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Socioeconomic Data to Meet NEPA Requirements
NOTE: Information regarding socioeconomic data is provided by our colleagues at Auburn University.

Introduction
Scale and Spatial Extent
Standard Sources of Socioeconomic Data
Time Period
Socioeconomic Data Considered in this Study
Data Source and Nativity
Converting into GIS Shape Files
Conclusion
References Return to Environmental Assessment Home


Introduction
The pre-construction planning, siting, and design phase of any project requiring an Environmental Assessment (EA) or Environmental Impact Statement (EIS) is conducted in the context of environmental laws, agencies that provide guidance in interpreting these laws, and agencies that regulate and enforce the laws. Compliance with NEPA or State Environmental Policy Acts may require preparation of an environmental assessment or environmental impact statement. EISs are prepared early in the planning process and for proposed projects that have the potential to result in significant impacts to the environment.EISs are dependent on geospatial information in order to make an assessment.

The data used in an assessment undergoes the same scrutiny for scientific and professional integrity, as does the methodology used in obtaining and analyzing data. Data sources should be referenced in a manner consistent with the professional or scientific discipline. Although there are no prescribed data sets to be used in an assessment, they should possess the following basic attributes: relevant, current enough to be useful, reputable or from a credible source, and in a usable format. Of these, obtaining usable data is often the most problematic. All too often, existing data sets are misrepresented and turn out to be something other than what they were represented or no one has any confidence in these data. Most data used in EISs comes from established sources--the most common of these are state and federal natural resource agencies and libraries. More recently, data clearinghouses have been a source of digital geospatial data.

In most cases, there is a preconceived idea among the EIS prepares and the regional FHWA as to what constitutes "best available data." There is, however, no official definition of best available data; this is principally a byproduct of experience. Consequently, this is rarely an issue for dispute. This does not imply, however, that there may not be a better way of acquiring or analyzing necessary information, but through years of experience, EIS preparers and lead agencies have become familiar with certain data sets and have grown accustomed to their application for various assessments.

To fulfill the requirements of NEPA, engineers have to address a number of issues related to socioeconomics and environmental justice, topics that were not fundamentally a part of their usual formal training.  There are numerous sources of socioeconomic data that can be accessed via the internet from federal and state archives. Herein, we provide background information about how to obtain accurate, reliable, and complete socioeconomic data from the public domain. The orientation of this document is towards regional projects, although most of the content can be adapted for smaller areas. Given the wide range of engineers' exposure to the social sciences, it is difficult to prepare a document that is comprehensible to the newcomer, but not too superficial for more experienced workers; decision on what to include in this document are based on discussion between engineers and social scientists in formal settings together with experience of the authors in working with multidisciplinary teams in the field. Below are the specific motivations:

  1. The need to include societal and institutional issues in transportation: The traditional transportation planning process accommodates the disparate views of stakeholders by a variety of means including public hearings and information sessions. These meetings serve to address economic issues, access to activities, neighborhood vitality, safety issues, availability and convenience of transportation system, and equity issues associated with costs and benefits of the system (Unsworth 1994; Balog, Schwarz, and Simon 1994; Cunningham et al. 1996). Availability of socioeconomic data for the neighborhood or the area will help reduce the amount of time and other resources employed in the planning process.

  2. Environmental Justice Issues: EO 12898 requires Federal agencies to achieve environmental justice by identifying and addressing disproportionately high and adverse human health and environmental effects, including the interrelated social and economic effects of their programs, policies, and activities on minority and low-income populations. Socioeconomic data, such as race, income, population (by age variables), and employment, are readily available from Federal databases for assessment of environmental justice. Identifying the size and location of low-income and minority population groups is an important first step toward assessing whether or not transportation system investments disproportionately burden or fail to meet the needs of any segment of the population under consideration.

  3. Transportation Needs Assessment: Constructing demographic profile such as age, type of employment, and of course income level is very essential in transportation needs assessment.The identification of these population groups through and their geographical locations, helps identify the transportation needs of the target people. For example, a neighborhood or community with very old and low-income people will be obviously more dependent on public transportation than a prime-age with high income one. This information will help the transportation agency provide safer, more easily accessible and user-friendly transit facilities. Data on businesses (i.e. shopping, manufacturing, and other services) is necessary to be incorporated in transportation or public transit planning.

