration Policy the FHWA PPM. The remaining sections of Chapter Two and Procedure Memorandum 90-4, and is structured to as- and all of Chapters Three and Four correspond in many sist in the revision and implementation of Action Plans ways to the content of an Action Plan. CHAPTER TWO FINDINGS-OVERVIEW SOCIAL AND ENVIRONMENTAL CONSIDERATIONS IN posite. But in a specific instance people who are usually TRANSPORTATION DECISION-MAKING supporters of wilderness preservation might prefer building Several findings form the basis of the approach to planning a park. set forth in this report. These findings, in the form of basic Although there may be consensus objectives, these are planning guidelines, are introduced here and are discussed generally at such an abstract level as to be nonoperational in detail in Chapters Three and Four. from the point of view of the need for distinguishing among alternative actions. At the operational level it can safely be Differential Effects assumed that different interests will have different priorities. Any decision in transportation planning affects many Further, these interest groups have only a partial under- groups. Choices on what transportation mode is utilized, standing of their objectives, and their priorities with respect what kind of service is provided, which of several possible to these objectives are dynamic, changing over time. As corridors is selected, what decisions are made about loca- individuals are confronted with new issues or new oppor- tion and design treatment of a facility, and even the deter- tunities to make choices, they clarify their understanding mination of design standards, although seemingly only of their preferences-and perhaps change them-through technical decisions, almost always have significant social the process of making choices. and environmental implications. Most people have difficulty in formulating meaningful, The total set of these effects, on all groups, must be consistent statements of objectives. In fact, most people considered using procedures such as those described in probably have preferences that are inconsistent, until that Chapter Three, with particular attention paid to the dif- point where by having to make a choice they must impose ferential effects-which groups gain and which lose. Al- a certain partial consistency on their preferences. In par- though a change in the transportation system (such as the ticular, if asked to express their preferences in the abstract upgrading of a highway) may bring benefits to many people in t .erms of the relative weights to be given to different in an area, some particular groups may bear a high cost or attributes of highway projects-for example, construction receive little or no benefit. cost versus safety versus parkland takings versus social dis- Every decision about highways will involve the need to ruption-most people will have difficulty formulating a balance gains to some interests against losses to others. It complete, exhaustive, consistent set of weights. is essential that the process of planning, designing, imple- When confronted, however, with a small number of ex- menting, and operating transportation systems explicitly plicit alternative actions or projects and. also with state- recognize and take into account such issues of social equity. ments of their likely impacts, most people can with some The planning and design of transportation systems is as introspection reach a conclusion about their preferences for much a political process as it is a technical one. the several alternatives. This requires far less information about their underlying, partially-known values; they need Community Values only express preferences about a small number of differ- There is no single set of values underlying any community. enc .es., not about all possible combinations. Thus, by ex- Different groups of people can be expected to have different amining and weighing the differences between alternatives, interests and different priorities, and the importance people information about preferences and community values is attach to a particular factor depends on the context. For gradually clarified. example, one group might generally prefer the development It is clear, then, that trying to determine "community of recreation facilities to the preservation of wilderness objectives" in the abstract (by certain kinds of opinion areas; another group might generally prefer just the op- polls, for instance) is a futile exercise. Similarly, tech- 10 niques such as linear scoring functions and cost/benefit fying issues of choice, and indicating major areas of analysis which assign different weights (i.e., importance) uncertainty. to factors cannot be assumed to represent "public pref- Evaluation and reporting should occur throughout a plan- erences." Not only do different people have different pref - ning process. in this way, a systematic evaluation process erences, but any one person's preferences also depend on is an important management tool in determining matters the choices available and the specific effects of those requiring further study, in controlling the quality of work choices. performed, and in setting priorities for subsequent activities. The best way to find out about people's transportation Documentation of work performed and decisions made preferences is to ask them how they feel about specific is crucial to an effective evaluation process. By recording alternatives and why they feel that way. Some people will such information, required reports like the Environmental stand to gain from a particular alternative; others will lose. Impact Statement become natural products of evaluation. By identifying who would gain and who would be harmed, the planner can modify alternatives to reduce negative im- Consideration of Alternatives pacts and increase benefits and can develop compensatory A wide range of both long- and short-term courses of ac- programs. (Cf. Chapter Three) tion are available in system- as well as facility-oriented Community Interaction transportation studies and should be examined as part of any decision-making process. These include investment in Early, effective informed participation of the community- fixed facilities, operating policies, pricing policies, and use federal, state, and local agencies and officials, interest of new technologies. In addition to direct transportation groups, and individual citizens-is necessary in all phases system options, there are a variety of options available of transportation planning, starting during statewide and regarding the activity system, including land-use controls urban area system planning, and continuing through cor- and staggered work hours. ridor, location, and design studies, and even into construc- Transportation options should be considered to be only tion. Such interaction helps the transportation agency to one part of a more comprehensive course of action, being identify and predict both the incidence and the magnitude effectively coordinated with such nontransportation compo- of social and environmental impacts and to learn what nents as replacement housing, impact amelioration pro- issues various people consider to be important. Also, com- grams, and joint development. munity groups can serve as a useful source of suggestions Alternatives should be developed and presented through- for solutions to transportation and related community out technical studies as a catalyst to meaningful and con- problerns. structive debate in the community of affected interests, and The public must provide inputs to the decision-making to assist in bringing out issues and clarifying community process. Deliberate efforts to search out differing view- objectives. The development of alternatives should be ini- points and to secure participation of a wide variety of tiated early enough in the process, using the kind of tech- groups and individuals are needed in order for a decision- niques demonstrated in Chapter Three, section on "Con- maker to be able to consider differing public preferences sideration of Alternatives," so that this debate can influence effectively. further development and refinement of alternatives, with Different levels of participation should be provided, de- adequate time to explore the issues that different segments pending on interest. Participation may range from general of the community think are important. awareness to periodic attendance to intensive involvement. It is especially crucial that the alternative of no new con- A community interaction program normally will use sev- struction be examined fully. This examination should be eral techniques simultaneously as part of a coordinated and consistent with that given other kinds of alternatives and carefully managed program to gather information, dis- should provide the basis for use of the option as a refer- tribute information, and interact with community groups. ence point in defining potential beneficial and adverse Emphasis should be placed on small group, face-to-face impacts. interaction and on the use of existing institutions and chan- Alternatives proposed by affected interests should be nels of communication. Agency staff must have an atti- studied in sufficient detail to determine their feasibility, tude of openness and responsiveness and be able to listen desirability, and equity. This investigation should be con- and learn from community inputs. (Cf. Chapter Three, sistent with the attention given to alternatives developed by section on "Community Interaction") professional staff. Communities generally have a unique and valid understanding of their problems and of potential Evaluation and Reporting solutions, and should be encouraged to develop alternative Evaluation as described in Chapter Three, section on transport ation-related proposals. "Evaluation and Reporting," encompasses the comparison Identification of impacts and Affected Interests of alternatives and the analysis of impact data, taking into account the incidence of all significant impacts and the In analyzing transportation options, a wide variety of im- different viewpoints held by other agencies, officials, and pacts must be considered, including user-oriented conse- concerned groups and individuals. quences such as travel time, operating costs, and level of Evaluation should assist in structuring the learning that service; facility-related factors such as capital investments, takes place among all the participants in a transportation maintenance costs, and safety; and social, economic, and planning process by identifying significant tradeoffs, clari- environmental factors such as land use and activity effects, I I neighborhood character and community cohesion, displace- quirement should be given to those with engineering back- ment of families and jobs, air quality, noise, effect on tax ground as opposed to personnel with other kinds of profes- base, property values, public services, energy consumption, sional backgrounds. and disruption of ecosystems. Identification and study of impacts must occur in coordination with technical studies Interrelation of System and Project Planning so that alternatives may be modified to take advantage of System plans as defined and illustrated in Chapter Four, beneficial opportunities and to avoid or reduce potentially section on "Interrelation of System and Project Planning," harmful consequences. Numerous procedures to predict refer to the sum of the facility, operating, and policy various impacts are available, ranging from quick approxi- changes proposed over time for the transportation system mation methods to precise measurement tools, and the of a particular geographic region. System plans should be choice of prediction methodology should be a function of developed on a statewide basis as well as for urban or re- the needs of the study. (Cf. Appendix B) gional areas, and system planning studies should treat all Not all social, environmental, and economic impacts can modes together with emphasis on their complementary and be expressed in quantitative terms and measured with a competitive relationships. high level of accuracy. The process of identifying, analyz- A proposed project improvement, be it the introduction ing, and evaluating such effects, therefore, must be designed of a new modal system or an operational improvement to to account explicitly for qualitative information and to rec- an existing roadway, should be viewed as part of the total ognize uncertainty using the approaches described in Chap- multimodal system of a region; in competition with other ter Three, section on "Identification of Impacts and Af- modes (existing or new), and with full consideration of the fected Interests." total door-to-door trip, including access modes. The key It is essential that the differential effects of impacts be characteristics of a transport system are the service it offers determined so that effective programs to mitigate adverse to prospective users and its costs (direct and indirect, in- effects can be developed. Impact prediction should be cluding externalities such as social and environmental im- carried out in association with public involvement activities pacts). That is, technology hardware is a means and not an because many impacts can be identified most readily end. through interaction with the affected community and the Changes in demand, in technology, and in public priori- significance of many impacts is dependent on personal ties should be anticipated, and system planning should ex- values and priorities. Other agencies can contribute much plicitly take into account the uncertainties inherent in long- useful information and may be able to provide technical range forecasts. System plans should be defined using a assistance and resources. strategy of implementation decisions being made over a period of time, thereby enabling system-level options to be Process Management kept open longer. As portions of the system are brought A transportation planning process must be managed so as into operation and as new or revised data become available, to provide the "systematic interdisciplinary approach" re- the implementation and decision-making schedule may be quired by Section 102(2) (A) of the National Environ- revised. Plans formulated acording to such staged strategic mental Policy Act of 1969. commitments can more readily respond to changes in condi- A process should be decisive, yet managed in a way that tions and new information than can target-year master plans will enable it to be dynamic, flexible, creative, and respon- based on highly uncertain estimates. Although a master sive to changing conditions and to the needs of the com- plan for some future year has certain advantages in that it munity. Personnel, fiscal, and time resources should be al- is tangible and easy to visualize, it tends to foreclose future located periodically, based on an explicit establishment of options by current decisions, and to remain fixed over time, objectives and determination of needs. A major responsi- unable to respond to new information, revised impact esti- bility of management is the development and revision, as mates, or changes in such contextual elements as land use, necessary, of a process strategy and associated work pro- socioeconomic activity patterns, and operating policies. gram. (Cf. Chapter Four, section on "Process Manage- Coordination among various phases of system and proj- ment"). ect planning should be increased. Because of the length of Important qualifications for a project or study manager the planning process, there is a need for systematic con- are the ability to manage an interdisciplinary group, under- tingency planning, and for a project programming process standing at least in a general sense the language and tech- that explicitly incorporates both budget constraints and niques of each discipline, and the ability to work with com- community/ environmental considerations. munity groups effectively and constructively. Periodic review and reassessment of transportation de- The qualifications for project management and for man- cisions should be built into all stages of system and project agement at various levels within a state transportation or- studies to provide a mechanism of accounting for new in- ganization, especially at top levels, should allow these posi- formation and changes in previous assumptions or esti- tions to be filled by professionals other than civil engineers. mates. The structure of the decision process and the There is no reason why, because of educational background, relationships among institutions should be specifically de- engineers are inherently more competent to deal with trans- signed to stimulate this review and reassessment. portation problems than are many other professionals. This The programming activity represents a key forum to is not to say that engineers should be excluded from these reconsider system plans in light of ongoing project studies important positions; rather that no specific advantage or re- and also to reconsider current project studies in light of 12 recent system planning. Programming thus represents the provoke complex and compensating reactions. Unless the most effective means of integrating system and project interrelationships between different parts of an organization studies. The programming process should produce a sin- are accurately identified, the organization may react to sub- gle program document covering all modes and showing the vert the intended change. A coherent diagnosis of the or- schedule of all transportation actions, including capital in- ganization can help those who initiate change to anticipate vestments in facilities, service improvements, and planning these reactions and plan for them. and design studies. Institutional Arrangements and Decision-Making OBJECTIVES OF THE PLANNING AND DESIGN PROCESS The arrangement and organizational structure of political and technical institutions as shown in Chapter Four, section The guidelines enumerated in the previous section must be on "Institutional Arrangements and Decisions," influences reflected in transportation planning agencies and decision- the manner in which social and environmental effects are making processes if public confidence is to be maintained. investigated in transportation planning and decision-making Providing transportation tailored to the needs of the people and to a large degree determines the effectiveness with which it serves is the ultimate goal of the transportation planning these considerations are incorporated therein. Responsibili- process; but ensuring that this goal is reached requires far ties for conducting studies, providing data, preparing re- more than simply planning and implementing facilities. De- ports, and making decisions should be allocated in such a cisions on transportation must reflect not only transporta- way so as to maximize efficiency and effectiveness, promote tion needs, but also the needs to preserve the environment coordination, encourage public input, provide equal access and to treat all parties equitably. to decision-makers and the decision-making process, pro- To do this, the activities of community interaction, vide a clarity of decision-making authority, and permit an evaluation, consideration of alternatives, impact prediction, orderly process of appeal of transportation decisions. Con- management and decision-making must be treated as in- flict is inevitable among interests and institutions', and the tegral components of a planning process. The recom- structure should make it possible for such conflicts to be mended approach reflects a particular set of objectives. resolved constructively. Specifically, the objectives of the transportation planning Existing institutional arrangements and organizational and design process should be: structures should be examined to determine whether in fact 0 To clarify issues of choice. they are consistent with these ends and to discover ways of * To fully inform decision-makers. 0 To achieve substantial, effective community agreement improving their capacities to deal effectively with social and on a course of action that is feasible, equitable, and desir- environmental considerations. In some cases, redefinition able. of responsibilities, reorganization, or creation of new insti- tutional structures may be desirable. Clarifying Issues of Choice A state can play a strong positive role in providing in- Transportation decisions significantly affect the future of centives to local institutions at the regional and subregional. the area involved: its potential for growth and develop- level to stimulate the development of capabilities that would ment; its businesses, job market, and economic structure; allow them to assume increased responsibilities for trans- its environmental systems, both ecological and manmade; portation planning and design. and its people's daily lives. Conflicting interests and pri- A desirable pattern of institutions, however, is not some- orities are bound to exist. Some groups and interests will thing that can be determined in the abstract. but must be stand to gain; others will incur either direct losses or losses tailored to the local situation. of opportunities. The transportation agency should work to clarify for the Implementation public and the decision-makers the issues of choice-to Determining what change should occur (what to do), is explore with interested groups and individuals the range of transportation decisions that might be made, to deter- easier than determining how to bring about that change mine the implications of each as fully as possible, and to (how to do it). Implementation of major changes of the explicitly bring out the tradeoffs among alternatives. nature proposed requires a carefully coordinated and se- To do this effectively: quenced set of changes in training, policy, personnel, and 1. All interested parties should have the opportunity to practice executed over a period of time. (Cf. Chapter Four, get involved in the planning and decision-making process. section on "Implementation.") The process of implement- 2. Alternative actions sufficiently different to represent ing changes is as important as the changes themselves. real choices should be investigated with the public. A number of organizational barriers exist which work 3. Planners, decision-makers, and citizens should know against change in general and, in particular, the introduc- both what the effects of each alternative would be and how tion of increased environmental sensitivity within transpor- particular groups and interests would be affected. tation agencies. A social system tends to react to new 4. Opportunity for meaningful negotiation on what com- changes in ways that keep old policies and practices stable. prises an equitable distribution of gains and losses should Major changes such as those being recommended tend to be provided. 13 Informing Decision-Makers A FOUR-PHASE STRATEGY FOR PLANNING Authority to make transportation decisions may rest solely Implementation of the findings presented and attainment of with transportation personnel, or it may be shared with the proposed process objectives require sufficient flexibility state or local officials, other agencies, or even a special task in the planning proecss to facilitate modifications as new force. Regardless of who the decision-makers are, in order knowledge is developed. Although the specific tasks to be to make wise choices they need full information on the carried out must be determined for each study, a four- study to date and the potential consequences of each course phase strategy is recommended as providing a workable of action. framework for any stage of a planning process-system Even though their authority may not extend directly to planning; corridor, location, or design studies; or even transportation, decision-makers in programs such as land preparation of plans, specifications, and estimates. use, housing, and public utilities also need to be kept in- The four phases of the basic process strategy are: formed of the proceedings of transportation studies and to 1. Study design. coordinate their plans with transportation plans. The trans- 11. Exploration of alternatives. portation agency has the responsibility of making sure that 111. Detailed analysis. all decision-makers have sufficient up-to-date, accurate in- IV. Choice. formation on transportation proposals. Achieving Substantial, Effective Community Agreement Phase 1. Study Design on a Course of Action That Is Feasible, The objectives of the study design are to initially define the Equitable, and Desirable transportation problems to be addressed; to establish a data Ultimately, agreement is desired on a course of action to base; to acquire a basic understanding of the interests, be taken; indeed, that is the main objective of a transporta- needs, plans, and objectives of potentially affected com- tion study. However, there are other choices in the plan- munities and citizens; and to develop a work program. ning and decision-making process for which agreement is The transportation agency will have some conception of important, and which, if achieved, may help to achieve the transportation problems of the area under study at the agreement on a final choice. outset. However, interested parties may have different views For example, agreement should be sought on: of their transportation needs and may be able to point out needs not identified by the agency. It is necessary, then, to 1. General aspects of the planning and design process, have public input in defining the transportation needs and including: desires that should be addressed in the study. To do this � The scope and timing of studies. effectively, the agency should publicize that studies are be- � The roles and responsibilities in the process of ginning, make available the data that led to the study initia- state agency staff, local agencies and officials, and tion, inform the public about prior transportation decisions interest groups. and agency responsibilities, and provide mechanisms for 2. The community interaction program, including: public input. � Agreement to participate in a process. The study design phase is the appropriate time to as- � Means for direct participation. semble basic data on social, environmental, and economic � Use, if any, of indirect techniques such as surveys characteristics of the study area, as well as transportation and field work. and other technical data. Coordination with other agencies � Timing and format for public hearings. is vital; they will be a valuable source of data and also will � Availability of data and draft reports and the provide input on their plans and objectives. Community public role in reviewing them. interaction activities are an additional source of data and 3. Interim decisions, including: provide an initial sense of what the significant technical, � What alternatives are deserving of further study, social, environmental, economic, and political issues are and whether new alternatives are needed. likely to be. � What impacts should be given highest priority for The results of the study design phase are: study and most importance in decision-making. 1. An initial definition of the scope of studies, including � Whether the scope of studies or the schedule for the types of alternatives to be considered, the roles and decisions should be modified. responsibilities of transportation agency staff and of other Agreement on these interim choices does not guarantee agencies, officials, and interest groups, and the community that agreement will be reached on the final choice. Full interaction program. consensus, even on these earlier choices, may well be un- 2. An initial work program, including identification of attainable when the potential gains and losses involved are data needs, scheduling of technical studies, and timing of significant. But by striving for substantial agreement, the community interaction activities. transportation agency is likely to unearth the major issues of choice and thus will be better equipped to develop equi- Phase 11. Exploration of Alternatives table solutions and to inform decision-makers. Further- The objective of this phase is to develop an understanding more, without general agreement that the study process it- of the available courses of action by discussing with the self was equitable, it will be much more difficult to reach public a variety of alternatives, each of which reflects dif- agreement on the final decision. ferent objectives. The intent is not to develop a final solu- 14 tion but to bring out the issues involved in the particular Phase IV. Choice study and to help all concerned to improve their under- The objective of Phase IV is to make a decision on a par- standing of the advantages and disadvantages of various ticular course of action. alternatives. Because a wide range of possible alternatives If substantial community agreement has been reached on is to be explored, sketch planning and approximate impact a particular course of action during the detailed analysis prediction techniques are appropriate. phase, Phase IV merely formalizes that agreement at a Extensive interaction with the public is conducted during public hearing with appropriate reports being prepared and this phase, with special emphasis on bringing into the proc- circulated. ess all those who may be affected by or interested in the In many cases, however, no clear-cut preferred course of planning process. Information on alternatives and their im- action will have been found. In this case, the agency pre- pacts is presented, and the public's reactions and sugges- pares reports on the alternative courses of action, discussing tions for modifications or for additional alternatives are for each alternative its advantages and disadvantages and gathered and fed back to the technical activities. Also, the the views expressed by various groups and individuals and transportation planning activities are coordinated with other pointing out the tradeoffs among alternatives. Public par- community and regional plans. ticipation is aimed at checking that these reports are accu- Data collection continues throughout this phase. It is rate, obtaining further input, and, when possible, attempting important to maintain complete data files and document the to find compromises. alternatives considered, their impacts, and the responses of Complete reports on the alternatives, their impacts, and groups and individuals. Draft evaluation reports on studies other results of the study and negotiation process are then may be produced and may be reviewed by interested parties. provided to the designated decision-making authority for During this process, the agency and the public will de- selection of a preferred course of action. velop a sense of what alternatives are deserving of further study, what issues must be addressed, and what additional Interrelation of the Four Phases data are needed. Modifications should be made as neces- Although there is a general progression of the planning sary to the scope of studies, the work schedule, and the process from one phase to the next, there are a number of community interaction program. The result of Phase 11 is activities that are conducted throughout the planning proc- a clarification of the issues of choice, with a preliminary ess, varying primarily in the depth or level of detail of identification of a few alternatives that seem to have the study. For example, impact prediction and community greatest potential for acceptability. interaction activities would normally occur in each of the Phase Ill. Detailed Analysis four phases. As new information becomes available, it may be necessary to cycle back to an earlier phase or level of The objective of Phase Ill is to subject the alternatives planning and make revisions. Thus, although the intent of selected in Phase 11 to detailed development and analysis in the study design phase is to gather basic data and determine order to achieve feasible, equitable, and desirable courses the general scope of studies, much information will be ob- of action. tained only in the later phases, and this information may In-depth prediction of the potential impacts of the al- require that the scope of studies be modified. Similarly, ternatives under study is performed. By examining the information on alternatives developed during the detailed incidence and magnitude of these impacts with the public, analysis phase, or new alternatives suggested then, may the agency develops ways of modifying alternatives to al- necessitate a return to Phase 11, exploration of alternatives. leviate negative impacts and obtain additional beneficial The point is that there are no rigid dividing lines between impacts. Associated programs such as land-use control phases; flexibility needs to be retained in order to adjust plans, public services and utilities plans, joint development work activities as new information becomes available. programs, and relocation assistance and other compensa- tory programs also are developed in detail, and the means THE ROLE OF THE TRANSPORTATION PROFESSIONAL of funding both transportation plans and related programs are determined. The proposed process implies broad duties for the trans- Community interaction activities focus on determining portation professional. In addition to the traditional re- the acceptability of the alternatives and associated programs sponsibility for developing technical plans, transportation and may suggest additional impacts to be addressed and new professionals also assume the following roles: alternatives or modifications to alternatives to be consid- 1. Community advisor. Transportation professionals ered. The agency works with the community to find feasi- work with interest groups to develop alternatives that ble compromises that would result in more equitable and reflect their needs and desires. They also help people to desirable plans. This often will require bargaining and clarify their objectives and broaden their perceptions of the negotiation with particular interests. Detailed evaluation impacts of alternatives on themselves and others. To do reports are prepared. this, effective two-way communication must be established. The results of this phase are one or perhaps a few de- 2. Ombudsman and spokesman. Transportation profes- tailed courses of action-transportation proposals plus as- sionals have an obligation to identify and voice the inter- sociated development, coordination, and impact alleviation ests not represented in the planning process. This often programs-that represent the agency's best efforts and best will mean speaking for national, statewide, or regional in- reflect community preferences. terests; for those who otherwise may not be heard, such as 15 low-income communities who may not have the resources either in kind or as a quid pro quo to those who would be to participate effectively, minorities, the elderly, and the dis- adversely affected by a particular proposal. abled; and for those considerations (historic, aesthetic, or 4. Agent of, and advisor to, the decision-making au- ecological, perhaps) for which no spokesmen come forth. thority. Transportation professionals are responsible for Professional responsibility includes the provision of techni- fully informing decision-makers on the alternatives, their cal assistance to interest groups and may extend to the impacts and the manner in which various interests may be actual development of alternatives responsive to their par- beneficially and adversely affected, the reactions of different ticular needs and interests. interests and segments of the public, and of the issues in- 3. Impartial negotiator. Because conflicts among inter- volved. In general, they may also act as the representative ests may arise, transportation professionals must identify of the decision-making authority during the course of tradeoff s and search for equitable compromises. Their du- studies. ties include promoting understanding of the positions, needs In sum, transportation professionals have the responsi- and preferences of the various interests, stimulating nego- tiations among groups who are in conflict, and developing bility for developing projects and providing service com- alternative "packages," including relocation and replace- patible with the social and environmental goals of the com- ment housing, impact amelioration, joint development, and munities affected, as well as satisfying a demand for so on, through which compensation might be provided mobility. CHAPTER THREE FINDINGS-PROCEDURAL GUIDELINES COMMUNITY INTERACTION from outside the study area. The community of concern, Introduction then, is broader than the concept of neighborhood: it is a community of interests. One of the key elements of the planning process described A literal interpretation of this definition could indeed be in Chapter Two is the provision of timely and constructive "society at large." In practice, however, the community public involvement. Indeed, the participation of other fed- with which the agency will deal will consist of those who eral, state, and local agencies; officials; interest groups; and may be directly affected by the study and those with strong the general public is essential to such activities as the con- concerns about the potential impacts of the transportation sideration of alternatives, the identification of impacts and decisions to be made. affected interests, the determination of value-related infor- mation, and even the making of viable decisions by those Community Interaction as a Communications Process in positions of authority. Legal requirements for public hearings, A-95 clearinghouse reviews, and environmental Community interaction can be viewed as the process of impact statement circulation are only a partial means of communications necessary to incorporate social, economic, obtaining constructive public involvement; many more tech- and environmental considerations into all phases of a trans- niques normally are required to achieve effective involve- portation planning and decision-making process. Informa- ment early and throughout a process, and to obtain the tion must be exchanged by the transportation agency and participation of the full range of potential interests. other agencies, officials, interest groups, and the general This section describes both general characteristics and public. Thus, community interaction addresses questions specific techniques of community interaction and provides such as: examples of successful community interaction programs. 0 Who sends information and who receives it. 9 Information content-the kinds of information sent A Community of Interests and received. The community of concern is everyone with a stake in the 0 Communication channels-the means available for transportation planning process, Included are the residents, sending information, and the means available to receive it. property owners, employers and employees within the study 0 Sources of interference, distortion, and interruption- area; federal, state, regional and local agencies; elected and the things that may prevent information from being re- appointed officials at all levels of government; potential ceived or understood as intended. users of the transportation facilities; and interested persons 0 Feedback mechanisms-ways of obtaining responses 16 to messages sent and to check on the accuracy of trans- result is a less useful interaction program and a technical mission and reception; and process that may not address community needs: neither *Efficiency of communication-how well particular the community nor the agency is served. mechanisms are transferring information. Effective communications between the agency and the Relation to Decision-Making community requires the development of cooperative rela- Community interaction is necessary to achieve the process tionships. The agency and the community must work to- objectives defined in Chapter Two of clarifying issues of gether to identify and clarify relevant issues, develop and choice, informing decision -makers, and achieving substan- analyze a range of transportation alternatives, and attempt tial, effective community agreement. Although community to reach agreement on a variety of decisions. Thus, com- interaction has clear implications for the decision-making munity interaction is concerned with the opportunities pro- process and is required to achieve the public support neces- vided for citizens to get involved; with operating styles and sary for any decision, community interaction by itself does how they enhance or detract from good working relation- not mean that citizen groups have authority for any part of ships; with the timing of participatory efforts; and with the the formal decision-making responsibility legally vested in relationships among participation activities, technical work, a transportation agency. (The relationship to decision- and decision-making. making is discussed at greater length in Chapter Five and In short, community interaction is all the ways in which the section on "Institutional Arrangements and Decision- the agency and the community learn about each other and Making" in Chapter Four.) work together to enhance the transportation planning Activities of both the private and public sectors are process. shaped in part by transportation. Whether the potential impacts of transportation projects are major or minor, long Contribution to Other Planning and Design Activities term or short term, the choices being made will affect people. Participation is their opportunity to help determine The community is an important source of information. In what tradeoffs among alternatives should be made. many cases, other agencies and organizations can provide Decisions within the community of interests can signifi- data or even technical assistance to the transportation cantly affect the transportation system (for example, de- agency. Citizens and interest groups may be able to pro- cisions to build housing developments or to set land aside vide information that the agency could obtain only at great for recreation uses). There is a clear need to coordinate expense if at all. But perhaps more importantly, the need transportation planning with these other planning efforts. for and implications of transportation projects depend in Finally, the norms of our political culture support citi- large measure on the attitudes and aspirations of citizens. zen participation; Americans expect to have a role in in- People may have differing goals and priorities. In some fluencing governmental decisions that affect them. Partici- cases conflicts may arise, the resolutions of which will re- pation, for the citizen as well as the agency, is thus an quire value judgments to be made. Participation helps ob- affirmation of democracy, an indication that people can tain information needed to guide the development of alter- govern themselves. Interaction with the public demon- natives, to expand the data base, to help in evaluation of strates that citizens can provide meaningful input to gov- both data and alternatives, and to inform decision-makers. ernmental agencies. Although a good community interaction program can Although the delegation of power to representatives by improve the quality of technical studies, community inter- voting in elections is recognized as a legitimate form of action is also dependent on, and affected by, technical stud- participation, the vote is too occasional and nondirective to ies. Indeed, the public expects the agency to present and act as a powerful force in an issue area such as transporta- discuss its technical work; and the public clearly needs tion planning. Because it is virtually impossible for the information developed in technical studies if it is to make public to indicate its preferences on a single issue by cast- ing ballots for candidates, there is a need to provide oppor- meaningful contributions. tunities for citizens to participate more directly in specific In a sense, there is a partnership between the public and policy-, system-, and project-related decisions. the agency staff. The staff members are experts with re- sponsibilities for performing studies, but they also must be Measuring the Eflectiveness of Interaction open and sympathetic to the public. Staff members should carry out their technical work with input from the com- Effective interaction is difficult to measure. One method munity, while informing the community of the uncertain- sometimes cited is to count heads at meetings, the thought ties and implications of the work. In response to com- being that the agency's program is successful if it can stimu- munity requests for analyses, they should either perform late high attendance. But there are too many unknown fac- the requested analyses or explain in understandable terms tors influencing meeting attendance for it to be a reliable indicator. Low meeting attendance may indicate a desire why such explorations would be wasteful. to let officials and others do the planning, or a preference It follows that community interaction activities and tech- to learn of the plans by other means, or any of a number nical studies must be coordinated to meet each other's in- of things other than poor publicity. Likewise, large turn- formational needs. But soMetimes there is a tendency to outs may only indicate dissatisfaction with the agency. insulate technical work from community interaction. The A similar measure is the percentage of people responding 17 to a survey, the reasoning being that the higher the response pating, and vice-versa. Agencies should be aware of these rate, the greater the effectiveness of the participation. This disincentives so that actions can be taken to counter them. fails, however, to take into consideration the quality of the From the agency's viewpoint, participation may be seen survey, the means of distribution, or the nature of the as disruptive. The belief is sometimes expressed that those information received and whether or not the information who participate are usually a small, but highly vocal, mi- contributes in any way to the study. nority who oppose the agency's plans, and that their input Some persons equate effective interaction with a "build" is not representative of the feelings of the majority. Thus, decision. If a community is opposed to construction be- participation is seen as providing "ammunition" to those cause of misconceptions and narrow thinking, then a pro- trying to block agency actions, and as being of little value, gram that "sets right" such thinking and results in building or even of harm, to the agency. may be viewed as successful. But it is also true that con- There are three responses. First, an effective interaction struction may be opposed because its adverse effects are program will take steps to ensure that all viewpoints are believed to outweigh potential benefits. "Successful" com- identified. It may be true that those who oppose a proposed munity interaction in this case could result in a no-build project are more likely to come forward to express their decision. views than those who favor it; but this merely indicates that The more meaningful parameters of successful com- the agency needs to expend more effort in obtaining the full munity interaction are less visible than meeting attendance range of viewpoints. Second, early and open interaction or a "build" decision. The important concepts are whether can get issues out into view so that the agency can take or not all affected persons were allowed an equal oppor- steps to alleviate many of the problems which if unabated tunity to participate, understood the planning process, and might lead to opposition. An interaction program thus can understood the issues of choice; and whether or not the reduce the likelihood of controversy. Finally, some agency contributions and preferences of these interests were given proposals are likely to meet with opposition no matter what due consideration by the agency in making its decision. kind of interaction program the agency has. This is true Providing equal opportunity to participate is not as easy of any governmental decision, not just transportation de- as it might seem at first glance. The way in which a com- cisions, and simply cannot be avoided. In fact, many would munity interaction program is structured and carried out argue that one of the strengths of the American system is strongly influences who will participate. Merely announc- that citizens, even if they are in the minority, can and do ing the opportunity to comment or providing everyone with oppose their government's actions. At any rate, avoiding exactly the same ways of participating-treating all groups or limiting interactions will not prevent the development of alike-does not insure equal opportunity. Different groups opposition and in fact may make that opposition more may require different agency efforts if equal opportunity is rancorous. The agency will be in a far better position to be achieved. Different efforts also may be required to should controversy arise if it can point to the fact that ensure that the planning process and the issues of choice through its interaction program it is fully aware of oppo- are understood. The agency can do much to increase nents' viewpoints and has taken reasonable steps to mitigate understanding of the process by clearly laying out what it problems. can and cannot do and by carefully documenting its actions. From the viewpoint of the citizen, participation may be Understanding of issues can be increased by talking about discouraged by several factors. Quite often, people who alternatives rather than abstract values and by using models, are interested or able to contribute to an agency's activities photographs, and other display techniques-by relating have little time available to participate or do not know how planning to those things that concern people and by help- to contact the appropriate people within an agency, or sim- ing people visualize possible changes. ply lack the initiative to take the first steps necessary to A good interaction program helps people to see the ad- communicate their ideas. In such cases the agency can vantages of and reasons for other points of view and influ- encourage input by providing means for involvement which ences the substance of the planning process. But an effec- do not require the person to contribute vast amounts of tive interaction program will not assure universal happiness. time and by publicizing the means by which people can get People will want different outcomes, and those who dis- involved. Another factor that may discourage people from agree with the decisions made may be convinced that the participating is the aura of complexity that often surrounds process "favored" others. Nevertheless, a process that is transportation planning. Some elements of the public, as open and well documented tends to provide ample evidence well as agency staff themselves, may even feel that only to disprove any charges of bias. experts make meaningful contributions. Although there are certainly some aspects of transportation and environmental analyses that may be beyond the knowledge of the lay pub- Disincentives to Interaction lic, the vast majority of issues are well within the public's Despite the potential benefits of interaction, there are sev- ability to understand. Agencies can do much to facilitate eral factors that tend to work against its success. Dis- interaction by making information readily available in a incentives exist on the part of both the agency and the form that the nonexpert can understand. citizen. Unfortunately, a feedback effect may develop, such A much more serious disincentive, however, is the belief that the factors that discourage the agency from conduct- that participation is a hollow exercise. People may feel that ing an effective participatory program may also create an the important decisions already have been made, that their environment in which people are discouraged from partici- inputs will be ignored, or that the choices available to them 18 are so few as to be meaningless. To overcome this attitude, information flow-from the community to the agency, from the agency should start its interaction program early in the the agency to the community, or both ways at once. process, provide meaningful channels of participation, and In addition, a few special-purpose techniques are identi- be sure that it responds as fully as possible to questions and fied. They are put in a separate category because generally issues raised. they would be used only in unusual circumstances. An effective community interaction program will require Techniques the coordinated use of several techniques from each of the An effective community interaction program requires not three basic areas; information gathering and distribution only: by themselves, will not achieve the objectives of com- munity interaction. An important consideration is to se- Direct interaction: two-way, face-to-face contact and lect a mix of techniques that will ensure broad and repre- communication between agency staff and the community; sentative coverage, recognizing that some techniques will but also reach some interests and not reach others. Timing is im- 0 Information gathering: the collection of data about the portant, for activities carried out too early or too late in community, its nature, its needs and goals, and the different the process will not yield maximum benefits. Similarly, the points of view of its members; and agency must consider the resources available for com- * Information giving: the dissemination of agency infor- munity interaction, and must remember that the type of mation on the scope and process of studies, the issues of community being dealt with, and the particular groups in choice, and the data relevant to those issues. that community, should affect the type of technique used. Techniques for each of these three basic activities are The remaining portions of this section provide summary guidelines for each of the techniques identified in Table 1, identified in Table 1. This listing is indicative of the range including possible uses and advantages and disadvantages. of techniques that might be used; there is no attempt to be Among the items discussed are issues associated with the comprehensive, and an agency may find other techniques choice of what specific techniques to use; with descriptions or variations of those listed to be equally useful. For ex- of specific characteristics that an effective community inter- ample, role-playing and simulation games have been used action program should possess and the steps to be followed by some agencies both as a training aid and as a means of in initiating a program of interaction activities. This is ,'modeling" an actual situation. Certain techniques required followed by presentation of four exemplary programs. by law, such as the A-95 clearinghouse and environmental impact statement reviews, are not listed, though these Information Gathering Techniques clearly can play an important role. There is, of course, some overlap among the three categories; working meet- Information about potentially affected communities-their ings, for example, are listed as an interaction technique, social and economic characteristics; their plans, needs, and but they also both collect and disseminate information. The aspirations; their neighborhoods; their special problems-is categorization merely indicates the primary direction of necessary to identify potential social, economic, and envi- TABLE I CATALOG OF COMMUNITY INTERACTION TECHNIQUES COMMUNITY INTERACTION TECHNIOUES INFORMATION GATHERING INFORMATION DISTRIBUTION INTERACTION SPECIAL PURPOSE EXISTING SOURCES POSTERS, BILLBOARDS, AND SMALL GROUP MEETINGS REFERENDA COMPILED STATISTICS SIGNS DESCRIPTIVE INFORMATION WORKING MEETINGS TECHNICAL ASSISTANCE MAIL NOTICES, BROCHURES, WORKING WITH LOCAL NEWSLETTERS, FLIERS WORKSHOPS MEDIATION AND ARBITRATION OFFICIALS NEWSPAPERS HEARINGS AND OTHER OMBUDSMAN MONITORING NEW LEGAL NOTICES LARGE PUBLIC MEETINGS DEVELOPMENTS ADVERTISEMENTS CHARETTE NEWS ARTICLES FIELD OFFICES ANALYZING PLANS, PROGRAMS. FEATURE COLUMNS AND AND REPORTS ARTICLES PUBLIC INFORMATION NEWS RELEASES CENTERS MONITORING MASS MEDIA LETTERS TO THE EDITOR NEWSPAPERS ADVISORY COMMITTEES, RADIO AND TELEVISION RADIO AND TELEVISION STEERING COMMITTEES, OTHER MEDIA ANNOUNCEMENTS OTHER GROUPS NEWS COVERAGE FIELD WORK TALK SHOWS AND COMMUN- ITY-ORIENTED PROGRAMS SURVEYS DOCUMENTARIES COMMUNITY ORGANIZATIONS DISPLAYS, MAPS, MODELS 19 ronmental impacts and the interests that would be affected for the community and in developing an interaction pro- by these impacts. Obtaining such information is a major gram. Voting rates, for example, may be a rough indica- task, but not an impossibly difficult one. A wealth of data tor of general participation rates; tax rates may point out has already been compiled for nearly every local com- what might happen if homes or businesses were displaced; munity, thanks to extensive government and privately sup- data on the sewer system may indicate potential problems ported censuses and surveys of population, income, busi- should a highway encourage new growth. ness, labor, manufacturing, construction, public health, and Descriptive Information.-Histories are often available so on. Official records on taxes, education, voting rates, even for small villages, and a quick perusal may provide and the like also are readily available. In addition, there some insight into the nature of the community-how it are innumerable other sources of information that can be grew, what its traditions have been, who its people are. At tapped with minor effort-in universities and in private another level, local civic groups (such as chambers of com- organizations, for example. Thus, the initial task is not so merce, good government associations, and service organiza- much a matter of how to generate information, but rather tions) often make available literature on their communities of determining what sources are most relevant, and what that points out what they feel are their communities' strong additional data, if any, are needed for the purposes at hand. points, places of special interest, and, sometimes, problems. Before setting out to compile data on affected com- Universities too may have collected significant information munities, the agency should make sure that the information which the agency can tap. will be worth the effort required to obtain it. Care should Working with Local Officials.-Local officials usually are be taken that the data are in the form and at the level of an excellent source of information about the community. detail needed to put the information to use. Attention Their intimate knowledge of local goals and aspirations, the should be given to the timing of data collection; informa- problems of the community and particular neighborhoods, tion that is out of date by the time it is needed or that is and of groups who may be especially concerned about gathered too late to guide planning will be of little use. transportation, can be invaluable to the agency. The agency Thus, in gathering information the following considera- will wish to establish communication with these officials in tions should be taken into account: any event, so there is a ready-built opportunity to learn � What information seems needed? about the community. The agency should note, however, � What will be done with the information once it is that officials will describe the community as they see it, and obtained? others may disagree or emphasize other factors. � In what form should the information be compiled? Monitoring New Developments Aflecting Urban and Re- � What level of detail is necessary? gional Systems.-Because highways affect, and are affected � What is the best way to obtain the information? by, urban and regional systems-other parts of the trans- � Is the information appropriate at this time? portation system, housing, finance, the job market, utilities, � Is the information worth the effort required to obtain and so on-the agency needs to keep abreast of new and it? anticipated developments in each of these systems. In this way, the agency can take steps to assure that its plans and Existing Sources.-A first step in gathering information decisions are well coordinated with the new conditions. The about a community is to determine what useful data al- agency may also identify and avert future problems and ready exist. Often the agency will be able to get a good may discover potential solutions to problems that would be initial sense of the community at minimal cost simply by caused by various alternatives. utilizing existing sources. The A-95 process and other "early warning" procedures Compiled Statistics.-A number of sources of informa- for notifying other agencies is a good starting point for the tion on communities are readily available in public libraries, monitoring of new developments affecting urban and re- government agency offices, and city halls. Censuses of gional systems. In urban areas, the 3-C or regional plan- population characteristics, income, business, employment, ning agency will be able to provide much useful informa- and so on often are summarized in one document; a quick tion. However, additional effort may be necessary to ob- examination of these data will help the agency establish a tain sufficiently detailed information for use in the more starting point for its studies of the community. For exam- advanced stages of highway or transportation planning. ple, one can obtain the percentages of elderly, unemployed, Analyzing Plans, Programs, and Reports Made for a welfare recipients, school children; the average number of Community.-Plans, programs, and reports developed by autos per household; percentage of foreign born and for- individuals, groups, and institutions often are an expression eign stock (an ethnicity indicator); housing values and of their values and priorities. Reviewing these materials is conditions; land use, development, population trends, and a way to obtain factual information about a community in so on. Because precautions are taken to keep individual a short time, and may indicate some of the values of the responses confidential, census data may be too aggregated community. A good working knowledge of plans is neces- for some purposes, but they provide useful background sary for the proper coordination of highway proposals with information. other relevant plans and will aid the agency in predicting Other agencies and governmental bodies-federal, state, potential impacts, uncovering issues, and developing ideas and local-usually have detailed information on particular for alternatives. communities, often at the neighborhood level. These data Plans that may be relevant include comprehensive or may be of use to the highway agency both in getting a feel master plans for communities (typically funded by Federal 20 701 funds); traditional land-use inventories and plans; mas- Many produce program listings, which may be available ter plans for regions, subregions, or counties; plans of large from the station or may be printed in local papers. These institutions and regulated services (electric company); plans listings will point out shows especially worth monitoring. of city services (water, sewage, street repairs); and plans of Other Media.-In many areas, local bulletin boards are community interest groups (home owners' associations, ten- an important communication channel. Periodic checks of ants' groups, service and garden clubs). Reports on par- these boards may yield useful information. The newsletters ticular problems, needs, or possible courses of action may of some organizations, especially those interested in trans- provide much valuable information. portation, ecology and so on, also should be monitored Analysis of plans need not be a major time-consuming when available. effort. It will not be necessary to study every plan in depth; Field Work.-Social/ anthropological field work is a the agency may wish merely to scan and reference some means of gathering nonstatistical information that is in- plans. trinsically inaccessible through questionnaires and other Several words of caution are appropriate. Whether a data-gathering tools. The purpose is to discover and ex- plan is up to date should be verified, and the amount of plore cultural patterns, life styles, and clusters of values support for the plan determined. Community plans are and their significance in the eyes of the people being stud- often developed to meet federal or state requirements; for ied. Rigorous field work can take a highly trained anthro- instance, a plan is necessary to participate in federal urban pologist or sociologist months or even years, for continuing, renewal or rehabilitation projects. Some plans are no more intensive effort is needed to establish the rapport conducive than paper exercises. Many such plans have been developed to information gathering. by consultants who knew how to satisfy the external (fed- In some cases, particularly when it appears that proposed eral) requirements but did not neecssarily feel empathy alternatives may affect extremely sensitive neighborhoods, with the community. Such plans may be of limited use in an agency may wish to devote resources to a careful field identifying the goals of anyone in the community. The work effort. First, however, the agency should examine the agency should assess which if any community residents feel need for such information and the alternative means of that their goals are expressed in the various community gathering it. For some projects, this level of effort clearly plans. is not needed. in some areas, universities may have con- Monitoring the Mass Media.-The mass media are a ducted extensive field work efforts, and the agency should bountiful source of information about the important cur- turn to them for guidance. rent events, issues, priorities, needs, problems, and goals of Less rigorous field work nevertheless can yield useful a community. information. Of greatest importance is to approach the There are a number of information media in any com- neighborhood with an open attitude, and to carefully ob- munity: newspapers, newsletters, local bulletin boards, serve the nature of the community. Some highway agen- radio stations, and television channels are the most com- cies have staff members drive or walk around a neighbor- mon. The methods used to monitor each of these will vary hood, observing its homes and businesses, its congregating with their relative importance in the community and with places, its people; talking to people about their feelings the agency's needs. A few examples follow; these should toward the neighborhood, their ties to homes, local institu- be adapted to fit the case at hand. tions, families and friends; and their attitudes toward trans- Newspapers.-It is often convenient to establish files of portation changes. Another variation is to attend or ob- newspaper clippings, which may be filed by topic, labeled serve public meetings of elected and appointed groups, by date and source, and cross-referenced as necessary. Most community groups, and special interest organizations. Al- public libraries save copies of major papers on microfilm; though such data should not be assumed to be of general the agency may wish to save intact copies of other papers validity, it is useful in establishing a feel for the community and newsletters, cross-referencing relevant articles. and a sense of neighborhood boundaries. Monitoring newspapers is best done by agency staff. Surveys.-Surveys, questionnaires, polls, and similar de- Clipping services may be available, but often the clipping vices are used to elicit facts, opinions, or attitudes from a service overlooks relevant articles or does not recognize selected sample. Before deciding to conduct a survey, the issues that may affect the highway planning process. Fur- agency should ascertain that the desired information can- thermore, if a clipping service is relied upon, information not be obtained fromexisting sources or by other methods. may be too slow in getting back to the agency to be of Then the survey must be carefully designed, tested, admin- maximum usefulness. istered, and interpreted. Survey design and analysis is a Radio and Television.-Listening to local talk shows and highly technical skill; several universities offer graduate de- news broadcasts allows the agency to monitor many com- grees in polling and surveys. Thus, it is strongly recom- munity conversations. Selective monitoring and analysis mended that a qualified social scientist be responsible for can help the agency learn about community interests, con- any survey efforts an agency may wish to conduct. Even flicts, and values; it may provide information on how the then, surveys are subject to misuse and can never replace agency is viewed by certain community groups; and it may interaction with concerned citizens. indicate when the agency should enter into certain on-going Surveys rely on the fact that scientific sampling methods discussions. permit information gathered from a relatively small num- Some radio and television stations make transcripts of ber of respondents to be projected with a specified level of editorials, speeches, and specials available to the public. confidence to the entire group of interest, or "population." 21 Careful sample selection is absolutely necessary before such to make. Although the lack of scientific sampling prevents projections may be meaningfully made. Survey questions projection of such information to a population or group as must be designed both to elicit the desired information and a whole, this type of informal question can help the agency to avoid misinterpreitation. The means by which a response get feedback on how well its publicity is working, who has is made must also be selected with care, because it has a been reached and who else might be contacted, and so on. significant effect on the interpretation of the response. It It also gives people another channel for voicing their con- is always necessary to pretest surveys to see whether the cerns. Even though this type of questionnaire is less so- questions are clear and the responses elicited are of the phisticated than the scientific surveys previously discussed, desired form. Usually, several drafts are needed. Simi- it should be carefully designed and pretested; the help of an larly, the method of analysis of the data obtained must be expert will be worthwhile. designed for the particular survey. The result is that sur- veys are quite expensive and time consuming and require Information Distribution Techniques substantial numbers of trained personnel. Those in charge of planning transportation facilities need Fact surveys may be used to obtain information such as to provide a variety of information to the public. This number of years at a given address, travel patterns, and so information may be viewed as falling into two categories: on. At first glance, such questions seem relatively simple announcements and study information, Both categories are to draw up. However, it will not be especially useful to important to an effective public participation program and know merely that X% of the respondents travel to work ultimately to the success of the over-all planning and by auto; they may do so because they like to drive, or be- decision process, and for both there are a few basic rules: cause the bus takes twice as long; or they may hate driving but have no other choice because no transit options exist. Select the channels by which information is to be Fact questions must be designed to obtain responses that transmitted so that the information is most likely to reach are useful to the agency in developing alternatives, or the desired audience. identifying problems, or the like, and not just to gather 0 Use several different channels of communication to bits of data. maximize target audience coverage. Opinion surveys attempt to elicit preferences between 0 Tailor the message to the medium used for trans- alternatives or viewpoints about particular issues, and atti- mission. tude surveys ask about general preferences and viewpoints 0 Tailor the message to the target audience. without relating to specifics. These types of surveys are Announcements are the easier of the two types of output especially difficult to design well, are difficult to execute information, but they nevertheless demand careful plan- well, and are particularly susceptible to misinterpretation. ning. Many highway agencies have learned through ex- Questions, for example, may be worded in a way that brings perience, for example, that legal notices of upcoming hear- out particular response patterns, and the interviewers' atti- ings by themselves are rarely sufficient to stimulate large tudes, demeanors, inflections, and the like may introduce turnouts. biases. Aggregation of responses may hide significant dif- Because different media reach different audiences, it is ferences of opinion. always preferable to use several channels of communica- The most serious problem of opinion surveys is that they tion; notices in several newspapers will not reach those who may be misused. The results can far too easily be inter- rely on local radio for the news. The selection of media will preted as the analyst sees fit. The agency must avoid the depend on. local availability and usage and on the resources temptation of presenting a neat stack of data that repre- that can be devoted to announcements; but it should be sent the "community's opinions" as an easy way out of the kept in mind that there are many low-cost mechanisms that more time-consuming process of interacting with citizens may obtain very good responses. to bring their opinions to bear on decisions and recom- Announcements should be designed to catch the eye (or mendations. Reliance on survey data puts too much em- ear) and hold attention, and they should be brief and to the phasis on judgments developed during just a few minutes point. Trying to convey large amounts of information via of contemplation of the issues involved. Citizens' opinions an announcement is likely to swamp the audience and re- tend to develop, change, and become clarified during the duce effectiveness. It is better to be brief and use supple- course of studies; the choices to be made will change; in mentary means to communicate details. some cases, even the makeup of the community will change. The more common channels for making announcements Surveys simply cannot be a substitute for ongoing, direct are: interaction with the public. In some circumstances informal questionimaires may be 0 Posters, billboards, and signs. useful even though the sample is small and biased. Open- * Mail notices. ended questions are usually best; specific information may 0 Newspaper notices, articles, and advertisements. be requested, or just the opportunity to make a comment 0 Radio and television announcements, news spots, and may be provided. For instance, an agency might distribute advertisements. questionnaires at meetings, asking questions about group 0 Publication in newsletters and bulletins of community membership, transportation problems encountered, how the organizations. respondent found out about the meeting, and so forth, and 0 Sound trucks and hand fliers. asking for any other comment the respondent might wish Providing study information is a crucial part of the 22 agency's information dissemination activities, for unless the that interested groups could carry out their own preliminary public is well informed their participation will be of re- analyses of transportation alternatives. duced value. Study information includes general back- Newspapers.-Newspapers may be used to reach the gen- ground topics such as the procedures used for transporta- eral public both for making announcements and for pro- tion planning, how the environment may be affected, what viding descriptive material. For announcements, the agency legal requirements and constraints must be dealt with, and may consider the following: what has happened to date in a particular study. It also 0 Legal notices. These are required for public hearings, includes detailed reports, plans, and data on what alterna- but they should not be relied upon as the sole means of tives are being investigated, predictions of impacts of each publicity simply because too few people read legal notices. alternative, public responses, and so forth. 0 Advertisements. Some newspapers occasionally donate The agency should provide information in a form that free space for announcements of special community inter- people without special training in transportation planning ests as a public service. More frequently, the agency will can understand. Special attention must be given to termi- have to pay to advertise. Ads have to be fairly large to nology, because even the terms most familiar to agency attract readers, and thus they can be expensive, especially staff may cause confusion among outsiders. However, the in major papers. Smaller papers (weeklies, for example, or agency also should take care to avoid oversimplifying its ethnic papers) may be more apt to publish free announce- reports or glossing over serious issues. ments and usually have lower advertising rates. The smaller The more common channels for providing study informa- papers also may have the advantage of reaching particular tion are: neighborhoods or groups more directly than a metropolitan Articles and feature stories. or multi-town daily. TV and radio feature stories, talk shows, and docu- One form of advertising is to produce special supple- mentaries. ments that can be distributed with newspapers. Publication in media of community organizations. Because of the expense and the uncertain readership, Guest speakers for organization meetings. paid advertisements would usually be used only for special Agency-produced newsletters, slide shows, pamphlets, events. et: 0 News articles. Articles initiated by the news staff can Posters, Billboards, Signs.