Environmental Justice Analyses When Considering Toll Implementation or Rate Changes—Final Report (2018)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Appendix A ‐ 1  Appendix A Literature Review Summaries

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 2  Sources Reviewed EQUITY AND PRICING Abdelwahab, H.T and Abdel-Aty, M.A. 2002. "Artificial Neural Networks and Logit Models for Traffic Safety Analysis of Toll Plazas".........................................................................................................................A-5 Altshuler, A. 2013. “Equity as a Factor in Surface Transportation Politics” ................................................. A-7 Bonsall, P. and C. Kelly. 2005. "Road User Charging and Social Exclusion: The Impact of Congestion Charges on At-Risk Groups"............................................................................................................................ A-9 Buckeye, K. R. and Munnich, L. W., Jr. 2004. “Value Pricing Outreach and Education: Key Steps in Reaching High-Occupancy Toll Lane Consensus in Minnesota” ................................................................. A-11 Buckeye, K. R. and Munnich, L. W., Jr. 2006. “Value Pricing Education and Outreach Model: I-394 MnPASS Community Task Force” ............................................................................................................... A-13 Burris, M. W. and R. L. Hannay. 2003. “Equity Analysis of the Houston, Texas, QuickRide Project” ...... A-15 Burt, M., Sowell, G., Crawford, J., and Carlson, Todd. 2008. “Synthesis of Congestion Pricing-Related Environmental Impact Analyses”.................................................................................................................. A-17 Campbell, M., Spitz, G., Carpenter, C., Ramchal, K., and Jacobs, D. 2011. “The Effect of Improved Replenishment Options to Convert Case Users to Electronic Toll Collection” ............................................ A-21 Coyle, D., Robinson, F., Zhao, Z., Munnich, L., Lari, A. 2011. “From Fuel Taxes to Mileage-Based User Fees: Rationale, Technology, and Transitional Issues” ........................................................................ A-23 DKS Associates, with PBSJ & Jack Faucett Associates. 2009. “A Domestic Scan of Congestion Pricing and Managed Lanes”...................................................................................................................................... A-26 Ecola, L. and Light, T. 2009. “Equity and Congestion Pricing: A Review of Evidence”............................. A-30 Goldman, T. and Martin W. 2003. “A Quiet Revolution in Transportation Finance: The Rise of Local Option Transportation Taxes” ....................................................................................................................... A-33 Geddes, R., Richard & Nentchev, and Dimitar N. Unpublished. ”Private Investment and Road Pricing: The Publicization of Infrastructure Assets” .................................................................................................. A-34 Gulipalli, P.K. and K.M. Kockelman. 2008. “Credit-Based Congestion Pricing: A Dallas-Fort Worth Application”….......................................................................................................................................................A-36 Halvorson, R., and K. R. Buckeye. 2006. “High-Occupancy Toll Lane Innovations: I-394 MnPASS” ...... A-38 Higgins, T., Bhatt, K., and Mahendra, A. 2010. “Road Pricing Communication Practices” ........................ A-40 Hobson, J. and Cabansagan, C. 2013. “Moving People, Not Just Cars: Ensuring Choice, Equity and Innovation in MTC’s Express Lane Network”.............................................................................................. A-43 King, D., Manville, M., and Shoup, D. 2007. “The Political Calculus of Congestion Pricing..................... A-46 Kockelman, K.M. and Kalmanje, S. 2005. “Credit-Based Congestion Pricing: A Policy Proposal and the Public’s Response”.................................................................................................................................. A-49 Kockelman, K. M. and Lemp, J. D. 2011. “Anticipating New-Highway Impacts: Opportunities for Welfare Analysis and Credit-Based Congestion Pricing”............................................................................. A-51 Levinson, D. 2010. “Equity Effects of Road Pricing: A Review” ................................................................ A-53 Litman, T., and Brenman, M. 2012. “A New Social Equity Agenda for Sustainable Transportation”......... A-55

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 3  Madi, M., Wiegmann, J., Parkany, E., Swisher, M., and Symon, J. 2013. “Guidebook for State, Regional, and Local Governments on Addressing Potential Equity Impacts of Road Pricing”.…............... A-56 Mahendra, A., Grant, M., Higgins, T., and Bhatt, K. 2011. “NCHRP Report 686: Road Pricing: Public Perceptions and Program Development” ...................................................................................................... A-61 Parkany, E. 2005. “Environmental Justice Issues Related to Transponder Ownership and Road Pricing” .. A-63 Parsons Brinckerhoff and others. 2013. “Improving Our Understanding of How Highway Congestion and Pricing Affect Travel Demand”.............................................................................................................. A-65 Patterson, T.M., and Levinson, D. M. 2008. “Lexus Lanes or Corolla Lanes? Spatial Use and Equity patterns on the I-394 MnPASS Lanes” ......................................................................................................... A-67 Perez, B. G., Betac, T., and Vovsha, P. 2012. “NCHRP Report 722: Assessing Highway Tolling and Pricing Options and Impacts”.............................................................................................................................A-69 Perez, B., Giordano, R., and Stamm, H. 2011. “NCHRP Report 694: Evaluation and Performance Measurement of Congestion Pricing Projects” ............................................................................................. A-71 Perez, B. G., Fuhs, C., Gants, C., Giordano, R, Ungemah, D. 2012. “Price Managed Lane Guide”............ A-74 Peters, J. R., and Kramer, J. K. 2012. “Just Who Should Pay for What? Vertical Equity, Transit Subsidy and Road Pricing: The Case of New York City” .......................................................................................... A-76 Plotnick, R.D., Romich, J., and Thacker, J. 2009. “The Impacts of Tolling on Low-Income Persons in the Puget Sound Region” .............................................................................................................................. A-78 Plotnick, R.D., Romich, J., Thacker, J., and Dunbar, M. 2011. “A Geography-Specific Approach to Estimating the Distributional Impact of Highway Tolls: An Application to the Puget Sound Region of Washington State”.................................................................................................................................................A-81 Ray, R., Petrella, M., Peirce, S., et. al. 2014. “Exploring the Equity Impacts of Two Road Pricing Implementations Using a Traveler Behavior Panel Survey”........................................................................ A-83 Schweitzer, L. and Taylor, B. 2008. “Just Pricing: The Distributional Effects of Congestion Pricing and Sales Taxes”........................................................................................................................................................A-85 Schweitzer, L. 2009. “The Empirical Research on the Social Equity of Gas Taxes, Emissions Fees, and Congestion Charges”............................................................................................................................................A-87 Southern Environmental Law Center. 2013. “A Highway for All? Economic Use Patterns for Atlanta's HOT Lanes” .......................................................................................................................................................A-89 Spitz, G. and Jacobs, D. 2006. "How to Do an Origin and Destination Survey in a Cash-and-Electronic Toll Collection Environment" ...................................................................................................................... A-91 Swan, P.F and Belzer, M.H. 2010. "Empirical Evidence of Toll Road Traffic Diversion and Implications for Highway Infrastructure Privatization" …........................................................................... A-93 Taylor, B. D., and Kalauskas, R. 2010. “Addressing Equity in Political Debate over Road Pricing: Lessons from Recent Projects.” ................................................................................................................... A-95 Texas Transportation Institute and Cambridge Systematics, Inc. 2006. “Washington State Comprehensive Tolling Study”…................................................................................................................ A-98 Special Report 303: “Equity of Evolving Transportation Finance Mechanisms” 2011............................ A-101 Ungemah, D. 2007. “This Land is Your Land, This Land is My Land: Addressing Equity and Fairness in Tolling and Pricing.”.............................................................................................................................. A-104

Project NCHRP 08-100 Appendix A ‐ 4  Environmental Justice Analyses When Considering Toll Implementation or Rate Changes U. S. Government Accountability Office. 2012. “Traffic Congestion: Road Pricing Can Help Reduce Congestion, but Equity Concerns Grow”..................................................................................... A-106 Federal Highway Administration. 2008. “Income-Based Equity Impacts of Congestion Pricing: A Primer….….......................................................................................................................................................A-115 Weinstein, A. and. Sciara, G. C. 2006. “Unraveling Equity in HOT Lane Planning: A View from Practice.”...........................................................................................................................................................A-118 Zmud, J. and Arce, C. 2008. “NCHRP Synthesis Report 377: Compilation of Public Opinion Data on Tolls and Road Pricing” ………………………………………………………………………………........... A-120 DEMOGRAPHIC AND CULTURAL TRENDS, PATTERNS, AND PERSPECTIVES Beckman, J. D. and K. G. Goulias. 2008. “Immigration, Residential Location, Car Ownership, and Commuting Behavior: A Multivariate Latent Class Analysis From California” ...................................... A-122 Blumenberg, E. and Weinstein, A. 2010. “Getting Around When You’re Just Getting By: Transportation Survival Strategies of the Poor” .................................................................................... A-124 Zmud, J. P., Barabba, V. P., Bradley, M., Kuzmyak, J. R., Zmud, M., and Orrell, D. 2014. “The Effects of Socio-Demographics on Future Travel Demand” ................................................................................... A-126 ENVIRONMENTAL JUSTICE / TITLE VI, COMMUNITY IMPACT ASSESSMENT AND MITIGATION Cairns, S., Grieg, J., and Wachs, M. 2003. “Environmental Justice & Transportation: A Citizen’s Handbook”…….................................................................................................................................................A-128 Chakraborty, J. 2006. “Evaluating the Environmental Justice Impacts of Transportation Improvement Projects in the US” .................................................................................................................................... A-130 Deka, Devajyoti. 2004. “Social Environmental Justice Issues in Urban Transportation”........................ A-132 Forkenbrock, D. and Sheeley, J. 2004. “NCHRP Report 532: Effective Methods for Environmental Justice Assessment” ................................................................................................................................................. A-134 Forkenbrock, D. and Weisbrod, G. 2001. “NCHRP Report 456: Guidebook for Assessing the Social and Economic Effects of Transportation Projects” ......................................................................................... A-138 Prozzi, J., Victoria, I., Torres, G., Walton, C. M., and Prozzi, J. 2006. “Guidebook for Identifying, Measuring and Mitigating Environmental Justice Impacts of Toll Roads” ............................................. A-141 PUBLIC INVOLVEMENT AND COMMUNICATIONS Aimen, D. and Morris, A. 2012. “NCHRP Report 710: Practical Approaches for Involving Traditionally Underserved Populations in Transportation Decision Making”…............................................................ A-144 McAndrews, C., Florez-Diaz, J.M., and Deakin, E. 2006. ”Views of the Street: Using Community Surveys and Focus Groups to Inform Context-Sensitive Design” ............................................................ A-147

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 5  EQUITY AND PRICING Abdelwahab, H.T and Abdel-Aty, M.A. 2002. “Artificial Neural Networks and Logit Models for Traffic Safety Analysis of Toll Plazas” Citation Abdelwahab, H.T and Abdel-Aty, M.A. 2002. "Artificial Neural Networks and Logit Models for Traffic Safety Analysis of Toll Plazas." Transportation Research Record: Journal of the Transportation Research Board of the National Academies, No. 1784, Washington D.C., pp. 115-125 Website/Source http://trb.metapress.com/content/86055u628u6h1g61/ Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Research document for researchers and academia. Document Topic With the trend of increased tollway use and electronic toll collection (ETC) systems, safety models should be developed to study traffic safety risks at toll plazas. The number of toll facilities reported with ETC technology has increased from 49 in 1995 to 130 in 2001. However, very little research has been conducted to evaluate the impact of toll plazas and ETC systems on highway safety. Most of the toll-plaza-related studies have focused on the operational benefits of ETC systems, neglecting the concern that drivers are paying the price of reduced highway safety. This study examined artificial neural networks (ANN) and logit models to study traffic safety of toll plazas and ETC users. More research is needed. The major objective of this study was to develop models that address traffic safety issues related to toll plazas. Themes Covered  Traffic safety issues related to ETC.  ANN and logit models (Modeling).  Lack of safety research in ETC. Type of Sponsoring Agency or Organization The paper was prepared by Univ. of Central Florida authors. It does not state who may have been the project sponsor. Geographic Distribution The research focuses on the Central Florida – Orlando Metro area. Type of Tolled Facility & Features The paper focuses on the impacts on safety of introducing electronic toll collection at toll plazas. Tolling Context  Electronic tolling collection. Pricing Arrangements Not specified. Decision Question/ Decisionmaker What decision, if any, is being made? (e.g., new infrastructure project, implementation of HOT lane, rate increase, etc.?) N/A At what agency or governmental level are the decisions being made? (N/A)

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 6  Populations Addressed What populations does this document address? N/A Are there other affected stakeholders that are referenced? N/A Stage of Decisionmaking Operations – focus on traffic safety. Relevance Why did you select this document for review?  What, if any, noteworthy data sources, methods, analytical approaches or performance measures are used to analyze effects on traditionally disadvantaged populations? N/A  What, if any, practical approaches (i.e. specific techniques or resources) are used to give specific consideration to engaging low-income and minority populations and other traditionally disadvantaged populations? Does this document identify any barriers to effective involvement of traditionally underserved populations? etc.) N/A  Breadth and depth of direct, indirect, and cumulative effects discussions N/A  Project scoping, problem identification (purpose and need), selection of evaluation criteria, alternatives analysis, solution identification and implementation N/A  Measures deployed to avoid, minimize and mitigate adverse effects upon populations, including low- income and minority populations N/A  Identification of innovative practices including successful mitigation strategies (e.g., alternate routes, travel modes, revenue recycling, discount programs, transit credit programs, etc.) N/A Status Research paper. Critical Assessment Modeling results showed that vehicles equipped with ETC devices, especially medium/heavy-duty trucks, have higher risk of being involved in accidents at the toll plaza structure. Also, main-line toll plazas have a higher percentage of accident occurrences upstream of the toll plaza. In terms of driver injury severity, ETC users have a higher chance of being injured when involved in an accident. Older drivers tend to have higher risk of experiencing more severe injuries than younger drivers. Female drivers have a higher chance of experiencing a severe injury than do male drivers. The intensive operational focus of the study has little direct relevance for the scope of the guidebook. While age and female are among the socioeconomic characteristics examined, the income level of drivers are not directly analyzed. Additional Comments The operations focus on toll plaza movements and traffic safety have limited relevance for the scope of the guidebook.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 7  Altshuler, A. 2013. “Equity as a Factor in Surface Transportation Politics” Citation Altshuler, A. 2013. “Equity as a Factor in Surface Transportation Politics.” Access: the Magazine of the University of California Transportation Center, Vol. 42, pp. 2-5. Website/Source http://www.uctc.net/access/42/access.shtml Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type What kind of a document is this? The article was published in magazine where academics often write about transportation issues in lay terms. The intended audience could be academics, researchers, practitioners, and even the general public because of the simplicity of article. Document Topic What is this document about? The author discusses how transportation equity has been perceived by transportation agencies. He contends that many people perceive transportation equity in terms the revenue received by states from the Highway Trust Fund in relation to how much they contribute to the fund, whereas only few perceive equity in terms of the benefits for persons with low incomes or disabilities. The article explains the transportation equity debates in the US context with an emphasis on congestion pricing and high-occupancy toll (HOT) lanes. Themes Covered What topics does this document address?  Common transportation equity themes and their application in planning.  Difficulties in functionally integrating redistributive equity in transportation policies and plans.  Obstacles faced by those who wanted to implement congestion pricing.  Despite the obstacles traditionally faced by the proponents of congestion pricing, HOT lanes have become popular in many parts of the country.  The roots of HOT lanes lie in bus-only and high-occupancy vehicle (HOV) lanes. Since bus-only lanes and HOV lanes were operating below capacity while the parallel lanes continued to operate in a highly congested environment, the idea of allowing single-occupancy vehicles on exclusive lanes for a price evolved.  The article lists all the HOT lanes that existed in the country in 2012 along with their length and the year of opening.  It provides an example of SR-91 HOT lanes in California, where a private company holding a 35- year lease of the HOT lanes opposed the addition of additional lanes to the highway for the public.  Most HOT lane initiatives since the SR-91 issue have been in the public domain, although the Capital Beltway (I-495) project in Northern Virginia was a public-private partnership.  It mentions that HOT lane proponents have shown that they are used by persons from all income groups (although proportionally less by low-income persons) and slightly alleviates congestion on parallel lanes.  It mentions surveys conducted in some parts of the country where low-income persons also seem to favor the HOT lane concept. Type of Sponsoring Agency or Organization What type of project sponsor or other entity stakeholder prepared the report? The study was not sponsored by any agency. It was a summary of another article by the author in an academic journal. Geographic Distribution What geographic area does this document address? The study was not specific to any part of the country. It lists a number of existing HOT lanes in different parts of the country.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 8  Type of Tolled Facility & Features What type of tolled facility? The primary focus of the study is HOT highway lanes that were newly constructed or converted from past HOV lanes in different parts of the country. Descriptions of the road segments are provided. Tolling Context What is the tolling context? The study is about implementation of HOT highway lanes and it discusses some equity issues that arise when HOT lanes are leased to private companies. It does not include any discussion on toll collection methods. Pricing Arrangements What type of pricing scheme? It mentions time-based rates on HOT lanes but does not specifically focus on any specific pricing scheme. Decision Question/ Decisionmaker What decision, if any, is being made? There is no discussion on decisionmaking processes involving any specific HOT lane project. However, the author describes his personal experiences while serving in a committee to assist the formulation of federal transportation policies. Populations Addressed What populations does this document address? The study does not specifically mention any specific group in the context of the various HOT lanes listed, but mentions persons with low incomes and disabilities as two disadvantaged groups. Stage of Decisionmaking What stage of decisionmaking does this document address? The study does not mention any specific HOT lane project. Relevance Why did you select this document for review? The article provides a history of HOT lanes, lists all the existing HOT lane projects in the country, and provides an example of equity issues pertinent to one specific HOT lane project. Status Not applicable. Critical Assessment Since the study does not include any methods for estimation, planning, or evaluation of HOT lanes, there is nothing to critique. The author was highly successful in providing a narrative overview of HOT lanes in this country. Additional Comments The study does not help developing any methodology to assess environmental justice or equity impacts. It mentions that the proponents of HOT lanes have been successful in demonstrating that low-income persons use HOT lanes (although disproportionately). It further mentions that low- income persons have often favored HOT lanes in surveys, however, there is reason to be skeptical about such surveys because low-income persons may generally show greater satisfaction with everything.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 9  Bonsall, P. and C. Kelly. 2005. “Road User Charging and Social Exclusion: The Impact of Congestion Charges on At-Risk Groups” Citation Bonsall, P. and C. Kelly. 2005. "Road User Charging and Social Exclusion: The Impact of Congestion Charges on At-Risk Groups." Transport Policy, Vol. 12, No. 5, pp. 406–418 Website/Source http://eprints.whiterose.ac.uk/2503/1/ITS2100-Road_user_charging_and_social_exclusion....pdf ISSN 0967-070X Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type Academic journal article. The intended audience is academia, researchers, and practitioners. Document Topic The importance of social exclusion in the context of congestion charging is discussed and groups most particularly “at-risk” are identified. The paper describes a new technique (Popgen-T) which generates and investigates a synthetic population in order to establish (and thereby aim to minimize) the impacts of six congestion charging schemes on at-risk groups in Leeds, UK. Themes Covered  Identification of groups most potentially at risk from the introduction of road charges – for example, low-income, disabled, elderly, females, ethnic minority groups, and those without alternative transportation options. Also, those who trips have no time-flexibility and cannot be rescheduled.  Mobility and accessibility threats to at-risk groups should be considered before implementing a road user charging scheme as it could prove to be debilitating to this segment and restrict their participation in society.  Protecting at-risk groups by providing exemptions for them, ensuring that alternative modes of transport are available (i.e., modes more accommodating to the elderly, disabled, unemployed, ethnically diverse, etc. ), or locating key facilities outside the charge area.  Popgen-T tool and methodologies are described. This tool generates a synthetic population and thereby facilitates investigation of the extent and spatial incidence of policy impacts on members of a population, and the way in which the severity and incidence of impact varies with the definition of the at-risk groups and of the policy being tested. Type of Sponsoring Agency or Organization University Consortium - University of Leeds Geographic Distribution The city of Leeds, in the country of Yorkshire in northern England was studied. The study area covers approximately 552 square kilometers and has a resident population of some 715,000. The area is a region of employment and retail, as well as has two universities. Type of Tolled Facility & Features Six (6) different charging schemes were tested: cordon crossing charges at three different cordons, distance-related charges within two charge areas, and time-related charges within an inner area. Tolling Context The impacts of six different charging schemes are compared, highlighting their effects on at-risk groups and how they differ depending on location and extent of the charge areas and the basis of the charge. Pricing Arrangements (See ‘Type of Tolled Facility & Features’ Section above)