  4. Obtaining Data from Public Domain: Data used in transportation planning and regulatory processes undergoes the same scrutiny for scientific and professional integrity, as does the methodology used in obtaining and analyzing data. Data sources should be referenced in a manner consistent with the professional and scientific discipline. The data sets should possess the following basic attributes: relevant, current enough to be useful, reputable or from credible source, and in a usable format. Of these, obtaining usable data is often the most difficult. All too often, existing data sets are misrepresented and turn out to be something other than what they were represented to be or no one has any confidence in them. Other problems in data acquisition are incompleteness, previously unavailable, incompatibility, and so on. It is very difficult to obtain historical data for specific time frame from one source. You may find breaks in years, starting later years, or covering different variables or the same variables but different dimensions. U.S. Census Bureau most often covers different variables in each census years. Furtherer more, census data such as the U.S. decennial census or metropolitan area household surveys are based on once per decade or an even more infrequent basis.
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Scale and Spatial Extent
To address the issue of possible disproportionate impacts to racial and socioeconomic minority groups from the project alternatives, a reference population must be identified as a basis for comparison. This reference population must correspond to the physical study area for the project (e.g. country, state, county, or smaller subdivision such as zip code, census block, or a census tract) (Hoffeld, Lane, and Griffin 1997). Most environmental justice studies have produced conflicting findings that are often attributed to the scale of study. The scale should cover the entire physical area of the project but the geographical units should be smaller enough to conduct any well-informed impact analysis. In this documentation, our units of analysis are the entire 55-county region, all zip codes in the region, and two watersheds in the study area.

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Standard Sources of Socioeconomic Data
Socioeconomic data are gathered primarily from standard sources, such as the U.S. Census, state economic development agency, local government agency or chamber of commerce records, and private organizations that operate as data brokers. There are other private institutions that freely post data on their web sites. In some cases, these data are free of charge, sometimes there is a nominal fee for media, shipping and handling, and in still other cases, data can be purchased for a substantial fee. In the latter situation, the data have usually been processed in some way by a third party.

Census data are summarized at different geographic levels: national, state, county, census tracts, block group and block. Data are also summarized for selected political subdivisions and places. As the name suggests, block level data represents aggregate data for entire city blocks or an area delineated by the Bureau of the Census. Blocks are further aggregated into block groups, which comprise census tracts, perhaps the most familiar summary level for census data. Because of the privacy of individuals living within blocks may be jeopardized by disclosing income data at block summary level, income data are available only at the block group level.

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Time Period
Trend analyses, econometric studies, and informal surveys are regularly employed to review the impacts of past construction projects. In trend and econometric studies, the time span of study must be long enough before inferences can be made about the magnitude and direction of the coefficients of the variables. For example, while population statistics are widely considered in transportation impact studies, relating population changes to a specific project is difficult. Observing population trends typically requires longer time periods than those incorporated in many studies, in part because many studies rely on the decadal federal census for data (Sabol, 1996). Socioeconomic data provided in this document are historical annual data from 1970 to 2000 and most goes into the future as late as the year 2025.

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Socioeconomic Data Considered in this Study
The data acquired in this study are shown in Table 1 and a description of each dataset follows.

Variable         

Period

Frequency

Source

Scale  

Age

1970-2000

5 yrs.

NAP Data Services, Washington, D.C.

County

Population Density

1970-2000

5 yrs.

NAP Data Services, Washington, D.C.

County

Per Capita Income

1970-2000

5 yrs.

NAP Data Services, Washington, D.C.

County

Employment (farm, nonfarm, wage, total)

1970-2000

5 yrs.

NAP Data Services, Washington, D.C.

County

Household Income

1970-2000

5 yrs.

NAP Data Services, Washington, D.C.

County

Farm Income

1970-2000

5 yrs.

NAP Data Services, Washington, D.C.

County

Business

1984-2000

1 yr.

University of Alabama

County

Race

1970-1990

10 yr.

U.S. Census Bureau, Commerce Division

County

Housing by Construction Type

1970-1990

10 yr.

U.S. Census Bureau, Commerce Division

County

Housing by Value

1980-2000

10 yr.

U.S. Census Bureau, Construction & Manufacturing Division

County


Table 1: Socioeconomic data for the regional study area.

Data Descriptions

  1. Age: Three age groups were analysed from 1970 to the year 2000: 0 to 19 years, 20 to 59 years, and age 60 and older. Maps showing the percentage of the total population in 5-year intervals for all three age groups are shown in Table 1.