-An effective way of making be an important way for the public to learn about the trans- announcements of upcoming events, and perhaps the most portation planning process. practical technique for small and medium-size projects, is News articles may range from announcements of up- to place posters, billboards and signs in gathering places and coming meetings to reports of past events to feature articles high-visibility spots. Likely locations are bulletin boards in on particular issues, the planning process, and so on. churches, civic centers, places of employment, laundromats, The agency can encourage coverage by notifying news- supermarkets, taverns, and in store windows. people of events that should be of interest. It is useful to Mail Notices, Brochures, Newsletters, Fliers.-The establish personal contacts within the news and editorial agency's list of interested individuals and groups can be staffs, and to designate agency representatives so that news- used to give notice of upcoming events. Pamphlets and people will know who to contact about potential stories. other descriptive material for specific projects also can be 0 Feature articles and columns. Feature articles and col- distributed to those on a mailing list. umns may be written by a journalist or, through special Several recent studies, including 1-66 in Virginia and the arrangement and with appropriate bylines, by a member of Boston Transportation Planning Review, have published the agency staff. Topics might be particular events or monthly newsletters containing material such as back- background information; these articles thus can be a useful ground information on housing availability and land use, educational device. descriptions of available alternatives, impact studies, meet- For large or particularly important projects, the agency ing announcements and results, summaries of published re- may choose to propose that a special transportation column ports, "letters to the editor," and even an "op-ed" page be published periodically. A column, in particular, could permitting community participants to present their own include a question and answer section. viewpoints. If the agency chooses to write feature articles or col- General "occupant" mailings can be effective for a spe- umns itself, care should be taken to ensure that the article cific neighborhood, but are relatively costly. The best way clearly distinguishes fact from opinion. to contact individuals or groups is via personal letter or 0 News releases. Most agencies periodically prepare for- telephone. mal news releases for submittal to the mass media. Often General notices can become quite comprehensive in na- these releases are strongly pro-agency (or pro-project). ture, to the point of including many information gathering Unfortunately, if the public is cynical about the agency features. For example, a recent land-use transportation or if the particular project is controversial, these releases study in Sheffield/ Rotherham, United Kingdom, utilized may make matters worse. As with all other information a "do-it-yourself" planning kit for public distribution. The released for public consumption, it is vital that fact be kit had four parts depending on level of interest, the most separated from opinion and that unresolved issues and mat- advanced containing basic study data such as typical costs, ters of disagreement be recognized explicitly. budget levels, traffic demand data, capacity relationship, so 0 Letters to the editor. The agency may wish to write 23 letters to news editors for announcements or to explain or transit would look like, how it would work, and so on. clarify certain points. Prototypes also can be used by agency staff to work the Radio and Television.-Effective use of radio and tele- bugs out of an idea. vision requires different skills from those needed for written Models, maps, and demonstration projects can be ex- communication. The audience does not have the oppor- pensive and time consuming; they also can be misleading. tunity to peruse the message, so it must be shorter, more For example, architects' or artists' drawings may look very concise, and less complex. different from the real thing. Demonstration projects, be- Radio time, and especially TV time, is quite expensive, cause they are generally small-scale and short-lived, can so as a general rule an agency will not wish to purchase have very different results from full-scale permanent time except in unusual cases. However, there are many proj ects. ways an agency can get free time; some of these are listed in the following. Where public television is available, the Interaction Techniques agency may find greater opportunities (including lower prices) to make use of this medium. Effective community participation requires direct inter- *Announcements. Many radio and TV stations pro- action with the community-two-way, face-to-face contact vide free time for announcements in the public interest. and communication. Direct interaction is the best way to Stations also may make community events announcements find out what people are concerned about, what they think on a daily or weekly basis as part of their news programs. should be studied, how they react to alternative proposals. 0 News coverage. As with newspapers, radio and TV It is the only way to obtain much necessary information on news staff may be interested in covering special events, and neighborhoods and people. the agency should develop appropriate channels of com- Small Group Meetings.-Small meetings have proven to munication to encourage this. Many local stations also do be a more effective and important way of communicating short feature stories as part of the news program; the with interested groups or collections of unaffiliated citizens agency may wish to explore this possibility with news staff. than have formal public hearings or large mass meetings. 0 Talk shows and community-oriented programs. Lo- The agency can provide detailed information on its activi- cal radio and TV stations produce talk shows and com- ties, obtain opinions on the scope and timing of studies, munity-oriented programs. Usually they are looking for and gather a variety of information that simply cannot be new topics, and thus they may welcome the opportunity to obtained through other techniques. take a look at transportation issues. This gives the agency Meetings may be initiated by the agency or by an inter- an excellent opportunity to provide educational informa- ested group specifically to discuss the transportation study. tion. Participants frequently are subjected to questioning, Alternatively, the agency may ask or be asked to attend a so the agency representative must be a person who can meeting whose primary focus is something other than the speak off the cuff. transportation study. The agency can start out by contact- * Documentaries. For projects of major importance, or ing known organizations to see if an initial meeting is de- where transportation itself has become an issue, television sired, by publicizing its willingness to meet with interested stations may be interested in doing a documentary. This is groups, and by identifying communities or neighborhoods an opportunity to explore transportation problems and is- where a meeting might be appropriate. It is useful to ask sues in depth. However, the agency should note that docu- known groups, local officials, and so on their opinions on mentaries are often editorial expressions of opinion-they who else should be contacted. may take sides. The timing of meetings is important. Initial meetings Community Organizations.-Many organizations send or should be held early in the study so that people can com- distribute periodic newsletters or bulletins to their members. ment meaningfully on the scope of the study, alternatives The agency may seek permission to use these private media and impacts that should receive attention, and so on. The to make announcements or to publish short articles, or to agency should be prepared to discuss its initial proposals have its material enclosed with the organization's. Also, for the study design so that there is something to focus on. these organizations are frequently looking for speakers for On the other hand, proposals that are highly detailed may luncheon or dinner meetings, providing an opportunity to lead some people to conclude that decisions have already present general study information and to participate in been made de facto and that their comments will have no limited question-and-answer exchanges. effect, It is important to explain what decisions have been Displays, Maps, Models, Demonstration Projects.-Sev- made and which options are still open. eral highway agencies have found that scale models of the The places where meetings are held can affect their suc- project area, models or photo collections of different types cess. Holding a community meeting at the local country of alternatives, maps, and so on, displayed in prominent club may be fine for businessmen and suburbanites, but it places (agency offices, civic centers, etc.) help the public could easily scare off poor people. The location should be better understand the issues, benefits, and problems of well known and easily accessible, and it should have facili- transportation proposals. ties suitable for holding meetings (comfortable seating, The agency may wish to build prototypes to illustrate large enough rooms, perhaps blackboards). Local schools special features of its proposals. For example, several often will be a good choice. agencies have built prototype transit facilities on a small The time of day the meetings are held is another im- scale so that the public can see what a particular form of portant variable. Daytime meetings will not be attended 24 by those who cannot get off from work. Conversely, time and may wish to send invitations to particular groups; evening meetings may be inconvenient for a businessman's for example, local officials and representatives and organi- association whose members go home to scattered suburbs. zations that seem to have a special interest. But the work- The agency also should consider other community events shop provides a unique opportunity for the general public, that might conflict with its meetings. One highway agency particularly unaffiliated citizens, to get involved. Thus it is found to its dismay that it had scheduled a meeting at the recommended that the workshop be open to anyone who is time when the county fair was being held. interested. Finally, agency staff need to be sensitive to the effects Because those who attend generally will be self-selected that their dress and comportment will have on the people and cannot be be expected to be in any sense representa- they are dealing with. Communicating well is a talent, but tive, the workshop is not usually an appropriate forum for it also is a skill that can be learned and that improves with making major decisions. But it can be an important source practice. of data, suggestions, and guidance. Effective communication at small meetings is aided if It is important to note down suggestions made or criti- participants can sit at a table or in a circle rather than cisms raised. being divided into speakers and audience. This is true even Hearings and Other Large Public Meetings.-Public when meetings approach a size of 60 persons, in which case hearings are required by law for many federal projects; two or three circular rows might be arranged around a large some states also have hearing requirements. Consequently, table. the highway agency must hold some hearings; but it may Working Meetings.-The purpose of working meetings choose to hold additional hearings. is to resolve, or attempt to resolve, specific matters, which Formal hearings simply cannot be the only interaction could range from a mutual understanding of a group's mechanism. It is impossible to have "conversations" at stance on a particular issue to a compromise on what large hearings or meetings; the communication is typically alternatives should be studied. limited to brief question-and-answer periods and to the Working meetings are more likely to be successful if the making of statements. Many people, uneasy because of the number of participants is kept small (usually a dozen or size of the meeting or its formality, will not speak out. In less), because it is difficult to negotiate with many people addition, the required hearings come so late in the planning at a time. It is also useful to reach some agreement on an process that information first received then either would be agenda ahead of time so that participants can prepare for ineffectual or would necessitate massive restudy. Partici- the meeting. pation needs to start long before the required hearings, Workshops.-Workshops can give the community a while planning options are still open. chance to learn about the transportation study and how The public hearings do serve several purposes: they are to participate in its planning, can provide multiple oppor- a capstone for the participatory process; a milestone in the tunities for the technical staff and the public to communi- decision-making process; a chance for people to make their cate on a person-to-person basis, and can be an important views formally known; a chance for people to hear the symbol of the agency's desire to receive and make use of views of others expressed and explained. citizens' contributions. A workshop could be a day-long Besides the required legal announcements of the hearing, activity, could run for several consecutive evenings or for the agency needs to notify by mail every group or individual a week-end, or could be scheduled on an "every Tuesday that it has reason to believe is interested; the agency should evening during the month of May" basis. It could be held make sure that the public is well informed about the issues in a particular neighborhood or on a city- or region-wide weeks in advance of the hearing, so that concerned groups basis. and individuals have adequate time to prepare their pre- The workshop (alternatively called an open house, etc.) sentations. This also means that the public has to have ac- is a multitechnique activity. The agency should make a cess to any information it may need and which the agency variety of background materials available and should use has, during this period of time prior to the hearing. If a a number of display techniques-maps, diagrams, models, draft environmental impact statement is required, it can and perhaps slide shows. The workshop is also a good serve as one basic medium of providing the public with an opportunity to gather information (e.g., via questionnaires), analysis of the issues. The draft environmental impact to expand the mailing list, and to offer to meet with resi- statement must, of course, be circulated prior to the dents of a particular neighborhood and with organizations. required hearing. Agency staff can make presentations; but more importantly, The agency should make sure that the newspapers give they can talk to visitors and learn a great deal about the the issues to be discussed at the hearing adequate, early community. coverage; if the papers cannot be persuaded to do it, the Depending on the stage of planning, people who attend agency, as a last resort, should run large, paid advertise- the workshop could be asked to help determine the scope ments. In this time between announcement of the hearing of the study, to help set up a schedule of activities, to ex- and the date on which it is to be held, agency staff should amine proposed alternatives, and to suggest others-to join make every effort to familiarize the public with the issues in setting the direction of future activities. For example, through displays in municipal buildings, schools, and at staff members could sketch out alternative route locations other spots where the public is likely to see them. Bro- and let people react-or sketch their own alternatives. chures or other forms of data on specific issues should also The agency should publicize a workshop well ahead of be available for the asking from the agency. 25 At the hearing, a fact sheet should be distributed. This of time in several areas. In any case, the field office should handout should include data on the proposals under con- be easily and conveniently accessible and visible (or well sideration, announce that written statements may be sub- signed). It is important to publicize where the field office mitted within a specified time limit for inclusion in the is, what its purpose is, what hours it is open, what kind of public record of the hearing, and explain how to file written information is available, and so on. comments. The field office can be used to distribute information; the The moderator should be experienced at running large agency should have pamphlets, maps, and other background meetings, and it is preferable that he or she be a dis- information available. The office also can be an important interested party. Adequate time should be allowed for both information gathering device; for example, visitors could the agency's presentation and others' presentations, ques- be asked to fill out questionnaires. if it is to be a good tions, and comments. interaction technique, the agency should make sure that Graphic material has to be legible for the entire audience. people will be comfortable there; seats should be available, In making its presentation, the agency should take care to and refreshments would be a boon. discuss issues in enough depth that the layman is neither The field office also can serve as "home base" for the left in the dark nor overwhelmed (i.e., "snowed"). community interaction program, and if the physical layout An effort must be made to prevent people from being is suitable could be used as a site for small group meetings. intimidated out of making statements. Microphones in the Field offices require significant resources, particularly audience should be placed in such a way that a person does time and manpower, if they are to be useful for interaction not have to face the whole audience to pose a question or purposes. Without sufficient staffing, the field office may be make a statement. One effective way of doing this is to reduced to an information disseminating mechanism, a task have microphones placed in the aisles, about half-way back, that generally can be accomplished more effectively by so the person will face front when speaking into it. other means. Thus the agency should give serious thought The time and place of the hearing should be set to en- to the potential public interest and to its own resources courage attendance. The issues in deciding daytime versus before establishing a field office. evening and location (e.g., central city versus local neigh- Public Information Centers.-An agency may wish to borhood) are much the same as with small group and other establish a public information center within its working types of meetings based on voluntary attendance. offices. The center would be a focal point for the public The agency may wish to consider holding pre-hearing so citizens would know how to get in touch with the agency. meetings to make sure it is ready to hold the formal The center would act much like the field office, giving out hearings. information, gathering information, and providing physical Because large public meetings allow the agency and space and opportunities for interaction with the public. others to present information and to hear questions and The danger is that the center might shield from public opinions from a sizeable group of people, the agency may contact, or might be viewed as shielding, those actually choose to hold such meetings periodically. The agency can carrying out studies. If a public information center is avoid the formality and strict procedure of required hear- expected to enhance the interaction process, its purpose ings at these meetings. However, there are several draw- should be to facilitate closer contact between the actual backs to a large meeting. The sheer numbers of attendees study staff and the public, not to act as a buffer or to assume will discourage some people from speaking. The speaker sole responsibility. It must be staffed by people who are versus audience division is almost impossible to avoid. well informed and interested in interacting with the public, More serious is the tendency of large public meetings to not just shuffling them in and out. force people to take a stand which, because it was made Advisory Committees, Steering Committees, and Other publicly, will be difficult to modify. Thus large meetings Groups.-Advisory committees are often established to ad- should be used cautiously, particularly if a study is con- vise decision-making on a continuing basis. A number of troversial. versions exist, ranging from "blue ribbon" (expert) panels, Field Offices.-Field offices or drop-in centers can be a to open membership committees, to special task forces. convenient interface between the agency and the potentially 3-C agencies are required to have policy and technical affected community. Especially when the agency planning committees; some have established citizens committees as, offices are remotely located or when the study is in a par- well. ticularly intensive phase, a field office may provide impor- The attractions of advisory committees are that they tant continuity for the community interaction program. make possible some degree of continuity of participation; A field office could be located in permanent offices; for those involved get to know each other, making working example, states who do most of their planning in a head- relations easier; and committee members are, or become, quarters office may wish to establish a field office in each better informed about transportation than the average citi- construction district, adding staff as appropriate when par- zen. The difficulties with advisory committees are myriad; ticular studies are under way. When the field office is some of the more common problems are the following: intended to reach a particular neighborhood or community, the agency should consider renting office space. As an When advisory committee members are selected be- alternative, the agency may be able to borrow space in cause of their special expertise, they are rarely representa- public buildings. Trailers are especially useful when the tive of the community. If their views and opinions are agency wishes to establish a field office for short periods given particular weight, others in the community may be 26 outraged. Technical or professional expertise does not designated jurisdiction) and therefore is potentially most necessarily bestow legitimacy upon its holders. representative of public opinion of any practical mechanism 0 When advisory committees are appointed by local for obtaining citizen input. The main difficulty, of course, officials, even when the aim is to select a representative is that it is nearly impossible to meaningfully establish who membership, there tends to be suspicion and resentment has the right to vote except in those few cases where a among those not included, especially if the committee project's anticipated use and anticipated social, economic, "legislates" for the community. and environmental effects are strictly local. The geographic 0 In some areas, advisory committees have been estab- boundaries that define the usual voting districts rarely co- lished as the only channel for public opinion and non- incide with the location of affected interests. For example, members have been told that they are being sufficiently some of the potential users of a project may come from represented (whether they thought so or not). Thus they another state; people concerned about development of a have prevented public participation, the very thing they recreation-rich area may live and vote throughout a multi- were ostensibly intended to accomplish. In some cases, state region. advisory committees have been given broad authority and Referenda can bring about a number of other difficulties. have proceeded to meet behind closed doors and without A binding referendum can halt a proposal (although pro- public contact. Where such abuses have occurred, advisory cedures for reversal may exist), but a pro vote cannot committees have an extremely bad name. guarantee implementation: the necessity of compliance it is recommended that an advisory committee be used with legal requirements and the availability of appeal pro- only if requested by a community and, if used, that mem- cedures (e.g., court suits) may make the vote moot. Non- bership be open to all who want to work on the committee binding referenda may have political weight but lack the and that all meetings be public. Because of the serious force of law and thus are powerful only to the extent that issues of legitimacy and representativeness, it is recom- decision-makers grant them recognition. mended that, although the agency should be responsive to Serious questions also must be raised about the extent to committee suggestions, no particular authority be given to which referenda can express public will. A low voter turn- committee recommendations and opinions. An open ad- out casts doubt on the results; a good analogy is the survey visory committee may encourage increased intensive par- whose sample is biased. And the referendum is susceptible ticipation; it may be an efficient source of information to other pitfalls of surveys: question wording may elicit about the community, and it may even produce new alter- particular response patterns; some voters may not under- natives. Its meetings can become a forum for discussion of stand the issues involved, or care about them; response local problems, and may provide indicators of how the options reduce complex issues to overly simplistic choices; community at large will react to specific proposals. But if results offer little guidance or direction for future activities the advisory committee is a closed elite group, the agency and may not be valid as time passes, because opinions may may find itself with more problems than benefits. change. But perhaps the worst problem is that a referen- dum cannot meaningfully resolve issues of equity of dis- Special-Purpose Techniques tribution of positive and adverse impacts. The agency often will have little if any say about whether The techniques listed in this section would not be used regu- a referendum will be held on transportation issues. When larly, but might be considered for special purposes. Alter- it does, it should approach the idea with great caution. natively, they may be suggested to the agency by outside Technical Assistance.-Communities or particular groups groups. A wide variety of such special-purpose techniques may have special transportation needs that they feel are not can be identified. For example, some use has been made of adequately addressed by agency proposals, or they may adult education courses designed to introduce individuals feel they will be adversely affected in ways that have not in an in-depth manner to various aspects of a study, includ- been adequately investigated by agency studies. The pur- ing the definition of alternatives, identification of direct and pose of technical assistance is to provide the wherewithal indirect effects, prediction of transportation demand, and for these communities or groups to develop proposals and evaluation of alternative courses of action. The techniques to conduct studies that meet their particular needs or reflect described in the following are representative of those most their interests. frequently suggested. Many towns and small cities, for example, are unable Referenda.-Referenda, the practice of submitting an to maintain a sufficient staff to adequately handle local issue or measure to popular vote, may be proposed by a transportation planning and rnay be worried about the legislative body or by popular initiative. The referendum effects on local traffic of the state agency's proposals. Tech- may be binding or merely an expression of voter sentiment. nical assistance could be provided either through earmarked The referendum is used with some regularity to deter- funds to hire professionals or by directly "lending" agency mine transportation funding questions. Infrequently, ref- staff to supplement the community's staff. erenda have been called to settle project-level transportation Particular groups also may have special transportation controversies. needs that are not being addressed. A typical example Proponents of transportation referenda argue that the would be the elderly, whose mobility problems often are vote allows the general public to join in making a decision not addressed in community-wide transportation planning. that will have significant effects on their lives. The refer- Technical assistance here, too, could come as earmarked endum has a broad potential base (all voters within the funds or direct staff assistance. 27 A more complex problem arises when particular groups elude hearing and responding to complaints, rectifying mis- are dissatisfied with the agency's transportation proposals. takes or abuses and cutting "red tape," making reports and In this case, direct staff assistance is less likely to be useful recommendations for corrective action, and general im- because perceived or actual control of the staff by the provements in agency operations and decision-making. agency may lead to lack of credibility. Charette.-Charette is a highly intensive effort to pro- One possibility is that an advocate planner be hired to duce plans and solutions to particular problems within strict champion the best interests of his client group. Advocate deadlines. Typically, a steering committee whose member- planners may develop alternative proposals for client ship is open to interested persons meets weekly over a pe- groups, and also may act as technical consultants to help riod of two or three months to deveolp topics for the review and critique agency proposals. Advocate planners charette, identify issues, and collect data. The charette is thus help their clients to do more than oppose transporta- highly publicized, and because committee membership is tion proposals; they can develop sophisticated, technically open, new issues can be added at any time. sound plans of their own and can provide more meaningful Once preparations are complete, one or two weeks of criticism of the agency's proposals. full-time working sessions are held, often conducted at A question that often arises is who should fund advocacy night and on weekends. Participation should involve key planning. In many instances, the groups who most need an decision-makers and all important interests, but also should advocate planner lack the resources to hire one. Therefore, be open to everyone from the community. The sessions are it has been suggested that the agency fund advocate plan- oriented to achieving a consensus recommendation. Work- ners. But if the agency pays the advocate planner directly ing against a deadline forces people to crystallize their ideas or exerts control over his selection or supervision, he may into proposals and helps induce the kind of intense issue lack credibility in the community. Thus it is generally pref- analysis that is needed to formulate alternative solutions erable that the community or group be given earmarked and to compromise on stated positions. Though profes- funds for, and control over the selection of, the advocate sional planners and designers are present, they act chiefly planner. This leads to another question: who should be as technicians, illustrating the- consequences of following given funds to hire an advocate planner, inasmuch as there one line of reasoning or another. may be a number of groups that would benefit from one's This tec 'hnique depends on the cooperation of a variety aid?, If there is a citizen's advisory committee, or similar of people, and can help to establish a positive working group, the agency might enlist their aid in making such relationship between the agency and the community. How- decisions. ever, it requires sizeable commitment of agency resources. A potential problem is misrepresentation of the client Some community residents, especially those who work eve- group's position by the advocate planner. Because of this, nings or have small children, may not have time to partici- it is important that the client group have control over the pate; others may be frightened off by the seeming com- planner, and that meetings between the planner and the plexity of issues, feeling that they cannot make meaningful agency be open. It would be highly undesirable for the contributions. agency to depend on the advocate planner as the only spokesman for the group he represents. Characteristics of an Effective Community Mediation and Arbitration.-Mediation and arbitration Interaction Program are both methods of intervention between conflicting par- The usefulness of any one technique or any set of tech- ties by a third person or group to promote reconciliation, Diques depends in part on the type of study being per- settlement, or compromise; arbitration goes further to hand formed, current study objectives, the nature of the affected down a decision. community, and the characteristics of the responsible In transportation planning, either mediation or arbitra- agency. To obtain the best results, it is necessary to de- tion may be useful to settle conflicts between governmental sign a program of community interaction activities, taking bodies (e.g., the state agency and the city government). into consideration the uniqueness of the situation, and to Mediation may also be useful in resolving conflicts between coordinate the community interaction program with tech- the agency and community groups or between community nical activities. groups. In the latter case, the agency may assume the role The type and intensity of interaction activities should be of mediator-as it does informally, for example, by looking adjusted periodically to reflect current needs. For example, for compromise alternatives. However, for the agency to when a study is starting up a relatively high proportion of formally play this role may be dangerous; it may leave community interaction resources might be devoted to ex- itself open to charges of favoritism. changing information; later, more intensive discussion of Arbitration is viable only to the extent that the parties in issues would be important. conflict can be held by the outcome, and so is likely to be The time demands of running a participatory program useful in working with community groups only in special circumstances. are substantial. However, a great deal of time is also con- Ombudsman.-The ombudsman is an investigative offi- sumed if projects are delayed or rejected by those who have cer charged with the responsibility of protecting the public not been involved. from bureaucratic bungling or abuse of power. Having an Designing and carrying out a good program of com- ombudsman provides the public with a specific person with munity interaction is not simple; it takes careful thought whom complaints can be lodged. Typical duties would in- and continuing management. Although the details of each 28 program will vary, there are a few general characteristics in the project to identify all issues and the concerns of of effective programs, as follows: others. 1. Participation should not be limited to, or channeled Means should be provided for new participants to quickly only through, local elected officials. Local officials have an understand what has transpired to date. Up-to-date hand- important role in community interaction, not only because outs or briefing sessions should be available or a cumulative they legally are the representatives of all the community loose-leaf binder of handouts and related material might be but also because they have specific decision-making pow- provided. A summary of past events is important to put the ers. The agency must recognize local officials' special po- process in perspective for the entering citizen. Involvement sition in the community and must include them in the is not encouraged if "late" participants find themselves lost planning and decision-making process, However, it is and confused, and the base of participation may never ex- necessary to interact with interest groups and private citi- pand to include all community viewpoints. The plans may zens as well. There are practical limitations on the extent then be seen as the product of a narrow elite and rejected to which local officials can be expected to voice, or even by others. identify, the range of issues which exist in the community 3. The agency should utilize and enhance existing com- at large. In addition, office holders may change over the munication channels. On very small projects it is often course of the planning process. possible to work with interested citizens and groups on a A strategy that might minimize the problem of local direct basis via small group or "one-to-one" meetings. On officials feeling bypassed is for the transportation agency larger projects, it takes more effort to identify those poten- personnel to stress their role as "staff" to local officials in tially interested in decisions, and it would be extremely helping to develop the information on which those local difficult and time consuming to communicate directly with officials must make a decision. There are pragmatic rea- all of them. Yet large meetings are not conducive to an sons for this: local officials often have a very limited staff in-depth analysis of particular issues. with limited expertise in some of the necessary professional An agency should utilize existing communications chan- areas. The ideal case would be a true partnership, where nels where possible. For example, even small communities through cooperative agreement each level of government have a number of organizations-church groups, service would contribute staff, and agency and local staff would clubs, business or farm organizations, PTA's, and so on- work hand in hand to run interaction processes. that can be contacted. By meeting with members of such 2. Alternative means for getting involved should be pro- organizations, the agency can utilize their already estab- vided. People have varying amounts of time and resources lished communication channels and can tap an already to devote to transportation planning, and they have varying existing source of knowledge and concern. amounts of interest. For example, some may wish to par- 4. Opportunities for participation should be continu- ticipate intensively; others may prefer to participate on a ously provided throughout all stages of transportation stud- regular basis (or just now and then) at a lower level of ies, including system planning and programming, location, intensity; and still others may wish only to be kept informed and design. During system planning it is difficult to iden- about the progress of studies, with opportunities to partici- tify and predict many impacts, and thus it is difficult to pate should they so desire at some point. The agency must identify who would be affected or how particular interests recognize this and select a range of techniques that will would be affected. Most people are primarily interested in encourage meaningful involvement whatever the frequency short-term issues that aff ect them directly, and it will always and level of intensity each group or individual prefers. be difficult to motivate some people to deal with decisions that involve consequences that may be far removed, per- The agency also should select the methods for inviting haps 10 to 20 years in the future. Thus, special efforts are participation with an eye to the community and the groups needed to obtain public input in system-level studies. with which it is dealing. People's education and experience, One strategy is to seek out groups and individuals with self-confidence, and knowledge of politics and government ongoing interest in particular kinds of impacts (for exam- affect their sense of efficacy and thus may influence their ple, ecology or economic development). Although such tendency to participate in different kinds of activities. For persons will change as time passes, many of the impacts in example, formal meetings may be attractive to businessmen but not to people who rarely participate in group activities. which they are concerned will remain of interest. The agency should do as much as it can to make everyone Another strategy is to discuss some of the shorter-term feel comfortable in the participation process. issues that interest the average citizen together with the The agency should continue to invite participation longer-range "big" questions; those who come to talk about throughout the course of studies. Not all persons will be- present problems will find out about the long-range prob- come aware of the agency's studies at the very beginning, lems as well, and how these may relate to their present no matter what level of effort the agency expends on pub- concerns. licizing the initiation of the study process. Also, many There also should be substantial public involvement in groups of individuals may develop an interest in the study programming decisions. Decisions on the programming of as issues of importance to them emerge. The agency there- projects for implementation or for further planning have fore should devote continuing efforts to expanding the pub- a substantial effect on each project. Therefore, those con- lic's knowledge of participation opportunities. It is danger- cerned about each project are likely to have a stake in ous to rely totally on those who first expressed an interest programming decisions. 29 Programming, as is discussed in Chapter Four, section come impatient in trying situations. But if people feel they on "Interrelation of System and Project Planning," pro- are being belittled, ignored as "too ignorant" of transpor- vides the most general link between system and project tation issues, or treated as adversaries, it will be impos- planning, and involvement of the public in programming sible to develop the good working relationships necessary can enable them to better understand the linkages between for effective community interaction. Staff members who long-term and short-term issues. In fact, programming undertake community interaction must have sufficient self- decisions can be one type of shorter-term issue to stimulate confidence to operate effectively in a sometimes threaten- interest in system-level planning. ing environment. 5. The agency should attempt to reach agreement with 8. The agency should establish an explicit communica- participants on a variety of topics, but should recognize that tions strategy. Study activities, including community inter- it may be necessary to reconsider decisions. Agency staff action activities, should be carefully documented; other- can seek agreement on what matters should be investigated wise much information may be lost. The staff should in the study; on what community interaction activities prepare periodic summaries for the decision-makers and should be undertaken; on interim decisions such as what for general circulation, describing what decisions have been transportation alternatives should be given further atten- made so far and the current schedule for further studies tion; and on a final choice. But because it is impossible and decisions. to guarantee that everyone with a stake in those decisions Most basic data and internal documents should be avail- will be involved at a particular point in time or that condi- able to those who wish to see them. For example, draft tions will not change, the agency should maintain the flexi- working documents should be available for review, and bility to respond to new participants and to new facts and comments should be sought from the public. There are issues that may emerge. some exceptions; for example, information given to and Although it certainly would be easier if all decisions could received by the agency in confidence must be kept confi- be maintained and although it is confusing to have "system dential. Similarly, information that is the result of judg- planning issues" brought up during design discussions, such ments about people rather than about issues (e.g., impres- things will happen. It is not unusual for there to be a sions of the strength of a group's commitment to a par- sizeable delay between the initial planning and the con- ticular stand or whether or not two groups might be will- struction stages of major projects. People move, and other ing to negotiate a compromise on their respective points of people's attitudes and circumstances change. Even if every- view) should not be made public. But unless there is a one who would be potentially affected by early decisions compelling reason to keep certain information for internal were involved at that stage, there is nothing to guarantee use only, an "open files" policy should be established. that those decisions would be viable years later. No com- 9. Every agency office involved in transportation de- munity interaction program can guarantee the viability of cisions should engage in community interaction. Planners previous decisions. No matter how much effort is devoted and decision-makers need to have direct contact with the to early citizen participation, the decisions reached must be public. A public information office (or individuals trained viewed as changeable. in public relations) can be useful in performing functions 6. Interaction should be structured around matters over such as maintaining mailing lists, publicizing meetings, and which the agency has jurisdiction, but other issues should directing inquiries to the proper office. But a major purpose be handled considerately. Throughout the planning proc- of community interaction is to help guide technical studies ess, the agency should point out what it legally can do and and to provide information needed by decision-makers. what things are outside its jurisdiction. However, people still may bring up issues not clearly connected with the There is a danger that an information office can act as a study or even with the agency. filter if it has complete or even primary responsibility for The 'agency should be as responsive as possible to such interaction to the exclusion of other technical staff units. concerns. In some instances, the agency may find that 10. Participation mechanisms should ensure that mi- issues that seem irrelevant at first glance can indeed be nority rights are safeguarded. Particular care should be addressed in its planning efforts, although their integration taken to protect minority interests through the participa- may require imaginative and resourceful thought. In other tion of appropriate levels of government, interest groups, instances, the agency should try to direct the concerned and agency personnel. Local governments may be able to citizen or group to the proper authorities or even to assist prevent the state from causing negative impacts to some in bringing the issue to the attention of those with jurisdic- groups through refusal to agree to projects in their juris- tion over it. dictions. State and federal review procedures can also be 7. Agency staff should work to establish positive per- used to monitor whether all residents are being treated sonal relationships with participants. Staff members must fairly, by allowing comments to be circulated to those who be skillful listeners and good at bringing out issues with- potentially may be treated inequitably. Some groups- out creating personal antagonisms. They must be careful the elderly, handicapped, etc.-may not be well repre- to avoid "putting people down," intentionally or uninten- sented at the local level or within a particular project con- tionally, in the way they present information, respond to text, but may conceivably be able to bring influence to bear questions, or structure the interaction process. at the state or federal levels, where it is possible for them It is often difficult not to answer with anger or to be- to lobby more effectively for programs to meet their needs. 30 Initiating a Community Interaction Program different types of potentially affected interests who might Setting up a program of interaction activities, as defined be contacted are given in the later section on "Identification earlier in the introduction to this chapter, involves decisions of Impacts and Affected Interests." An information meet- affecting such things as which information gathering, dis- ing or a contact point within the agency should be offered tribution, and interaction techniques to use; when these for those individuals or groups who wish to become in- techniques should be employed; and the assignment of volved or express an opinion. responsibility for conducting the various activities. A key 4. Structure participation by offering the level of involve- to success lies in early identification of who wishes to par- ment desired by officials, private interest groups, and indi- ticipate and how, and in early agreement with participants viduals, as follows: on participation activities. Future emphasis is then placed (a) Identify those who want to participate regularly or on updating that agreement. periodically in the study and try to reach agreement Although there are many sequences of steps which would with them on a format and structure for their par- allow agency staff to initiate a successful community inter- ticipation. For instance, all might desire periodic action program, the steps employed should at least include small meetings, or they might want to constitute an the following: informal advisory group to review things together. They also may want to receive periodic written 1. Contact local elected officials and their principal stafl. communication. Explain the agency's procedures as they might apply to the Here the differences between very major and mi- proposed study, and ask for their views on (a) the scope nor studies are likely to become most apparent. and timing of the study, (b) their own participation, Large numbers of people probably will not seek (c) what other public or private groups would be affected regular meetings or a regular newsletter oriented to by or interested in the study. It is desirable to meet with a minor upgrading project, whereas they might de- local officials individually or in company with their staffs sire such mechanisms for a study involving major to assure that there will be sufficient time for each person capital expenditures. The variations in standard pro- to present his or her views and make suggestions. However, cedures (such as may be defined in a state's Action if there are no other pressing items on an agenda, many Plan) for an individual study should be agreed upon officials also could be contacted at a regular forum that cooperatively, so participants will know that the brings together such officials and their representatives. In agency is operating legitimately. urban areas, this could be the policy committee for the For very large studies, many groups or individ- 3-C transportation planning process, or other areawide or uals, though interested, may not be able to partici- regional policy groups. pate regularly but may wish to rely on someone else Where minor studies are contemplated, initial contact who shares their viewpoint to express that viewpoint might be made by mail, and a subsequent meeting might during the study. They may therefore choose others be offered. It is likely that for such projects local officials as informal representatives for them, though this would delegate the handling of all communication on the does not imply that such representatives should project to their staffs. make commitments for those who rely on them to In all initial meetings or initial mailings to officials (as express viewpoint. well as to others), the agency should lay out clearly and For smaller projects it is more likely that every- concisely the things it can and cannot do under its legal one who wishes to be involved will simply do so. authority and the existence of other statutes or regulations (b) Identify those who want to receive drafts of study that may effectively constrain agency actions. For exam- materials and those who want to be notified of ple, some alternative locations may be prohibited by special meetings. state laws. Such communications should be careful to dis- (c) Identify those who prefer less intensive involvement, tingiush the requirements of law from administrative regu- such as periodically receiving brief study summaries lations and decisions. Many problems and issues may be or announcements of major decision points so that outside the scope of the agency's ability to resolve, and they know of their opportunity to be heard even if future misunderstanding can be avoided if the agency can they do not utilize it. educate others as to the constraints on its actions. Of (d) If the project is major or has system-wide implica- course, as part of the study efforts, those agency, 6fficial, tions, offer opportunities for participants to become and interested group participants involved may decide to aware of the system implications of choices for the work together to attempt to change these constraints. project. If desired, meetings would be held to bring 2. Contact private interest groups, civic associations, and together participants in the project study and those media representatives known to the agency's staff or sug- in all other studies with which it is interdependent. gested by others. This also should be done individually to If the outcome of the study may have important the extent possible. Ask their opinions on (a) scope and implications for regional or statewide programming timing of the proposed study, (b) their preferences for decisions, those concerned with programming should involvement, and (c) who else should be contacted. also be kept aware of study activities. 3. Use mailing lists and other available public and pri- 5. Negotiate agreement on the course of studies. For vate media to notify the more general public of the pro- most small projects, it is likely that all parties will quickly posed studies and to invite their participation. Examples of agree on the agency's standard study procedures for such 31 projects, as detailed in the state's Action Plan and this step would take virtually no time. For large or special projects, however, the design of the study may involve some degree PETOSKY of effort on the part of the agency and the interested offi- CHARLEVOI cials and citizens. Although the basic framework for stud- ies may be provided in an agency's Action Plan, a study design phase would outline the specifics relevant to this 0 project such that all parties would understand what specific study procedures would be used and what level of effort would be expended. Methods of developing study designs LEL.1. qv. BELLA RE and work programs are described in more detail in Chap- ter Four, in the section on "Process Management." ELK RAPIDS Case Studies 131 TRAVERSE CITY Af This section examines community interaction activities in R,1EP K LKASA four transportation studies. The studies took place in very COD different social and environmental settings and dealt with FRANKFORT BEULAH different transportation planning stages, as follows: Northwest Michigan: regional transportation plan- ning. MANT N Atlanta, Ga.: study design in large metropolitan area. Boston, Mass.: urban transportation planning. MANISTE CADILLA Maine: project studies in rural conditions. The discussion is not intended to be comprehensive or to F_ analyze the studies in depth, but to illustrate the variety of techniques used, the dynamics of community interaction, LUDINGTON and the timing and interrelation of techniques used within a single study. The purpose simply is to demonstrate how different "programs" of techniques are appropriate in dif- ferent contexts. Other important aspects, such as bow Figure 1. Northwest Michigan Regional Transportation Study, community interaction actually influences the course of Routes 311131. technical studies and contributes information to the de- cision-making process, are illustrated as succeeding parts of this chapter and of Chapter Four. The Northwest Michigan and the Atlanta, Ga., studies, The Michigan Department of State Highways and Trans- because they served in part as field applications of this portation is highly centralized, with the district offices per- research, are described in more detail than are the Boston forming only maintenance functions, The distance to the and the Maine examples. Subsequent discussions include study area from the central office in Lansing ranges from numerous references to the Michigan and Georgia experi- 100 to 225 miles; visits to the area are viewed as major ences; the background information provided here serves as expeditions. The problem was how, from its Lansing head- the basis for these additional examples. quarters, to involve a population dispersed over a large area 1. Northwest Michigan in a long-range system planning study. Prior to the initiation of major technical activities, public The Northwest portion of Michigan's lower peninsula is meetings were held in May 1972 in each of the region's basically rural, with several small urban growth centers four major growth centers in order to introduce the study. (Fig. I). It is a major tourist and vacation area, primarily Brochures describing the study, some preliminary traffic due to its proximity to Lake Michigan and the many lakes analyses, and questionnaires were made available at these of its glacial topography. The region has a total population sessions. The questionnaire also was printed in some news- of 158,000 but attracts people from Michigan, Illinois, papers. Publicity for the meetings was provided by a press Ohio, Indiana and beyond for boating, swimming, fishing, release. The objectives of the meetings were to inform the hiking, camping, hunting, and skiing. Much of the land is public of the study and of the planning process, and to learn state-owned. The study area itself is about 75 miles east- about the public's concerns. west and 100 miles north-south. A second round of meetings was held in the same four The transportation study was initiated in 1972 with cities in August 1972 to further increase the public's aware- proposals to upgrade U.S. Routes 31 and 131. These roads ness of the study and to help insure continuity of contact. currently are two-lane, north-south arterials, one near the In anticipation of the meetings, material was mailed to western coast and the other through the center of the 840 organizations in the region. The material included a region. South of the study region, the routes have already revised questionnaire, an invitation to the meetings, and a been upgraded to four-lane limited-access facilities. slip to be returned if further information or questionnaires 32 were desired. Press releases were accompanied by cover time between I and 4 Pm and between 7 and 9 Pm, most letters, and in some cases were followed up by telephone came at I or 7 Pm. Furthermore, most seemed to expect calls. Fifty posters were placed throughout the region in a presentation by the agency. The informal, drop-in na- high-visibility spots such as store windows or bulletin ture of the August meetings was not well publicized. The boards. The May brochures were redistributed at the fact that many persons expected a speech is no reason to August meetings. consider the informal format unsuccessful. Following the August meetings county and local gov- The Michigan Department of State Highways and Trans- ernmental officials were interviewed. The interviews were portation plans to combine the formal and informal for- later extended to informal leaders-those persons active in mats in the next series of meetings. The meetings will open the community but not holding official positions. with a formal presentation lasting 30 to 45 minutes. A half The media were also used to gather information. The hour or so will be allotted for questions. The meetings then last two years of all major regional newspapers were will break into subgroups similar to those used in the scanned to gather information on what issues were of informal meetings. concern to persons in the region and to identify potential In this way, it is hoped that the advantages of both the spokespersons. A survey of industrial users was conducted formal and informal situations can be retained. Questions in conjunction with the regional planning agency to help of general interest can be answered once rather than several determine the implications of a threatened discontinuance times, leaving more time available for other matters. Also, of rail freight service in the region and to investigate how remarks made by some may spark thoughts for others. these firms were presently using these rail lines and other transportation modes. 2. Atlanta, Georgia No formal citizen advisory committees were used, al- though agency personnel attended meetings held by the Atlanta is representative of a number of U.S. cities under transportation advisory committee of the Northwest Michi- two frequently conflicting pressures-continued economic gan Economic Development District and Regional Planning growth and environmental and social sensitivity. Atlanta is Commission. commonly recognized as the business capital of the South- Public meetings served as the core of the Michigan inter- east. In recent years, it has both approved construction of action program, and were begun at the initiation of the a new transit system with rail and busway components and project in order that the public be involved from the outset. delayed construction of new freeways planned for its East- Considerable experimentation was performed with the for- side district. mat of these meetings, and it is useful to examine this The Atlanta Area Transportation Study Report published experience as it proved to be rather typical. in 1971 recommended a freeway in the Westside area of The May 1972 meetings were formal and were held on Atlanta connecting the 1-75, 1-85 interchange at Brookwood weekday evenings. One staff member gave a formal pre- Station north of the CBD with 1-85 near Hartsfield Inter- sentation with slides, followed by a general question-and- national Airport southwest of downtown Atlanta (Fig. 2). answer session. This staff member also answered the ques@ The principal "need" for this freeway was to relieve longer- tions from the audience, although other personnel were distance through trips on the combined 1-75, 1-85 connec- available if needed. tor through downtown Atlanta and the planned 1-485 and The meetings in August were more informal. Instead of to provide for central area access from the north, northeast, a speech and slide show, several staff members were spread and northwest sectors of the region. In May 1972 a con- around a large room with visual aids such as maps and sultant reported on a limited traffic service analysis of the posters. It was intended that the citizen would walk around Westside area and recommended as the most desirable of and get involved with the agency personnel on a one-to-one four alternatives from a traffic service standpoint a freeway basis. In this way, persons too shy to comment in front of in the outer portion of the corridor and a new distributor large groups could talk in more comfortable surroundings. close in near Northside Drive. The outer freeway would In addition, the time of others would not be spent listening carry the longer-distance trips and the distributor would to matters of limited or personal concern. serve central area access and circulation. As persons left the August meetings, they were inter- The Westside houses the majority of Atlanta's black viewed on their reaction to the format. Although most population, contains several major black universities, and appreciated the more informal atmosphere, some indicated has a number of lower-income and industrial neighbor- that they felt lost as they walked into the meetings and hoods. The Georgia Department of Transportation rec- found many people standing around a room. This feeling ognized that the introduction of any major transportation of aimlessness was attacked in two ways for the last two improvements in this area could have enormous social, August meetings: (1) an orientation sheet was available at economic, and environmental effects and potentially could the entrance to explain the meeting format, and (2) sign become as controversial as the proposed Eastside im- posts were erected near the scattered personnel to identify provements. their expertise (planning, traffic, environment, route loca- In undertaking the new Westside studies, the Georgia tion, right-of-way, and regional). In addition, team mem- DOT decided to work cooperatively with Atlanta Univer- bers not engaged in discussions were alerted to help orient sity, a black university located in the corridor of the pro- persons as they came in. posed freeway, in conducting an open, participatory study Although the intent was that persons could drop in at any design. The objective of the study design was to develop 33 a preliminary statement of the major issues facing the area ducted by GDOT and other cooperating institutions and and to determine the scope and requirements of a West- agencies. side transportation evaluation study to be subsequently con- The study design process was initiated with letters sent by FULTON- eO t 413 19 G3 23 M AR ETTA 85 DOBBINS 75 285 AIR FO E BASE DE KALB PEACHTREE 29 1MYRNA % AIRPOR co Cb4;S -1, z I I I : 85 75 STONE MT TOLLW 78 MEM. PARK _!Y G DECATUR 7, WEST SIDE 278 FREEWAY LAKEWOOD F wAy 285 EAST POINT LE DE KALB CO ATLANTA -WE7 y @61_LFG c - - - - - - Nk C6 PA K IRPOR r4, -FOREST PARK co %o a 29 0 2 3 85 MILES 75 LEGEND'. WEST SIDE FREEWAY CORRIDORS EXISTING FREEWAYS PROPOSED FREEWAYS AND TOLLWAYS zc Figure 2. Atlanta (Ga.) Westside Transportation Evaluation Study. 34 the Georgia Department of Transportation to the mayors papers, but the Constitution-Journal ran no articles based of Atlanta, College Park, East Point; to county commis- on the press releases. Because the team could not obtain sioners, city aldermen, state and local representatives; and news coverage in the major papers, Georgia DOT paid for to the heads of the Atlanta Regional Commission (ARC), advertisements to announce the public meetings. These ads Metropolitan Atlanta Rapid Transit Authority (MARTA), usually were run for several days prior to each meeting. and Atlanta Model Cities Agency, inviting them to partici- In addition to the newspaper articles, other techniques pate in a formal study design team. The study design team used to inform the general public about the large meetings was charged with completing their task in five months. Be- included flyers passed out at local shopping centers and on cause of budget and staffing constraints, it was decided that MARTA buses, team members appearing on a television the focus of the citizen participation program would be a news program, team members appearing on a Westside- series of large public meetings to be held at a central loca- oriented radio talk show, announcements on other popular tion in the project corridor. A second meeting site was metropolitan radio stations, and placement of signs at stra- added later when it became apparent that some corridor tegic locations near meeting sites. Another check on at- residents were reluctant to come to the principal site. Meet- tendance of the 100 invited interest groups was provided ings were held biweekly, and smaller spin-off meetings with by telephoning them just prior to the first meeting. Attend- individual interest groups were encouraged. ance lists were kept for each meeting. The study design community interaction activities were To facilitate a two-way flow of information, much effort loosely guided by the following set of objectives: was expended to prevent the atmosphere of the public meet- (a) Legitimize a new planning process in which the ings from taking on the formality of a traditional public public could be actively involved, if they chose to be. hearing. The meetings were held in a high school cafeteria (b) Gather information useful in writing a study rather than the auditorium so that more flexible seating design. arrangements could be obtained, and so that the study (c) Inform the public about prior transportation de- design team members and the public would not be rigidly cisions, agency responsibilities, and mechanisms by which separated. citizens could help develop the study design. The meeting format usually consisted of presentations by members of the study design team, after which the floor was To obtain public participation in the meetings, the opened to a general question-and-answer session. Several study design team compiled a list of 100 local and regional microphones were placed throughout the room so that interest groups, which were sent letters informing them of people could be heard easily. At some of the later meet- the Study design and inviting them to attend the first sched- ings the staff presentations were brief and the attendees uled public meeting. These groups ranged from Westside then divided into smaller groups to discuss particular issues area neighborhood associations and business interests to the related to the study. These groups then reported their con- Georgia Conservancy. They included both pro-freeway clusions to the whole group after a specified time period. groups such as the Chamber of Commerce and Central At- To encourage substantive discussion, "working papers" on lanta Progress and avowed freeway fighters like the Atlanta each study design topic were made available to the public Coalition on the Transportation Crisis. There also were at least one meeting prior to their discussion. All large many nonaffiliated citizens, groups of elderly residents, and public meetings were recorded by a court reporter, and the other groups not in the pro or con camps. record was made available to anyone who wanted a copy. The letters inviting participation included a map of the The study design team encouraged local neighborhood study corridor, a stamped return postcard, and an informa- groups to invite team members to make presentations at tion brief. The postcard was included to determine how group meetings. A number of such small meetings also many of those invited would attend and whether there were were held with local planners and developers doing work any additional participants who might come. Approxi- that might affect the study. mately 21 percent of the postcards were mailed back. The Team members were always available to the public information brief contained background data on the earlier through a central phone number. Whenever team members Atlanta Area Transportation Study (AATS) and post- took calls from the public, they filled out a citizen response AATS technical work completed prior to September 1972; form. These forms contained: date; name, address, and brief discussions of the distinction between the study design telephone number of the person calling: subject of call and the actual study; the basic philosophy underlying the (environmental, economic, social, transportation, non- planning process; and discussion of the requirements set transportation, esthetics); put on mailing list (yes/no); down by FHWA PPM 90-4, the Process Guidelines. response to the call by the team member (e.g., "mailed A press release announcing the study design process was information brief to John Smith on March 17, 1973"); sent to the Atlanta Constitution-Journal and several small and the signature of the team member handling the call. neighborhood papers on the same day that letters were re- A draft document was completed in April 1973, and ceived by the 100 interest groups. The press release was subjected to extensive review by state officials and by com- developed by the Georgia DOT Public Information Office munity residents (112). The study design discussions raised and was approved by the study design team. A second several issues, many of which were never completely re- press release announcing the time and location of the first solved. Chief among these was the clarification of roles to public meeting was sent out nine days later (a week prior be played by Georgia DOT, the Atlanta Regional Commis- to the meeting). Articles appeared in several neighborhood sion, and the City of Atlanta. Other key issues were the 35 relationship between a Westside Freeway and regional de- Although the entire planning process was open to the velopment, and the degree to which nontransportation is- public, an intensive core group called the Working Com- sues should be addressed in the study. Eventually it was mittee was established to provide a forum for continuing decided not to undertake further technical studies in the intensive citizen and agency input. The membership of the Westside until a region-wide plan update, already under Working Committee was fairly representative of the kinds way by ARC, could be completed. This decision was based of major groups concerned with transportation in the re- in large part on the wide range of transportation solutions gion. There were representatives of local governments, that the community requested to be studied. Additional principal state agencies, and private interests, including a results of the participatory Atlanta study design are dis- highway builder's association and an anti-highway coalition cussed as part of the sections on "Process Management," of neighborhood groups. Committee membership, how- and "Institutional Arrangements and Decision-Making," ever, was open and the study director expanded the com- Chapter Four. mittee at the suggestion of members who felt that certain interests were not represented sufficiently. Meetings of the 3. Boston, Massachusetts Working Committee were held each week and were chaired by the BTPR study director. The meetings were open to The recently completed Boston Transportation Planning the press and the public, though they were not advertised Review (BT`PR) represents probably the largest and most extensively; about 35 persons regularly attended. comprehensive attempt at an open, area-wide participatory An intensive period of open community meetings oc- planning process. The 18-month, $3.5 million study cov- curred during Phase I with the purpose of getting all the ered the entire Boston metropolitan area and concerned issues out on the table. Participants were asked to speak both highway and transit modes. Because the BTPR has of transportation problems and possible solutions with no been extensively analyzed elsewhere (62, 109, 119, 125, thought given to cost. Although cost obviously would be- 140), this example focuses only on definition of the variety come a limiting factor, the staff wanted to encourage free of community interaction techniques employed. Gaken- thinking about solutions. heimer (109) and Sloan (140), in particular, provide in- All staff members of the BTPR interacted with the pub- depth analyses of the results of the participation activity. lic to varying degrees, although the demands of technical The restudy was initiated in January 1970 after years of work and the tight time schedules did increase the need for controversy, when the Governor of Massachusetts made a some structuring of citizen input. It was estimated by one decision on the basis of a citizens' task force report to re- BTPR staff member that the top five or six professionals study transportation in the Boston area. This decision was on the staff spent half their time in contact with the public followed by establishment of a steering committee to design or in preparation for such contact. the study. The committee included representatives of state Some BTPR staff members were devoted full time to agencies, local cities and towns, and environmental groups, community interaction. The participants in the Study De- business interests, and neighborhood-oriented groups. The sign negotiated an agreement with federal and state agen- groups participating in the study design reached a general cies to commit 10 percent of the total $3.5 million budget consensus on the scope of the study with the objective be- to the establishment of a special study element and asso- ing to reassess three Interstate Highway projects and deter- ciated staff concerned with Community Liaison and Tech- mine the directions for Boston transportation policy in the nical Assistance (CUTA). CUTA members were re- decades ahead. When the study began the populace was cruited locally and reported directly to the state-appointed already strongly polarized, with groups firmly committed Project Director, not to the consultant manager. In this to pro- and anti-highway positions. The Planning Review way the CUTA staff was less influenced by loyalty to was supposed to clarify the various issues of choice so that technical products, or by the needs of consulting firms. the Governor could evaluate the available short-term op- For community liaison, the CUTA staff attempted to get tions and decide on a course of action. persons involved in the process, set up meetings with tech- Staff to perform the study was selected cooperatively. A nical staff, and listened to complaints and suggestions. 