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 10  Decision Question/ Decision This tool is designed to inform decision makers where at-risk populations are located and advise policy makers on which form of road charging would result in the least number of at-risk individuals being affected. It is important to consider unintended impacts of road charges on social exclusion. Populations Addressed Persons with disabilities (access problems), elderly persons (access problems and security), females (potential security fears), low-income populations, ethnic minority groups (potential security fears and language barriers), persons with limited access to public transport, and single parents. Stage of Decisionmaking It is an Academic research study that has potential utility for policy and program evaluation, market research and project planning. Relevance The document describes how road charges affect “at-risk” individuals. It describes the characteristics of those who may be affected by particular policies and the subsequent distribution of impact of particular policies. Popgen-T is an innovative model that looks to synthesize a population which can then be examined as if it were a survey conducted among specified subpopulations. It highlights that the impact on at-risk groups differs depending on location, extent, and basis of the charge area. Popgen-T provides a tool through which policies can be weighed against each other, and nuanced differences between them can be quantified. It has relevance to focus areas of “Data Requirements and Trends”, “Mitigation and Compensation”. and “Analytic Methods/Impact Measures”. Status N/A - An academic study. Critical Assessment The document suggests areas for further development and application of Popgen-T, such as: the inclusion of a wider range of characteristics in study, investigating a wider range of road charging options, investigating policies other than road charging. In light of its potential utility, it would be informative to see how Popgen-T can be, or has been applied to other cases (other than only Leeds). Additional Comments It is a highly relevant article and a good framework through which to consider potential impacts of road charges.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 11  Buckeye, K. R. and Munnich, L. W., Jr. 2004. “Value Pricing Outreach and Education: Key Steps in Reaching High-Occupancy Toll Lane Consensus in Minnesota” Citation Buckeye, K. R. and Munnich, L. W., Jr. 2004. “Value Pricing Outreach and Education: Key Steps in Reaching High-Occupancy Toll Lane Consensus in Minnesota.” Transportation Research Record: Journal of the Transportation Research Board, No.1864, Transportation Research Board of the National Academies, Washington, D.C., pp 16-21. Website/Source http://www.hhh.umn.edu/centers/slp/transportation/congestion_pricing/pdf/ValuePricingOutreachand Education_Buckeye_Munnich.pdfhe Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/ Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type The article, published in Transportation Research Record: Journal of the Transportation Research Board, is a case study of the toll pricing on I-394. The intended audience is practitioners and academia. Document Topic Key steps in reaching high-occupancy toll lane consensus in Minneapolis, MN. Themes Covered The paper discusses: the history of value pricing in Minnesota; the role of the value pricing advisory task force, key legislative provisions, and the conditions needed for successful implementation. It describes the I-394 HOT Lane project, issues relevant to building public acceptance that were addressed including equity, communications and marketing strategies, and lessons learned. Type of Sponsoring Agency or Organization The article was co-authored by individuals with MnDOT and the University of Minnesota’s State and Local Policy Program, Hubert H. Humphrey Institute of Public Affairs. Geographic Distribution This article describes the I-394 project in Minneapolis, MN. Type of Tolled Facility & Features The type of toll facility was HOT lanes with dynamic pricing. Tolling Context What is the tolling context?  An 8.04 mile section of I-394  Extension of an existing HOT lane Pricing Arrangements Dynamic pricing. Decision Question/ Decisionmaker The decision to implement HOT lanes was made by MnDOT. Populations Addressed All who would use the road. Stage of Decisionmaking Planning. Relevance This 2004 article was the first of three papers submitted to TRB that describes the history of efforts to pass legislation, garner public support, communicate a clear message, plan, construct, extend, and operate HOT lanes on I-394. It clearly lays out the pitfalls, the importance of identifying and understanding nuances, and the diverse conditions necessary for success.  It identifies lessons learned in the outreach and education efforts employed on this project:

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 12  o People respond negatively to tolls unless they see some benefit for themselves. o People are willing to pay a fee to avoid congestion. o People respond positively to new techniques if they work. o People are more open to value pricing as the congestion worsens. o People will strongly support value pricing if they see it work. o Providing a package of benefits will ensure a broader base of support.  The article clearly defines the conditions for success – champions, communications, flexibility, and diligence. o The HOT lanes concept seeks to establish a “win-win” situation for users and non-users alike. Education and outreach is integral to winning public support and achieving success. This involves enlisting key leaders as champions, using effective communications focused on benefits and public concerns, developing a strong technical solution involving a package of benefits, and employing a long-term, sustained community effort.  The primary benefits of the HOT lane approach being implemented in Minnesota include the following: o Transit and carpoolers are ensured of continued priority in the corridor and enhanced service. In addition to improved peak direction traffic flow, traffic flow in the off-peak direction will be improved. o Motorists in the corridor benefit because they will have a fast and reliable option that is congestion free. The empty-lane concern will be eliminated. o General purpose lane users may benefit if their lanes become less congested as some users switch to the express lane. o Testing and deployment of the latest ITS technologies for enforcement, which communicates with in-vehicle transponders, will significantly enhance the ability to effectively manage express lanes. o Ongoing community involvement in developing policy and guidance on implementation and operations is critical for success.  The FHWA Congestion Pricing and Value Pricing pilot programs have been critical sources of funding for Minnesota’s planning, education, and outreach efforts on value pricing. FHWA’s financial support, as well as drawing upon lessons learned from other pilot projects, has allowed continued work on value pricing in the Twin Cities, setting the stage for the HOT lane project, which at the time of its writing was being considered for implementation. Support at the top administrative levels and a long-term perspective, education, marketing, and patience have been key to positioning Minnesota for its first value pricing project. Status Planning. Critical Assessment This paper offers a good example of transparency in engagement and outreach processes, showing both the ups and downs. Lots of good lessons learned. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 13    Buckeye, K. R. and Munnich, L. W., Jr. 2006. “Value Pricing Education and Outreach Model: I-394 MnPASS Community Task Force” Citation Buckeye, K. R. and Munnich, L. W., Jr. 2006.“Value Pricing Education and Outreach Model: I-394 MnPASS Community Task Force.” Transportation Research Record: Journal of the Transportation Research Board, No.1960, Transportation Research Board of the National Academies, Washington, D.C., pp 80-86. Website/Source http://www.hhh.umn.edu/centers/slp/transportation/ congestion_pricing/pdf/ValuePricingEducationandOutreachModel.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory     X   Document Type The article was published in Transportation Research Record: Journal of the Transportation Research Board (2006). The intended audience is practitioners and academia. Document Topic After a decade of public discussion and political debate, the I-394 MnPASS Express Lane, Minnesota’s first high-occupancy toll lane, opened in May 2005. While previous road pricing initiatives in Minnesota, as in other states, have provided opportunity for public feedback, the process tends to be confrontational and less than satisfying for all parties. Citizens and politicians often believe their comments and concerns are minimized and rarely taken seriously enough to alter project plans. The paper describes the role I-394 Express Lane Community Task Force which was formed to help citizens and stakeholders fully understand the project and its goals and to provide a more effective means for giving advice and guidance during the development of the project. Through this process, the task force members became an informed voice for the project and an essential part of an extensive education, outreach, and public involvement process that has been instrumental to the success of the I-394 MnPASS project. The task force model appears to increase the likelihood that Minnesota citizens will support such projects in the future. Themes Covered The paper discusses the I-395 project and various elements of the I-394 Express Lane Community Task Force, including how it was established; its mission; its decisionmaking process; its function as a public-private partnership; and the role of market research, focus groups and public outreach and educations. Type of Sponsoring Agency or Organization The article was co-authored by individuals with MnDOT and the University of Minnesota’s State and Local Program, Hubert H. Humphrey Institute of Public Affairs. FHWA and MnDOT were the funding sources. Geographic Distribution The project involves the extension of an existing southbound HOT lane for 8.04 miles in Minneapolis, MN. Type of Tolled Facility & Features The project involves the extension of an existing southbound HOT lane for 8.04 miles in Minneapolis, MN. Tolling Context Extension of a southbound HOT lane for 8.04 miles. Pricing Arrangements Dynamic pricing and electronic enforcement.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 14  Decision Question/ Decisionmaker The key decision is whether an extension of the southbound HOT lane should be implemented. FHWA and MnDOT are the decisionmakers. Populations Addressed The 30-member Value Pricing Advisory Task Force was composed of state legislators, mayors, city council and county board members; and business, environmental, and transportation association leaders. It was assembled in 2001 to explore appropriate feasible value pricing options in Minnesota. There is no discussion of the demographic characteristics of this initial task force. In September 2003, a second task force (I-394 Express Lane Community Task Force) was established and lasted until October 2004. This task force consisted of a 22-person group of leaders and citizens appointed by the lieutenant governor. It included a mayor or city council member from each of the six cities in the corridor, in addition to state legislators, private sector organizations, public organizations, public agencies, and private citizens. Between February and March 2004, 5 focus groups were conducted. The participants in the focus groups represented a general cross section of the population from the Twin Cities (mix of age, income, employment, and gender) who commute from the western metropolitan area into or beyond downtown Minneapolis during peak commuting hours and travel I-394 or an adjacent highway, such as Highway 55 or Highway 7. There was no mention of the race/ethnicity of those taking part in the focus groups. Stage of Decisionmaking Policy and Planning. Relevance  Focus groups were held that included a mix of age, income, employment and gender populations. Race and ethnicity were not identified.  Five focus groups were held that included a mix of age, income, employment and gender populations. Race and ethnicity were not identified. The focus groups represented a general cross section of the population of the Twin Cities.  The task force deliberated on a variety of I-394 Express Lane issues that were either determined by the project management team to be of significance or determined by the task force itself to be important to considered – public outreach was one of these issues.  The I-395 Express Lanes Community Task Force offered a number of lessons learned, most of which dealt with the right makeup of the task force, the fact that an advisory task force can be a highly effective in getting key players and citizens to the table, the level of opposition was relatively low because there were many ways to be heard, and problems could be addressed quickly. Status Planning stage at time of paper. Critical Assessment While low-income people were included in the five focus groups, there was no discussion of the race/ethnicity of the attendants or the task force members. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 15  Burris, M. W. and R. L. Hannay. 2003. “Equity Analysis of the Houston, Texas, QuickRide Project” Citation Burris, M. W. and R. L. Hannay. 2003. “Equity Analysis of the Houston, Texas, QuickRide Project.” Transportation Research Record: Journal of the Transportation Research Board, No. 1859, Transportation Research Board of the National Academies, Washington, D.C., pp. 87-92. Website/Source http://www.researchgate.net/publication/242319160_Equity_Analysis_of_the_Houston_Texas_Quick Ride_Project Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Journal article for both academic researchers and transportation professionals. Document Topic The article assesses the equity impacts of the QuickRide program along the Katy Freeway in Houston, TX. Specifically, it assesses the equity impacts of charging a $2 fee from the users of a high- occupancy vehicle lane during the peak periods. It found that the usage of the lane did not vary significantly among the QuickRide users by income, occupation, age, or household income. However, the study found that the QuickRide enrollees had significantly higher incomes than the users of the freeway’s main lanes. The study’s findings raise important questions about the ability of low-income persons to enroll in the program. However, the study concludes that no drivers were made worse off by the QuickRide program. It further concluded that the program is a benefit to travelers who enrolled in the QuickRide program. Themes Covered  It assesses the ex post equity impact of implementing a HOT lane in the Katy Freeway. The exclusive HOV lane could be previously used by only vehicles with three or more occupants for free. After the implementation of the program, vehicles with two occupants could use the lane during peak periods for a $2 fee.  It uses data from three sources to examine equity impacts: (a) QuickRide usage data, and (b) a survey of QuickRide users, and (c) a survey of Katy Freeway users who did not participate in the QuickRide program.  The study includes basic comparison of demographic and economic characteristics of the various subgroups without any statistical tests. Type of Sponsoring Agency or Organization The study was conducted in cooperation with the FHWA, the Texas Department of Transportation, and the Metropolitan Transit Authority of Harris County, Texas. Geographic Distribution The study focuses on a specific HOT lane on the Katy Freeway in Houston, Texas. The HOT lane charges a $2 fee from vehicles with two occupants whereas vehicles with three or more occupants can use it for free. Type of Tolled Facility & Features The study is about a HOT lane on a particular freeway. Tolling Context The HOT lane that the study focuses on was originally a two-occupant HOV lane, which was later converted to a three-occupant HOV lane, and subsequently converted to a HOT lane where two- occupant vehicles were allowed but they had to pay a $2 fee. The toll was applicable only in peak periods. Pricing Arrangements The $2 fee was charged only in peak periods.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 16  Decision Question/ Decisionmaker This is a post-implementation study. No decisions were made after the study. It assesses the impacts of a HOT lane that was implemented under the QuickRide program. Populations Addressed Regarding equity, its main consideration is income differential. It provides additional information on occupation, age, household size, etc. It does not assess impact in terms of race or ethnicity. It does not mention stakeholders other than the users of the HOT lanes and the main lanes of the Katy Freeway. Stage of Decisionmaking This study assesses the impacts of a HOT lane that was established a few years before the study. Relevance  The study describes an equity assessment of a HOT lane that was established prior to the study.  The study provides good information on the data used. It used HOT lane usage data by socio - demographics and also data from two surveys involving users of the HOT lane and the parallel main lanes.  The analytical methods do not include any statistical tests demonstrating differences between different subgroups.  The survey samples were small. The HOT lane user survey data was collected from only 152 respondents. The non-user sample consisted of only 248 respondents. Status The HOT lane program was implemented before the study. Critical Assessment The study provides good information about data needed to conduct post-implementation equity assessment of HOT lanes. However, the survey samples were small and the analytical methods rudimentary. Additional Comments It is a highly relevant article for conducting post-implementation equity assessment of HOT lanes. The study’s results are mixed. On the one hand, it found that the usage of the HOT lane is the same for the QuickRide program participants irrespective of their income, but on the other hand, it also found that lower-income individuals are less likely to participate in the program. Overall, it may be inferred that low-income individuals could be less likely to use HOT lanes.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 17  Burt, M., Sowell, G., Crawford, J., and Carlson, Todd. 2008. “Synthesis of Congestion Pricing-Related Environmental Impact Analyses” Citation Burt, M., Sowell, G., Crawford, J., and Carlson, Todd. 2008. “Synthesis of Congestion Pricing-Related Environmental Impact Analyses.” U.S. Department of Transportation, Federal Highway Administration, Federal Transit Administration, Washington, D.C. Website/Source Report No. FHWA-HOP-11-008 http://www.ops.fhwa.dot.gov/publications/fhwahop11008/fhwahop11008.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Case Study/State of the Practice Report/Planning Recommendations. The document is intended for Practitioners. Document Topic This report summarizes the state of the practice and presents a recommended framework for before and after evaluations of the environmental impacts of congestion pricing projects, such as high- occupancy toll (HOT) lanes and cordon or area pricing schemes. The report focuses on the three environmental impact areas that have been most commonly examined in such evaluations: air quality, noise, and justice (sometimes referred to as equity). Recognizing the environmental impacts are a function of the travel impacts of congestion pricing projects, this report also examines state-of-the- practice regarding evaluation of travel impacts such as traffic, transit and travel behavior. The document focuses on a review of the literature surrounding eight congestion pricing case studies. A number of gaps in existing practice and understanding are identified and recommendations are provided to address those gaps. Themes Covered  Congestion pricing  Road user charges  Environmental impacts Type of Sponsoring Agency or Organization United States Department of Transportation, Federal Highway Administration (FHWA) Office of Operations

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 18  Geographic Distribution Eight regions domestically and internationally are examined: * Simulated Pricing Field Demonstration ** Trial Toll Type of Tolled Facility & Features See table above for tolling type by project. Tolling Context See table above for tolling context by project. Pricing Arrangements See table above for pricing scheme by project. Decision Question/ Decisionmaker The decision being made in this particular study involves the selection of approach and methodology for studying impacts, including equity considerations. Populations Addressed The document does not address any populations directly. It is mainly focused on performance measures of congestion pricing studies. Equity is one of the performance measures examined and is intended to measure the impact of road pricing decisions on various populations economically and spatially. Stage of Decisionmaking This document addresses project level planning and focuses on travel-related methods and metrics. Relevance This document was selected for review because it addresses best practices in evaluating congestion pricing methods. Its main focus involves the assessment of environmental impacts, including equity. The studies that are analyzed include a wide range of performance measures. Methods and Analytical Approaches Where most of the subject studies simply inferred a certain percentage of mode change due to changes in traffic volumes and increases in ridership, the London study, used a more complete accounting of changes in mode choice (e.g., of the x number of car trips that were eliminated, y% went to transit). They used surveys, interviews, boarding/fare counts as well as traffic and passenger counts to come up with more informed estimations. The methods used to account for mode choice changes in the London study could be applied to measuring effects of congestion pricing on disadvantaged populations. Surveys could be used to collect factors such as income level, ethnicity, and location and analyze them Geographic Region Facility Type Tolling Context Pricing scheme Portland* Study Provided volunteers feedback on trip cost comparing a gas tax versus time of day/area congestion charges dynamic Seattle* Study 2 year study in which 275 volunteer households based their driving behavior on assumed time of day tolls mileage Atlanta* Study Attempted to incentivize drivers based on driving behavior through a mileage based cost mileage Minneapolis HOT lane Facility specific with electronic toll dynamic San Diego HOT lane Facility specific with electronic toll dynamic Stockholm** Area/Cordon toll Charged participants a tax to enter downtown area. License plates are photographed for tolling. Set price London Area/Cordon toll Drivers are charged a tax to enter a ‘congestion zone’. Charges are paid in advance via telephone, internet, or mail. No booths or tolling stations. Set price Singapore Area/Cordon toll Drivers are charged a tax to enter a 2 square mile CBD. Vehicle transponders are used to collect toll. Time of day

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 19  based on before and after shifts in mode choice, commuting time, and travel costs. From those surveys, a score could be calculated and assessed over different demographic types and levels of impact. The Singapore case study measured the geographic distribution of traffic impacts as a way of measuring equity impacts. This seems to be a simple and straightforward method for measuring environmental justice (EJ) outcomes. If the method of congestion management is working to bring congestion down in areas with a high median income, but failing to affect congestion in areas of a low median income, everything else being held constant, it might be seen as an inequitable use of public dollars. Transit riders were originally seen as potential “losers” in the evaluation due to excess crowding. By the end of the study, however, transit in Singapore gained higher levels of service and more amenities. So, the congestion pricing may have had an indirect effect of raising the level of comfort and status associated with transit. Assessing Knowledge Gaps and Best Practices Isolating the project-attributable impacts in before-after studies is a challenge referenced in these studies. Opportunities for improvement mentioned in the paper include attention paid to controls as well as the addition of statistical tests to ensure valid results and to rule out influences such as the job market, gasoline prices, etc. The study also recommends the use of household diaries in addition to surveys as a method for an improved understanding of exogenous factors. Along with the diaries, they recommend documenting any changes that take place in households or using very large sample sizes, to balance demographic variations among households. The report recommends a great focus on horizontal equity issues, such as geographic locations and auto access. It also recommends more investigation into the long-term equity implications of congestion pricing such as its effects on land use and population shifts. Three main methods of data collection/analysis come out of this report that should typically be expected to be used in the evaluation of equity: 1. Using regional GIS to map the locations of low-income and minority populations within the impact area of the project. 2. Using attitudinal surveys, interviews, and focus groups of the public, corridor travelers and specific types of residents and travelers to gather and compare attitudes and perceptions as well as general travel behavior. 3. Using travel diary surveys to gather detailed, specific behavior data of various groups of interest. The key to understanding equity-related impacts is the ability to associate specific impacts with various user groups. The report recommends a list of demographic variables to be used in equity-related analysis beyond income and minority status. These are not always applicable depending upon the project, but should be considered for investigation.  People of varying income and education levels  People of various racial groups  People with various employment status  Users of different transportation modes  People with varying travel origins and destinations  Users with varying degrees of travel flexibility (time, route, mode, etc.)  Different trip purposes  Travel during different days of the week and time of the day  Frequent travelers versus occasional travelers  People with disabilities  People with different levels of access to various travel modes (e.g., access to private vehicle,

