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NATIONAL NCHRP REPORT 532 COOPERATIVE HIGHWAY RESEARCH PROGRAM Effective Methods for Environmental Justice Assessment
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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2004 (Membership as of July 2004) OFFICERS Chair: Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA Vice Chair: Joseph H. Boardman, Commissioner, New York State DOT Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS MICHAEL W. BEHRENS, Executive Director, Texas DOT SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC E. DEAN CARLSON, Director, Carlson Associates, Topeka, KS JOHN L. CRAIG, Director, Nebraska Department of Roads DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN GENEVIEVE GIULIANO, Director, Metrans Transportation Center and Professor, School of Policy, Planning, and Development, USC, Los Angeles BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University JAMES R. HERTWIG, President, CXS Intermodal, Jacksonville, FL GLORIA J. JEFF, Director, Michigan DOT ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT SUE MCNEIL, Director, Urban Transportation Center and Professor, College of Urban Planning and Public Affairs and Department of Civil and Material Engineering, University of Illinois, Chicago MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology CAROL A. MURRAY, Commissioner, New Hampshire DOT JOHN E. NJORD, Executive Director, Utah DOT DAVID PLAVIN, President, Airports Council International, Washington, DC JOHN H. REBENSDORF, Vice President, Network Planning and Operations, Union Pacific Railroad Co., Omaha, NE PHILIP A. SHUCET, Commissioner, Virginia DOT C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority, Orlando, FL MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio) SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT (ex officio) REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio) GEORGE BUGLIARELLO, Chancellor, Polytechnic University and Foreign Secretary, National Academy of Engineering (ex officio) THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio) JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio) EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio) JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio) RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT (ex officio) WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio) BETTY MONRO, Acting Administrator, Federal Railroad Administration, U.S.DOT (ex officio) MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio) SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio) JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio) ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio) WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio) JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT (ex officio) CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers (ex officio) ROBERT A. VENEZIA, Program Manager of Public Health Applications, National Aeronautics and Space Administration (ex officio) NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Transportation Research Board Executive Committee Subcommittee for NCHRP MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA JOHN C. HORSLEY, American Association of State Highway (Chair) and Transportation Officials JOSEPH H. BOARDMAN, New York State DOT MARY E. PETERS, Federal Highway Administration GENEVIEVE GIULIANO, University of Southern California, ROBERT E. SKINNER, JR., Transportation Research Board Los Angeles C. MICHAEL WALTON, University of Texas, Austin
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 532 Effective Methods for Environmental Justice Assessment DAVID J. FORKENBROCK Public Policy Center University of Iowa Iowa City, IA JASON SHEELEY URS Corporation Austin, TX S UBJECT A REAS Planning and Administration · Energy and Environment · Transportation Law Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2004 www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH NCHRP REPORT 532 PROGRAM Systematic, well-designed research provides the most effective Project 8-41 FY'01 approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local ISSN 0077-5614 interest and can best be studied by highway departments ISBN 0-309-08798-8 individually or in cooperation with their state universities and Library of Congress Control Number 2004109183 others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to © 2004 Transportation Research Board highway authorities. These problems are best studied through a coordinated program of cooperative research. Price $34.00 In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States NOTICE Department of Transportation. The project that is the subject of this report was a part of the National Cooperative The Transportation Research Board of the National Academies Highway Research Program conducted by the Transportation Research Board with the was requested by the Association to administer the research approval of the Governing Board of the National Research Council. Such approval program because of the Board's recognized objectivity and reflects the Governing Board's judgment that the program concerned is of national understanding of modern research practices. The Board is uniquely importance and appropriate with respect to both the purposes and resources of the suited for