15-member review committee made up of representatives Technical assistance included surveys to study special mo- from state agencies, local governments, and private groups bility needs, assistance to communities or groups in their read proposals from the 15 firms interested in the prime applications for funding, and translation of community contract and reached virtual unanimity on the selection of needs into transportation proposals. the prime consulting firm and project manager. The BTPR tried to have as open a process as possible, The BTPR was scheduled to last from July 1971 to including open meetings, public availability of technical January 1973 and was divided into three phases, with each documents, and early release of memoranda and draft re- phase ending with decisions on which alternatives should be ports. Community interaction techniques used extensively dropped and which kept for more detailed study. Phase 1, included: which ended in November 1971, considered any and all Public Information proposals in a sketch planning fashion. Those alternatives Press releases deemed preliminarily acceptable were subjected to more Press conferences detailed analysis during Phase 11, the next 8 months of Television study. Phase III was a design and evaluation period for Newspaper features the remaining alternatives. Legal notices 36 Mailing list EVALUATION AND REPORTING Newsletter Month-in-review Introduction Interim and final reports Evaluation, narrowly defined, is the task of appraising al- Technical memos ternative transportation plans to ascertain their acceptability Review of drafts and to develop a recommendation for a decision. In recent Graphic displays years, evaluation moved from the field of "judgment" to a Meetings seemingly more rational, objective basis with the use of Working committee "benefit/cost analysis" and similar economic criteria. To- Subregional working committees day, however, in the context of the wide range of social and Regional meetings environmental effects to be considered and the diverse views Public hearings of different groups as to the values to be applied, it can be Neighborhood meetings misleading if not dangerous to use solely economic methods Informal working sessions for evaluation. Briefings for elected officials A broader, more subtle approach to evaluation of trans- and agency staff port plans and projects is required. Such an approach is Surveys described and demonstrated in this section. Scientific sample Questionnaire distribution (no controlled sample) Evaluation as a Basis for Decision-Making 4. Maine Evaluation can be broadly defined as the process of pe- riodically appraising the alternative transportation program Community interaction is sometimes associated only with packages to ascertain their acceptability, desirability, and the construction of new freeways in urban areas, or with feasibility; to identify issues that have arisen; and to deter- cases involving significant opposition. But substantial com- mine future tasks for the planning staff. munity interaction has proven to be useful in planning rural To be effective, evaluation must be clearly and directly projects and in situations where there is a virtual consensus related to decision-making. The planning and design of for improved highway facilities. The Maine Department of transportation facilities and services can be characterized as Transportation has been successfully employing a com- a process that gathers certain data, makes decisions based munity interaction program based on the use of informal on those data, and communicates those decisions to the "informational" meetings (71). The typical Maine project audience presumably affected by the decisions. Typically, is represented by the rebuilding of a few miles of two-lane key decisions are made throughout the course of studies. road in a rural area. Populations are measured in the Decisions are made to collect certain data but not others, hundreds, not hundreds of thousands. Displacements are to develop particular alternatives but not others, to inter- correspondingly small in number if they occur at all. act in certain ways with groups or individuals, to ask cer- A study is initiated by mailing of an announcement and tain questions, and so on. Some of the most important questionnaire to all residents and businesses located within decisions concern actions that are not to be undertaken. the corridor of study. The announcement describes the pur- The manner in which these decisions are made and com- pose of studies and the field survey procedures to be fol- municated has significant effects on those people affected by lowed. The questionnaire (see Fig. 13) requests inforrna- them. Documentation of the bases for decisions is impor- tion on historic sites, environmental areas, cemeteries, or tant to internal staff as welt as to other agencies, officials, other similar features that may be of particular significance. and the public. There are many instances of opposition to This information is intended as both a check on and a agency proposals made at public hearings or other meetings supplement to that obtained through the formal A-95 when it is perceived that the real decisions have already clearinghouse review. been made. Also, many significant decisions have been informational meetings are held in parallel with techni- made in the past without explicit documentation of their cal design studies so that interaction can be oriented to help- basis. As time passes or personnel leave the organization ing to identify the effects of existing alternatives and to the rationale for many decisions leaves with them. This suggest potentially new alternatives. These meetings are situation should be considered unsatisfactory by agencies open to the public, with municipal officers and property that may find themselves being asked questions about past owners meeting together. Informal records are kept of decisions by the public or the courts and lack the docu- these meetings. mentation with which to respond. A formal public hearing is held only after the agency has The output of evaluation depends on what stage a study been able to "talk the thing through" with all interests and is in. Early in project or system studies the output might be a clear definition of what kinds of alternatives are to has achieved as much agreement as possible. The objec- be considered, what impacts are especially important, and tive of the hearing is to make sure, finally, that the public which interest groups desire to be involved. Later, as alter- knows what the Department has done and is going to do, natives are more clearly defined, emphasis shifts to docu- and that agreement on the course of action to be followed menting key impacts, and the preferences and potential has in fact been reached. acceptability of each alternative to various interest groups. 37 As important decisions are made about which alternatives social, economic, and environmental impacts will almost should be dropped, these decisions and the reasons behind always have a high level of uncertainty associated with their them should be carefully documented and reported to the estimate, especially during system planning stages when public and relevant agencies. alternative projects are insufficiently specified to permit One evaluation report is the Environmental Impact State- complete impact analyses. Even quantitative data, such as ment, or equivalent, which would draw on previous evalua- traffic demand data, are inherently uncertain. Uncertainty tion efforts so as to document the entire process to that should be explicitly documented and recognized by point. Other kinds of evaluation reports are generally pre- evaluation. pared in connection with other major planning or project 5. Recognize that diflerent interests place diflerent rela- decision points; for example, a state or regional transporta- tive values on diflerent objectives and impacts. Just as im- tion plan should be accompanied by an evaluation report pact information should remain in as disaggregated a form identifying the distribution of positive and adverse im- as possible to indicate the manner in which various inter- pacts, describing the issues of choice, and examining alter- ests may be beneficially and adversely affected, value-related natives to the proposed plan. It should be emphasized, how- information should also remain disaggregated. Different in- ever, that the output of evaluation is not necessarily vo- terests will have different preferences and these cannot be luminous mounds of paper. Memos, brief reports, oral realistically combined. Further, an interest's values, or briefings, slides, maps, and graphs are all legitimate mecha- preferences, cannot be determined in the abstract, but are nisms of communication. The goal of evaluation should be relative to specific and meaningful actual choices. to convey the important information necessary to assist 6. Guide a process by periodically setting priorities for those responsible for making decisions, in as brief a space future stafl work. Evaluation should not be performed just as possible. at major decision points. Evaluation should serve as an The audience for an evaluation report will include plan- important management function to define priorities for ning staff, elected officials, other agencies, the general pub- future community interaction, impact prediction, and de- lic, and other transportation agency staff not participating velopment of alternatives . By setting up a process of in the particular project being discussed. Some information periodic systematic review, staff are better able to respond will be sent to all of these people; some will be of interest to the issues identified and modify the alternatives being to fewer persons. The periodic application of evaluation is studied. Staff can concentrate their efforts on the minimiza- emphasized as a means for coordinating various work ac- tion or elimination of potentially adverse effects and on the tivities and stimulating active citizen participation through- further development of those alternatives identified as being out the planning process. potentially acceptable to the public; they are less apt to expend valuable resources in activities of marginal value. Requirements 7. Be clearly related to the decision-making process. The evaluation and reporting process is intended both as an Major decision points should be publicized well in advance internal management aid and as a systematic means of pro- of their occurrence, and the public should be informed viding timely and comprehensive information to decision- about who the. actual decision-makers are. Because agency makers, local, state, and federal agencies and officials, and staff are often the principal source of information to decision-makers, it is important that their reports (includ- the public. To do this effectively, evaluation and reporting ing drafts) be available for public scrutiny, written in lan- should: guage understandable to the public, related to the real issues 1. Indicate the diflerential incidence of impacts resulting of choice, and that the public have access to decision- from different alternatives. Reports must document in a makers prior to the time when decisions must be made. disaggregate form who will receive the benefits and who will 8. Document decisions made, and the issues considered. bear the costs of implementing change in the supply of The public as well as the courts are increasingly asking for transportation facilities and service. Information on the information about the basis for decisions. By periodically gainers and losers from proposals must then be communi- evaluating the issues that arise, the agency staff compiles cated to the relevant decision-makers and the public. a history of the planning and design process as it occurs. 2. Highlight the tradeofls among alternatives. Decision- Moreover, the environmental impact statement required by makers and private citizens alike must be informed on the federal law becomes a natural by-product of the planning issues of choice. It must be clear to all concerned which process. Planners and decision-makers can be more sensi- attributes of one alternative must be traded off against tive to the desires of the public through frequent attempts attributes of other alternatives. to analyze and resolve the issues associated with a project, 3. Operate on qualitative, as well as quantitative, infor- and the conveyance of this information to the affected pub- mation. Many of the impacts of transportation facilities are lic. Also, because many important decisions are made on qualitative in nature and cannot readily be represented by a day-to-day basis by Iow- and middle-level agency staff, a number. Attempts to reduce all impacts to numerical and some of these decisions may have as great an effect on analysis tend to hide the real issues with which decision- a project's outcome as high-level decisions, documentation makers must wrestle. of the reasons for decisions should be done when those 4. Treat uncertain and incomplete information. Many decisions are made. 38 Approach to Evaluation tion and grouping of interests are described in the earlier section on "Community Interaction" and the Input to Evaluation later one on "Identification of Impacts and Affected The evaluation process operates on the information gath- Interests." ered through community interaction, the data produced (b) Review the impact information. How does each during impact prediction, and the alternative program pack- action affect that interest? If negatively affected, ageS Linder consideration, in an effort to distill out the issues are reasonable compensatory measures included in and assess the desirability of each proposed action. This the action? information may be categorized as information about ac- (c) Review the expressed opinions, goals, and prefer- tions, information about values, and information about ences for that interest, and the results of (b). What what is not known, but should be known. The information is the opinion expressed by the interest toward each about actions is summarized in terms of impacts on groups action? Why? Is there uncertainty about the in- or individuals. Information about values is represented by terest's attitude toward an action? What kinds of the manifest preferences that have been expressed by interaction with that interest would help to clarify various people. their expressions of preferences? Can a ranking of alternatives by the interest be determined? Are there The Evaluation Method modifications of any action that would make it more acceptable to the interest? Are there any other ac- The following evaluation method, as is demonstrated in the tions that the individual or group has proposed for succeeding examples, need not be followed in strict se- consideration or might be likely to propose? quence, as it is more likely that the analyst will end up (d) Review the impact data and their uncertainty. Are emphasizing different activities at different stages of the there impacts for which the interest wants more, or planning process. The method consists of four activities more accurate, information? Are there impacts not (Fig. 3): yet predicted that are considered to be important by Activity 1. View the Issues from the Perspective of Each the interest? Identified Affected Interest.-The thrust of this step is to Activity II. View the Issues from the Perspective of Each view the consequences of proposed alternatives as they Action.- affect particular groups and individuals, and as those groups (a) Examine each proposed action, in turn, and go perceive them. through the following steps (b)-(e) for that action. (a) Examine each identified aflected interest, one by one. (b) Issues of community concern. How does the pro- Select each interest in turn and go through the fol- posed action respond to people's concerns? To trans- lowing steps (b) - (d). Procedures for the identifica- portation issues? To related issues? How can the action be changed to make it more responsive to such concerns? Do other agencies or governmental bodies have jurisdiction over some issues being raised? (c) Issues of feasibility. Is the action feasible techni- cally? Legally? Financially? If not, what could be ORGANIZE BASIC DATA AND REVIEW done to make it feasible? -1 (d) Issues of equity. Who would receive benefits from ACTIVITY I this action relative to the do-nothing alternative? VIEW ISSUES FROM PERSPECTIVE Who would receive adverse effects that cannot be OF EACH AFFECTED INTEREST. adequately compensated? (e) Issues of potential acceptability. * Which interests would be likely to support this ACTIVITY 31 action? To oppose it? VIEW ISSUES FROM PERSPECTIVE 0 For whom is there uncertainty as to their likely OF EACH ACTION. attitudes? Why? 0 Would additional information on this action's I ACTIVITY X effects be useful? Whicheffects? Whatarethe VIEW ISSUES FROM PERSPECTIVE relative priorities for impact prediction? [OF PROCESS AS A WHOLE. 0 Would additional information on anyone's pref- erences be useful? Whose? What are the rela- tive priorities for community interaction? ACTIVITY 0 Would some modification(s) of the action in- PREPAPE SUMMARY "EVALUATION crease its desirability? REPORT." 0 What modifications? What are the relative pri- orities for development of alternatives? _J (f) Summarize the major assets and liabilities of this Figure 3. Basic activities of the evaluation method. action. 39 Activity III. View the Issues from the Perspective of the quirement is to insure that the federal agency fully informs Process as a Whole.-To gain further insights, all the ac- others of the potential consequences of its proposed actions. tions are considered together, in a search for "patterns" or To inform people, an impact statement should be brief and relationships extending across several, many, or all actions readable, and people should not have to wade through and/or interests. hundreds or even thousands of pages to elicit the informa- (a) Review the results of the preceding steps. tion of interest to them. But, second, the EIS must be (b) Is there any action(s) for which the disadvantages thorough and represent a complete analysis. For many are sufficiently great that it should be removed from large projects, this implies a length of several hundred further active consideration? pages. (c) Issues of community acceptance. Are there different One way out of this dilemma may be to have one part groups of people who share similar views about each of an environmental impact statement provide a cogent of a group of several actions? All actions? summary, with other sections filling in the details. The aAre there groups that have opposing views summary section could be based on the recommended about a single action? Some group(s) of evaluation method, and the rest of the statement would add actions? the detailed descriptions required by Section 102(2) (c) *For interests in conflict over actions, are there and its implementing guidelines (1150, 151). Alternatively, other actions on which they would not con- the framework of the evaluation method can be used to flict? Can compromises be reached by modify- present the full set of information and the EIS format ing alternatives or developing new ones? requirement can be used as the basis for the summary as 0Is there any action(s) that could have or does shown in the following section. have substantial community acceptance? In any case: Activity IV. Summarize the Results of the Previous (a) The evaluation method can assist in producing a Activities.- report that meets the spirit and intent of 102 �What are the major arguments for or against particu-, (2) (c) and FHWA PPM 90-1. lar alternatives? (b) The EIS should evolve from a natural reporting �What are the major areas of conflict, both among strategy, such as is represented by the proposed alternative goals and/or among affected interests? evaluation method. �Which actions have the greatest potential for public (c) The essence of both an EIS and the recommended acceptance? Evaluation Report is a discussion of tradeoffs. �What are the priorities for further work in the con- sideration of alternatives, the prediction of impacts, Relation of Method to Other Evaluation Techniques community interaction, and integration with system studies? The evaluation method described in the foregoing made no The results of using the evaluation method should be mention of evaluation techniques, such as benefit/cost ra- documented and reported to decision-makers and other tios, that have been used in the past. It is useful to relate interested persons. Such documentation and reporting could the proposed method to these other means of evaluation. take a variety of forms, but would usually include some These techniques fall into three major groups: pure judg- summary evaluation report supplemented by briefings and ment ,economic analysis, and rating and utility/ cost schemes meetings. (165). 1. Pure judgment. In this approach, the basic method of Relation of Evaluation to the Environmental evaluation is judgment. In some cases, the judgment is that Impact Statement of a professional engineer, planner, or economist, using technical data on the costs and feasibility of a project. In The proposed evaluation method is designed to be com- other cases, the judgment is that of a political decision- patible with the Environmental Impact Statement (EIS) maker, perhaps with some attention to technical data, per- required by Section 102(2)(c) of the National Environ- haps weighing only the "political" or financial advantages mental Policy Act of 1969. This act requires that before and disadvantages of a project. decisions are made on major federal actions, a statement be Variations in this approach which are more systematic circulated describing: in nature are possible. These would include the use of peer (i) the environmental impact of the proposed action, reviews, professional panels, or a structured reporting for- (ii) any adverse environmental effects which cannot be mat such as that utilized in the evaluation method proposed avoided should the proposal be implemented, herein. (iii) alternatives to the proposed action, A further extension of the judgment approach is to sup- (iv) the relationship between local short-term uses of man's environment and the maintenance and en- port the systematic application of judgment through the hancement of long-term productivity, and use of one or more analytical approaches. (v) any irreversible and irretrievable commitments of The stress on "pure" judgment reflects the fact that, al- resources which would be involved in the proposed though some judgment enters into all evaluation methods, action should it be implemented. this method generally relies solely on judgment. Another Such a statement must satisfy two conflicting but essen- way of putting this is that evaluation and choice are tightly tial considerations. First, the intent of this reporting re- intermingled; as the issues are weighed, a decision is made. 40 2. Economic analysis. In this second approach, the technique, such as the benefit/cost ratio, to the detriment evaluation of projects is based on an economic analysis of of social and environmental concerns which could not costs and benefits where all impacts (benefits and costs) are readily be valued in numerical or money terms. Although measured in dollar terms. For public-sector decisions, the these evaluation techniques can provide useful information basic approach has largely been that of benefit/cost analy- (even if only economic information), they must be used sis, considering primarily user benefits. Through use of ap- within a larger strategy aimed at illustrating all the issues propriate interest rates, etc., "costs" and "benefits" at dif- that confront decision- makers. ferent times are made comparable (for example, by placing The problems with using only benefit/cost analysis or on an equivalent annual basis or using the net present value linear scoring functions instead of a broader approach to approach). Then, each alternative project is evaluated by evaluation are several. Most fundamentally, they attempt determining the total costs and the total benefits for the to "add together" things that cannot be legitimately added project and computing a benefit/cost ratio for the project; together by a technical or staff analyst. Most critical choice projects are compared on the basis of these ratios. issues tend to be hidden due to the desire to reach a "total This approach, with numerous variations and modifica- score" for each alternative. Within any "total score" there tions, has been used in highway project planning and for is a distribution of impacts on various groups, with some other kinds of public-sector transportation investments as gaining and some losing. Thus, the "total score" purports well. to represent what is good for society, but it fails to recog- 3. Rating schemes. In this type of approach, procedures nize the existence of different, and frequently conflicting, are established for weighing the various "impacts" of a interests within society and the legitimate desire of these project and computing a "score" for each alternative. The interests for equitable treatment. various alternatives are then compared on the basis of their Any benefit/cost analysis or linear scoring function uses scores. "weights" for particular impacts, where values are assigned The Linear Scoring Function (LSF) is one special case that represent the importance of those impacts, But whose that illustrates the rating scheme approach (149, 163). ,weights" should be used? Different groups have different More advanced forms of rating schemes include various weights, which largely are not determinable in the abstract. mathematical programming formulations. In the linear Only a very naive group would agree to a compromise on scoring approach, a total score (Si) is defined as: a set of weights beforehand and then find that the resulting "highest score" alternative has disastrous results for them. Si (wjl,@ Xwo) Each group's values are important in the choice, and their i, k importance should not be diluted by aggregating together in which the values of many groups. The convenience of having one S1 = total score for alternative i; "total score" does not outweigh the loss of information Wik = weight placed on impacts on interest j of type k; about the tradeoffs necessarily involved in the choices and among alternatives. ' These techniques tend to hide the Xij, = level of impact of type k on affected interest j, for issues-who gains? who loses?-instead of bringing them alternative i. out. To overcome these limitations of benefit/cost analysis The values of xij, are the data defining the impacts of each and linear scoring functions, the recommended evaluation action (i) on every interest (j) for all types of impacts (k). approach is structured so as to stimulate people's under- Once these data are obtained, the Linear Scoring Function standing of what their actual goals and preferences are. In approach requires the establishment of a set of weights this way, the approach differs substantially from others. (Wjk) to be used in computing a total score (Si) for each Other approaches to evaluation attempt to define goals or alternative. The alternatives then are compared on the basis values first, then apply those abstract statements of pref- of the relative values of their scores (Si). erence to alternatives. The most basic difference between Each of the approaches summarized in the foregoing has the recommended approach and others is that the recom- certain advantages and disadvantages when compared to mended approach does not assume that persons can con- the basic requirements to be satisfied by evaluation. Rather sistently formulate their goals and values in an operational than viewing evaluation as the application of a single tech- way without going through a process of looking at choices nique as is frequently done, it is both desirable and neces- as they evolve over time. Other approaches to evaluation, sary to assume a broader perspective where a number of such as benefit/cost analysis or linear scoring functions, are techniques ranging from benefit/cost and cost/ effectiveness t-raditionally applied at one point-in-the process, and used analyses on through more judgmental approaches are used as a basis or justification for a final choice. In the recom- in combination as part of an over-all evaluation process. In mended approach, such narrower techniques could be used such an approach: (a) mathematical analysis techniques but as one of many ways to explore choices and values, not can have a useful role, but they should not have a domi- as a quick and easy basis of making decisions. nant role; (b) subjective judgment is essential; (c) what is Example: A Rural Location Project needed is a basic evaluation method such as that proposed whereby subjective judgment can be applied systematically, To illustrate application of the proposed evaluation method, using analysis techniques in a supporting role where useful. an example based on a rural location project is presented. In the past, too, much emphasis has been placed on one The objectives of the example are: 41 1. To demonstrate the kind of evaluation report that is are not available, the three major categories are blueberry desirable. cultivation, pulpwood cutting, and lobstering, with worm 2. To illustrate procedures that can be used as aids in and clam digging secondary in importance. Any alignment developing the evaluation report. that impacts significant blueberry fields, tree stands, or 3. To demonstrate how the evaluation report can meet lobster habitats not only would have an impact on the the federal requirements for an Environmental Impact natural ecology but also could seriously affect the economic Statement. activity of the town. 4. To demonstrate the feasibility and utility of the Retail trade.-The eleven businesses in Harrington are recommended approach, even on relatively small projects. all located on US 1. Ten of the businesses are located This type of project has been chosen as the initial ex- within the study area. These ten businesses employ about ample because it has some challenging issues, yet is small 20 persons, with gross retail sales of approximately $150,000 enough in scope to be presented in detail. The specific recorded in 1970. Analysis indicates that approximately project is a proposed relocation or reconstruction of 31/3 20 percent of all of Harrington's retail sales are attributable miles of US IA in the coastal town of Harrington, Me. to tourist-oriented or one-stop sales. This report was developed from information presented in Existing land use.-Of the 3,200 acres within the study an Environmental Impact Statement for the project (155). area, 147 acres are used for residences, businesses, com- (The source of data for this example, although exemplary munity facilities, and refuse. In addition, approximately in many respects, was deficient in that all significant im- 150 acres are used for farming, 40 acres for a dairy farm pacts of the "do-nothing" alternative were not identified. south of Route 1 across from the high school, and 100 acres Because these data are essential in any evaluation of al- for blueberries. There are 128 single-family dwellings, of ternatives, estimates of the likely impacts were made by which three are vacant. extrapolation from other data in the source document. In Planning aspects.-There are no regional or economic addition, judgments have been made about likely results of growth factors which in conjunction with the project would community interaction; thus, assumptions have been made cause significant new development. Furthermore, projected which may alter the actual project in some respects.) population indicates a decrease by 1990 so that Harrington will probably experience little development in the next 20 years. Characteristics of the Area 2. Visual features. The central area of Harrington is a The town center, the focal point of the project, is located densely populated community of mixed land uses located near the intersection of US I and US 1A on the banks of about and overlooking the Harrington River and its es- the Harrington River, an estuary of the Gulf of Maine tuarine areas. A strong sense of "town center" is formed (Fig. 4). by the intersection of US I and US IA and the location The State Transportation Department's primary purpose of adjacent land uses such as the grocery store, post office, in proposing an improvement to US IA is to reduce the church, and residences. The physical form of the area is high accident rate of the existing road through the town characterized by Colonial and Federal period residential center. Substandard horizontal and vertical alignment structures and churches which appear to be in harmony throughout the center, the narrow bridge on US IA cross- with the natural environment. The structural quality of ing the river, and the intersection of US IA and US I have nearly all the buildings is sound. combined to cause an accident rate approximately twice the The visual impression of Harrington, coupled with the statewide average for similar highways. Moreover, con- fact that its residents have a high degree of interaction due sidering only the 0.6-mile section of US IA south of the intersection, the rate is about four times the average. A to similar life styles and participation in the town meet- secondary purpose is to improve service for through traffic, ing form of government, forms Harrington's community which makes up about 69 percent of the north-south traffic identity. on US IA. Current average daily traffic is 2,620 vehicles. Views of the river and estuarine area are afforded from 1. Socioeconomic factors. the town center at the I-IA intersection, along US I east Population.-The town of Harrington has 553 residents of the intersection, and from behind the residential de- according to the 1970 census. This represents a 23 percent velopment on the easterly side of US 1A west of the river. decrease from the 1960 census. Of the 553 residents, ap- 3. Ecological environment. Two streams are in the area proximately 420 reside within the study area and 350 in of the project-the Harrington River and Curtis Creek. what can be called the town center of Harrington. The The Harrington River has been assigned a classification majority of Harrington's out-migrants over the past 20 suitable for recreational boating, fishing and similar activi- years were young people who could not find gainful em- ties with the exception of primary water contact. Jones ployment due to the lack of industry. The age structure of Harrington is that of an older community, with 54 percent Creek waters have been classified suitable for water con- of the residents over 35 years of age. tact recreation and fishing. On the salt marsh, there is a Economic activity.-The majority of Harrington's resi- great deal of estuarine vegetation, principally Spartina dents base their economic activity on a capitalization of alterniflora (saltwater cord grass). Upland areas contain natural resources for monetary compensation. Although a variety of trees. Several species of wildlife are found detailed statistics indicating the extent of economic activity within the area. 42 AREA LOCATION MAP COLUMBIA 4 Gh. FALLS "TOTA j. IS IS, E G'P 11 COLUMBIA "TITIL 101 v. C CHERR 11 :LD 0 1 STUDY AREA 'T.- POP" 0 IS A IF -,HIGHLAN AW HILL 7. W MILBR D G QGTA 101 .111 a r - jl@A Y_ CD D I SOIIIJ "-L POP SAY@@ S T 8 E N Milbrift* GTON IS 5-01@01 L wy.In" -OTTERJ_ 13 WES TER LIT y SWEEP I P'U"E' k BIG POT G.1S.O Dye* o?m i kGLA a HILL ASM I I-LaTI HI LL ORD-S M-7, Portion of M D 0 T General Highway Map of Washington County P,mocirod by MAINE DEPARTMENT OF TRANSPORTATION Edwa rd s and Kelcey BUREAU OF HIGHWAYS ENVIRONMENTAL IMPACT STUDY Scale in Miles 0 ROUTE 1A, HARRINGTON, MAINE 3 Figure 4. Study area; Harrington, Me. 43 Major Alternatives Socioeconomic.-By diverting US IA traffic from the The study includes analysis of four alternate routes, as town center, Alternate I would tend to reinforce the com- shown in Figure 5, and the do-nothing alternative. All munity identity of Harrington. Economic activity within routes have a common point of beginning on US 1A in the town would be impacted by bypassing a grocery store, West Harrington, some 3 miles southwest of the center of a lunch counter, and a gasoline station, which serve tourist or one-stop customers. Alternate I will decrease traffic and town, and a common point of ending at the northeasterly increase safety through the town center. end of the center. There are no highway grade separations. Alternate 2 would take the most structures: 7 single- A new bridge over the Harrington River was constructed family residences, and two commercial structures. All are in 1968 on US I approximately 0.6 miles west of the inter- located within the town center, so that Alternate 2 would section of US I and US IA and about a mile upstream of have the greatest potential of adversely impacting the com- the existing US I A river crossing. munity identity of the town, as well as the psychological The basic differences in the alternate locations are in disposition of those persons being displaced. It is estimated whether they cross the river on a new bridge or on an exist- that as much as 18 months would be required to satisfac- ing bridge and whether they bypass the center or go through torily relocate these persons. Alternate 2 will displace a it on essentially existing location. gasoline station and an auto parts store, but these might be Alternative 0: This is the "do nothing" alternative-no relocated near the new road. Because of the considerable improvements at all. amount of property to be taken, Alternate 2 is expected to Alternative 1: This is a bypass to the south of the town have the most adverse impact on the local tax base. By center on a new location across the Harrington River and improving the existing horizontal and vertical alignments it adjacent salt marshes. The 2-lane facility would have 12-ft would improve safety within the center. lanes and 8-ft shoulders, and a minimum right-of -way width Alternate 3 takes three occupied single-family residences, of 120 ft. The new river crossing would be approximately a gasoline station, and an auto parts store. There would 1/2 mile downstream from the existing US IA structure. be a potential for adversely impacting community identity. Alternative 2: This alternative goes through the town Relocation problems and reduction of tax base would be center but with the existing US IA bridge across the river replaced by a new structure. Improvements would be made in horizontal and vertical alignment in the town center and elsewhere. Same design features as Alternative 1. Alternative 3: Goes through the town center and makes TABLE 2 use of the US I bridge constructed in 1968. Same design MAJOR INTERESTS AND POTENTIAL IMPACTS; features as Alternative 1. HARRINGTON, ME. Alternative 4: Makes use of the US I bridge but by- passes the town center to the north. INTEREST IMPACT Through traffic Speed Distance Major Aflected Interests and Probable Impacts Accident rate The interests affected, and the types of impacts most im- State dept. of Total cost of R-O-W and construction portant to each interest, are summarized in Table 2. This transportation information was developed in part through community Businesses in Displacement and possible loss of busi- interaction. town center ness Table 3 gives the level of impact on each interest for Loss of business from through traffic Residents in town Displacement each alternative. center Loss of community identity Jobs lost Issues from the Perspective of Each Aflected Interest Town center Volume of through traffic environment Safety The following discussion summarizes the issues as seen Air quality from the viewpoint of each affected interest: Noise, general Noise, special nonresidential uses 1. Through traffic. From the viewpoint of through trav- Visual elers, all alternatives are preferred to the "do-nothing." School safety Alternatives 1. and 4 are most preferred, with both having Town government Local tax base loss high speeds and relatively low accident rates because they Other areas Residential displacements bypass the town center. Alternative 3 is next preferred, Air quality with Alternative 2 last. Noise 2. State Department of Transportation. From the view- Visual point simply of total cost (construction and ROW), the Natural ecology Upstream marsh (Spartina alterniflora) Downstream marsh (Spartina alterniflora) null alternative is most preferred, then Alternative 3, then Estuarine areas (turbidity, contaminants) (at about the same costs) Alternatives 1, 4, and 2. Tree acreage 3. Town center-businesses, residences, general environ- Water runoff ment. White-tail deer migratory patterns 44 ALTERNATE LOCATIONS ... ........ -o' '@ ................. E fell 4 0 9 '01AI, f% ROA of, &0 4 If 2 14@ IA 1411, w 1# " " 4"4' 1,10 if 11401 1 1 4114, -1'4' 1,411 -4 H rrington 5i,o. 1114'1 11,14 4 1, 141, 4 4 4114', it 14! 114' 1 101 .4 If 1 4* I I'' 411 1 1 1 X.J. at 1A 08,04,881,808 3 AP off SIC, RipellrAll, x West Harringtom CIP IA Prif"rod by MAINE DEPARTMENT OF TRANSPORTATION Edwofds and Kelcey BUREAU OF WIGHWAYS scale I. Feet ENVIRONMENTAL IMPACT STUDY 0 Boo 1600 ROUTE IA, HARRINGTON, MAINE 400 1200 2000 Figure 5. Map of alternate locations; Harrington, Me. 45 TABLE 3 ESTIMATED IMPACTS OF VARIOUS ALTERNATIVES; HARRINGTON, ME. ALTERNATIVE INTEREST/IMPACT TYPE 0 1 2 3 4 1. THROUGH TRAFFIC - SPEED (AVG) 25MPH 55MPH 30 MPH 30 MPH 55 MPH - DISTANCE 3.7 MILES 3.2 MILES 3.8 MILES 3.8 MILES 3.7 MILES - ACCIDENT RATE FACTOR 1 4 1.2 3.5 2.5 0.6 2. STATE DEPT. OF TRANS. ($ 1000) - ROW COST 0 22 205 129 122 - CONSTRUCTION COST 0 1447 1377 1050 1416 - TOTAL COST 0 1499 1582 1179 1538 3. TOWN CENTER BUSINESSES DISPLACED NONE NON E GAS STATION, SAME AS2 NON E AUTO PARTS STORE LOSS OF BUSINESS FROM NONE YES -TO NONE NONE YES -TO THROUGH TRAFFIC GROCERY STORE RESTAURANT, LUNCH COUNTER GROCERY STORE GAS STATION LUNCH COUNTER (ABOUT 10% OF 3 GAS STATIONS TOTAL RETAIL (ABOUT 20% OF SALES) TOTAL RETAIL SALES) 4. TOWN CENTER RESIDENCES - DISPLACED NONE NONE 7 SINGLE- 3 SINGLE NONE FAMILY FAM ILY - RELOCATION PROBLEMS NONE NO NE YES YES NONE 5. TOWN CENTER ENVIRONMENT - THROUGH TRAFFIC VOLUME (ADIn - 1970; 2620 1400 2620 2520 1250 - 1990: 4350 2325 4350 4180 2075 - SAFETY POOR GOOD POOR FAIR GOOD - AIR QUALITY(ug/m3co- 1990)2 826 306 825 536 386 - NOISE (d BA L 10 - 1990) -AT 50 FT DISTANCE 73 70 73 73 70 METHODIST CHURCH 70 70 70 74 70 BAPTIST CHURCH 73 70 73 73 70 ELEMENTARY SCHOOL 58 54 58 58 65 - VISUAL NONE IS E E TEXT) (SEE TEXT) SMALL NONE - SCHOOL SAFETY IMPACT NONE NONE NONE NONE 150' FROM SCHOOL 6. TOWN GOVERNMENT-TAX BASE LOSS NONE SLIGHT HIGH MODERATE SLIGHT 7 OTHER AREAS RESIDENTIAL DISPLACE- NONE NONE NONE NONE 3 UNITS MENTS AIR QUALITY NONE NONE N ONE NONE NONE NOISE NONE SOME SLIGHT SOME EXTENSIVE VISUAL -VIEW OF HARRINGTON NONE YES NONE NONE NONE RIVER 8. NATURAL ECOLOGY - SALT MARSH DISPLACEMENT NONE 1.5 ACRES NONE NONE NONE - UPSTREAM SALT MARSH NONE IMPRCVED IMPROVED SOME SOME - DOWNSTREAM SALT MARSH NONE SOME SOME CONSIDERABLE CONSIDERABLE - INCREASED RUNOFF NONE SOME SOME MUCH MUCH - TREE ACREAGE NONE SLI GHT SLIGHT 25 ACRES 28 ACRES - WHITE-TAIL DEER MIGRATION NONE NONE NONE SOME SOME DISRUPTION DISRUPTION - LOWERING OF WATER TABLE NONE SLIGHT SLIGHT SOME SOME - EROSION FROM NEW SLOPES NONE SLIGHT SLIGHT SOM E SOM E IRELATIVE TO STATEWIDE AVERAGE FOR THIS TYPE OF FACILITYs ZWORST CONDITION OFSEVERAL TOWN CENTER LOCATIONS, 46 proportionally less than in Alternate 2. The impact on of 100 ft and more this connector produces little change in economic activity would be the same as the impact exerted the noise environment southeast of the town. Alternate 1 by Alternate 2 and safety would be somewhat improved will improve the noise environment in the town center and within the town center. will offer no limitation to the expansion of the town. The Alternate 4 displaces three occupied residential units that impact on the area exposed by the new connector is more are dispersed over a wide area. Instead of adversely im- than offset by the improvement in the environment of the pacting commnuity identity, Alternate 4 would tend to town center. reinforce it by redirecting both US I and US 1 A traffic out Alternate 2 approximates the conditions that could be of the town center. Economic activity would be impacted expected with no new construction. Some improvement by bypassing a restaurant, a grocery store, a lunch counter, will result from the construction because it will produce and three gasoline stations, all of which serve tourist or smoother traffic flow within the town center, but this effect one-stop customers. This location would be 150 ft from is offset by the fact that the traffic will also be traveling the elementary school and would adversely impact the somewhat faster. In summary, Alternate 2 can be con- school in terms of safety. sidered to have a neutral effect on the noise environment Visual.-The town center and the area along US 1A cast of the area. of Curtis Creek are areas of high visual quality. Alternate 1 Alternates 3 and 4, which use a new connector between would have an impact on both these areas, by changing the US IA and US 1, have a maximum noise impact on this view of the Harrington River and its estuarine areas from new area, without any significant compensating benefit to a view composed of natural elements to one that has a other areas. Alternate 4 can be considered worse because man-made facility in the background. Neither the river of the new construction to the north. Furthermore, Alter- crossing nor the displacement of birch trees is regarded as nate 4 encloses more of the town within a boundary of a major adverse visual impact, and both can be mitigated noise that limits future expansion and places low-noise by design considerations. environments farther from the center of activity in the Alternate 2 would also aff ect these areas. It would im- town. pact the birch trees in the same manner as Alternate 1, but Comparing the impact of these alternates to an existing instead of altering the view of the Harrington River it would condition without construction, Alternates 3 and 4 both impact the visual character of the town center by taking have a negative effect on the environment, with the effect seven residential structures and two businesses. The resi- of Alternate 4 being more severe than that of Alternate 3. dential structures are of good visual quality; one of the 4. Natural ecology. Alternate I displaces approximately businesses, a gasoline station, is not. 1.5 acres of salt marsh. However, the bridge across the Alternate 3 would not impact any significant visual fea- Harrington River will be of sufficient length so that there tures of the natural environment on new location from West is no encroachment on the Spartina alterniflora zone. Thus, Harrington to US 1, and would have small visual impact continuation of unrestricted flow will leave the productivity within the town center by displacing two businesses and of the upstream and downstream marshes unaffected. two residences. For Alternates 1 and 2, temporary turbidity and sedi- Alternate 4 would have the same minimal impact as mentation will be caused by the construction of new bridges Alternate 3 from West Harrington to US I and will have over the Harrington River and over Curtis Creek, although less visual impact as it bypasses the town center on new these can be minimized through appropriate construction location. procedures. The bridge across Curtis Creek will be of Air pollution.-Alternates 2 and 3 generally have higher sufficient length so that there is no encroachment on the concentration of carbon monoxide at most test stations. original Spartina alterniflora zone; this will allow a return Alternate 2 gives a concentration of 825 /Lg/M3 Of Co in to conditions closer to those that originally existed in the the town center. Alternate 3 gives the lowest concentration upstream marsh. at this point, although it has higher values than Alternate 1 Alternates 3 and 4 will displace an estimated 25 and at other stations. Alternates I and 2 give relatively high 28 acres of woodland, respectively, resulting in increased concentrations (445 pg/m") outside the town center and runoff of stormwater. Loss of additional acreage of spruce hence are less objectionable than would be the same con- and spruce-hardwood mix between West Harrington and centration within the center. None of these readings is close US I is likely because of changes in the water table and in to the carbon monoxide standards established by the En- the soil. Alternates 3 and 4 would disrupt the migratory vironmental Protection Agency, and hence would presum- patterns of white-tailed deer in the area between West ably pose no dangers. Harrington and US 1. Predictions indicate that Alternate 2 has the highest air Due to the construction on marine sediment deposits, all pollution load, followed by Alternate 3. These data also of the alternates can cause a chain reaction leading to indicate that Alternate 1 would result in slightly less harm turbidity, sedimentation, and salinity change, and conse- than Alternate 4. The only federal standard that is vio- quently reduced productivity in the estuarine areas. Con- lated is that for the predicted concentration of 164 tkg/m3 struction on new location offers more potential harm than of hydrocarbons at one of the ten test stations for Alter- improvements to an existing location. Thus, Alternates 3 nate 2 with a south wind. and 4 are more susceptible than Alternates I and 2. Vari- Noise pollution.-Alternate I uses a new connector, but ous construction procedures will be considered in appro- the new land area it exposes to noise is small. At distances priate situations, including: 47 (a) The use of ditches at tops of slopes to intercept any TABLE 4 surface flow that might lead to erosion of new cut PREFERENCES OF ALTERNATIVES FROM THE slopes, and at toes of slopes to keep highway slope PERSPECTIVE OF EACH INTEREST; HARRINGTON, drainage from damaging adjacent vegetation. How- ME. ever, any ditches dug into the highly erodible marine INTEREST PREFERENCES sediments should be paved. (b) Extreme efforts will be made to vegetate new slopes I ST 2ND - 3RD 4TH LAST cut into the marine sediments. It seems likely that THROUGH TRAFFIC 1 4 3 2 0 continual maintenance will be necessary. STATE DEPT, OF TRANS. 3 1-2-4 - - - (c) Settling basins will be used to the fullest extent (BUDGET ONLY) practicable. The retardation of flow will allow some TOWN CENTER BUSINESSES 2-3 1 0 4 - of the sediments and contaminants to settle out. TOWN CENTER RESIDENCES 1 4 0 3 2 (d) The use of a borrow material of higher than ordi- TOWN CENTER GENERAL 1 4 3 2 0 nary porosity to replace highly porous surface ma- ENVIRONMENT terial in fill sections located in areas of near-surface TOWN GOVERNMENT 1-4 0 3 2 - groundwater. OTHER AREAS 0 2 3 1 4 (e) Removal of vegetation will be kept to a minimum. NATURAL ECOLOGY 0 2 1 3 4 Future land development will further aggravate the possibilities of turbidity, sedimentation, runoff, and con- taminants reaching the estuaries. Alternates 3 and 4, hav- ing more construction on new location, are more likely to attract such development. Other than the -possibility of 9 From the viewpoint simply of the natural ecology, the denying access on all new locations, there is nothing the do-nothing alternative would be the most preferred; State Department of Transportation can do to preclude or however, it would continue the high accident rate and reduce these effects. Strictly enforced sanitary codes would other adverse impacts on the human environment of help to keep contaminants from reaching the estuaries. the town center. 5. Summary by interest. To summarize, Table 4 gives 0 Without replacement housing provided by outside the relative preferences of the alternatives from the view- sources, Alternative 2 is inequitable in the burden it point of each interest. Because there are several impacts places on the seven households displaced; so, to a of concern for some interests the tradeoffs among impacts lesser extent, is alternative 3. However, the number that likely would be acceptable to particular interests have of families is so small that early communication with been estimated through community interaction. the families affected could determine if there really is a problem. If so, explicit design attention could be Issues from the Perspective of Each Action devoted to the design of individualized relocation as- sistance to substantially ameliorate any problems. 1. Feasibility. Each of the actions is feasible as it stands. If the houses are structurally sound, one course of 2. Community concerns and possible design modifica- action for the highway department is to relocate the tions. Concerns have been expressed about the unavail- existing structures to nearby state-acquired property. ability of replacement housing, loss of business to bypassed 0 Similarly, Alternatives 2 and 3 may be inequitable in establishments, and excessive takings of salt marsh. These their impacts on the two local businesses. However, it concerns could be overcome by compensatory or other should be possible to provide either sufficient reloca- design actions, such as: tion payments or replacement sites or both to com- � Developing replacement housing for families displaced pensate for these adverse effects. -Alts. 2 and 3. 0 The loss of business due to bypassing through traffic is � Acquiring land on new road locations for resale to a significant adverse impact from Alternatives 1 and businesses desiring to relocate to be near traffic; or 4. This is directly in conflict, however, with the over- payment of loss-of-business compensation (which all significant improvement in the town center environ- would be infeasible without additional state legisla- ment as a consequence of the reduced through traffic. tion)-Alts. I and 4. It may well be that this increases local shopping and � Takings of salt marsh could be reduced by different reduces the loss of business, as has happened in other design of bridge at additional cost, increasing the bypass cases. Even if not, the issue is first one of con- amount of structures-Alt. 1. flicting values within the town itself; from the view- � Compensatory payments to town government for tax points of all the interests in the town, is increased base loss-Alt. 2. environmental quality (safety, noise, air quality, etc.) � Design modifications, such as improved traffic control worth the loss of business to the affected businesses? devices and barriers, to increase safety. Are there any compensating steps open to the town- 3. Equity and potential acceptability. If the foregoing for example, a partial reduction of real estate taxes for steps are not taken to respond to the community concerns, a 5-year period, or town underwriting of parking and the relative equity of each action could be summarized other improvements to make the stores more attrac- thus: tive, or of an advertising campaign to boost the sales 48 to local customers? In any event, this should be dis- would bypass the town on the east side and cross the river cussed with spokesmen for various interests in the at a point with minimal marsh intrusion. town. 3. Prediction of impacts. More information is needed on The adverse noise impact of Alternative 4 on the ele- actual accident rate changes for various alternatives, and on mentary school might be partially overcome by in- potential sales losses to local businesses. creased use of insulation, etc.; this has not been ana- lyzed, however. Summary Issues from the Perspective of the Process as a Whole The recommended course of action is Alternative 1. Its environmental impacts are (see Table 3) some salt marsh There is no action for which the disadvantages are suffi- intrusion, some visual intrusion, and some loss of one-stop ciently great that it should be removed from further con- business to local firms. Steps can and will be taken to mini- sideration. If none of the design modifications suggested mize these effects, although these adverse impacts cannot previously is undertaken, the following conflicts would be totally avoided. On the other hand, the recommended arise: action enhances environmental quality significantly by im- 1. Although Alternatives I and 4 are most attractive proving the town center through reducing accidents, air from the viewpoints of service to through traffic, town pollution, and traffic noise; and enhances upstream water center residents, and over-all town center environment, conditions in the Harrington River. Alternative 4 might be opposed by town center business Alternatives to the proposed action include the do- interests because of its substantial loss of business; alter- nothing alternative and three others. The do-nothing al- native I might be opposed by environmental interests be- terriative has no negative impacts on the natural ecology cause of its salt marsh intrusion, and Alternative 4 because but has significant adverse impacts on the human environ- of its impacts on areas previously unexposed to traffic and ment in the town center. Although each of the other three on downstream water environment. alternatives has some advantages relative to the recom- 2. The "do-nothing" alternative is attractive onl because mended one (especially no salt marsh intrusion), each also y has disadvantages that outweigh the advantages-such as it preserves the environmental status quo in areas outside significant residential displacements (Alts. 2 and 3), or the town center (and involves no construction expenditure business displacements (Alt. 4), noise and safety impacts or displacements), but this must be weighed against sub- on a local school (Alt. 4), and introduction of a highway stantial increased environmental degradation in the town facility in a previously undisturbed area (Alts. 3 and 4). center due to future traffic growth if nothing is done to In terms of effects of short-term use versus long-term reduce or bypass that traffic. productivity, potentially Alternate 1 will have minimal ad- 3. Most of the adverse effects of Alternatives 2 and 3 verse impacts that would affect long-term productivity. can be alleviated by compensating design modifications Therefore, the relationship between man's short- and long- (i.e., replacement housing); and possibly for Alternatives term ecological productivity is more favorable along this 1 and 4 also (through business-oriented compensatory route. The proposed highway is a long-term use with re- actions, e.g.). spect to man's social environment and a short-term use From the point of view of the process as a whole, Al- with respect to his natural environment. ternative I is likely to have the greatest potential for sub- Alternate I will directly displace approximately 1.5 acres stantial community acceptance, provided modifications are of salt marsh, resulting in a small decrease in productivity, made to reduce further the degree of salt marsh intrusion, although proper bridge design will assure that the produc- the exterior treatment of the bridge over the Harrington tivity of the marsh upstream and downstream is unaffected. River is such as to enhance the view forn the town center, In terms of irreversible and irretrievable commitments of and specific steps are taken to ease the burden of business resources, Alternate 1 will displace approximately 1.5 acres losses from traffic diversion. - of salt marsh and it is doubtful that the salt marsh could If further time and resources were available, the follow- be returned to its productive state if the land were ever ing work should be given high priority: to be reclaimed. Comments and suggestions received during the review 1. Community interaction to find out actual replacement process are summarized in the following pages (omitted housing needs of families that would be relocated with each from this reconstructed example). of the alternatives; to find out desires of businesses poten- tially displaced; and to obtain the views of the community Example: The West Side Highway Project on possible actions to compensate local businesses from (New York City) loss of trade, and on the issue of the over-all desirability Many urban projects may be sufficiently large and complex of enhancement of the environmental quality of the town that the level of detail employed in the Harrington, Me., center even if there are some business losses. example evaluation report may be impractical. In these 2. Development of alternatives, including relocation plan and potential replacement program; housing and businesses; This section is structured consistent with the formal requirements of Section 102(2) (c) of NEPA. The substantive detail of the earlier sec- visual design treatment of river crossing for Alternative 1; tions is not repeated here, but only summarized. As discussed earlier, in safety protection for elementary school and possible noise a more complex situation with hundreds of pages of data corresponding to Sections I-III, this summary section would be more detailed and could insulation. Additional alternatives might be developed that stand alone as meeting the formal requirements of an EIS. 49 cases, the large number of interests affected implies that TABLE 5 the proposed evaluation method is best used not as the EXAMPLE POLICY STATEMENTS; NEW YORK CITY sequential application of the four activities but rather as WEST SIDE HIGHWAY PROJECT a guide throughout the study for the preparation of neces- Develop plans that will assist in the consolidation of motor, rail sary background and management material. Evaluation and seaborne goods movement, storage, and distribution becomes a continuous and highly dynamic activity, with activities along the project corridor. one or more portions of the proposed four steps being used Develop alternative land-use strategies that promote orderly as appropriate to respond to daily, weekly, and monthly rather than precipitous change along the waterfront consistent management needs, As the study proceeds, material neces- with the adjacent neighborhoods. sary for an environmental impact statement or other re- Provide equitable compensations and assistance to persons and quired project reports is gradually accumulated in a format businesses displaced and/or relocated as a result of recon- and style that will facilitate the final publication of such structing the highway. documents. Discourage the attraction of additional regional travel diversions within the corridor, in excess of those currently taking place. The West Side Highway Project (WSHP) in New York Assume the capacity of the tunnels will not be expanded in City demonstrates this application style of the evaluation the future; i.e., program additional capacity for the highway method. Evaluation was intended to help inform people as only to accommodate the diversion of traffic from the West to the most important aspects of choices among alterna- Side street system and projected corridor growth. tives. Two aspects are demonstrated: Investigate the potential opportunity for utilization of mass transportation within the highway corridor based on its 1. Identification and analysis of issues. demonstrated need and utility, and on its anticipated inherent 2. Use of a preliminary evaluation summary report. benefits; and having determined the degree to which such public transportation services and facilities are warranted, Because of the complexity of the project, only an overview incorporate them in the project. of key evaluation features is provided, along with examples Investigate the role of goods distribution and production activi- of the substantive content of individual documents. ties along the corridor and, where feasible, develop a means to preserve land areas and develop facilities for the purpose The West Side Highway Project is concerned with the of reducing the cost and increasing the efficiency of providing deteriorating West Side Highway in Manhattan from the goods and services for Manhattan-with particular attention southern tip of the island to 42nd Street (Fig. 6). The to the areas in close proximity to the Lincoln and Holland alternatives examined span a wide range, including new Tunnels. Interstate alignments and designs, rebuilding of the existing structure, and tearing down the existing structure but pro- viding no new highway. All new alternatives contain some provision for transit. detail the effects of alternatives on particular interests were Issue Identification and Analysis prepared and circulated to all interested participants. For example, a preliminary report on the Gansevoort A major emphasis of the proposed approach to evaluation Destructor and Marine Transfer Station was prepared. This is the identification and analysis of issues from the perspec- is a solid waste disposal complex located on the Hudson tive of affected interests, alternative actions, and the process River at West Gansevoort Street. it consists of an incinera- as a whole. The WSHP provides an illustration of the tor, marine transfer (barging) station, salt shed, and pe- dynamics of how this issue information was gradually ripheral truck parking. One alignment at this location developed and documented over a period of time. would take the existing incinerator, but leave the marine At the start of the study, 34 policy statements were transfer station undisturbed except for disruption of access. negotiated by representatives of the state, city, and local An alternative alignment would take the marine transfer community interests. Six examples of these policy state- station but leave the incinerator undisturbed. ments are presented in Table 5. These statements illustrate The first section of this Gansevoort report described the the need for an approach to evaluation that is flexible with existing facilities, priorities, and constraints as expressed by respect to input and output, is capable of treating a broad the New York City Sanitation Department. The second range of impacts (qualitative as well as quantitative), and section described the effects of the two alignment locations, recognizes the differential incidence of impacts. replacement options, and phasing. The third section dis- The policy statements, although they omit some impor- cussed specific sites upon which replacement facilities might tant factors (e.g., cost), were relied upon in the beginning be constructed. The fourth section discussed planning stages of the study as an indication of the issues and range parameters, timing, funding, and strategies for implementa- of impacts that should be considered in the evaluation of tion. An appendix discussed the state of the art in solid alternatives. More detailed identification was obtained by waste treatment technology. staff members through continuing contact with public agen- A second example of a working document that "views cies and private groups, either through meetings or the the issues from the perspective of an affected interest" is exchange of documents. Also, community-level design the analysis of the impact of project alternatives on Battery teams were formed so that individual staff members could Park City. Battery Park City is a major mixed-use develop- become more familiar with the problems of particular areas. ment proposed for construction 'on landfill at the southern As the study proceeded, issue papers examining in more end of the West Side Highway corridor. The Battery Park '14 '12mile 171 t-A 3@_, FEN, @77 ma 'K -6, P W q 0- o_:, rooklyn attery 0, el 7 Y But always there is the barrier of the existing West The West Side between Midtown and the Battery was Side Highway, separating the waterfront from the com- once a symbol of New York's leading role in commerce Illustration I Location of the West Side Highway munities behind it. Large portions of the areas east of and manufacturing, and its dominance of maritime Project the elevated highway are filled by warehouses and activity in this country. But the drastic declines in industrial loft buildings, once thriving, but now suffer- Manhattan's manufacturing and shipping sectors have ing from increasing vacancy and neglect. left sizeable portions of "The World's Most Val jable North Real Estate" either wholly unused or grossly under- used. Figure 6. Map of study area; New York City West Side Highway Project. 51 City Authority initially took the position that any alignment ridor. Graphics illustrate the mainline locations of high- for new highway or transit facilities below Harrison Street way and transit configurations, typical cross sections, and should be inside the present pier bulkhead line. land uses along the corridor that may be significantly af- The intent of the WSHP staff analysis for Battery Park fected by the choice among alternatives. Also, summary City was to facilitate Mutually cooperative planning efforts. tables for each Community Planning District show the Alternatives were divided into two broad categories-in- differences between alternatives in each of five functional board at Battery Park City and outboard at Battery Park categories (transportation, land use, community goals, con- City. However, specific design features which would affect struction impacts, and environmental impacts). Figure 7 Battery Park City were examined in detail. Most promi- and Table 6 are examples of the kinds of material presented nent among these were the design features "highway con- in this third section of the evaluation report. strUction timing" and "right-of-way acquisition." This preliminary evaluation summary report was circu- These examples are just two of the many documents lated to the public and to the participating agencies in order prepared by the WSHP staff to analyze variations in design to stimulate thoughts on decisions that were upcoming. The features as they relate to particular interests. These docu- report summarized, at a particular point in time, where the ments served to guide decisions as to which program ele- process stood and the important choices to be made, and ments should be studied in more detail. Decisions to how the available alternatives measured up against the suspend development of particular, options were submitted policies that various agencies and groups had agreed the to a study steering committee for approval. project should serve. The format of the report thus combines the results of the Preliminary Evaluation Summary Report first two steps of the recommended evaluation method. First, the policy statements agreed on by the steering com- The proposed approach to evaluation includes periodic mittee of the project were grouped into impact categories. preparation of an Evaluation Summary Report. Six months Then each alternative was analyzed vis-a-vis each policy after the initiation of technical studies, a 95-page report statement. The material corresponding to the output of called the "Preliminary Analysis of Alternative Program activity three of the evaluation method (view the issues Packages" was prepared by the WSHP staff and circulated from the perspective of the process as a whole) discusses to participants in the planning process. priorities for further study, as those were the major de- The introduction emphasizes that cisions faced at that time, rather than a final choice among alternatives. the intent of this report is not to make a final choice, but rather to help guide the management of activities through- out the remainder of the project, More specifically, this Summary report is intended to aid the Steering Committee in mak- ing decisions about The variety of "evaluation reports" prepared by the West (1) Selection of alternatives with the greatest potential; Side Highway Project provide practical examples of the use (2) Need for modification of alternatives currently un- of the proposed evaluation method and reporting strategy der study and the development of related program throughout the stages of a planning process. In these ap- elements; plications the WSHP staff did not follow exactly the se- (3) Over-all direction of the West Side Highway Proj- ect planning effort. quence of activities shown in Figure 3, but they did ask the same kinds of questions. Thus, the intent of this WSHP report closely parallels the intent of the Summary Report in the proposed approach to CONSIDERATION OF ALTERNATIVES evaluation. The second section of the report describes eight "pro- The focus of any transportation planning effort is the de- gram packages" at a sketch design level of detail, with each velopment and consideration of alternative courses of ac- package composed of a combination of a highway align- tion. Good design practice requires not only developing a ment, interchange locations, transit options, and land-use means of providing fast, safe and efficient transportation proposals. The eight program packages do not incorporate but also taking into consideration the views of the interests all feasible combinations of program elements. Rather, potentially affected by a transportation change; eliminating interchange locations, transit options and land-use proposals or minimizing adverse social, economic, and environmental are associated with the highway alignment with which they effects; and identifying associated opportunities for develop- are judged to be most compatible. This section also pro- ing positive community benefits. This is most effectively vides a brief description of existing corridor travel patterns accomplished through systematic consideration of a range and identifies design variables that appear to be of major of alternatives. importance in determining future travel patterns. Finally, This section describes various design methodologies. Dis- this section presents order-of-magnitude construction cost cussion of general requirements, a basic design strategy, estimates for each of the alternatives. and the components of an alternative course of action leads The third section of the report provides a more detailed to an examination of specific techniques for generating description of program package alternatives and examines alternatives. What is recommended is systematic applica- their effects on specific land uses, local streets, and so forth. tion of professional judgment supported by design aids. The section is partitioned into three subsections according Just as complete reliance on mathematical models is dan- to the three Community Planning Districts along the cor- gerous, unrestrained reliance on design as an "art form" to 52 be accepted without question is equally dangerous and un- A highway agency may have little or no authority to acceptable in today's society. Emphasis is given throughout study other modes, and probably even less authority to to the important role of community interaction. construct nonhighway modal facilities. The section does not describe a single step-by-step "how 0 There frequently are different implementing agencies to design" method, nor does it present a comprehensive for different kinds of highway or transit projects. Within catalogue of design solutions. Rather, it offers some sug- the highway program, there also may be different categories gestions and sketches out some basic concepts that are of funding having different programming implications. For intended to stimulate design approaches and assist in re- example, traffic engineering, Interstate, and local street im- sponding to the challenges of design. Although the tech- provements may be handled not only by different proce- niques described can contribute to a more systematic proc- dures but also by different institutions. ess and facilitate documentation of the rationale for both Although these kinds of constraints exist, they should day-to-day and major design decisions, design practice not prevent transportation agencies from attempting to must always include human judgment. change them or from investigating options that will affect In presenting these ideas, it is recognized fully that al- though the laws, courts, and communities are all asking for the nature of the facility being proposed. In particular, an a broad interpretation of the alternatives to be considered, agency should take the initiative in working with other state highway agencies in particular still operate under very agencies to develop coordinated programs of action. real constraints that prevent them from developing alterna- A Design Strategy tives in the way they might want to. Role of the Designer 0 Agencies may have control only over variables that are sufficient to eliminate a symptom and not over variables The term "designer" has traditionally been applied by high- necessary to resolve the real problems. For example, they way agencies to those persons performing geometric or can introduce traffic control measures to reduce conges- structural design tasks. As defined here, a "designer" has tion, but cannot control the development of land use that a much broader role-one that is ongoing throughout all may result in even more congestion. phases of project development, including the very early knpact on Impact on Impact on Environmental Impact on Gansevoort Impact of 14 St Loading Docks Pier 40 Pier 42 Impact on Destructor Plant Ramp on at St John's Recreation Vkstbeth and West and Marine Gansevoort Meat Terminal Facility illage Housing Transfer Terminal Market Area --- --------------------------- - - ----- ------ % /rln Fy,@ ............ E71M A, AT C, q 4@ -t"p, AV 0 > t,v: -_J X, k - Figure 7. Issues for Community Board Two; New York City West Side Highway Project. 