Chapter 27 - Visual & Aesthetics Review

• Department of Transportation Act of 1966, Section 4(f)  
• Historic Preservation Act of 1966
• National Environmental Policy Act of 1969, Title I

• SER Vol. 1, Chapter 2 - State Requirements
• CEQA Guidelines
  • Appendix G
  • Article 19. Categorical Exemptions
    • Section 15304 Minor Alterations to Land
    • Section 15300.2 Exceptions
      • (d) Scenic Highways
• CEQA Statute
  • Section 21084 – Lists of Exempt Classes of Projects; Projects Damaging Scenic Resources (c)
• Streets and Highways Code, Sections 260 – 263 (State Scenic Highways)

The following list includes guidance that is available as website postings (hyperlinks indicated) and guidance which was formerly posted on FHWA and other websites, but is currently unavailable. Additional references are included in the FHWA Environmental Guidebook

• Visual Impact Assessment for Highway Projects, Publication Number FHWA-HI-88-054
• FHWA Memorandum to Regions, “Esthetics and Visual Quality Guidance Information” (August 1986)
• Environmental Impact Statement, Visual Impact Discussion, FHWA (undated)
• Noise Barrier Design Handbook - Noise Barrier Aesthetics
• A Guide to Visual Quality in Noise Barrier Design, Aesthetics in the Design Process,  Publication Number: FHWA–RD-IMP-77-12 (December 1976)
• Flexibility in Highway Design,  Publication Number: FHWA-PD-97-062
• Case Studies in Visual Quality, FHWA (August 1982)
• Esthetics and Visual Resource Management of Highways: Seminar Notes, (1979-1980)

Available from California Department of Transportation:

• Highway Design Manual, Chapter 100, Topic 109 – Scenic Values in Planning and Design
• Project Development Procedures Manual, Chapter 8, Section 7, Article 6 -- Consideration of Visual Impacts and Protection of Visual Quality
• The California Scenic Highway System
• Officially Designated Scenic Highways
• Director's Policy 22 (DP 22), Context Sensitive Solutions
• Deputy Directive 31 (DD-31), Protection of Scenic Corridors
• Deputy Directive 64-R1 (DD-64-R1), Complete Streets - Integrating the Transportation System
• Deputy Directive 94 (DD-94), Scenic Highway Program

Policy Memos

• Context Sensitive Solutions Implementation Plan Rick Knapp (October 3, 2002)

All project sites located within the limits of an officially designated State Scenic Highway must be reviewed for the presence of scenic resources. The goal is to examine the project limits, determine if scenic resources exist within those limits including the project viewshed, and whether they will be impacted by the proposal. Impact assessment should also determine if views of scenic resources will be obstructed.  To adequately determine the presence of scenic resources, SREs should be based on an evaluation of the public's anticipated perception of the existing resource and its visual setting. The District’s Planning and Environmental units should be consulted to ensure that all appropriate input is considered.

The SRE considers the site-specific visual and historic context, anticipated sensitivity of identified viewers, and the extent of visibility.

As part of the SRE, three primary actions are performed:

• Research - An understanding is developed of the proposed project, community values expressed in applicable planning documents, and of relevant project history.
• Field Review - Investigation of the project setting and an inventory of existing visual features as well as proposed project element locations, viewer groups, and probable affects is conducted.
• Synthesis - The research and field data is analyzed to determine whether a scenic resource exists. The analysis identifies the setting, whether or not a scenic resource is present, why it qualifies as a scenic resource, and how the proposed project will potentially affect the scenic resource. The SRE is provided in a technical report including photographs and graphic information necessary to substantiate the findings.

The SRE is also used for determining whether a proposed project is categorically exempt. CEQA Statute Section 21084(c) and CEQA Guidelines Section 15300.2(d)] state that no project damaging “scenic resources, including but not limited to trees, historic buildings, rock outcropping, or similar resources, within a highway designated as an official state scenic highway” is categorically exempt. Section 15304 of the CEQA Guidelines permits, as a categorical exemption, the minor alteration of land or vegetation that does not involve removal of mature, scenic trees. Following completion of the SRE, environmental staff in coordination with the PDT will determine whether a Categorical Exemption (CE) is still appropriate for the project. Because of the implications to the categorical exemption determination, it is necessary that the SRE findings be used in documenting the proposed project ’s potential effect on identified scenic resources.

While there is no comprehensive list of specific features that automatically qualify as scenic resources, certain characteristics can be identified which contribute to the determination of a scenic resource. Following is a partial list of visual qualities and conditions which, if present, may indicate the presence of a scenic resource:

• A tree that displays outstanding features of form or age;
• A landmark tree or a group of distinctive trees accented in a setting as a focus of attention;
• An unusual planting that has historical value;
• A unique, or massive rock formation;
• A historic building that is a rare example of its period, style, or design, or which has special architectural features and details of importance (A historic building, however, should be evaluated by an Architectural Historian as part of the historic resources studies);
• A feature specifically identified in applicable planning documents as having special scenic value;
• A unique focus or a feature integrated with its surroundings or overlapping other scenic elements to form a panorama;
• A vegetative or structural feature that has local, regional, or statewide importance.