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 20  access to transit)  New versus long-time residents  Visitors versus residents The report makes other recommendations:  Integrate the collection of demographic data as fully as possible into the overall evaluation data collection plan. Such data can and should be collected in any and all surveys, but also consider how other data of environmental justice importance can be collected in other ways, such as origin- destination information via license plate recognition technology.  Explicitly consider the transportation environmental justice implications of how congestion pricing project revenues are reinvested. Status The report included case studies based on both implemented projects and simulated pricing field demonstrations. Critical Assessment The approach is very thorough and looks at a wide range of case studies, methodologies, performance measures, study approaches, and various means of data collection. It would have been helpful to the practitioner had report include a list of reports/studies in which the authors thought the aspects of EJ were best analyzed. They point out recommendations for EJ analysis, but they never say, “as was executed in report x.” Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 21  Campbell, M., Spitz, G., Carpenter, C., Ramchal, K., and Jacobs, D. 2011. “The Effect of Improved Replenishment Options to Convert Case Users to Electronic Toll Collection” Citation Campbell, M., Spitz, G., Carpenter, C., Ramchal, K., and Jacobs, D. 2011.“The Effect of Improved Replenishment Options to Convert Case Users to Electronic Toll Collection.” Presented at 90th Annual Meeting of the Transportation Board, Washington, D.C. Website/Source http://assets.conferencespot.org/fileserver/file/31076/filename/12ktjr.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Research paper presented at the TRB 2011 Annual Meeting The intended audience includes practitioners, toll agencies and academia Document Topic Converting cash users into transponder users or electronic toll collection (ETC) customers is important for toll agencies as both customers and agency benefit. Customers are expected to enjoy additional convenience and discounts; toll agencies are expected to have more reliable and lower cost transactions. With such benefits, it is reasonable to anticipate a wave of conversions to all-electronic toll collection systems. Understanding the barriers to adoption for current cash users is important with this perhaps inevitable transition in the offing. It is clear that many current cash users do not want to use ETC for a variety of reasons, including cash flow difficulties and concerns about automatic deductions as two of the most important factors. The paper describes a study that examined additional replenishment options for ETC (in this case E- ZPass for NY MTA Bridges and Tunnels) to encourage cash users to switch to E-ZPass. The new options would allow customers to control when and how much money is put on their E-ZPass and allow them to pay directly with cash at convenient locations. The study employed a stated preference (SP) survey to quantify customer sensitivity to potential benefits, restrictions, and fees associated with the new replenishment options. The study was designed to understand the choices respondents would make if these options were available. The results indicate that the new replenishment options, under certain conditions, will increase ETC share significantly over what would occur if these options were not present. The study demonstrates that improving replenishment options can allow toll agencies to effectively convert cash users to ETC. Themes Covered The study provides an overview of previous research on cash customers and then turns to a description of how replenishment options were developed for the market research study including store and ATM replenishment options. The study describes the stated preference survey methods including sample and recruitment methods, and the resulting stated preference model estimation and findings. The use of video to communicate how replenishment options might work are used to inform survey takers and support the market research. Type of Sponsoring Agency or Organization New York’s Metropolitan Transportation Authority (MTA) Bridges and Tunnels. Geographic Distribution The paper describes a market research study that examined additional replenishment options for E- ZPass (electronic toll collection) for New York MTA Bridges and Tunnels (B&T) which principally collects tolls for the East River bridge crossings.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 22  Type of Tolled Facility & Features Bridge and tunnels were the type of tolled facilities. Tolling Context  Bridge and tunnel  Tolling technology / electronic toll collection  Methods of payment – transponder, cash, credit card Pricing Arrangements No information provided Decision Question/ Decisionmaker The decision being made is whether to go from electronic toll collection to all-electronic toll collection, The New York MTA Bridge and Tunnel is the decisionmaker. Populations Addressed The document specifically addresses the impacts of this change to low-income populations. Stage of Decisionmaking Operations – Market research study explores market acceptance of new ways to replenish E-ZPass accounts and increase the number of transponder users by teaming with banks’ (using their ATM) and retailers (gas stations, pharmacies, grocery stores). Relevance The document recognizes the potential for further collaboration with other partners, such as banks and retailers, to provide additional access locations for replenishing transponder accounts and the potential with more such outlets to increase the number of E-ZPass users and decrease the number of cash users on toll bridges and tunnels.  A survey sample of cash customers was obtained from three sources o Existing cash-paying e-Panelists from Bridge and Tunnel’s 2008 Customer Satisfaction Survey; o Previous E-ZPass account holders who close an account; and o Toll plaza postcard handout in the cash lanes at five Bridge and Tunnel toll plazas.  The study targets potential replenishment efforts acceptable for low-income populations.  Current cash users were surveyed to understand how they would respond to new potential electronic toll collection replenishment methods that were designed to mitigate some of the cash customers’ concerns. This would help increase transponder use and ease the transition from electronic toll collection to all-electronic toll collection (AET).  The document suggests new partners (banks and their ATM machines and retailers) to increase the accessibility of cash users and move them to electronic toll collection customers. Status Planning for Operational system change Critical Assessment This is not a new approach, as Florida and other states have used similar techniques, but it is a new attempt by MTA Bridges and Tunnels to find ways to increase the number of E-ZPass users and reduce the number of cash users through various replenishment options. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 23  Coyle, D., Robinson, F., Zhao, Z., Munnich, L., and Lari, A. 2011. “From Fuel Taxes to Mileage-Based User Fees: Rationale, Technology, and Transitional Issues” Citation Coyle, D., Robinson, F., Zhao, Z., Munnich, L., and Lari, A., 2011. “From Fuel Taxes to Mileage- Based User Fees: Rationale, Technology, and Transitional Issues.” Performing Organization: Humphrey School of Public Affairs, University of Minnesota. Sponsoring Organization: Intelligent Transportation Systems Institute, University of Minnesota. Website/Source http://www.its.umn.edu/Publications/ResearchReports/reportdetail.html?id=2048 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory x x x x Document Type This is a technical report performed by the University of Minnesota to compare fuel taxes to various forms of mileage-based user fees (MBUFs). Document Topic Fuel tax revenues are not keeping up with requirements for funding for highways, bridges and tunnels. The report first asks “Should the U.S. motor fuel tax be retained or replaced?” from the five perspectives of efficiency, equity, revenue adequacy and sustainability, environmental sustainability, and feasibility. It then asks “Should MBUFs replace fuel taxes” from the same five perspectives. It then addresses user fee technology and finance principles, and concludes with an action plan for implementing MBUFs. Themes Covered  Efficiency. “For a tax to lead to efficient use…it must make users pay the full costs to society of their use”. “When drivers use a congested road, the cost they impose on society is higher than the cost when using an uncongested road”, leading to pressure to “fix” the congestion problem. 1) Fuel taxes do not reflect that added cost, leading to overuse of the system, and inefficiencies in investments (e.g., pressure to build more roads), mode shift choices and land use (e.g., suburban sprawl). 2) Most MBUFs more accurately reflect those costs, some better than others, providing more accurate signals to drivers and improving outcomes. While stating that MBUFs that price for congestion are likely to lead to a more efficient system, they quote research “given a choice between a free facility and a tolled facility, many drivers will choose the free facility…non-tolled facilities may become quite congested..” The response to this critique is “however, if all roads are priced, MBUFs will be lower because of the broader tax base, thus making toll rates more affordable.” MBUFs are expected to lead to greater balance between autos and other modes, if MBUFs are structured to make users pay close to the full cost they impose on the system. Similar improvements are expected in investments in transportation and land use.  Equity: Benefit-received principle (e.g., “user-pays-and-benefits”) applied to user fees. 1) Motor fuel taxes were initially set us as “user-pays-and-benefits”, but now violate that principle in several ways. A) Improvements in fuel efficiency mean that the increase in-vehicle miles traveled has outpaced the increase in motor fuel consumption. As fuel efficiencies continue to improve, those with newer cars pay less and less in fuel taxes than those with similar but older cars, even if they both travel the same distance and impose the same cost on the system. B) The introduction of alternative fuel vehicles makes it possible for some users to pay little or no fuel taxes even though they impose costs on the system and benefit from improvements paid for by other users. C) State governments, non-profit educational organizations and emergency vehicles are exempt from fuel taxes; and deliberate motor fuel tax evasion is a problem. D) Payments should be based on full cost recovery- direct costs and external costs. Fuel taxes and other user

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 24  fees account for less than 60 percent of total transportation system revenue (federal, state and local); increasingly general fund revenue is having to make up the difference between revenues and costs. In addition, trucks with heavy axle loads impose more damage on roads than is recovered through their payments.. Indirect or external costs such as congestion, adverse air quality and health effects, noise and greenhouse gases are borne by users and by society as a whole, and are not captured in motor fuel taxes. E) Fuel tax revenues are used for non-highway purposes, such as mass transit and the Leaking Underground Storage Task Trust Fund (small percentage.) 2) MBUFs can better reflect the user-pays-and-benefits principle- fuel efficient and alternative fuel vehicles pay an equal share. MBUFs can be set to recover full costs, including time-based congestion costs. There are concerns that evasion could increase. MBUFs can be used for other purposes such as improving transit.  Equity: Ability to pay principle/ horizontal and vertical equity. Horizontal: “People in equal positions should be treated equally”- 1) Fuel tax violates this principle across states and jurisdictions through distribution formulas leading to donor states and beneficiary states (Alaska the largest beneficiary state.) 2) MBUFs could be divided more equitably- but as with fuel tax that would likely be a political decision. Urban and rural can be an issue- in a revenue-neutral scheme rural drivers might pay slightly less under MBUF because they typically drive less fuel- efficient vehicles. Vertical: “Distributing tax burdens fairly across people with different abilities to pay”. 1) Provides contrasting research on whether fuel taxes are regressive (pro and con), and notes the use of fuel taxes to fund transit as a vertical equity benefit. 2) How revenues are spent can lessen the regressive nature of a MBUF. Congestion pricing tied with transit improvements, and/or discounts and exemptions for lower-income groups can mitigate.  Revenue adequacy and sustainability. The Highway Trust Fund is now in a deficit situation; fuel taxes have not been indexed to inflation; as fuel efficiency and alternative fuel vehicle ownership increases, the trend will continue. MBUFs can help, but some strategies such as congestion pricing can greatly shift mode share and impact the number of people paying the congestion charge.  Environmental sustainability: Fuel taxes weakly adhere to the “polluters-pay” principle. The low tax rates in the U.S. compared with Europe provide little incentive to reduce use and pollution. A flat MBUF rate would be worse than the fuel tax in reducing pollution. The rate could be structured to be higher for higher-polluting vehicles.  Feasibility: Evaluated in terms of political feasibility (visibility to taxpayers, tax exportation, driver’s privacy and system security) and administrative feasibility (implementation, operation and enforcement costs, and compliance cost).  Technology: Describes and evaluates seven technology options: o Odometer checks o Fuel-consumption based estimates o On-board diagnostic (OBD II) units- calculates mileage-based on vehicle speed integrated over time o OBD II cellular – cellular component roughly identifies location- allows for congestion pricing or other location-based pricing o Dedicated short-range communications (DSRC)- Partial road network only (the technology used for most automated or semi-automated toll roads) o E-Vignette – an electronic sticker-based tolling system o Fine-resolution GPS  Classes of technology evaluated on the five principles (efficiency, equity, revenue adequacy, environmental sustainability, and feasibility) “Options to meter mileage on selected roads only” and “Options to meter mileage by time and location” are most relevant to this study. In terms of feasibility in particular, all MBUF options are expected to be more costly than the fuel tax to implement and monitor.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 25  Type of Sponsoring Agency or Organization The report was sponsored by the Intelligent Transportation Systems Institute, Center for Transportation Studies, University of Minnesota, Minneapolis. This is intended to set the stage for policy discussion on transportation-related user fees and public outreach efforts. Geographic Distribution The research applies to all locations in the United States; examples include international as well as U.S. implementation projects and research. Type of Tolled Facility & Features Toll lanes (with DSRC technology) are discussed as one of several options for establishing MBUFs; technology options for a broader-based potential MBUF are presented. Tolling Context Toll lanes are discussed as one of several options for establishing MBUFs; the study recommends broader-based MBUF to partially replace the fuel tax (as discussed in the implementation chapter), rather than supplement it for a specific infrastructure project. Pricing Arrangements The report discusses pricing arrangements in general terms across various alternatives- the fuel tax and MBUF options. Pricing is discussed mostly in terms of its effect on the five principles. Decision Question/ Decisionmaker Moving from the fuel tax to a broad-based MUBF will require much discussion and additional pilot tests and trials. This is intended to spark policy discussions rather than promote specific decisions. The policy discussions and decisions are most likely at the state DOT and federal levels at this point. Populations Addressed Low-income populations are addressed in the sections on vertical equity; effects on transit use and auto ownership are discussed, as well as the relative regressivity of various options, from fuel tax to different configurations of MUBFs. There are also discussions of equity considerations between rural and urban populations; transit riders and drivers; and donor states and recipient states in terms of fuel tax revenues collected versus received. Stage of Decisionmaking This is primarily a policy and program evaluation document. Relevance The technology option discussion, including the pros and cons of various types of technology that could be used to implement tolls, was the primary reason for selecting this document for review. However, the framework for the review is compelling and could benefit others (including the study team) in evaluating different tolling options (e.g. examining alternatives including technologies from the five perspectives and principles of efficiency, equity, revenue adequacy and sustainability, environmental sustainability, and feasibility). The equity definitions are most pertinent for this study, but the other principles may also be useful in categorizing different alternatives. The two principles in the equity criterion provide useful definitions and dual frameworks that need to be balanced: 1) the benefit-received principle (or “user-pays-and-benefits”) and 2) the ability to pay principle. Status N/A Critical Assessment The article provides excellent talking points to dispute the assertion that tolls are wrong because people are already “paying at the pump”; or that fuel taxes are the most equitable and efficient way to fund and build transportation infrastructure. Most arguments in favor of status quo funding appear to be substantially and systematically countered in this report. Some of the challenges in implementing a new system are not addressed as thoroughly (e.g., the costs, technological and political hurdles are addressed in a fairly cursory fashion), but as noted, this in intended to be the first of several reports, and is intended to spark discussion, not provide all the answers. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 26      DKS Associates, with PBSJ & Jack Faucett Associates. 2009. “A Domestic Scan of Congestion Pricing and Managed Lanes” Citation DKS Associates, with PBSJ & Jack Faucett Associates (2009). “A Domestic Scan of Congestion Pricing and Managed Lanes.” Prepared for the Federal Highway Administration. Website/Source http://www.ops.fhwa.dot.gov/publications/fhwahep09044/fhwahep09044.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory   X X   Document Type  Case studies and research document  Audience: members of the public, in particular metropolitan and state planning officials Document Topic A national scan of how agencies in major metropolitan areas are developing plans for congestion pricing and/or managed lanes. Staff members from metropolitan planning organizations (MPO) and state DOTs in ten metropolitan areas were surveyed to find out how they are including consideration of congestion pricing and/or managed lanes in their metropolitan planning process and the development of their long range transportation plan for the region. Themes Covered  A national scan of how agencies in major metropolitan areas are developing plans for congestion pricing and/or managed lanes.  How the MPOs, state DOTs and other key agencies interact, contribute and cooperate in the consideration of congestion pricing and/or managed lanes.  Methods used to evaluate these types of congestion pricing and managed lane strategies including the modeling tools used; the performance measures used; and how network effects, diversion of trips, and equity effects are taken into account.  How federal grants were used to fund studies and projects in the early stages of consideration of congestion pricing and/or managed lanes in the ten regions.  Public and stakeholder involvement methods used by the MPOs and state DOTs to advance projects were also identified. Type of Sponsoring Agency or Organization The Federal Highway Administration’s Office of Planning sponsored this report. Geographic Distribution  National, with case studies at state/city level  Large/urban, urban/suburban Type of Tolled Facility & Features  Congestion pricing – defined as any roadway pricing that varies by time of day based on the level of congestion of the facility (does not include congestion pricing not involving tolls such as parking pricing projects); and  Managed lanes that involve pricing (including HOT lanes, tolled express lanes, or any restricted- use lanes that require the payment of a fee). Tolling Context Current and future plans for tolling implementation to manage congestion at a regional level from the standpoint of MPO and state DOTs Pricing Arrangements Pricing that varies based on congestion or managed lanes that involve pricing

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 27  Decision Question/ Decisionmaker Planning for congestion pricing or managed lanes – particularly at the regional level (new infrastructure or conversion of existing infrastructure). Key decision is if and when congestion pricing/managed lanes will be advanced for implementation. Decisionmaker varies based on the agencies involved, funding source, law or regulations enabling or guiding tolling and transportation decisions, and studies and analysis performed. For the planning stage the following entities are involved: Regional/MPOs, State DOTs, federal (if supported by federal funding), local/county agencies (including Congestion Management Agencies in California), transportation authorities, toll authorities, transit agencies, etc. Populations Addressed This document does not specifically address any particular populations. Some of the studies mentioned give attention to certain populations, address concerns that projects may have limited benefits to overall system users, or note environmental justice (EJ) elements, these include:  Atlanta, GA: limited benefits to overall users, “GIS used to associate the costs and benefits of the options to characteristics of the population for environmental justice assessments” (p15);  Dallas-Fort Worth, TX:“NCTCOG has conducted public hearings, presentations and open houses to educate the public about equity issues”;  Los Angeles, CA: early efforts were made to identify issues that may evolve into equity or social concerns, extensive outreach because of the perception that the project will benefit the wealthy. SCAG will assess impacts on lower-income commuters along the corridors. A regional congestion pricing feasibility study with an EJ focus was mentioned for Los Angeles I-10 and I-110 corridors due to CEQA;  San Francisco-Oakland-San Jose, CA: considered issues of equity/EJ using research conducted by others as well as conducted surveys and worked with focus groups, recent survey by ACCMA found that congestion pricing would benefit motorists’ regardless of their income scale, these survey results have helped gain support for HOT projects, geographic equity issues also have been a barrier to implementation of congestion pricing on any of the Bay Area bridges;  Seattle, WA: an EJ analysis was prepared for the SR 167 HOT lane pilot project and a more substantial analysis was prepared for the SR 520 Urban Partnership project that includes a public opinion survey, lessons learned: “it also helps to have a progressive state DOT and regional MPO willing to directly address policy issues such as EJ” (p45);  Minneapolis-St. Paul mentioned “the fact that people of all income levels use and strongly support these [price managed] lanes in places such as San Diego indicate that concerns about equity are of less concern than originally anticipated” (p37). The report discusses the stakeholders that are involved in building public consensus for tolling projects and how they played a role in gaining acceptance for these initial toll projects. Stage of Decisionmaking Main focus: Statewide and metropolitan planning Minor focus: Project development/implementation, marketing and communications Relevance This document was one of the first documents to review the state of practice of regional consideration and planning of congestion tolling and managed lanes as a regional congestion management tool. The report was initiated when there were fewer highway facilities in the US with congestion pricing or tolled managed lanes. Therefore it presented some of the first feedback on lessons learned from toll implementation projects as well as what prospective sponsors were planning at the time. The report did not specifically address tolling impacts on environmental justice or traditionally disadvantaged populations, but the case study review did highlight where those issues may have been more prominent than others. The following advice or practical approaches were suggested that imply