53 TABLE 6 LAND-USE IMPACTS; NEW YORK CITY WEST SIDE HIGHWAY PROJECT EVALUATION CATEGORY: LAND-USE IMPACTS CO?1MUNITY BOARD 2 POLICY STATEMENTS: 5) Preserve and revitalize Waterfront; 6) Provide public access to the Waterfront; 12) Provide orderly change along Waterfront; 16) Assure compatibility of Highway and planned projects; 17) Assure compatibility of Highway and existing activities. MEASURES Program Package F Program Package I Program Package G Program Package H Outboard Degree of impact on: Pier 40 Outboard alignment, Midboard alignment, Inboard depressed align- Inboard depressed align- without quayside redesign, without shed redesign and ment is without apprecia- ment is without appreci- eliminates use for ship- reconstruction, eliminates ble effect. able effect. ping. With quayside re- cargo handling and pre- design, shipping could cludes passengers. With resume after reconstfuc- shed redesign, shipping tion, but with 2 instead operations could resume of 3 berths. after reconstruction. Access to Riverfront Outboard highway offers Midboard alignment offers Inhibits physical access Limits visual access to greatest access to the substantial access to po- to River by an inboard River by an inboard riverfront and offshore tential riverfront recrea- depressed highway. elevated highway. areas. tion and to potential finger parks and piers. Gansevoort Destructor Outboard highway does not Midboard alignment iso- Inboard depressed highway Inboard elevated highway and Marine Transfer take the Destructor, but lates these facilities eliminates the Destructor, eliminates the Destructor Station it eliminates the from each other, preclu- while not touching the but stays clear of the Transfer Station. ding continued operation Transfer Station. Transfer Station. without reconstruc tion of the Transfer Station. Piers 54 & 56 Impairs use for vehicle Would probably eliminate Would probably eliminate Would probably eliminate Police Autos storage by taking 150' use for vehicle storage the continued use for the continued use for at the pierhead. because alignment bi- vehicle storage because vehicle storage because sects the pier reducing alignment takes head- alignment takes head- one-half of the storage houses. houses. capacity. Inboard Degree of impact on: Morton Street Pier Inhibits the existing re- Inhibits the existing re- Enhances the existing re- No appreciable change & Recreation Strip creational use, as the out- creational use, as the creational uses, as highway from existing conditions. board highway takes 150' midboakd alignment takes is depressed and inboard. but a new inboard ele- at the pierhead , and land- center section of pier. vated highway would con- locks the facilities. But But, with redesign and re- tinue undesirable envi- with redesign and recon- construction, it could en- ronmental and aesthetic struction, it could en- hance riverfront recrea- impacts. hance riverfront recrea- tion. tion. Greenwich Villag Outboard alignment would Midboard alignment also A depressed inboard highway An inboard elevated high- Residential encourage residential ex- would encourage residen- might encourage residential way restricts residential pansion toward River, and tial growth toward River, expansion if sufficiently growth to River by its would provide potential but would provide smaller covered and buffered. substantial physical con- parcels to accomodate such area for potential new straint, as well as un- growth. development. desirable environmental and aesthetic effects. Gansevoort-14thSt No appreciable difference among the mainline alignments. However, an interchange is provided in the area Meat Market of 14th Street.Local Traffic circulation in the area will be improved by all alignments. 54 stages of statewide and urban area system planning. De- The Role of Alternatives signers are all those individuals having a responsibility for Alternatives serve different roles at different stages of a the development of alternatives; their activities include the process. After developing a basic understanding of the development not only of geometric and structural plans but physical, social, and political characteristics of a study area also related programs such as relocation housing, compen- and the concerns of people affected by the study, alterna- sation, joint development, and construction specifications tives initially serve to illustrate the choices that must be that are required for implementation of a transportation made and the tradeoffs that exist. Early in a study, a num- project. It follows, then, that designers include not only ber of actions directed toward achieving a range of different highway engineers but also relocation specialists, right-of- objectives should be produced rapidly to facilitate effec- way experts, architects, ecologists, and even the public. tive community interaction and impact prediction. Rough A range of alternatives needs to be considered at all sketches provide sufficient design detail at this stage. After levels of analysis, from system planning and programming responses to these initial alternatives from the public and through location and design; in all contexts, urban and other government agencies are evaluated, the emphasis rural; and for all scales of projects, whether an upgrading shifts to modifying and combining alternatives to narrow of a two-lane road or construction of a new freeway. The the range of choices. Included in this process is an explicit range of alternatives to be considered, however, will vary attempt at designing to minimize adverse impacts. As the with the location, nature, and stage of a project. For a range of alternatives is narrowed, increasing attention is secondary road upgrading in a scenic rural area, primary given to design detail and to other related program elements. attention is likely to focus on design standards and preser- Reacting to specific proposed actions assists all interests vation of existing environmental amenities. Consideration to identify tradeoffs and clarify their objectives and priori- of other modes for this type of project would likely be ties. Although attitude surveys and similar techniques are limited to the potential for bike paths. In contrast, the frequently considered the most effective way of obtaining design stages of a major new urban highway may involve value-related information, a central thesis of the approach such diverse program elements as other transportation being recommended is that information on objectives and modes, joint development, air-rights construction, replace- value priorities cannot be determined in the abstract, but ment housing, areawide community action programs, man- only in relation to specific and well-understood alternative power training and employment, and rehabilitation of his- courses of action. By responding to proposals and suggest- torical sites. ing new alternatives, people obtain a better understanding The option of no new construction needs to be openly of their own preferences and the concerns of others. and explicitly considered. This "null" or "no-build" alter- Example: Michigan Route 311131 Northwest Region native should be compared to other proposed courses of Study.-This general strategy is being used in the regional action and considered as a viable choice during all phases transportation study of Routes 31 and 131 in Michigan's of planning and design. This option can serve as a ref- Northwest Economic Develo ment District. The study was erence point for stating benefits, as well as adverse effects, p of construction-oriented options. Studying the no-build al- begun in the summer of 1972 with public meetings and ternative helps to ensure that the full consequences of all other community interaction activities to establish channels alternatives are adequately described and evaluated and that of communication with as many interest groups as possible the tradeoffs involved in deciding to go ahead or terminate and to collect a base of initial data. Initial sketch alterna- a project are clear. It is unlikely, however, that the no- tives were developed in the fall of 1972 on the basis of the build choice can be used as a justification for a project. environmental data collected. These alternatives were di- It is important that all aspects of a course of action be rected toward achievement of a range of different goals explicitly considered as options, especially early in a plan- identified through public meetings, a newspaper search, and ning or design process. Each decision about the location, personal interviews (cf. the ensuing section, "Techniques"). The impacts of these alternatives were then determined and design, and nontransportation aspects of a proposal will another set of meetings was scheduled to focus on the iden- partially determine the impacts that proposal will have. If tified major issues. The third stage of the process calls for decisions such as the number of lanes, design standards, or major modifications to and a narrowing of the initial set of interchange characteristics are established as "givens," the alternatives, to be developed by working closely with the impact levels they control are also at least partially set and major interest groups, resolving conflicts, and providing the ability of the designer to make an alternative more alternatives that address specific concerns. This third stage acceptable is restricted. of the Michigan study is intended to produce an alterna- Inherent in this broad role of a designer is the belief that tive that is acceptable to the greatest number of interests through choice of available design variables it is possible possible and that addresses, to the best of the designers' to control a wide range of social, economic, environmen- ability, the concerns of those that do not find the solution tal, and transportation impacts. Judicious choice of design acceptable. features not only Can minimize adverse effects on a com- munity but also may be able to assist in the development Elements of an Alternative of programs, whether directly or indirectly related to trans- An alternative course of action consists of many program portation, that will also be to the mutual benefit of both elements, for each of which a variety of choices is available. the community and the transportation agency. These choices might be viewed as independent variables 55 that can be combined to form an alternative; each available example, it is difficult to make a meaningful choice among as a "control knob" for varying the impacts. A sample list alternative locations without some indication of the basic of such variables is given in Table 7. design features. This procedure improves the likelihood An alternative, therefore, is best thought of as a "pack- that plans adopted at one level of study will be acceptable age" including, in addition to geometric and structural com- at successive levels of study. ponents, operating policies and program elements intended Example: Boston Transportation Planning Review.-The to minimize, eliminate, or compensate for negative impacts BTPR considered some of the less common elements in its and to enhance community benefits and opportunities. analysis of the Boston area transportation system. It be- Thus, an alternative is made up of a number of program came clear as the study progressed that many interests were elements, changing any one of which results in a new course explicitly willing to accept congested highways, and to of action. Several categories of program elements can be develop partial rather than total solutions. In describing identified: (1) basic transportation elements, such as new to the Highway Research Board the kind of alternatives freeways, improved arterials or secondary roads, bus or rail that came under consideration, Walter Hansen of the BTPR transit provisions, new technology, traffic engineering im- staff said (119): provements; (2) corridor development and coordination, Here is a question we were forced to answer: "Is a including multiple use of rights-of-way, relocation assist- parking pricing policy a substitution for the construction ance, replacement housing, school compensation, park de- of highway facilities?" Our best technical answer was: velopment; (3) management of rights-of-way, including "Yes, by gosh, it is. If the public chooses to regulate programs to control development, protect open space, or themselves through parking pricing policies, you can prob- ably get about the same impact on the level of service on prevent deterioration of an area between route adoption the highway system with a dollar increase in pricing as and construction; (4) construction procedures, such as you can with an eight-lane expressway." That choice was noise abatement procedures, traffic rerouting, and soil con- put up for the final decision, and the Governor, in con- servation; (5) maintenance and operations, including land- cert with the Mayor, announced as part of his policy a parking freeze and the possibility of parking pricing in the scaping, snow removal, emergency services, bus lanes, pric- core area of Boston. ing, parking; and (6) legal, institutional, and administra- This "Well, can't we change the regulations, or the tive provisions, such as changes in funding programs or new policy, or the statutes?" attitude also has come up in compensatory programs. communities that are heavily impacted by truck traffic. One of the major functions of the previously planned ex- Early consideration of all elements of an alternative is pressway system was to reduce truck traffic on local streets necessary to permit determination of probable impacts. For and arterials. One area-Cambridge-happens to be be- TA13LE 7 ELEMENTS OF A TRANSPORTATION ACTION MODE ACCESS: JOINT DEVELOPMENT (ACTUAL OR TYPE OF VEHICLE INTERCHANGE SPACING INCLUDING PROVISIONS FORII: TYPE OF ROAD CLOSED JOINT RIGHTS-OF-WAY TYPE OF SERVICE: TYPE OF ROAD CONNECTED WITH OTHER MODES TRIP PURPOSE SERVED AT-GRADE OR GRADE-SEPARATED UTILITIES FREQUENCY OF SERVICE INTERCHANGE NON -TRANSPORTATION DEVELOPMENTS TYPE OF FACILITY,' TURNING MOVEMENTS PROVIDED AIR AND UNDER RIGHTS NUMBER OF LANES ACCESS LIMITATIONS OFF-SITE REPLACEMENT SIZE OF MEDIAN RAMP METERING HOUSING / COMMERCIAL SPECIAL-PURPOSE LANES PROVIDED TRAFFIC CONTROL INDUSTRIAL, ETC, PROVISION FOR OTHER MODES REGULATIONS: CONSERVATION / RECREATION AREAS WITHIN R.O.W DESIGN STANDARDS: SPEED LIMIT ROADSIDE DEVELOPMENT MAXIMUM CURVATURE WEIGHT RESTRICTIONS TIMING MAXIMUM GRADE VEHICLE BAN ROLE OF HIGHWAY AGENCY IN DESIGN SPEED RESERVED LANE LANE WIDTHS PARK ING PLANNING AND IMPLEMENTATION SHOULDER WIDTHS PRICING OF THESE MAXIMUM SIDESLOPE GRADES STAGING - COMPENSATIONz MAXIMUM HEIGHT CLEARANCE ORDER OF SEGMENT CONSTRUCTION TO DISPLACED RESIDENTS, BUSINESSES, R.O.W. WIDTH SUCCESSION OF STEPS TO OBTAIN RINDUSTIRIES ANDHINSTITUTIOTS PAVING TYPE THE ULTIMATELY PLANNED TO EMAINNG "NE(G BORS"OF HE EDGE TREATMENT FACILITY FACILITY SPECIAL SURFACE CHARACTERISTICS FUNDING: LANDSCAPING PRIMARY (IMMEDIATE SOURCE OF LOCATION- MONEY FOR HIGHWAY AGENCY'S NEW OR EXISTING R.O.W. SHARE (e.g., TRUST FUND, BOND ISSUE) SECONDARY SOURCE (e.g., TOLLS, GAS TAX) IELEMENTS BEYOND THIS POINT REFER ONLY TO SPECIFYING HIGHWAY ALTERNATIVES. A SEPARATE LIST WOULD BE NEEDED FOR EACH OF THE OTHER MODES. A HIGHWAY AGENCY MIGHT FULLY OR PARTIALLY DEVELOP MULTI - MODAL ALTERNATIVES OR MERELY IDENTIFY WHERE SUCH ALTERNATIVES WOULD BE DESIRABLE, DEPENDING ON THE LIMITS OF THEIR AUTHORITY, AND WORK IN CONJUNCTION WITH THE APPROPRIATE PLANNING AGENCIES TO COMPLETE DEVELOPMENT OF NON-HIGHWAY ALTERNATIVES. 56 tween a Massachusetts Turnpike entrance and the des- fair market value for each household to place them in the tination of many oil and dangerous-cargo trucks. Because same mortgage equity position as prior to displacement. of air-rights use over the Massachusetts Turnpike (the This action resulted in passage in 1968 of the Ralph Bill, Prudential Center and also some tunnels) Department of Public Utilities regulations require these trucks to get off California Assembly Bill 1072, which subsequently served the Turnpike and proceed through Cambridge to their fi- as the model for the National Uniform Relocation As- nal destination, which is closer to the port. We were look- sistance and Real Property Acquisition Policies Act en- ing for solutions to this problem in the form of modifica- acted by the U.S. Congress in 1970. tion of the physical street system. These were pursued, 2. A community group, The Watts Labor Community but there was a growing question: "Why can't the regu- lations be changed so that trucks can stay on the Turnpike Action Coalition, was designated as the state's agent in and proceed around Cambridge on an already available charge of providing replacement housing. This provided freeway?" We initially said: "Well, these are the regula- visible participation and control by the community along tions, you know. When the highway is covered over for with a job training program coordinated with the produc- 600 feet or more, because of fire, trucks can't continue on the road." The community retort was: "Well, can't you tion of replacement housing. protect the tunnel from fire? Why do we have to build 3. Sites were identified in the neighborhood to which something when there appear to be changes in regulations the houses in the highway right-of-way could be moved. that could solve our problem and therefore relieve us of 4. Houses that could be rehabilitated and moved to meet the impacts associated with a physical change in a very dense urban structure?" This issue has not yet been re- the needs of the Watts community were acquired elsewhere solved and is still being worked on by our technical staff. in the metropolitan area through such means as acquisition We have made applications and have assisted the city of for other freeways, and from expansion of Los Angeles Cambridge in making applications for a relaxation of that Airport. particular regulation that was in part responsible for the 5. A relocation housing program was developed in which problem. families who preferred to do so were relocated in single- Example: Century Freeway, 1-105, Los Angeles, Cali- family homes within the same area. fornia (35).-The California Division of Highways ini- tiated studies for 1-105, the Century Freeway, in 1967. Designing to Minimize Impacts and Obtain The Century Freeway runs in an east-west direction and is Community Benefits part of California's legislatively mandated freeway and ex- pressway system. The corridor is approximately 10 miles The achievement of as equitable a distribution of impacts south of central Los Angeles and passes through the area as possible requires that adverse effects be eliminated or at of the 1965 Watts riots. Watts is a low-income community least minimized and that, where feasible, steps be taken to within the city of Los Angeles. A portion of the population permit the transportation improvement to act as a catalyst is very transient, with many migrants from rural areas of for other community benefits. A general strategy for the South. For the community as a whole, however, 50 per- accomplishing this objective is: cent of the families live in homes they own. Twenty percent 1. Review of impacts and evaluation: of the occupants are retired on fixed income. (a) For each alternative, review the impact and It became clear early in the course of studies that pro- evaluation analysis. For which affected interests vision of relocation housing was a key issue. Each of the is there an improvement over the status quo? eight alignment locations under consideration would dis- Which interests are affected negatively? place approximately 2,600 families. Although the average (b) Identify the impacts that an interest finds un- value of the houses to be acquired was $13,000, the cost of acceptable. Determine the elements of a course comparable homes outside the area was then between of action that affect each of these impacts, and $18,000 and $22,000. At that time the Division of High- examine the implications of changing each of ways compensation was limited to fair market value of the these elements. property being acquired. Development of a more equitable 2. Design activities. Design options fall into five major relocation assistance and replacement housing program be- groups: came a major design task. It was felt that no highway could (a) Changes in the physical transportation elements. be implemented if residents were asked to bear the burden Consider how changes in such geometric aspects of greater housing costs and higher mortgage payments, as alignment and profile, interchange or station The following program elements were developed: location and design, superstructure and sub- 1. Legislative action was initiated to empower the Di- structure design, width of right-of-way, number vision of Highways to develop a replacement housing pro- of lanes or tracks, may shift the impacts, es- gram that would allow it to acquire vacant unoccupied pecially seeking ways to minimize or ameliorate property outside the highway right-of-way, and to contract undesired impacts. with public and private entities for the financing, planning, (b) Changes in nonphysical transportation elements. development, construction, management, sale and exchange Consider traffic management approaches, such or lease of replacement housing. This program would pro- as restricted parking or left turns, speed controls, vide replacement housing for low-income individuals and and reserved lanes. families who reside in economically depressed areas and (c) Changes in the nontransportation elements. Con- who are displaced by freeways, and provision would be sider how joint development within the right- included allowing for expenditure of up to $5,000 above of-way or air rights, under rights, and off -site 57 construction might be used to shift impacts. TO INTERSTATE 80 Consider how land-use controls might be used to minimize adverse indirect effects. (d) Changes in compensatory programs. Consider I@,\ X1I IkA ways of modifying existing compensatory pro- I PUBLIC CAMP posals to tailor them more to the needs of the AREA 1, it impacted interests. III RKI 1111 (e) Development of new alternatives. Consider sig- It 11 1 11 1 1 1 1 1 nificantly different courses of action, such as I It different modes or significantly different types of AR IN; 111 1 facility. PUBLIC CA P i 4f I Comments from the public and other agencies can help AR III to identify many of the necessary modifications. Sugg N 2 Jill es- I PARKING tions for changes in specific elements of an alternative, LODGE comments identifying unacceptable impacts of an alterna- HIKING fill tive, and identification of the most desirable features of OVER- each of the alternatives by the various interests will be of LOOK III, most use. MAIN ENTRANCE-- There are numerous examples of air-rights and joint de- velopment proposals in conjunction with major freeways in 280 urban areas. Less well publicized but probably more effec- cr 0 tive are the opportunities that have been taken on a smaller EXISTING ROADS I I%\ 0. k0 Z scale and nonurban facilities to minimize impacts. I Ld =====PROPOSEl) ROADS > In the town of Falmouth, the Maine Department of < Transportation proposed to widen a curve where there was an extremely high accident rate. Doing so required filling one edge of a pond on its deepest side. The owner was concerned that this would affect the habitat for trout, with which the pond was stocked. To minimize the effect, it was Figure 8. Designing to ininimize impacts and obtain coninni- decided to place curbing along the roadway edge to pre- nify benefits; Davenport, loIva. vent salt runoff from entering the pond and to use clean stone fill to permit using a steeper sideslope, thus reducing encroachment on the pond. The grade of the road was also lowered 2 ft, which improved the connection to an ad- jacent restaurant parking lot and further reduced encroach- ment on the pond (187). 1. Sketch planning. Design should strive not only to minimize negative im- 2. Environmental mapping. pacts but also to use transportation improvements to ob- 3. Community interaction. tain additional benefits wherever possible, be they environ- 4. Alternative scales of action. mental, social, or economic. For example, in Montana the 5. Variation in modal mix. state highway department has been empowered to purchase 6. Variation in objective. on behalf of the Fish and Game Department land for use These techniques and other design aids can assist in gen- as wildlife refuges that otherwise would be isolated by erating an appropriate range of alternatives to be examined highway construction (193). and in documenting the basis of these alternatives. There Near Davenport, Iowa, an embankment for 1-280 was is, however, a danger that they will be misused if employed used to dam Black Hawk Creek and form a 95-acre lake, during evaluation as the basis of selecting the "best" which will serve as the focus of a 600-acre regional park alternative. (Fig. 8). This was accomplished through the joint efforts of the Iowa Highway Commission, the Scott County Board Sketch Planning of. Supervisors, and the Scott County Conservation Board. The design for 1-280 needed to be altered to raise the em- The use of sketch planning is important to achieving the bankment and incorporate the dam and spillway. The cost kind of responsive and flexible process being recommended. difference between the original and modified designs was This technique calls for a description of alternatives con- paid by the Scott County Conservation Board (185). sisting of a rough sketch, both verbal and pictorial, that identifies the basic features of an alternative's location and Techniques design, as well as the basic nontransportation components Several techniques are available that can be used either of the action. Sketch plans normally include only enough independently or in combination to assist in the develop- detail to facilitate identification of the basi c impact dif- ment or modification of alternative courses of action, as ferences. Such a practice conserves agency resources and follows: at the same time people frequently can relate more easily 58 to sketch plans than to more accurate geometric drawings. Environmental Mapping General specification of the nature of each proposal thereby To present a meaningful choice of alternative locations, a permits community interests to formulate opinions on the designer should develop options that not only are physi- basic nature rather than the details of an alternative and cally different but also are different in terms of their im- to give more fundamental guidance in the search for an pacts and the objectives to which they are oriented. For acceptable course of action. example, a road oriented toward the achievement of eco- Some alternatives will be dropped as a result of sketch nomic development may be very different in character from planning, some modified, and some added. As the number one oriented primarily toward environmental preservation. of alternatives being considered is reduced, more details Techniques used in developing alternative locations should can be added. Care should be taken, however, not to invest therefore be used in such a way as to present meaningful too much technical effort in any single action, as it is quite choices. One technique that lends itself to such use is likely that none of the alternatives developed at a sketch mapping (167, 189). planning stage will be the exact one finally chosen. The information that is to be considered in selecting the Example: West Side Highway Study, New York City.- The initial 6-month phase of the New York City West Side location options can be displayed in the form of transparent Highway Study was devoted to a sketch analysis of all sug- overlay maps, with different features being mapped in sepa- gested alternatives and to identification of issues of choice. rate overlays. The data to be mapped might include infor- During this phase, multimodal alternatives were developed mation on natural features of the land, vegetation and wild- to a low level of detail, as shown in Figure 9 (160). The life, human use of the land, and social characteristics (see range of alternatives examined included the do-nothing the later section on "Identification of Impacts and Affected alternative, moderate reconstruction of the existing West Interests"). Side Highway, tearing down the existing highway and build- The level of aggregation of the information being mapped ing transit, and a variety of new highways, each including normally will vary from one level of study to another. For transit. example, at the corridor level it may be desirable to map .,it the outset of studies, there was a potentially over- environmental districts such as a lake district, whereas at whelming number of options for the location of highway the location/design level the actual bodies of water would and transit facilities within the West Side corridor. In a be significant (Figs, 14, 15, 16). horizontal direction, facilities could be located between the Once the maps have been prepared, the designer can existing highway and the ends of the existing piers. In a identify those features that should be avoided to illustrate vertical direction, the facilities could be tunneled, depressed, each choice he or she wishes to display, and overlay the at-grade, or elevated. Further, the vertical and horizontal maps of these features to form a composite of areas to be location could be different at different points along the avoided. For example, if the designer wishes to develop an corridor. Given this degree of choice, it was necessary to option that would preserve unique areas, he might combine narrow the range of alternatives that should be developed, the maps of various physical features such as recreation even to a sketch planning level of detail. To aid in ac- areas, parks, conservation lands, historic areas, unique complishing this task, the study staff prepared a series of physical formations, scenic areas, streams, rivers, lakes and matrices that showed the effects of possible options at ponds, marshes and swamps, wildlife habitats, and forests. selected points along the corridor (Fig. 10). One or more routes that minimize infringement on the Each option was conceptualized as a box containing high- designated sites can then be traced across the composite way and transit facilities with a given horizontal and verti- map. cal location (called a Location Type Alternative, or LTA). Computer techniques are available that are capable of Critical cross sections were identified at points along the assisting in the map overlay process. Care should be taken, corridor where existing or proposed land uses were felt to however, to use such techniques to suggest possible routes be particularly sensitive to the location of highway and rather than to identify one "best" route through an area. transit facilities. Each entry in the matrix consisted of a Community suggestions should be used to indicate modi- preliminary evaluation of an LTA at a critical cross sec- fications to these initial locations, as well as entirely new tion. These matrices, together with design standards that options. determined feasible combinations of LTAs and rough esti- Although there are presently several variations of these mates of the impacts on a broad range of interests, were mapping techniques, most call for overlaying all of the applied to narrow the range of sketch plan alternatives mapped features to identify the least "total cost" route- (161). the route that is best for engineering, social, and environ- At the conclusion of the initial 6-month planning phase mental values. Most authors recognize the undesirability the number of alternatives was reduced to a small number of assigning relative weights to these different factors, but to be examined in more design detail. As a matter of policy, any process of combining individual feature maps implies the alternatives involving no new highway were not deleted some relative weights and these implied weights affect the in the sketch planning phase, as that was felt to be too early resulting composite map. Also, this method is geared to in the project to so drastically limit choices. identifying options that balance environmental damage and SK" Mwnlww at Cow* MaWne DePressW maktine EWSW A 93 N_@ &a Depr"Sw 44 UAW* Ow UAW CWWt*ft I., @0 I0ftd*orftwTscftio" BW SWUM Peopw A40M LOW 900090040 L-1 __JIILJ @L i-JU A-LIL jJL-j" ri Li WRLP@,@ V4 LJ 1 17 AV uti-A-J, J I it-it TV it -rurt' 71 =r _J 4p@1 ini'L_L r 1wi it NJ I T r V, .4 SKA 4 and Transit Options #3, #1, and #2 bus stations at intermediate points are provided in the service road at Battery Park City, World Trade Center, The SKA 4 facility provides a 6 lane mainline for mixed and 14th Street. These exclusive bus lanes can be traffic at grade and outboard past Battery Park City at converted at a future date to rail rapid transit, or the which point it turns midboard and continues at grade to bus service can be augmented by a new technology transit 23rd Street. Here the alignment moves inboard and goes system. The right-of-way of a proposed people mover elevated at 34th Street. Two depressed exclusive bus loop is also provided for in Lower Manhattan. lanes.begin in the 6 lane service road at the Battery Garage Terminal and continue in the service road median to grade at 38th Street east of the service road. North of 42nd Street, the exclusive bus lanes would operate in the Penn Central right-of-way and end at the highway approaches to the George Washington Bridge. On-line Figure 9. Example sketch plan alternative; New York City West Side Highway Project. 60 CONSOLIDATED PASSENGER 16 SHIP TERMINAL PROPOSED CONVENTION 15 CENTER CIRCLE LINE PIER 14 LINCOLN TUNNEL 13 PIER 76 12 PENN CENTRAL 11 RAIL YARDS CHELSEA PIERS 10 GANSEVOORT -I 4th ST. MEAT MARKET 9 DESTRUCTOR PLANT 8 WEST VILLAGE 7 MORTON STREET PIER AND PATH TUNNEL 6 PIER 40 5 HOLLAND TUNNEL 4 WASHINGTON STREET URBAN RENEWAL AREA 3 WORLD TRADE CENTER 2 BATTERY PARK GARAGE I C) CJ cli n 'IT t@ ti W, 15 W 1--i I- 1--111 _J -i _J -i _J Z >- Z >. Z >- X Z 0 0 Lz 0 a a 0 UJ 0 >- - K - < - 4 U 0 Z S 4 < < < < I--- Z 4 0 1: W 39 0 il: UJ ;: @- 0 UJ LU W W UJ W W W 4 (n LL W W a LL W L, 0 u U, W 3: X X 1: 1 < 0 0 0 U) 0 J 'n T >- X 2 _J W W UJ > -J W M X U) X UJ X us X M 0 00 'D M F, 19 J C5 CD =) Z W U) X Z W Ui W 0 5 F- 4 < ul ;7- > L' > ut cc C, W L) Ir 4 LU W UJ 0 a W a _J LA UJ Z cc Z La 4 a J X , LU in W W _J LLJ I.- tr I'_ Z W (D cn 4 W cr U I (n ir Z Z D UJ > W 0 > Z I- W W jr Cr 4 W cr _J I.- M _J iL U) UJ W W Z Figure 10. Evaluation inatrix for initial sketcli alternatives; New York City West Side Highway Project. construction costs (as well as other costs), but a more Community Interaction acceptable route to the public may favor environmental Community interaction should occur both prior to and dur- protection over minimum construction cost, or vice versa. ing the time alternatives are being developed, gathering To overcome this objection, the product of a mapping information on likes and needs and adjusting design ac- effort should be a set of alternative locations, each empha- tivities to respond to community views. Local officials and sizing preservation of a different type of feature, rather agencies, interest groups, and the general public can con- than one "best" route which, by its basic nature, repre- tribute useful suggestions for alternatives to be considered. sents only one of the many possible options. For example, Using techniques such as workshops, design-ins, or mail a route that would minimize environmental damage should requests, individuals can be encouraged to suggest new be identified, as should one that would maximize economic alternatives or modifications to existing alternatives. The growth. Maps are still being combined; the difference is representativeness of this selection of alternatives would that the number of features combined onto one composite then depend on the variety of interests contributing. Groups map is greatly reduced and only similar features are com- should be encouraged to specify more than one alternative bined. The problems caused by implicit or hidden relative to reduce the likelihood of an interest being in the position weights are minimized because basically different issues are of defending one particular suggestion. Impact prediction not combined, but maintained as separate displays. is particularly important because it serves to help people 61 understand if the alternatives that they proposed actually Alternative Scales of Action accomplish what they intended. Accordingly, it may be possible in many cases to furnish sufficient background data Another basis on which to select a range of alternatives is to community groups so that they themselves can perform the scale of the proposed action. The end points of this some approximate impact analyses. spectrum are familiar; that is, the no-build alternative and Community responses to alternatives may serve as a basis provision of a high-standard facility designed to satisfy un- for improving the plans; their comments may direct the constrained projected demand. There are, however, nu- designers' attention to local problems that can be solved by merous solutions between these endpoints, and in many adding to an existing course of action. Especially impor- cases these intermediate scales of action may provide a tant, effective community interaction may help to point out viable alternative. Some of these intermediate scales of unacceptable alternatives before much time and effort has action might include: been expended on their development. 1. Regulatory changes or traffic management without Community interaction is vital to a good design strategy. any new construction, such as area traffic control or There are numerous examples where suggestions have been signalization. selected for implementation. Two cases from the Boston 2. Spot improvements, such as adding turning lanes or Transportation Planning Review are illustrative of general changing intersections to interchanges. experience. 3. Upgrading the existing facility by widening existing Example: Boston Transportation Planning Review- lanes and shoulders or by adding lanes. Commenting on the contributions of community partici- pants, Steve Lockwood of the BTPR staff reported (119): To consider the full range of alternative scales of action, It was important to this process that it be understood agencies need to be flexible regarding the map scale to be by everybody involved, participants and technicians alike, used during a particular study stage. A general standard that all the plans and technical memos were essentially such as I in. = 200 ft for location studies may not be drafts. This tended to lower the threshold of reactions to sufficient. Different kinds of alternatives need to be mapped tentative solutions and made it possible to generate on the to different scales; urban projects require larger scales than basis of less-detailed technical study a variety of alterna- tives at the outset, which could then be modified. rural projects. As participants became accustomed to playing a role in The consideration of alternative scales of facility also shaping plans, they often took the initiative themselves implies a flexible application of design standards. Design rather than simply establishing a series of defensive pos- standards, if used as rigid constraints rather than as flexible tures to initiatives coming out of the technical process. The continued questioning and exposure to a variety of guides, may discourage the in-depth investigation of par- value positions on the part of the technical staff seemed ticular alternatives. In many cases, there may be an ap- to broaden out professionals' "conventional wisdom" about parent safety-environment tradeoff. For example, a safety- what constitutes what we call nonabsurd alternatives, or conscious design might imply wide paved shoulders, flat what feasibility really means. A number of solutions were constant slopes, and wide right-of-way with all trees and resisted by the technical staff in the beginning, but as dis- cussion forced us to reevaluate the basis of our intuitive other hazards removed. An environmentally sensitive design reactions, some of these proved to be more feasible than may dictate the opposite. we might have thought. Example: Relocation of Hypothetical Route 1000- A specific example is found in the BTPR's Southwest The existing US 1000 (Fig. 11 ) is a two-lane uncontrolled- Corridor Study as reported by Hansen (119): access facility with 10-ft lanes and 5-ft shoulders passing through a small town. Within the town, 10-ft parking lanes . . .in studying alternative transit systems for the are included. The existing road is on a 66-ft right-of-way. southwest corridor, our findings, at least to us, kept in- There are traffic lights at the intersections with State 103, dicating one particular course of action. There was one lady in our working committee who continually said, "But US 2000, and State 22. The speed limits are 30 mph in you haven't studied . . . But you haven't studied . . . ... the town and 50 mph'elsewhere. And we went through the alternatives, and we got to a Traffic projections indicate that a four-lane limited-access draft report, and she said: "But you didn't study this facility will be required between State 22 and US 2000 in other alternative in the right context, and your results therefore are biased." We printed our final report, and about 20 years. In addition, the existing facility has a high she stuck right in there. Finally, one day she got me in accident rate, particularly at the steep grade and sharp the hall, and she said: "I don't think I am getting through curve to the south of town and at the intersection with to you. What I mean to say is that you haven't studied the US 2000, with a slightly lower rate in the town center right alternative. Therefore, although I believe your num- bers, you haven't presented all the numbers you could." at State 103. The bituminous macadam pavement and So we spent a couple of hours and lo and behold, we stabilized-soil shoulders are potted and in need of repair; hadn't studied. As a result, the way our results were pre- the side slopes are eroded. The set of alternatives to be sented, they were in fact biased, not because we didn't like her solution, but because we hadn't looked at it in quite considered might include: the right way-the way she was looking at it. We did a Alternate I-Do nothing. No action is taken other than rerun and, fortunately, prior to public hearings and pub- lic meetings we were able to put out an addendum. Again, routine maintenance. what the lady wanted us to study that we didn't look at in Alternate 2-No build. Parking lanes within the town quite the right way-her way, so that we could fully see would be converted to travel lanes. what she was talking about in terms of service to a par- ticular area-has become a part of the recommended plan. Alternate 3-Major maintenance. The route would be 62 U S interchanges at State 22, State 103, and US 2000. A new 1000 us recreation area would be developed between the new high- 2000 way and the river in the vicinity of State 103. The new highway would be built to Interstate design standards. Variations in Modal Mix Ar COUNTY 402 Proposed highway improvements should be considered in the context of a multimodal transportation system. In a STATE rural setting, this may involve the relationship between 103 highways and railroads for the movement of intercity freight. In urban areas, highways are to be considered in STATE 103 relation to bus, rail, air, port, and other transit systems. Alternative courses of action can be developed that place a different emphasis on the different modes. A range of strategies could include all highways and no transit; a com- TOWN bination, such as highways with provisions for bus lanes or median rail rapid transit, or improved highway access to park-and-ride or kiss-and-ride facilities combined with line- haul transit improvements; and transit improvements with 1% no additions to the supply of highways. 21 % Example: Westside Transportation Evaluation, Atlanta, 7% GRADE ' 120CURVE N Georgia.-The draft Study Design for Atlanta's Westside Transportation Evaluation has adopted three strategies that illustrate the concept of various mixes of multimodal alter- natives (112), as follows: Strategy A-Meet the Atlanta Area Transportation Study us STATE 0 1/4 M1 1/2 Ml- (AATS) projected future demand. Handle most trips on 1000 22 I freeways, from 4 to 8 lanes or larger. This strategy stresses Figure 11, Extunple of alternalive scales of action. highway mobility. It accepts the existing AATS plan. The Metropolitan Atlanta Rapid Transit Authority's planned system is also accepted. Strategy B-Handle most trips on the existing street sys- returned to its original condition, including major repairs tem. Make use of ramp metering to maintain smooth flow to the pavement, shoulders, and side slopes. and increased volume on expressways. Utilize reserved Alternate 4-Minor spot improvements. Turning lanes lanes for buses, multiple-occupancy cars, and other special- would be added at US 2000, State 103, and State 22, utiliz- purpose vehicles. Prohibit on-street parking. Divert auto- ing the existing parking lanes near State 103 for that pur- mobile demand to transit for peak-period work trips. pose. The 12' curve would have the lanes widened to 12 ft Strategy C-Constrain automobile demand. Handle auto and the shoulders to 9 ft, and the superelevation would be movement with major arterial improvements, signalization, adjusted to conform to current design standards. one-way street operations, reversible lanes, and provision of Alternate 5-Minor upgrading on existing right-of-way. riew arterials. Transit changes might include construction Travel lanes would be widened to 12 ft and shoulders to of additional bus and rail rapid transit lines and/or the 8 ft. Travel and parking lanes in the town would be re- inclusion of new stops on approved MARTA lines; chang- duced to 8 ft, and repaved with bituminous macadam. Side ing bus routes; implementing new systems, such as "dial-a- slopes would be reduced from 1: 1 to 1: 3. ride"; and providing park-and-ride facilities at points of Alternate 6-Major spot improvements. A cloverleaf congestion. interchange would be constructed at US 2000 and a dia- mond interchange at State 22. The sharp curve south of Variations in Objective town would be widened to 5' and the grade reduced to 31/2 percent. A climbing lane would be added in the Inasmuch as transportation decisions can have a significant southbound direction. effect on the shape of a community's future, this relation- Alternate 7-Major upgrading on existing right-of-way. ship should be recognized and displayed as a point of The existing facility would be widened to four 12-ft lanes choice. Alternatives should provide a choice of objectives (10 ft in town) with 8-ft shoulders between US 2000 and for the future, as well as a choice of ways to reach these State 22. objectives. In doing this, the examination of alternatives Alternate 8-Construction on new right-of-way. A new will help to clarify the tradeoffs among alternative futures. four-lane limited-access divided highway would be con- Alternative objectives can be identified through com- structed on new right-of-way located between the town and munity interaction and can serve as the basis for an initial the river from south of State 22 to north of US 2000, with set of transportation alternatives. In this approach an alter- 63 native is developed such that it supports one particular Z identified objective, with different alternatives being ori- Z ented to the achievement of different objectives. Objectives 0 are not necessarily compatible and, in fact, would be ex- Z LU pected to be in conflict. The intent is to develop initially Z a wide range of alternatives to assist individual interests in > better understanding the implications of their stated ob- Z X UJ jectives. The alternatives would be expected to vary in Z 0 0 mode and type of facility as well as in location. Compro- U) t mise and the combining of individual features of particular 0 -1 1, 0 _JE Z a: alternatives would occur after this initial analysis. Z a 0M a 0 LU M & Alternative objectives that may be appropriate to an 7 ZZ Z Z urban area might include minimizing school takings, mini- > > 0 0 0 mizing splitting of neighborhoods, minimizing job losses, cr M C>0 0 0 X M M 0 maximizing taking of old and marginal schools that need G G GZ relocation or replacement, and maximizing the quality of the perceptual sequence for the user. Even though the action ultimately decided on will almost certainly reflect a MODE MAJ MIN IMAJIMODIMAJIMAJ MOD I J I compromise among these initial objectives, the examination DO NOTHING 4 4 4 4 1 4 4 1 1 1 IMPROVE AIR a 3 33 3 1 33 1 of such "extreme" conditions can better illustrate and RAIL 2 2 22 2 122 1 HIGHWAY identify issues. TYPE OF FACILITY Example: Michigan Route 311131 Northwest Region NUMBER OF LANES -MOD MIN MOD MOD MLOD MOD MOD 2 4 4 44 4 4_ 4 Study.-This approach was used in the Northwest Michi- 4 W/O MEDIAN 3 3 33 3 3 3 4 WITH MEDIAN I I II I II gan regional study, where alternative objectives similar to 5 2 2 22 2 22 the following were identified as a result of public meetings LOCATION MODIMOD MIN MOD MI@L MOD MOD . . . EXISTING R.O.W. 3 3 22 3 32 and discussions with community leaders: CLOSE TO POP CTRS I I II I I I II DI T FROM Pop CTRS 2 2 212 2 2.2 ACCESS � Protection of the natural environment. ACCESS MOD MIN IN MOD MIN MIN MIN FREE 2 2 21 2 21 � Improve transportation service. LIMITED I 1 1 2 1 1 2 INTERSECTIONS MOD MIN MIN MIN MIN MIN MIN 2 2 � Growth in business. RADE SEPARATED [--IL_ 11 111 ]@E � Growth in industry. AT GRADE 2 2 22 G � Growth in tourism. � Growth in agriculture. LEGEND � No growth in industry. NO: NO SIGNIFICANT RELATIONSHIP MIN MINOR RELATIONSHIP � No growth in business. MOD MODERATE RELATIONSHIP � No growth in tourism. MAJ MAJOR RELATIONSHIP I INDICATES THE MOST DESIRABLE ALTERNATIVE One alternative was defined to achieve each alternative Figure 12. Example of summary impact element matrix. objective. Because some of the objectives are in direct con- flict, one option was developed, for example, that would facilitate tourist visits whereas another choice was designed to explicitly act as a barrier to future growth in tourism 0 Four-lane with median, free access, on new location and related industries. near population centers. The option selected for each element of an alternative 0 Two-lane, limited access, on new location distant from is the one that best serves the objective to be addressed population centers. (Fig. 12). The options for each element are ranked against 0 Four-lane with median, limited access, on new location one another for their ability to produce the desired impact. distant from population centers. The alternative for the objective, then, consists of the Corridors satisfying the foregoing characteristics were then highest-ranked option for all of the elements. (In more laid out on previously developed environmental maps, using complex cases, it may be necessary to further define an the mapping technique discussed earlier and in the follow- objective in terms of actual impacts. A summary ranking ing section. can then be made for all impacts under that objective.) A variation of the objective orientation approach is to In the Michigan application, the number of lanes, access address an alternative to meet the primary needs of a control, and general location were considered. The follow- specific interest (such as summer residents) rather than to ing alternatives were selected for initial consideration: the accomplishment of a particular objective (economic growth). Through community interaction, an alternative 0 Two-lane, free access, on existing right-of-way. can be selected that will-best accomplish the interests' mix 0 Two-lane, limited access, on existing right-of-way. of objectives. Figure 13 shows an example of what an @4 3 2 MOD 4 0 Four-lane with median, limited access, on new location information matrix might look like if applied to the North- near population centers. West Michigan Study. 64 affected both beneficially and adversely. Those individuals 0 and businesses directly displaced by a transportation proj- ect, and the potential users of an improved facility, are Z obvious examples of specific interests affected. Other inter- M 2 0 0 ests may include town and city governments (particularly Z W impacts caused by tax base changes), school districts, eth- Z 0 a. P: I'_ Z nic groups, neighborhoods, low-income groups, handi- X a 0 Z capped persons, persons not owning automobiles, adjacent Z W Z 0 @i Q. W residents and institutions, area businesses and industries, a 0 Z , 0 0 d recreational facilities. an Ch > 0 0 (n This section develops basic requirements for impact pre- 0 M - Q. < 0 diction and describes methods to assist in identifying and 0 > in - Z establishing priorities of impacts and in selecting which pre- > < , , W W 1 0, a Z Z 0 M diction techniques to use. The relationship of impact pre- W W 2 X diction to other functions, notably community interaction 0 4: Z Z M W UJ and the consideration of alternatives, is described, and a to 0 D LU W series of examples and impact typologies are included. A comprehensive catalogue of technical impact predic- tion techniques and discussion of their use is not presented. MODE MAJ MOD MAJ MAJ MAJ MAJ MOD Rather, the emphasis is on the requirements to be satisfied DO NOTHING 4 2 4 4 4 3 IMPROVE AIR 3 3 3 3 3_ 1 by such techniques and the process context in which such RAIL 2 4_ 2 2 2 3 2 HIGHWAY I I I 1 1 4 2 techniques are used. To demonstrate these requirements TYPE OF FACILITY and to illustrate the interrelationships between various im- NUMBER OF LANES MAJ MAJ MAJ MAJ MAJ MAJ MOD 2 4 4__ 1 41 41 41 1 pacts, five impact types-air quality, community cohesion, 4 W/O MEDIAN 3 21 31 31 3 2 2 4 WITH MEDIAN 1 31 1111 1 3 3 network flows, accessibility, and mobility for special groups 5 1 2 2 2 3 31 -are discussed in Appendix B. LOCATION MIN MAJ MOD MIN IMIN MAJ MAJ EXISTING R.O.W. 1 2 21 2 1 1 CLOSE TO POP CTRS 1 2 1 11 1 2 2 Compensation for Adverse Effects DIST FROM POP CTRS2 3 3 31 3 3 21 ACCESS Increased attention in transportation planning is being given ACCESS MOD MA FREE 2 M, J MOD RAOD IMOD MOD MOD t 2 2 2 2 o issues of equity, recognizing that interests receiving un LIMITED 1 2 1 1 1 1 1 due burd INTERSECTIONS WO.- W.- _mTNMOD MOD M I NMIN ens from implementation of a project should be AT GRADE 2 __@_ 2 2 2 1 1 1. compensated for these adverse effects. Compensatory pro- GRADE SEWATED I . 2 1 1 1 2 1 2 grams should be developed in parallel with transportation- LEGEND oriented components of a course of action, as they are one MIN : MINOR CONCERN TO INTEREST of several available mechanisms for eliminating or mini- MOD: MODERATE CONCERN TO INTEREST mizing adverse effects. MAJ @ MAJOR CONCERN TO INTEREST Compensatory programs are generally aimed at a spe- I INDICATES THE MOST DESIRABLE ALTERNATIVE cific target or common interest. Thus, impact information Figure 13. Example of interest element matrix. cannot be examined in the aggregate, ignoring the fact that different interests are affected differently by different im- pacts; it is necessary to determine who would be affected and the nature and extent of impact. IDENTIFICATION OF IMPACTS AND The principal existing compensatory program on a na- AFFECTED INTERESTS tional basis is the 1970 Uniform Relocation Assistance and Impact prediction is the identification and estimation of the Real Property Acquisition Act. The Act, directed at indi- potential direct and indirect transportation, economic, en- viduals actually displaced, was a major step toward more vironmental, and social effects of implementing a particu- equitable compensatory practices in that it allows reloca- lar course of action. These effects include items such as tion assistance over and above "fair market value" in order changes in activity distribution patterns, travel demand, to account for other costs incurred, extends relocation as- ecological relationships, and neighborhood character. In- sistance to renters as well as owners, and requires the formation on impacts is necessary so that decision-makers existence of decent, safe, and sanitary replacement housing -whether a governor or a technician-are fully informed prior to relocation. of the issues of choice. Impact information serves to guide Several states have developed their own unique com- pensatory programs that are directed at additional inter- IN designers in the development and refinement of alternatives, ests. For example, proposals either enacted by or proposed suggesting possible changes that will eliminate or minimize to the California state legislature include the following: an adverse impact and identifying those areas where com- pensation of some form is desirable to achieve a more 0 Lease to a local agency for park purposes the remain- equitable solution. ing portion of land not needed for state highway purposes. Impacts are incident upon particular people or interests, * Lease nonoperating right-of-way areas to municipali- with some benefiting, some adversely affected, and some ties or other local agencies for public purposes, and may 65 contribute toward the cost of developing local parks and course of action that is socially, economically, and environ- other recreational facilities on such areas. mentally sound as well as technically beneficial. Social, 0 Reimburse school districts for temporary loss of tax economic, and environmental effects must be identified as base revenue. early as possible and treated as integral components of a * Undertake noise abatement programs in schools where transportation alternative. Predictions must be made as the freeway traffic noise exceeds 50 decibels (A). alternative is being developed. Although there may be limitations in the state of the art in identifying and analyz- Attention also is being given to compensatory programs ing some social, economic, and environmental effects, par- for those interests immediately adjacent to the highway ticularly second-order effects, the limitations are not suffi- right-of-way. As one example, proposals developed by the cient to justify ignoring these considerations during any Secretary of State for the Environment in the United King- portion of a planning and design process. dom (20,3, 214) and recently enacted by Parliament in- 3. Document-associated uncertainty. impact predictions clude provisions for installation of sound insulation where are rarely precise measurements, but rather "best esti- the predicted noise level at the outside of a dwelling would mates" given a particular set of assumptions about com- be above a specified level; and owners and occupiers of munity trends and a particular state of the art in prediction residential property, farms, and small business premises capability. Long project lead times, changes in community will be eligible for compensation for any significant de- characteristics, and changes in participants can lead to preciation in the value of their property where such de- much uncertainty about many predictions. Although com- preciation is caused by nuisances, noise, or smell resulting munity interaction, more data, and more precise prediction from the use of the roadway. The costs of providing these techniques can sometimes help to reduce this uncertainty, measures is to be met by the public authorities responsible uncertainty should nevertheless be documented, possibly by for the road-building. giving an estimated range rather than a single value, because Direct monetary payments and provision of new or re- it could significantly alter the decisions that will be made. placement facilities are only two of the ways of ameliorat- 4. Deal with qualitative information. Many social and ing negative effects. Increased land-use control is another environmental impacts can be described best by verbal commonly proposed technique. description or visual illustration. The impact prediction Although compensatory programs vary in their specifies, process must take these impacts into account, as well as a common element is that each is aimed at a particular kind those that are quantifiable. of interest, thereby implying that these interests be clearly 5. Be sensitive to people's perceptions of impacts. The identified as part of the impact prediction process. very existence of certain impacts depends on people's per- Basic Impact Identification Strategy ceptions. Even when people agree that a particular impact may exist, they may not concur on its implications for Requirements themselves or for the community as a whole. It therefore is important to determine people's perceptions of impacts, Information on impacts and affected interests should be and to document differences in perceptions and interpreta- keyed to satisfying several fundamental requirements. The tions of impacts. requirements are applicable to any level of planning-sys- 6. Address indirect impacts. Transportation facilities tem, corridor, or project. Successive planning phases should frequently cause impacts that have ramifications beyond be able to employ many of the data gathered and generated their primary consequences. To some extent, impacts op- during earlier phases and should be oriented to adding only erate in causal chains. That is, the primary impacts of a that detailed information appropriate to a more micro- facility (dislocations, access change, noise, air pollution, oriented analysis. visual disruption) may cause secondary consequences (such The primary requirement for impact information, as dis- as land value and land-use changes and new patterns of cussed in earlier sections, is that it: commercial development). These, in turn, may cause a 1. Indicate how particular interests are aflected by trans- third round of consequences, such as reduced community portation proposals. Institutions, people, and matters of satisfaction and tax changes. Efforts should be made to concern ranging from the economy to wildlife are affected determine these indirect effects and make decision-makers in different ways by different transportation proposals. The aware of the possibility of their occurrence. impact prediction process must determine the manner and 7. Determine the time frame in which particular impacts extent to which specific interests are beneficially or ad- are likely to occur. A particular impact may differ in mag- versely affected and must maintain the information in dis- nitude and incidence depending on the period of time Linder aggregate form so that the issues to be resolved are consideration, For example, noise and air quality problems highlighted. during construction are likely to be very different from Within this broad requirement, the following seven ad- those during operation of the facility. Some psychological, ditional requirements can be specified. physiological and social impacts, land-use changes, and 2. Give as much importance to social, economic, and en- economic effects require long periods of time to appear, vironmental impacts as to transportation impacts through- out all phases of a planning/design process, especially whereas other impacts are short-term or one-time (e.g., early in system and project planning. In performing any housing removal). The impact prediction process should study, even very small ones, the objective is to develop a be geared to determine when particular impacts will occur 66 and how the magnitude and extent of an impact will change An affected interest, as given in Table 8, can be defined over time. as people (groups or unaffiliated individuals), institutions 8. Assign priorities to studies of particular impacts. For (including public agencies, governments, businesses, and most projects, the number of potential impacts is quite private organizations), and resources (air quality, cultural large. Although the objective should be to predict as many and historic sites, wildlife, etc.) that may receive impacts, consequences of implementing a course of action as possi- either beneficial or adverse. Thus, affected interests might ble, full attainment of this goal is seldom possible. Some include homeowners, renters, and businesses potentially dis- impacts, however, will be more significant, either legally or placed by, left adjacent to, or located near a proposed to the groups and individuals affected, and should be given transportation facility; neighborhoods, public services dis- a high priority in the prediction process. Work toward tricts, and local governments; indigenous flora and fauna, impact prediction should begin prior to the development national and state parks, and so on. of alternatives with the collection of a base of social, Relevant data to be examined will vary with the nature economic, environmental and transportation information. of the interest affected: for communities or neighborhoods, During an early sketch planning phase, impact prediction these would include economic, demographic, land-use, and concentrates on developing quick and approximate predic- similar information; for a particular wildlife species, maps tions of many impacts for many alternatives. As the num- of habitats, life support requirements, etc. The information ber of alternatives is reduced and as alternatives are de- indicates any relevant expressions of attitudes, opinions, or veloped in greater detail, emphasis shifts to more accurate concern about particular impacts. For interests like neigh- predictions of those impacts that are determined to be borhoods or institutions, this information would come from especially sensitive to changes in the transportation system. direct communication with residents or representatives, In summary, if a planning process is to be responsive to news articles, etc. For interests like wildlife, these con- the needs and desires of all persons potentially affected, cerns may be expressed by local residents, state agencies, alternatives must be developed which enhance positive im- or private organizations. pacts and minimize negative ones. In order for this kind Generalized typologies of impacts (Table 9) can be use- of flexible, responsive process to occur there must be a ful as checklists, although care should be taken to use such continuous flow of information between community and lists flexibly. Different transportation proposals vary so technical staff during the development of alternatives and greatly as to mode, location, scale, and other factors that impact prediction. This cannot occur if impacts are pre- they create substantially different sets of impacts and inter- dicted in a "one shot" approach after all alternatives have ests. For example, a highway in a rural area might impact been developed and selection is about to be made. a highly important outdoor recreation industry. Then, "effect on recreation industry" becomes an impact to be Information Collection considered and "users of recreation facilities," etc., are As soon as an area has been designated for study, an initial interests affected. An expressway planned to pass through survey of the area can be made to gain an understanding a low-income urban community, on the other hand, would of its character and needs, likely impacts, and potentially not likely generate the same kinds of concern. Instead, affected interests. The information gathered is used to significant impacts are likely to be "air pollution," "com- identify significant issues in the study area. These, in turn, munity disruption," "houses dislocated," and "access to give direction to the rest of the prediction process. A cen- employment," while interests such as "community resi- tralized filing system, organized to facilitate easy retrieval, dents," "suburban commuters" and "displaced homeown- should be set up. ers" would have to be considered. Information sources for the initial survey include fed- eral, state, and local agencies; existing reports; fieldwork; aerial photography; public meetings; surveys; interviews with spokesmen for various interest groups, and other such TABLE 8 activities. Interaction with community groups can often AFFECTED INTEREST TYPOLOGY point out features that other sources may not uncover. Specific data that should be considered for collection, along I .DISPLACED INDIVIDUALS AND ORGANIZATIONS. with potential sources are given in Table 10. Examples of 2. INDIVIDUALS AND ORGANIZATIONS LEFT ADJACENT TO appropriate federal agencies are listed in CEQ guidelines THE HIGHWAY. for the preparation of Environmental Impact Statements. 3. INDIVIDUALS AND ORGANIZATIONS WITHIN NEIGHBORHOODS It is unlikely, however, that any individual study will re- AND AREAS CLOSE TO THE HIGHWAY. quire all of the information listed in this table. 4. INDIVIDUALS AND ORGANIZATIONS WITHIN MUNICIPALITIES Impact prediction activities should be closely coordi- CLOSE TO THE HIGHWAY. nated with other public agencies. The earlier section on 5. INDIVIDUALS AND ORGANIZATIONS WITHIN PUBLIC SERVICE "Community Interaction" discusses sources of existing data DISTRICTS AFFECTED BY THE HIGHWAY. and the kinds of information that may be available from 6. COUNTY -WIDE OR METROPOLITAN ORGANIZATIONS, THEIR these sources. Many of these agencies already may have CONSTITUENTS AND THE USERS OF THEIR FACILITIES. gathered extensive environmental data (e.g., housing stock, 7. STATE-AND REGION-WIDE ORGANIZATIONS. community characteristics, land use, pollution). The A-95 8. NATIONAL ORGANIZATIONS. Clearinghouse Review carried out at the initiation of proj- TABLE 9 IMPACT TYPES OPERATIONAL IMPACTS ENVIRONMENTAL IMPACTS NETWORK FACILITY SERVICE BY MODE EFFECTS OF TRAFFIC EFFECTS OF ROADWAY STRUCTURE NETWORK INTEGRATION SHORT RUN OPERATING ACCESSIBILITY USER GOODS AIR POLLUTION NOISE WATER NATURAL RESOURCES SYSTEM OPERATION CONDITIONS PUBLIC SERVIHS TOTAL TRIP SPEED GOODS DISTRIBUTION REAL ESTATE VALUES PSYCHOLOGICAL EFFECTS DRAINAGE ANIMAL LIFE EFFECT ON ARTERIAL LONG RUN OPERATING JOBS TRAVEL TIME FREIGHT COSTS MATERIAL DETERIORATION ABILITY TO CONCENTRATE DIVERSION ANIMAL MIGRATORY PATHS AND LOCAL STREET CONDITIONS RECREATION TRIP LENGTH DELIVERY SERVICES POWER DEMANDS SLEEP EROSION PLANT LIFE SYSTEMS RELATION TO FUTURE COMMERCIAL INDUSTRY ACCIDENT RECORD TERMINAL LOCATION MENTAL DEPRESSION NUISANCE ACCESS TO LIGHT CULTIVATED AREAS SAFETY TECHNOLOGY PLANS CHURCHES OPERATING COST AND OPERATION BALANCE OF NATURE UNCULTIVATED AREAS AND DEVELOPMENT MEDICAL TRIP RELIABILITY DUST ACCESS TO LIGHT SAFETY SHOPPING COMFORT, CONVENIENCE, GLARE MODAL COORDfNAr(ON CULTURAL 6 OTHER QUAL(TAT(VE SOILS FRIENDS FACTORS ENERGY CONSUMPTION RELATIVES LEVEL OF SERVICE SOCIAL SERVICES USAGE PARKING ACTIVITY DISTRIBUTION IMPACTS ESTHETIC IMPACTS LAND USE DEVELOPMENT TYPE DEVELOPMENT OPPORTUNITIES VIEW OF T4E FACILITY VIEW FROM THE FACILITY NATURAL BEAUTY PARKLAND POPULATION JOINT DEVELOPMENT LIGHTING LOCATION OPEN SPACES OPEN SPACE EMPLOYMENT SHORT TERM DARK AREAS PERCEPTION SEQUENCE GREENERY RESIDENTIAL IN DUSTRY LONG TERM COLD LIGHT DESIGN PARK SYSTEM COMMERCIAL PRODUCTION REZONING MONOTONY RHYTHM BOULEVARDS OR GARDENS INDUSTRIAL MARKETS CAPITAL PROGRAM LOCATION SIGNING LAKES INSTITUTIONAL OBSTRUCTION OF SUNLIGHT WILDLIFE HABITATS MONETARY IMPACTS CHANGE OF AIR CURRENTS AGENCY COSTS USER COSTS NEIGHBORHOOD COSTS COMMUNITY COSTS DISPLACEE COSTS VISUAL BARRIER ARCHITECTURAL QUALITY RIGHT -OF -WAY OPERATING PROPERTY VALUES INCOME REPLACEMENT COSTS IMAGE -ABILITY CONSTRUCTION MAINTENANCE RENTS PRODUCTION VALUE MORTGAGES AND DIMENSIONAL BALANCE AUXILIARY FACILITIES PARKING ASSESSMENTS JOBS I INVESTMENTS BEAUTY REPLACEMENT HOUSING INSURANCE TAXES ASSESSMENT, TAXES RENTS ORIENTATION REPLACEMENT OF ACC IDENT POLLUTION PROVISION OF SERVICES TITLE FEES PSYCHOLOGICAL BARRIER FACILITIES TIME BLIGHT REGIONAL ECONOMY MOVING EXPENSES MAINTENANCE FARES ACCESSIBILITY CLIENTELE LOSS REVENUE SOURCES OR GAIN INSTITUTIONAL IMPACTS RELOCATION SERVICES ADMINISTRATIVE COMMUNITY COST OF CAPITAL GOVERNMENTAL PRIVATE HISTORICAL SITES CULTURAL SITES SOCIAL IMPACTS BUDGETS EDUCATIONAL COMMUNITY BOUNDARIES COMMUNITY CHARACTER C<)MMUNITY FUNCTION COMMUNITY ECONOMY COMMUNITY ACCESSIBILITY REVENUES RELIGIOUS COMMITMENTS MILI TARY RELIGIOUS COHESION AND STABILITY SAFETY HOUSING SUPPLY CHURCH PRIORITIES CORPORATE SCHOOL STRUCTURE HOUSING QUALITY EMPLOY MENT SCHOOL LAWS INDUSTRIAL POL ITICAL WARD I DEN T I TY PUBLIC SERVICES LAND VALUES ENTERT41NMENT ORDINANCES ETHNIC DISTRICT GOALS EMPLOYMENT LEVELS ZONING FRIENDS BY LAWS NEIGHBORHOOD ATTITUDE S INDUSTRIAL AND RELATIVES GOALS AND PROGRAMS POPULATION COMPOSITIO FARMING PROCESSES SHOPPING (NATIONAL DEFENSE, PEDESTRIAN CIRCU- RECREATION CONSERVATION, RECRE- LATION PARKS ATION, ETC.) JOBS REGIONAL ACCESS COMMUNITY SERVICES I 68 TABLE 10 DATA SOURCES EXAMPLE OF DATA REQUIREMENTS AND DATA SOURCES EXISTING DATA NEW DATA DATA NATURAL ENVIRONMENT WILDLIFE; SPECIES, HABITATS, POPULATIONS, MIGRATORY ROUTES VEGETATION: SPECIES, EXTENT OF COVER, HEIGHT, DENSITY, HEALTH, UNIQUE PATTERNS WATER:SURFACE WATER BODIES, FLOWS, FLOODPLAINS, GROUNDWATER, WELLS, AQUIFERS, DRAINAGE PATTERNS, USES LANDFORM AND TOPOGRAPHY: LANDFORMS,TYPE AND SIZE; GEOLOGICAL BASE; SOILS,TYPES, DEPTH , DRAINAGE, SUSCEPTIBILITY TO EROSION , POTENTIAL USES; ELEVATION POLLUTION LEVELS: AIR, WATER AND NOISE CLIMATE AND MICROCLIMATE: SNOW RECORDS, STORM TRACKS, NUMBER OF DAYS OF SUNSHINE, SPECIAL WIND CONDITIONS GENERA ECOLOGICAL RELATIONSHIPS: FOOD CYCLES, PREY-PREDATOR RELATIONSHIPS, DEVELOPMENTAL STAGE COMMUNITY CHARACTERISTICS POPULATION:TOTAL, DENSITY, DISTRIBUTION, AGE, ETHNIC BACKGROUND, LENGTH OF RESIDENCE, INCOME, TRENDS LAND USE: COMMERCIAL, INDUSTRIAL, RESI DENTIAL, AGR ICU TURAL, PUBLIC PARKS AND RECREATIONAL, INSTITUTIONAL, GOVERNMENTAL, CEMETERIES VACANT, ETC. INTENSITY OF LAND USE: DENSITY, PRODUCTIVITY, CAPACITY, EMPLOYMENT, ETC. AREAS OF SPECIAL SIGNIFICANCE: SCENIC, HISTORICAL, UNIQUE ARCHITECTURE, SCHOOLS, CHURCHES, HOSPITALS, SERVICE CENTERS HOUSING STOCK: VACANCY RATES, RENTS, CONDITION , OWNER/RENTER DISTRIBUTION BOUNDARIES: MUNICIPAL, COUNTY, STATE, SCHOOL, POLICE, FIRE GOVERNMENT: LAWS, BUDGETS, REVEN U ES,TAX BASE, ESTABLISHED PRIORITIES, PLANS, GOALS, PROGRAMS AND PROCEDURES EMPLOYMENT: LOCATION,TYPE,LEVEL OF SKILL, WAGE LEVEL ECONOMIC : MARKETS , MONEY FLOWS, LAND VALUES , TRENDS TRANSPORTATION UTILITIES EXISTING FACILITIES: ROADS, RAILROADS, BUS LINES, AIRPORTS , WATERWAYS, TERMINAL FACILITIES , OTHER MODES SERVICE CHARACTERISTICS' SCHEDULES, FARES, CONVENIENCE,CONDITION,TRAFFIC VOLUME, ACCIDENT RATES AND LOCATIONS,TRIP PURPOSE PEDESTRIAN MOBILITY: MAJOR PEDESTRIAN ROUTES UTILITIES: TYPE , LOCATION , CAPACITY , PRESENT LOAD ect studies can be used to help develop this information. sister state agencies, often formalized via memoranda of State and metropolitan clearinghouse members have recog- understanding. In-depth contact with such agencies early nized responsibilities in particular areas of expertise and as in project studies is a good source of information on poten- such will be concerned with at least some affected inter- tial impacts, affected interests, and additional spokesmen ests. Appropriate wording and questions contained in the or representatives. Agencies with designated environmen- project notification circulation can be used to obtain addi- tal responsibilities also may have the capability to predict tional information on impacts and affected interst. impacts for the transportation agency. Also, state transportation agencies frequnetly have par- Environmental and conservation data can be briefly ex- ticularyly close working relationships with two or three amined, as an example, to indicate the kinds of analyses 84qX project notification circulation can be used to obtain addi- tal responsibilities also may have the capability to predict tional information on impacts and affected interests. impacts for the transportation agency. Also, state transportation agencies frequently have par- Environmental and conservation data can be briefly ex- ticularly close working relationships with two or three amined, as an example, to indicate the kinds of analyses 69 that can be performed prior to the development of alterna- NEEDS FOR TECHNIQUES AVAILABLE INFORMATION FOR DEVELOPING tives. Typical data in a rural setting might include wild- IMPACT INFORMATION life species, habitats, and migratory routes; water and air quality; and soil, vegetation, and geology data. Sources of these data would include the state department of natural resources, private conservation groups, fieldwork, and air photo interpretation. Once such data have been collected, FORMAT AND the sensitivity of the various species and features to the CURRENT ACCURACY OF COST IN STUDY provision of improved transportation facilities can be de- UNCERTAINTY OUTPUT RESOURCES termined. One possible scheme to roughly classify areas as to degree of sensitivity is as follows: REDUCTION L OF 1. Very sensitive to intrusion; avoid if at all possible. UNCERTAINTY 2. Able to withstand a highway without significant DEVELOPMENT OF damage. IMPACT PREDICTION 3. Sensitivity depends on location and design decisions; WORK PROGRAM more in-depth analysis is needed. 