Assessing the Environmental Justice Effects of Toll Implementation or Rate Changes: Guidebook and Toolbox (2018)

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1 Purpose of the Guidebook The purpose of the Guidebook is primarily to show practitioners how to apply tools and case examples from the Toolbox to assess the environmental justice (EJ) implications of toll implementation or rate changes. Practitioners will use an eight- step process framework that generally follows the typical steps of transportation project planning and development (i.e., scoping, impact and mitigation assess- ment, and monitoring). The process framework and application of tools are scal- able depending on the potential for disproportionately high and adverse effects of the toll implementation or rate change on minority and low-income populations. In this way, the process framework shows how the tools and case examples can be applied as part of the environmental review by the U.S. Department of Trans- portation (DOT) of a toll implementation or rate change under the National Environmental Policy Act (NEPA). However, this does not mean that EJ-tolling analysis applies only to toll implementation and rate change subject to review by the U.S. DOT under NEPA. There are often other reasons (e.g., agency policy or community relations) to conduct an EJ-tolling analysis. The Guidebook identifies the objectives of each step, raises pertinent questions and considerations for different circumstances, including whether or not the proposed action being evaluated is a toll implementation or rate change, and recognizes the tools that can be used to answer the pertinent questions and con- siderations and, thereby, meets the objectives of the step. In some applications, it may be best to follow the steps sequentially, while in others, it may be best to proceed to a higher numbered step before completing a lower numbered step. In laying out a process framework, the Guidebook helps the user identify what EJ-tolling analysis tool or tools to use at what point of evaluating a toll implementation or rate change. Principles of Environmental Justice EJ essentially seeks to ensure that decisions by government agencies do not result in a bur- den or harm to low-income and minority populations relative to the population as a whole. U.S. DOT has developed basic EJ guidance for federally supported transportation projects. See text box, Fundamental Principles of EJ. S U M M A R Y Assessing the Environmental Justice Effects of Toll Implementation or Rate Changes: Guidebook and Toolbox

2 Assessing the Environmental Justice Effects of Toll Implementation or Rate Changes: Guidebook and Toolbox Fundamental Principles of EJ Linking Title VI of the Civil Rights Act of 1964 and Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, U.S. DOT’s EJ strategy identifies three fundamental principles of EJ that guide U.S. DOT actions (FHWA, 2015a): • To avoid, minimize, or mitigate disproportionately high and adverse human health and environmental effects, including social and economic effects, on minority populations and low-income populations. • To ensure the full and fair participation by all potentially affected communities in the transportation decision-making process. • To prevent the denial of, reduction in, or significant delay in the receipt of benefits by minority and low-income populations. Changes in Access Aspects The “footprint” and “proximity” aspects of a project can also affect minority and low-income populations. These aspects also apply to non-tolled facilities, and guidance is available for addressing such effects (e.g., NCHRP Report 532: Effective Methods for Environmental Justice Assessment). This Guidebook and the Toolbox focus primarily on evaluating those aspects exclusively associated with toll implementation or rate changes. Implementation of tolls or a rate change, or certain aspects of implementation, has the potential to cause disproportionately high and adverse impacts on minority or low-income populations. Impact-Causing Aspects of Toll Implementation or Rate Changes At its core, toll implementation introduces a transaction cost—the payment of the toll—to the user of the tolled facilities. A rate change increases a transaction cost that is already in place. Beyond these aspects, other aspects of proposed toll implementation or rate changes that potentially impact EJ populations apply in some circumstances but not in others. These other aspects include creation of uncertain transaction costs, introduction of user account terms, change in access to the roadway network, creation or increase in the tolled facility foot- print, or closer proximity between the tolled facility and the nearby community. See text box, Changes in Access Aspects. The cost, change in cost, uncertainty of cost, and change in access aspects can individually or in combination have direct effects on the tolled facility users, including: • Change in road use patterns (diversions to alternative routes or modes), • Change in mobility,