  2. Population Density: Population density is measured as the number of persons per square mile and covers the period between 1970 and 2000. Maps showing percent change in population density for every five years are included and coded in similar fashion as age. For example, the change in population density from 1970 to 1975 is P_dens_70_75.

  3. Per Capita Income: This also covers 1970 to 2025, where the years 1970 to 2000 are actual data and 2001 to 2025 are predicted. It was derived from total income from county by multiplying the per capita income share by total income. Percent changes for 5-year intervals are provided including maps from 1970 to 2000, using the same intervals. These percent changes are coded as P_in_70_75.

  4. Employment: Employment is categorized as follows: (a) farm employment, (b) non-farm employment, (c) wage employment, and (d) total employment for the period between 1970 and 2000. Percent change in 5-year intervals is mapped.

  5. Household Income: Household income is based on the value of the U.S. dollar in 1992. Data were acquired for the period between 1970 and 2000. Percent change in 5-year intervals is mapped.

  6. Farm Income: This covers 1970 to 2025, and follows the same pattern as per capita income - the years 1970 to 2000 are actual data and 2001 to 2025 are predicted. It was derived from total county income by multiplying the corresponding share by total income. Percent change for every 5 years have been computed for the entire period and corresponding maps from 1970 to 2000 are available too. The 5-year percent changes are coded as i_f.

  7. Business: This only ranges from 1984 to 2000 and is obtained from Pro CD Phonebooks. Pro CD Phonebook is an easy-to use CD-ROM reference tool that gives an instant access to millions of businesses and residential listings from printed phone directories across United States and Canada. They are point files (business density by county) grouped by the year of establishment in 3-year intervals as follows: 1984 – 1986, 1987 – 1989, 1990 – 1992, 1993 – 1995, and 1996 – 1998. The data was in spreadsheet dbase4 table and a script was built from event themes. This took the longitude and latitude fields in the table and used them as X and Y coordinates for a point theme for each desired county. Efforts to find a source(s) for income from these commercial businesses have proved futile, as it is not reported individually.

  8. Race: This data ranges from 1970 to 1999. The portion from 1970 to 1990 is decennial data obtained from U.S. Department of Commerce, Bureau of the Census publications from Auburn University Library, University of Georgia Library, the University of Alabama Center for Business and Economic Research-Tuscaloosa, Alabama, and the Center for Demographics, Auburn University in Montgomery, AL (AUM). Consultation with all these sources reveals the original source is Census Bureau and they were gathered through door-to-door survey. The between census data were estimated using trend analysis. The growth rate between 1970 and 1980 and that of 1980 and 1990 for each race in each county was determined and divided by 10 to obtain the annual growth rate and the trend was estimated for that interval. Data from 1990 to 1999 was obtained from the Census Bureau website as annual data. County population by race has not been released yet for the 2000 census. The major population by race considered, are White, Black, and Other. Where "Other" includes American Indian, Asian Indians, Chinese, Latinos, and so on. Maps indicating the distribution of each race are provided for 1973, 1980, 1991, and 1999.

  9. Housing By Construction Type: This is also a decennial data and obtained from Bureau of Census publications from Auburn University Library, Center for Demographics, Auburn University at Montgomery, and Georgia Tech, GA. Since the housing census for 2000 was yet to be released and there is no such information on the Census Bureau website, we could only obtain years 1970 to 1990. Housing census for 2000 had been released only for the first five states in alphabetical order, which Alabama is included but it was only the total number of housing, not by type and also at the state level only. The same procedure applied to the race data was followed in filling in the years between census data years. However, instead of linear trend, exponential function was most of the time appropriate. Especially, in counties where the rate was high for particular ten-year period, exponential function was used. Due to the varying objectives of each census, the census data for 1970, 1980, and 1990 were not uniformly compatible. The years 1980 matches with both 1970 and1990, but not 1970 and 1990 are not compatible. Any effort to merge these three census years resulted in a whole lot of information loss. We therefore, grouped them into two categories: 1970 to 1980 and 1980 to 1990. The 1970-80 group has the following information: 1 unit, 2 units, 3-4 units, and 5 or more units structures, and mobile homes and trailers while the 1980-90 has 1 unit detached, 1 unit attached, 2 units, 3-9 units, 10-49 units, and 50 or more units, plus mobile homes and trailers. Maps for each of these constructional types have been provided for years 1973, 1980, and 1990.