Conversely, examples of features that lack the typical characteristics of a Scenic Resource include:

• Trees that are commonplace and repetitious, occurring frequently along a roadway;
• The fringe trees of a forest;
• Rock outcroppings that are generally characterized by little or no variety and possessing no uniqueness of form or aesthetic merit.

A VIA should be considered for every project that has the potential to change the visual environment. The assessment level for the VIA can range from “no formal analysis” to a “formal VIA.” If a VIA is required and if the project is within the limits of an officially designated State Scenic Highway, the SRE is included in the VIA.  If the project is within the limits of an officially designated State Scenic Highway but no VIA is required; an SRE must be prepared for the project.

The level of VIA is determined using the VIA Questionnaire. The Questionnaire considers many factors such as:

• Numbers and sensitivities of affected viewer groups;
• Existence of scenic resources;
• Extent and degree of the proposed changes in the visual environment;
• Local concerns or project controversy;
• Cumulative impacts along the transportation corridor.

Prior to completing the VIA Questionnaire, it is recommended that a site visit be conducted to inventory the visual resources within the project viewshed, estimate potential changes to these resources, and identify potential viewer groups and public concerns regarding the proposal. In addition, the Questionnaire (see Project Initiation Document below) is used as a scoping tool to inform the PDT of any potential impacts or controversy that may occur. This helps identify potential mitigation costs for design options that the PDT may consider to reduce costs or impacts.

The total point score of the completed VIA Questionnaire corresponds to the recommended level of visual analysis. In general, projects to replace or rehabilitate existing facilities (e.g., pavement overlay, striping, sign replacement) do not constitute a change in character to those facilities, and as such, will not require further analysis. Projects that constitute negligible or very minor visual change will require a memorandum that describes the site characteristics and provides confirmation of minimal changes. Projects resulting in a noticeable level of visual change require that a VIA be completed. The VIA Annotated Outlines have been developed to ensure that visual analyses are thorough, concise, objective, and consistent with statewide practices. Go to the VIA Questionnaire to begin this process.

The Department conducts visual studies using FHWA methodology that is described in the publication FHWA-HI-88-054 entitled Visual Impact Assessment for Highway Projects. The Department has developed VIA Annotated Outlines that follow this FHWA methodology.  As a component of this methodology, the Department considers regulatory environment and cumulative impacts as important issues when evaluating a project’s visual impacts. Projects involving other agencies may need to include additional methodologies for assessing impacts.

Scenic Resource Evaluations and VIAs are performed under the direction of licensed Landscape Architects. Landscape Architects receive formal training in the area of visual resource management with a curriculum that emphasizes environmental design, human factors, and context sensitive solutions. When recommending specific visual mitigation measures, Landscape Architects can appropriately weigh the benefits of these different measures and consider construction feasibility and maintainability. 

For Department or Locally-Sponsored projects on the SHS the SRE and/or VIA are submitted to the environmental generalist/planner. The environmental generalist/planner summarizes the findings and recommended mitigation measures identified in the SRE and/or VIA in the environmental document and then provides a copy of the environmental document to the Landscape Architect for review and concurrence. Mitigation measures can involve avoiding, minimizing, or compensating for proposed project impacts. The completed SRE and/or VIA serves as a supporting technical study and is referenced in the environmental document. Upon receipt of this information and other technical studies the environmental staff, in coordination with the PDT, will determine the appropriate level of environmental documentation for the project.

For Local Assistance projects (federal-aid projects off the SHS), the Preliminary Environmental Studies (PES) form in combination with the VIA Questionnaire is used to indicate whether a VIA is appropriate. The local agency submits the VIA (along with a list of mitigation measures) to the Department in accordance with the processing procedures set forth in the Local Assistance Procedures Manual (LAPM), Chapter 6.   As part of this process, the Caltrans District Landscape Architect will review and concur with the VIA for compliance with NEPA visual assessment requirements.

Supplemental VIAs and VIA Addendums

Changes to a project during the Project Approval and Environmental Document (PA&ED) phase or subsequent phases such as Design and Construction may require a completed VIA to be updated or amended to reflect this information, especially when the changes have potential to alter the findings of the document or adversely affect the corridor’s visual quality and viewers. With input from the Caltrans District Landscape Architect, the District Environmental Planning Branch shall determine whether a supplemental VIA or an addendum to the VIA should be developed, and make the appropriate recommendation to the PDT. Defensibility and public disclosure are the primary factors in determining the information to include in a supplemental VIA or an addendum.