1 4. Subject to federal or state legislation (e.g., 4(f) areas). ASSESSMENT Such division, however, is only a guideline and each ele- OF WORK ment must be considered in the context of tradeoffs with PROGRAM other positive and negative impacts. STUDY RESOURCE REPORTING CONSTRAINTS REQUIREMENTS From this kind of information, possible constraints on the location and design of a project can be determined, Figure 14. Factors in the choice of impact prediction tech- together with opportunities for planning the project to niques. conform to other facets of the area. Other data, as well, can be mapped. The locations of schools, religious institutions, fire stations, police stations, In predicting some impacts (for example, link travel and public utilities, and routes they use, and the districts times or pollutant emissions) it may be necessary to con- they serve, can be mapped as a means of displaying poten- sider both average and peak-period levels to get a more tially sensitive areas. Accessibility measures may also be accurate picture of the effect. The uncertainty of some useful in displaying the service characteristics of some of impacts, especially at points early in the planning process, these activities, indicating how a transportation project should be stressed in reporting impact results. For exam- might be able to improve them. ple, where there is significant uncertainty in a predicted Classifying areas in this manner and soliciting opinions impact, the likely range of values could be indicated. from people will allow the planner to determine which To facilitate an examination of alternate techniques, an factors are potential issues in the area and, if so, how agency should maintain an up-to-date working catalogue of critical they are. impact prediction techniques for use by agency personnel. The catalogue could be the responsibility of a headquarters Impact Prediction Techniques environmental unit, with the assistance of state environ- mental agencies and of the U.S. Department of Transporta- An important decision to be made in planning and design tion. For each impact type, the catalogue would contain studies is the choice of the specific set of prediction tech- a brief description of key definitions, issues, references, and niques to use. Important considerations include the level summaries of available techniques. The operation of each Of Study (system, corridor, or project) ; the resources avail- technique should be described, together with input data able; and the accuracy desired (Fig. 14). Table I I identi- requirements, data sources, outputs produced, resources re- fies currently available techniques for predicting environ- quired, level of planning for which the technique may be mental, economic, community, and transportation impacts, appropriate, advantages, disadvantages, and references. together with an assessment of resources required for use An important consideration in deciding on prediction of a particular technique and the level of planning for activities is the resources and capabilities available within which use of that technique may be most appropriate. This the agency, from other state and local agencies, and from table is not intended to be definitive, but rather to indicate outside consultants and groups. In some cases the planner that real choices do exist and that different techniques are may decide to perform quick estimates of many impacts appropriate for different contexts. In choosing a set of instead of taking a more in-depth look at a few. The results techniques for any one study and for each relevant im- of these quick predictions can be used to indicate which pact, it is important to examine the advantages and dis- impacts are most significant and, therefore, in need of more advantages of each available technique. The indications detailed study. This approach is especially appropriate at given in Table I I are generalizations that may not be the system level when detailed plans have not been de- applicable to any one unique study. In addition, the state veloped. It is difficult at the systems stage to predict im- of the art of prediction techniques is changing rapidly and pacts very accurately, so the use of approximate techniques new techniques are continuously becoming available. is more justified. In deciding whether to use a more ac- 70 TABLE 11 CATALOG OF IMPACT PREDICTION TECHNIQUES LEVEL OF PLANNING RESOURCE REQUIREMENTS TECHNIQUE SYSTEMICORRIDOR PROJECT LOW MODERATE HIGH_ A. ENVIROMENTAL AND CONSERVATION I .AIR POLLUTION 0. EMISSION FACTOR MODELS x X X b.DISPERSION MODELS X Xx X c. APRAC - I A DIFFUSION MODEL x X 0 X d ROLLBACK MODEL x x X e.BOX MODEL X X X 2. NOISE POLLUTION a.COMPARATIVE STUDIES X X b.ESTIMATING EQUATIONS 0 x x c.COMPUTER MODELS X X d.NOISE-LAND USE SURVEYS x x X X O.PHYSICAL MODELS x X f.NOMOGRAPHS 0 X x 3. ECOSYSTEM a.NATURAL RESOURCE INVENTORY X x 0 DEPENDS ON LEVELOFDETAIL b. 810 ASSAYS 0 X x C. ECOLOGICAL RELATIONSHIPS 0 0 x X d. ECOLOGICAL MODELS X X X X -4. AESTHETICS 0. INDEX OF VISUAL INTRUSION x x b. PHOTOGRAPHIC STUDIES X X c. PHYSfCAL MODELS X x -5. VIBRATION COMPARATIVE STUDIES x x -6. WATER RESOURCES o.CHLORIDE ESTIMATES X X b. COMPARATIVE STUDIES -0 x X c. METEOROLOGICAL DISPERSION MODELS X X x 7. HISTORIC PRESERVATION I HISTORIC RESOURCE INVENTORY X x X DEPENDS ON LEVEL OF DETAIL B, INDUCED ECONOMIC I EMPLOYMENT AND ECONOMIC ACTIVITY O.ECONOMIC BASE STUDIES X X 0 X b. CORRELATIVE STUDIES x x x C. INPUT- OUTPUT MODELS X X d. HIGHWAY USAGE INDICATORS X- x X 9.ECONOMETRfC MODELS X X x f.BUSINESS DISLOCATION STUDIES x X g. SIMULATION MODELS x 0 0 X 2. TAX BASE CHANGE ROW ASSESSMENT x X X X C. COMMUNITY I .HOUSING DISLOCATION a. RESIDENTIAL DENSITY METHOD X X X b. HOUSING STUDIES X X X DEPENDS ON LEVEL OF DETAIL 2. EVIRONMENTAL CAPACITY ANNOYANCE INDEX 0 0 X x 3. COMMUNITY DISRUPTION o.NEIGHBORHOOD SOCIAL INTERACTION INDEX x X x b. NEIGHBOR1400D INDEX x X X x c. PEDESTRIAN DEPENDENCE INDICATORS 0 x x X d.RESIDENTIAL LINKAGES X x X e.MOBILITY INDEX x x X f.SOCIAL CAPACITY INDICATORS x X D. TRANSPORTATION SERVICE 1. ACCESSIBILITY O.ACCESSIBILITY INDICES X X 0 X b.'ACCESSIBILITY GRAPHS X X 0 X c. ISOCHRONAL MAPS x x x X 2. MOBILITY SPECIAL GROUPS NO SPECIFIC TECHNIQUES EXIST 3. PEDESTRIAN MOBILITY NO SPECIFIC TECHNIQUES EXIST 4. EXPOSURE TO CO . CO MODEL 0 0 x X 5. VIEW FROM THE ROAD O.LAND 0 X X b. VISUAL VALUES X X X E.ACTIVITY DISTRIBUTION 1. LAND USE a. CORRELATIVE STUDIES X X x x F 0 )x@ W vx b. INDEX OF DEVELOPMENT PRESSURE x X X X C. URBAN DEVELOPMENT MODELS x X 0 x 2. POPULATION ECONOMETRIC MODELS x X x Ob@ URBAN DEVELOPMENT MODELS X X 0 X BEST LEVEL OF PLANNING FOR USING TECHNIQUE. 0 OTHER LEVELS OF PLANNING FOR WHICH TECHNIQUE IS APPLICABLE. 71 curate technique, the question to be asked is whether more 3. Pending legislation and/or court rulings. The man- detailed information on an impact will clarify issues and ner in which impact prediction is performed may be in- make the final decision easier, and if so, if it is worth the fluenced or even mandated by laws or court cases. Al- cost. though changes in these factors are difficult to anticipate, Because of the vast number of potential impacts from it may be wise to delay or anticipate certain prediction a highway project, and the staff resource limitations that activities if legal requirements are expected to change in the will probably exist, it is important to determine the most near future. important impacts so as to obtain maximum effectiveness from available manpower, time, and money resources. Relation to Community Interaction When setting priorities the agency should list not only the The identification and prediction of impacts should include important impacts, but also the amount of detail to which each should be predicted. interaction with groups and individuals potentially affected, Grouping the impacts into high-, medium- and low- and all impact data should be readily available to interested priority categories may be useful both as a bookkeeping and citizens and other agencies. Many social and environmen- display technique, with the priority listings being displayed tal impacts depend on an individual's perceptions, and can- to and discussed with the public as a check on their validity. not be accurately predicted by anyone else. Many impacts As the prediction process proceeds, these priorities can be on a community may only have significance for the people reevaluated and adjusted based on further community in- who live there and possess knowledge and understanding puts and the results of actual predictions. of the community that no outsider has. For example, air pollution initially may be considered to If the public is to participate actively with an agency, all be of high priority in the case of an urban expressway interests must be informed. Understanding of potential because the ambient air quality level is such that any sig- impacts enables citizens to determine those they consider nificant increase in pollutants will be unsatisfactory and importa .nt; alternatives can then be developed that are residents of the areas have expressed concern about the responsive to these considerations. To assist in making decisions about the various alter- impact. However, if the use of a quick and approximate natives, information should be documented, summarized, prediction technique during an early stage of the process and displayed as clearly as possible. The improved com- indicates that the project will have no adverse effect on air munications that can be achieved through the use of maps, quality, it can be reassigned to a lower priority. This should charts, slides, films, models, and other display techniques be done, however, only after displaying the results of the will improve the public's understanding of data and issues prediction to the public and conferring with them on the of choice. action. The decision on how to display each impact should The results of impact predictions should be monitored to consider the needs of the study, staff resources, and the see if the initial impact priorities were reasonable. Staff audience for which the display is intended. Early in the analysis and community feedback can be used in deciding study, when quick and approximate prediction techniques whether a particular impact should be assigned a different are being used to produce initial estimates of impacts, sim- priority or if it should be repredicted using a more accurate ple display techniques may be appropriate. However, the technique. output of an in-depth study of a high-priority impact nor- The significance of an impact will be influenced substan- mally should be displayed in more detail. tially by its incidence (e.g., the noise level in an industrial The mechanisms used to display information will sig- area is not as important as the noise level near a hospital). nificantly affect the quality of citizen input. For this reason Therefore, in making these evaluations the distribution agency personnel should seek public feedback on the clarity of impacts with respect to affected interests must be and usefulness of their display devices. considered. Examples In developing a schedule for prediction activities, the relationships among the outputs of various techniques Maine Department of Transportation Questionnaire should be considered, because prediction of one impact Several states in their Action Plans have described pro- may depend on the results of other predictions (cf. Ap- cedures for involving the public in the early stages of project pendix B). Examples are the dependence of pollutant studies to help identify potential impacts. As one example, emissions and noise levels on the results of network traffic the Maine Department of Transportation uses a short ques- flow analyses. tionnaire-letter (Fig. 15) mailed to all residents within a Other factors that may influence scheduling are: study corridor. The purpose is to identify physical features 1. Weather conditions. Some data gathering may be diffi- that may not appear in other, more traditional, data sources. cult or expensive during certain times of the year. As such, the information obtained supplements that ob- 2. Deadlines for concurrent studies. Another agency or tained from other state and local agencies and from in- group may be performing a study that could provide inputs house sources. The Maine experience is that nearly all of to the prediction work and would thus call for scheduling the questionnaires are returned, with about 10 percent con- adjustments to take advantage of their output. taining new information. 72 STATE OF MAINE DEPARTMENT OF, TRANSPORTATION STATE OFFICE BUILDING AUGUSTA, MAINE 04330 0 ROGER L MALLAR Commissioner December 183, 1973 Project: Wells, F-01-109) Questionnaire to Aid in Evaluating Highway Locations 1. Are you aware of any old cemeteries in the immediate area of this project? 2. Are you aware of any buildings or monuments of a cultural or historical significance? 3. To your knawledge, are there any public or private bird or wildlife refuges within the limits of this project? 4. Is there any land adjacent to this project that might contain artifacts of archeological significance? 5. Do you know of any private or public park lands on or near this project? 6. Are there any unique features about this area not listed above that you feel may have a bearing on the location of this highway project and are worthy of comment? If you have any coments relating to the above, it would be appreciated if this information could be sent to me at your earliest convenience in the enclosed prestamped envelope. If you feel any information that you have to offer would require personal contact at this time, I or one of my staff would be pleased to meet with you at your convenience. Thank you for taking an active interest in this project. Very truly yours, Richard A. Coleman Deputy Chief Engineer .Project Development Figure 15. Questionnaire to aid in evaluating highway locations; Maine Department of Transportation. 73 Environmental Mapping and Portsmouth regions according to low, moderate, and Technical approaches can be used in parallel with com- high social cost. InUnity interaction activities to inventory existing environ- The Boston Transportation Planning Review, as another mental resources and to collect and display a base of example, combined data from a natural resource inventory impact-related information. In doing this, every effort and information on the social and economic characteristics should be made to maximize the use of existing data rather of urbanized areas into one over-all sensitivity map (Fig. than expending scarce resources on the possibly redundant 18). This approach served the dual purposes of indicating or low-priority collection of new information. As informa- those areas which would be most seriously harmed by the tion is obtained, it should be processed and displayed in a intrusion of a transportation facility and pointing out places manner that will facilitate its use. One approach is to where existing conditions were already unacceptable. The include as many of the data as possible on the maps then former includes the protection of water resources, for ex- being used both in developing location alternatives (see ample, while the need to reduce ambient air and noise preceding section on "Consideration of Alternatives) and in pollution levels by decreasing local traffic is indicative of assessing the probable impacts of alternative actions (167, the latter. 189). Incidence of Impacts The techniques used in mapping have varied widely. Such work has included paper maps and transparent plastic The typology of affected interests given in Table 8 is de- sheets. Designation of the different areas has been by shades signed to guide the search for affected groups in terms of of gray, cross hatching, different colors, and other symbols. geographic location, based on the concept that impacts Some maps are prepared with only a single type of informa- experienced by people change as the distance from a facility tion on each map; others contain many different features increases. This typology is based on work performed by arranged in a series of overlays. The mapping technique Gruen Associates, Los Angeles, Calif., for the California selected should provide flexibility for use of these maps Division of Highways (170). The distance is measured in while not sacrificing the clarity of information. Another this case in terms of increasingly larger "communities." consideration is map reproducibility for reports to the The communities range from displaced individuals to na- public. tional organizations. Some information, such as conservation lands, can be It should be emphasized that this is only one possible mapped directly without any additional interpretation (Fig. typology, and not necessarily the best for a given situation. 16). Other information to be mapped may require some Any typology that can systematically stimulate the search analysis before displays are possible or may require that for particular types of affected interests may be useful. For several kinds of basic data be combined. The mapping of example, other possible interests include various classes of "environmental districts" as part of the Michigan Route highway users (peak, off peak, origin-destination pairs), 31/131 study is illustrative of such synthesized mapping low-income residents, handicapped persons, pedestrians, and (Fig. 17). (See the earlier section on "Consideration of commodity movement. Alternatives" for a more complete discussion of the dangers The Michigan Route 31/131 regional transportation of such mapping approaches.) study provides a typical example of how different people In the Michigan study, environmental features were are affected in different manners by the alternatives under organized into four distinct categories: consideration. The region of the lower peninsula is scenic 1. Swamps and marshes. and valued for its environmentally sensitive areas. At the 2. Lakes and ponds. same time, it is an agricultural center; a winter and summer recreational area for residents of Detroit, lower Michigan, 3. Rivers and streams. Ohio, Indiana, and Illinois; and a potential site for business 4. Extreme and moderately extreme topography. and industry desiring to move away from the Detroit In preparing the environmental districts map, these four metropolitan area. Affected interests then include the fol- features were then combined into three sensitivities: lowing groups, many of which could be further identified by particular town or area within the northwest region or � Extreme-containing all four features. by trip origin: � Moderately extreme-containing any three features. 0 Permanent residents. � Moderate -containing only two features. 0 Short-term (summer) residents. Other physically related data mapped as part of the * Tourists/ visitors. Michigan Route 31/131 study included public lands, Sec- 0 Business (consumer/ tourist). tion 4(f) lands, white-tail deer yards, agricultural capa- 0 Industry. 0 Farmers, agriculturalists. bility, forestry potential, mono-ecological elements, and 0 Local government. accessibility. 0 Construction industry. Other transportation studies, as well, have made substan- 0 Labor force. tial use of sensitivity mapping as a means of displaying 0 Displacees. information and evaluating alternatives. For example, the 0 The State of Michigan. Virginia Department of Highways in the study of an 1-664 Hampton Roads third crossing mapped the Newport News Table 12 gives summary impact reports for two of these 74 interests-tOLirists and industry. The reports are based on Michigan study team. The reports are also designed, at personal judgment rather than technical investigations, be- least in part, to demonstrate the environmental preserva- cause such analyses have not yet been performed by the tion/economic growth tradeoff that exists within the region. AL IoA .4 JA Ke d 'bh V.- .. A&. X FOWL X.ADOW-JUEPOiASET A .7 3L L RKE [ON I ON LAN CLA. KEY ALTERNATIVE EXPAESSMAY LIVER STtMY nkapoj STUDY@, % .'v TRUCK OUTE 46 -ZP A N T A" P J A., Al DGPIMENT CHOICES AT FOWL MEADOW FKL FOWL MEADOW d 15W 3000 SM FEET Figure 16. Environmental map of conservation lands; Boston Transportation Planning Review. 75 [NVIRONMENTAL DISTRICT MAP 0 Extreme Sensitivity Moderately Extreme Sensitivity YkJl Moderate, Sensitivity PE r 5KEY,@ Alt C NT'ki V & AMC, LOU. VAMRC 5- I& 'Via 131 @"g M A E FOR All R a Y'Y @@tp' Im4' NA V Figure 17. Environmental district map; Northwest Michigan Route 311131 Regional Transportation Study. NN fir ,(mIFIWjA*qWL AREAS VE TO TRhlVWAt*,_ 4.3p, 7AV*@ WAS FD lY SE,45 ITN. ID TRAM OMN ilGAN ARFAS'HIGHL To TRAWNSPORTAT f TW65PORIATfiN LOW AW 0 0 U. A ss $WS Sp -..T SP Ile V or r.., ENVORONMENTAL SENSITIVITY --L--F-I--J SOUTHWEST lo 1 2 3 4 MILES wsm;licillv: 6&@totl Phomw- Retiew. 77 TABLE 12 EXAMPLE IMPACT REPORTS BY INTEREST; NORTHWEST MICHIGAN ROUTE 31/131 REGIONAL TRANSPORTATION STUDY __@____MTEREST TOURISTS INDUSTRY 7 ALTERNATIVE---. Do-Nothing Of the three alternatives, the do-nothing There is presently very little industry does most to retain the existing quality in the region and doing nothing with of the environment of the region which respect to transportation service will tend is the major attraction to tourists. to perpetuate this situation. It discourages growth and urbanization but it also reduces the number of tourists who will be able to reach the region in a reasonable amount of time. As traffic continues to increase on the existing facility, travel times and costs will also rise and traveling will become more hazardous. Upgrade The major benefit here.. is improved safety This action will result in slightly lower for the traveler. Capacity would increase travel times bringing manufacturers in the slightly and, at least for a while, travel region closer to markets. Some additional times would decrease. Growth and develop- increase in population of the region ment in the region would increase slightly might be expected thus increasing the labor with the resultant reduction in the qual- pool. ity of the natural environment. Tourists would be able to travel to the region more easily. Construct Four- This would open the region to a greatly The major reduction in travel (shipping) Lane Limited- expanded tourist market by significantly times and costs which would result from this Access Divided reducing the travel times from the south- action would encourage industry to locate Highway on New ern part of the state and beyond. Unless in this part of the state. The population ROW Close to land use controls were initiated or new is also likely to expand more rapidly Population recreation sites.developed, the existing providing a larger, more diversified and Centers facilities would be over-crowded and would more skilled labor pool. decrease in quality. The permanent popu- lation will also increase more rapidly causing urbanization of the region. Ser- vices for tourists will increase, dis- placing more natural areas. CHAPTER FOUR FINDINGS-MANAGEMENT AND POLICY GUIDELINES PROCESS MANAGEMENT structure and policy framework within which the pro- Introduction cedures and techniques described in Chapter Three are used. The concern is with both the internal structure of the The four sections of this chapter examine community inter- transportation agency and the relationship of the trans- action, evaluation and reporting, consideration of alterna- portation agency to other governmental agencies and offi- tives, and identification of effects somewhat independently cials at the local, state, and national levels. both of each other and of the organizational structure This section discusses issues associated with management within which they are occurring. A key requirement, how- procedure, organizational structure, and project staff or- ever, is to integrate these activities into a systematic plan- ganization. The intent is not to provide a comprehensive ning process. discussion of organizational arrangements, personnel han- These four sections place emphasis on the organizational dling, incentive systems, and so on, but to present some 78 basic management techniques that may be useful to an sciences and the environmental design arts in planning and agency in implementing the described procedural capa- in decision-making which may have an impact on man's bilities. it also describes a number of management pro- environment." cedures that proved to be useful during the various field The three words, "systematic interdisciplinary approach," applications, and, together with the later section on "Insti- are of special importance. The first, "systematic," implies tutional Arrangements and Decision-Making," describes that it is not enough to bring the natural and social sciences possible structural forms that may facilitate the considera- and environmental design arts to bear on a piecemeal basis; tion of envi ron mental -related information. their use must be methodical and integrated. This means that the appropriate disciplines must be chosen and utilized Organizational Interrelationships in a carefully planned and organized fashion. The second, "interdisciplinary," implies that the appropriately selected Planning procedures cannot be viewed, or changed, in isola- disciplines must work together in coordination to produce tion. Achievement of the Chapter Three procedural recom- something greater than could result if they were used sepa- mendations requires an understanding of all aspects of an rately. Thus, the law recognizes the fuller understanding organization. and broader perspective that may result when the special An organization, be it a study group or an entire state insights and skills of several disciplines interact in problem- transportation agency, can be viewed as a social system solving. Finally, the word "approach" indicates that the consisting of three interdependent parts (236): over-all process must be both systematic and interdisciplin- * Structure-the set of roles and relations among ary. Although teams as such are not necessary to meet this members. requirement, the agency must insure that its procedures 0 Theory-the views held within the organization about make methodical, integrated use of the natural and social its purpose, its operations, its environment, and its future. sciences and environmental design arts throughout the plan- 0 Procedures-the methodology, techniques, and modes ning and design stages. of operation it uses. It should be noted that the day-to-day work activities of a transportation agency, as well as final decision-making, These three dimensions all reflect and influence each other have environmental impacts. Thus, a systematic inter- so that any change in one produces, in reaction, change in disciplinary approach is required at all levels of an organi- others. For example, a major change in study procedures zation and throughout the planning and design stages- (Such as introduction of corridor or subarea studies) will from system planning through the final design. Although likely result in changes in either the informal or formal the nature and extent of the approach may vary with the structure of the organization, and may also lead to sub- type and significance of the project or the geographic area, sequent changes in agency policy (theory). Conversely, a systematic interdisciplinary approach is needed at all major organizational changes (such as formation of a state- times, not just for special cases. Preparation of an environ- wide department of transportation) will almost certainly mental impact statement by an interdisciplinary group at lead to major changes in study procedures as well. one point in project studies, although it contributes to a The resulting modifications, however, may interfere with systematic interdisciplinary approach, is not sufficient. the operation of the initial change. Thus, when one of the dimensions-structure, theory, procedures-is to be modi- Management Requirements for a Flexible fied, changes and adjustments to the other two should be and Responsive Process carefully planned and implemented if the intended objec- tives of the change are to be fully achieved. Flexibility is required in the conduct of system and project These organizational interrelationships were verified dur- studies. New information will emerge as studies progrew ing the field cooperation with highway agencies, performed conditions may change. In response, management must be as a part of this research. In implementing and testing able to allocate resources to new activities, adjust alloca- many of the procedural recommendations described earlier tions to reflect changes in needs and priorities, and reshape herein it became abundantly clear that the full intent of the the planning process to reflect these modifications. procedural recommendations could not be achieved without At the same time, the planning process must be decisive; parallel changes in both the policy and the structure of a and, realistically, management will face certain constraints transportation agency. Where such changes were made on -in budget, in available manpower, in the amount of time either a permanent or a trial basis (California and Michi- that can be spent on a particular project. Thus there is a gan), the operation of the procedures was significantly need for a timetable, a work program, and a personnel enhanced. assignment plan. The need for flexibility and responsiveness is not incon- The Systematic Interdisciplinary Approach sistent with the need for decisiveness; but achieving both takes careful planning and managing. On one hand, one is A direct and far-reaching statutory requirement affecting often faced with situations where more information or more the over-all management of a transportation planning proc- detail seems desirable; on the other, one is tempted to hold ess is contained in the National Environmental Policy Act firm to a work program in order to stay within resource of 1969 (NEPA). Section 102 (2) (A) of this act requires limitations and to achieve definite results. Balancing com- that agencies use a "systematic interdisciplinary approach peting process needs is the job of management. which will insure the integrated use of the natural and social The four-stage strategy developed in Chapter Two pro- 79 vides an over-all framework to guide process management. AGREEMENT TO PARTICIPATE Within this broad framework, detailed management and IN A PROCESS resource allocation decisions must be made. Several specific MAY SOMETIMES techniques are available that can help to satisfy these AGREEMENT ON "STUDY DESIGN"; BE COMBINED requirements. L 1. E., WHAT WILL GO ON IN PROCESS; MAYINCLUDE RESOURCE LEVELS Study Designs and Work Programs AND MIX IF NOT ALREADY ESTABLISHED. Action Plans developed by each state highway agency in AGREEMENTS ATONE OR MORE response to FHWA PPM 90-4 specify the general activities KEY POINTS IN STUDY, E.G., to be conducted for various types of system and project WHAT ELIMINATED, WHAT TO studies. For any particular study, however, the Action FOCUS ON. Plan requirements must be translated into a work program specifically oriented to the particular context of that study. L AGREEMENT ON ACTION TO A work program, in general, will be more specific than the BE IMPLEMENTED. Action Plan and will spell out the general scope of study Figure /9. Levels of agreement. and such specific items as the particular community inter- action techniques to be employed, the initial list of alter- natives to be investigated, the particular impacts to be examined and the prediction techniques to be used, and the study design document described an over-all planning proc- points in time when particular decisions will be made. The ess involving public participation, the specification of cri- work program should be agreed to, or at least understood, teria for evaluating proposals, the development of a range by local officials and interested community groups. of highway and transit alternatives, and the scope of tech- The process of developing a work program can be nical studies to be performed. Thus, it is more economical referred to as a study design. For minor projects, a study of scarce study resources to bring out conflict as early in a design will involve relatively little effort. On the other study as possible, so that steps can be taken, where possible, hand, projects involving construction on new right-of-way to resolve differences without entering a potentially costly and having potentially significant social, economic, and and lengthy process in which the polarization of positions environmental effects may justify a well-defined study de- becomes worse and worse. sign, possibly as long as several months in duration and In developing a work program with the participation of involving interaction with many different community community interests, the following general steps might be groups. The rationale of study designs is that unless agree- followed: ment can be reached on what should be studied and how studies should be conducted, the possibility of conflict over 1. Meet in small groups with local officials and interest proposals will be greater, and it will be correspondingly groups to decide whether a study is needed, and if so, what more difficult to reach agreement on a course of action to, kind of study. Robert Datel, State Highway Engineer, Cali- be implemented (Fig. 19). fornia Department of Transportation, Division of High- The objective of the initial phase of the Westside Trans- ways, suggests a series of "listen and learn" sessions in portation Evaluation Study in Atlanta, for example, was to which agency staff sit down with officials and community reach agreement on the nature of the studies to be con- leaders in small groups, and attempt to talk out how these ducted (112). This study design was scheduled as a five- people view their community, what the needs are, and month effort. Numerous meetings were held between repre- whether it is appropriate or how it would be appropriate to sentatives of the Georgia Department of Transportation and study transportation at that time (71 ). Careful and exten- community and regional interest groups. In addition, a sive minutes should be taken at all meetings and should be citizens committee met in a series of meetings to review the submitted to participants for their review. This helps to draft document and suggest revisions. It became clear as a assure participants that the staff understands their concerns, result of these meetings that although there was consider- Or points up where there is not yet a mutual understanding. able opposition to a proposed full freeway, there was wide- 2. Meet with local media people to review their files, if spread recognition of transportation problems within the any, on transportation and related matters and to inform region and agreement was reached that improvements to the them of the initiation of a study and its probable character- arterial highway system and to the existing and proposed istics. Inform them of activities or time periods in the study public transportation system should be considered as part that may be potentially newsworthy, and, if they desire, of any transportation study. This agreement was reached arrange for regular meetings or briefings. As the study gets without major investment in technical studies for the under way, agency and local officials may wish to be the freeway. source of major news stories. Preparation for the Boston Transportation Planning Re- 3. Using the knowledge gained from interviews and meetings, agency staff should begin to develop drafts of a view involved a similar study design effort (229). The proposed study design, and should try to reach agreement study design that was negotiated served both as a report to on the wording of that study design. Such a study design the Governor, who had assumed personal responsibility for document may go through several drafts, especially when all decisions, and as an application for federal funding. The the proposed study is in a complex or environmentally 80 sensitive area. Having everything written down as precisely show numerous information feedbacks; as impacts are pre- as possible will serve to establish a common base of under- dicted and community responses obtained, new possibilities standing of what the study will do and of what the major for alternatives are suggested and developed. Also, from issues are likely to be. The same degree of common under- community interaction, new information is acquired as to standing cannot be achieved through verbal exchanges only. which impacts are important to particular groups, and In some cases the agency may wish to establish a formal insights are gained on how to predict impacts better. Fur- cooperative study agreement with other jurisdictions such ther, the information about alternatives and their impacts as cities and towns. For example, as a standard part of is used in community interaction to obtain community re- their transportation corridor studies California develops sponses and to help clarify objectives and issues. Finally, cooperative agreements with local jurisdictions in order to towards the end of a cycle, evaluation begins appraising promote common understanding of the course of studies the current status of the process and recommending priori- and the responsibilities and resource commitments of each ties for activities to be conducted during the next cycle. jurisdiction (227). A cycle may be as short as a few weeks or as long as For those staff members who do not have extensive several months, depending on the nature of the study and experience in community participation activities, a study other factors. For example, the Boston Transportation design phase can provide important training in conducting Planning Review was structured as three such cycles with meetings and in achieving effective face-to-face communi- the first stage constituting a formal study design. The sec- cations. Because it is likely to be easier to agree on what ond stage lasted six months and was oriented toward the should be studied than on a final alternative, this initial examination of a wide range of suggested alternatives and a phase of a study usually provides a simpler set of issues to partial narrowing of choices. The third cycle, twelve months resolve. Staff members can thus gain confidence and famil- in length, was concerned with the more in-depth design and iarity with community involvement activities. analysis of particular alternatives. Within each of these longer cycles, there were a number of more informal cycles of activities as well. Basic Process Cycle of Activities The Northwest Michigan Route 31/131 regional study The interrelationship of the basic process activities-con- is being conducted with a similar cycle of activities. Cycle sideration of alternatives, impact prediction, community one corresponds roughly to an initial survey with only interaction, and evaluation-is shown in Figure 20. A total general corridors sketched out for possible transportation process can be viewed as being composed of a number of improvements and one round of community meetings, cycles of this set of activities. Based on the present appraisal Cycle two is analogous to the exploration of alternatives of the state of the process, management establishes objec- phase of the four-phase strategy described in Chapter Two, tives, tasks, and priorities for the next work period for with many alternatives being examined; potential social, community interaction, the alternatives to be investigated, economic, and environmental impacts investigated; and two and the impacts to be studied. For example, obtaining rounds of community meetings. The third cycle is oriented information from potentially displaced businesses on num- to the further development of a small number of particular ber of employees and employee residential location may be alternatives that the results of the second cycle have shown defined as one high-priority community interaction task to be most promising. because this information is needed to help determine the Some states' Action Plans have proposed holding a series social impacts of one of the alternatives. The dotted arrows of public meetings at a regular defined period during project development (for example, at the start of studies and at 25 percent intervals thereafter, resulting in a total of five rounds of meetings). Although this form of event milestone IMA AGEMENT MANA EMENT is not recommended in comparison to a more flexible and responsive scheduling of community interaction activities, CONSIDERATION it does have the effect of dividing a study into four sepa- OF rable cycles. r ALTERNATIVES Management Decisions: Objectives, Tasks, F IMPACT and Techniques PREDICTION The decisions to be made by management range from general decisions on over-all strategy to detailed decisions COMMUNQ on what tasks to assign to personnel and what techniques to INTERACT ON IEN t MANAG T M, N 'TY ACTION use. Many techniques are available that can be of use in a study; but it is neither feasible nor desirable to use all techniques, given time, dollar, and personnel constraints. Field experience and general observation have indicated TIME a frequent preoccupation with techniques, particularly in Figure 20. Basic process cycle of activities. the practice of community interaction, but also in the pre- 81 diction of impacts. For example, a decision is made to PROCESS open a field office, hold a meeting, or conduct a survey OBJECTIVES based primarily on a general perception that the field office, meeting, or survey is needed and will accomplish some good. Significant resources may be invested, with only marginally useful benefits or contributions being obtained. OBJECTIVES FOR OBJECTIVES FOR Although a general objective may exist (such as to inform COMMUN ITY EVALUATION AND the public), this is frequently not translated into more INTERACTION REPORTING operational objectives (such as to solicit information on public transportation desires from low-income groups) that can then serve as a more specific management aid, In impact prediction there is often a desire to use a relatively OBJECTIVES FOR OBJECTIVES time-consuming, expensive technique to obtain as accurate CONSIDERATION FOR IMPACT an estimate as possible, even though a more approximate OF ALTERNATIVES PREDICTION estimate may be obtained faster and cheaper and may be Figm-e 21. 0hiectives, tasks, and fechniques. more responsive to immediate study needs. A study should be governed by well-defined and agreed- upon objectives, needs, and tasks, not by available tech- niques. A task may include use of one or more techniques; discussed, communicated to all staff members, and periodi- conversely, one technique may be used in accomplishing cally reassessed. more than one task. The problem becomes how to decide Objectives that provide effective guidance have the fol- what techniques will most effectively accomplish the defined lowing characteristics: objectives and tasks (Fig. 21 ). 0 Are output oriented. The guidance of day-to-day work activities by specific, a Allow the development of measures of effectiveness. operational, and agreed-upon objectives for each major 0 Are within the limits of authority and control. study activity is generally referred to as "Management by 0 Are instrumental in achieving the over-all process Objective," or MBO (231, 235). Management by objective objective. has been used in the private sector since 1950 and has been 0 Cover all important activities within each functional instituted in many corporations with mixed results. Despite area. this mixed record, this management style probably can con- tribute to a process that is as complex as is transportation As examples, Table 13 gives some possible objectives for planning and design. various activity areas. The relative emphasis on particular Frequently, objectives may be implicitly in the mind of objectives will change as the planning/design process pro- the project manager. What is being recommended is that ceeds. The listed objectives are illustrative only and are not such objectives be explicity, carefully thought through and necessarily definitive or exhaustive. Each study team should TABLE 0 EXAMPLE ACTIVITY OBJECTIVES TO AID MANAGEMENT COMMUNITY INTERACTION -- TO ESTABLISH AND MAINTAIN AGENCY CREDIBILITY To INFORM ALL POSSIBLE INTERESTS OF THE INITIATION OF PROJECT STUDIES TO COLLECT INFORMATION ON POTENTIAL IMPACTS TO IDENTIFY CURRENT COMMUNITY PROBLEMS TO EXPLORE VALUES OF DIFFERENT COMMUNITY GROUPS CONSIDERATION OF ALTERNATIVES -- TO PROVIDE A RANGE OF CHOICES, ORIENTED TO THE ACCOMPLISHMENT OF DIFFERENT OBJECTIVES; e.g., ECONOMIC DEVELOPMENT, ENVIRON- MENTAL PRESERVATION TO DEVELOP DESIGNS JOINTLY WITH THE AFFECTED INTERESTS IMPACT IDENTIFICATION -- To IDENTIFY THE INCIDENCE OF IMPACTS ON A PARTICULAR ETHNIC COMMUNITY TO INVOLVE AFFECTED INTERESTS IN THE PREDICTION OF IMPACTS IMPORTANT TO THEM P ROCESS 0 BJ @ECTVE S I :E :F jR OB4 EC TI' JhS TY0 EVA LUAT CT,ON RE Pol PROCESS MANAGEMENT--- TO ACHIEVE (OR MAINTAIN) AGREEMENT ON THE OVERALL PLANNING /DESIGN PROCESS TO ACHIEVE AGREEMENT ON THE ALTERNATIVE COURSES OF ACTION TO BE LNVESTIGATED TO IDENTIFY ISSUES AND TRADEOFFS AMONG ALTERNATIVES To ACHIEVE SUBSTANTIAL EFFECTIVE AGREEMENT ON A COURSE OF ACTION WHICH IS FEASIBLE , EQUITABLE AND DESIRABLE 82 evolve its own version of operational and more specific the needs of the entire agency? Should interdisciplinary objectives tailored to the specific problem under study. staff be internalized within existing largely engineering- Explicitly assessing objectives and needs has two advan- oriented units? Should responsibilities for air and noise tages. First, it improves communication so that everyone studies be combined with responsibilities for regional eco- understands what assumptions are built into the planning nomic and civil rights issues? and design process. Internal understanding and agreement This discussion analyzes several means of organizing and on desired measures can be very important for interdisci- staffing to meet the requirements of a systematic inter- plinary teams where the members do not share the same disciplinary approach. Each is discussed in terms of its biases. Second, explicitness also facilitates communication advantages and disadvantages, its resource needs, the type between the agency and the affected interests who may want of project, and the environmental conditions for which it to question the agency's perceptions of an existing situation. is most suited. The discussion is not exhaustive, but only MBO is a way of thinking. Before deciding to perform a suggestive of the range of approaches that might be used. new task or to implement a new technique, one should ask such questions as: Key Issues � What are we trying to accomplish with this task? � Should we be trying to achieve something else? In evaluating alternative ways of assigning environmental � Can we achieve the same objective with other tasks? responsibilities, several important issues need to be � How will this task or technique affect other objectives? addressed. Management by objective, the assessment of needs and Relation to Decision-Making.-The systematic interdis- effectiveness, and an orientation to tasks as opposed to ciplinary approach requirement of the National Environ- techniques, all point to the need for a general work plan. mental Policy Act relates to decision-making as well as to This work plan can be developed either for the process the conduct of planning and other technical studies. Those as a whole or for individual functional activity areas, and bearing responsibility for decisions must be provided with can be generalized into six basic steps (Fig. 22). These all available data, alternatives, tradeoff s, and viewpoints so steps complement the evaluation method described in Chap- that their decisions are based on full information. Personnel ter Three under "Evaluation and Reporting" and are in- from all disciplines must have direct access to decision- tended as a guide to agencies setting up their own work makers; at the same time, interdisciplinary personnel must program for specific projects. be integral parts of a study team so that they can be in- volved continuously in all phases of studies. Organization and Assignment of Responsibility Satisfying the interdisciplinary approach requirement is Assignment of responsibility in this context refers to the complicated by the fact that decisions normally are made chief administrative officer's designation of responsibility throughout all levels of an agency. Many important deci- for handling those aspects of a process relating to the sions are made in the course of day-to-day activities regard- consideration of social, economic, and environmental fac- ing alternatives to investigate, impacts to predict, allocation tors to particular units or positions within the agency or of study resources, etc. Yet major go/no go, programming, to others. Typical questions facing an agency are: Should and policy decisions are normally made only by the top a separate environmental unit be formed within each pri- level of an agency. This implies that all levels of a trans- mary division (e.g., planning, location and design)? Should portation agency must have interdisciplinary capabilities as a single unit with high-level authority be established to meet well as direct and unfiltered access to environmental information. Vertical Placement Within the Organization.-Assign- ment of responsibility in a government agency is frequently accomplished by formal delegations of authority. The chief REVIEW EVALUATION REPORT administrative officer is usually vested with an array of REVISE PROCESS STRATEGY legislative authority and charged with carrying out a num- ber of administrative requirements. He or his deputies I retain some of these responsibilities; others are delegated down the chain of command. Responsibility for over-all policy-setting typically is main- FOR EACH FUNCTIONAL ACTIVITY 4 I tained high enough in the organizational hierarchy to be I responsive to the needs of elected officials (e.g., the gov- I ,FORMULATE OBJECTIVES ernor and the state legislature. But the work that actually 2. ASSESS NEEDS implements these policies is usually too detailed and com- 3. REVIEW AVAILABLE RESOURCES -*--I I plex for high-level control. These functions become line 4. SELECT TASKS, SET PRIORITIES, I activities and the work is actually done or managed by AND SELECT TECHNIQUES I Z, 5. COORDINATE I first-line supervisors or project managers. The key to assign- 6. SCHEDULE WORK I merit of responsibility then actually lies in middle manage- ment, those individuals who coordinate several functions to assure that the policies and objectives of the agency are, in Figure 22. Developing activity work prograrns. fact, achieved, and who directly supervise those charged 83 with doing the work. Although the chief administrative brush" study stages, a system-level environmental assess- officer of a highway agency and the top deputies and assis- ment still should include, to the extent possible, a prelimi- tants direct policy, middle managers are the implementors nary assessment of potential location and design-level and coordinators who bear direct responsibility for making issues. It may even be desirable in some cases to develop policy and associated administrative directives work. partial designs at the system stage in order to reduce the Almost without exception, environmental responsibilities uncertainty of the estimated environmental impacts. For can be considered to be important functions that should those environmental impacts that are important in making remain within the purview of the chief administrative offi- system or location-stage decisions and that cannot be deter- cer. Yet to achieve early consideration of environmental mined until design details are made final, availability of effects and their incorporation in the day-to-day decision- design-stage environmental analysis frequently may be making process, environmental responsibilities also must be necessary to ensure that such effects are not ignored and part of the routine work activity of both middle-level proj- undesirable commitments made. ect management and the project staff. The broader issues still need to be analyzed at later, more Thus, it really is not sufficient to place environmental specific stages to check the continued validity of earlier responsibilities at just one level of an organization; such assessments. No matter how sensitive a design section is to capabilities must exist at all levels-policy, middle manage- environmental matters, it is difficult for them to correct, ment, and study staff. If high-level policy decisions do not other than by recycling or outright cancellation of a project, account for environmental considerations and environ- a failure in an earlier system or location study to give due mental responsibilities are assigned to a lower level of the consideration to potential environmental effects. organization, middle management may lack a mandate for Placement of environmental responsibilities and capabili- sound environmental work, may be unable to satisfy na- ties at a relatively high level of the organization usually tional legal responsibilities, and may be faced with conflicts corresponds to a broad span of control; one unit may be between policy actions and actions relating to the considera- responsible for performing environmental studies through- tion of environmental effects. Alternatively, if environ- out all phases of system and project planning. The difficulty mental activities remain at a high organizational level and with this kind of arrangement is that competition for their lower organizational levels are not provided with environ- services will probably be keen, and the setting of reasonable mental responsibilities and capabilities, good policy is likely priorities in view of habitually limited staff will be critical. to remain just that, with little actual effect on the work of In fact, performance of some assigned responsibilities may the organization. be neglected altogether if resources are too limited. Span of Responsibility.-The assignment of environ- Delegation of responsibility for coordinating social, eco- mental responsibilities is further clouded by the functional nomic, and environmental studies to the middle and lower organization of most transportation agencies. Social, eco- levels of an organization would result in a narrower span of nomic, and environmental eff ects must be investigated responsibility but would necessitate environmental expertise throughout all stages of planning from system planning being located within system planning, again in location, and through location and design, yet most agencies tend to again in design-activities that are sometimes performed by separate these decisions and planning functions, particularly different agencies. The existence of parallel environmental at the middle level of the organization. Where state DOTs units also would likely result in some duplication of staff have been created, these activities may be even further and may require greater personnel resources than the separated. Environmental capabilities, then, must be pro- agency may have available, at least in the short term. Place- vided to separate and distinct line units. ment of a single environmental unit at a middle or low level Furthermore, different kinds of issues normally will be (for example, within route planning) may imply that other considered during different stages of planning. For example, parallel positions-systern planning and design in this in- assume that an agency is considering the improvement of stance-may have very limited or even no direct environ- transportation facilities that affect coastal redwoods: mental expertise. I, At the system planning stage, environmental issues Eftect on Continuity of Studies.-An issue closely related focus on the impact of improving access to recreational to the span of environmental responsibilities is the effect on facilities and the impact of higher-density use of camp- the continuity and over-all length of project studies. Chang- grounds and facilities in a fragile environment. ing personnel between system planning, location, and design 2. At the location stage, environmental issues focus on tends to reduce responsiveness to the community and in- more specific impacts like the maintenance of particular crease the length of project studies. Although there are redwood stands and groves, animal migration patterns, advantages to the specialization resulting from the creation effects of noise, and scenic attractions for travelers. of separate environmental planning, location, and design 3. At the design stage, environmental concerns are even capabilities, there are also certain costs. more fine-grained (e.g., the effect of runoff on stream silta- For example, location studies typically are performed by tion and spawning, both during and after construction. one unit. When studies are completed, the job is then The problem is difficult because decisions at one stage as- transferred to a design unit, frequently with a lapse of sume that adverse environmental effects at subsequent stages "shelf" time. It is likely that location personnel will have can be satisfactorily resolved. Although it is especially established good rapport and communications with most difficult to perform detailed analysis at early "broad- local and regional interests. Every time the project changes 84 units, the communication links have to be reestablished, only a small number of nonengineering disciplinary posi- taking additional time and agency resources. tions are available, they may constitute a small number of Changing environmental responsibilities also may result generalists reporting directly to a high-level executive. in a loss of information. Even though all possible efforts Where larger personnel resources are available, core staff may be made to document data, it is possible that important may consist of specialists as well as generalists and be either information, especially that which is nonquantiflable, may internalized within other operating divisions or established remain unrecorded. Specialists develop a "feel" for an area, into their own environmental unit. Further, an environ- and it is difficult to transmit this kind of understanding mental unit may either assume direct and full responsibility from one unit to another. As a result, studies may be under- for environmental studies or act as an umbrella service unit, taken on matters that had already been investigated and lending staff on a consulting basis to engineering units. discarded in a previous stage. Subcontracts to Experts.-Core staff cannot be assumed a priori to be a sufficient means of meeting the requirement Staffing for a systematic interdisciplinary approach. For especially sensitive projects or environmental effects not usually en- Sources of interdisciplinary personnel include: countered, additional resources may be needed. One possi- � Core staff. bility is to subcontract specific tasks or responsibilities to � Subcontracts to experts. independent experts, consultant firms, or universities. � Use of personnel from other agencies (local as well as If experts are to be hired, special attention should be state) . given to questions of availability, coordination, and infor- These personnel can in turn be organized on the basis of: mation flows, and the effects on over-all integration. There must be some confidence that personnel with requisite skills Socio/ economic/ environmental units (as opposed to will be available when needed and that the procedures for being internalized within other units). obtaining the services of these personnel permit quick � Interdisciplinary in-house project teams. access to them. Also, it should be possible for these experts � Interdisciplinary consultant teams. to make timely and meaningful input both to the day-to-day There is no one best way to organize for interdisciplinary planning and decision-making and to major decisions, as system or project studies. Different organizational forms well as to receive information and data from the transporta- are appropriate to different situations. in determining the tion agency as needed in order to adequately perform their specific mix of personnel sources and organizational ap- duties. proaches to take in meeting the requirement of a systematic Experts can be hired on a long-term, "on call" basis or as interdisciplinary approach, an agency must assess its re- needed. For small but regularly occurring tasks, a long- sources, the types of projects it deals with ' the types of term agreement is preferable because it provides both con- effects it commonly faces, and the availability and reliability tinuity and accessibility. of help from outside sources (consultants, universities, The main problem in relying on outside experts is that other agencies). coordination and communication of information easily can Core StabF.-Essential to satisfying the requirement for a become unsatisfactory. It is not sufficient to have such systematic interdisciplinary approach is to establish an in- experts working independently on their assigned tasks. house core staff to provide a basic capability for handlin There must be regular interaction and information exchange 9 social, economic, and environmental effects. The core staff with all others working on the project. would have responsibility for ensuring that the appropriate An agency expecting to rely on outside experts should natural and social sciences and environmental design arts keep in mind that in-house core staff are still needed to are systematically used in the agency's planning and deci- oversee and evaluate subcontracted work and that it is not sion-making. The core staff may not be sufficient, however, sufficient in meeting the requirement of a systematic inter- to assume responsibilities for carrying out studies. disciplinary approach to call in experts only in the later The skills represented would depend to a large extent on stages of planning and design, except when specific prob- the kinds of economic, social, and environmental effects the lems are not apparent until those stages. Use of outside highway agency faces regularly. Usually, however, a core experts is appropriate to fill gaps in expertise that occur staff still would not be large enough, due to resource con- irregularly rather than to provide for a major ongoing need; straints or merely to work loads in particular areas insuffi- it should not be relied on as the primary means of meeting cient to justify full-time employees; to be knowledgeable the requirements of the National Environmental Policy Act. of all the social, economic, and environmental problems Use of Personnel from Other Agencies.-This approach that may arise. to interdisciplinary staffing is similar to the hiring of experts To adequately satisfy the requirement for the application in many of its implications and its acceptability. Here, other of the aforementioned skills in decision-making, core staff agencies-be they state, regional, county, or municipal- need to be in a position within the organization to make provide the expertise for the study of certain social, eco- clear inputs to major decisions as well as to the day-to-day nomic, and environmental effects. working decisions of the agency. Attention must be given Other agencies may regularly carry out studies that are to information flows, coordination, and integration of the directly applicable, or at least relevant, to the transportation core staff with other members of the agency. agency's studies, and so this method may help to avoid Core staff might be organized in a variety of ways. Where duplication of staffing and effort among state, federal, and 85 local agencies. However, the problems of information flows, projects does the unit become involved? When does the unit coordination and integration discussed previously are just enter into the planning process? Who decides this? What as real here, if not more serious. Other agencies almost is the relationship of the unit to the rest of the agency-is always have their own resource and personnel limitations, it a service unit or does it have final responsibility for the and will give first priority to their own programs. Con- treatment of social, economic, and environmental effects? sequently, a realistic assessment must be made of the extent What final decision-making responsibility does the unit to which the desired expertise will be available when needed have, or, alternatively, what is its role vis a vis the decision- and the reliability with which other agencies can be ex- makers? What is its role in project management? How is pected to lend staff or devote time to highway agency prob- the information developed by the unit fed into the appro- lems before too much reliance is placed on their ability and priate places in the agency, and vice versa? All these ques- willingness to help. Formal agreements are desirable in tions must be answered to determine the sufficiency of the almost all cases, and reimbursement for services provided special unit in meeting the requirement for a systematic may be desirable in many states. interdisciplinary approach. It has been suggested by some that the A-95 review proc- As might be expected, serious efforts to integrate such ess, combined with the process of circulating draft and final units into the day-to-day operations of transportation agen- Environmental Impact Statements to other agencies and cies frequently have been accompanied by considerable acting, as appropriate, on received comments, constitutes an internal conflict and problems of "territorial imperative." acceptable systematic interdisciplinary approach. However, Where the unit is responsible only for preparing environ- this is not sufficient, as it is not especially systematic, does mental impact statements on projects previously completed not provide input throughout planning, and does not neces- by engineering units, such conflict normally does not arise sarily provide effective input to decision-making. because the unit is seen as a service organization helping This is not to say that the review and comment mecha- to implement previously made decisions. It should go with- nism is not useful. It can provide meaningful input if care- out saying, then, that such "after the fact" units are not fully done. Other state agencies should be brought in early contributing to the achievement of a systematic interdisci- in system or project studies, when it is far easier for them plinary approach in the true intent of the law. to provide useful data and guidance. Design and location units traditionally have had primary Experience in several state transportation agencies has responsibility for project development and either inten- shown that other agencies can provide a useful role in train- tionally or unintentionally there is a natural tendency to try ing by conducting formal courses for highway agency per- to limit the influence of a newer environmental unit. Each sonnel, by loaning staff to the highway agency, or by per- discipline is prone to mistrust the other because of a lack mitting highway agency staff to work with the agency for of understanding of the other's language, background, and periods of time, to enable highway people to view problems values, and a tendency to question the other's judgment. from a different perspective. Engineers generally are uncomfortable with information In summary, a transportation agency expecting to make that is highly uncertain and is unquantifiable, whereas use of other agencies in meeting the requirement for a environmentalists, lacking a full understanding of the traffic systematic interdisciplinary approach must take special care flow and safety implications associated with various geo- that the result will indeed be systematic, not just a piece- metric proposals, may not trust engineers to make unbiased meal and brief application of the views of other disciplines; decisions based on all of the available information and and thorough, having an effect throughout planning and on consequently may feel that their input is being ignored. decision-making. Emphasis must be given to integration of Such conflict is not necessarily to be avoided if it can be expertise, not merely to the circulation of materials and constructively managed and a polarization of the respective obtaining of comments. units avoided. Bringing out conflict on a project-specific Sociall Economicl Environmental Units.-Many trans- basis may help to identify relevant issues from the view- portation agencies, as part of their Action Plans, are estab- points of different interests. lishing special units to handle social, economic, and en- Where personnel resources are limited, it is best to staff vironmental effects. The unit is intended to assume primary environmental units with generalists, individuals having a responsibilities for performing environmental studies and is general capability in several disciplines. For example, frequently located at a level of the organization equivalent Florida places emphasis on a generalist capability in the to that of system, location, and design study units. It is at district environmental offices. These generalists have suffi- this level that such a unit can most effectively contribute to cient knowledge of environmental matters to be able to day-to-day decisions. For those agencies having highly identify potential impacts needing specialized study. The decentralized operations (such as Florida and California), generalists then can call on specialists from a headquarters separate environmental units exist in each district office. environmental unit, other state agencies, or on an outside Those states with extensive experience in this area have expert basis to perform the needed analyses (72, 225). found, however, that establishment of an environmental In-House Interdisciplinary Teams.-Interdisciplinary unit is only a small, though necessary, step; it is far more teams on either a project or an area basis can be established difficult to integrate effectively the inputs from these units in-house to supplement environmental staff. In the past, into the day-to-day operation of project studies. such teams have been used primarily on especially large or The establishment of a separate environmental unit raises sensitive projects, frequently as task forces established only several difficult questions. For example: In which types of after a study has become controversial. However, agencies 86 could establish a full-time interdisciplinary team for each The team leader should be chosen primarily for leader- major project. Small projects that would not warrant a ship and interdisciplinary management skills, should be able single project team could continue to be handled by indi- to interact effectively with community interests, and should vidual functional units as they are now, or several minor have authority, status, and credibility within the agency. projects physically near each other could be grouped to- The team leader also should play an important role in gether so they could be studied by a single subarea team. appraising a person's job performance for purposes of Each team could be responsible for all phases of a study promotion and salary review. (e.g., regional or subarea planning, corridor, location, and A major question to be resolved is the team's role in design studies might even coordinate right-of-way acquisi- decision-making. Are traditional decision-making mecha- tion and clearance). The team would be staffed by per- nisms retained or are increased responsibilities in this area sonn'el drawn from within the transportation agency, other also delegated to the team? state agencies, and possibly from local and regional agen- The northwest Michigan Route 31/ 131 study is organized cies as well. Each study would need different disciplines, around the use of an in-house interdisciplinary team hav- so the exact composition of a team cannot be pre-specified. ing many of the characteristics described. The team in- Most teams, however, would likely contain full-time spe- cludes members from ten units within the state department cialists from route location, design, right-of-way acquisi- of transportation plus members from a regional agency (the tion and appraisals, programming, system planning, traffic Northwest Economic Development District), and the state analysis, social sciences, environmental analysis, economics, planning office. The team was formed on an experimental and management. Because the activities of a team shift basis when it became clear that the proposed alternatives over time, the skills needed in the team also shift. For could not be investigated meaningfully without studying example, more regional economists and system planners their interrelationships, effects on regional economic growth, might be part of the team during early studies, and more local environmental effects, and transportation proposals designers and right-of-way negotiators might be on the team affecting the region. Interdisciplinary team efforts are -now near the end of studies. being initiated in other regions of Michigan and have been Team members should be located in a single spatial loca- incorporated into Michigan's Action Plan (258). tion to facilitate intrateam communication. The various Establishment of a permanent basis for interdisciplinary professionals, although retaining their association with their teams normally would be accompanied by corresponding line or staff units, would be responsible to the team leader changes in organizational structure. One possible structure during the time they are a member of a team. Team mem- is shown in Figure 23. The major thrust of the organiza- bers, in addition to having a working knowledge of their tion is a shift from the traditional vertical structure to more own area of specialty, should also be familiar with the of a matrix structure. entire planning process, other functional departments, other Use of teams may contribute a number of benefits to an aspects of the agency's operation, and other proposed agency. In addition to providing a systematic interdisci- county and state transportation projects in the same general plinary approach and its resultant increased environmental vicinity. sensitivity, the concentration of personnel on a single proj- DIVISION HEAD ASSISTANT ROUTE SYSTEM ENVIRONMENT AND TRAFFIC DIVISION HEAD, LOCATION PLAN IN COMMUNITY LIAISON SURVEYS AND PROGRAMMING PROJECT STUDIES ANALYSIS ICOMPU TEAM I 4D - - - - - - - - -ffjE@AM @#2 -40 -fTEAM*3 - - - - - - - - - - - - - Indicates team membership Figure 23. Organizational structure for interdisciplinary project feanis. 87 ect, rather than allocating their efforts to several projects agencies, should retain an active and strong day-to-day in- simultaneously, may shorten the length of project studies volvement in an interdisciplinary consultant team. Re- and provide increased process continuity. interdisciplinary sponsibilities for supervision, control, and decision-making teams also provide a well-defined arena in which to resolve should remain with client agency staff and not be infor- interdisciplinary conflicts, may help to maintain high em- mally delegated to the consultant team. Involvement of ployee commitment and morale, and should increase the agency personnel is especially important to maintain the agency's responsiveness to the needs of a community. morale of existing agencies, provide a continuity of effort Potential disadvantages of an interdisciplinary team in- when the consultant team has completed its assigned re- clude establishment of a momentum and identity of its own, sponsibilities, and ensure that the client fully understands formation of an internal team policy that may be differ- all issues of choice. ent from a previously determined agency-wide policy, and 0 Coordination. Individual firms should be in close and increased management requirements. continuous communication with each other and should Interdisciplinary Consultant Teams.