this purpose as it maintains an extensive committee National Research Council. structure from which authorities on any highway transportation The members of the technical committee selected to monitor this project and to review subject may be drawn; it possesses avenues of communications and this report were chosen for recognized scholarly competence and with due cooperation with federal, state and local governmental agencies, consideration for the balance of disciplines appropriate to the project. The opinions and universities, and industry; its relationship to the National Research conclusions expressed or implied are those of the research agency that performed the Council is an insurance of objectivity; it maintains a full-time research, and, while they have been accepted as appropriate by the technical committee, research correlation staff of specialists in highway transportation they are not necessarily those of the Transportation Research Board, the National matters to bring the findings of research directly to those who are in Research Council, the American Association of State Highway and Transportation a position to use them. Officials, or the Federal Highway Administration, U.S. Department of Transportation. The program is developed on the basis of research needs Each report is reviewed and accepted for publication by the technical committee identified by chief administrators of the highway and transportation according to procedures established and monitored by the Transportation Research departments and by committees of AASHTO. Each year, specific Board Executive Committee and the Governing Board of the National Research areas of research needs to be included in the program are proposed Council. to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. Published reports of the The needs for highway research are many, and the National NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of are available from: mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or Transportation Research Board duplicate other highway research programs. Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual http://www.national-academies.org/trb/bookstore states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org
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COOPERATIVE RESEARCH PROGRAMS STAFF FOR NCHRP REPORT 532 ROBERT J. REILLY, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Manager, NCHRP RONALD D. McCREADY and MARTINE A. MICOZZI, Senior Program Officers EILEEN P. DELANEY, Director of Publications NCHRP PROJECT 8-41 PANEL Field of Transportation Planning--Area of Forecasting DAVID L. WINSTEAD, Holland & Knight, Washington, DC (Chair) JAMES D. ALTENSTADTER, PIMA Association of Governments, Tucson, AZ WILLIAM R. BLACK, Indiana University, Bloomington, IN ROBERT GARCIA, Environmental Defense Fund, Los Angeles, CA TIMOTHY HILL, Ohio DOT LEE ANN JACOBS, FHWA GREGORY P. KING, California DOT LEIGH B. LANE, Raleigh, NC VALERIE J. SOUTHERN, Issaquah, WA LINDA M. ZEMOTEL, Minnesota DOT DANYELL DIGGS, FHWA Liaison Representative JAMES RYAN, FTA Liaison Representative KIMBERLY FISHER, TRB Liaison Representative AUTHOR ACKNOWLEDGMENTS Jason Sheeley, Environmental Justice Coordinator at the URS Chapter 4; and Greg Brown, URS, Chapter 5. Nancy Gates, URS, Corporation, and Professor David J. Forkenbrock, Director of the contributed to the glossary and drafted portions of Chapter 2. Public Policy Center of the University of Iowa, served as co-principal Edwin Brands, graduate student in geography at the University of investigators of NCHRP Project 8-41. They are the primary authors Iowa, drafted sections of Chapter 2. Scot Grant and Chris Blakely of the guidebook. Other contributing authors include Professor of URS and Kathy Holeton at the University of Iowa developed Marlon Boarnet of the Department of Planning, Policy, and Design most of the maps and figures in the guidebook. Nancy Gates at at the University of California, Irvine, who drafted Chapters 9 URS and Teresa Lopes at the University of Iowa provided edito- and 12; John Maxwell and Jean Finley, graduate students in urban rial assistance. Pat Johnson and Margie Frey at URS provided sec- and regional planning at the University of Iowa, drafted Chapters retarial and word processing support. The following individuals 8 and 13, respectively; Arijs Pakalns and Bill Forbes, URS, from URS provided technical review at various stages of the drafted Chapter 11; and Bill Forbes, URS, drafted Chapter 4. guidebook's development: Jeanne Witzig, John Lague, Jeff Fuller, Portions of the four appendices were originally prepared for and David Griffin. Ten senior practitioners from metropolitan NCHRP by Cambridge Systematics, Inc. in the 2002 report Tech- planning organizations and state departments of transportation nical Methods to Support Analysis of Environmental Justice evaluated a draft of the guidebook and offered suggestions: Issues. Ali Abazari, URS, drafted portions of Appendix A and Sharon Alderton, Gary Bullock, Thomas Dow, Jon Dunham, Appendix B. The following people provided technical expertise Cedric Long, Carmine Palombo, Richard Rolland, Vincent Russo, and input to state of the practice sections of various chapters: John Don Sparklin, and Harold Tull. The review panel also provided us Crawford, URS, Chapters 3 and 10; Steve McManamon, URS, with suggestions.