In general, a supplemental VIA or addendum shall include an introductory statement on the need for the additional documentation or addendum, reference the date of the original VIA, summarize any project changes that have occurred, and address related visual effects. A new approval and date for the supplemental VIA or addendum shall be provided.

A supplemental VIA should adhere to the format of the VIA Annotated Outline as applicable, and generally should not repeat information from the original VIA that has not changed. The VIA addendum is briefer than a supplemental VIA and is used to correct or clarify information presented in the original VIA.

A cumulative impact is defined in the NEPA Regulations as "the impact on the environment which results from the incremental impact of the action when added to other past, present, and reasonably foreseeable future actions regardless of what agency (Federal or non-Federal) or person undertakes such other actions.” Cumulative impacts can result from individually minor yet collectively significant actions taking place over a period of time. CEQA has similar language and requirements.

While removing trees or excavating slopes may not be considered major impacts on an individual project, similar impacts on past or future projects within a highway corridor can result in a cumulative impact when considering the combined result.

Because different agencies have differing approaches to cumulative impacts, it is recommended that interagency coordination begin early in project development. Also refer to the Department's Guidance for Preparers of Cumulative Impact Analysis.

In addition to impacts that will affect the visual environment as a result of the proposed project, the impacts of the contractors’ operations must also be considered. Scenic resources identified should be protected at all stages of the project’s construction. Disposal sites, construction signs, material storage, and other items of work necessary for construction that will create a visual impact should be identified. Mitigation for construction impacts should be considered, as with other project impacts, and appropriately incorporated into the project. This can be particularly important when reviewing projects along scenic highways.

Early involvement by the Landscape Architect ensures that the benefits of visual studies are maximized. By initiating visual studies during the Preliminary Environmental Analysis Report (PEAR) phase of the project, potential impacts can be identified, project alternatives examined, and mitigation proposed. These factors need consideration to accurately develop initial project costs prior to programming. Also, early involvement promotes discussions between the PDT and Landscape Architect in order to identify and incorporate design features that address potential visual impacts, avoidance alternatives, and mitigation.

Depending on the complexity of the impact assessment, it may take from a few days to several months to complete the appropriate studies. Continuous involvement by the Landscape Architect ensures that any design changes will reflect appropriate visual consideration.

The existing visual environment should be documented in the Environmental Impact Report (EIR) prepared for the Regional Transportation Plan (RTP) and serve as a building block in subsequent decision making.

Approval of the RTP requires preparation of a CEQA environmental document, normally a program or master EIR. Caltrans encourages the MPO/RTPAs to identify scenic routes, visual landmarks, or vistas of regional importance, as seen from the project corridor in the environmental document for the plan.

The use of a VIA Questionnaire provides preliminary identification of potential visual resource issues of a project for the Preliminary Environmental Analysis Report (PEAR) prepared as part of the Project Initiation Document (PID).

The "Preparation Guidelines for Project Study Report" (PSR), Appendix L in the Project Development Procedures Manual, stipulate that PSRs and project study report equivalents contain an “inventory of environmental resources, identification of potential environmental issues and anticipated environmental processing type. Potential mitigation requirements and associated costs should also be identified.” In situations where avoidance of impacts or mitigation requires purchasing of right-of-way, costs can be dramatically affected.
For projects on the SHS, the following level of information is recommended to fulfill the requirements of the guidelines:

• Verification of information from the RTP stage;
• Identification of possible scenic resources and the project’s potential visual impact(s);
• Identification of possible mitigation measures and preliminary costs to be included in the PSR estimate (e.g., special grading requirements, architectural features on bridges and walls, urban street amenities, landscape treatment, right-of way requirements);
• Identification of officially designated State Scenic Highways in the project area.

Public input is solicited during this phase to address local concerns and integrate appropriate design features by using a ‘context sensitive solutions’ approach (see Director's Policy 22). The process of determining final mitigation involves ongoing discussions between the PDT and public through the design phase

For projects off the SHS, complete the PES form. The information required for the PES satisfies the environmental requirement for the PSR equivalent. For federally funded projects, a VIA must be performed in accordance with this chapter.

The SRE and/or VIA is prepared during this stage of the project. Impact avoidance measures and mitigation strategies are developed in coordination with the PDT. Mitigation costs for visual impacts are also refined in the estimate. See “Activities That May Occur During the Project Design Phase” below for links to information regarding split funding policy for highway planting.

The SRE and/or VIA is used to prepare the visual section of the Draft Environmental Document or used as a supporting technical study for a Categorical Exemption/Categorical Exclusion, as appropriate.

The SRE and/or VIA is revised during this stage in response to public comment on the Draft Environmental Document, and final mitigation requirements are established. This information must be presented in the Final Environmental Document and is used to develop the Environmental Commitment Record, as required.

Mitigation costs for visual impacts should be refined in the Project Report to fulfill the requirements of the Environmental Commitment Record.