-A variation of the adopt a work style that facilitates informal interaction interdisciplinary team relies on one or more consultants in among the various disciplines involved. Ideally, all mem- some form of contractual association. In this type of ar- ber firms of a consultant-based team should work out of rangement, the consultant team would assume complete or the same office space, in much the same manner as would at least nearly complete production responsibility for a an in-house interdisciplinary team. During the period of study, with agency core staff retaining policy-level super- the study, firm differentiation and identity would become vision and control. Interdisciplinary consultant teams could secondary to that of the study effort. be used on especially large or complex studies where the 0 Management. Expert management is crucial to the agency does not have sufficient in-house expertise, on sensi- success of an interdisciplinary consultant team. The various tive or controversial projects where a consultant may pro- efforts must be coordinated and the necessary information vide higher credibility than an agency itself could achieve, flows achieved. Schedules of individual efforts must be or on studies that are funded by more than one govern- kept compatable, yet at the same time sufficient flexibility mental agency and where the lead agency may be unclear. must be retained to achieve responsiveness to changing con- An example of the latter is where independent highway and ditions and community inputs. The primary job of the team mass transit agencies jointly sponsor a multimodal corridor manager must remain management, and not design, envi- study. ronmental analysis, or some other function for which the It is not unusual on large projects for twelve or more lead firm also may have responsibility. One technique that firms to pool their resources into a single effort. Most such has been successfully employed to help ensure that team studies during the 1960's were constrained to focus almost management retains a management perspective, maintains exclusively on design issues and were referred to as "design a balance among the activities of all team firms, and re- concept teams." Examples, most of which have been writ- mains unbiased toward any one discipline, firm, or activity, ten about extensively, include Baltimore, Boston Inner Belt, is to assign one firm only management responsibilities. This Chicago Crosstown, Seattle 1-90, and the New Orleans consultant would then constitute the lead or prime contrac- Vieux Carre (230, 237). More recently, the scope of such tor but, in contrast to traditional practice, would not neces- studies has been significantly broadened with a lessening of sarily have the largest financial portion of the total contract. the earlier orientation to final design and joint development opportunities. For example, both the Boston Transporta- INTERRELATION OF SYSTEM AND PROJECT PLANNING tion Planning Review and the New York City West Side Highway Project have included considerations of network Need for Environmental Considerations in effects and other modes in an effort to better relate system System Planning and project planning. The initial response by most transportation agencies to the Analysis of both early and recent interdisciplinary con- concern for social and environmental issues has been to sultant team efforts indicates four requirements that should examine a wider range of impacts and to include a broader be satisfied if such a team is going to have a high probability segment of the public in the project planning process. Al- of success (these requirements are also pertinent to other though these efforts aimed at the project level represent forms of organizing an interdisciplinary approach, but are a major and positive step, a number of difficulties have particularly essential to a consultant-based approach) : been encountered with this predominantly project-oriented 0 Scope of study. Just as interdisciplinary staff must be approach. - involved throughout all phases of project development, an First, as described in the previous section, a great many interdisciplinary consultant team should be free to investi- of the effects implied by a system plan have regional im- gate all aspects of a study-network, programming, de- pacts and so cannot be analyzed effectively on a project- mand, relationships among modes, location, and design by-project basis. Although system planning studies often features. For example, a team brought in for final design have considered some regional effects (e.g., land use, the after a project may have become controversial cannot cor- regional economy, and changes in traffic patterns), other rect for possible previous planning or location deficiencies factors that are of a regional nature (such as air quality, unless it has some authority to review earlier decisions and open-space conservation, and housing) commonly have not is given control over a broad enough range of variables. been investigated in any depth until project studies are Reporting and decision-making. The client agency, or under way. As a result, important system-level information 88 is not available to system studies. Analysis of all such area- munity and environmental concerns. The section (a) iden- wide impacts during system studies would strengthen the tifies problems in the current relationship of system and basis for system-level decisions and would allow such project planning, (b) describes a strategy for integrating impacts to be assessed more effectively. the activities of these different levels of planning, and Second, when significant portions of community and en- (c) presents several techniques for more effectively inter- vironmental impact analysis are not undertaken until proj- relating system and project decisions. ect studies are initiated, significant resources may be ex- Issues in Interrelating System and Project Planning pended for the design of projects that later may be delayed, extensively revised, or even dropped from further study, The Gap Between System and Project Planning due to the discovery of adverse effects not anticipated in system-level planning. Such changes in project concepts or A traditional view has been that system planning analyzes schedules create the need to revise implementation pro- the transportation needs of 20 to 30 years in the future and grams and system plans. Although changes are never to- develops a general network (or "master plan") for an ur- tally avoidable, anticipating project environmental impacts ban area, a regional planning district, or even a whole state. in system studies should result in fewer delays and disrup- Project studies then prepare the detailed designs necessary tions to implementation programs. to implement a particular link (Fig. 24). Thus, the two Third, decisions made during system planning studies' activities have been treated as sequential. As a result the may establish some of the social, economic, and environ- gap developed in the institutions, staff, and procedures used mental effects of a proposed project. For example, the in system and project planning impedes the consideration choices of mode, type of facility (e.g., freeway, primary), of social and environmental effects. and approximate location often determine the general range To overcome this "cultural gap" between system and of effects such as noise levels, air quality, and housing dis- project planning, a number of issues must be resolved placements. It would be desirable to be able to modify such (246), as follows: choices in order to mitigate adverse effects or simply to be 1. Only limited impact prediction occurs during system more responsive to new conditions. However, there is a planning. There are four general reasons for this: First, tendency to view system-level decisions as fixed because it the period for which the prediction is desired often is 10 to is assumed that system planning determined the "need" for 30 years hence, and there is a great deal of uncertainty the specified facility. Staffs responsible for project studies associated with such long-term predictions. Second, many therefore may be constrained in their ability to take actions system impacts are diffused over wide areas; further, it is to alleviate or avoid potentially serious adverse effects be- difficult to develop good estimates of their nature and mag- cause of previous system planning decisions, even though nitude because they are not fixed until project planning has project studies may develop information on possible adverse developed a specific location and sometimes even a design effects or sources of increased costs that call the system- of a proposed facility. For example, air pollution and hous- level decisions into question. This points to the need for ing displacements both are highly dependent on facility more flexibility in project studies and greater feedback location and design, yet have system-wide implications. between project and system planning, so that the range of Third, many system impacts are indirect, and there is a alternatives is not prematurely narrowed. lack of understanding of their complex cause-and-effect These three factors suggest that for the most effective use relationships. The best example might be the long-disputed of resources social and environmental impacts must be relationship between transportation and land-use patterns. anticipated early in system planning and that more con- Finally, some impacts are localized (noise levels, for in- tinuity is needed in addressing these issues throughout the stance) and therefore are difficult to handle on a system- entire planning process, from system planning through de- wide basis; yet these impacts may be crucial in determining tailed project design. Most transportation agencies have project acceptability. begun to recognize and to address these issues. Further The result is that system planning often examines a dif- steps, however, can and should be taken. Any strategy and ferent set of impacts for a different time period and at a techniques for integrating system and project planning must different level of detail than is the case during project stud- recognize the need to address both area-wide and local ies. Yet the impacts at both planning levels are highly issues throughout the process and specifically to deal with interdependent. identified environmental issues at both the system and 2. The full range of multi-modal alternatives has not project planning levels. been considered in most system planning studies (238, This section discusses how system and project planning 240). Most have looked primarily at construction options; can be integrated to more systematically include com- policy- and regulatory-oriented alternatives (fare structures, SYSTEM SYSTEM@@LOCA@TION @LOCATION I ___FDESIGN L_,/ PLANS IMPLEMENTATION S)_@ STUDIES PLAN V_-L!1@@@DECISION STU DIES SPECIFICATION OF SYSTEM PLAN A AND ESTIMATES@_@@@ COMPLETED TIME Figure 24. Traditional view of the planning process. 89 flow metering, etc.) have not been considered. In addition, decisions. Thus, when a project was delayed or cancelled funding constraints have limited the consideration of cer- an inventory or "shelf project" might be substituted into tain alternatives by making funds available only for par- the program without the issue of system revision ever aris- ticular modal solutions or even for particular classes of ing. In fact, given the revenues expected over the plan- highways. ning horizon, system plans often have represented un- As project studies progress, questions often are raised realistic target networks. Frequently system connectivity about these options. A general relaxation of funding con- and completion of the master plan are used to partially straints is occurring with the current change in the use of justify particular projects even when completion of the net- the Highway Trust Fund and with increased mass transit work (or especially completion on schedule) seems unlikely funding, thereby making the examination of a range of due to resource or community considerations. Many states transportation alternatives more meaningful. Yet, because are now recognizing that they may never complete their system planning studies did not investigate the implications master plans or meet their currently defined "needs" (259). of these alternatives, project study personnel find it diffi- 5. Independence of projects in programming is often cult to respond. In fact, the technical procedures used in assumed. In some cases, different segments of the same system planning tend to impede the examination of many route are studied separately. As a result, project designs alternatives. (Cf. Appendix B and Ref. 62). For example, implicitly assume completion of the target network by the functional classification and needs studies generally assume specified horizon year, with little consideration given to a "desired" or "minimum tolerable" level of service, How- interim improvements or other design scales. In many ever, once a level of service has been assumed, the appro- cases, this is an extremely inappropriate and costly assump- priate design standard of a facility is set. By examining tion. If the target network cannot be completed, or cannot service characteristics alone in making preliminary decisions be completed on schedule, better area-wide service often on the types of facilities needed or desired, system planning could be achieved with a different mix of projects. Allow- is ignoring critical social and environmental issues as well ing variations in project scale makes the possibility of meet- as prematurely limiting the range of alternatives that should ing social and environmental standards more likely. be considered. Often, rural projects are treated on a project-by-project 3. Evaluation techniques have tended to emphasize av- basis. Many states view system planning as primarily an erage area-wide benefits, with little examination of the inci- urban activity with the "3C" process serving as the legal dence of impacts and the specific requirements of subareas impetus for developing a structured urban system planning and subgroups (165). Such aggregate measures tend to process. The need for integration of system and project conceal the distribution of benefits and costs among differ- planning is a rural as well as an urban problem. In rural ent user groups (local versus through traffic, various in- areas there is a definite need to coordinate all project stud- come groups, etc.) or between users and nonusers. Many ies in a strategy for improving the rural transportation sys- communities contain a diversity of views about transporta- tem and to solicit the involvement of interested groups tion, and public inyolvement is useful in obtaining the views early in the planning process. Furthermore, on a statewide of these different 'interests as to what impacts are impor- basis there is a need to coordinate all funding and pro- tant. However, effective public involvement has been diffi- gramming decisions. Treating urban and rural projects cult to achieve in system planning studies because of the separately may not result in the most effective allocation remoteness of most system planning decisions (in that they of funds and improvements to the statewide transportation concern actions to be implemented ten or more years in the system. future) and the lack of information about localized im- 6. Uncertainties in predicted revenues, demand, impacts, pacts. Evaluation criteria appropriate to system considera- or community acceptability have not been considered ex- tions often do not address the local issues of most concern plicitly. Often, the nature and magnitude of these un- to many groups. For example, the benefits for peak-period certainties have not become apparent until a strong com- through traffic might be the major justification given for a mitment has already been made to particular components project, whereas the issues of concern for the local com- of the plan. For example, the patterns of land-use and munity are effects on local traffic patterns or off-peak ac- economic activity assumed during system studies may be, cessibility to shopping and recreational centers. very different from those existing when a particular project 4. System plan revision is not seen as a viable option. is ready for construction (244). Similarly, developments Project delays or cancellation often do not result in a re- in new technologies and new funding patterns may allow view and revision of system plans or at the very least make new modes or different mixes of modes. System plans may such a review a cumbersome task. Dropping a small and have to be revised significantly to take advantage of such isolated project from further study might have few system new opportunities or information. implications and not warrant revising the system plan. 7. The personnel involved in system and project plan- However, when a large project or a number of projects are ning typically have very diflerent perspectives on transpor- delayed or dropped, there is a need to reexamine the allo- tation problems. At the system level, area-wide and long- cation of resources to other projects in a program and to range issues are addressed and the planning profession is determine whether a revision in the system plan or program predominant. At the project level, more detailed design is desirable. work is emphasized and traditional engineering skills play Part of the problem has been that system plans have been a much larger role. Even more important than the dif- advisory in nature, with little influence over programming ference in disciplines is the fact that system and project 90 studies are generally carried on in different units within an The important decisions are the near-term programming agency, or even different agencies (and possibly different choices-the annual decisions on how to spend money next buildings), with resulting problems in communication year. These are the only decisions that irrevocably commit caused by physical separation. This is particularly true resources to projects and studies. In system planning it is in the case of highway and transit planning. Often, one neither desirable nor necessary to make a choice of one agency is responsible for multi-modal system planning; but target system for some future year. The choice of a sys- project planning and implementation invariably occur in tem master plan is alterable and in fact is likely to be altered different agencies. In most cases, the state is responsible many times before the target date arrives. By leaving future for highway implementation and local or regional operators decisions open until more information is obtained, system are responsible for transit. planning can take into account possible future options and events and help to select the most flexible direction for pres- Implementation Strategies, Not Master Plans ent programming decisions. The issues discussed in the foregoing have arisen largely as An examination of many transportation controversies leads to the conclusion that many of the problems are a result of treating system and project planning as sequen- directly related to the inability of the present system plan- tial activities. As mentioned previously, this traditional view ning process to explicitly deal with uncertainty and to effec- has been that system planning developed a set of "needs" tively relate near-term programming decisions to longer- or a "master plan," and that project planning developed range system plans. System planning must focus not only the detailed design or projects necessary to implement the on desirable master plans but also on implementation approved "plan." Although the master plan may give a strategies. precise picture of what the future transportation system might be in some target year (e.g., 1995), in many cases An Approach to Integrating System and the master plan has not been tied explicitly to the program- Project Planning ming activities that determine how projects will be sched- uled toward implementation. The master plan rarely in- To address social and environmental factors throughout the cludes details of the implementation program that will be planning process requires both new technical procedures followed in bringing about the master plan. Thus, a mas- (such as those described in the succeeding section) and new ter plan often represents an unrealistic goal because it does planning approaches or strategies in which these procedures not take into account the problems and uncertainties in can be used. The strategy proposed for improving the implementing the system on a step-by-step basis. Because integration of system and project planning views the plan- completion of the plan (or completion on time) is assumed, ning process in terms of a series of implementation de- year-by-year decisions on specific projects are distorted; if cisions (267, 272), a more realistic perspective on completion of the system System plans are all the facility, operating, and policy were taken, different project decisions would be taken in changes proposed over time for all modes of a transporta- many cases. For example, the California Department of tion system for a state, a region, or a municipality. Plans Transportation is currently revising planning programs as for different governmental (or geographic) levels will be a result of a careful examination of expected revenues over overlapping and highly interdependent, and consistency the next 10 to 20 years. among the different transportation system levels must be More importantly, by focusing on only one future sys- an objective of the over-all planning process. This defini- tem, the master planning approach loses flexibility to re- tion of a system plan is obviously more than a map dis- vise plans. The implementation program is geared toward playing proposed capital improvements. The usefulness of construction of one plan for one target year. Because it is this definition for integrating project and system decisions assumed that all projects will be built eventually, projects is discussed in more detail in the next section. may be selected that will operate effectively only when The system planning process encompasses all those ele- other interdependent projects are completed. Then, if com- ments and activities necessary for producing area-wide munity and environmental impacts discovered during proj- transportation plans, including those activities necessary to ect studies bring into question the desirability of one project relate transportation planning to more general planning or several links in the system, it is both technically and encompassing energy, land use, housing, industrial devel- psychologically difficult to respond positively by consider- opment, open space, etc. This definition of the process in- ing new projects or system concepts. Because no provision cludes the institutional structure and decision-making proc- has been made in system studies for a range of project de- ess for transportation (including the various interest groups signs, or the potential deletion of a particular link, a large involved), the process for generating and allocating funds, amount of resources is required to revise the plan later. and the modeling and analysis procedures used. Defined Uncertainties in funding, community preferences, and in this manner, system planning encompasses a broad range the impacts of a particular action place severe limitations of components and provides a framework within which on a master plan approach. Transportation options must project-related decisions can be made in a coordinated be developed with the knowledge that today's decisions are manner. based on an imperfect understanding of the future of a Project planning then involves those activities which pre- region. Unforeseen changes may require new responses and pare some component of the system plan (whether a high- adaptations that are impossible to fully anticipate. way link, transit link, or traffic operations scheme) for de- 91 tailed design and implementation, explicitly recognizing the SYSTEM STUDIES relationship between a particular component or "project" and the entire system plan. CURRENT REVISION CURRENT) These definitions imply that system planning should be SYSTEM OF SYSTEM SYSTEM viewed not as a phase of planning preceding project studies, PLANS PLANS PLANS but rather as a framework within which project decisions LOCATION t RE111 ON LOCATION 0, L. S' T. STUDIES STUDIES CA N can be made, serving to coordinate ongoing project studies DESISIONS (Fig. 25). System planning thus would periodically as- sign resources and priorities among the ongoing subarea DESIGN STUDIES studies and project planning activities. Inasmuch as proj- ect studies influence system planning, they must be co- ordinated with system planning in an ongoing way. It is @ONSTR-T`I-11 fair to say that traditional practice has not integrated proj- ect and system planning within the sort of time sequencing Figure 25. Suggested view of the planning process. of activities proposed here, although some states and many urban areas are certainly taking steps in this direction. (California and Pennsylvania, in particular, are implement- every possible event that may occur in the future, but they ing major changes in this direction.) can be developed to explore what appear today to be the Such an approach explicitly recognizes that transporta- major choices facing the decision-making process. tion plans are not implemented in "one shot," but rather in The role of system planning in the context of alternative a series of stages. Thus, system planning ought to examine implementation programs is to anticipate the choice issues a range of different implementation strategies. For ex- that must be resolved as planning continues, and to devise ample, a 20-year time horizon might be divided into 5-year tentative sequences of improvements based on potential stages. Each stage of a particular implementation strategy outcomes of these choices. As new information is gathered, might include construction of a number of highway links, new options will be added and others will be dropped from operating and pricing changes, as well as transit improve- consideration. ments, demonstration projects, and planning studies. No In summary, system and project planning must be inte- particular "end state" need be identified initially as a target grated so that a decision to implement or not to implement system. Each action taken during a stage should be bene- a particular project or design will not affect the ability to ficial (rather than being dependent on as yet unimple- mented steps), may fit into a variety of possible "end state" future systems, and is evaluated with a perspective of keep- ing future options open (Fig. 26). During implementation THE THE SYSTEM THE SYSTEM THE SYSTEM of the first stage, the subsequent stages in a strategy could PRESENT TWO YEARS FOUR YEARS IN 20 YEARS SYSTEM FROM NOW FROM NOW be revised or updated in light of new information or TODAY'S SECON(>- DECISIONS changes that have occurred (242, 261). The same future (FIRST DECISIONS system may be reached by any of several paths; for exam- STAGE) 0-- 0 ple, in Figure 26 both paths A and B reach system X. This approach recognizes that many significant decisions affecting a system plan may be postponed until project en- vironmental impact, corridor, and initial route studies are under way or completed. The service level, specific align- ment, and indeed even the existence of a particular facility (D may not be finally determined until later phases of plan- ning. System plans should account for the possibility of a QQ) number of outcomes from these later studies. By developing different sequences of actions on facility improvements, emphasis is placed on what choices are available over the planning time horizon, and how present decisions affect the range of choices available in the future. The different sequences can explicitly recognize uncertainty by evaluating the impacts of a number of potential out- comes from project negotiations or impact studies. Thus, implementation strategies provide a convenient framework U rl @ for relating system and project planning by focusing on both short-term decisions and longer-range plans. Although the resources available for system planning will restrict the number of sequences and uncertainties that can be considered, attention need not be limited to one se- Figure 26. An implementation strategy approach to system quence. Implementation strategies cannot be developed for planning. 92 allocate funds smoothly to other high-priority projects. through functional classification and needs studies, pro- Focusing on implementation strategies (rather than master vides lists of projects that are then assigned priorities in plans) will allow and encourage a transportation agency to some manner. Programming then chooses projects until anticipate modifications so that when they occur they do the budget is exhausted, subject to geographic and other not result in lost time. Only with ongoing integration can constraints. One way to strengthen this linkage is to require this problem of a great deal of lost time be avoided when a system plan format that encourages discussion and docu- something doesn't go according to schedule in the develop- mentation of both system and project activities and pro- ment of particular projects. vides for stronger and different kinds of system inputs. The Naturally, both the master plan and a plan based on basic planning document should be a multi-year program implementation strategies can be altered in future periods package that combines both short-term and longer-run im- in response to changes. Neither irrevocably commits a provements while explicitly recognizing the resource and region to one sequence of implementations. The two essen- other constraints facing transportation plans. Such a docu- tial differences between the approaches are how initial de- ment would represent an extension of the current multi- cisions are made and the flexibility provided to revise the year implementation programs developed by many agencies plan over time. Initial decisions with the master plan aim to cover the entire planning period. at a one-target-year system. Although the master plan Typically a target-year plan for 20 to 30 years in the can be revised, many alternatives may be foreclosed pre- future is developed along with a short-range (up to 5 years) maturely by focusing on one target network. The imple- implementation program. The recommendation here is to mentation strategy approach considers uncertainty and a combine the requirements for the target-year transportation number of improvement sequences when initial decisions plan and the implementation program into one multi-modal are made. By anticipating the changes that may occur and planning program package that reflects reasonable resource a range of the choices available in the future, this approach assumptions and illustrates all the actions on transportation explicitly requires periodic evaluations and revisions and anticipated for an area over the entire planning horizon. ongoing coordination with project studies. (Cf. Refs. 62 Thus, the proposed planning document would contain all and 73 for a more in-depth treatment of the issues dis- capital and service improvement projects (large and small), cussed in this section.) including maintenance, operating and policy changes, and planning studies for all modes within a region. In addition, Techniques for Integration the planning program should identify all sources of reve- The proposed approach for the improved integration of nues and the implementing or operating agency responsible system and project planning suggests possible changes to for each action contained in the program. An example of many aspects of the current planning process, including the such a program is shown in Figure 27. (It is recognized institutional relationships among levels of government and that such a document, given existing federal and state fund- the process for allocating funds, as well as the procedures ing programs and constraints, might involve programming used for needs and sufficiency studies, network flow model- projects in some categories somewhat separately and then ing, and priority setting and programming. combining these "subprograms" into a single integrated This section presents three specific techniques that can final plan.) The key planning document thus would not be serve as initial steps toward achieving close and continuous simply a series of maps, though maps might serve as sup- integration: plementary information illustrating planned improvements for some categories of projects. System Plan Format and Content. For urban areas such a document would extend the U.S. System Environmental Report. Department of Transportation requirement for a Unified Corridor and Subarea Studies. Work Program to include project implementation (such as capital and service improvements) as well as planning ac- System Plan Format and Content tivities. (At present, the U.S. Department of Transporta- One of the best opportunities for more effectively integrat- tion is developing a requirement for annual submission of ing system and project planning lies in strengthening pro- a program of projects that would include all capital and gramming as a decision-making activity. Programming is service improvement projects). Moreover, it is recom- the key for a number of reasons. First, the programming mended that the planning program format be adopted for process is the focus for important decisions and negotia- both urban and rural areas. tions concerning the commitment of money and manpower In many cases, the list of projects to be given priority to various projects and studies. Second, programming pro- ratings should include a number of design options for the vides an appropriate forum for consideration of both long- same project because each option for a particular facility run and short-run actions aimed toward implementation of has a different cost as well as a different set of impacts on a system plan. Finally, programming is a periodic activity the community. The effect of a budget constraint alone can (often with yearly budgeting cycles) and thus is a con- alter the choice of both the set of projects and the design venient checkpoint to review the status of ongoing project option for a particular project (252). For example, it may studies and to revise the system plan in light of current be desirable to select something smaller than the largest of project development activities. all options for each location if the budget is tight and over- Traditionally, the link between system planning and pro- all network coverage and equalized mobility is an objective. gramming has been weak. System planning, primarily By providing multiple alternatives, the cost of studies may 93 PROGRAM PACKAGE FORMAT Project No. I Major Improvement By Corridor Year NORTH CORRIDOR 0 5 10 20 North Dawson Transit (Express Bus) Transit Parking Dawson Transit Parking 0,0 West Dawson Transit (Express Bus) Ramp Metering Rt 70 A Rapid Rail Extension Riverside Transit Riverside Transit Parking Express Bus Bell Creek Transit Parking ArZ .eZ ArZ ',ORapil Rail Bell Creek-Jackson Transit Express Bus Extension Exclusive Bus Lanes Rt 10 Transit Coordination Weston Transit Central County Transit Dial-A-Bus Demo. Transit Toll Bridge Metering CENTRAL CORRIDOR , Local Transit Study Parking for Rapid Rail II+I',' UW' Rapid Rail Extension Airport Access 11111111 "K F.- Ramp Metering Rt. 15 -0401OZ211011 0110009 Rapid Shuttle West Bridge Transit (Express Bus) 1111WZAOJ Vp Rapid Rail I I I ; @; @7p V ZFAWZ4 0 ZF&WZA &' , J Jackson Corridor Transit 'j 'j @J Extension WZ,d Express Bus SOUTH CORRIDOR Rapid Rail Tremont Transit Express Bus Extension Tremont Rapid Rail Parking 400MANAMA East Bridge Transit (Express Bus) 1111IM"D Tri-Cities Transit REGIONAL POLICY CHANGES Transit Fare Coordination Parking Surcharge Transit Public Information Program Car Pooling Program Study 10 28 57 COST: Highway Implementation 19 is 36 $ IN MILLION Highway Operating - - - Transit Implementation 72 239 477 Transit Operating 300 520 1077 TOTAL 401 805 1 U77 STUDY MAJOR CAPITAL IMPROVEMENTS PROJECT DEPENDENCY OPERATING CHANGES POLICY CHANGES lq@D_POTENTIAL PROJECT SUBSTITUTION CHOICE OF ONE OF TWO ALTERNATIVES 0 5 10 20 Figure 27. Example program package format. be increased, but the flexibility for change in later periods guide for transportation decision-making. Although the also will have been increased. content of the plan can be expected to change, at any point 11 iiM7 111FA There are a number of advantages to defining the basic in time the plan should reflect as realistically as possible planning document as a multi-year planning program rather existing and anticipated constraints on transportation de- than a target-year plan. Developing a planning program cisions (i.e., resource, environmental, etc.) for at least the encourages the planning agency (or agencies) to focus on near-term portion. resource and other constraints early in the planning process. Combining short-run and long-range improvements in a The result will be a plan that represents a proposal with a program package also increases the potential for the effec- realistic potential for implementation and, hence, a better tive involvement of a wide range of different interest groups, 94 particularly in system planning. Program packages define Although development of contingency plans may require both immediately implementable steps (such as flow meter- more resources for planning, it provides for a more realis- ing, priority bus lanes, dial-a-ride, and pricing policies) and tic range of network and project choices when there is sig- the longer-range improvements (such as major new facili- nificant uncertainty in funding levels, community accept- ties and broad policy changes like funding, compensatory ability, the predicted impacts of proposed projects., and ex- programs, peripheral parking schemes, or even new stud- ternal events with implications for transportation (land-use ies). Because the lead time for major transportation proj- control, air quality regulations, etc.). In the long run, con- ects can be as long as ten years, program packages show tingency plans may result in a more efficient use of re- interest groups how their concerns can be addressed in the sources by providing flexibility and keeping options open. near future as well as giving all participants a realistic sense The California Department of Transportation, for exam- of the time required for more major improvements. A ple, has developed alternative programs in a number of number of states have recognized this already, and are cases when the public acceptability for large projects has incorporating corresponding changes in their system plan- been uncertain. The alternatives have been developed to ning process. The California Department of Transportation minimize the disruption to the schedules of other projects, is considering use of the plan format shown in Figure 27 as well as to ensure compliance with legislatively defined as the basis for their legislatively required 1976 statewide highway planning district and county funding minima. In plan. The Connecticut DOT has adopted a similar format one case a proposed southern crossing for the San Fran- and uses regional plan summaries as the basis for conduct- cisco Bay was faced with significant opposition and a pub- ing public meetings in each planning region of the state lic referendum to decide the issue. In the interim the state (241). prepared two planning programs for the region; one pro- The public should not be involved simply in deciding on gram assumed construction of the southern crossing, the the studies and projects to be included in the plan, but other assurned the bridge would not be built. should also be involved in deciding on the relative priority Although alternative plans can be displayed particularly of those studies and projects. The proposed plan format for the medium to long run, the first one to two years of focuses explicitly on the scheduling of projects and plan- the planning program should be decisive and represent what ning activities. actually will be budgeted and implemented or studied dur- To define the plan as suggested here will make ongoing ing that period. By making the first few years of the pro- coordination of system and project planning easier. Be- gram decisive, but explicitly recognizing the range of cause the desirability of some projects in a region, or their choices available in subsequent time periods, the planning timing, may depend on other projects in the plan due to document can support and indeed encourage a periodic traffic or resource considerations, the program package decision-making process. Every one or two years a new can explicitly identify these interdependencies and indicate budget is prepared and the entire planning program is up- when or how changes ought to be made to the program dated and documented. The proposed format then en- package if the status of a particular project changes (251). courages a planning process whose periodic output is a new In programming and project development, a project often budget reflecting the fiscal flows anticipated in the planning is considered to be independent, for the most part, from program. other projects under study. Using a planning program for- It may be useful to establish a joint system and project mat will facilitate inclusion of system considerations in programming team to ensure that programming decisions project development decisions. Also, combining plans and address all appropriate issues, and to further facilitate pro- programs for all modes will encourage cooperation among gramming, by serving as an effective bridge between system agencies doing system planning and those responsible for and project studies. In Michigan, the team conducting the implementation. Northwest regional study was concerned that their recom- Contingency plans may provide additional flexibility mendations might not be reflected in programming deci- within the basic planning program format, particularly in sions when such things as funding availability and balanced areas where a number of controversial issues are unresolved work loads were considered. Subsequently, a representative or for major projects with significant lead times. In these of the programming unit was assigned to the ad hoc re- cases, in order to facilitate the orderly allocation of re- gional study team to help anticipate potential conflicts. In sources, it may be desirable to develop alternative tentative the Pennsylvania Department of Transportation this same implementation strategies for a range of potential future kind of coordination is obtained through the department's decisions. For example, if a major freeway has a 15-year organizational structure. There the Deputy Secretary of lead time but no assurance of its acceptability can be made Planning is responsible for long-range planning, short-range that far in advance, it may be wise to examine and plan a programming, and budgeting, and has authority for the contingency program for smaller-scale facilities and traffic design staff to initiate corridor studies with subsequent re- operation improvements in the corridor in case at some view over corridor study results to assure consistency with point in project development the freeway concept is plans and programs. dropped. By anticipating such occurrences, the agency can In developing an implementation program, a program- provide for an orderly implementation program rather than ming team should discuss the interrelationships among vari- reacting to crises only after they occur. At the same time, OLIS projects, major unresolved issues at both the system the agency can provide the commun'.ty with more than a and project level, and potential revisions to system plans or "freeway or no improvement" choice. project concepts. A major focus should be identification of 95 the dependencies of upcoming decisions on all ongoing the study, in addition to being a burdensome and time- studies. These project dependencies would determine which consuming task. decisions can be detached from over-all system considera- The documentation of system environmental concerns tion, and identify which study efforts must be coordinated ought to be integrated with the documentation of the sys- and with whom. tem plan itself. Thus, if the plan takes the form of a multi- year implementation strategy as recommended, the SER System Environmental Report sections of that plan ought to discuss the anticipated im- pacts of alternative sequences of improvements and which One mechanism for obtaining more systematic considera- sequences are left open or foreclosed by the first-period tion of social and environmental impacts in system as well budget decisions. As the transportation elements of the as project plans is to encourage explicit documentation system plan are periodically reviewed and updated, the through preparation of a system environmental report. The SER component of the plan also should be reviewed and California State Transportation Board has recently de- revised. (The importance of a system environmental report veloped guidelines for the preparation of regional plans may increase dramatically as a result of a pending law suit that require such a document (240). Pennsylvania's Action in Atlanta. There, a citizens' coalition is contesting the Plan also calls for an "environmental overview statement" validity of the region's system plan in the absence of an during system planning, as do several other state Action environmental impact statement (248).) Plans (264). A system environmental report (SER) should neither Corridor and Subarea Studies approach the detail currently found in project environ- The use of an intermediate level of planning-between mental impact statements nor simply summarize the cur- area-wide system planning and detailed project planning- rent status of project environmental analysis. Rather, the as a technique for interrelating system and project decisions SER should present a summary of the plan's area-wide has been receiving increasingly more attention. Introduc- implications for, and impacts on, the environment as well tion of a new level of planning prior to committing a large as provide a framework within which later and more amount of resources to the detailed design of one or more detailed project environmental analyses can occur. options provides a mechanism for a more thorough assess- Specifically, the SER might contain the following: ment of issues, alternatives, and impacts than is possible 1. Identification (and possibly map overlays) of environ- during system planning. mentally sensitive areas, land-use assumptions, prevailing Subarea or corridor studies, as this intermediate planning air and noise pollution contours, and general topography. level is called here, might be used between statewide, re- Also included would be basic demographic data and pro- gional, or urban area system planning and project plan- jections on population, income levels, and employment, and ning. Thus, a statewide system plan can be divided into the range of uncertainty associated with these projections. subareas or regions, with each receiving more detailed 2. A summary of aggregate area-wide social and environ- studies. Similarly, within an urban area several corridors mental effects implied by each of the system plan alterna- or subareas might be identified. (The similarity among tives under consideration. Such a summary would estimate these statewide, regional, or urban corridor subarea stud- such things as the total open space and farm land likely to ies is not the geographic type of area under study, but be taken or subsequently developed, the effect on the hous- rather in the nature of the planning activities occurring. ing market of displacements from all projects, and com- In every case, such a study would be examining in more pensation programs required to minimize adverse effects. depth both system and project options prior to committing 3. Identification of unresolved issues or further studies major funds to develop and design alternatives in detail.) required in order to estimate the system-wide social and Such studies might not precede every project or group environmental effects. of projects but might be reserved for areas undergoing 4. Identification of the status of environmental studies rapid change or with potentially sensitive social and en- for each project, including major unresolved issues, net- vironmental qualities, areas in which a number of related work implications (i.e., interdependencies with other proj- projects are proposed, or areas where high-priority but con- ects) for projects currently being seriously questioned, and troversial improvements are proposed. In Atlanta, the the current status of the project EIS (underway, completed, route selection studies for the Westside Freeway were re- approved, etc.). defined and broadened to be a subarea study, including a thorough evaluation of nonhighway alternatives, when it The SER should be produced as a natural by-product of became clear that many areawide issues were unresolved the planning process and the reporting that has occurred (112). The Michigan northwest regional or subarea study to date. Given the magnitude and complexity of the issues was initiated because the state believed that the potential to be addressed in a SER, it is extremely important that its for increased development encouraged by transportation production not entail a massive after-the-fact documenta- improvements in this predominantly rural and recreational tion exercise. Rather, the SER should be designed to merely area warranted a more detailed study prior to any project summarize or compile the results of ongoing analyses, development activity (257). Michigan intends to initiate thereby avoiding the criticism frequently leveled at project similar studies in other regions; and a number of other environmental impact statements that documentation often states, including California and Pennsylvania, have adopted doesn't occur early enough in project development to affect formal corridor or subarea study policies (239, 264). 96 Subarea studies can provide a forum for the evaluation Constraints exist at both the state and federal levels on the of multi-modal alternatives. For example, California is us- types of studies, as well as projects, that can be funded. ing the corridor study to examine multi-modal alternatives States and the modal administrations within the U.S. De- in interregional corridors as well as to reexamine contro- partment of Transportation should work together to ar- versial intraregional projects. Pennsylvania's subarea policy range for more comprehensive and more flexible funding is intended to look at different parts of an urban area too packages. large and complex to be examined as part of a single sys- In addition, effective subarea studies require the use of tem planning study. staff from system and project planning as well as from the Subarea studies should include analysis of both short- environmental and other units within an agency. Such skill term and long-term transportation improvements in a cor- requirements may necessitate shared personnel and new ridor. This will have the advantage of seeking some short- staffing policies, as discussed in the earlier section on run benefits for each corridor from interim or low-cost im- "Process Management," to achieve the objectives of sub- provements. As mentioned previously, it will also serve an area studies. important role in stimulating involvement and interest. If Finally, the available analysis tools should permit a broad some actions might take place within a few years instead range of alternatives to be examined relatively quickly and of in 10 or 20 years, the time frame is more meaningful to without the extensive data requirements of existing Urban people. Interest groups can then see the connection be- transportation planning approaches. tween near-term improvements and longer-run plans. Particular attention should be given to defining a broad INSTITUTIONAL ARRANGEMENTS AND enough study area so as not to exclude any areas that may DECISION-MAKING be directly impacted by the alternatives under study. The definition of a corridor should not be fixed, but should be The Context of Transportation Decision-Making subject to change depending on the alternatives being con- This section is concerned with the ways in which the multi- sidered. A wide range of alternatives might be specified ple and sometimes competing or conflicting viewpoints of initially and narrowed down as the study proceeds. national, statewide, regional, and local interests are re- Corridor or subarea studies facilitate a recycle or re- solved through the decision-making process of transporta- study of projects around which agreement has not coa- tion organizations. Both the procedures for making de- lesced. System plans can be reevaluated with regard to their cisions and the institutional or structural responsibility for community acceptability, and better estimates can be made decisions are examined. within the corridor study of the community, environmen- The orientation of the discussion is toward formal de- tal, and transportation service impacts of alternative ac- cisions; for example, the decision on the type of transporta- tions. Similarly, a corridor study provides opportunity for tion project to be planned or on a particular location for early identification of "questionable" projects, and allows a facility. This is not intended to either ignore or down- for revision of planning programs with a minimum of study play the importance of the numerous informal decisions, investment or effort on detailed project development. however. Although major formal decisions may be made The goals for a subarea or corridor study should be to officially by a chief administrative officer (or in some cases determine the range of alternatives for project studies, by an elected official), such decisions are based on input identify issues, and, if possible, reach agreement on a from project staff. In the course of their day-to-day work course of further studies. Outputs from subarea studies activities, project staff also make an enormous number of might include: important decisions that in large part determine the nature 1. The range of alternatives for which detailed study and of the project or program ultimately proposed. The thrust design is appropriate. of the recommendations is to increase and explicitly recog- 2. Agreement on the course of studies, including: nize the decision-making authority of those involved in and (a) Procedures for and levels of involvement of agen- affected by transportation studies. cies, officials, and citizens. Institutions at all levels of government are experiencing (b) Design criteria or performance standards for project major changes in the manner in which transportation de- alternatives. cisions are reached. Most large metropolitan areas have (c) Tentative timing of future studies and of implemen- made progress toward development of comprehensive plan- tation. ning and decision-making institutions. Many states, both (d) Identification of impacts that must be given further urban and rural, have moved toward creation of regional study. planning councils, in some instances blanketing the whole (e) Development of programs to overcome adverse com- state. Federal laws and regulations have had numerous munity and environmental impacts. major effects on state and local institutional arrangements, 3. Revisions to the alternative sequences of improve- from changing the amount of funding available for various ments being considered at the system level, if options are types of planning and projects to modifying the locus of deleted during the corridor study. decision-making responsibility in some endeavors. Changes also are occurring in response to changing needs and pri- Changes in certain institutional arrangements and tech- orities regarding transportation and the allocation of re- nical capabilities may be desirable in some states in order sources, and as part of a natural evolution of both national to realize the full potential of a subarea or corridor study. and local political traditions. 97 Institutional restructuring is most evident in the highly preserve existing land uses. This situation has arisen, for urbanized states, and it is there where it seems most needed instance, where the proposal in question would lead to in order to give fuller recognition to the complexity of commercial development of rural or wilderness areas. A interests at all levels of government. But major institu- third situation that occurs with some regularity is competi- tional change often is slow in coming and almost always tion among interests over whose favored projects will be is controversial. It also should be recognized that such implemented, and when. major changes do not always have the desired effects@ It is fully recognized that different political cultures re- modest procedural changes may accomplish significant (and quire different decision-making procedures and institutional sometimes better) results. arrangements. Even so, three broad needs can and should Given the size and complexity of the United States, di- be met, as follows: versity in institutional arrangements is to be expected; but 1. The need for clarity of decision-making authority. three general trends are clear. First, responsibility for Often, what institution has this authority depends on the transportation is being redistributed, with regional and local type of project being considered and on what effects are levels of government having increased responsibility for expected. In some cases, authority is shared by several over-all transportation planning and decision-making and institutions. All concerned must understand who has au- with the state level assuming a larger role in transit de- thority for decisions, when, and under what circumstances. cisions (formerly a predominantly local function). Second, 2. The need for timely public access to decision-makers interests outside the immediate domain of transportation and the decision-making process, The points of access (for example, a state department of natural resources) are should be clear, and should be readily available to all con- being given larger roles in transportation planning. Third, cerned. In addition, equality of access is crucial; people elected political officials, and even the judicial branch, are must see that they have as much access to decision-makers, playing increasingly strong decision-making roles. Thus, and that their input receives as much consideration, as any- many more officials, agencies, and interests now have some one else's. either formal or informal decision-making responsibility. 3. The need for a clearly defined process of appeal of Unfortunately, the result of these changes too frequently is transportation decisions. Appeals may be made, of course, a decision process that is complex, confusing, and even through political channels to higher authority and through indecisive. legal channels to the courts. Of primary concern here, how- It is well recognized that all levels of government have ever, is the process through which parties may request and a legitimate interest in transportation decisions. The dif- set into motion review and evaluation of decisions within the ficulty is in determining the appropriate mix of local, organization or set of organizations that made the original regional, state, and national responsibilities in decision- choices. making. For example, although there are practical rea- sons for placing responsibility for regional and local area transportation planning with institutions at the correspond- Institutional Arrangements ing levels of government, there are legitimate state and This section examines some of the problems in institutional national interests that need to be taken into account in rnak- arrangements and discusses several changes that may in- ing decisions. This is because the effects of transportation crease the social and environmental capabilities in trans- projects, especially major projects, rarely are limited to their portation planning and decision making. immediate geographic boundaries. For example, the eco- riomic benefits of a major facility may be felt throughout the state; similarly, adverse effects (such as air pollution) Evolution of Transportation Institutions may have regional implications. It is instructive to review the evolution of transportation in- The challenge is to reach an appropriate balance be- stitutional relationships at the state, regional, and local tween national, statewide, and regional concerns and the levels, because many of the issues of concern in this section objectives of the affected subcommunities. These subcom- stem from these relationships. munities cannot be viewed merely as parts of a broader It has been only a few decades since state highway de- community; quite commonly, the interests of the larger partments were concerned almost exclusively with rural, in- community and of individual subcommunities are in fact tercity roads; it was there that the needs were greatest. In- inconsistent. A common situation finds the statewide or deed, in the early years of federal aid to highways, federal regional community concerned with a transportation fa- funds could be used only in rural and low-density areas. cility's potential for increasing mobility, encouraging and Urban roads were the responsibility of local jurisdictions; aiding economic development, or providing access to some transit was privately owned and operated. area of interest. To the smaller community through which In the 1920's and 1930's, and again following World War such a facility may pass these broad objectives may be of 11, private transit firms in a number of areas went bankrupt. relatively little concern in comparison with more local ob- Because there was no tradition of federal or state responsi- jectives, such as preservation of the viability of neighbor- bility, or any apparent interest in transit, there were but two hoods or maintenance of customary amenities. As another outcomes: either transit service ceased, or the local com- example, local interests may find a proposed facility to be munities assumed ownership. in the latter instances, transit of great benefit because of the economic development that operations characteristically were placed under metropolitan is likely to ensue, whereas regional groups may wish to authorities. In many areas, of course, private transit com- 98 panies maintained their viability, sometimes with local gov- conducting the planning to clarify the processes through ernment subsidies. which decisions are made and to provide clear guidelines With the passage of the several post-war federal-aid high- for the planning process itself. The planning process must way acts, and in particular with the creation of the Inter- be defined as not only a technical process but also a process state System in 1956, the states and federal government of interactions with all the relevant parties who have legiti- assumed responsibility for major urban highways. The au- mate interest in that process. Only through such a clarifica- thority of local governments and agencies varied from state tion can planning have any political reality. to state, primarily depending on state laws and traditions. In the 1960's, federal legislation strengthened the local Current Changes in Transportation Institutional role in highway planning, particularly through the require- Relationships ment that highway projects in metropolitan areas be based on a continuing comprehensive transportation planning Over the past decade, a number of states have made major process carried on cooperatively by states and local com- changes in their transportation institutions. The two most munities. Requirements for citizen participation also ex- common of these changes-the creation of state depart- panded during this period. ments of transportation and the strengthening of regional Meanwhile, because of increasing fiscal problems, transit planning authorities-are discussed in the following. operations succeeded in getting federal and in some cases 1. Many states have created departments of transporta- state support. Some states have created departments of tion with multi-modal perspective. However, there is a great transportation with comprehensive multi-modal responsi- deal of variation among the states in the extent to which the bilities; in other states, transit planning functions remain at state DOT plans and implements nonhighway modes. For the local level, with some state responsibility for pass- example, some state DOTs have transit responsibility; others through funding. Recent federal regulations calling for an- have it in some communities but not in others (usually the nual unified work programs for highway, mass transit, and larger cities) where long-established transit authorities re- airport intermodal planning in metropolitan areas, and per- tain primary planning and implementing responsibilities; mitting funds originally designated for Interstate construc- still others act primarily as a coordinating and funding tion to be switched to transit, complete the picture. Thus, channel. today the typical institutional structure for transportation Regardless of their precise responsibilities, state DOTs gives some authority, or at least influence, over transporta- can make coordination among modes and consideration of tion decisions to each level of government. Often, however, a wider range of alternatives easier. There have been prob- this makes it difficult to carry out coordinated, multi-modal lems, however. Often, the DOT acts as an umbrella organi- planning, because responsibilities for different modes and zation under which previously independent modal agencies for different stages of planning or different types of decisions have been placed, and project planning is still carried out for one mode rest with separate institutions at different within these modal agencies just as before, with many of levels of government. For example, in some urban areas a the same constraints on reconsideration of decisions and local authority is responsible for transit, a 3-C agency is re- investigation of options involving other modes. A number sponsible for systein-level highway decisions, and a state of states are attempting to overcome the resulting difficul- highway commission is responsible for highway project ties through procedural changes, such as setting up study decisions. teams with personnel from the different groups. Fragmentation of responsibility also can make it difficult 2. Many states have placed increased responsibility for for interest groups to understand who makes decisions, transportation planning with regional planning agencies and where the points of access are (how to make input), and councils of government. Because these institutions usually how to appeal decisions. It is not unusual, for example, for have land-use planning responsibilities, they often are better people to direct transit questions to a state agency with little able to coordinate transportation and other developments or no authority to consider transit. Too often, confusion and services than the state level, where land-use and general over who has what responsibilities works against public area-wide planning traditionally has been limited. A few confidence in the transportation planning process. states have addressed this need from the opposite direction, Similarly, for the transportation planner the apparent establishing state-level planning agencies with responsibili- simplicity of the system within which he or she operates- ties for evaluating the compatibility of proposed actions e.g., in a state highway agency with what appears to be with a state development plan, which usually is based on a clear authority-turns out to be illusory. The seemingly compilation of regional plans. clear lines of authority lead to decision-makers who often Regional and metropolitan agencies not infrequently are do not have the capacity to make their decisions stick due rather weak and ineffective, however. There are a number to the intervention of numerous other political actors at the of reasons for this: neither the states nor the municipalities state and local levels who share in the real authority. Thus, and counties are eager to turn over to regional or metropoli- planning takes place in a context without adequate guide- tan organizations responsibilities that they have formerly lines, with unknown ultimate processes of decision-making, shared, nor are they eager to strengthen these agencies so and with a resultant lack of confidence that the proposals that they may become a threat to state and local authority; made by staff in good conscience can be carried out. municipalities often feel that they can achieve their objec- It seems clear that it is beneficial to both the community tives better by direct relations with the "known quantity" of within which planning is taking place and the staff that is the state, rather than with the unknown potential of the re- 99 gional institution; and private interests often fear metro- Clarifying Points of Access to Decision-Making politan institutions because they may impose restrictions on The complexity of governments and agencies involved in their freedom of action, particularly with respect to land transportation planning almost automatically leads to mul- development. tiple access points to the decision-making process. In many In those states with state-level planning agencies confu- ways this is desirable, because it tends to ensure that all in- sion has sometimes arisen over the scope of jurisdiction and terests will be able to have a meaningful influence on trans- decision authority of the general planning agency and pro- portation plans. However, it is not uncommon for multiple gram-oriented agencies (i.e., transportation, housing, and access points to create ambiguity about who the decision- economic development agencies). In particular, there has makers are and in turn for this ambiguity to lead to confu- been uncertainty over which agency has the final say when sion and hard feelings. For example, it is not uncommon disagreements arise. Again, clarification of procedural ar- for people to direct questions about local streets to the state rangements seems to be the solution to these difficulties, highway department, when that responsibility rests with lo- rather than further institutional change. cal jurisdictions; or to ask project staff members to make It can be seen that changing institutional arrangements, firm commitments, when only the head of the agency can whether by developing new institutions or by broadening or do so. When people do not understand where to make spreading about the authority of existing institutions, will their inputs and misdirect their inquiries and requests, or not necessarily improve decision-making clarity, responsive- ask for actions that are beyond the agency's authority, ness, or effectiveness unless there are clear boundaries of rightfully or not they may lose confidence in the agency. authority, guidelines for operation, and procedures for the Thus, clarifying points of access both prevents loss of infor- resolution of conflict. Merely piling up new institutions on mation and wasted time and helps maintain the agency's top of old ones without, for the most part, redistributing credibility. authority is unlikely to bring about the desired results. The solution is not to reduce the number of access points, Institutional change must be accompanied by a thorough but to develop clear and orderly procedures through which analysis of procedures. interested parties can have input into decisions. The fore- Decision-Making Process most need is for the agency to make very clear, throughout The previous section looked at the question of what institu- the planning process, what it can and cannot do and how tions have transportation responsibilities and how those in- people can get involved. stitutions are structured. This section examines what deci- . Where responsibility for decisions is assigned has a ma- sion-making responsibilities are assigned to these institutions jor effect on the accessibility of the decision process. Two models are discussed in the following. and how assignments of responsibility affect the clarity of, Local or Regional Responsibility.-One procedure for and accessibility to, the decision-making process and the clarifying points of access to decision-makers is to assign availability of channels for appeal of decisions. decision-making responsibilities to the lowest appropriate The availability of professional expertise is a factor that level of government (Fig. 28). For example, if the effects to a considerable extent will govern the allocation of re- of a project under consideration are generally confined to a sponsibilities for transportation planning and decision- particular local jurisdiction (municipal, metropolitan, or re- making. In states with no major metropolitan areas, the gional) the state might designate local officials to make the state may be the sole source of expertise in the disciplines decisions on the project and to handle inputs. The state needed for transportation planning and implementation. might lay down certain "ground rules" or limitations on the Thus, the state must assume most of the responsibility for local jurisdiction's scope of authority, to insure that state- studies. When expertise is available at the metropolitan or wide and national interests are given due recognition and regional level, the state may share or delegate significant that minority rights are safeguarded. The state would not totally relinquish its decision-making areas of responsibility. Very large urban areas may well authority. Indeed, by exercising its authority to lay down have more personnel resources than the state, in which case guidelines for decisions the state would have a significant the state may choose to delegate major responsibility to the influence; and it still would have the final formal decision. urban or metropolitan area. In most cases, however, it would accept the decision reached Of course, another approach may be taken: rather than at the lower level of government. allocating responsibility with resource availability treated as Assignment of responsibility to the lowest appropriate a given, the state might determine where it wishes to place level of government, with limitations designed to protect responsibility and then ensure that the requisite resources other interests, increases accessibility to decision-makers in are provided. several ways. Most simply, the local governments and agen- The key objective is to assign decision-making responsi- cies are closer to the people affected; geographic distances bilities so that there are adequate forums for consideration are reduced, making contact easier, and in most cases local of local, regional, state, and national interests, with a means decision-makers will be more familiar with issues and prob- of resolving differences so that conclusive decisions can re- lems of the area. In addition, the number of decision- sult. Creating a decisive process that at the same time al- makers is reduced, so it is easier to make clear who is mak- lows for ready access by all interests requires careful ing what decisions. balancing. The local responsibility model for citizen access has sev- 100 FINAL MODIFICATION /REVERSAL DECISION REGIONAL RECOMMENDED ACCESS COUNCIL DECISION STATE PU LIC MU P TRANSPORTATION _9570751 IFEDERALI AGENCY TUREi DOT ACCESS - APPEAL Figure 28. Access patterns- with local or regional responsibility. cral built-in "appeals" channels. Groups that are dissatisfied Strong state authority over transportation decisions is not with the decision made at the local level still may appeal to incompatible with strengthening local institutions. In fact, the state, which ordinarily will have the final formal deci- in many of the states where strong metropolitan and re- sion. Further, because state agency decision is not neces- gional institutions are evolving there appears to be a com- sarily "final" in a political sense, appeals may also be made plementary growth in state capabilities and in state sensi- above to the governor and to the legislature, and even to the tivity to urban and regional issues, and a constructive federal government (FHWA, DOT, Congress) or the partnership among state and local agencies is developing. courts. State agencies that retain decision-making responsibili- In several states current procedures are quite compatible ties may take advantage of the points of access to municipal with this model. For instance, in some states a local veto and regional institutions in conducting studies. For ex- power exists by law. Also, in several states, both urban and ample, participation programs might be set up under the rural, regional planning authorities have major transporta- auspices of the local institutions, or in cooperation with tion decision-making responsibilities. The major difference them, even perhaps using their facilities as the study field between most of these current procedures and the model office. This does not mean that participation is limited to, proposed herein is that the latter explicitly recognizes the or channeled through, local officials, but that the existing local levels as the basic access point. communications channels at the local levels are utilized and Availability of resources for transportation planning at enhanced. the local levels is a major determinant of the feasibility of State agencies need to give careful attention to the issue the local responsibility model. in general, the local levels of equality of access. In a number of highway controver- have neither the expertise nor the funding to carry out com- sies, some elements of the public have felt that they in prehensive transportation planning at the present time. The effect were denied access to the decision-makers with the alternatives are for the state to fund local-level planning formal power to approve a proposed facility (the state efforts (including the hiring of needed personnel at those highway commission). In some cases, the formal decision- levels) or for the state to carry out the studies itself, while maker did not recognize concerns about nontransportation allowing decisions to be made at the local levels. aspects of a proposal, or even suggestions for alternative State Responsibility.-Most transportation agencies have transportation plans, as "legitimate" interests. In others the retained decision-making responsibilities at the state level. formal decision-maker was too far away to be accessible A major difference among these agencies is whether plan- and in still others simply did not have the necessary com- ning functions are carried out in a central headquarters or munications apparatus to be adequately informed of the in district offices. There is a tradeoff here: district offices seriousness of the opposition. Given these circumstances, are closer to the project site, and thus to many of the it is no wonder that these groups turned to decision-makers affected interests, than are centralized offices, and so there to whom they did have access: local officials, the governor, is greater access to the day-to-day planning activities. But or the legislature. Although those officials usually did not because the final decisions are usually made in the state have the power to actually approve a freeway, they did offices, the district office organization has more potential have either the formal or the informal political power to points of access than the centralized planning organization prevent its approval. Clearly, the situation where certain and requires a more complicated decision process. Placing interests believe they have less access to decision-makers responsibility at the district level also necessitates making than other interests is to be avoided. a wide range of expertise available at each district office. Someone in the agency who is viewed as representing Fp_u(E@@ STA ISPO A @GE @N Under either organizational form, the state agency can environmental interests must be directly accessible and do much to increase the clarity of its decision-making proc- clearly influential in decision-making. An obvious candi- ess and to ensure equality of access. A number of states date is the social and environmental unit. have taken steps to overcome the problem of geographic Another potential location, though outside the state trans- distances; some have set up telephone "hot lines" where portation agency, would be a state planning agency, envi- comments and inquiries can be directed; others are expand- ronmental agency, or a department of community affairs. ing district maintenance offices to handle citizen requests. To be the key access point, representatives of such agencies 101 should either be authorized to be in charge of community Transportation, a typical situation that illustrates many of involvement or at least participate actively to stand guard the points discussed in the foregoing. To provide a per- over the interests of public groups. They must have the spective for the Atlanta discussion, four other areas are then resources available to handle these increased responsibili- examined more briefly: California; Miami-Dade County, ties and, in addition, must be provided with day-to-day Fla.; Minneapolis-St. Paul, Minn.; and Baltimore, Md. participation in all levels of decision -making. Atlanta, Georgia Appeals Procedures Institutional structure.