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 28  approaches for addressing minority or disadvantaged populations, among other considerations:  “It is useful to have flexible and responsive operational and pricing policies from the regional planning agencies. This will allow the planning and implementing agencies the flexibility needed to optimize the performance of the systems without conflicting with regional policy.”  “Early outreach and education for elected officials, decision makers, key stakeholders and the public are important. … Acceptance of new pricing concepts by decision makers and the public may take some “digestion” time. Many issues will be raised that can be addressed with technical analysis or information from other successful operating systems.” Several cities had in-depth public involvement and communication plans.  “During the planning process, the responsible agency or agencies should initiate a marketing campaign to inform the public/stakeholders about the concepts and benefits of managed lanes and/or congestion pricing. You must have public buy-in on the concept for it to move forward and be successful.”  “Ongoing communication with potential users, adjacent communities, transportation providers, policy makers, local governments, and elected officials is important before, during, and after project implementation.”  “How you refer to the aspects of congestion pricing (toll, price, fare, fee, etc.) can have an influence on public and decisionmaker support.”  “Public and political support comes from a feeling that there is some benefit for everyone. This often means that some portion of revenue from tolls should be used to enhance other modes of travel, such as transit, [or address the fact that certain groups may not benefit as much / may be more burdened?]…”  “The makeup of an advisory task force is important when trying to achieve informed consent on complex and controversial projects. Legislators working alongside community representatives, citizens, interest groups, and technical experts can provide a productive and meaningful deliberative opportunity.” The interviews with participating regions explored several themes, including: regional experience with congestion pricing and managed lanes; information on the process for initiation and evaluation of the projects; public and stakeholder outreach and involvement; integration into the metropolitan transportation planning process; integration with regional operation and intelligent transportation systems; and lessons learned. Status Status of projects varied – some completed, some in implementation, some in planning, and some stalled. Critical Assessment This article provided a good state of the practice review as to how municipalities were introducing congestion tolling /tolled managed lanes to address congestion (or revenue generation only in some cases). The report provided helpful information on how that process was incorporated into the regional transportation planning process in the locations studied. The document pointed to locations or projects that may be useful to look at from an environmental justice perspective, but did not provide many insights or information on that topic itself. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 29  For use in Task 2 – Develop a plan to contact practitioners and the public to identify the current state of the practice Interview Potential The report includes points of contact for the MPO or other regional agency and the State Department of Transportation for each of the cities interviewed. (However, this contact information was from 2009 or earlier, so it may not be up-to-date or accurate.) Based on information in the “Populations Addressed” section above and what information is still needed after doing possible additional research, contacts at the following locations may be able to provide more details on EJ and tolling: Atlanta, GA; Dallas-Fort Worth, TX; Los Angeles, CA; San Francisco-Oakland-San Jose, CA; and Seattle WA. (Would also helpful to find study referred to by Minneapolis-St. Paul, MN representative.) Cut from “Tolling Context” section: --how are congestion pricing/ managed lanes included (or not included) in the regional transportation decisionmaking process; identifying effective and broadly applicable practices for including these facilities in regional plans; monitoring performance of such systems in a planned, connected system; identifying how cost/benefit analysis are undertaken at regional level; the level and type of coordination that take place when pricing/managed lanes are implemented in a region Interview Contact(s) Please see contacts in the report based on which metropolitan area would be best suited for additional follow-up questions (pages 53-55). Name: Title: Organization: Telephone: Email:

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 30  Ecola, L. and Light, T. 2009. “Equity and Congestion Pricing: A Review of Evidence” Citation Ecola, L. and Light, T. 2009. “Equity and Congestion Pricing: A Review of Evidence”. RAND Corporation. Rand Corporation, Arlington, Virginia Website/Source http://www.rand.org/content/dam/rand/pubs/technical_reports/2009/RAND_TR680.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type Policy research report prepared by research instituted and sponsored by the Environmental Defense Fund. Prepared for policy makers and useful to practitioners. Document Topic The report examines available literature from both the economic and transportation planning disciplines in an attempt to evaluate if congestion pricing is equitable. The report closely examines the definitions of equity as well as how different types of congestion pricing strategies compare in terms of equitable outcomes among each other and in comparison to other revenue generating strategies (i.e., gas and sales tax). The report points out that different equity focus areas including welfare, transportation access or environmental justice can complicate any analysis and potentially lead to confounding results. However, the researchers are clear not to discourage a full analysis but insist that a thorough analysis supported by transparent disclosure of definitions and assumptions are paramount. The report includes discussion of different ways to mitigate the potentially regressive outcomes of pricing strategies. It provides a healthy discussion of numerous strategies to make congestion pricing progressive through revenue redistribution, discounts and exemptions as well as other mitigating strategies. While congestion pricing is “mildly regressive”, the report concludes, it is less regressive than other forms of transportation revenue strategies particularly gas and sale taxes. It also concludes that HOT lanes in general are less regressive than other congestion pricing strategies even though higher income populations use these lanes more frequently. Themes Covered  Congestion pricing approaches (HOT lanes, cordon pricing and variable tolls)  Equity mitigation strategies Type of Sponsoring Agency or Organization Non-profit advocacy organization Geographic Distribution International and national project examples Type of Tolled Facility & Features HOT lanes, variable pricing, dynamic pricing, peak-period pricing, fixed tolls, cordon pricing, and managed lanes Tolling Context All forms of congestion pricing. Pricing Arrangements Time-, distance, and/or placed pricing, cordon pricing, area-license systems, HOT lanes, and toll roads, bridges and tunnels Decision Question/ Decisionmaker N/A Populations Addressed The focus is on low-income population in comparison to higher income populations.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 31  Stage of Decisionmaking The report focuses on policy and program evaluation; however, concepts could be useful for evaluating specific projects. Relevance The report provides an excellent assessment of literature on evaluating the equity impacts of congestion pricing strategies. Considerations useful for evaluating different congestion pricing strategies are discussed as they relate to equity and efficiency.  The report examines both evaluations of existing congestion pricing implementations and models of proposed or hypothetical congestion pricing systems. The latter is more prevalent due to the small quantity of congestion pricing systems in place and, consequently, there are few monitoring programs to track and evaluate actual equity effects. The report distinguishes between the economics literature which tends to group people based on their income or where they live and work and the planning literature which tends to look more broadly at who may be in some way disadvantaged with respect to transportation (e.g., because of disability, age, gender, or language ability). The report elaborates that these disciplines use different criteria to evaluate equity effects. For example, the economist relies heavily on welfare-based measures of equity based on cost-based benefits accrued to different cohorts of the population. Welfare measures include benefits such as travel speeds, reduced fuel expenses and other operating costs, crash reduction potential and lower levels of pollution or noise. Costs include lost time spent in congestion which could be spent doing productive activity. Transportation planners focus more on measures of social justice which includes accessibility issues and environmental justice. Often accessibility is linked to measures of affordability and spatial components that link populations to jobs. The report equates environmental justice measures of health and environmental effects. Of particular importance when considering the evaluation of equity as part of congestion pricing strategies is the following issues: 1. Congestion pricing strategies differ from other revenue strategies because they are location specific which implies that where people live, work, shop and worship affect how they will experience congestion pricing. 2. Because there are few extant studies models are heavily relied upon to evaluate transportation-network features which do not necessarily include evaluations of specific subgroups of the population. 3. While models can do a good job of predicting travel time savings translating those into a monetary value is much more difficult. Modelers are recognizing the vast complexities associated with differentiating differences between person-to-person and trip-to trip. 4. Equity effects of congestion pricing depend on how it is integrated into larger systems of financing transportation.  While the report does not specifically discuss how to involve or engage specific populations, it does point out that “understanding how the public or specific constituencies will react to congestion pricing is extremely important in developing proposals that will address distributional goals as well as command popular support.”  The issues associated with direct and indirect effects are touched on through review of literature on how congestion pricing projects can impact environmental outcomes associated with air quality and noise. The indirect effects are addressed through a discussion of financial consequences of pricing strategies.  The report advocates that the planning process should consider equitable outcomes when evaluating congestion pricing strategies. The report acknowledges that most models are not capable of linking travel effects to different population groups and stresses that advancements are needed in this area of modeling. An example of San Francisco is provided to demonstrate how an activity-based model was used to evaluate pricing effects by income. The report states, “[i]n addition to tackling how pricing affects disadvantaged populations, information from models can

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 32  be used to identify groups that are likely to be made worse off by congestion pricing. This will give policymakers the information needed to develop more equitable congestion pricing strategies; for example, it can cause one to avoid drawing a cordon such that a low-income neighborhood is right outside of it”. An equity audit, the report suggests, would include the following considerations: • Are proposed toll facilities located in the area of highest need? • Are proposed facilities disproportionately influenced by potential cost recovery? • Are the distributions of benefits aligned with the principles of environmental justice? • Are improvements distributed in a logical and rational manner based on objective and measurable criteria? • Do improvements negatively affect economically disadvantaged communities? • Are improvements with negative consequences necessary for greater state of regional vitality?  The report provides three distinct types of methods to promote equitable outcomes including revenue redistribution, discounts and exemptions, as well as other methods such as providing parking just outside the cordon area and paying for transponders with cash. Status N/A Critical Assessment This report is a key resource for understanding different types of equity analysis. It provides useful insights on considerations for evaluating equity impacts for several congestion pricing strategies as well as mitigation strategies to alleviate regressive taxation concerns. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 33  Goldman, T. and Martin W. 2003. “A Quiet Revolution in Transportation Finance: The Rise of Local Option Transportation Taxes” Citation Goldman, T. and Martin W. “A Quiet Revolution in Transportation Finance: The Rise of Local Option Transportation Taxes” Transportation Quarterly, Vol. 57, No. 1, pp. 19-32. 2003. Website/Source http://www.uctc.net/papers/644.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Peer-reviewed journal article for use by academics and perhaps practitioners. Document Topic This paper examines the rise of local taxes to fund transportation investments. The authors note that many local option taxes are decoupled from the use of transportation resources, a departure from traditional funding mechanisms (gas tax, tolls). Themes Covered  Transportation funding  Local option transportation taxes Type of Sponsoring Agency or Organization University of California Transportation Center Geographic Distribution  National assessment of local funding sources Type of Tolled Facility & Features N/A Tolling Context N/A Pricing Arrangements N/A Decision Question/ Decisionmaker How do municipalities, counties, and states finance transportation investments? Populations Addressed The authors address the income-regressive nature of many local option transportation taxes, principally the sales tax. Stage of Decisionmaking Equity analysis for potential tolling regime. Relevance This paper documents the devolution of transportation funding mechanisms to local jurisdictions, noting that many popular new funding sources (such as transportation-dedicated sales taxes) are regressive with respect to income. Status N/A Critical Assessment The authors’ review is exhaustive, though now over a decade old. An update may be useful.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 34  Geddes, R., Richard and Nentchev, and Dimitar N. Unpublished. “Private Investment and Road Pricing: The Publicization of Infrastructure Assets” Citation Geddes, R., Richard & Nentchev, and Dimitar N. Unpublished. ”Private Investment and Road Pricing: The Publicization of Infrastructure Assets” Website/Source Unpublished paper. Draft available from Prof. Geddes at rrg24@cornell.edu Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Theoretical scholarly essay Document Topic Economic analysis of pricing unpriced public assets in order to improve their function and to create an income stream to fund public welfare benefits. Themes Covered  The need to improve the quality of public infrastructure  The use of infrastructure leasing to produce an income stream help address the political problems associated with transferring public assets to private control and to address the opposition pricing public goods. Type of Sponsoring Agency or Organization University research. Geographic Distribution The essay will be distributed nationally and internationally. Type of Tolled Facility & Features Limited access highways and bridges Tolling Context The leasing arrangements would include limited access highways, bridges, but also include congestion pricing in order to improve transportation and to maintain the infrastructure. Pricing Arrangements This is not discussed in any detail, but suggests that through the creation of an “investment public- private partnership” and by maximizing the initial leasing cost the state could create a public trust that could be capitalized and return dividends to the public. The cost of pricing could be phased in to reduce the initial costs to the driving public, but would have to eventually reflect the cost recovery and profit associated with the leasing arrangement. Decision Question/ Decisionmaker The decision question is to make plain the costs of leaving the value embedded in public infrastructure uncapitalized in a way that would make road pricing politically palatable. Populations Addressed All people who use cars, but the trust fund proposed would yield a special benefit to the poor. Stage of Decisionmaking N/A Relevance This essay is interesting because it addresses not just the problems associated with the decay of our transportation system and the need to find a way (other than through taxes) to fund improvements, but also suggests that my unlocking the value in sunk public costs the resulting income stream could not just pay for improvements, but would also yield a permanent trust fund that would be paid out to the people with a special emphasis on the poor.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 35 It recognizes that the transfer of control would necessitate some form of tolling system, the design of the toll would be structured to reduce political resistance and part of that political support would come from the public trust fund pay out. It is a very interesting study. Status N/A Critical Assessment This essay is a thought piece that is interesting because it reframes the ways in which the infrastructure might be conceived of as part of the valuable patrimony of the people rather than as an asset that must be renewed at a cost that the public as a whole is loath to bear. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 36 Gulipalli, P.K. and K.M. Kockelman. 2008. “Credit-Based Congestion Pricing: A Dallas- Fort Worth Application” Citation Gulipalli, P.K. and K.M. Kockelman. 2008. “Credit-Based Congestion Pricing: A Dallas-Fort Worth Application.” Transport Policy, Vol. 15, No. 1, pp. 23-32. Website/Source Available through proprietary databases, such as ScienceDirect.com. Info at http://trid.trb.org/view/2008/C/849878. Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Academic journal article primarily intended for researchers. Document Topic The authors assess the impact of a credit-based congestion pricing policy for the Dallas-Ft. Worth region. This paper focuses just on predicted changes in vehicle miles traveled (VMT), traffic congestion, mode choice, air pollutant emissions, and welfare (cost/benefit per resident). The authors find that for the long run V MT will decline, there will be little mode shift, congestion will reduce, and air pollutant emissions will decrease. In terms of welfare, assuming that all road users in the region receive the same monthly credit, then average daily cost or benefit is less than a dollar/person, with most people benefiting. However, people in some sub-regions benefit and people elsewhere lose. The authors stress the Themes Covered  Regional impacts of a regional congestion pricing scheme that gives residents a monthly credit towards the toll payments.  Look at travel system impacts, air quality impacts, and welfare impacts. Type of Sponsoring Agency or Organization Texas Department of Transportation. Geographic Distribution  Regional level study of the Dallas-Ft. Worth region Type of Tolled Facility & Features Three scenarios were simulated: the status quo (which includes flat tolls on many existing freeway links), marginal cost pricing (MCP) on freeways, and MCP on all roads. Tolling Context  Regional networks and new tolls.  Tolling technology and methods of payment not specified. Pricing Arrangements Unspecified whether time of day or dynamic Decision Question/ Decisionmaker N/A Populations Addressed Few specifics given about any population group other than general comments about how people in different locations within the region would be impacted differently. Although the authors did look at three income groups, results by income group are not reported except for the following paragraph that summarizes the welfare impacts: “Welfare gains were predicted to be highest for users near the region’s two CBDs. These net benefits are predicted to fall with distance from the CBDs. Average budget-eligible travelers in all these CBDs and city centers are expected to gain about 40b per day

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 37 under a CBCP policy on freeways. In contrast, average users in north DFW (excluding the Denton and McKinney CBDs), the northwest region (to the immediate west of Carrollton), and south-DFW (between Cleburne and Waxahachie) are predicted to lose most, on the order of about 30b per day. In these regions, the medium and high income user groups are expected to lose more than the low- income user group.” Stage of Decisionmaking Methods discussed here would be used for regional planning. Relevance The article shows how a credit-based element could be integrated into a congestion pricing scheme to permit all regional drivers at least some free access to the tolled network. However, the article does not discuss the implications of the credit program in depth. Modeling methods used could be replicated elsewhere to assess big-picture welfare impacts of a regional congestion pricing scheme (regardless of whether it includes a credit program). The method is useful for showing how people living in different parts of a region will be impacted differently. The authors acknowledge that one option to compensate for this regional inequity could be to allocate higher credits to residents in some sub-regions. Although the authors do not discuss in any depth differential impacts by socio-demographic factors, presumably this could be done with the same modeling approach. Status N/A Critical Assessment Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 38 Halvorson, R., and K. R. Buckeye. 2006. “High-Occupancy Toll Lane Innovations: I-394 MnPASS” Citation Halvorson, R., and K. R. Buckeye. 2006. “High-Occupancy Toll Lane Innovations: I-394 MnPASS.” Public Works Management & Policy, Vol. 10, No. 3, pp. 242-255. Website/Source http://pwm.sagepub.com/content/10/3/242.abstract Focus Area(s) Fill in all that apply. Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This is an article in an academic journal. However, the content of the article could be easily understood by the general population. Document Topic Documents the implementation and initial performance of the I-394 MnPASS HOT lane program in the Minneapolis-St. Paul metropolitan area that was implemented in 2005. The HOT lane, which was previously a two-occupant HOV lane, allows solo drivers for a fee. The fee is dynamic, meaning that the rate changes based on traffic real time volume. The article provides a brief history of the program and the process undertaken to implement the program. It includes some information on the performance of the program immediately after its implementation. Performance is measured mostly in terms of revenue and traffic. No equity assessment is provided. Themes Covered  Challenges in implementing HOT lane  Process involved in implementing HOT lane  Toll collection technology  Dynamic fee  HOT lane demarcation  Enforcement technology  Public-private partnership for HOT lane implementation  Assessment of program participation, revenue generation, and traffic change  It mentions the need to obtain $40 credit to participate in the program Type of Sponsoring Agency or Organization The I-394 MnPass program was sponsored by Minnesota DOT. Geographic Distribution The study is about a segment of the I-394 in the Minneapolis-St. Paul area, where an HOV lane was converted to a HOT lane in 2005. The segment is 11 miles long. Type of Tolled Facility & Features The study is about a HOT lane where toll is collected on the basis of real time traffic volume (dynamic). Tolling Context The study is about a new HOT lane. Toll is collected through electronic transponders from program participants. Pricing Arrangements Dynamic pricing. Fee also varies by distance traveled within the segment (i.e., multiple segment dynamic pricing). Decision Question/ Decisionmaker The decision was made to implement the program by the Minnesota legislature. The study mentions the importance of public involvement the establishment of a task force.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 39 Populations Addressed The study primarily addresses the users of the MnPASS program. However, it mentions that the program was established with the intent to spend a part of the excess revenue to improve bus service in the corridor. It does not indicate what proportion of the excess revenue would be spent on bus service improvement. Stage of Decisionmaking The article describes the implementation of a HOT lane and the immediate aftermath. Relevance  Description of an implemented HOT lane program.  It uses data on the increase in program participants only.  It describes the involvement of a task force set up for the program but does not indicate who participated in the task force.  No mention of the race or income of the individuals who participated in the program. It does not indicate any initiatives to involve low-income or minority populations. Status The MnPASS program was implemented a year before the publication of the article. Critical Assessment The study does not involve any kind of equity assessment of the MnPASS program. All it describes is the growth of patronage in the immediate aftermath of the program’s implementation. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 40     Higgins, T., Bhatt, K., and Mahendra, A. 2010. “Road Pricing Communication Practices” Citation Higgins, T., Bhatt, K., and Mahendra, A. 2010. “Road Pricing Communication Practices.” American Association of State Highway and Transportation Officials, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP08-36(93)_FR.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory     X   Document Type This report, Road Pricing Communication Practices, was a research document requested by AASHTO, Standing Committee on Planning. The intended audience is practitioners and academia. Document Topic Communicating with various affected parties and stakeholders in planning for road pricing (RP) is vital to acceptable, effective and lasting programs. Certainly, decision makers authorizing proposals need to understand the objectives, the efficacy of pricing, equity considerations, overall costs and benefits, operations, revenue distribution, and other particulars to effectively provide their support. Likewise, affected parties such as travelers, residents, businesses, and other stakeholders likely to influence decision makers also must understand pricing strategies and their expected impacts for acceptable projects to develop. However, communication should not be viewed simply as a matter of conveying pricing concepts to maximize understanding or counter misconceptions. For maximizing chances of successful road pricing proposals and projects, communication needs to be seen as only one part of a broader engagement process between planners, public officials, decision makers, affected parties and stakeholders active in the development of RP proposals. Rather than simply putting out information, communication seen as part of engagement aims to uncover most resonant problems pricing can address, assess concerns and objections, and modify pricing proposals accordingly. Communications in this context is hardly short term. It becomes part of an ongoing and open, responsive and committed process and posture through planning, clearances, adoption and onto implementation and operations. In short, communications involves much more than understandable messages and the specific content of typical communication and information vehicles such as websites, newsletters, press releases or talking points. The important role of the communication process at all stages of engagement and development of pricing proposals and projects has been the subject of considerable study under the general heading of acceptability research. Relevant research can be divided into the content and context of road pricing communications and engagement. Whether communication vehicles are press releases, public forums, newsletters, websites, charrettes, community forums, or other means, acceptability of pricing proposals and successful implementation hinges on how the numerous content and context issues are addressed. Themes Covered Literature Review  Content of road pricing communications o Type of pricing o Program design and revenues o Fairness and equity o Nature, severity of congestion and pricing effectiveness

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 41        Context of road pricing communications o Affected parties, decision makers and interested groups o Success and familiarity with proven programs o Perception of government  References  Interview Findings  Guidance and Best Practices Type of Sponsoring Agency or Organization AASHTO’s Standing Committee on Planning requested this research document. The information contained in this report was prepared as part of NCHRP Project 08-36/Task 93, National Cooperative Highway Research Program, Transportation Research Board. Geographic Distribution  New York City  City of San Francisco  San Francisco Bay Area  Portland, Oregon  Puget Sound Region  City of Los Angeles  Twin Cities of Minneapolis and St. Paul  Dallas Region  Downtown New York City  Washington D.C. Region, Maryland and Virginia Type of Tolled Facility & Features  Variable parking charges by time of day  Area wide pricing proposal to enter, leave or pass through different parts of the city during peak hours and variable parking pricing  Regional high-occupancy toll lane network in four corridors  Mileage fee test program  HOT lanes, variable bridge tolls, and pricing in regional plan  HOT lanes and parking pricing programs  I-394, I-35W, and future HOT lane projects  Various tolling and managed lane projects  Area wide pricing proposal  High-occupancy toll (HOT) lanes Tolling Context All of the below  Facility specific (such as highway, bridge, tunnel) vs. regional networks  New toll vs. pricing change  Tolling technology / equipment (e.g., all-electronic with transponders)  Methods of payment (cash, credit card only) Pricing Arrangements  Variable pricing, new parking pricing  Bridge toll proposals, emerging parking pricing  Recent and ongoing VMT fee studies  VMT fees, proposed reconstruction bridge pricing  VMT fees and gas tax replacement  Emerging parking pricing Decision Question/ Decisionmaker Decisions were being made at all levels with a variety of agencies and levels at agencie.s Populations Addressed These were not identified.    