  10. Housing By Value: This 1980 to 2000 residential housing and value data was purchased from U.S. Census Bureau Manufacturing and Construction Division. This place level delimited text file was imported into excel spreadsheets and all the extraneous period characters from the place field removed. Also removed, were all counties outside of the desired area and converted all files to county level in dbase4 format. However, due to the fact that there are multi-places in a county, any county shape file one place will always superimpose over the others. However, for exhibition purposes four shape files for 1980, 1991, and 2000 have been made to be compared to the satellite pictures taken for these years.
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Data Source and Nativity
Data for the first four projects were obtained from one source (NPA Data Services, Washington D.C.). They came as economic and demographic household data for the entire 51 states and territories from 1970 to 2025 in MSDOS text format. The 1970-2000 period is actual data while 2001-2025 is predicted. The original source is U.S. Census Bureau and it gathered through door-to-door decennial survey. The business data was in excel 2000 spread sheet format. As already indicated, the race data came from different sources in a hard copy and manually typed into excel 2000 format. However, it is strongly believed that the original source is the Bureau of Census. Just like the race, data for housing construction type was obtained as hard copy from the Bureau of Census books in Auburn University, AL, library and manually typed into excel 2000 spread sheet format. Therefore, data for both variables might have been collected through door-to-door survey. The last data, housing values were purchased from the Construction and Manufacturing Division of U.S. Census Bureau in a delimited text format.

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Converting into GIS Shape Files
Household files from Alabama, Georgia and Tennessee were converted to Dbase4 format. These data tables were then linked with county shape files using the counties' FIPS codes as the basis for the linkage. Other counties in the states, but outside of our study area were removed. The series and date fields from the tabular data were combined, thereby reducing each county to only one record in the table.

A special script was written for Race data to pull all of the desired information out of the files provided (each state had a separate file initially) and write them into delimited text files. These files could then be imported into Excel, saved out as Dbase4 tables. Counties outside of the desired study area were then excluded from the tabular data. State and County FIPS codes were added to the associated Dbase table. Arc shape files were created and linked to the tabular data via the FIPS codes.

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Conclusion
The process of considering socioeconomic data gathering in transportation planning and processes appear to have great potential in the transportation decision process. It is a strategic and efficient method of bringing together disparate views and of representatives of both public and private institutions. Thus, data gathering indirectly gives the field officers most of the information needed to make decisions rather than going through lengthy public meetings and hearings. This process is in line with the Transportation Research Board's ITS IDEA projects that demonstrate the methodology of including societal issues in an ITS implementation decisions. For instance, demonstration on the initiative of the decision-making team, (Richardson and Kosyniuk, 1998) found that societal and not technological issues assumed a pivotal role and eventually drove the decision. Although the scope documented is on small region, the framework would remain unchanged across all borders.

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References

Balog, J.N., A.N. Schwarz, and R. Simon.  Involving Individuals with Disabilities in ADA  Complementary Paratransit Planning and Implementation.  In Transport Research Record 1463, TRB, National Research Council, Washington, D.C., 1994, pp. 53-60.

Cunningham, L.F., K. Christensen, D. Dunn, E. Gonzales, and M.P. Hirsch., Recommendations for Developing Customer Focus in Statewide.  Transportation Planning.  In Transportation Research Record 1552, TRB, National Research Council, Washington D.C., 1996, pp 19-26.

Hoffeld, S., L. Cobb, and D.A. Griffin.  Determining Disproportionate Impacts in Environmental Justice Evaluations, Wilmington Bypass, Wilmington, North Carolina, Proc., 22nd Annual Conference of the National Association of Environmental Professionals, Jacksonville, FL, 1997, pp. 350-365.

Richardson, Barbara C. and Lidia P. Kostyniuk.  Methods for Including Societal Issues in Transportation Decisions. In Transportation Research Record 1626, TRB, National Research Council, Washington D.C., 1998.

Transportation Decisions.  In Transportation Research Record 1626, TRB, National Research Council, Washington D.C., 1998.

Sabol, Scott A.  Effects of Highway Bypasses on Rural Communities and Small Urban Areas.  Research Results Digest, NO 210, National Cooperative Highway Research Program, May 1996.

Unsworth, D.J.  Redefining Public Involvement.  In Transportation Research Record 1643, TRB, National Research Council, Washington D.C., 1994 pp. 45-47. 
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