-The Atlanta Regional Commission Appeals procedures allow concerned parties to initiate a (ARC) is governed by a 31-member board. Sixteen repw reconsideration of decisions. All transportation decision resent the seven member counties and the City of Atlanta; processes allow for formal or informal appeals, but often these 16 choose the other 15 members from districts that the procedures for appeal are unclear or are not publicized. are not coincident with municipal or county boundaries. In some cases, problems or disagreements that could have The ARC is charged with development of a metropolitan been resolved through agency appeals have developed into land-use plan, but it is not an implementing agency. Other controversies, with appeals made to political authorities, in agencies are required to submit their plans to ARC for its part because the appeals procedure within the agency was review. The ARC determines whether the plans are con- unduly constrained or unclear. It is recommended that all sistent with its "development guide" and may recommend agencies develop explicit procedures for reconsideration of changes. The ARC also has the A-95 review powers for decisions and make these procedures readily accessible. federal agencies. In some other societies, the right of appeal within the ARC's comments and recommendations must be sub- regular political system has been institutionalized more mitted with applications to federal and state agencies. Thus, fully than in the United States. For example, the "om- any negative ARC comments may act as a constraint; posi- budsman" idea has captured the fancy of some nations. In tive comments may provide an impetus. However, there is Ontario, Canada, a body known as the Ontario Municipal no "ultimate authority" to resolve disagreements between Board has been in existence for many years and has ARC and one of its constituent jurisdictions or an in- evolved into a sort of administrative court to which citi- dependent regional operating agency. zens may appeal. The Board's decisions are subject to re- Transportation Decision-Making.-The ARC has trans- versal only by the Ontario government cabinet, which is portation planning powers that operate through a commit- viewed as the last appeal within the political system, other tee system involving ARC, the Georgia Department of than the courts. Also, the constitutional separation of pow- Transportation, and the Metropolitan Atlanta Rapid Transit ers, as in the United States, would be difficult to duplicate. Authority (MARTA) (Fig. 29). Although authority for In some states the existence of a local veto power over regional planning resides with the ARC, Georgia DOT has highway decisions may result in an informal appeals proc- legal authority to develop ess. In others, citizens have the right to appeal to a state . . in conjunction with affected local governmental highway commission (e.g., California) in an effort to re- bodies, regional planning agencies, and other appropriate verse or modify the actions of the highway agency. Al- State and Federal agencies. . . though this has provided a needed option in many cases, (A) A comprehensive, statewide, 20-year transportation it is limited by the fact that the highway commission's per- plan; spective is still usually restricted to highway concerns. In (B) A comprehensive transportation plan for all standard metropolitan areas and those areas which contrast, the Ontario Municipal Board has the power to the department determines, based upon popula- deal with a wide range of issues, including essentially all tion projections, will become a standard metro- types of public works questions involving the taking of politan area within 20 years, such plan to supple- private property by condemnation and planning decisions ment and be compatible with the statewide trans- portation plan; and affecting private property. (C) Comprehensive plans for regions and urban areas One possible appeal procedure is to establish an agency as such plans are deemed necessary by the depart- with over-all state responsibility (i.e., dealing with all state ment. . . agencies) to which appeals might be made. This would A transportation planning division is located under the seem more appropriate within the executive than the legisla- Department of Community Development Planning (DCDP), tive branch of government, and would provide an additional the ARC staff unit responsible for community planning, input to the governor to consider along with the official housing, economic development, and transportation plan- position of the relevant agency or agencies. ning. The DCDP has an overseeing committee of ARC Case Examples commissioners known as the Community Development Liaison Committee. This overseeing committee, in turn, Several states and metropolitan areas throughout the coun- has under it the Atlanta Regional Transportation Planning try are moving in the direction of the recommended insti- Program (ARTPP). The ARTPP has three advisory sub- tutional arrangements. This section examines several spe- committees. The first, the Transportation Policy Sub- cific situations in more depth. Primary attention is devoted committee, consists of the chairmen of seven counties' to Atlanta, Ga., and the relationship between the Atlanta commissions, the mayor of the City of Atlanta, the chair- Regional Commission and the Georgia Department of men of the Boards of ARC and MARTA, and a member 102 fr 0 (L W < POLICY BODY MZ Z0 ,X F_: r- - - - - - - - - - - ATLANTA REGIONAL M 13. 1 COMMISSION Cr 0 X: CITIZEN MMUNITY DEVELOPME@NT . . . . . . . TRANSPORTATION POLICY ADVISORY COUNCIL PLANNING SUBCOMMITTEE ON LIAISON COMMITTEE COMPOSED OF COMMUNITY ARC, GDOT, MARTA DEVELOPMENT PLANNING 7_ I EXECUTIVE DIRECTOR DEPARTMENT OF COMMUNITY DEVELOPMENT TRANSPORTATION PLANNING COORDINATING COMMITTEE I TRANSPORTATION PLANNING ARTPP PROJECT DIRECTOR LOCAL F GOVERNMENT INDICATES STRUCTURAL RELATIONSHIP STAFF INDICATES ADVISORY RELATIONSHIP Figure 29. Organizational chart for Atlanta Regional Commission transportation planning prograin. from the DOT Commission representing the Atlanta area. Access.-In their observation of Atlanta's West Side cor- The second subcommittee is the Transportation Coordinat- ridor study, the researchers found that the institutional ing Committee, consisting of the Chief Transportation complexity resulted in some confusion on the part of the Planner of the ARC, the Director of Planning for MARTA, public as to how to gain access to and influence that and the Chief of the Georgia DOT Atlanta Area Trans- process. The early "study design" phase was almost wholly portation Planning Branch. The third subcommittee is the in the hands of the Technical Coordinating Committee. Citizen Advisory Council on Community Development Principal leadership was assumed by Georgia DOT, which Planning. assigned a full-time staff to the study; ARC participated Most policy questions are first discussed in the Policy quite actively through two of its transportation staff mem- Sub-Committee then submitted to the Advisory Council on bers; MARTA assigned one staff member. Atlanta Uni- Community Development Planning and in turn to the ARC versity staff also were part of the core group, which was itself for final determination. augmented by representatives from the cities in which the It should be evident that this is an especially complex corridor is located-Atlanta, College Park, and East Point. institutional structure. Although ARC has the formal power Under the structure devised by the responsible agencies, to make transportation planning decisions, implementation public access might occur in several ways. The way chosen requires at least "no opposition," and usually consensus, by the agencies was through the Technical Coordinating among the three agencies and affected jurisdictions. Committee (Fig. 30). A second alternative would have erG 0 ARC can plan, but can't implement. On the other hand, been to revitalize the Citizen's Transportation Advisory Georgia DOT and MARTA would be constrained from im- Task Force, established to provide citizen input into transit plementing without ARC approval. No significant conflicts planning but largely defunct since the MARTA plan was have yet arisen among these three agencies; therefore, it is approved by the voters. (This task force has since been re- difficult to say what, in fact, the real powers of the ARC placed by a Citizen's Advisory Council.) Another alterna- are vis-a-vis these other agencies. tive might have been to work through the municipality. 103 An Atlanta city councilman presumably could be contacted ATLANTA REGIONAL] and, if persuaded, could use his influence on the Atlanta COMMISSION ARC representatives who, if responsive, could then in- fluence discussions being held at the staff level. However, such an approach is rather remote, given the way planning is handled within the ARC structure. \COMMUNITY DEVELOPMENT/ \ LIASION COMMITTE Operation.-One problem that arose at neighborhood public meetings was that it was difficult for the technical staff to answer questions involving future policies that had TRANSPORTATION POL;CT_____ not yet been confronted by agency heads themselves. This SUB-COMMITTEE - - - - - - suggests a lack of clarity in the planning process between WESTSIDE staff work and policy-making and points out the importance STEERING of a continuous flow of information and policy guidance COMMITTEE between the staff and policy levels. There is a similar need for continued interaction between the metropolitan policy- I makers and the responsible elected municipal officials. TECHNICAL WESTSIDE Four Interests.-The Atlanta situation illustrates the in- COORDINATING TRANSPORTATION stitutional questions very well. Three levels of government COMMITTEE EVALUATION have a direct interest and concern with the planning of the PROJECT DIRECTOR Westside area. The transportation corridor is largely within I the city of Atlanta and, given the potential impact of pos- INFORMATION TECHNICAL/ sible new facilities, the study is obviously a matter of great TECHNICAL ADMI NISTRATIVE interest to the city. Also, the city of Atlanta has most of STAFF STAFF the existing authority to obtain federal funds for any com- munity programs that may be developed in association with Figure 30. Relationship of Atlanta Westside transportation a new transportation facility. To the extent that any gov- evaluation organization to the Atlanta Regional Commission. ernment is responsible for social action and redevelopment programs in this area, it is the city. The Atlanta Regional Commission is concerned because any major transportation facilities constructed in this large policy responsibility over to ARC, with the full participa- subarea will affect not only transportation movement tion of the City of Atlanta. When a freeway project reaches throughout the urban area but also land use, economic the location and design phase, the DOT should be called on development, the housing market, and so on. The city to participate through its technical staff, providing services obviously shares these concerns. to the regional and city policy makers. The Metropolitan Atlanta Rapid Transit Authority con- cern is that the outcome of the study might well emphasize California transit or at least affect transit use. MARTA can probably Under the mandate of a recent California law (Assembly be responsive to bus transit, but if additional rapid transit Bill 69) creating the California Department of Transporta- extensions are suggested, MARTA would be placed in a tion, a new set of institutional arrangements and procedures difficult financial situation because it is fully occupied with for state and regional transportation planning is emerging. its present long-range plans, for which financing is already A primary goal of the changes is delegation of transporta- available and committed to specific facilities. tion decision-making to the regional level to increase re- Georgia DOT's interest grows out of the fact that it has sponsiveness to local interests. To accomplish this, the law statutory responsibility to develop comprehensive transpor- mandates development of regional planning processes to be tation plans and in conjunction with the ARC and MARTA tied into development of a state plan by 1976. As a result, participates in long-range transportation planning. the California Department of Transportation is moving to None of these four interests can be solely responsible for establish closer working relationships with the regions. the kind of program that is envisioned in the Westside area; Three examples of the emerging institutional arrangements indeed, all of them must participate cooperatively to achieve and procedures are described briefly in the following. a meaningful, coordinated program. Each level of govern- The State Transportation Board.-The State Transporta- ment might be said to have an effective veto power. Fur- tion Board consists of 9 members, 7 governor-appointed ther, no interest has a monopoly of qualified staff which, public members and one each from the state senate and were it the case, might force a distribution of authority for assembly (the latter are nonvoting). in theory, the Board purely practical reasons. Georgia DOT staff for urban sys- tem planning in the Atlanta area is relatively small (three with its own small staff is independent of the Department of Transportation; in fact, however, it relies heavily on the or four professionals), making it equivalent to that of ARC Department's staff for much information. Its two primary and the city. roles involve allocation of funds to regional planning agen- Given these facts, and despite the constitutional authority cies from a newly created State Transportation Planning of Georgia DOT with respect to transportation planning, it and Research Account and adoption and revision of the may be desirable to turn more of the transportation system state transportation plan, including review of annual capi- 104 tal budgets for consistency with the state plan. In line with Department of Transportation. Agreements have been this latter role, the Board has approved comprehensive worked out with the Department's district office and the guidelines for development of regional plans by the regional Association of Bay Area Governments (ABAG) confirm- agencies. ing these powers; in addition, it has been agreed that the The Department of Transportation is responsible for MTC will carry out its duties in accord with the long-range monitoring development of regional plans and pulling them land-use development plans of the ABAG. Although one together, intact whenever possible, into a state plan to be might question the desirability of having a separate agency presented to the Board. The Department will identify issues dealing with transportation alone, the arrangements with of statewide significance (e.g., provision for interregional the other agencies in the region and the relative strength of travel or the preservation of Class A farmland) in order the MTC (as compared to a COG or LTC) offer oppor- that they may have a major impact on regional plans at an tunities for close coordination of transportation planning early stage. Where statewide issues are not addressed, the and implementation in all modes. TARPA, unlike MTC, Department may develop alternatives to the regional plans is a multipurpose and bistate (Nevada and California) and present both the regional plans and state alternative to planning agency with a mandate to guide the future de- the State Transportation Board for a decision. velopment of the Lake Tahoe Basin. TARPA will develop The Board must resolve conflicts between state and re- the regional transportation plan for the basin in conjunc- gional interests and approve a state plan that is consistent tion with the rest of their planning efforts. with the state transportation goals and objectives adopted The Revised Highway Priority-Setting Process.-Ulti- by the legislature. Prior to approving a plan the Board mately, priorities for state highway improvements will be must hold public hearings, providing an opportunity for guided by the adopted regional plans, with each regional discussions with various interest groups throughout the agency having strong inputs (if not final decision authority) state. Although the precise role played by the Board in concerning what priorities are actually set. Prior to adop- resolving these conflicts has not been completely defined, tion of those plans, officials in the State Department of the Board provides a forum for consideration of local, Transportation, Division of Highways, have initiated a regional, and state interests in approval of the state trans- cooperative priority-setting process that attempts to bring portation plan. the COG's more directly into the decision-making process. The Regional Planning Process.-Assembly Bill 69 dele- The key elements of the process are: (1) a technical pri- gates responsibility for development Of regional transporta- ority list is developed by the district from a list of projects tion plans to regional agencies. In some cases, however, generally thought to be "buildable'! and based on user bene- those agencies have specifically requested that the cor- fit criteria such as time and accident savings; (2) this list responding state transportation district office perform the is modified for specific environmental and community pref- staff work to develop the plans. Generally, these agencies erence factors by the COG's and the districts; and (3) this take the form of Councils of Governments (COG's) or "ideal" list is then adjusted for financial constraints (geo- local Transportation Commissions (LTC's; committees of graphic minimums, funding categories, etc.) by the dis- local political representatives and transportation operating trict. Although not fully delegating decision-making to the agencies). Both the COG's and LTC's include Transporta- regional agencies, the new priority-setting process repre- tion Policy Committees and Technical Coordinating Com- sents a first step toward careful coordination of important mittees similar to those in Atlanta. implementation decisions with the regions. Naturally, the Plans developed by the regional agencies are to be multi- actual process is not carried out in a strict sequence of steps modal and responsive to the range of the region's needs and but the activities listed are cycled through a number of desires. Regional plans are to incorporate, to the extent times as an agreed upon set of priorities is negotiated. possible, local transportation plans and are to be developed in an open participatory process. Once adopted by a COG Miami-Dade County, Florida or LTC and the State Transportation Board, regional plans are to be adhered to by the California Highway Commis- Miami-Dade County is almost a metropolitan government. sion in setting priorities for highway improvement. Al- The county has home rule authority, and certain duties (in- though not explicitly mandated by state legislation, it is cluding responsibility for transportation and traffic) have expected that federal regulations and the inclusion of local been transferred to it from the municipalities. Except for and regional transit agencies in the plan development proc- repairs and maintenance of local streets, the municipalities ess will encourage the transit implementation agencies to play no significant role in transportation planning and pro- adhere to the plan as well. Various proposals that would grams. Transit responsibilities, for instance, are fully within require conformance to the plan during implementation are the powers of the county. Thus, the county is a primary now under consideration by the state legislature. focus for multimodal transportation planning. In addition to the COG's and LTC's, the state legislature The state of Florida has not relinquished its powers over has created two statutory regional agencies, the Metropoli- highway planning and programs, though as a practical mat- tan Transportation Commission (MTC) in the San Fran- ter highways are planned jointly by the state and county cisco Bay area and the Tahoe Area Regional Planning and each has an effective veto over the other. Agency (TARPA). The MTC has strong powers over A limitation on effective regional planning is that Dade transportation planning and implementation decisions of all County does not encompass the entire urban area and the agencies involved in the process, including the California institutions and processes available for planning of the total 105 three-county urban area are extremely weak and ineffec- use in the municipalities. The Council has the A-95 review tive. Furthermore, Dade County has little effective control powers and also the power to review all new zoning ordi- over local development. nances and subdivision plans of the municipalities, but it cannot exercise effective land-use controls. Thus, as in Minneapolis-St. Paul, Minnesota Miami, there is a reasonably effective capability to assure The Minneapolis-St. Paul "Twin Cities" have evolved im- that transportation plans are consistent with land-use plans, portant new institutions to deal with regional problems. but there is little capacity to actually effectuate those land- The Metro Council, established in 1971, has members use plans. appointed by the governor from districts unrelated to Baltimore, Maryland municipal boundaries. Although the Council has rather strong powers over The formal arrangement of institutions in the Baltimore transportation planning and programs, it still has some area is very different from Atlanta, California, Miami, or severe limitations. Highways remain a responsibility of the Minneapolis-St. Paul. Here, all the major transportation state and plans are jointly developed between the state and organizations have been lifted to the state level and placed the urban area. in the Maryland Department of Transportation. Both high- The present situation with respect to transit planning is ways and transit for the Baltimore region are planned and ambiguous; both the Council and the Metropolitan Transit administered by Maryland DOT. Baltimore does have a Authority have been given long-range planning powers over Regional Planning Council with broad planning authority other regional agencies, but not veto power. Each has but, as usual, with a lack of authority to implement those developed its own independent transportation plans: the plans. The RPC and the state DOT appear to have worked MTA plan calls for rail rapid transit; the Council plan rather well together in the development of the Baltimore emphasizes exclusive busways. The two agencies have been area rapid transit plan and in freeway planning as well, unable to iron out their differences and the question is now though the seeds of controversy still exist. The logic of state control over transportation in Mary- before the legislature for settlement. It is hoped that the land derives from the small size of the state and the domi- legislature will settle not only the substantive dispute, but nant role that the Baltimore area plays within the state. also the ambiguities in the legislation. Therefore, this is not a model that easily can be translated The Metro Council has relatively little power over land to most other states. CHAPTER FIVE IMPLEMENTATION AND APPLICATION EXPERIENCE IMPLEMENTATION that change. Especially when a major change is proposed, The Accomplishment of Change there usually will be far-reaching consequences that must be identified and planned for. Even with careful planning, This report presents procedures, techniques, and organiza- any major change may raise issues that were not readily tional forms for increasing transportation agencies' effec- foreseeable at the beginning of the implementation process. tiveness in dealing with social and environmental factors. Thus, there is a need for periodic evaluation of the change A number of these methods can be adopted with little diffi- strategy and of the change itself, with revision as neces- culty and, in fact, are the current practice in several states. sary. When implementation is complete, monitoring may However, the over-all approach to transportation planning be desirable both to assess the change and to see whether recommended in this report may require major changes in it has had the expected results. policies, work styles, and institutional arrangements. Such The experience of a number of states in implementing changes necessarily are complex, and their implementation the requirement for a systematic interdisciplinary approach requires careful planning; a coordinated sequence of is instructive. Although there is a general consensus that changes in training, policy, and practice executed over a agencies need personnel from the natural and social science period of time is needed. Indeed, the process of implement- disciplines in addition to engineering personnel, many states ing changes may be as important as the changes themselves. have discovered that meeting this requirement involves a Determining that a particular change is desirable may be number of modifications to existing circumstances and that considerably easier than determining how to bring about many complex and difficult choices must be made. Some 106 have found, for example, that state civil service regulations precedent. When only one or two changes are introduced for employment in their agencies unduly limit salaries and at a time, the general pattern of activity within the organi- promotional opportunities for professionals without engi- zation is relatively undisturbed. Thus, changes are more neering degrees. Other states have faced difficult questions easily assimilated, and monitoring and controlling the of where in their organization interdisciplinary personnel change process is easier. However, introduction of a num- should be placed to maximize their effectiveness-for in- ber of changes may so change the "rules" that uncertainty stance, how to distribute personnel among district and head- and confusion will ensue; not only is this disruptive, but quarters offices and 3C organizations. Similarly, the states also under such circumstances strong resistance is likely. have had to choose among a number of options for pro- This is not to say that several changes cannot be imple- viding interdisciplinary capabilities, from hiring new per- mented at the same time; in fact, some changes will be most sonnel to training existing staffs to utilizing the expertise of effective when implemented together. Even so, simulta- other agencies or consulting firms. And all states have had neous implementation of all of the recommendations of this to contend with the issue of what role interdisciplinary staff report is not expected nor is it necessarily desirable. should play in the decision-making process. A number of lessons can be drawn from the states' ex- Barriers to Change periences. First, major changes cannot be implemented A number of organizational and procedural barriers exist instantaneously. It is important to analyze the interrelation- that work against change in general and, in particular, the ships among different parts of an organization and among introduction of increased environmental sensitivity within different policies and practices in order to develop a work- transportation agencies. These barriers must be overcome able strategy for implementing change, and this takes time. in implementing a new approach if the desired changes in Second, the strategy for change is heavily dependent on the attitudes and work styles are to be accomplished. , Where organizations to be affected, and so must be developed for the changes are fundamental, acceptance may be slow, in- each target of change and for each change to be brought dicating the real depth to which efforts must go to success- about. Third, the implementation of change is a learning fully bring about change within an agency. process that is most likely to be effective when some flexi- There are attitudes and constraints within any organiza- bility and room for experiment is available. tion which tend to inhibit innovation and experimentation Another factor that should be taken into consideration is and to encourage patterns that have worked well in the the inherent tendency of organizations to limit, slow, or past, even in the face of signs that those patterns may not resist change. Indeed, the need for thorough assessment of work well at present. The barriers to change identified the organization's inner workings stems largely from the are intended to be exemplary and are by no means necessity of identifying potential sources of resistance. In- comprehensive. troduction of change can upset the equilibrium of the organization, and one of the objectives in developing an Inherent in Transportation Agency effective change strategy is to develop a new stability that incorporates the desired end. Several characteristics of transportation agencies and of a Resistance to change is often beneficial, because it tends transportation program itself may work against successful to bring out the full consequences of the proposed change introduction of the kinds of changes proposed. and thus may protect the integrity of the organization. It Assumptions That Decisions Are Final.-Procedures for is important, however, that resistance to change be identi- review and reconsideration of earlier decisions are an in- fied explicitly, not only to aid the evaluation of proposed tegral component of the recommended approach. Although changes and to develop a strategy for change implementa- most highway agencies have learned through controversies tion, but also so that unfounded fears of the consequences that no decision is final until a project is actually con- of change can be laid to rest and reactions that might structed, in practice personnel often operate under the as- reduce the effectiveness of change can be avoided. sumption that earlier decisions are fixed. The fact that a This shows the importance of broad-based participation different unit, or even a different agency, may have made in the development of change policies and strategies. Par- the earlier decisions makes this reluctance to reopen the ticipation in designing organizational changes encourages issues understandable, as does the fact that the earlier de- the identification of potential problems, provides a better cisions in all likelihood were the result of years of effort. understanding of the short- and long-term benefits and costs The problem is that if such attitudes toward earlier de- of changing, and helps insure that the solution to the prob- cisions are maintained, any procedural requirements for lem identified is practical. Another important benefit of reconsideration of earlier decisions will not be treated participation in the development of change is that the peo- seriously and reconsideration will be perfunctory. ple who will carry out the change will have a clear under- There is a great deal of ego involvement in any plan or standing of why the change is occurring and what it is design, and transportation personnel are not alone in mea- intended to accomplish. suring the success of their work by the amount of it that Simultaneous implementation of a number of changes is adopted or put into effect. It is natural, then, that many introduces considerations in addition to those invoked by individuals see their goal as getting plans accepted and each individual change. Long-established policies and pro- projects built. However, in a process in which a large num- cedures provide stability and continuity and allow people ber of alternatives are considered with emphasis on social, in an organization to measure their achievements against economic, and environmental effects, and on the views of 107 the public, it is likely that questions about particular plans quirements for supervisory and management positions have will be raised and that requests to reevaluate earlier deci- traditionally included provisions that the person have either sions will be made, especially for those "pipeline" projects an engineering degree or professional registration as a pre- developed under a less environmentally sensitive process. requisite, automatically excluding those persons with a These requests for further work or reconsideration of de- background in management, social science, or environ- cisions should be viewed as a means of improving one's mental skills unless they happen to also have an engineer- work rather than as criticisms of one's abilities and ing degree. Nonengineers frequently have limited op- judgment. portunities for advancement. Thus, presently, it is not If personnel assume that earlier decisions are not open uncommon for the environmental personnel of a highway to change, the range of alternatives to be considered will agency to be young, junior staff, and to view their current necessarily be limited. Furthermore, if requests for re- position as an initial stepping-stone toward a more re- evaluation are viewed as attacks on the competence of the sponsible position elsewhere. If an agency is to develop a planner, designer, or decision-maker, resistance to such re- truly interdisciplinary approach, civil service and other per- quests will be likely. This could have the further effect of sonnel policies must be such as to enable nonengineering antagonizing those who made the request. disciplines to be rewarded with positions of increasing Existence of Adversary Roles.-Adversary roles can de- responsibility, including positions of top-level management. velop, or may already exist, between a transportation agency Consideration of No-Build Option.-A transportation and other agencies or groups, or between personnel within agency may have a mandate from its state legislature to a transportation agency. The existence of such roles works construct either an entire system or a particular project, against the systematic consideration of social, economic, and this mandate is cited as a reason for not considering and environmental effects. the option of no new construction as a feasible alternative. Adversary roles between an agency and outside groups Further, the legislative directive may state the particular may develop in the course of interaction or in many in- kind of facility to be constructed, thereby again narrowing stances may already be in existence. if personnel feel the range of alternatives that may be considered. threatened or under attack when outsiders criticize their Two points are relevant. First, the original source of the procedures or work, they may develop elaborate defense request to the state legislature may have been the agency mechanisms such as denigrating their "opposition," dis- itself. In this case, it is certainly within the prerogative of regarding outsiders' comments, or avoiding interaction al- the agency to go back to the legislature and request a together. In turn, the outside groups may be highly sus- modification to the original mandate. picious of the agency's motives and may tend to be overly Second, the National Environmental Policy Act and its critical. associated implementing guidelines require consideration of Adversary roles also may exist within an agency, in par- alternatives to the proposed action. These alternatives are ticular when individuals from different disciplines work to- to include, where relevant, the option of not building a gether, such as planners and designers or engineers and facility at all, even though the facility may be part of a environmentalists. The problems may arise because (a) state or nationally mandated system. members of one discipline act as "police" on the work of Continuity of Project Studies.-The traditional approach members of other disciplines; (b) members of certain dis- to the development of highway projects, as discussed in ciplines are regarded as "support staff" and as being less Chapter Four under "Interrelation of System and Project important to the work than others; (c) members of one Planning," can be characterized as linear and production- discipline understand neither the nature of the problems oriented-system planning followed by location, in turn faced nor the terminology of other disciplines. leading to design, resulting in construction. The organiza- In the case of outside groups, an attitude of openness tional structure of highway agencies reflects this traditional must be built up so that agency staff are less likely to react sequence with separate and independent units or depart- negatively to outside suggestions. Training sessions on top- ments responsible for different phases of project develop- ics such as dealing with the public or learning to handle ment. harsh criticism may be helpful. This has several effects, all tending to work against the Reward Structure, Career Patterns.-Reward systems in- systematic consideration of social and environmental ef- elude opportunities for internal advancement, starting wage fects. First, different groups of people are responsible for and salary structure, opportunities to learn, job security, different.phases of project development. It is difficult to opportunities to direct one's own work activity, responsi- communicate all relevant information developed by one bility, recognition by superiors and fellow employees, op- group to another group. Second, different groups, by the nature of their differing responsibilities, tend to work with portunities for being creative, and recognition by outside different community interests and officials, leading to a lack professionals. of comprehensiveness and continuity, Third, lapses of time The reward structure is critically related to the success frequently exist between major phases of project develop- of planning procedures. Highway agencies, for example, ment, thereby further increasing an already long lead time. traditionally have been viewed as engineering agencies. In some states, an engineer may receive higher pay or be The thrust of the recommended process, and particularly eligible for overtime, whereas a nonengineer with corre- that for a systematic interdisciplinary approach, runs coun- sponding responsibilities may be working for lower pay and ter to this traditional sequential approach and resulting not be able to be compensated for evening meetings. Re- organization structure. Major studies are likely to combine 108 elements of system planning, location, design, and possibly community interests and with diverse professional special- even programming. Individuals from these backgrounds ties, as well as on their ability to motivate others and to should continuously interact with each other on a direct manage conflict. and face-to-face basis and project development should pro- gress with a minimum of management and staff turnover. General Dangers Combining the traditionally sequential planning stages also may help reduce currently long project lead times and There are, in addition, dangers generic to all bureaucracies the resulting problems relating to environmental effects. that can hamper implementation of new approaches to the Long lead time makes it difficult to establish meaningful consideration of environmental matters. These are per- community interaction and contributes to the difficulty of sonal resistance, standardization of response, and multi- identifying direct and indirect impacts, those that may be plication of requirements. beneficial as well as those that are likely to be adverse. Personal Resistance.-Most of the internal structure and Communities are continually changing as residential and arrangement of any organization is designed to preserve the economic development patterns shift. Political officials status quo as much as possible and thus to discourage or change with new elections and as community attitudes and resist change. Change disrupts the normal order of things beliefs are modified. The result is that it is difficult to and causes uncertainty, which endangers feelings of se- allocate resourecs in ways that support the development of curity. Resistance to change may be open and direct, pas- an effective transportation system that can keep pace with sive and hidden, or unintentional, as in the case of a per- faster changing communities. son slipping back into former procedures. In any case, Lack of Disciplinary Skills.-A satisfactory process re- overcoming resistance entails a thorough study of its nature quires sufficient personnel resources representing the social and the reasons for it. and environmental sciences as well as civil engineering. A certain amount of resistance to change is inevitable in Although most states have made laudable progress in all people; and resistance can be of benefit in identifying unanticipated consequences of change. The new roles and broadening their interdisciplinary staff capabilities, the need procedures being recommended will require new styles of for management capabilities for interdisciplinary staffing is work. Their assimilation will be made easier if those who less well recognized. Project managers typically have been selected based on have to change fully understand what the changes are, why they are being asked to make them, and are included in demonstrated engineering skills or technical performance on former projects. Hence they are often more qualified determining the specific changes to be made. Care should as engineers than those who work for them. Frequently be taken to reduce either the perceived or actual threats to their interest and ability in engineering are strong and there such things as job security, status, and promotional oppor- is a tendency to continue to make detailed technical de- tunities whenever possible. cisions and to pay less attention to administration or to When resistance to change is found, open discussion of motivating people. In the past, this practice was acceptable the problem should be encouraged. Resisters must be because the decision process emphasized these technical reassured and persuaded, if possible, without threatening, factors and management decisions based on precedent were stiffening resistance, or causing lasting impairments in satisfactory. However, the increasing inclusion of environ- personal relations. mental factors in the decision process, the availability of a Standardization of Response. -Another tendency of gov- broader range of alternatives, service options, and trans- ernmental organizations is to standardize response; that is, portation technology, and the growing participation of the to routinize and simplify the way in which problems are public and other agencies has made management by prece- handled in an attempt to avoid major blunders. Standardi- dent less workable. zation of response often occurs when the problems to be Demands on project managers have increased signifi- faced are difficult or ambiguous, or when the organization cantly in recent years. They must manage interdisciplinary is operating under time constraints or resource limitations. staff without favoring any one discipline over another. They Routinized responses to the problems of identifying so- have to understand the technical jargon of each discipline cial, economic and environmental effects, interdisciplinary so that they can resolve misunderstandings among staff. staffing, dealing with the public, and so on, will probably They also have to be accustomed to working with un- lack the necessary flexibility and responsiveness to be truly certainty. Because many more factors must be considered effective. Agency personnel must be able to operate in a and many more specialists will be involved in studies, man- complex, ambiguous environment. The danger is that they agers are not able to monitor all activity, but are having to will devise standard responses to problems rather than try give more autonomy to the professionals they work with. to operate in the face of high uncertainty, and that such Administration and personnel coordination take more time, responses will not be adequate. so there is less time for making decisions as a specialist. Multiplication of Requirements.-This problem is related In a truly interdisciplinary approach the managers' pri- to the standardization of response, the prime difference mary responsibilities are to mediate among the many dis- being that whereas response standardization occurs within ciplines and to motivate the specialists to work with the a particular level of an organization as a means of dealing community and each other. Candidates for managerial pro- with that level's problems and is often unintentional, the motion should be judged on their management and ad- multiplication of requirements occurs when upper levels of ministrative skills, specifically their ability to work with the organization impose requirements on lower levels as a 109 way of ensuring their compliance. (This may be a head- influential people scattered throughout an organization. Key quarters office/district office phenomenon or a federal/ people are identified at all levels and brought together as a local phenomenon.) The danger is that the increased "red kind of informal task force having its own direct communi- tape" and paperwork that usually result may not in any way cations mechanisms. This involves a broader diversity of assure, and may even work against, adequate consideration inter'ests and introduces a change simultaneously at several of social, economic, and environmental effects. different organizational levels, thus helping to identify areas One way to counteract the tendency to multiply require- where a change may be resisted and the reasons for the ments is to make sure that the lower levels of an organiza- resistance, and leading to both more realistic policy and a tion participate in the development of the changes being more realistic implementation strategy. implemented and that they understand what is required of Some states followed this kind of approach in develop- them; if the personnel of the upper levels of the organiza- ment of their Action Plans. Key people were identified tion feel that their subordinates understand and accept what from several different levels and departments and brought they are supposed to be doing, they are less likely to per- together into an ad hoc Action Plan group for a period of ceive a need to "force" compliance. several months. These individuals brought with them a familiarity with many different facets of the agency and Developing an Implementation Strat6gy were generally chosen because they were respected by their A variety of methods are available for implementing change peers within the agency so the Action Plan would more within an organization, and in most cases a number of likely be accepted and implemented, and because they had methods will be used simultaneously rather than depending an ability to think in process, as opposed to technical study, on a single change method. The particular mix of methods terms. The corresponding top-down approach would have will be dependent on the particular change or set of changes been for the chief administrative officer to assign Action being implemented, the nature of the organization in which Plan responsibility to a single unit (for example, an envi- the change is being implemented, the resources available, ronmental unit) within the transportation planning group. whether the change is being introduced from within or from Where this occurred, this unit frequently found itself iso- outside an organization, and if from within, the level of the lated from other agency activities, particularly engineering organization from which the change is being introduced. and design. The result may have been a good Action Plan, The standard and most obvious change strategy is a top- but one not widely accepted within the agency. down approach where the chief administrative officer an- A typology of change strategies developed by Berme and nounces a change, generally of a major policy nature, and Chin is given in Table 14. The "ration al-e mpi rical " strate- then the new policy is incrementally introduced by succes- gies assume a change will be accepted if rationally justified. sively lower levels of the organization following the stan- Examples are the publication of research results and the dard and formal vertical structure. Experience has shown, holding of extension and other types of training courses. however, that such an approach may require years rather These kinds of techniques are likely to be useful in ex- than weeks and may be modified significantly by the time posing people to changes and helping to gain acknowledg- it reaches the lower or working levels of the organization. ment of a problem, but in most cases will not be entirely An alternative strategy, which is more compatible with sufficient by themselves to fully accomplish implementation. the identified principles and which can be successfully com- The "normative re-educative" strategies are based on the bined with a top-down approach, is to systematically utilize behavioral sciences and shared experiences. They are more TABLE 14 TYPOLOGY OF ORGANIZATIONAL CHANGE STRATEGIES I RATIONAL- EMPIRICAL NORMATIVE -RE-EDUCATIVE POWER-COERCIVE 1. BASIC RESEARCH AND DISSEMINATION 1. RELEASING AND FOSTERING 1. PROTEST OF KNOWLEDGE THRCLIGH GROWTH IN INDIVIDUALS GENERAL EDUCATION 2. PERSONNEL SELECTION AND 2. IMPROVING PROBLEM SOLVING 2. ECONOMIC SANCTIONS REPLACEMENT CAPABILITIES OF ORGANIZATIONS, LEARNING SYSTEMS 3. SYSTEMS ANALYSTS AS STAFF 3. USE OF POLITICAL INSTIT- CONSULTANTS UTIONS TO LEGITIMIZE CHANGE 4. APPLIED RESEARCH AND TRAINING, 4. RECOMPOSITION AND MANIPU- DIFFUSION OF RESULTS LATION OF POWER ELITES 5. UTOPIAN THINKING ASSUMPTION: CHANGE WILL BE USE OF BEHAVIOR SCIENCES, PSYCHO- FEATURES POLITICAL, PHYSICAL, ACCEPTED IF RATIONALLY JUSTIFIED. LOGICAL AND SOCIAL ASPECTS. ECONOMIC, AND MORAL SANCTIONS. CONCERN WITH VALUES, ATTITUDES. MODIFY OR MANIPULATE ENVIRON- MENTAL CONSTRAINTS ON GENERALLY MORE PERSONAL THAN ORGANIZATION. OTHER METHODS. KENNETH BENNE AND ROBERT CHIN IN THE PLANNING OF CHANGE, BY BENNIS, SENNE AND CHIN, HOLTRINEHART AND WINSTON,1969. 110 personal in approach and involve working with people on keep over-all control within their purview. However, it is an individual or small group basis. An example of such a likely that they will choose to delegate some responsibility strategy would be the introduction of a new study pro- for implementing particular tasks. Implementation could cedure, such as a subarea study, through a series of pilot be monitored by a task force, possibly including repre- or demonstration applications. These would be highly visi- sentatives from other state agencies, or by assigning re- ble throughout the agency and the results would be docu- sponsibilities for implementation to each level or depart- mented and communicated to other agency personnel ment of the organization. Implementation also could be a undertaking similar studies. continuing activity of the group that wrote the state's Ac- Finally, "power-coercive" strategies feature the use of tion Plan, inasmuch as these individuals would already be political, physical, economic, or moral sanctions. These familiar with the implications of a process approach and could include changes brought about through protest, court would already have thought through many of the proce- injunctions, and withholding of funding or project ap- dural and organizational issues involved in implementation. provals. A specific example is the withholding of project Involvement with Implementation.-Top management of approvals within an urban area if that area's 3-C study has the agency should fully understand, be committed to, and not received its annual certification as a mechanism of actively support the planned change. Many of the changes forcing the implementation of particular changes. will likely involve, or at least question, basic agency policy; These change methods normally assume an incremental it is important that top-level executives be continuously introduction of change where acknowledgment of a prob- informed and involved so they can facilitate these changes lem leads to changes in attitude that in turn lead to changes where appropriate. in behavior. This strict sequence, however, need not al- Key personnel, including but not limited to middle ways be followed. For example, although people cannot agency and functional unit managers, should be identified be forced for a long period of time to do things in which who will be thoroughly versed in the approach and who they do not believe, some behavioral changes frequently will be committed to its implementation. These persons may be possible before corresponding attitudes are changed. could coordinate research findings with their counterparts Field applications of the research showed this to be par- in other states and with federal personnel and could act ticularly true in the area of community interaction. Limited as catalysts for change within their departments. These in- community interaction tasks could be initiated even though dividuals also could help to identify personnel problems those responsible for the interaction did not have a full (insecurity, jealousy, and so on) that might arise and to understanding of the objectives or of the use of particular take steps to avoid or at least minimize such problems. techniques. In most cases, application experience helped to Pilot Studies.-Implementation should be achieved incre- achieve the increased understanding and the desired changes mentally, gradually introducing changes throughout an in attitude. agency. A component of such a strategy should be the use Recommendations for Implementation of pilot application studies to gradually introduce new ap- proaches and procedures. Such studies act as a learning The following recommendations should be applicable to opportunity, permitting adjustments to be made before a most transportation agencies-mass transportation as well procedure is introduced on an agency-wide basis; a train- as highway-and should serve as a basis for an agency to ing workshop, where agency staff from all levels can be develop its own more specific implementation strategy. In- selectively introduced to new approaches and gain "hands herent in the recommendations is an approach based on on" experience; and as a control mechanism enabling those learning by doing. responsible for implementation to maintain more direct Responsibility for Implementation.-The responsibility involvement in implementation. for implementation encompasses several tasks, as follows: The initial application should be undertaken in one re- 0 To develop and implement both a strategy and a gion or city for a particular study phase (e.g., corridor schedule for implementation, with an ongoing assessment studies). Subsequent applications can be gradually ex- of what changes are needed. tended to other geographic areas and study phases, in- 0 To check that resources are sufficient to meet the eluding design, system planning, and partially completed implementation schedule and to carry out the activities projects. planned. In applying the approach recommended, this report 0 To make sure that other agency activities are consist- should be used as an aid or guide, and not as a "cook- ent with the implementation plan or to revise the plan book." There is sometimes a tendency to follow guidelines accordingly. on a word-by-word basis; it is much more important that Other tasks that might be handled as part of this re- the spirit and intent be followed, and that the ideas be sponsibility include development of proposals for changes adapted to each unique situation. to laws, directives, and operating procedures, and assess- A pilot application should be reviewed and evaluated ment of the agency's over-all operation with respect to envi- periodically by top-level executives as well as by functional ronmental affairs, with recommendations for improvements. department heads. Major process decisions and activities Because of the importance of the responsibility for im- should be documented so that experiences can be more plementation, chief administrative officers probably should readily transferred to other agency personnel. When selecting personnel for a pilot application, several development of highway projects from system planning options are open. The teams can be composed of carefully through location and design. This report addresses these selected, highly qualified personnel, possibly including the same topics and can serve, in essence, as a set of examples direct participation of agency executives-i.e., put the best or candidate material to be incorporated into an Action available people on the project. The most capable people Plan. An Action Plan can thus be used as a policy-level would then be in the position of teaching the process to stimulus and as one element of a planned change strategy their coworkers, and would either already be in or would to assist in the implementation of these recommendations. likely move into positions of major responsibility. A second option, and the one used in the field coopera- APPLICATION EXPERIENCE tion phase of this project, is to utilize a staff composed of normal line personnel. This kind of-team gives a more Detailed findings from the various field applications are accurate reflection of the skills currently available in an incorporated in Chapters Three and Four and the preceding organization. section of this chapter as part of the in-depth discussions In either case, the selection of a study leader or manager of particular topics. In addition, other states and private is particularly crucial. The study manager must be com- consultants have used the results of the September 1971 mitted to and understand the process and should have interim "Procedural Guide" as a basis for project studies. interdisciplinary and management skills, and the ability to The following sections present certain basic observations work comfortably and effectively with community groups. from this experience. Most important, the manager should be respected and have status within the agency if the results of the pilot applica- Observations from Field Tests tion are to be credible, acceptable, and transferable. Elements of the proposed approach have been applied in "Pipeline" Projects.-Application of new approaches to recent years to numerous system, location, and design stud- "pipeline" projects poses special problems because extraor- ies. Each of the major proposed activities-evaluation, dinary resources would be required to recycle the numerous consideration of alternatives, identification of impacts and projects of this nature using a new study process. It is in- affected interests, and community interaction-has been stead recommended that pipeline projects be transitioned Csed in the field applications, although the, majority of from the existing process to a new process at the time of attention has been devoted to the introduction of com- a major decision point (such as is prescribed by the munity interaction activities. Primary conclusions are that "Process Guidelines," FHWA PPM 90-4) or that when a the approach, and the procedures and techniques discussed pipeline project is recycled for any of a variety of reasons, and illustrated in the preceding chapters, are feasible and studies be restarted using the new process instead of the contribute to an increased awareness of and sensitivity to former procedures. Recycling will probably be necessary social and environmental considerations, though some de- on projects of major importance even though they have gree of training may be required and some modest addition been under study for a long time. to or reallocation of existing resources is desirable. The Training Programs.-A program of training should be approach gradually has been accepted by the professionals undertaken for all agency personnel in the areas of impact with whom the researchers have worked. However, imple- identification, community interaction, evaluation, consid- mentation does take time; full and successful application eration of alternatives, and process management. This is not immediately achieved. training should provide the personnel working on various The approach in its fullest extent involves more than just the introduction of one or two new techniques or proce- projects the opportunity to evaluate the effects of the new dures. Full implementation has implications for personal procedures and exchange information about their applica- attitudes, management capabilities, staffing, agency policy, tion. In addition, workshops on system planning should be organizational structure, institutional relationships, and the conducted so that personnel can reassess existing statewide manner in which decisions are reached. Personnel from all and metropolitan area planning processes, become familiar levels and all departments of an organization need to be with their limitations, and start to develop changes in these involved; implementation cannot be the sole responsibility processes. of a single unit, such as the environmental staff. Institutional Arrangements and Organizational Structure. For some individuals the shift to a process approach is -Changes to the existing institutional arrangements and difficult; the traditional concern in most agencies has been organizational structure, as described in Chapter Four, with the development and implementation of specific, well- should be accomplished in parallel with implementation of defined "products," and less concern has been devoted to new study procedures. This will increase the incentives for the process by which these "products" are developed. agency personnel to adopt these procedures. Adaptation to a process approach may take several months. Federal Highway Administration Action Plan.-This re- Objections to the Approach port has been written to be compatible with FHWA PPM 90-4, the "Process Guidelines," implementing Section 109 In working with highway personnel, five potential objec- (h) of Title 23, U.S.C. An Action Plan describes the tions have frequently been raised to the proposed ap- organization to be used, including specific assignments of proach: (a) The process may take longer than the time responsibility, and the processes to be followed in the now allocated for studies; (b) the study itself may be more 112 expensive and may result in a project that costs much project is seen as undesirable and is eliminated, this is not more; (c) the process may result in a project's never be- a catastrophe: it is simply the inevitable result of the chang- ing built at all; (d) the approach implies that decision- ing world we live in. Thus, the recommended process can making authority legally vested in the highway agency is be viewed as an opportunity to reexamine earlier system delegated to the community; and (e) the process is based decisions, either to validate those decisions or to revise on community participation, yet the majority of the public them. may not be sufficiently interested to participate. These objections have been considered carefully and a response Change in Decision-Making Authority to them follows. Although the proposed approach has implications for Time Requirements change in the decision-making process, public participa- tion does not of itself imply a right for citizen groups to It may be true that some additional time and money will assume any part of the formal decision-making responsi- be required. But the length of time between initiation of bility legally vested in a transportation agency. The objec- planning studies and initiation of construction has in- tive is to provide as good a basis as possible for those indi- creased significantly in recent years, sometimes becoming viduals with authority to make a choice, by fully informing infinite when controversy leads to mobilization of political them of all relevant issues and tradeoff s. Community inter- power to block the project. For uncontroversial or rela- action is necessary to develop this information. Input from tively insensitive projects, the increased time required by the public will contribute to an improved understanding of the proposed approach is minimal. For controversial stud- the potential social and environmental effects of proposed ies, however, the proposed approach may significantly re- actions, will provide information on community preferences duce the length of time between initiation of studies and and objectives, and will in almost all cases influence de- the start of actual construction by reducing the probability cisions. This need not, however, involve either formal or that positions will become so polarized that the project is informal delegation of authority. blocked. In all situations, the quality of the final "solution" may be improved as a result of the community interaction Community Indiflerence and other activities undertaken. Some personnel measure the success of a community inter- Increased Costs action program by the number of people participating. Low attendance at agency-initiated special-purpose meetings may When it comes to cost, again a true baseline for compari- be interpreted as apathy on the part of the general public. son must be established. Given the present high annual A process based on citizen participation, therefore, is rate of increase in construction costs, the project cost esti- viewed as requiring significant additional effort and pro- mate of today may be much lower than the cost actually viding only marginal returns. But maximization of the incurred when the project is built. Even if controversy number of participants is not, by itself, a desirable objec- delays a project only four or five years, there may be an tive of community interaction; there are reasons other than increase in costs by perhaps as much as 50 percent. If lack of interest for low meeting attendance. An agency's controversy can be avoided by gaining community accept- prime responsibility is to provide full and equal opportunity ance of the need for a route and its location and design features at an early point, the additional resources invested for citizens and interest groups to be informed and to be- may save other longer-run costs. come involved in transportation decision-making, recogniz- ing fully that different levels of effort and different tech- Prospects of "No-Build" niques may be required to inform and involve different pub- lics. There can be no denying that effective community The perceived "danger" that a project may never be built interaction will require significant effort on the part of an at all needs to be examined carefully. Presently, a highway agency, but the actual decision to participate must always or transportation agency may see itself as having the mis- be made by the individual citizen or interest group. There sion of constructing or upgrading particular highway or are two basic determinants of successful community inter- transportation facilities for which the need and desirability action: First, have viewpoints on all relevant issues of has been clearly established, reflecting the best available choice been obtained? This implies a representativeness of knowledge at some point in time and the preferences of different views, and is not necessarily achieved just by ob- that time. As the particular study proceeds, more realistic taining a large number of participants. Second, have the and accurate estimates can be made of costs, of traffic issues of choice been clarified for the public as well as for service provided, of the impacts on various communities the agency? This does not mean that full consensus has and groups, and of the costs necessary to compensate for been obtained or even that individual preferences or posi- those impacts which are negative. These estimates may tions change during the course of a process, but only that indicate costs and other effects of this project that are sub- an increased understanding has been obtained of the alter- stantially less desirable than those estimated when the initial natives available, their impacts, and the positions of other decision to proceed was made. If as a result a particular interests. 113 From the point of view of the public, successful partici- In summary, introduction of any significant new ap- pation is achieved when they perceive that their contribu- proach will result in a natural resistance to the change. tions are truly desired and influential, and are not being Although the very real concerns reflected by the objections solicited just to fulfill a legal requirement or administrative that have been raised are fully understood, it is believed directive. Where positive conditions have existed, expe- that the problems faced are not necessarily inherent in the rience has shown that effective participation has resulted. proposed approach. CHAPTER SIX CONCLUSIONS AND SUGGESTED RESEARCH APPLICABILITY TO PUBLIC POLICY DECISIONS Even so, and although research needs still exist, routine op- The approach described has been developed specifically for erations of most transportation agencies lag behind current highway decisions at both the system and the project levels. state-of-the-art understandings. Priority emphasis should be Although the research initially was oriented to construction given to implementation at all levels of government-na- of freeway-type facilities in urban areas, subsequent phases tional, state, regional, and locaI-and to all modes-high- have examined smaller-scale projects such as secondary way, urban public transportation, rail, and air-of already road upgradings, rural settings such as are typical in many existing research results. Although many transportation organizations agree with states, and a variety of political cultures found in the dif- this priority and recognize the desirability of a planning ferent geographic regions of the country. The result is that process that more effectively incorporates means of con- the findings and recommendations should be applicable to sidering social, economic, and environmental factors, there the operations of all national, state, and metropolitan high- are several factors that retard implementation. The major way organizations and to the full range of potential service need, then, is for development of a means to aid the, imple- improvements. mentation of improved procedures. Among the important The approach also should be directly applicable, with iterns requiring careful consideration are: few or no modifications, to other transportation modes: transit route (or station) location and design; operation, 1. Staffing. Many transportation agencies lack sufficient parking, scheduling, and other regulatory policies; bus rout- personnel with expertise in nonengineering disciplines and ing; airport location and design; and rail line abandon- are hard pressed to obtain the authority necessary to hire ments and network rationalizations. them. Salary scales and advancement opportunities for T'he concepts underlying this approach, and the approach nonengineers often are relatively -unattractive, making it itself, also should be applicable to fields other than trans- difficult to find and keep qualified people. Arrangements portation: for power plant and refinery siting, urban de- with other agencies for the lending of specialists may be velopment, flood control projects, and similar public works limited or nonexistent. decisions. Moreover, the basic principles should be valid Because it is important to have an adequate in-house staff in a wide spectrum of public policy problems. The issues of social, economic, and environmental specialists, needs of "the environment" cannot be handled by simply hiring exist for (a) ways of authorizing and funding nonengineer- a few architects or ecologists; neither can issues of equity ing personnel, (b) appropriate salary scales and career op- be resolved simply by a program of citizen participation. portunities for nonengineers, and (c) means of obtaining Decision and planning processes must be structured so that the services of experts available in other governmental the inevitable conflicts among competing interests can be agencies. resolved with a full understanding of the choices made. It 2. Training programs. Both engineers and professionals is firmly believed that the approach described is essential in other disciplines need training that updates their capa- if governmental agencies are to retain the confidence of the bilities in their own disciplines and increases their under- public. standing of, and capacity to work wth, other disciplines. Development of methods and programs for on-the-job NEXT STEPS: IMPLEMENTATION training and of opportunities for further formal education are essential. Major advances have been made in the understanding and 3. Funding. Fiscal constraints that may inhibit the free- development of methods for incorporating social and envi- dom to take a truly multi-modal and service-oriented ap- ronmental considerations in transportation decision-making. proach to transportation should be removed. Funding 114 should be available on an equal basis for the construction, direct transportation-related impacts, and especially to dis- operation, maintenance, and planning of all modes and aggregate the results of current prediction models to better services; and for compensation of persons beyond the indicate the manner in which specific interests and groups immediate transport right-of-way for adverse social, eco- may be affected. In addition, means for disseminating nomic, or environmental effects that may be directly inci- state-of-the-art information on available methods should be dent upon them. improved. For example, regularly updated catalogs of im- 4. Research tools. Further work is needed in developing pact prediction techniques and community interaction tech- and improving techniques for predicting direct and in- niques would be of service to transportation professionals. REFERENCES GENERAL 14. 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LEAVITT, HAROLD J., Managerial Psychology. Third 275. KINSTLINGER, JACK, "The State Role in the Transit ed., Univ. of Chicago Press (1972). Aspects of Long-Range Transportation Planning." 287. LiPPITT, RONALD, WATSON, JEANNE, and WESTLEY, Hwy. Res. Record No. 475 (1973) pp. 26-29. BRUCE, The Dynamics of Planned Change. Harcourt 276. Lupo, ALAN, COLcoRD, FRANK, and FOWLER, ED- (1958). MUND P., Rites of Way. Little, Brown (1971). 288. ROGERS, E. M., Diflusion of Innovations. Free Press, New York (1962). 277. MARCH, JAMES, and SIMON, HERBERT A., Organiza- 289. SCHEIN, E. H., Process Consultation: Its Role in tions. Wiley (1968). Organization Development. Addison-Wesley (1969). 278. MOREHOUSE, T., "The 1962 Highway Act: A Study 290. SCHEIN, EDGAR H., and BENNIS, WARREN G., Per- in Artful Interpretation." AIP Jour. (May 1969). sonal Organizational Changes Through Group Meth- 279. "Organization for Continuing Urban Transportation ods: The Laboratory Approach. Wiley (1965). Planning." HRB` Spec. Rep. 139 (1973). 291. SCHUTZ, WILLIAM C., and ALLEN, VERNON L., "The 280. Pennsylvania Department of Transportation, "Devel- Effects of a T-Group Laboratory on Interpersonal opment of Transportation Planning Work Program Behavior." Jour. Appl. Behavioral Sci. (1966). for the Delaware Valley Regional Planning Commis- 292. SHEPARD, HERBERT A., "Innovation-Resisting and sion." Prepared by Barton-Aschman Associates and Innovation-Producing Organizations." Jour. of Busi- Creighton, Hamburg (June 1973). ness, Vol. 40, No. 4 (1967). APPENDIX A LEGAL REQUIREMENTS This appendix provides short discussions of selected federal COMMUNITY INTERACTION laws and directives affecting the consideration of social and A few of the more important statutory and administrative environmental effects in the highway planning and decision- requirements for interaction with other agencies, officials, making process. There is no attempt to be comprehensive and the public are included in the following. in these summaries; the intent is to show how the proposed 1. Federal-Aid Highway Act of 1962, Section 134(a), approach incorporates the major federal requirements. Each provides that highway projects in urban areas with popula- state, of course, has its own additional statutes and direc- tions of more than 50,000 must be "based on a continuing tives to which it must adhere. comprehensive transportation planning process carried on 123 cooperatively by States and local communities in conform- (c) Right-of-way and relocation assistance programs, ance with the objectives stated in this section." Policy and including major points of public interest. Procedure Memorandum 50-9, which implements 134(a), (2) To clearly indicate the organizational unit or units within the Highway Agency to which the public can states: go for information outlined in paragraph I lb (1), and 1. The planning process includes the operational pro- for assistance to clarify or interpret the information. cedures and working arrangements by which short- and (3) To ensure that interested parties, including local long-range highway and transportation plans are soundly governments and metropolitan, regional, State and Fed- conceived and developed, and continuously evaluated in eral agencies, and the public have an opportunity to par- a manner that will: ticipate in an open exchange of views throughout the (a) Assist governing bodies and official agencies in stages of project development. determining courses of action and in formulating (4) To select and coordinate procedures, in addition attainable capital improvement programs in an- to formal public hearings, to be used to inform and ticipation of community needs. involve the public. (b) Guide private individuals and groups in their (5) To utilize appropriate agencies with area-wide planning decisions which can be important factors responsibilities to assist in the coordination of view- in the pattern of future development and rede- points during project development. veiopment. (6) To involve appropriately the organization which is officially established in urbanized areas of over 50,000 3. The planning process should be closely coordinated population to conduct continuing, comprehensive, co- with policy making and program administration and operative transportation planning (consistent with PPM should be organized with the objective of achieving 50-9 and IM 50-3-71). agreement on interrelated action programs founded on factual information. EVALUATION 2. Executive Order 11514, "Protection and Enhance- ment of Environmental Quality," Section 2(b), directs The evaluation method is designed to produce periodic re- federal agencies to: ports documenting the planning process. These reports can Develop procedures to ensure the fullest practicable serve as the basis for the environmental impact statement provisions of timely public information and understand- (EIS) called for by Section 102(2)(C) of the National ing of federal plans and programs with environmental Environmental Policy Act of 1969, which requires that impact in order to obtain the views of interested parties. before decisions are made on major federal actions, a state- These procedures shall include, whenever appropriate, ment be circulated describing provision for public hearings, and shall provide the pub- lic with relevant information, including information on (i) The environmental impact of the proposed action, alternative courses of action. Federal agencies shall also GO Any adverse environmental effects which cannot encourage state and local agencies to adopt similar pro- be avoided should the proposal be implemented, cedures for informing the public concerning their activi- (iii) Alternatives to the proposed action, ties affecting the quality of the environment. (iv) The relationship between local short-term uses of 3. The Federal-Aid Highway Act of 1968. This act em- man's environment and the maintenance and en- hancement of long-term productivity, and phasizes public participation and the consideration of com- (v) Any irreversible and irretrievable commitments of munity goals and objectives, social and economic effects, resources which would be involved in the proposed and environmental impacts in highway planning. The law action should it be implemented. states: The environmental impact statement must satisfy two Any state highway department which submits plans for a conflicting but essential considerations. It must serve as a Federal-aid highway project involving the bypassing of, public disclosure mechanism, making information on the or going through, any city, town, or village, either incor- proposed project readily available to interested parties; and porated or unincorporated, shall certify to the Secretary [of Transportation] that it has had public hearings, and it must demonstrate that the responsible agency has per- has considered the economic and social effects of such a formed careful investigations of the potential consequences location, its impact on the environment, and its consist- of its proposed actions. To inform people, an impact state- ency with the goals and objectives of such urban planning ment should be brief and readable, and people should not as has been promulgated by the community . . . (23 U.S.C. 128). have to wade through hundreds of pages to extract the in- formation of interest to them. Yet for many large projects 4. Federal-Aid Highway Act of 1970 as implemented by demonstrating that a thorough analysis has been carried out FHWA Policy and Procedure Memorandum 90-4 may require a massive statement. Section 11, Involvement of Other Agencies and the Pub- The way out of this dilemma may be to have one part of lic, states: an environmental impact statement provide a cogent sum- b. The Action Plan should identify the assignment of mary with other sections filling in details. An evaluation responsibility and procedures to be followed: report as described in Chapter Three could serve as the (1) to ensure that information is made available to' summary, presenting the most important issues. The rest of other agencies and the public throughout the duration of the statement would add the detailed descriptions required project studies, and that such information is as clear and comprehensible as practicable concerning: by Section 102(2)(C) and its implementing guidelines.