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 42     Stage of Decisionmaking This was not addressed specifically. Relevance The purpose of the following report is threefold:  Review and synthesize a substantial literature on the acceptability of road pricing, drawing out implications for communications and engagement strategies most likely to bring acceptance, adoption, and successful implementation.  Summarize findings from interviews at various sites around the U.S. with planners engaged in proposing, developing and managing road pricing proposals and projects, again drawing out lessons for maximizing acceptability and prospects for successful implementation.  Provide guidance to planners interested in developing road pricing proposals and projects, including communication and engagement examples illustrating guideposts and lessons; also, provide resource links for further information and follow up. LESSONS LEARNED  Frame resonant problems strategically;  Identify relevant decision makers and affected parties. Understand their perceptions, fashion program options and messages accordingly;  Develop convincing specific plans and iterate towards acceptance;  Address fairness broadly in program design, planning and engagement;  Keep planning open and responsive and make government a problem solving partner not culprit;  Use respectful, clear, non-jargon messages in engagement and communication vehicles throughout;  Tailor to audience segments;  Learn from glitches and setbacks and move on; and  Stay engaged and responsive as implementation proceeds. Each of the 10 interviews addressed the following:  Content in terms of: o Framing of pricing; o Audience targeting; o Environmental/funding issues; and o Equity.  Context in terms of : o Government image; o Reference to programs elsewhere; and o Attention to stakeholder views.  Vehicles in terms of: o Content. Status No specific information provided. Critical Assessment The document provide bulleted summaries of information on 10 projects, but the information was at a high level and did not provide the level of detail needed to replicate what was done. Additional Comments Individual participants were identified by position and organization, not by name which has made it difficult to use them as sources of information.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 43 Hobson, J. and Cabansagan, C. 2013. “Moving People, Not Just Cars: Ensuring Choice, Equity and Innovation in MTC’s Express Lane Network” Citation Hobson, J. and Cabansagan, C. 2013. “Moving People, Not Just Cars: Ensuring Choice, Equity and Innovation in MTC’s Express Lane Network.” TransForm, Oakland, CA Website/Source http://www.transformca.org/resource/moving-people-not-just-cars Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type White Paper prepared by advocacy-based organization. Document Topic The San Francisco region’s Metropolitan Transportation Commission (MTC) is proposing a new Express Lane Network, which the authors states is an “out of balance, inappropriate path,” suggesting that the Bay Area pursue an Optimize-A-Lane approach instead. The report builds a case for this method as having the ability to move more people at a lower cost, pollute less, and be a more equitable distribution of benefits and costs. Themes Covered What topics does this document address?  High-Occupancy Toll Lanes (HOT)  High-Occupancy Vehicle Lanes (HOV)  Low-income carpoolers and vanpoolers  Express Lane Network (the article states that this has in essence become a new highway building program)  Average Vehicle Occupancy  Equity Impacts  Induced Demand  Transit Improvements associated with other HOT projects in other cities  Optimize-A-Lane (the authors believe that this is the best fit for this project)  Environmental Justice Type of Sponsoring Agency or Organization Non-profit environmental advocacy organization focused on climate change. Geographic Distribution San Francisco Bay Area region, a large urban metropolitan region on the U.S. west coast. Type of Tolled Facility & Features HOT lanes Tolling Context The rationale is presented for implementing an Optimize-A-Lane approach vs. a traditional HOT lane approach Pricing Arrangements Drivers will be able to access the lanes with a FasTrak® toll tag for a fee of $3-7.50 for an average one-way trip. Decision Question/ Decisionmaker The authors believe that the priority of the Bay Area’s HOT network should be to move more people. According to the study, success should be measured by the amount of people served per dollar of investment, not how extensive the network is in terms of miles of roadway built. The authors argue that a more balanced plan would incorporate mitigations for equity, choice, and innovation.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 44 Populations Addressed All populations are addressed, but the article really focuses on “equity” impacts and what that will mean for the low-income drivers of the Bay Area. A large proportion of low-income drivers are also persons of color, making concern for equality of effects all the more compelling. Stage of Decisionmaking Policy and program evaluation. The authors argue that the MTC’s analysis of the environmental justice impacts of the Express Lane Network is incomplete. Relevance This document seeks to convey to the MTC that a different approach is warranted for the Bay Area -- namely, using Optimize-A-Lanes vs traditional HOT lanes and implementing other forms of non-solo travel. The strategies outlined, they argue, will have more positive effects not only for the traditionally disadvantaged populations, but also the environment. The authors state that there is considerable evidence showing that while all populations of drivers use managed lanes, they use the tolling lanes at different frequencies. They argue that it is the frequency pattern that actually determines the distribution of benefits. The article does address indirect and cumulative effects of tolling by looking at effects on all groups, including low-income and minority groups, and discussing how there needs to be additional transportation choices for these groups that could be defined as environmental justice communities. The authors fault the approach taken by the MTC, arguing that too much emphasis is given to how the system’s revenues will be used to build the network versus rather than how to help people use the network. They argue that a significant proportion of the funds should be set aside for alternatives to solo driving, this will in turn bring more benefits and equality to low-income and persons of color. The authors propose the following avoidance and mitigation alternatives:  MTC should dedicate at least 50% of HOT lane revenues to provide new transportation choices – transit, vanpools, carpools, and other alternatives to solo driving – along HOT corridors and to mitigate the network’s impacts on low-income families.  MTC should create a transportation choices expansion plan as part of the express lane network. This plan should include a commitment that with the opening of every new HOT lane, there will be a simultaneous improvement in transportation choices along the same corridor, over and above existing service. Equity, choice, and innovation were identified as ways by the authors to help equalize the positive and negative effects of this project on the low-income and people of color populations:  Equity: Compensation could include discounted per-mile tolls, credits towards toll payments, rebates, and toll exemptions (incorporating other means such as tax rebates, tax credits, and income supplements).  Choice: The authors argue that the average number of people traveling in each vehicle needs to be increased (called average vehicle occupancy) and proposes expanding transportation choices like vanpools, carpools, and other alternatives to solo driving.  Innovation: The main point of the article in terms of innovation was to include an Optimize-A- Lane approach. The author believes that this method should at the very least be studied, or investigated, further. Status Stage of planning or implementation:  Phase I of the Bay Area Express Lane network, expected to be complete by 2015 consists almost entirely of converting existing HOV lanes to HOT lanes: 89% of the projected Phase I costs are for lane conversions.  Phase II is expected to be complete by 2020 and projected for $1,543 million in construction costs and will include roughly 95% of the costs being devoted to building new lanes.  Phases III and IV, planned for completion in 2025 and 2030, consist entirely of new lanes and will cost $1,282 million.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 45 Critical Assessment Study argues for a different approach than what the Metropolitan Transportation Commission is proposing. Multiple programs in California, as well as across the country, were cited to give credence to the position that a new approach is needed. The article also took it a step further and recommended different courses of action that were also backed by sound research. Additional Comments Concise and well researched white paper discussing the equity impacts of the HOT Lane managed systems planning and implementation in the Bay Area. While it could have cited more studies, the study makes a strong case for mitigating approaches in the Bay Area. The document was highly readable for a layperson and policy makers, seeking to provide a basis for stakeholders to take note of the significant transition and to pause and reflect on the social justice and environmental implications of the transition.

Project NCHRP 08-100 Appendix A ‐ 46 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes King, D., Manville, M., and Shoup, D. 2007. “The Political Calculus of Congestion Pricing” Citation King, David, Michael Manville, and Donald Shoup. 2007. “The Political Calculus of Congestion Pricing,” Transport Policy, Vol. 14, p.111-123. Website/Source http://shoup.bol.ucla.edu/PoliticalCalculus.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This journal article is intended for an academic audience, but would be accessible to city and regional planners interested in developing managed lane facilities. Document Topic The success of a congestion pricing system depends on what party receives its toll revenues. Drawing from political and behavioral economic theory, this article argues that cities are the most appropriate claimants for pricing revenues – more so than drivers or regional authorities. Most notably, the implementation process requires a strong advocate and, with revenue as a price, public officials in cities can become champions of congestion pricing. Themes Covered  Policy proposals succeed not only because they benefit the public interest, but also because they benefit particular interests, and these interests organize to champion the policies. It is keenly advantageous to offer toll revenue as a prize that officials can use for the most important projects in their municipalities.  If congestion pricing discussions only focus on how pricing affects drivers, and discussions do not include how a potentially large number of people will benefit from the toll revenue as residents in cities receiving the revenue, the losers most likely outnumber the winners.  The transparency of congestion pricing makes it prone to loss aversion. Loss aversion is the reluctance to part with a benefit one already has, and the tendency to view a new benefit – even one of equal or greater value – as less desirable than one given up. Efforts to placate drivers by returning the toll revenue to them in the form of reduced vehicle registration, gas tax or other user fees will likely not work. The loss of free access to the roads will weigh more heavily than any benefits of the rebated toll revenue. Loss aversion explains why the majority of people are unlikely to support congestion pricing at the outset; however, initial resistance is likely to be much stronger than subsequent opposition.  Travel time gains from congestion pricing are often not large enough to convince individuals to mobilize and lobby for congestion pricing facilities. A free rider problem emerges: even if most drivers think they would be better off with congestion tolls, no one will be so much better off that they will take the lead to implement the program. Type of Sponsoring Agency or Organization This journal article was prepared by the Department of Urban Planning, University of California, Los Angeles. Geographic Distribution  The research applies to municipalities, focusing primarily on heavily populated urban areas.  The experiences of San Diego, San Francisco, Los Angeles, the Twin Cities, London, and New York are discussed.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 47 Type of Tolled Facility & Features HOT lanes, managed lanes, and cordon pricing are presented in an overarching discussion of congestion pricing. Tolling Context This article uses political and economic behavioral theory, as well as case studies, to present high- level considerations for adoption of congestion pricing. Pricing Arrangements N/A Decision Question/ Decisionmaker  Revenues generated through congestion pricing facilities are to be distributed to city governments proximate to these pricing facilities. City governments shall have free rein to determine the most beneficial use of these revenues.  Congestion pricing implementation involves intergovernmental decision making such that there is compliance with federal regulation, coordination with state DOTs, and leadership by regional MPOs and local agencies. However, the emphasis of this article pertains to developing communication between the entity responsible for installing toll infrastructure (state agencies) and those that will champion its benefits (local agencies and decision makers). Populations Addressed This article addresses the economic effects of congestion pricing felt by all socioeconomic backgrounds (low, middle, and high level of wealth). It discusses the benefits of congestion pricing prior to toll revenue allocation and the benefits after revenues are redistributed. Before any revenues are distributed, congestion pricing will create a net benefit for two groups because of improved traffic flow: 1. Drivers whose time saved is worth more than the tolls they pay. 2. People who already use transit and will not pay tolls but will travel faster. Also, before any revenues are distributed, congestion pricing will create a net loss for three other groups. 3. Drivers whose time saved is worth less than the tolls they pay. 4. Drivers who switch to a less convenient route to avoid the tolls. 5. People on non-tolled routes whose traffic increases when drivers from group 4 switch to their roads. Members of groups 1 and 2 are better off whether or not they receive any benefits from the toll revenue, while members of groups 3-5 are better off only if they receive benefits from the toll revenue that outweigh the tolls they pay. A noteworthy distinction between this article and similar literature is that congestion pricing affects more than just drivers. There are a large number of people who stand to benefit from toll revenues, if they reside in cities that use that revenue for regional improvements. Many people in groups 3-5 (mentioned above) gain more in their role as residents then they do as drivers. Stage of Decisionmaking Policy and program evaluation Relevance Policies and projects that are preferable to the status quo often fail to gain traction. This may leave stakeholders uncertain of what to do next. This article uses political and economic behavior theory to examine why feasible and socially beneficial congestion pricing projects do not get implemented. In particular, it demonstrates how toll revenue can be used as very powerful incentive to gain political support for pricing projects. Los Angeles County is used as a model to demonstrate that traditionally disadvantaged populations will benefit when revenues are distributed on a per capita basis. In other words, when revenues are directed to the communities (proximate to tolled facilities) on the basis of their population size,

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 48 traditionally underserved groups benefit. This rationale enables policy makers to advance equity and environmental goals without sacrificing political support. Los Angeles’ 882-mile freeways system passes through 66 of its 88 cities (like a city, the county would receive toll revenue based on the population of the unincorporated area). According to the 2000 census, the average per capita income of LA County was $20,100 in the 66 cities with freeways, and $35,000 in the 22 cities without them. Toll revenues would thus shift money from the richer cities without freeways (like Beverly Hills) to the poorer cities with freeways (like Compton). If a peak pricing system were implemented (tolls are higher during peak travel to reduce travel demand), then traditionally underserved populations would gain additional benefits. Because higher- income motorists also drive more during the peak hours, the highest income quintile will actually pay about five times more in tolls than the lowest income quintile. Toll revenue benefits in LA County would look like the following:  The 20% of the population who live in the 33 poorest cities receive 12% of the county’s income but get 21% of the toll revenue.  The 20 percent of the population who live in the 43 riches cities receive 30% of the county’s income, but get only 17% of the toll revenue. A method to gain favor from the general public, elected officials, and transportation agencies involves sharing collected toll revenues. Elected officials receive most of the revenue to use for highly-valued municipal projects, and transportation agencies receive a portion of the revenue to support their operating budgets. Converting an HOV lane into a HOT lane is not as politically difficult as introducing full-fledged congestion pricing. Loss aversion is not an obstacle, because drivers actually gain in this scenario. With this type of conversion, solo drivers gain by being able to buy their way into lanes from which they had previously been excluded. Status n/a Critical Assessment Political and economic theory in this article was well-supported with real-world implementation scenarios. However, the article did not discuss successful uses of the toll revenues. It would be interesting to know if, in any instances, revenues were earmarked prior to project implementation. This would provide insight on what initiatives or investment an elected official could take part in to expect the widest acceptance from their constituents. Additional Comments Travel within priced facilities in Singapore, London, and Stockholm is done primarily with public transportation. Thus, the largest cost burden was borne by a motoring minority while the benefits accrued to the transit riding majority. The concentration of transit users within a region may also be a determining factor for the public acceptance of priced facilities.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 49       Kockelman, K.M. and Kalmanje, S. 2005. “Credit-Based Congestion Pricing: A Policy Proposal and the Public’s Response” Citation Kockelman, K.M, and Kalmanje, S. 2005. “Credit-Based Congestion Pricing: A Policy Proposal and the Public’s Response.” Transportation Research Part A. Vol. 39, No. 7-9, pp. 671-690. Website/Source Available through proprietary databases, such as ScienceDirect.com. Info at http://trid.trb.org/view/2005/C/759480. Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory     X X Document Type Academic journal article. The intended audience is academic researchers and practitioners. Document Topic The authors surveyed 480 residents in the Austin area to investigate their reaction to a hypothetical congestion pricing program that would include monthly credits for all drivers. Themes Covered  Briefly describes a hypothetic system for providing free credits to use regional network of tolled freeways. “Under a CBCP policy, drivers receive a monthly allowance of monetary travel credits, to use on the roads. Time- and link-varying prices recognize variable demands and their associated negative externalities. Drivers do not pay money ‘‘out of pocket’’ unless they exceed their allowance. Drivers spending less than their limit can use the credits later or exchange them for cash. For drivers with special, socially desirable travel needs (e.g., welfare-to-work participants, and single parent low-income household heads), extra credits may be allotted. CBCP has the potential to be an equitable and effective CP policy since drivers can choose to save credits or expend allowance based on their travel needs. CBCP is also revenue neutral with monthly revenues (after discounting for administrative costs) being returned as the next month’s credit allowances.”  Asked respondents about their opinions on both flat tolls and congestion-priced tolls, as well as how they anticipate changing their travel behavior if faced with regional tolls on freeways. Type of Sponsoring Agency or Organization Academic research. Funded by SWUTC (acronym not explained) and Luce Foundation. Geographic Distribution Austin, Texas Metropolitan Region Type of Tolled Facility & Features Respondents were asked about both flat tolls and congestion-priced tolls. Tolling Context  All freeways  Hypothetical new tolls of 25 cents/mile on regional freeways during peak hours  Tolling technology / equipment not specified  Methods of payment not specified (presumably transponders) Pricing Arrangements Asked respondents about both flat tolls and congestion-priced tolls. The credit-based scheme is described this way: “A revenue-neutral policy where road tolls are based on the negative externalities associated with driving under congested conditions, its generated tolls