Summary 3 • Change in accessibility, • Change in travel reliability, • Change in trip-making behavior and trip purposes (trip frequency, trip timing), • Change in household disposable income and change in household financial burden, and • Change in “disposable time.” These potential direct effects can affect all toll facility users and lead to indirect effects. To be consistent with the EJ principles outlined above, analysis of the effects on minority and low-income populations should address whether the effects are disproportionately high and adverse, whether there has been full and fair participation by communities in the transpor- tation decision-making process, and whether the effects produce denial of, reduction in, or significant delay in the receipt of benefits. The Guidebook and the Toolbox provide a framework and tools for addressing the effects of toll implementation or rate changes with respect to these fundamental criteria. Among other things, the Guidebook and the Toolbox show: • when to conduct the EJ-tolling analysis, especially with respect to the different stages of transportation decision-making (e.g., policy and planning, project development and the NEPA process, implementation); • how tolling actions can affect minority and low-income populations; • what methods are available to analyze the effects; • how different types of tolling actions can have different EJ implications; • what the governing legal or regulatory requirements are for considering EJ; • when minority and low-income populations should be involved in the EJ-tolling analysis, how their involvement can happen, and who the typical stakeholders are in the process of EJ-tolling analysis; • what the unique implications of public-private partnerships or private sector financing of a toll implementation or rate change in applying the process framework may be; • what the appropriate geographic study area is for identifying potentially affected populations and for measuring and addressing impacts for a particular tolling action; • how the EJ analysis for toll implementation differs from that of a rate change; • what constitutes adequate analysis for measuring tolling impacts on minority and low- income populations; • what criteria should be applied to evaluate whether an impact is disproportionately high and adverse; • what mitigation measures are available for addressing EJ-tolling impacts; • what are effective ways to document the EJ-tolling analysis; and • what are effective ways to monitor the actual effects of the tolling action, once imple- mented, and the effectiveness of the mitigation. See text boxes, Role of the Guidebook and the Toolbox and Toolbox Wayfinding. Role of the Guidebook and the Toolbox The Guidebook and the Toolbox neither replace nor expand U.S. DOT policy guidance. This is not an official policy guide. The Guidebook and the Toolbox provide an analysis framework with tools for EJ analysis for tolling that builds on promising practices and lessons from across the United States.

4 Assessing the Environmental Justice Effects of Toll Implementation or Rate Changes: Guidebook and Toolbox Organization of the Guidebook and the Toolbox The Guidebook describes eight steps with step-by-step instructions and cross-references to the Toolbox. The Toolbox has five sections: Tools, Case Examples, Checklists, Reference Tables, and Scenarios. Additional information about each of the featured tools and case examples is found at the beginning of the respective Tools and Case Examples sections of the Toolbox. The checklists include a description and instructions. The reference tables are briefly described in their respective steps, with a brief explanation at the beginning of each table. Each of the three scenarios addresses every step and is self-explanatory. Table S-1 provides a summary of the tools included in the Toolbox with the associated steps in which they can be applied. Toolbox Wayfinding The Toolbox includes Tools, Case Examples, Checklists, Reference Tables, and Scenarios. Collectively, they are referred to as the “tools” (lower case) in the Guidebook. The toolbox icon refers to the designated Tools. The open book with magnifying glass icon refers to Case Examples. The checklist icon refers to Checklists. The table icon refers to Reference Tables. The people icon refers to public involvement. It can accompany a Tool or a Case Example.