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This guidebook is designed to enhance understanding and to facilitate considera- FOREWORD tion and incorporation of environmental justice into all elements of the transportation By Martine A. Micozzi planning process, from long-range transportation systems planning through priority Staff Officer programming, project development, and policy decisions. It offers practitioners an ana- Transportation Research lytical framework to facilitate comprehensive assessments of a proposed transportation Board project's impacts on affected populations and communities. This step-by-step and practical guide provides technical assistance, from selecting appropriate methods of analysis to calculating effects on air and water quality, drainage, and safety. It also addresses impacts of hazardous materials on affected per- sons residing in a given locale. The conclusion of each chapter provides valuable resources and references to supplement the reader's knowledge. This guidebook should be of particular interest to planning practitioners in state departments of transportation (DOTs), metropolitan planning organizations (MPOs), and local transportation planners, as well as other practitioners concerned with plan- ning, programming, and implementing transportation projects. The guidebook will also be beneficial as an educational resource on the concepts, tools, and procedures currently employed for assessing environmental justice issues in the context of transportation planning decisions. Environmental justice embraces the fundamental human desire for fairness and equity. Because development and implementation of transportation projects can create potentially beneficial and adverse impacts on the communities and people they affect, they require careful consideration and incorporation of environmental justice from the onset. With the passage of Executive Order 12898 in 1994, environmental justice has taken on greater significance in the scope of transportation planning. The U.S. DOT and state and local agencies have worked to identify appropriate processes, techniques, and effective practices for making sound environmental justice assessments and for considering their results in transportation decisions. The objective of this research was to identify and develop processes, procedures, and techniques for integrating environmental justice considerations into transportation systems planning, priority programming, project development, and decision making at the statewide, metropolitan, and local levels. Presented as a guidebook, the research results will improve the analytical capabilities of states, MPOs, and their planning part- ners. The guidance builds on existing impact assessment methods and presents new techniques that improve on current practice. These methods are organized and pre- sented to guide practitioners in assessing environmental justice issues within specific application categories (e.g., air quality, safety, transportation user effects, and eco- nomic development). It is intended to advance current knowledge, provide practical guidance and qualitative and quantitative assessment tools, and share state-of-the-art methods for addressing environmental justice in transportation.
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CONTENTS 1 CHAPTER 1 Guidebook Overview Introduction, 1 Environmental Justice Defined, 2 The Role of Environmental Justice in Transportation Planning and Policy Development, 4 Environmental Justice and Distributive Effects, 6 Types of Effects Addressed, 8 Understanding the Guidebook, 9 Using the Guidebook, 12 Relationship to Other Recent Publications, 15 Resources, 17 References, 18 19 CHAPTER 2 Identifying Protected Populations Overview, 19 State of the Practice, 20 Selecting an Appropriate Method of Analysis, 22 Methods, 24 Resources, 55 References, 56 59 CHAPTER 3 Air Quality Overview, 59 State of the Practice, 59 Selecting an Appropriate Method of Analysis, 66 Methods, 66 Resources, 92 References, 92 95 CHAPTER 4 Hazardous Materials Overview, 95 State of the Practice, 95 Selecting an Appropriate Method of Analysis, 101 Methods, 102 Resources, 117 References, 118 121 CHAPTER 5 Water Quality and Drainage Overview, 121 State of the Practice, 121 Selecting an Appropriate Method of Analysis, 125 Methods, 126 Resources, 133 137 CHAPTER 6 Safety Overview, 137 State of the Practice, 137 Selecting an Appropriate Method of Analysis, 138 Methods, 140 Resources, 162 References, 163 167 CHAPTER 7 Transportation User Effects Overview, 167 State of the Practice Accessibility, 169 Methods for Studying Accessibility, 171 State of the Practice Transportation Choice, 186 Methods for Studying Transportation Choice, 189 Resources, 196 References, 197
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199 CHAPTER 8 Community Cohesion Overview, 199 State of the Practice, 199 Selecting an Appropriate Method of Analysis, 205 Methods, 207 Resources, 215 References, 216 217 CHAPTER 9 Economic Development Overview, 217 State of the Practice, 217 Selecting an Appropriate Method of Analysis, 218 Methods, 219 Resources, 228 References, 230 231 CHAPTER 10 Noise Overview, 231 State of the Practice, 232 Selecting an Appropriate Method of Analysis, 236 Methods, 238 Resources, 248 References, 249 251 CHAPTER 11 Visual Quality Overview, 251 State of the Practice, 252 Selecting an Appropriate Method of Analysis, 263 Methods, 265 Resources, 274 References, 274 275 CHAPTER 12 Land Prices and Property Values Overview, 275 State of the Practice, 275 Selecting an Appropriate Method of Analysis, 276 Methods, 279 Additional Information, 286 Resources, 289 References, 290 293 CHAPTER 13 Cultural Resources Overview, 293 State of the Practice, 294 Selecting an Appropriate Method of Analysis, 295 Methods, 298 References, 304 307 Appendix A Environmental Justice Regulations and Guidance 319 Appendix B Implications of Recent Environmental Justice Case Law 323 Appendix C Using Geographic Information Systems to Evaluate Environmental Justice 335 Appendix D The Decennial Census as a Source of Data for the Analysis of Environmental Justice 351 Glossary