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 50       are returned to all licensed drivers in a uniform fashion, as a sort of driving ‘allowance’. Essentially, the ‘average’ driver pays nothing, while frequent long distance peak-period drivers subsidize others, in effect paying them to stay off congested roads.” Decision Question/ Decisionmaker N/A - An academic study. Populations Addressed The authors considered a wide variety of population groups: age, income, number of children in the household, employment/education status, etc. Also, asked people who flexible their work/school schedules were. Stage of Decisionmaking N/A - An academic study only. However, information could be useful to decisionmakers during project planning process. Relevance  The CBCP survey was designed to examine limitations on traveler choices (such as work times and child care locations), public support for and perception of CBCP and other transportation policies, and behavioral response to such policies.  The survey explored several scenarios and CBCP policies and sought to identify groups of people who would need special considerations to avoid or minimize adverse effects upon them. The report describes public reaction to a credit-based congestion pricing program, looking at how results vary by different populations of concern in equity analysis (low-income, families with children, etc.).  Among the findings, “men perceive congestion to be less of a problem in Austin than women and demonstrated less flexibility before shifting to transit in response to tolls though they did claim to modify trip schedules more often than women to avoid congestion. Older people were more willing to change schedules to avoid congestion but were prepared to pay higher CBCP tolls to keep driving during peak hours. People with child care responsibilities exhibited greater constraints on travel modifications to avoid peak hour tolls or congestion. Non-students and non- employed persons view congestion in a more negative context and expressed a willingness to modify their plans more often to avoid congestion.”  Survey questionnaire would be interesting to review for anyone designing a public opinion survey related to congestion pricing, although authors do not provide the survey questionnaire or specific question language in the paper. Status N/A Critical Assessment The survey did not use a random method for selecting Austin-region residents, although the authors did weight the responses by age, gender, and income. Thus, the results should be generalized to the larger population with great caution. Additional Comments  

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 51 Kockelman, K. M. and Lemp, J. D. 2011. “Anticipating New-Highway Impacts: Opportunities for Welfare Analysis and Credit-Based Congestion Pricing” Citation Kockelman, K. M. and Lemp, J. D. 2011. “Anticipating New-Highway Impacts: Opportunities for Welfare Analysis and Credit-Based Congestion Pricing.” Transportation Research Part A: Policy and Practice, Vol. 45, No. 8, pp. 825-838. Website/Source http://www.caee.utexas.edu/prof/kockelman/public_html/TRB09CBCP&RoadInvestment.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This is an article in an academic journal. The subject matter could be considered complex for some transportation professionals and certainly for the general public. The content is highly theoretical/mathematical (rather than being empirical) as the modeling structure is based on a large number of assumptions. Document Topic The basic objective of the study is to examine the congestion and revenue-generation impacts of congestion pricing as a method of financing new highways. It uses a nested logit model that includes mode and destination choice. The model results indicate that congestion pricing in most cases can generate a substantial amount of revenue to pay for the costs of new highways. The authors contend that even after paying for the costs of roadway construction and maintenance, excess revenue may remain from tolled facilities to distribute among eligible travelers. Themes Covered  Congestion pricing  Tolling  Congestion impact  Revenue generation from congestion pricing Type of Sponsoring Agency or Organization The paper does not appear to be funded by any agency. Geographic Distribution The study does not pertain to any specific facility, location, or region. The study is almost entirely mathematical/theoretical, but certain assumptions (e.g., bus fare) are made on the basis of current bus fares in certain regions (e.g., Austin, TX) Type of Tolled Facility & Features The study does not pertain to any specific facility. Under a number of hypothetical assumptions, it examines whether new, priced facilities could pay for themselves through tolls. Tolling Context The study does not pertain to any specific facility or toll collection mechanisms. Pricing Arrangements It does not delve into matters relating to tolling mechanisms or technologies. Decision Question/ Decisionmaker No practical decisions were made about any facility or area. In the broad context of congestion pricing, it concludes that tolled new facilities can pay for themselves and may even generate additional revenues after paying for costs. Populations Addressed The study does not pertain to any specific population group. Stage of Decisionmaking The study does not focus on any specific facility or location. Hence decisionmaking processes are beyond the scope of the study.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 52 Relevance The study was selected on the assumption that it might contain empirical methods to examine different types of impacts from tolled facilities for different socioeconomic groups because it mentions welfare impacts of congestion pricing. However, the review revealed that the article does not offer a practical assessment of existing facilities or forecasting of the impacts of new facilities on different socioeconomic groups. Status N/A. Critical Assessment The article has very little to do with practical assessment of equity impacts of a real life facility. Some of the modeling assumptions described in the article may be questionable. For example, for the nested logit model, an assumption is made that walk speed is 4.47 MPH. That is 13.4 minutes to a mile. Similarly, it assumes bus speed to be similar to automobile speed (although a penalty is attached for transfers). Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 53 Levinson, D. 2010. “Equity Effects of Road Pricing: A Review” Citation Levinson, D. 2010. “Equity Effects of Road Pricing: A Review.” Transport Reviews, Vol. 30, No. 1, 33-57. Website/Source http://nexus.umn.edu/Papers/TransportEquityReviewPaper.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory x x x x Document Type This is an article in a scholarly journal. Its content should be of interest to academics and practitioners. This being a review article, the content should be easily understandable to most. Document Topic The primary question this review article addresses is whether road pricing is equitable. It includes reviews of theoretical, empirical, and simulation studies. It concludes that the equity issues associated with road pricing are addressable. While there are serious equity issues associated with road pricing, the author concludes, those issues can be addressed by appropriate mechanisms and by providing incentives in the form of tax reduction and additional investments on infrastructure and services. Themes Covered  Types of road pricing (HOT lanes, cordon pricing, etc.)  Definitions of equity  Transportation externalities  Measures of inequity  Building coalitions for equity Type of Sponsoring Agency or Organization The study was prepared as a part of the “Moving Cooler” project overall study that was sponsored by American Association of State Highway and Transportation Officials (AASHTO), American Public Transportation Association (APTA), Environmental Defense Fund (EDF), Federal Highway Administration (FHWA), Federal Transit Administration (FTA), Intelligent Transportation Society of America (ITSA), Natural Resources Defense Council (NRDC), Rockefeller Foundation (Rockefeller), Shell Oil (Shell-USA), Surdna Foundation (Surdna) and the Urban Land Institute (ULI). Geographic Distribution The article was written in the general U.S. context without emphasis on specific areas or regions, However, it provides a review of studies pertaining to specific facilities and locations. Type of Tolled Facility & Features While the article is not about any specific toll facility, it provides a review of studies pertaining to the effect of cordon pricing and HOT lanes. Tolling Context The study is not about any specific toll facility. Pricing Arrangements Pricing arrangement is not a subject matter of the study. Decision Question/ Decisionmaker Mostly not applicable, but the study mentions the importance of building coalitions to gain public support for tolling and congestion pricing. Populations Addressed The study does not pertain to any particular population group but it mentions minority and low- income populations while discussing equity issues. Stage of Decisionmaking This is irrelevant for this study as it is a review article.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 54     Relevance The article provides a very good review of empirical studies on tolling and pricing. The theoretical aspects are also informative, covering a substantial body of literature on equity. Through the synthesis of literature presented, the author makes clear the complexity of various types of road pricing strategies that are being debated, the differing definitions of equity and alternative assumptions about revenue recycling. The author concludes that the equity issues are addressable and presents findings of empirical and simulation studies of the effects of particular implementations of road pricing and offers suggested remedies for real or perceived inequities. Status N/A Critical Assessment It is one of the best reviews of studies on congestion pricing and equity issues related to pricing. Additional Comments  

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 55 Litman, T. and Brenman, M. 2012. “A New Social Equity Agenda for Sustainable Transportation” Citation Litman, T. and Brenman, M. 2012. “A New Social Equity Agenda for Sustainable Transportation.” Presented at the 91st Annual Meeting of the Transportation Research Board, Washington, D.C. Website/Source http://www.vtpi.org/equityagenda.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Transport policy and planning analysis approach recommendations intended primarily for practitioners. Document Topic Discusses the importance of incorporating social equity and environmental justice objectives into transport policy and planning analysis. It recommends a more systematic and comprehensive framework. Social equity refers to the equitable distribution of impacts (benefits, disadvantages and costs). Environmental justice, the authors argue, is a subset of social equity analysis that focuses on illegal discrimination against disadvantaged groups and is the lens through which transportation equity impacts are generally analyzed. A more comprehensive analysis considers additional impacts, including the benefits of tolling to disadvantaged groups. More comprehensive analysis considers how various biases in the transport planning process can exacerbate various external costs that are particularly harmful to disadvantaged people. More comprehensive analysis can help identify more integrated, win-win solutions, which achieve a variety of social, economic and environmental objectives, and can help build broader coalitions among diverse interest groups. Themes Covered What topics does this document address?  Social equity  Environmental justice  Transport policy  Transport planning analysis  Transportation equity impacts  Biases in transportation planning  Sustainable Transport Type of Sponsoring Agency or Organization Prepared by the Victoria Transport Policy Institute. Geographic Distribution Does not address a specific region or type of region. The arguments presented have implications for all levels, regions, and types of regions. Type of Tolled Facility & Features Does not address tolling specifically, but rather the importance of using a more comprehensive approach to transportation social equity analysis, which includes advantages and disadvantages of tolling to environmental justice groups. Tolling Context Does not address tolling specifically, but rather the importance of using a more comprehensive approach to transportation social equity analysis, which includes advantages and disadvantages of tolling to environmental justice groups.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 56 Pricing Arrangements Not applicable Decision Question/ Decisionmaker Not applicable Populations Addressed The comprehensive approach discussed in this article references the importance of considering the impact of transportation planning on all stakeholders, including but not limited to:  High income motorists  Low-income toll road users  Low-income travelers tolled off the highway  Tax payers who seldom or never drive on the facility Stage of Decisionmaking Transport policy and planning and analysis Relevance Considering a more comprehensive approach to social equity analysis overcomes the biases that are inherent in the more traditional, narrowly focused environmental justice analysis approach. As the authors explain – “Environmental justice groups tend to oppose transport pricing reforms (road tolls, parking fees, increased fuel taxes, etc.), assuming they are regressive, without considering all impacts. For example, if roads and parking facilities are not financed by user fees (tolls, parking fees and increased fuel taxes) they must be financed by general taxes and building rents that everybody pays regardless of how much they drive, which is unfair and regressive.  The paper places an emphasis on the limitations of traditional definitions of environmental justice groups, which are defined as those from low-income and minority groups.  The article points to issues that are often avoided in a typical environmental justice analysis, such as discrimination favoring motorists over non-drivers; delay, risk and pollution that motor traffic imposes on non-motorized travelers; and funding distribution between automobile and other modes, among other issue.  Throughout this article the authors identify specific transport policy impacts on various groups, especially in Table 2 (page 8), Table 3 (page 9), and Table 4 (page 11).  The authors recommend avoiding planning that favors mobility over accessibility and automobile travel over other modes.  The authors argue that many of those in low-income groups can actually benefit from tolling since “Disadvantaged people seldom drive on roads that are candidates for tolling (Schweitzer and Taylor 2010): Many do not drive (due to disability or poverty), many who do drive do not commute (they are retired or disabled), many who do commute work close to home, and many who commute longer distances use public transit, rideshare (and so only pay a share of tolls) or work off-peak and so pay discounted tolls, and some who currently commute by automobile would benefit overall if tolling improves transport options (if road pricing improves bus and rideshare travel speeds, or if some road pricing revenues are used to improve public transit services).” Status Not applicable Critical Assessment This article makes a strong case for the importance of taking a broader, more comprehensive approach to social equity analysis and environmental justice analysis. It also provides specific recommendations as to how to conduct such an approach. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 57 Madi, M., Wiegmann, J., Parkany, E., Swisher, M., and Symon, J. 2013. “Guidebook for State, Regional, and Local Governments on Addressing Potential Equity Impacts of Road Pricing” Citation Madi, M., Wiegmann, J., Parkany, E., Swisher, M., and Symon, J. 2013. “Guidebook for State, Regional, and Local Governments on Addressing Potential Equity Impacts of Road Pricing.” FHWA- HOP-13-033. Federal Highway Administration, US Department of Transportation, Washington, D.C. Website/Source http://ops.fhwa.dot.gov/publications/fhwahop13033/index.htm Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X X X X Document Type Guidebook for use by state, regional, and local governments who are considering adding a road pricing project or expanding their road pricing network. Document Topic This guidebook defines equity in its many complex forms, as it relates to transportation and road pricing projects. Themes Covered  Defines equity type and recommends that agencies and jurisdictions determine the types to analyze in the early phases of the project.  Explains how to incorporate equity into the transportation planning process.  Lays out procedures for evaluating equity at the project level.  Offers concrete and useful strategies (along with pros and cons) to address and mitigate the impacts of congestion pricing.  Highlights the role of communications in congestion pricing initiatives.  Makes recommendations and outlines next steps. Type of Sponsoring Agency or Organization Federal Highway Administration (FHWA) Geographic Distribution  National, state and large urban regions Type of Tolled Facility & Features Tolling, HOT lanes, congestion pricing, parking, and vehicle miles traveled (VMT)/road usage charge (RUC). Tolling Context  Offers comprehensive procedures and guidance to State, regional, and local agencies, as well as decision makers and concerned citizens to follow when considering road pricing projects to ensure that equity issues are appropriately and adequately communicated, evaluated, and addressed to the best extent possible.  Focuses primarily on time of day variable pricing applied to cordon and area wide pricing, facility pricing (including high-occupancy toll (HOT) lanes, express toll lanes, and traditional toll roads), and parking pricing. Was built upon: o A comprehensive literature review of existing road/congestion pricing equity research and applications; o A series of interviews with government staff, academics, private sector representatives, and other subject matter experts knowledgeable about road pricing equity; and o A workshop held in Washington D.C. in October 2011 to review and finalize the guidebook.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 58 The workshop was attended by road/congestion pricing and equity experts including government officials, researchers and academics, as well as private sector representatives.  Includes two road pricing scenarios/case studies identified by FHWA. Two potential scenarios were introduced and used throughout the guidebook to illustrate potential applications of guidebook topics. These included: o Scenario 1: Agencies considering implementing roadway congestion pricing strategies for the first time. o Scenario 2: Agencies considering road pricing expansion along its network. Pricing Arrangements Tolling, HOT lanes, congestion pricing, parking, and VMT/RUC. Decision Question/ Decisionmaker No specific decisions are being made, however, the guidebook advises projects on what to do when equity decisions need to be made towards development of a new road pricing project. Focus on Federal, state and regional levels. Populations Addressed The guidebook references stakeholders that are grouped according to mobility need and ability. By grouping stakeholders, “equity measures the degree to which the transportation system meets the needs of travelers with special constraints and is frequently invoked to justify paratransit services.” Stage of Decisionmaking The guidebook addresses early planning through road pricing project implementation. Relevance This guidebook identified gaps related to equity and road pricing to be addressed. These topics include environmental justice impacts, long-term land use impacts of congestion pricing, equity implications of building new roads with congestion pricing revenue, and how adding congestion pricing to existing transportation finance mechanisms would change the equity implications. A prior, Special Report from the Transportation Research Board (TRB) in 2011, suggested that comprehensive before and after studies are needed, as well as a better understanding of travel behavior and its consequences. It also recommended a knowledge base for decision support and a TRB Handbook for equity analyses of transportation finance policies. This guidebook was designed to meet what TRB contemplates as an AASHTO-funded NCHRP project. Authors recommended FHWA also use resources like http://www.transportationresearch.gov and the learning portal under development by the ITS Professional Capacity Building program as the decision support knowledge base that the TRB Committee envisioned.  The guidebook includes an extensive literature review and cites project examples and studies to back up recommendations and suggestions.  The guidebook offers relevant examples for targeting low-income and other traditionally disadvantaged populations for outreach and mitigation for its Scenario 1 and Scenario 2 programs.  The guidebook identifies several categories of equity and suggests a thorough analysis into various types once they are identified for a specific project, including: o Ability Equity: concerning issues and inequalities effecting physically disabled persons. o Access to tolled facilities equity: A term referring to whether barriers to owning a transponder, including requiring a credit card (e.g., 20 to 40 percent of U.S. households do not own credit cards) and large deposits, make using the facility too onerous. o Compensatory equity: Social problems and inequities addressed by providing transportation access or resources. o Education equity: concerning issues and inequalities facing less educated users in comparison to degree holders. o Environmental/green equity: Equal protection from environmental hazards for individuals, groups, or communities regardless of race, ethnicity, or economic status. o Gender equity: A less recognized equity issue concerning the behavior and usage differences

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 59 between male and female motorists (e.g., one study finds that women value travel time reliability more than twice as highly as men). o Generational equity: A subset of vertical equity concerning the burdens placed on future generations from policies made by and for the current generation. For example, borrowing for long-lived facilities is fair because it spreads the cost across generations of users, as opposed to current users paying for future generations. o Geographic equity: A subset of vertical equity concerning how where people work and live influences the effect transportation investment decisions has upon them (e.g., State versus state, urban versus rural). o Horizontal equity: How members of the same group (e.g., drivers or bus riders) fare relative to one another. o Income equity: Sometimes called redistributive equity. This equity type includes the effects on economically disadvantaged communities and low-income people. (e.g., do improvements negatively impact disadvantaged communities? Are improvements with negative consequences necessary for greater State or regional vitality?) o Language equity: concerns and inequalities faced by users not native to the standard language. o Life-stage equity: concerning issues and inequalities faced by users of various life-stages in comparison to other users such as retirees, people with families, single users, etc. o Market equity: A price charged to each individual or group that is directly proportional to the costs imposed and benefits received by that individual or group. o Modal equity: Dedicating revenues to the modes where they were generated (e.g., a state requiring that gas tax revenue be spent on roads). o Modal equity: The effect on preferred travel behavior (e.g., Do activities conflict with public perceptions for the encouragement of multimodal transportation?). o Occupancy equity: concerning inequities and concerns faced by SOV users in comparison to HOV users (and vice versa). o Opportunity equity: Costs/benefits that are proportional to the size of the receiving group without regard to any other distinguishing characteristics between groups. o Outcome equity: See vertical equity. o Participation equity: Sometimes called process equity, the ability to participate in the decision- making related to a project by responding to a public solicitation, attending a public meeting, rallying neighbors to support or oppose a measure, and so on. o Payment medium access equity: Concern over a denial of access to priced road projects or reduced equity. A significant portion of the population does not have access to credit cards (20 to 40 percent of the population) or checking accounts (10 percent) that facilitate easier use of a road pricing facility. Others may find the deposits required to obtain a transponder onerous. Some toll roads require transponders. o Process equity: See Participation equity. o Race/ethnicity equity: Considering whether different racial and ethnic groups, particularly minorities, are burdened disproportionately, taking into account fees paid, benefits received, and impacts experienced. o Redistributive equity: See income equity o Spatial equity: A geographic application of the horizontal and vertical equity concepts. o Vertical equity: How members of different groups (e.g., low-income groups versus high- income groups, drivers versus non-drivers, or inner-city versus rural residents) fare relative to one another.  The guidebook is clear that early consideration of equity issues is critical to the success of road pricing projects. “Equity concerns have been raised in the development stages of most proposed road pricing projects in the United States and abroad. Experience from projects that have reached implementation has shown that with proper consideration of equity and associated mitigation measures, road pricing projects can be successful. Most projects currently in operation have

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 60 found pricing scheme acceptance levels to be similar in low-, mid-, and high income groups.”  The guidebook includes helpful tables with mitigation strategy examples from actual projects around the world. Status Guidebook focuses on early planning stage considerations related to integrating equity into road pricing projects. Critical Assessment Like most research documents, this guidebook, particularly the introduction and definition text, is written in technical language that may be cumbersome for the reader to easily read and comprehend. There should be a distinction between a research study and a guidebook in future projects, so that a guidebook can be a user-friendly tool for project teams, and local and state governments. Section 4 is particularly useful as it describes how to conduct an EJ analysis and a project level analysis of toll roads in an EIS. The communications section was a missed opportunity as “how to talk about pricing projects,” especially with underserved populations, is a real challenge for project teams.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 61 Mahendra, A., Grant, M., Higgins, T., and Bhatt, K. 2011. “NCHRP Report 686: Road Pricing: Public Perceptions and Program Development” Citation Mahendra, A., Grant, M., Higgins, T., and Bhatt, K. 2011. “NCHRP Report 686: Road Pricing: Public Perceptions and Program Development.” Transportation Research Board of the National Academies. Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_686.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Guidebook for practitioners especially planners who are not very familiar with the road pricing (RP) concept but interested in knowing more about its potential, status, and key planning considerations. Document Topic The objective of the research project was to develop accessible information, guidance, and detailed resource information to help planners; state, regional, and local decision makers; and stakeholders in transportation developments to: (1) understand transportation needs and challenges which RP can effectively address; (2) identify opportunities and conditions for applying and integrating RP into local, regional, and state projects and programs; and (3) develop effective communication and public engagement actions to ensure best chances at acceptable and effective implementation of RP. The report is divided into two parts. In Part 1, six road pricing concepts are discussed with information for planners and decision makers to evaluate the potential of the concepts and understand the best engagement and communication strategies. In Part 2, the report provides interview findings, literature reviews, and references to resource materials on planning, engagement, and communications related to road pricing strategies. Themes Covered  Strategies for planning pricing projects.  Strategies for effective communications about pricing projects.  Equity issues are mentioned, including the use of tolled facilities by income groups and other demographic group; the use of facilities by those with inflexible work schedules; and access to transponders. Type of Sponsoring Agency or Organization National Cooperative Highway Research Program, Transportation Research Board, to assist state DOTs. Geographic Distribution Interviews with network and facility specific pricing projects, including: • New York (area wide pricing, new variable parking pricing) • San Francisco metro area (area wide pricing, HOT lane networks) • Minnesota (HOT lanes) • Washington State (research on VMT fees, proposed reconstructed bridge pricing) • Oregon (VMT fees and gas tax replacement, HOT lane) • Los Angeles metro area (emerging HOT lanes and downtown parking pricing) • Virginia (HOT lanes and HOT lane network plans) • Washington, D.C., metro area (HOT lanes and HOT lane networks) • Dallas (HOT lanes and HOT lane networks)