Summary 5 Type Full Title Short Title Steps Using Focus Groups in Assessing the Impact of Tolling on EJ Populations Focus Groups 4, 6, 8 Designing and Executing Surveys to Assess Attitudes and Travel Behavior for EJ Analyses and to Monitor Implementation Conducting Surveys 4, 5, 6, 8 Using Travel Demand Models for EJ Assessments Travel Demand Models 4, 5, 6, 8 Applying a Select Link Analysis to Assess Trip Patterns Select Link Analysis 5, 6, 8 Analyzing the Value of Time/Willingness to Pay in EJ Assessments VOT/Willing to Pay 4, 5, 6, 8 Assessing User Costs and Household Burden Effects User Costs, HH Burden 4, 5, 6 Evaluating Disproportionate Effects with Quantitative Methods Disproportionate Effects 6 Instituting Cash Replenishment Options for Unbanked and Underbanked Populations Replenishment Options 6 Recycling Tolling Revenue through Transit Investment and Low-Income Assistance as Forms of Mitigation Recycling Toll Revenue 6, 8 Examining Spatial Patterns and Distribution of Users on Existing Tolling Facilities User Activity Monitoring 8 Conducting Citizen Panels to Explore Key Issues of Value Pricing, Minneapolis–St. Paul Region, Minnesota Citizen Panels MN 4 Preparing, Implementing, and Assessing a Public Involvement Plan Public Involvement Plan 3, 4, 5, 6, 7, 8 Using the National Household Travel Survey to Profile Transportation Characteristics and Differences Using NHTS 4 Developing a Socioeconomic Profile and Community Characteristics Inventory for EJ Assessments Community Characteristics Inventory 4, 5 Using Public Use Microdata Samples to Profile Transportation Characteristics and Differences Using PUMS 4 Using an EJ Index to Identify Affected Populations, Dallas–Fort Worth Metro Region EJ Index NCTCOG 5 Mobilizing a Local Liaison to Recruit Community Leaders for Survey, Louisville–Southern Indiana Ohio River Bridges Project Surveys with Local Liaison KY-IN 4, 6 (continued on next page) Table S-1. Toolbox contents: summary of tools, case examples, checklists, reference tables, and scenarios.

6 Assessing the Environmental Justice Effects of Toll Implementation or Rate Changes: Guidebook and Toolbox Type Full Title Short Title Steps Targeting Local Grocery Stores to Administer Community Surveys, Louisville–Southern Indiana Ohio River Bridges Project Surveys at Grocery Stores KY-IN 4, 6 Analyzing, Mitigating, and Monitoring Impacts on Low- Income Commuters, I-10 and I-110 Express Lanes, Los Angeles County Full Cycle I-10–I-110 LA County 6, 8 Mitigating Reduced Access via Toll Credits, Dallas–Fort Worth Metro Region Mitigation NCTCOG 6 Conducting Pre- and Post-Implementation Surveys of Traveler Behavior and Opinions, Atlanta Region, I-85 Corridor Pre- and Post-Surveys Atlanta 4, 5, 8 Selecting a Design Alternative to Mitigate the Adverse Effects of Tolls on a Low-Income Community, St. Johns River Crossing, Clay and St. Johns Counties, Florida Avoid Impacts FL Bridge 6 Applicable Requirements Governing Tolling Projects Requirements 2 Decision-makers and Stakeholders: Actions, Decisions, and Concerns for Stage 1 (Policy and Planning) Policy and Planning Stakeholder Interests 3 Decision-makers and Stakeholders: Actions, Decisions, and Concerns for Stage 2 (Project Design including NEPA) Project Design Stakeholder Interests 3 Decision-makers and Stakeholders: Actions, Decisions, and Concerns for Stage 3 (Implementation) Implementation Stakeholder Interests 3 Examples of Resource Topic Considerations Added by Tolling Tolling Considerations 4 EJ Assessment Methods by Resource Topic Area Assessment Methods 5 Qualitative versus Quantitative Evaluations of Resource Topics Qualitative vs. Quantitative 6 Scenario A: Untolled Bridge to Tolled Bridge, P3 Scenario A All Scenario B: HOV Lanes to HOT Lanes Scenario B All Scenario C: Rate Change Scenario C All Checklists for Framing the Project 1a. Tolling Actions and the Impact-Causing Aspects of Tolling Actions 1b. Potential Adverse Direct and Indirect Effects Project Framing Checklists 1, 4 EJ Impact Documentation Checklist Documentation Checklist 4, 5, 6, 7 1c. Context Considerations at Different Project Stages and Phases Table S-1. (Continued).