* (a) The alternatives being considered. (b) The effects of alternatives, both beneficial and Council on Environmental Quality, "Guidelines for Federal Agencies adverse, and the manner and extent to which Under the National Environmental Policy Act." Issued August 1, 1973. Also, Federal Highway Administration, Policy and Procedure Memoran- specific groups are affected. dum 90-1, August 24, 1971, as revised September 7, 1972. 124 ALTERNATIVES the improvement of other modes are adequately considered, where appropriate. Principal among federal requirements for the process of (4) Non-transportation components, such as replace- investigating alternative courses of action are the following: ment housing, joint development, multiple use of rights-of-way, etc., are in coordination with trans- 1. National Environmental Policy Act of 1969, Section portation components. 102(2) (C) (iii), requires a discussion of "alternatives to (5) Suggestions from outside the Agency are given the proposed action" in every environmental impact state- careful consideration. ment. Section 102(2) (D) requires that agencies: 4. Federal-Aid Highway Act of 1973 increases flexibility Study, develop, and describe appropriate alternatives in exploring a wide range of transportation options by ex- to recommended courses of action in any proposal which panding the funds available to transit and by allowing more involves unresolved conflicts concerning alternative serious consideration to be given to the option of not build- uses of available resources. ing an expressway-level facility. Experience shows that such conflicts exist on the ma- The act establishes urban and rural systems, both funded jority of projects; therefore, this section may be applicable by the Highway Trust Fund, and allows funds to be used, even though a formal environmental impact staterrient may starting in fiscal 1975, for the purchase of buses and capi- not be required. tal expenses for highway traffic control devices, bus pas- senger loading areas, and auto parking facilities to serve 2. Department of Transportation Act of 1966 as amended mass transit passengers. Beginning in fiscal 1976, these by the Federal-Aid Highway Act of 1968 Section 4(f) monies also may be used for rail transit facility construc- states: tion, reconstruction, and improvements, and for rail transit rolling stock. The Secretary [of Transportation] shall not approve A second provision allows urbanized areas of over 50,000 any program or project which requires the use of any publicly owned land from a public park, recreation area, population to trade funds from unwanted Interstate seg- or wildlife and waterfowl refuge of national, state or ments for an equal amount of mass transit aid from general local significance as determined by the Federal, State, or funds. Thus, a decision not to build an expressway-level local officials having jurisdiction thereof, or any land facility does not automatically mean forfeit of transporta- from an historic site of national, state, or local signifi- tion aid. cance as so determined by such officials unless (1) there is no prudent and feasible alternative to the use of such land, and (2) such program includes all possible planning IMPACTS to minimize harm to such park, recreation area, wildlife, and waterfowl refuge or historic site resulting from such Federal legislation and administrative directives define a Use. basic set of requirements to be satisfied by impact predic- The words "no prudent and feasible alternative" form a tion activities, as follows: "negative performance standard" that can be satisfied only 1. National Environmental Policy Act of 1969 defines a by investigating all possible alternatives and demonstrating national policy for the environment. Objectives of this that none is in fact prudent and feasible. Court rulings policy are stated in Section 101(b): have provided guidance on the interpretation of "prudent and feasible." In the leading case Citizens to Preserve (1) Fulfill the responsibilities of each generation as Overton Park, Inc. v. Volpe, 401 U.S. 402 (1971), the trustee of the environment for succeeding generations; (2) Assure for all Americans safe, healthful, pro- Supreme Court held that an alternative route is "feasible ductive, and aesthetically and culturally pleasing sur- within the meaning of this provision unless its use would roundings; be contrary to sound engineering," 401 U.S. 402, 411. It (3) Attain the widest range of beneficial uses of the further stated that an alternative route is "prudent" within environment without degradation, risk to health or safety, or other undesirable and unintended conse- the meaning of this provision unless its use involved "truly quences; unusual factors" or "cost or community disruption . . . (4) Preserve important historic, cultural, and natural [of] extraordinary magnitudes." (401 U.S. 402, 413). aspects of our national heritage, and maintain, wherever [Comment on this aspect of opinion can be found in the possible, an environment which supports diversity and Supreme Court, 1970 Term, 85 HARVARD LAw REV. 315, variety of individual choice; (5) Achieve a balance between population and re- 322-325 0971).1 source use which will permit high standards of living and 3. Federal-Aid Highway Act of 1970, as implemented a wide sharing of life's amenities; and by FHWA Policy and Procedure Memorandum 90-4, Sec- (6) Enhance the quality of renewable resources and tion 10, requires highway agencies to follow procedures to approach the maximum attainable recycling of depletable resources. ensure that: (1) The consequences of the no-highway improvement Section 102(2) (B) states that all agencies of the Federal option are set forth, with data of a level of com- Government shall: pleteness and of detail consistent with that de- (13) identify and develop methods and procedures, veloped for other alternatives. in consultation with the Council on Environmental (2) A range of alternatives appropriate to the stage is Quality . . . which will insure that presently unquanti- considered at each stage from system studies fled environmental amenities and values may be given through final design. appropriate consideration in decision making along with (3) The development of new transportation modes or economic and technical considerations. 125 2. FHWA Policy and Procedure Memorandum 20-8 For example, Chapter 11 of Volume 3 of FHWA's Civil (Public Hearings and Location Approval), as modified by Rights-Equal Opportunity Manual provides interim guide- Instructional Memorandum 20-4-72. The following effects lines for (a) implementation of Title VI provisions of the are required to be discussed, to the extent applicable, by Civil Rights Act of 1964 (42 U.S.C. 20OOd-d4) and (b) a state highway agency in requesting federal location and conduct of Title VI compliance reviews. Compliance for design approvals: local studies in urban areas is based on the extent to which (1) Regional And Community Growth including gen- a state complies and displays certain information, including: eral plans and proposed land use, total transportation re- (a) The major racial populations in that portion of the quirements, and status of the planning process. urban area through which alternate locations pass. (2) Conservation and Preservation including soil ero- (b) The character of each area through which the corri- sion and sedimentation, the general ecology of the area as well as man-made and other natural resources, such dor passes. as: park and recreational facilities, wildlife and water- (c) The estimated number of persons and families in the fowl areas, historic and natural landmarks. corridor by race that would be either displaced by (3) Public Facilities and Services including religious, the road or located in areas directly adjoining the health and educational facilities; public utilities, fire pro- tection and other emergency services. road. (4) Community Cohesion including residential and (d) The location of each business enterprise located neighborhood character and stability, highway impacts within the corridor, the estimated number of em- on minority and other specific groups and interests, and ployees by race, and the race of the owner. effects on local tax base and property values. (5) Displacement of People, Businesses, and Farms 5. The Uniform Relocation Assistance and Real Prop- including relocation assistance, availability of adequate erty Acquisition Policies Act of 1970 has removed nearly replacement housing, economic activity (employment gains and losses, etc.). all the statutory barriers to the equitable financial treatment (6) Air, Noise, and Water Pollution including con- of displaced households. It provides that homeowners may sistency with approved air quality implementation plans, be reimbursed up to $15,000 above "fair market value," to FHWA noise level standards (as required under PPM 90-2), and any relevant Federal or State water quality be applied to the purchase of comparable decent, safe, and standards. sanitary housing. This enables the household to be left in (7) Aesthetic and Other Values including visual qual- a similar equity position, having the same assets and lia- ity, such as: "view of the road" and "view from the bilities as before displacement. However, this legislation road," and the joint development and multiple use of merely enables administrators to be fair; it does not require space. such compensation. 3. Federal-Aid Highway Act of 1970, as implemented For renters, the act provides a rental supplement for by FHWA Policy and Procedure Memorandum 90-4 Sec- displacees of up to $1,000 per year for four years, recog- tion 9, calls for Action Plans to discuss the assignment of nizing that they also may face an extremely tight housing responsibility and procedures relating to the identification market and face other unreimbursed costs during reloca- of social, economic, and environmental effects. Information tion. In addition, to encourage former renters to become to be provided includes control of the technical quality of homeowners, they can elect instead to receive $2,000 to- impact studies and monitoring the effects of completed proj- ward a down payment plus up to $2,000 more as a "match- ects and of the general state-of-the-art to ensure that agency ing share" for whatever down payment the former tenant procedures are as current as possible. himself provides. An Action Plan must also describe the procedures to be The 1970 Act was preceded by the 1968 Federal Aid followed to ensure that environmentally related information: Highway Act in many of its recommendations, although (a) Is developed in parallel with alternatives and with somewhat lower limits on the payments. related engineering data, so that the development and The remaining financial issues in housing displacement selection of alternatives and other elements of technical are not so much statutory ones, but administrative. Those studies can be influenced appropriately. responsible for administering relocation and replacement (b) Indicates the manner and extent to which specific programs must understand the housing market and con- groups and interests are beneficially and/or adversely scientiously and fairly apply the law to achieve the objec- affected by alternative proposed highway improvements. (c) Is made available to other agencies and to the tive of equity for those displaced. public early in studies. (d) Is developed with participation of staffs of local PROCESS MANAGEMENT agencies and interested citizens. (e) Is developed sufficiently to allow for the esti- Federal legislation and administrative directives define a mation of costs, financial or otherwise, of eliminating or minimizing identified adverse effects. basic set of requirements to be satisfied by process man- agement activities, as follows: 4. A number of federal laws are directed at specific types 1. National Environmental Policy Act of 1969, Section of impacts. Among these are: 102(2) (A), contains the most direct and far-reaching * Department of Transportation Act, Section 4(f). statutory requirement affecting the over-all management of 9 Civil Rights Acts of 1964 and 1968. a transportation planning process. This section requires * Clean Air Act of 1970. that agencies use a "systematic interdisciplinary approach 0 National Historic Preservation Act. which will insure the integrated use of the natural and 126 social sciences and the environmental design arts in plan- statewide planning as well as urban area transportation ning and in decision-making which may have an impact on planning conducted under the Section 134 "3-C" process. man's environment." Because an agency's day-to-day work Section 14 of the Guidelines is directly concerned with activities, as well as its final decision-making, have environ- the interrelation of system and project decisions. The Ac- mental impacts, a systematic interdisciplinary approach is tion Plans called for by the PPM are to identify: required at all levels of the organization and throughout (1) Procedures to be followed to: the planning and design stages. Although the nature and (a) ensure that potential social, economic, and en- extent of the approach may vary with the type and sig- vironmental effects are identified insofar as practicable in nificance of the project or the geographic area, a systematic system planning studies as well as in later stages of loca- interdisciplinary approach is needed at all times, not just tion and design; for special cases. A one time application (e.g., prepara- (b) provide for reconsideration of earlier decisions which may be occasioned by results of further study, the tion of an environmental impact statement by an inter- availability of additional information, or the passage of disciplinary group) is not sufficient. time between decisions. 2. Federal-Aid Highway Act of 1970, as implemented by (2) Assignment of responsibility for ensuring that project studies are effectively coordinated with system FHWA Policy and Procedure Memorandum 90-4, requires planning on a continuing basis. that each state highway agency demonstrate compliance with the NEPA requirement for a systematic interdiscipli- 3. Federal-Aid Highway Act of 1973. A major feature nary approach. Action Plans are to of this act is that portions of the Highway Trust Fund allo- . . . indicate procedural arrangements and assignments cated to the federal-aid urban system and to primary and of responsibilities which will be necessary to meet this secondary roads are annually apportioned to the states. requirement, including: Within a state, urban system funds are further apportioned (1) the organization and staffing of project groups to urbanized areas of more than 200,000 population. This which are systematic and interdisciplinary in ap- can have a profound implication for the planning and proach, including the possible use of consultants and decision-making process at state and local levels. In the representatives of other State or local agencies; past, federal funds for all urban and rural facilities (other (2) recruitment and training of personnel with skills than those included in the secondary road program) were which are appropriate to add on a full-time basis, allocated to specific projects receiving federal approval. and the development of appropriate career patterns, Therefore, planning, location, and design studies were including management opportunities; (3) additional training for present personnel to enhance oriented around a sequential process in which the need their capabilities to work effectively in an inter- for a project was tentatively established in system plan- disciplinary environment. ning, and not building the project became less and less a realistic option as the project progressed through location SYSTEM PLANNING and design studies because of the fear of losing the federal funds for that project. Federal legal requirements affecting the integration of sys- With apportionment, concern is shifted from project ap- tem and project planning include the following: provals to the management of a flow of funds. This means 1. Federal-Aid Highway Act of 1962 was the first legis- that from the point of view of the implementing agency, lation that explicitly recognized the need for special atten- there can be greater flexibility in responding to changes in tion to be paid to transportation planning in urban areas. community preferences as to which specific actions citizens Section 134(a) resulted in creation of what has come to and local officials wish to implement in the next period. be known as the 3-C (continuing, comprehensive, and Thus, there can be an annual programming process in which coordinated) planning process by stating: decisions are made as to which projects should advance to- ward implementation. If, for example, corridor studies pro- It is declared to be in the national interest to encourage duce information on previously unanticipated adverse and promote the development of transportation systems, embracing various modes of transport in a manner that consequences of a proposed project, that project can be de- will serve the States and local communities efficiently and ferred from implementation and alternative projects can be effectively. To accomplish this objective the Secretary advanced with no fear of losing federal funds. shall cooperate with the States . . . in the development of long-range highway plans and programs which are Another provision of the 1973 Highway Act requires that properly coordinated with plans for improvements in establishment of routes and schedules for public mass trans- other affected forms of transportation and which are portation systems in urban areas be based on the 3-C plan- formulated with due consideration to their probable effect on the future development of urban areas of more ning process. This implies that the comprehensive area- than fifty thousand population. . . wide planning process should be concerned not only with Satisfaction of the full intent of the stated "coordination" long-term area-wide plans but also with the near-term and "consideration" can only be accomplished if project changes in public transportation systems, and by implica- studies are effectively integrated with system planning. tion with other short-range program elements as well. In 2. Federal-Aid Highway Act of 1970 as implemented by other words, the act implies that the annual programming FHWA Policy and Procedure Memorandum 90-4. The process should focus on all modes and on short-range capi- Process Guidelines contained in the PPM are applicable tal and service improvements as well as long-range area- "from initial system planning through design," including wide plans. This, combined with the increased funding 127 flexibility, creates the institutional context in which the 4. Federal-Aid Highway Act of 1970, Sections 105(d) programming process can become a meaningful focus for and 109(h) of Title 23, U.S.C., as implemented by FHWA constructive citizen participation on an annual basis. Policy and Procedure Memorandum 90-4, Process Guide- lines. Section 134(a) of the 1962 Highway Act influences INSTITUTIONAL ARRANGEMENTS AND the decision-making process in 3-C urban areas with the DECISION-MAKING requirement that "responsible public officials of such an urban area . . . have been consulted and their views con- Among the federal laws exerting significant influence on sidered with respect to the corridor, the location and the institutional arrangements are: design of the project." For federal-aid projects on the urban 1. Federal-Aid Highway Act of 1962, Section 134(a), system, this wording is strengthened by Section 105(d), as implemented by FHWA Policy and Procedure Memo- which states that such projects ". . . be selected by the appropriate local officials and the state highway department randum 50-9, Instructional Memoranda 504-68 and 50- in cooperation with each other." The emphasis is on a local 3-71, and Notice HP-21. Section 134(a) requires that voice in the selection of projects as opposed to only con- highway projects in urban areas of more than 50,000 popu- sultation and involvement. (Cf. discussion of 1973 Federal- lation be "based on a continuing comprehensive transporta- Aid Highway Act). tion planning process carried on cooperatively by states and Section 109(h) further defines the decision-making proc- local communities. . . ." This has had the major institu- ess with the words ". . . the final decisions on the project tional effect of stimulating establishment of metropolitan [shall be] made in the best over-all public interest, taking transportation planning agencies and processes separate from those of the state highway agency. Many come under into consideration the need for fast, safe and efficient trans- councils of (local) governments (COGs). The 3-C pro- portation, public services, and the costs of eliminating or vision also placed an obligation on state highway agencies minimizing . . . adverse effects. . . ." Project decisions to work closely with these agencies in the development of cannot be based solely on transportation and public service urban transportation plans. Thus, a more explicit state- considerations, but must include the cost that would be local (metropolitan) working relationship has been forged. incurred in eliminating or minimizing adverse social, eco- 2. Demonstration Cities and Metropolitan Development nomic, and environmental effects. Act of 1966 (Section 204) and Intergovernmental Co- Action Plans developed under PPM 90-4 are required to operation Act of 1968 (Title IV, Sec. 401 (b) ), as imple- identify decision-making processes. Specifically: mented by Office of Management and the Budget Circular A-95. Circular A-95 requires that highway projects be (1) The processes through which other State and local accompanied by an area-wide comprehensive planning agencies, government officials, and private groups may agency's comments on the relationship of the proposed contribute to reaching decisions, and the authority, if any, which other agencies or government officials can project to the planned development of the area to avoid exercise over decisions. conflict and duplication in expenditure of government (2) Different decision processes, if any, for various funds. These statutes and regulations further strengthen categories of projects (e.g., Interstate, Primary, Sec- metropolitan institutions vis--d-vis both municipalities and ondary, TOPICS) and for various geographic regions of the State (e.g., in various urban and rural regions) to state agencies operating in metropolitan areas, have brought reflect local differences in the nature of potential en- about a greater degree of cooperation and coordination, and vironmental effects or in the structure of local govern- have enabled federal financing agencies to be better in- ments and institutions. formed of local area attitudes. (3) The processes to be used to obtain participation in 3. DOT Order 1130.2 (Unified Work Program), issued decisions by officials of appropriate agencies in other States for those situations in which the potential social, in 1973, establishes the requirement for annual unified work economic, and environmental effects are of interstate programs (UWP) for highway (FHWA), mass transit concern. (UMTA), and airport (FAA) intermodal planning in 5. Federal-Aid Highway Act of 1973, Section 109, pro- metropolitan areas. The UWP is vides in part that in approving programs for projects on the . . . designed to afford increased flexibility to States and federal-aid urban system, the Secretary of Transportation localities . . . [in order] to reflect local priorities. Where shall require that such projects be selected by the appro- more than one metropolitan agency is involved in trans- portation planning, it is local prerogative to determine priate local officials with the concurrence of the state high- which agency shall initiate development of the UWP way department and in accordance with the 3-C planning . . . The UWP should not just be a compilation of exist- process. This places even greater responsibility for assess- ing work programs for each funding source. Instead, it should be an integrated program describing the coming ing transportation needs on local officials and represents year's transportation planning process and delineating yet another step toward the strengthening of metropolitan major tasks including products. (3-C) agencies. Although the DOT order does not directly address either In implementing the 1973 Highway Act, the Federal institutional arrangements or decision-making, meeting the Highway and Urban Mass Transportation Administrations full intent of the order would require multi-modal institu- have emphasized their intent to unify the planning and tional arrangements and a unified decision-making pro- decision-making processes for highway and transit projects. cedure. (Cf. discussion of 1973 Federal-Aid Highway Act). The governor in each state has been asked to designate a 128 single agency in each urbanized area to be the recipient of would be to combine this unified planning program with FHWA and UMTA planning funds, thereby reinforcing the the program of capital and service improvements and with requirement in DOT Order 1130.2 for an annual unified preliminary engineering funds into a single program to be work program covering all modal planning. A next step reviewed and updated on an annual basis. APPENDIX B IMPACT AND DESIGN INTERRELATIONSHIPS There is a tendency to treat social, economic, and environ- AIR QUALITY mental impacts as being relatively independent of one an- The relationship between air quality and highway traffic has other. Increasing concern, however, is now being given to been the topic of much recent attention and controversy. the long-range, indirect, secondary and tertiary effects of The Clean Air Act of 1970 resulted in national ambient transportation development. Increased air pollution and air quality standards and transportation control plans in noise levels, as an example, can result not only from in- major metropolitan areas that are aimed at achieving these creases in traffic but also from changes in activity patterns. standards. These plans frequently involve changes in modal Further, many adverse social and environmental effects may emphasis, pricing, and operating policies. Inherent in some be related more to actual traffic volumes than to the physi- plans is the decision to accept current levels of traffic con- cal characteristics of a roadway. Studies have shown that gestion rather than attempt to improve highway levels of neighborhood disruption is greater with a heavily travelled service. Other means proposed to reduce pollution from one-way arterial than if the same street carries a lighter transportation sources include vehicle strategies, such as volume of two-way traffic (40).* emission controls and auto check-up programs, and system To predict social, economic, and environmental effects, strategies that control and improve traffic flow. Land-use impact prediction models must be sensitive to changes in planning that reduces the need for transportation and de- traffic volumes, activity distribution, and operating policies creases congestion can also be used as part of a broad-based and must recognize the two-way interaction between land air quality program. use or, more generally, activity systems and a transporta- Transportation analyses of these clean air plans, as well tion system; first the effect of transportation supply or ser- as of any new transport facility, require techniques to pre- vice changes on activity system characteristics and, second, dict the impact on air quality. Various pollutants are the effect of activity system changes on transportation de- emitted by vehicles due to the incomplete combustion of mand characteristics (1). The impact that a transportation fuel. The most important of these are carbon monoxide facility has on the environmental quality, social character- (CO), hydrocarbons, and nitrogen oxides (NOx). Sulfur istics, and economic activity of an area also influences the oxides and suspended particulates are also released, but in kind of activities that will locate there. These dynamic small quantities compared to other sources. Transportation interactions are shown schematically in Figure B-1. systems also affect air quality through their influence on Recent modeling eff orts have attempted to include ex- land-use patterns. Thus, a rail line that reduces emissions plicitly these demand shift relationships with some degree by decreasing automobile travel may attract enough indus- of success. Although this area of modeling is not yet well try and other new developments to result in a net emissions developed, it offers much promise for future application. gain in an area. Such models specifically incorporate the influence of the The impact of air pollution on health is the most often type, scale, and location of transportation investments on cited reason for concern with air quality. However, it also future transportation demand. The notion that a fixed set can affect the aesthetic quality of an area due to soot and of future demands will occur independent of the quality of smells, erode structures through chemical action, injure service, taken over time, is specifically avoided. crops, soil clothing, and affect people's physiological per- formance. The incidence is generally worst on those who In the following, five particular impacts are addressed in live and work near areas of concentrated auto use. People more depth, illustrating the interrelationships between im- living in congested city centers are most severely affected pact and design variables. because of the traffic flow patterns in the areas and the pres- ence of other pollution sources nearby. In all areas it is the Numbers in italics are to a special list of references at the end of this elderly and the sick who suffer most from air pollution. appendix. 129 ----------------------------- TRANSPORTATION TRANSPOR ION LAND USE LAND USE r POLICIES SYSTEAT MODEL PATTERNS TRANSPORTATION TRANSPORTATION LAND USE POLICIES SYSTEM PATTERNS TRAFFIC A ALYSIS NON-TRA PORTATION MODNEL EMISSIONS POLICY ENVIRONMENTAL ECONOMIC I ANALYSIS ---------- w AND COMMUNITY QUALITY ACTIVITY I EMISSION TRAFFIC FLOW CONTROLS HARACTERISTICS EMISSION TRANSPORTA I N DISPERSION OR - - - - - - - - - - FACTORS EMISSIO OTHER MODEL Figure B-1. Interrelationship of transportation policies and POLICY ANALYSIS land use. 16 - - - - - - - - - - - - - - - - - -AIR QUALITY - - - - - - - - - - - - - Figure B-2. Interrelationship of transportation and air quality. The general factors in predicting the air quality impact of a transportation project are shown schematically in Figure B-2. Although a variety of techniques exist that vary in the resources required and the accuracy of the results in general, two affected groups exist when a highway is (Table 11 ), four basic steps can be outlined: built through a community-those residents who are dis- 1. Based on traffic flow data and emission factors, calcu- located and those who remain. Their problems and re- late the automotive emissions in the zone or zones being actions are different and must be considered separately studied. (Fig. B-3). 2. From land-use projections, estimate the total emis- The community first feels the effect of a project during sions from nontransportation sources. the system or corridor planning stage. Experience has 3. Using either a dispersion model or some simplifying shown that at this point uncertainty as to a road's actual assumption, translate the emissions into a measure of air location may result in an unwillingness among residents to quality. invest in home improvements and may make it difficult to 4. Where possible, evaluate the impact with respect to its sell property in the area. Speculators may move in, buying incidence (i.e., which groups and activities will be impacted up property cheaply in hopes of making a profit from resale and how sensitive are they to air quality changes) and with if the highway isn't built. regard to established criteria. How seriously a particular neighborhood will be harmed Generally, the measure used in the analysis of air quality by this uncertainty is difficult to predict. However, it is is the concentration of each pollutant at a particular point reasonable to assume that the discomfort created will be (or zone). This allows the pollutants to be handled indi- related both to the length of time it takes to decide on an vidually because their effects and characteristics vary. Basic alignment and the strength of residents' ties to their homes. emission factors for CO, hydrocarbons, and NO., for motor More cohesiveness in a neighborhood would most likely vehicles of different model years have been compiled by the mean a higher level of anxiety and psychological dis- Federal Environmental Protection Agency. Adjustments to comfort, whereas in a less stable area the impact from these factors can then be made to account for type of opera- reduced maintenance and speculator activity would be more tion, vehicle speed, and trip length. The point in time for significant. which a prediction is being made also should be specified in The severity with which a displaced 'person or family is order to account for changes in land use, emission controls, impacted depends on two factors-the psychological feel- and traffic volumes. The estimated air quality and emission ings created (which are a function of the feelings that levels must then be compared with appropriate national, initially exist toward the neighborhood) and the ability to state, and local standards. relocate satisfactorily. Fried's study of urban renewal displacees (29) describes the "psychological costs of re- COMMUNITY COHESION location" and notes that their severity is a function of prior orientation to the area (i.e., familiarity, commitment) and One of the more difficult impacts to estimate is the change of social and emotional ties to the area. He sugegsts that in neighborhood and community character that would be 11 either spatial identity or group identity may be a critical caused by implementation of a transportation proposal. focus of loss of continuity and thereby lead to severe grief: For the residents of an area in which a project is con- but if both bases for the sense of continuity are localized templated, key questions are "Will my house be taken?" and within the residential area, the disruption of continuity is "How will my neighborhood be changed?" Not only should greater, and the proportions of marked grief correspond- potential physical effects be predicted, but estimates also ingly higher." Furthermore, Fried notes that "apart from - JANAIISIS need to be made as to how individuals and communities will local interpersonal and social relationships and local spatial react to these effects. orientations and use (and variables which are closely re- 130 COM UNITY IMP CTED REMAINING DISPLACED GROUPS 1IMPACTED COMMUPITY 1E L 00C AT 10 NRESIDENTIAL NEIGHBORHOOD PSYCHO ICAL ASES FOR OF RELOCATI ON 0 'IGHF ORS LINK GES FEEL S @T HE IMPACT GR U S E G INDICATORS MEMBERSHIP 1. PRESENCE PATTERNS I. AIR OU LITY OF POTEN- OFfNTER- 2 A REPLACEMENT PA INCOMMUN- OF CLOSE !.NOISE LEV- SOCI S TIAL ITY GROUPS FRIENDS ACTION ELS HOUSING TIES ORIENTATION TIAL IMPACT I LEVELS 2.PRESENCE 3. PEDESTRIAN I LOCATION I .FEELINGS 1. VIEW OF NEIGH- OF REL- SAFETY 2.SIZE ABOUT BORHOOD AS HOME ATIVES 4. AESTHETIC QUALITY N NEIGHBORS 2. FAMILIARITY 5-LAND USE 4. QUALITY 2.PRESENCE WITH AREA PATTERNS 5. AVAILABILITY OF CLOSE 3. SATISFACTION WITH FRIENDS NEIGHBORHOOD 3. PRESENCE OF 4. LENGTH OF RES - RELATIVES IDENCE 4. MEMBERSHIP IN COMMUN- ITY GROUPS Figure B-3. Cominunity disruption factors. lated to these), there are few other social or personal fac- munity groups weakened through loss of members, and tors in the pre-location situation which are related to depth residential linkages broken or altered. A fourth factor, the of grief." change in neighborhood desirability due to increased air, Factors that are indicative of spatial orientation include noise, and visual pollution, decreased pedestrian safety, and the extent to which the neighborhood is viewed as "home," changes in land-use patterns may also affect the stability of familiarity with the area, satisfaction with living there, and, the community. to a lesser degree, length of residence. The strength of Studies of linkages to the neighborhood-the close prox- social ties can be estimated by the individual's feelings about imity of friends and relatives; ties to churches, social clubs, his or her neighbors and the presence of close friends in the and neighborhood organizations; and use of neighborhood community. Prediction of potential grief levels, then, de- facilities such as shopping and recreation areas-give indi- pends on gathering the information described in the fore- cators of the effects displacements will have on those left going for a particular area and combining it with an esti- behind as well as dislocated residents (25). Membership mate of how many honscholds would be displaced. The and use surveys may indicate the severity impact displace- output of this kind of analysis would be a qualitative esti- ments will have on organizations and businesses. mate of how the community (using average values of data Several eff orts have been made to systematically define and responses from individuals) would react. communities where strong psychological reactions to a The manner in which a family is relocated also influences highway are likely to occur. The basic approach of these their reaction to displacement. If replacement housing can methods is to organize data that describe the social ties and be found in or near the community, adverse psychological spatial orientation of residents into quantifiable forms. Al- reactions may be minimized due to the maintenance of ties though this provides an index and/or sensitivity map that to family, friends, schools, stores, etc. As Fellman's (27) is appealing to analysts who have despaired of adequately work pointed out, lower-income people (who have fre- delineating communities by qualitative means, too great re- quently been the victims of relocation) tend to have many liance on any one technique will most likely oversimplify friends and relatives within walking distance of their homes. and obscure the issues. The best approach seems to call for Coupled with the lack of a second family auto, relocating gathering as many potentially useful data as feasible and these people even a few miles from their former neighbor- analyzing them with respect to the ideas presented here. hoods may result in the severing of many important rela- tionships. Furthermore, it is often impossible to find equiva- NETWORK FLOWS lent housing for comparable prices, especially when the existing home has had extensive improvements made on it. The magnitude and pattern of traffic flows on a multimodal The impact felt by those "remaining" after the road is transportation network are directly and indirectly related built through a community may be considered as three to a wide range of community and environmental effects. factors-friends and relatives lost through relocation, com- It is important, then, for network analyses to recognize the 131 relationship between traffic flows and other impacts (Fig. OPTIONS IMPACTS - B-4). To make network flow predictions sensitive to the full TECHNOLOGY SUPPLY RESOURCES USER range of alternatives to be investigated, three "ideal" re- NETWORKS OPERATOR quirements can be stated toward which the development of LINKS EQUILIBRIUM PHYSICAL network modeling tools should move. VEHICLES DEMAND DEMAND FUNCTIONAL First, the network model system should be oriented to- OPERAT@NG SHIFTS GOVERNMENTAL POLIC ES ward multimodal analysis. Such a system should account --------- - -------- --- for the ways in which the service provided by and the ACTIVITY SYSTEM L demand for different modes are interrelated. Mode split - models alone are insufficient to fully evaluate interrelation- Figure B-4. Basic prediction models. ships among modes; multimodal analysis should extend from trip generation to assignment. Second, network models should be sensitive to a wide range of policy variables, including facility and vehicle 2. The model is biased toward increased highway needs options as well as operating and pricing changes. Models because effects of congestion are not considered in the trip should be able to handle explicitly a variety of level-of- generation and modal split stages. service characteristics, including travel time (access and 3. The system considers only highway travel (except for line-haul), frequency of service, and trip costs (including the modal split, which considers two modes of private fares, tolls, and parking charges). The demand for trans- vehicle and public transportation). portation is a function of both the activity system (popula- 4. The approach does not encourage evaluation of a wide tion, income, etc.) and the level of service (Fig. B-5). For range of alternatives, because of extensive requirements for a model to be policy sensitive, it must be based on the base-year calibration data. causal relationships that influence individual choices rather Although these weaknesses limit the usefulness of the than on associative or correlative relationships. Existing typical urban transportation model package, modifications techniques often assume that total demand is independent can be made in applying the approach to make the network of the existing level of service or the level of service to be analyses more policy sensitive. For example, on the West supplied in the future. Often, no capacity limitations are Side Highway Project in New York City, preliminary as- assumed in assigning trips to links. Such techniques are sumptions of unrestrained vehicular demand resulted in unrealistic and tend to bias an evaluation toward favoring predicted volumes that far exceeded the parking capacity more and larger facilities. in different parts of Manhattan (59), and also did not take Finally, network analyses should recognize the incidence into account the effect of increased congestion. The trip of impacts and produce results that are as disaggregate as generation and the distribution predictions were then scaled possible. Rather than predicting average daily volumes, down to be consistent with practical limitations on parking attention should be focused on the implications of trans- supply and the revised inputs were reassigned to the net- portation service changes on different income groups and work to yield more consistent volumes. subareas within a region. For example, the origins and destinations of the principal users of a proposed facility In the Michigan Route 31/131 study, a version of the could be identified, such as through select link analysis or urban modeling package adapted for statewide use is being extensions of such procedures. Both local and through used. Again, to increase the sensitivity of traffic analysis to traffic and peak/off-peak periods could be analyzed. level-of -service variables, a number of modifications and The Urban Transportation Model System Most urban transportation studies are based on a planning T L @ S (V, T IF NO , L, methodology developed in the 1950's that predicts demand A V= D(L,AJ1 for travel in an urban region based on growth in popula- tion, employment, and income and attempts to predict the D distribution of this travel over the future transportation VOLUME system (53). The basic sequence of activity is to proceed V through separate stages of trip generation, trip distribution, T modal split, and network assignment. This same general approach is now being used in a variety of forms for most VO IF (V,, L statewide transportation studies (48). ---------- i____J The approach, as normally applied, suffers from four A serious weaknesses: S 1. The predicted volume and distribution of travel are SERVICE, not determined as a function of the expected level of service L, L and as a result do not correspond, in general, to equilibrium Figure B-5. Simple equilibrium of transportation supply- flows. demand. 132 supplementary activities are being considered. In recogni- model predicts the volume of travel from a single zone to tion of the difficulty and expense in actually modifying the another zone by each mode as a function of the activity models or in analyzing numerous alternatives, it is recom- system in the origin and destination zones and the level of mended that: service between the origin and destination zones by the 1. The level of service implied by the assignment of trips selected mode and by all other modes (49). The activity to links be checked for consistency with the level of service system variables most commonly used include population, assumed for those links in the models. If assumed levels of employment, income, auto ownership, and indices of com- service exceed those which could be reasonably expected, mercial and industrial activity. The level-of-service vari- adjustments can be made to either the models or the assign- ables most commonly used are travel time, waiting time, ment itself by: transfer time, fine-haul cost, and access cost. (a) Lowering the assumed level of service in the The approach combines trip generation, trip distribution, models and testing the alternative again. and mode split into one direct step and thus eliminates some (b) Introducing capacity restraints and testing the of the weaknesses of the traditional urban transportation alternative again. planning approach. Most notably, total trips, distribution (c) For routes with high volumes (and in some by zone, and mode split are functions of level of service, a cases, physically impossible volumes) compar- broader concept of level of service is included, and fewer ing the level of service on alternate routes and data are required for model calibration. diverting by hand some percentage of the A second alternative approach to transportation system traffic. modeling is disaggregate (based on the individual traveler) 2. At least one two-lane alternative be run to test how and behavioral (models the causal relationship by observing trip generation rates and the assignment change (the Michi- the individual's trip-making behavior) (60). This approach gan model is sensitive to travel time to some extent in trip initially concentrated on binary choice modal split but re- generation). Other two-lane routes might then be assumed cently has been extended to include the entire sequence of to have approximately the same relative effect compared to trip-making decisions of generation, distribution, and modal a corresponding four-lane alternative in the same corridor. split (45). Use of disaggregate data not only reveals re- 3. The traffic analysis unit assigned to the region should lationships that are suppressed by zonal aggregation but also attempt to augment the assignments with their knowledge of eliminates the need for uniform area sample O-D surveys local effects. Particularly in the more populated and popu- with resultant major savings in the cost of data acquisition lar areas like Traverse City and Sleeping Bear National and analysis. The behavioral emphasis also offers increased Park, the large zones used in the model may underestimate hope for understanding the basis of trip-making decisions local traffic. and, thus, for the transferability of models among areas. 4. Plots from permanent traffic recorders in the region be used to get a feel for the summer recreational peaking ACCESSIBILITY problem. Also, placement of temporary recorders at stra- tegic points in the region should be considered. Accessibility is a measure of the resources (principally time 5. Although design-hour volume/capacity plots may be and money) required to reach various opportunities (jobs, useful to the study team in identifying trouble spots, they stores, etc.). Although travel times and costs have usually will probably not be meaningful to the public. Other dis- been used as surrogates for accessibility, it is desirable to play formats should be explored, including pictures of the disaggregate accessibility changes with respect to different traffic conditions likely to prevail on the major arterials groups of users and different kinds of opportunities to per- during summer peak and off-peak periods. mit an assessment of differential incidence. Changes in accessibility have both a direct and an in- These two examples are cited to illustrate the types of direct'impact (68). The direct effect relates to the ability modifications that can be made to traditional traffic analysis of people to reach desired destinations as an end in itself. models and to their outputs to increase the usefulness of the The indirect effect is the impact of access patterns on land results. It is particularly important in the evaluation of the use, economic development, and population distribution "no-build" option not to assume that volume is independent and, in turn, their impact on environmental quality. Fur- of level of service (as is assumed by most trip generation thermore, the increases in land values that are often at- equations). Such an assumption often leads to the predic- tributed to transportation improvements are due, for the tion of unreasonable or even physically impossible volumes most part, to accessibility changes. on the existing system. Both the analysts and the public Differential impacts can be evaluated through the use of know this will not occur. Attention should be focused on indices, graphs, and isochronal maps if the data from traffic presenting a realistic appraisal of the transportation service analysis models are disaggregated in an appropriate man- impacts explicitly recognizing that congested conditions are ner. In some cases, two or more of these techniques may as valid an option as new facilities. be used in unison because they illustrate different dimen- Direct Demand and Disaggregate Behavioral Models sions of accessibility. An example of the desirable dis- aggregation would be to look at the impact of a highway Concern with the limitations of the traditional urban trans- on the travel time from low-income residential areas to an portation planning process led to development of direct de- industrial park where unskilled and semi-skilled jobs are mand models. In its most general form, the direct demand available. 133 MOBILITY FOR SPECIAL GROUPS GARY (Ed.), Transport Investment and Economic De- In any community, there are certain groups-the elderly, velopment. Brookings lnst.,(1965). the young, the poor, and the handicapped-whose trans- 3. "Land Use and Transportation: Planning." Hwy. Res. portation needs differ from those of the general population. Record No. 422 (1973) 66 pp. Normal transportation facilities either are of no use, due 4. WILSON, GEORGE W., ET AL., The Impact of Highway Investment on Development. Brookings Inst. (1969). to the unavailability of a particular mode (especially auto), or actually impede travel by these groups due to vehicle Air Quality design, physical barriers, and operating policies. Because these people have limited flexibility in making their travel 5. "Air Pollution Technical Publications of the U.S. En- plans, their problems should receive special attention. In vironmental Protection Agency." (Jan. 1973). addition, the unique requirements of pedestrians and bi- 6. BERWAGER, SYDNEY D., and WICKSTROM, GEORGE V., cyclists are receiving increasing interest. "Estimating Auto Emissions of Alternative Transpor- A general methodology to accomplish special mobility tation Systems." Dept. of Transportation Planning, studies is as follows: Metropolitan Wash 'ington Council of Governments, 1. Identify groups in the affected area that may have Washington, D.C. (Apr. 1972). distinct or special mobility needs and problems. 7. BRAIL, RICHARD D., "Modeling the Interface Between .2. Determine which measures and techniques are appro- Land Use, Transportation, and Air Pollution." In priate for evaluating the mobility of each particular group. HAGEVICK, GEORGE (Ed.), The Relationship of Land 3. Assess the impact of the proposed facility (or policy) Use and Transportation Planning to Air Quality Man- on each group based on their special needs. agement. Rutgers Univ. (May 1972). 4. Determine ways in which the mobility of these groups 8. CHEN, Tio C., "Motor Vehicle Generated Air Pollu- can be best improved. tion Review and Extension of Methodology." Pre@ sented at 65th Annual Meeting, Air Pollution Control In carrying out this methodology it is desirable to inter- Assn. (June 1972). act with individuals and representatives of concerned or- 9. "Compilation of Air Pollutant Emission Factors." U.S. ganizations in order to identify the special problems that Environmental Protection Agency, Office of Air Pro- exist in the study area. For example, it might be discovered grams, Research Triangle Park, N.C. (Feb. 1972). that a community has many retired persons who would be 10. Conservation Foundation, The, "A Citizen's Guide to unable to use overpasses in crossing a proposed highway. Clean Air." Washington, D.C. (Jan. 1972). This can then be taken into account in planning the facility's 11. CROKE, E. J., ET AL., "The Role of Transportation location and design. Demand Models in the Projection of Future Urban Once the accessibility changes for each group have been and Regional Air Quality." Argonne National Lab- computed, they must be checked against the special charac- oratories, Argonne, Ill. teristics of each group in order to determine the magnitude 12. DARLING, EUGENE J., JR., "Computer Modeling of of each impact. 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Jour. cessibility-Its Use as an Evaluation Criterion in Test- of Regional Sci., Volume 6, No. 2 (1966). ing and Evaluating Alternative Transportation Sys- 57. QUARMBY, D. A., "Choice of Travel Mode for the tems." Highway Planning Tech. Rep. No. 28 (July Journey to Work: Some Findings." Jour. Transp. 1972). Econ. and Policy, Volume 1, No. 3 (1967). 66. U.S. Dept. of Transportation, Federal Highway Ad- 58. Transportation Survey and Analysis Section, Michigan ministration, Office of Highway Planning, "Evaluating Dept. of State Highways, "Michigan's Statewide Traf- Urban Transportation Systems." (Aug. 1969). fic Forecasting Model: Volume I-F, Air and Noise 67. U.S. Dept. of Transportation, "Special Area Analysis, Pollution System Analysis Model." (July 1973). Field Manual." (Aug. 1973). 59. "Travel and Traffic Forecasts for 1995 West Side 68. WICKSTROM, G. V., "An Introduction to Accessibility." Highway Project." Working document prepared by Dept. of Transportation Planning, Metropolitan Wash- System Design Concepts, Inc. (Sept. 1973). ington Council of Governments, Washington, D.C. 60. WARNER, S. L., Stochastic Choice of Mode in Urban Travel, A Study in Binary Choice. Northwestern Univ. SPECIAL MOBILITY Press (1962). 69. HoEL, LESTER, ET AL., Latent Demand for Urban ACCESSIBILITY Transportation. Carnegie-Mellon. 70. "Travel Barriers." U.S. Dept. of Transportation (May 61. ASHFORD, NORMAN, and COVAULT, DONALD 0., "The 1970). Mathematical Form of Travel Time Factors," Hwy. 71. "Transit for the Poor, the Aged, and the Disadvan- Res. Record No. 283 (1969) pp. 30-47. taged." Hwy. Res. Record No. 403 (1972) 53 pp. 62. HANSEN, WALTER G., "How Accessibility Shapes Land 72. "Transportation for the Disadvantaged." Hwy. Res. Use." Jour. Amer. Inst. of Planners, Volume 25, Record No. 473 (1973) 55 pp. No. 2 (May 1959). 73. "Transportation Needs of the Handicapped." Abt 63. KASSOFF, H., "Evaluation of Alternative Transporta- Associates. Published reports of the Rep. NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM No. Title 20 Economic Study of Roadway Lighting (Proj. 5-4), are available from: 77 p., $3.20 Highway Research Board 21 Detecting Variations in Load-Carrying Capacity of National Academy of Sciences Flexible Pavements (Proj. 1-5), 30 p., $1.40 2 101 Constitution Avenue 22 Factors Influencing Flexible Pavement Performance Washington, D.C. 20418 (Proj. 1-3 (2) ), 69 p., $2.60 23 Methods for Reducing Corrosion of Reinforcing Rep. Steel (Proj. 6-4), 22 p., $1.40 No. Title 24 Urban Travel Patterns for Airports, Shopping Cen- ters, and Industrial Plants (Proj. 7-1), 116 p., A Critical Review of Literature Treating Methods of $5.20 Identifying Aggregates Subject to Destructive Volume 25 Potential Uses of Sonic and Ultrasonic Devices in Change When Frozen in Concrete and a Proposed Highway Construction (Proj. 10-7), 48 p., $2.00 Program of Research-Intermediate Report (Proj. 26 Development of Uniform Procedures for Establishing 4-3(2)), 81 p., $1.80 Construction Equipment Rental Rates (Proj. 13-1), 1 Evaluation of Methods of Replacement of Deterio- 33 p., $1.60 rated Concrete in Structures (Proj. 6-8), 56 p., 27 Physical Factors Influencing Resistance of Concrete $2.80 to Deicing Agents (Proj. 6-5), 41 p., $2.00 2 An Introduction to Guidelines for Satellite Studies of 28 Surveillance Methods and Ways and Means of Com- Pavement Performance (Proj. 1-1), 19 p., $1.80 municating with Drivers (Proj. 3-2), 66 p., $2.60 2A Guidelines for Satellite Studies of Pavement Per- 29 Digital-Computer-Controlled Traffic Signal System formance, 85 p. + 9 figs., 26 tables, 4 app., $3.00 for a Small City (Proj. 3-2), 82 p., $4.00 3 Improved Criteria for Traffic Signals at Individual 30 Extension of AASHO Road Test Performance Con- Intersections-Interim Report (Proj. 3-5), 3 6 p., cepts (Proj. 1-4 (2) ), 33 p., $1.60 $1.60 31 A Review of Transportation Aspects of Land-Use 4 Non-Chemical Methods of Snow and Ice Control on Control (Proj. 8-5), 41 p., $2.00 Highway Structures (Proj. 6-2), 74 p., $3.20 32 Improved Criteria for Traffic Signals at Individual 5 Effects of Different Methods of Stockpiling Aggre- Intersections (Proj. 3-5), 134 p., $5.00 gates-Interim Report (Proj. 10-3), 48 p., $2.00 33 Values of Time Savings of Commercial Vehicles 6 Means of Locating and Communicating with Dis- (Proj. 2-4), 74 p., $3.60 abled Vehicles-Interim Report (Proj. 3-4), 56 p. 34 Evaluation of Construction Control Procedures- $3.20 Interim Report (Proj. 10-2), 117 p., $5.00 7 Comparison of Different Methods of Measuring 35 Prediction of Flexible Pavement Deflections from Pavement Condition-Interim Report (Proj. 1-2), Laboratory Repeated-Load Tests (Proj. 1-3(3)), 29 p., $1.80 117 p., $5.00 8 Synthetic Aggregates for Highway Construction 36 Highway Guardrails-A Review of Current Practice (Proj. 4-4), 13 p., $1.00 (Proj. 15-1), 33 p., $1.60 9 Traffic Surveillance and Means of Communicating 37 Tentative Skid-Resistance Requirements for Main with Drivers-Interim Report (Proj. 3-2), 28 p., Rural Highways (Proj. 1-7), 80 P., $3.60 $1.60 38 Evaluation of Pavement Joint and Crack Sealing Ma- 10 Theoretical Analysis of Structural Behavior of Road terials and Practices (Proj. 9-3), 40 p., $2.00 Test Flexible Pavements (Proj. 1-4), 31 p., $2.80 39 Factors Involved in the Design of Asphaltic Pave- 11 Effect of Control Devices on Traffic Operations- ment Surfaces (Proj. 1-8), 112 p., $5.00 Interim Report (Proj. 3-6), 107 p., $5.80 40 Means of Locating Disabled or Stopped Vehicles 12 Identification of Aggregates Causing Poor Concrete (Proj- 3-4(l)), 40 p., $2.00 Performance When Frozen-Interim Report (Proj. 41 Effect of Control Devices on Traffic Operations 4-3(l)), 47 p., $3.00 (Proj. 3-6), 83 p., $3.60 13 Running Cost of Motor Vehicles as Affected by High- 42 Interstate Highway Maintenance Requirements and way Design-Interim Report (Proj. 2-5), 43 p., Unit Maintenance Expenditure Index (Proj. 14-1), $2.80 144 p., $5.60 14 Density and Moisture Content Measurements by 43 Density and Moisture Content Measurements by Nuclear Methods-Interim Report (Proj. 10-5), Nuclear Methods (Proj. 10-5), 3 8 p., $2.00 32 p., $3.00 44 Traffic Attraction of Rural Outdoor Recreational 15 Identification of Concrete Aggregates Exhibiting Areas (Proj. 7-2), 28 p., $1.40 Frost Susceptibility-Interim Report (Proj. 4-3 (2) 45 Development of Improved Pavement Marking Ma- 66 p., $4.00 terials-Laboratory Phase (Proj. 5-5), 24 p., 16 Protective Coatings to Prevent Deterioration of Con- crete by Deicing Chemicals (Proj. 6-3), 21 p., $1.40 $1.60 46 Effects of Different Methods of Stockpiling and 17 Development of Guidelines for Practical and Realis- Handling Aggregates (Proj. 10-3), 102 p., tic Construction Specifications (Proj. 10-1), 109 p., $4.60 $6.00 47 Accident Rates as Related to Design Elements of 18 Community Consequences of Highway Improvement Rural Highways (Proj. 2-3), 173 p., $6.40 (Proj. 2-2), 37 p., $2.80 48 Factors and Trends in Trip Lengths (Proj. 7-4), 19 Economical and Effective Deicing Agents for Use on 70 p., $3.20 Highway Structures (Proj. 6-1), 19 P., $1.20 49 National Survey of Transportation Attitudes and Behavior-Phase I Summary Report (Proj. 20-4), Highway Research Board Special Report 80. 71 p., $3.20 Rep. Rep. No. Title No. Title 50 Factors Influencing Safety at Highway-Rail Grade 76 Detecting Seasonal Changes in Load-Carrying Ca- Crossings (Proj. 3-8), ll 3 p., $5.20 pabilities of Flexible Pavements (Proj. 1-5(2)), 51 Sensing and Communication Between Vehicles (Proj. 3 7 p., $2.00 3-3), 105 p., $5.00 77 Development of Design Criteria for Safer Luminaire 52 Measurement of Pavement Thickness by Rapid and Supports (Proj. 15-6), 82 p., $3.80 Nondestructive Methods (Proj. 10-6), 8 2 p., 78. Highway Noise-Measurement, Simulation, and $3.80 Mixed Reactions (Proj. 3-7), 78 p., $3.20 53 Multiple Use of Lands Within Highway Rights-of- 79 Development of Improved Methods for Reduction of Way (Proj. 7-6), 68 p., $3.20 Traffic Accidents (Proj. 17-1), 163 p., $6.40 54 Location, Selection, and Maintenance of Highway 80 Oversize-Overweight Permit Operation on State High- Guardrails and Median Barriers (Proj. 15-1(2)), ways (Proj. 2-10), 120 p., $5.20 63 p., $2.60 81 Moving Behavior and Residential Choice-A Na- 55 Research Needs in Highway Transportation (Proj. tional Survey (Proj. 8-6), 129 p., $5.60 20-2), 66 p., $2.80 82 National Survey of Transportation Attitudes and 56 Scenic Easements-Legal, Administrative, and Valua- Behavior-Phase 11 Analysis Report (Proj. 20-4), tion Problems and Procedures (Proj. 11-3), 174 p., 89 p., $4.00 $6.40 83 Distribution of Wheel Loads on Highway Bridges 57 Factors Influencing Modal Trip Assignment (Proj. (Proj, 12-2), 56 p., $2.80 8-2), 78 p., $3.20 84 Analysis and Projection of Research on Traffic 58 Comparative Analysis of Traffic Assignment Tech- Surveillance, Communication, and Control (Proj. niques with Actual Highway Use (Proj. 7-5), 85 p.,. 3-9), 48 p., $2.40 $3.60 85 Development of Formed-in-Place Wet Reflective 59 Standard Measurements for Satellite Road Test Pro- Markers (Proj. 5-5), 28 p., $1.80 gram (Proj. 1-6), 78 p., $3.20 86 Tentative Service Requirements for Bridge Rail Sys- 60 Effects of Illumination on Operating Characteristics tems (Proj. 12-8), 62 p., $3.20 of Freeways (Proj. 5-2) 148 p., $6.00 87 Rules of Discovery and Disclosure in Highway Con- 61 Evaluation of Studded Tires-Performance Data and demnation Proceedings (Proj. 11-1(5)), 28 p., Pavement Wear Measurement (Proj. 1-9), 66 p., $2.00 $3.00 88 Recognition of Benefits to Remainder Property in 62 Urban Travel Patterns for Hospitals, Universities, Highway Valuation Cases (Proj. 11 - 1 (2) 24 p., Office Buildings, and Capitols (Proj. 7-1), 144 p., $2.00 $5.60 89 Factors, Trends, and Guidelines Related to Trip 63 Economics of Design Standards for Low-Volume Length (Proj. 7-4), 59 p., $3.20 Rural Roads (Proj. 2-6), 9 3 p., $4.00 90 Protection of Steel in Prestressed Concrete Bridges 64 Motorists' Needs and Services on Interstate Highways (Proj. 12-5), 86 p., $4.00 (Proj. 7-7), 91 Effects of Deicing Salts on Water Quality and Biota 88 p., $3.60 65 One-Cycle Slow-Freeze Test for Evaluating Aggre- -Literature Review and Recommended Research gate Performance in Frozen Concrete (Proj. 4-3 (1) (Proj. 16-1), 70 p., $3.20 21 p., $1.40 92 Valuation and Condemnation of Special Purpose 66 Identification of Frost-Susceptible Particles in Con- Properties (Proj. I 1- 1 (6) ), 47 p., $2.60 crete Aggregates (Proj. 4-3 (2) ), 62 p., $2.80 93 Guidelines for Medial and Marginal Access Control 67 Relation of Asphalt Rheological Properties to Pave- on Major Roadways (Proj. 3-13), 147 p., ment Durability (Proj. 9-1), 45 p., $2.20 $6.20 68 Application of Vehicle Operating Characteristics to 94 Valuation and Condemnation Problems involving Geometric Design and Traffic Operations (Proj. 3- Trade Fixtures (Proj. I 1- 1 (9) ), 22 p., $1.80 10), 38 p., $2.00 95 Highway Fog (Proj. 5-6), 48 p., $2.40 69 Evaluation of Construction Control Procedures- 96 Strategies for the Evaluation of Alternative Trans- Aggregate Gradation Variations and Effects (Proj. portation Plans (Proj. 8-4), 111 P., $5.40 10-2A), 58 p., $2.80 97 Analysis of Structural Behavior of AASHO Road 70 Social and Economic Factors Affecting Intercity Test Rigid Pavements (Proj. 1-4(1)A), 35 p., Travel (Proj. 8-1), 68 p., $3.00 $2.60 71 Analytical Study of Weighing Methods for Highway 98 Tests for Evaluating Degradation of Base Course Vehicles in Motion (Proj. 7-3), 63 p., $2.80 Aggregates (Proj. 4-2), 98 P. $5.00 72 Theory and Practice in Inverse Condemnation for 99 Visual Requirements in Night Driving (Proj. 5-3), Five Representative States (Proj. 11-2), 44 p., 38 p., $2.60 $2.20 100 Research Needs Relating to Performance of Aggre- 73 Improved Criteria for Traffic Signal Systems on gates in Highway Construction (Proj. 4-8), 68 p., Urban Arterials (Proj. 3-511), 55 p., $2.80 $3.40 74 Protective Coatings for Highway Structural Steel 101 Effect of Stress on Freeze-Thaw Durability of Con- (Proj. 4-6), 64 p., $2.80 crete Bridge Decks (Proj. 6-9), 70 p., $3.60 74A Protective Coatings for Highway Structural Steel- 102 Effect of Weldments on the Fatigue Strength of Steel Literature Survey (Proj. 4-6), 275 p., $8.00 Beams (Proj. 12-7), 114 p., $5.40 74B Protective Coatings for Highway Structural Steel- 103 Rapid Test Methods for Field Control of Highway Current Highway Practices (Proj. 4-6), 102 p., Construction (Proj. 10-4), 89 p., $5.00 $4.00 104 Rules of Compensability and Valuation Evidence 75 Effect of Highway Landscape Development on for Highway Land Acquisition (Proj. 11-1), Nearby Property (Proj. 2-9), 82 p., $3.60 77 p., $4.40 Rep. Rep. No. Title No. Title 105 Dynamic Pavement Loads of Heavy Highway Vehi- 133 Procedures for Estimating Highway User Costs, Air cles (Proj. 15-5), 94 p., $5.00 Pollution, and Noise Effects (Proj. 7-8), 127 p., 106 Revibration of Retarded Concrete for Continuous $5.60 Bridge Decks (Proj. 18-1), 67 p., $3.40 134 Damages Due to Drainage, Runoff, Blasting, and 107 New Approaches to Compensation for Residential Slides (Proj. 11-1(8)), 23 p., $2.80 Takings (Proj. 11-1(10)), 27 p., $2.40 135 Promising Replacements for Conventional Aggregates 108 Tentative Design Procedure for Riprap-Lined Chan- for Highway Use (Proj. 4-10), 53 p., $3.60 nels (Proj. 15-2), 75 p., $4.00 136 Estimating Peak Runoff Rates from Ungaged Small 109 Elastomeric Bearing Research (Proj. 12-9), 5 3 p., Rural Watersheds (Proj. 15-4), 85 p., $4.60 $3.00 137 Roadside Development-Evaluation of Research 110 Optimizing Street Operations Through Traffic Regu- (Proj. 16-2), 78 p., $4.20 lations and Control (Proj. 3 -11 ), 100 P., $4.40 138 Instrumentation for Measurement of Moisture- 111 Running Costs of Motor Vehicles as Affected by Literature Review and Recommended Research Road Design and Traffic (Proj. 2-5A and 2-7), (Proj. 21-1), 60 p., $4.00 97 p., $5.20 139 Flexible Pavement Design and Management--Sys- 112 Junkyard Valuation-Salvage Industry Appraisal tems Formulation (Proj. 1-10), 64 p., $4.40 Principles Applicable to Highway Beautification 140 Flexible Pavement Design and Management-Ma- (Proj. 11-3(2)), 41 p., $2.60 terials Characterization (Proj. 1-10), 118 p., 113 Optimizing Flow on Existing Street Networks (Proj. $5.60 3-14), 414 p., $15.60 141 Changes in Legal Vehicle Weights and Dimensions- 114 Effects of Proposed Highway Improvements on Prop- Some Economic Effects on Highways (Proj. 19-3), erty Values (Proj. 11-1(1)), 42 p., $2.60 184 p., $8.40 115 Guardrail Performance and Design (Proj. 15-1(2)), 142 Valuation of Air Space (Proj. 11-5), 48 p., 70 p., $3.60 $4.00 116 Structural Analysis and Design of Pipe Culverts 143 Bus Use of Highways-State of the Art (Proj. 8-10), (Proj. 15-3), 155 p., $6.40 406 p., $16.00 117 Highway Noise-A Design Guide for Highway En- 144 Highway Noise-A Field Evaluation of Traffic Noise gineers (Proj. 3-7), 79 p., $4.60 Reduction Measures (Proj. 3-7), 80 P., $4.40 118 Location, Selection, and Maintenance of Highway 145 Improving Traffic Operations and Safety at Exit Gore Areas (Proj. 3-17) ' 120 p., $6.00 Traffic Barriers (Proj. 15-1(2) 96 p., $5.20 146 Alternative Multimodal Passenger Transportation 119 Control of Highway Advertising Signs-Some Legal Systems-Comparative Economic Analysis (Proj. Problems (Proj. 11-3(l)), 72 p., $3.60 8-9), 68 p., $4.00 120 Data Requirements for Metropolitan Transportation 147 Fatigue Strength of Steel Beams with Welded Stiff- Planning (Proj. 8-7), 90 P., $4.80 eners and Attachments (Proj. 12-7), 85 p., 121 Protection of Highway Utility (Proj. 8-5), 115 p., $4.80 $5.60 148 Roadside Safety Improvement Programs on Freeways 122 Summary and Evaluation of Economic Consequences -A Cost-Effectiveness Priority Approach (Proj. 20- of Highway Improvements (Proj. 2-11), 324 p., 7), 64 p., $4.00 $13.60 149 Bridge Rail Design-Factors, Trends, and Guidelines 123 Development of Information Requirements and (Proj. 12-8), 49 p., $4.00 Transmission Techniques for Highway Users (Proj. 150 Effect of Curb Geometry and Location on Vehicle 3-12), 239 p., $9.60 Behavior (Proj. 20-7), 8 8 p., $4.80 124 Improved Criteria for Traffic Signal Systems in 151 Locked-Wheel Pavement Skid Tester Correlation and Urban Networks (Proj. 3-5), 86 p., $4.80 Calibration Techniques (Proj. 1-12(2)), 100 P., $6.00 125 Optimization of Density and Moisture Content Mea- 152 Warrants for Highway Lighting (Proj. 5-8), 117 surements by Nuclear Methods (Proj. 10-5A), P., $6.40 86 p., $4.40 126 Divergencies in Right-of-Way Valuation (Proj. 11- 153 Recommended Procedures for Vehicle Crash Testing 4), 57 p., $3.00 of Highway Appurtenances (Proj. 22-2), 19 P., 127 Snow Removal and Ice Control Techniques at Inter- $3.20 changes (Proj. 6-10), 90 P., $5.20 154 Determining Pavement Skid-Resistance Requirements 128 Evaluation of AASHO Interim Guides for Design at Intersections and Braking Sites (Proj. 1-12), 64 of Pavement Structures (Proj. 1-11), 111 P., P., $4.40 $5.60 155 Bus Use of Highways-Planning and Design Guide- 129 Guardrail Crash Test Evaluation-New Concepts lines (Proj. 8-10), 161 p., $7.60 and End Designs (Proj. 15-1(2)), 89 p., 156 Transportation Decision-Making-A Guide to Social $4.80 and Environmental Considerations (Proj. 8-8(3)), 130 Roadway Delineation Systems (Proj. 5-7), 349 p., 135 p., $7.20 $14.00 131 Performance Budgeting System for Highway Main- tenance Management (Proj. 19-2(4)), 213 p., $8.40 132 Relationships Between Physiographic Units and Highway Design Factors (Proj. 1-3(l)), 161 p., $7.20 Synthesis of Highway Practice No. Title I Traffic Control for Freeway Maintenance (Proj. 20-5, Topic 1), 47 p., $2.20 2 Bridge Approach Design and Construction Practices (Proj. 20-5, Topic 2), 30 p., $2.00 3 Trafific-Safe and Hydraulically Efficient Drainage Practice (Proj. 20-5, Topic 4), 3 8 p., $2.20 4 Concrete Bridge Deck Durability (Proj. 20-5, Topic 3), 28 p., $2.20 5 Scour at Bridge Waterways (Proj. 20-5, Topic 5), 37 p., $2.40 6 Principles of Project Scheduling and Monitoring (Proj. 20-5, Topic 6), 43 p., $140 7 Motorist Aid Systems (Proj. 20-5, Topic 3-01 28 p., $2.40 8 Construction of Embankments (Proj. 20-5, Topic 9), 38 p., $2.40 9 Pavement Rehabilitation-Materials and Techniques (Proj. 20-5, Topic 8), 41 p., $2.80 10 Recruiting, Training, and Retaining Maintenance and Equipment Personnel (Proj. 20-5, Topic 10), 35 p., $2.80 11 Development of Management Capability (Proj. 20-5, Topic 12), 50 p., $3.20 12 Telecommunications Systems for Highway Admin- istration and Operations (Proj. 20-5, Topic 3-03), 29 p., $2.80 13 Radio Spectrum Frequency Management (Proj. 20-5, Topic 3-03), 32 p., $2.80 14 Skid Resistance (Proj. 20-5, Topic 7), 6 6 p., $4.00 15 Statewide Transportation Pianning-Needs and Re- quirements (Proj. 20-5, Topic 3-02), 41 p., $3.60 16 Continuously Reinforced Concrete Pavement (Proj. 20-5, Topic 3-08), 23 p., $2.80 17 Pavement Traffic Marking-Materials and Applica- tion Affecting Serviceability (Proj. 20-5, Topic 3- 05), 44 p., $3.60 18 Erosion Control on Highway Construction (Proj. 20-5, Topic 4-01), 52 p., $4.00 19 Design, Construction, and Maintenance of PCC Pavement Joints (Proj. 20-5, Topic 3-04), 40 p., $3.60 20 Rest Areas (Proj. 20-5, Topic 4-04), 3 8 p., $3.60 21 Highway Location Reference Methods (Proj. 20-5, Topic 4-06), 3 0 p., $3.20 22 Maintenance Management of Traffic Signal Equip- ment and Systems (Proj. 20-5, Topic 4-03) 41 p., $4.00 23 Getting Research Findings into Practice (Proj. 20-5, Topic 11 ) 24 p., $3.20 24 Minimizing Deicing Chemical Use (Proj. 20-5, Topic 4-02), 58 p., $4.00 25 Reconditioning High-Volume Freeways in Urban Areas (Proi. 20-5, Topic 5-01), 56 p., $4.00 26 Roadway Design in Seasonal Frost Areas (Proj. 20-5, Topic 3-07), 104 p., $6.00 27 PCC Pavements for Low-Volume Roads and City Streets (Proj. 20-5, Topic 5-06), 3 1 p., $3.60 28 Partial-Lane Pavement Widening (Proj. 20-5, Topic 5-05), 30 p., $3.20 THE TRANSPORTATION -RES-EA-R'CH BOARD is an agency of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board'. & purpose is to stimulate rigearch concerning the nature and performance of transportation systems, to disseminate information that the research produces, and to encourage the application of appropriate research findings. The Board's program is carried out by more than t50 committees and task forces composed of more than 1,800 administrators, engineers, social scientists, and educators who serve without compensation. The program is supported by state transportation and highway departments. the U.S. Department of Transportation, and other' organizations., interested in the development of transportation. The Transportation Research Board operates within the Division of Engineering of the National Research Council. The Council was organized in 1916 at the request of President Woodrow Wilson as an agencyof the National Academy of Sciences to enable the broad community of scientists and engineers to associate th6r efforts with those of the Academy membership. 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