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 62 Type of Tolled Facility & Features Six road pricing concepts are discussed, including:  Conversion of existing high-occupancy vehicle (HOV) or other lanes to high-occupancy toll (HOT) lanes  Variable pricing on new or rehabilitated facilities and region wide networks  Variable pricing on existing toll facilities  Pricing of an area of existing roads and streets (“area wide” or “cordon” pricing)  Distance-based pricing or mileage fees  Variable pricing applied to parking Tolling Context  Facility specific, regional networks, and/or state networks  New tolls Pricing Arrangements Various road pricing systems Decision Question/ Decisionmaker Any government agency operating facilities with road pricing, or any government agency creating plans that could include road pricing. Populations Addressed Mentions briefly several groups that can be highlighted in equity discussions: low-income, those with fixed work schedules, those living in certain parts of a region, etc. Stage of Decisionmaking Discussed the entire planning process for new projects or regional/state plans. Relevance  Designed as a guidebook, this document summarizes a great deal of content. While many topics are mentioned, they receive a somewhat cursory treatment.  The report summarizes equity concerns as expressed through interviews and research on the subject pricing projects and how various equity issues were raised and addressed by various agencies through outreach, analysis, mitigation and monitoring. Equity is broadly defined (e.g., income, modal user, spatial, market, fiscal, etc.) and quite abbreviated.  The bibliography could be reviewed, to see if there are important items that the current project team has missed. Status N/A Critical Assessment Equity themes are discussed in just a sentence or two at a time, but with little depth of treatment. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 63 Parkany, E. 2005. “Environmental Justice Issues Related to Transponder Ownership and Road Pricing” Citation Parkany, E. 2005. “Environmental Justice Issues Related to Transponder Ownership and Road Pricing.” Transportation Research Record: Journal of the Transportation Research Board, No. 1932, Transportation Research Board of the National Academies, Washington, D.C., pp. 97-108. Website/Source http://trb.metapress.com/content/eu155q53454h4r0u/?p=0bdbec64975642ea80c6de39bf02fce4&pi=3 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type Academic journal article. The intended audience is researchers and practitioners. Document Topic This paper explored whether low-income households have access to the transponders used to access toll roads. The methods used were a review of the transportation policies for 25 US toll agencies using electronic tolling, plus analysis of data from three toll agencies’ users to identify how transponder and facility use correlated with income and other demographic factors. The study found that many households do not have easy access to transponders for many reasons related to how the tolling authority sets up the process of acquiring and maintaining a transponder account. Barriers include requirements to obtain a transponder by mail, requirements for payment methods not available to some households (e.g., a credit card or bank account), requirements to pay a monthly account fee, or requirements for a large deposit and/or prepayment. Themes Covered  Transponder access and administration of an electronic toll collection system.  Data on the extent to which high vs low-income people use toll roads. Type of Sponsoring Agency or Organization N/A – scholarly research Geographic Distribution N/A Type of Tolled Facility & Features Any type of tolled facility used by the general public. Tolling Context  Any type of tolling program (cordon, toll road, etc.)  Tolling technology: electronic, with transponders  Methods of payment: different methods are discussed Pricing Arrangements N/A Decision Question/ Decisionmaker Administrative processes for obtaining a transponder and maintaining the account over time Toll-operator Populations Addressed Low-income households Stage of Decisionmaking Project Planning and Operations phase as it suggest that transponder access issues should be considered at the earliest stages of designing the tolling program’s administrative structure.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 64 Relevance  Article makes the critical point that the ability to access toll roads with electronic pricing depends on the ability to access a transponder, not just the ability to pay the tolls.  Finds with the AutoExpreso System in Puerto Rico a good and potentially replicable model for administering transponders usage to better accommodate “unbanked” households, “[o]ne exception is the new AutoExpreso system in Puerto Rico. Because 42% of Puerto Ricans do not have bank accounts, the Puerto Rico Highway and Transportation Authority chose a system that allows users to replenish their AutoExpreso card by swiping it through wireless machines at gas stations and convenience stores and paying cash inside the stores. As they pass through a toll facility, manual account holders are alerted by a yellow light that their balance is low.”  Methods used here to analyze toll facility user survey data – specifically, to test for whether certain demographic groups access the road more -- could be worth presenting in a toolbox. The survey data analysis: “The goal is to model which independent variables influence the dependent variables of using or not using a toll road, owning a transponder, and the frequency of using the toll road.” Data came from CA’s SR-91 (1997, 1999 surveys) and the Pennsylvania Turnpike (2001). Status N/A Critical Assessment The analysis of survey data was relatively straightforward. The data analysis methods may be a good model for other agencies to consider if they have data on their current users. The method of assessing toll agency transponder policies was straightforward and appropriate. It could be repeated today for a more up-to-date snapshot of current practices, although doing so would not needed for the current research project. Additional Comments Useful summary of the issues: “the least expensive (and usually easiest) way of obtaining an electronic toll transponder is to provide the toll authority a credit card number, prepay a certain amount of tolls and often pay a transponder deposit, and agree to automatically replenish the account with a toll prepayment using the credit card number once the balance drops below a certain amount. In addition to concerns about the outlay of money necessary for prepayment and for a transponder deposit, as listed in the next paragraphs, a greater concern is that many Americans simply do not have credit cards or bank accounts to use in signing up for transponder accounts. Without the ability to prepay tolls and hold a transponder account, they cannot access the benefits of transponders, which include faster passage through toll facilities and often reduced tolls.”

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 65 Parsons Brinckerhoff and others. 2013. “Improving Our Understanding of How Highway Congestion and Pricing Affect Travel Demand” Citation Parsons Brinckerhoff, Northwestern University, Mark Bradley Research & Consulting, University of California at Irvine, Resource System Group, University of Texas at Austin, Frank Koppelman, and GeoStats. 2013. “Improving Our Understanding of How Highway Congestion and Pricing Affect Travel Demand.” SHRP Report S2-C04-RW-1. Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/shrp2/SHRP2_S2-C04-RW-1.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies ] Analytic Methods/Impact Measures ] Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This is a resource report under the SHRP-2 program. The report could be useful to both academics and transportation professionals. The report may be particularly useful for professionals involved in travel demand modeling. Document Topic The primary focus of the report is to examine the effect of congestion and pricing on travel demand. It examined travel survey data from several metropolitan areas for modeling purposes. Because of the limitations of revealed data (which does not include all alternatives available) and stated preference survey data (people may not act according to their stated preference), it adopts a method that combines the two. The method is called experimental revealed preference, where the survey participants mention their alternatives and also reveal their actual travel. It uses such data from the Seattle area for modeling purposes. Important conclusions are drawn from the modeling effort regarding the treatment of travelers’ income, vehicle occupancy, and several network characteristics. Recommendations are made for both policy and modeling purposes from the modeling effort. The study found that value of time (VOT) varies widely across travelers. Because of a very low willingness to pay, travelers are averse to general tolls for all lanes. However, the study concludes that tolls on HOT lanes can be set at a fairly high rate to attract a relatively small group of travelers. The study further concludes that personal income and household income have a strong association with VOT and willingness to pay – that is, higher income individuals exhibit greater VOT and willingness than lower-income individuals, although the relationships are less than linear. One of the most important conclusions in the study is that because of the differential in willingness to pay between high- and low-income individuals, equity impacts of pricing should not be discounted. The study also mentions that low-income travelers benefit from pricing because of improved traffic conditions. Furthermore, the study finds that they also have greater opportunities to carpool than high income individuals. Finally, the study concludes that HOV lanes, HOT lanes, and transit are more Themes Covered  Travel demand model  Congestion pricing  Experimental revealed preference surveys  Congestion pricing  HOT and HOV lanes  Income effect of pricing

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 66 Type of Sponsoring Agency or Organization Transportation Research Board under the SHRP-2 program. Geographic Distribution The study reviewed travel survey data from several metropolitan areas of the US. However, the primary modeling effort used data from the Seattle area. Type of Tolled Facility & Features The study discussed general purpose tolls and also HOT lanes as measures of congestion pricing. Tolling Context The study did not include any specific facility for tolling. Pricing Arrangements The study considered general purpose pricing of highways without taking into account any specific highways. Decision Question/ Decisionmaker No specific decisions were made but recommendations were made for modeling and policy. Populations Addressed The study considers different income groups in the overall context of congestion pricing. However, it does not consider racial or ethnic minorities separately. Stage of Decisionmaking Since the study is not about a specific tolling project, there is not decision making involved. Relevance The study has useful discussions on willingness to pay toll by different income groups. The modeling effort is particularly noteworthy because of the use of experimental revealed preference data. Furthermore, it provides recommendations that are relevant to the current study. Status There is no planning or implementation involved. Critical Assessment The modeling effort is good. It provides recommendations for modeling and policy regarding equity impacts of tolls. However, the special type of data used by the study will perhaps not be available in most places to conduct equity analysis. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 67 Patterson, T.M., and Levinson, D. M. 2008. “Lexus Lanes or Corolla Lanes? Spatial Use and Equity patterns on the I-394 MnPASS Lanes” Citation Patterson, T.M., and Levinson, D. M. 2008. “Lexus Lanes or Corolla Lanes? Spatial Use and Equity patterns on the I-394 MnPASS Lanes.” Unpublished manuscript, Department of Civil Engineering, University of Minnesota. Website/Source http://nexus.umn.edu/Papers/MnPASSEquity.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Research document that should be accessible to practitioners and academia Document Topic A 2004-2006 longitudinal panel survey of I-394 residents found support levels at over 60 percent for the congestion-priced high-occupancy toll (HOT) lane, known to the Twin Cities as MnPASS. This number varies only slightly when sorted by income levels, gender, and education levels. However, people with higher incomes use the system more often and thereby capitalize on the direct benefit more often. Previous research has not revealed whether higher incomes actually cause people to use the HOT lanes more often or whether HOT lanes have simply been built along high income corridors. The researchers sought to distinguish the effects of income and location on HOT lane use to provide deeper understanding of equity issues. The findings suggest that location and income both explain HOT lane use. Themes Covered  Research tested two hypotheses in an effort to disentangle location and income variables regarding their impact on HOT lane use: o The I-394 MnPASS HOT lane is really a “Lexus Lane.” People with higher income use the HOT lanes more frequently than those with lower incomes. o Within a defined travel shed, travelers living farther from downtown Minneapolis will use the HOT lane more often. Type of Sponsoring Agency or Organization Research study prepared by University Researchers with support of State DOT. Geographic Distribution Findings may be applicable nationally, but research focuses on the Minneapolis, MN area where the I-394 HOT lanes are located. Type of Tolled Facility & Features HOT lanes with dynamic pricing Tolling Context  Facility specific – highway with two types of HOT lane access: o Multiple entrance/exit points in one section (with painted double white strip lines) o Single entrance and exit points in the barrier-separated reversible section Pricing Arrangements Dynamic pricing based on congestion level in the HOT lanes Decision Question/ Decisionmaker No specific decisions are being made. Pure research article which has implications for transportation planning and post operations monitoring and evaluation.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 68 Populations Addressed Those at all income levels, but especially those with low incomes. The authors reference the potential benefits of HOT lanes to those traveling in general purpose lanes. Stage of Decisionmaking State and Metropolitan planning Relevance The issue of congestion pricing in general has been criticized widely as disproportionately and negatively impacting those with lower incomes. If looking only at the income levels of those who use such managed lanes, it is possible to erroneously conclude that the lower levels of use by those with lower incomes means that they are priced out of the lanes. However, the authors question whether such priced lanes are possibly more likely to be built in areas of higher income, thereby explaining the higher proportion of higher income users.  The analysis relied in part on a database of every MnPASS trip made from opening day in May 2005 through July 2007. For every trip, the dataset identified transponder identification number, zip code of billing addresses, time entered and exited the lane, entry and exit gantry ID, and amount of toll paid. Nearly 2 million MnPASS trips were made during the first two years, averaging roughly 3,500 trips per day. Additionally, information regarding median household income and population were extracted for the corresponding zip codes from the 2000 US Census.  The researches apply a Heteroskedasticity-Consistent Method 3 (HC3) regression approach.  Their research results demonstrate that distance from Minneapolis and median household income were both significant factors in predicting all four measures of use: sum of tolls paid, trip count, average toll, distance traveled on the MnPASS lanes. A significant, although weaker correlation existed between the distance from Minneapolis and median household income, indicating that location and income are to some degree having independent impacts on the use of HOT lanes.  The research shows that both location and income (but not just income) explain HOT lane use which may have implications relevant in planning and post-implementation evaluation processes. Status Not applicable Critical Assessment Data collection and analysis approach appear to have been carefully planned and executed. The researchers identify the limitations of the research, the second of which seems the most troubling: 1. The distance measurements taken to calculate the distance variables were measured from the centroid of the zip code, not an individual street address. 2. The median household income per zip code is applied to all individuals within the area and does not take into account variation as accurately as would be preferred. Access to information by census block group would have been brought finer variations into focus. 3. Since only the MnPASS portion of trips are tracked knowledge of which entry and exit gantries were known, however, the exact origins and destinations remained unknown. Additional Comments The report contains interesting analyses pertaining to the elasticity of demand based on Value of Time and general commentary on other equity considerations attributable to presumed benefits of HOT lane implementation (e.g., optimal travel flow, travel time reliability, transit, and social pricing benefits such as reductions in greenhouse gas emission and accidents, and, potentially, toll and transit credits to low-income users).

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 69 Perez, B. G., Betac, T., and Vovsha, P. 2012. “NCHRP Report 722: Assessing Highway Tolling and Pricing Options and Impacts” Citation Perez, B. G., Betac, T., and Vovsha, P. 2012. “NCHRP Report 722: Assessing Highway Tolling and Pricing Options and Impacts: Volume 1: Decision-Making Framework.” Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_722v1.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type This is an NCHRP report sponsored by the Transportation Research Board primarily intended for transportation professionals, particularly for state DOTs and transportation agencies considering instituting or instituting modifying user fees and tolling solutions. Document Topic The report provides a decisionmaking framework for tolling and pricing options. It provides case studies from several parts of the country where highway pricing has been established in recent years. The pricing project sponsors include: Harris County Toll Authority, Minnesota Department of Transportation, Oregon Innovative Partnerships Program, San Diego Association of Governments, and Virginia Department of Transportation. The study identifies four phases of analysis for assessing tolling and pricing: (a) exploratory, (b) preliminary, (c) feasibility, and (d) investment grade. In addition, it distinguishes between a comprehensive approach and project-specific approach to tolling and pricing. Furthermore, it provides a comprehensive list of goals and objectives of tolling and pricing. Although it mentions the importance of equity assessment of tolling and pricing projects, it is not the primary focus of the study. It mentions that truckers and high income individuals may benefit the most from tolling and pricing, but low-income individuals also benefit from such projects. The study cites several studies (some involving surveys) to explain how low-income individuals may benefit from tolling and pricing projects. The study includes public outreach at each stage of project planning. Themes Covered  Tolling and pricing definitions  Steps involved in implementing tolling and pricing  Goals and objectives of tolling and pricing  Tolling and pricing case studies  Decisionmaking process  Feasibility  Public outreach  Tolling technology Type of Sponsoring Agency or Organization This is an NCHRP report sponsored by the Transportation Research Board. It includes several case studies of tolling/pricing projects sponsored by other types of agencies, such as counties and state DOTs. Geographic Distribution The study was prepared in the general US context. However, it includes case studies of tolling/pricing projects from several US regions.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 70 Type of Tolled Facility & Features It includes discussions on various types of tolling and pricing strategies, including general purpose tolling, HOT lanes, and truck only lanes. Tolling Context The study is not about specific tolling or pricing projects, but includes case studies from different parts of the country. Pricing Arrangements It discusses different types of pricing strategies in the context of the case studies, including fixed tolls and dynamic tolls (pricing). Decision Question/ Decisionmaker All the case studies included in the report were implemented. It provides a snapshot of the decision- making processes involved in each case study. Populations Addressed The report includes discussions on the effect of income on pricing and tolling. Stage of Decisionmaking The case studies include primarily the decisionmaking processes involved. They do not include evaluation of implemented projects. Relevance The report seeks to generalize the decisionmaking processes involved in implementing tolling/pricing projects. The scope of the treatment for equity and environmental justice is relatively limited, although the report makes some important observations regarding broad principles and effective practices in a discussion of treatment of low-income equity and environmental justice considerations:  “Environmental justice assessments can benefit from survey work conducted in association with outreach efforts and the refinement of travel demand models. Most models include different mode choice models for travelers from different income groups. To implement an income equity analysis, the travel model should include the necessary level of segmentation (three to four income groups) in the trip generation, trip distribution, and mode choice models that allows for travel impacts to be distinguished for each group. If this is the case, model results can facilitate a quantitative assessment of environmental justice impacts. These analyses may be further supported by information gained from survey and outreach activities.  “Income equity assessments should compare the mode choice decisions made by different income groups to determine to what extent lower-income populations might be unduly affected by certain pricing concepts. As part of this effort, potential strategies to modify the pricing alternatives to mitigate their possible impact to lower-income populations should be identified.”  “Low-income populations with no free route alternatives should be provided with improved transit service (improved by means of toll revenue) or discounted toll rates.  “Barriers to the acquisition of transponders and toll accounts for low-income people should be eliminated.”  It should be understood that willingness to pay as a selection criterion represents a problem since it creates an income bias in the highway system development.” Status The report is not about a specific tolling or pricing project, but includes discussions on several implemented projects. Critical Assessment The report is beneficial to understand the goals and objectives and the steps involved in planning and implementing tolling and pricing projects. The report contains few details on methods for equity and environmental justice assessments, but provides some broad consideration for tolling decision makers that nicely frame areas in need of improvement or further focus. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 71 Perez, B., Giordano, R., and Stamm, H. 2011. “NCHRP Report 694: Evaluation and Performance Measurement of Congestion Pricing Projects” Citation Perez, B., Giordano, R., and Stamm, H. 2011. “NCHRP Report 694: Evaluation and Performance Measurement of Congestion Pricing Projects.” Transportation Research Board, National Academy of Sciences, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_694.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type This research report was developed for transportation practitioners involved in the planning, design, and operation of congestion pricing projects. Document Topic This report was prepared for transportation practitioners charged with measuring the performance of congestion pricing projects. The guidebook synthesizes data and information from 12 case studies in the U.S. and abroad to suggest a list of potential performance measurement categories that may be important to track performance of a specific project. While no two congestion pricing projects are the same and therefore performance measures will vary, they should be linked to the goals of the project. The topic of equity is covered in the guidebook, but it is brief in context and scope. The guidebook provides useful ideas on education and outreach for reaching protected populations. The report also highlights that equity impacts should be tracked and monitored through tracking trip and travel behavior, socio-demographic surveys on users, focus groups with members of target populations, etc. Themes Covered This report primarily addresses the following:  Key performance categories and metrics that can be utilized to create a performance management program for congestion pricing facilitates and  Methods to incorporate public outreach into a performance management program to ensure that public opinion influences operational changes and other variables associated with the priced facility. Type of Sponsoring Agency or Organization Funded by state DOTs and FHWA but managed through the Transportation Research Board’s National Cooperative Highway Research Program (NCHRP). Geographic Distribution Twelve case studies of Variably Priced Managed Lanes, Variable Pricing Facilities, and Cordon and Areas Pricing in the U.S. and Internationally: Variably Priced Managed Lanes 1. Colorado Department of Transportation I-25 Express Lanes 2. Florida Department of Transportation 95 Express 3. Harris County Toll Road Authority Katy Managed Lanes 4. Minnesota Department of Transportation MnPASS Lanes 5. Orange County Transportation Authority 91 Express Lanes 6. San Diego Association of Governments I-15 Express Lanes 7. Washington State Department of Transportation SR 167 HOT Lanes Toll Facilities with Variable Pricing 8. Ontario Ministry of Transportation Highway 407 Express Toll Route 9. The Port Authority of New York and New Jersey

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 72 Cordon and Area Pricing 10. Central London Congestion Charging 11. Singapore Electronic Road Pricing 12. Stockholm Congestion Tax Type of Tolled Facility & Features Three categories of congestion pricing projects are included in this report: 1. Variably Priced Managed Lanes (ex., HOT lanes and express toll lanes) 2. Toll Facilities with Variable Pricing (ex., full facility pricing that varies in response to time of day and travel demand) 3. Cordon and Area Pricing (charges for entering into a specified boundary which can vary by type vehicle, time of day and entry point) Tolling Context Twelve case studies are presented in Appendix A that have different tolling context. Pricing Arrangements Different types of pricing schemes are covered for the three different categories of congestion pricing projects. Decision Question/ Decisionmaker The decisions being made from transportation agencies relate to tracking performance of projects and modifying price structures and other travel variables to better meet facility goals. Populations Addressed The guidebook contains only one short section on social equity. The guidebook states: “the use of congestion pricing often raises concerns regarding effects on different elements of society, particularly low-income individuals and other marginal groups”. No other definitions of protected or underserved populations are provided in the guidebook. Stage of Decisionmaking While the guidebook purports that it is for planning, designing and constructing congestion pricing projects, its primary focus is on policy and program evaluation of such projects. There is quite a bit of information provided that relates to marketing and communications related to congestion pricing projects in terms of how the operating facility is performing with strong attention to gathering input from users through a range of outreach techniques. Relevance The guidebook is relevant for its suggested set of performance measurement categories which can be used to track the effectiveness of congestion pricing projects to meet their intended goals.  The guidebook suggests that priced managed lanes will have less negative equity impacts compared to other pricing forms because there is a free travel lane option. For toll facilities with variable pricing and cordon pricing the impacts will be based on where target populations live and work as well as the availability of other travel choices.  The 12 case studies provide ideas potentially useful to equity evaluations in terms of identifying categories of performance considerations which include: 1. Traffic 2. Public Perception 3. Users 4. System Operations 5. Environment 6. Transit 7. Economics 8. Land Use Of particular importance is that the categories of environment, economics and land use seldom received much attention in the 12 case studies for tracking performance.  Equity is not specifically listed in the categories, but 6 of the 12 case studies did track measures indicative of equity considerations including user demographic and socioeconomic metrics, users’ home zip codes, specific activities of populations, vehicle make and incentives for transit and carpooling. These case studies are worthy of further examination and include:

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 73 o SR 91 Express in Orange Country, California o I-15 Express in San Diego, California o SR 167 Hot Lanes in Washington State o Port Authority of New York and New Jersey o London Congestion Charging o Stockholm Congestion Tax  Public approaches for reaching traditionally underserved populations are not discussed, although there are sections on market research and education and outreach strategies which could be of value to engaging underserved populations.  A key point in the guidebook states “when considering the issues of equity, it is important to monitor how different groups benefit from the use of the revenues, rather than just the use of the facility”. The following revenue use strategies are suggested to have potential positive equity impacts: o Increased transit service - New transit routes serving low-income neighborhoods; additional platform hours dedicated to existing runs serving low-income neighborhoods; and additional seats on existing transit runs serving low-income neighborhoods o Reduced fares on selected transit routes o Rebates or credits for trips made by members of target groups o New or improved security at existing park-and-ride lost or new park- and ride- lots Status Stage of planning or implementation, date of pricing inception, etc. Critical Assessment The guidebook did not provide much information in terms of equity-related measures; however, it does provide a list of performance measurement categories based on the synthesis of 12 case studies. Only six of the 12 have measures that relate directly to equity in terms of considerations that could be used to track equity-related outcomes. These measurement categories could inform the development of an equity audit framework for practitioners. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 74 Perez, B. G., Fuhs, C., Gants, C., Giordano, R, Ungemah, D. 2012. “Price Managed Lane Guide” Citation Perez, B.G., Fuhs, C., Gants, C., Giordano, R, Ungemah, D. 2012. “Price Managed Lane Guide.” Federal Highway Administration, Department of Transportation, Washington, D.C. Website/Source http://ops.fhwa.dot.gov/publications/fhwahop13007/fhwahop13007.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Resource document with case studies for transportation practitioners as they consider, plan, and implement priced managed lanes. Document Topic This guide is intended to be a comprehensive source referencing the collective experience gained from priced managed lanes implemented in the United States through 2012. The guide addresses policy, outreach, and technical issues of implementation of priced managed lanes, focusing on the knowledge and experience gained from the new projects advanced in the past decade. The guide also provides detailed profiles of 21 priced managed lane projects that are either operational or nearing completion. This resource represents the most comprehensive compilation of data and information prepared by FHWA on priced managed lanes to-date. Themes Covered  Purpose and need for priced managed lanes: priced managed lanes definitions, goals, lane management strategies, benefits, price managed lane requisites, and price managed lane experience to-date  Planning and Implementation; development and implementation, common challenges, and operational and policy decisions  Organizational / Institutional Frameworks: priced managed lanes roles and responsibilities, project sponsors, other entities, federal programs and requirements, state processes and requirements for tolling, operational arrangements  Public Outreach: public outreach, public acceptance of priced managed lanes – the issues, project champions and their roles, building consensus, marketing and refining the concept  Finance & Procurement: funding, financing, revenue sources, financing tools, procurement options  Design: design, access, separation treatments, tolling provisions, signage, enforcement areas  Operations and Maintenance: facility operations, toll operations, enforcement operations, incident management, maintenance operations, supporting technologies, transit operations  Profiles of Priced Managed Lane Projects completed, in planning, or under construction Type of Sponsoring Agency or Organization FHWA Geographic Distribution  All levels of geographic area: National, state, regional, municipal, and/or local)  Regional size & type: all sizes built, planned, or under construction as of May 2012 Type of Tolled Facility & Features Priced managed lanes, which mainly include projects with HOT lanes, but also a few Express Toll Lanes or ETL Hybrids. Definitions provided for HOT lanes, ETLs, Truck Only Toll (TOT) lanes, and Bus Toll Lanes (BTL). Tolling Context  Highway lanes. Some locations have also extended tolling focus to include Managed Lane Network Plans where there is an effort to coordinate priced managed lanes on a regional scale  Typically new tolls  Tolling technology / equipment – described in general and for independent case study projects  Methods of payment? (cash, credit card only)

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 75 Pricing Arrangements Most projects have variable/dynamic pricing, but fixed variable pricing, dynamic pricing, and hybrid variable pricing discussed. Decision Question/ Decisionmaker Decisionmakers vary from Federal for tolling authority, funding and environmental reviews. State DOTs and regional/metropolitan planning organizations make most of other decisions. Populations Addressed The document briefly touches upon equity and geographic equity concerns, but does not mention or substantially address specific populations other than generally mentioning low-income and minority populations. Stage of Decisionmaking Planning and implementation; public outreach; traffic and revenue feasibility and financing; design; operations and maintenance. Relevance This document was selected due to its comprehensive collection of experience and insight gained from priced managed lanes implemented in the United States through 2012. The report includes sections on planning and implementation, organizational/institutional frameworks, public outreach, and other topic areas providing state of the practice information in considering toll implementation. The guide provided a complete list of implemented and under construction managed lanes up through 2012 to inform a review of the extent of the EJ analysis that has been performed to-date in (NEPA) transportation studies of project sponsors, state DOTs, MPOs, and/or tolling agencies.  Guide identifies task forces, regional advisory groups, focus groups, and other targeted and extensive long-term engagement and research processes which can help to identify potential issues and solutions for mitigation of adverse effects upon populations.  Guide identifies the use of revenue recycling dedicated to transit service as a source of building public acceptance: “Dedicating all or a portion of net revenues to local transit services may be perceived as more equitable and win greater approval”.  Of the projects included in the case study Appendix, the majority of the projects received Categorical Exclusions (CEs), EA – Cat X, or a Finding of No Significant Impact (FONSI). The following projects did not receive one of the previous environmental approvals and may provide a more in-depth EJ analysis for a content review assessment: o Orange County, CA ( SR-91) – EA analysis completed pre-1995 o Minneapolis MN (I-35W) - EA o Houston, TX (I-10, Katy Managed Lanes) - FEIS o Los Angeles, CA (I-10) - EIR/EA (approved June 2010) o Los Angeles, CA (I-110) - EIR/EA (approved June 2010) Status Covers all stages; status of individual projects varies (operational, under construction, planned). Critical Assessment The Priced Managed Lane Guide provides a great primer on many of the key steps needed to plan, implementation, and operation of priced managed lanes with up-to-date information and examples on all priced managed lanes in the US. As such, it is a useful document to introduce transportation professionals and other involved stakeholders to what elements, challenges, and opportunities are involved with priced managed lanes. While very robust, the report does not provide sources for statements that were derived from other research, provide much detail on methodology used to gather information and convey state of the practice, provide a list of references, discuss how toll projects have changed over time, particularly with regard to toll increases, or identify any post-implementation evaluation of toll roads that have been done to-date. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 76 Peters, J. R. and Kramer, J. K. 2012. “Just Who Should Pay for What? Vertical Equity, Transit Subsidy and Road Pricing: The Case of New York City” Citation Peters, J. R. and Kramer, J. K. (2012). “Just Who Should Pay for What? Vertical Equity, Transit Subsidy and Road Pricing: The Case of New York City.” Journal of Public Transportation, 15(2), 117-136. Website/Source http://www.nctr.usf.edu/wp-content/uploads/2012/07/JPT15.2Peters.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type Article in scholarly (peer-reviewed) journal. The journal aims to reach both practitioners and academics. Document Topic Assesses the “vertical equity” of the proposed NYC congestion pricing scheme (i.e., whether “members of different income groups are treated differently”). They use survey data of toll users to determine who is using the existing bridges (that would become tolled) and those people’s incomes. For analysis methods, they use Lorenz curves and Gini coefficients “to assess the vertical equity and cross-subsidization concerns relating to income.” The article also discusses at some length the politics of congestion pricing, with a focus on regional equity issues – that is, people in some parts of the NYC region would pay more than people from other parts of the region. As the authors summarize their work, they note “Eliasson and Mattsson (2006) point out that there are many theoretical studies regarding the issues surrounding congestion pricing but few studies that make a quantitative assessment of the issues involved. This paper helps fill this gap in the literature by examining some of the equity concerns surrounding NYC’s proposed congestion pricing scheme using economic data collected by the Triborough Bridge and Tunnel Authority (TBTA), the NYC Independent Budget Office (IBO), New Jersey Transit, and Rutgers University. In particular, we examine the impact of initial travel patterns, user income distribution, and revenue distribution on the political salability of the NYC congestion pricing proposal.” Themes Covered  Regional equity concerns with congestion pricing  Data and analysis methods for comparing the incomes of the people who pay and benefit from a congestion pricing scheme  The politics of congestion pricing Type of Sponsoring Agency or Organization Academic researchers. Geographic Distribution New York City and its surrounding New-York-New Jersey region Type of Tolled Facility & Features Proposed cordon pricing schedule with flat fee to enter the city between 6 am – 6 pm weekdays. Tolling Context  Tolls would be applied to many East River bridges into Manhattan

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 77  New toll and pricing changes. Users on some existing crossings would see no toll (price) increase, while users on others would see toll rate increases or new tolls on formerly free facilities.  No discussion of tolling technology or methods of payment. Pricing Arrangements Time of day pricing at cordon. Decision Question/ Decisionmaker City seeking to implement a congestion pricing demonstration project to fund transportation infrastructure and transit and manage congestion. The decision required city and state legislative support and the state legislature ultimately decided to kill the proposal. Populations Addressed Persons at different incomes and living in different parts of the region. Stage of Decisionmaking Analysis of a completed (failed) effort. Relevance  This paper is particularly useful as a potential analysis method to emulate (analysis using Lorenz curve and Gini coefficients). Of course, the method requires having data that may be expensive to collect.  The paper is useful because it reminds us that vertical equity issues are not just about the very poor. As this paper shows, it is middle-income families who would disproportionately pay the cost of the tolls.  The paper is useful because it highlights the need to consider “geographic equity”: how people of similar incomes may benefit/lose from tolling depending on where they are located.  The paper also shows how in the scenario studied, the people who would benefit from transit improvements from revenue recycling would not be the same people paying the tolls.  The paper also presents a simple, clear summary of other researchers’ explanations of how the politics of tolling can play out. Status Looks at 2007 proposal for congestion pricing (proposal failed). Critical Assessment The quantitative analysis method is worth further evaluation and could be worth recommending as a best practice, with the caveat that the data required will be expensive to collect (if a region doesn’t already have it). Additional Comments Referencing Eliasson and Mattsson (2006), the authors usefully note: the two most important factors that determine equity impacts are how revenues will be used and initial travel patterns.”

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 78 Plotnick, R.D., Romich, J., and Thacker, J. 2009. “The Impacts of Tolling on Low-Income Persons in the Puget Sound Region” Citation Plotnick, R.D., Romich, J., and Thacker, J. 2009 “The Impacts of Tolling on Low-Income Persons in the Puget Sound Region”. Washington State Transportation Center (TRAC), University of Washington, Seattle, Washington. Website/Source http://www.wsdot.wa.gov/research/reports/fullreports/721.1.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type Research report intended for policy makers and practitioners. Document Topic The research report critically examines existing research on tolling project impacts to low-income households and then evaluates available data for the Washington and Puget Sound region to develop preliminary estimates of the impacts of two tolling regimes upon poor and non-poor households. The research findings confirm suspected concerns that tolls are regressive; however, it cautions against using the findings as conclusive because of the small sample size available from existing data sources as well as the inability of the study to predict behavioral or travel time changes associated with toll implementation. Nevertheless the report does provide useful insights such as the differing impact among low-income households based on car ownership, employment, commuting needs and use of non-car modes of travel. The study provides a hypothetical simulation showing that poor households could pay up to 15% of their income in tolls and non-poor households, as suspected, would have a proportionately lower cost burden considering their higher income level. The report suggests that redistribution of revenue could offset the regressive nature of tolls, but that most agencies are reinvesting in capacity expansion projects rather than public transportation options which would provide more benefit to low-income populations. Themes Covered  Tolling impacts to low-income households Type of Sponsoring Agency or Organization Washington State Department of Transportation Geographic Distribution Seattle and Puget Sound Region in Washington State Type of Tolled Facility & Features Fully tolled, HOT lanes, variable pricing and peak-period pricing. Tolling Context Two Scenarios are examined: 1. Add a flat rate one-way toll to 12 existing major highway segments in King County 2. One-way toll on SR 520 Regional network in place with existing and new tolls contemplated. All-electronic tolling collection with transponders. Pricing Arrangements This article discusses both time of day congestion pricing and flat rate pricing.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 79     Decision Question/ Decisionmaker Although decisions are beyond the scope of this article, the authors hope to inform policy discussions related to revenue enhancement and future projects. Populations Addressed Low-income households are the focus of the report, comparing two subpopulations who can be generally considered low-income: the poor and the non-poor as defined below:  Poor is defined by the federal poverty measures (2009 family of four is $22,500)  Non-poor includes households were between poor and two times the federal poverty measures ($44,100 per household) Bus riders are also referenced. Stage of Decisionmaking Policy and Program Evaluation; Statewide and Metropolitan planning Relevance This document improves a general understanding of how tolling is affecting low-income populations in Washington State, specifically the Puget Sound area and King County. By analyzing existing data from tolls that have already been implemented, the authors have found a significant impact on many lower-income commuters. This type of information should be relevant to planners when future tolling projects are in the planning process. Along with looking at current data from SR 167, the Tacoma Narrows Bridge and Hwy 520, the authors looked at two different types of tolls, conducted several surveys and created a new geographic specific route-based analysis to determine the distribution of current highway use. They used these findings to then project impacts of hypothetical tolling regimes. The report emphasizes that there are substantial differences among poor households that must be recognized to fully appreciate the economic consequences of implementing toll facilities. The report states that “the financial and time impacts of tolls are not borne equally among poor households.” More robust data sets should be considered to augment information from existing surveys through American Community Survey (ACS) and the region’s Household Activity Survey (HAS) or conducting randomized trials could improve the analysis related to employment status and location and regional travel patterns.  The study created a new geographic specific route-based analysis to predict highway use by poor and non-poor subgroups. The report references “the most sophisticated studies (Small 1983, Safirova 2003, Franklin, 2007) apply simulation models derived from multivariate statistical models to data for households in a specific location”. These resources may be worth examining for potential methodologies. The report also identifies the following three circumstances that would define regressive tolls: 1. The poor lose the most in absolute terms while other income groups either lose less or gain (Small 1983, Safirova 2005); 2. The cost to the poor are higher percentage of their income, but not necessarily higher in absolute terms; or 3. The poor receive net benefits from toll but the benefits are a smaller percentage of their income than benefits received by higher income groups (Safirova et al. 2003).  The overall objective of this document was to improve understanding of how tolling is affecting low-income populations. Through thorough research, they found that most poor households would not be substantially affected by tolling, however those who do not have better alternative routes will show a significant decrease in their economic well-being. The question of whether tolls disproportionately affect lower-income commuters in comparison to higher income commuters has yet to be fully addressed, as each region differs. By comparing region, income and usage, the authors are able to give a multi-dimensional analysis.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 80        The researchers acknowledge several important limitations with research, and note that estimates in their study may be imprecise due to a small sampling of lower-income households. Later in the article, they discuss how a toll may induce some drivers to change routes, start carpooling or switch to public transit. These types of behavioral effect changes add additional complexity.  The researchers have proposed several ways that revenues could mitigate any direct, negative financial effects on lower-income commuters. These include offsetting existing taxes, redistribute revenues proportionately to users according to income, and giving a lump-sum repayment to those eligible. Status Preliminary planning stage. This information is designed to be used when looking at equity concerns with tolls. Critical Assessment The research presented is very thorough and gives a general overview of how tolls in Washington State, specifically King County, have affected lower-income travelers. Variation in regional and local context makes conclusions from a single region or project difficult to generalize. The study is noteworthy but as stated in the report it lacks information on how behaviors would change low- income travel patterns as well as how to value travel time changes. Additional Comments   Comments ONLY for the Research Team  

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 81 Plotnick, R.D., Romich, J., Thacker, J., and Dunbar, M. 2011. “A Geography-Specific Approach to Estimating the Distributional Impact of Highway Tolls: An Application to the Puget Sound Region of Washington State” Citation Plotnick, R.D., Romich, J., Thacker, J., and Dunbar, M. 2011. “A Geography-Specific Approach to Estimating the Distributional Impact of Highway Tolls: An Application to the Puget Sound Region of Washington State” Journal of Urban Affairs, Vol. 33, No. 3, pp. 345-366. Website/Source http://www.ncbi.nlm.nih.gov/pmc/articles/PMC3147225/ Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Peer-reviewed journal article for use by academics and perhaps practitioners. Document Topic This paper estimates the household cost-burden impacts of potential tolling scenarios in the Puget Sound region on poor (and near-poor) households versus non-poor households. Generally, the research finds greater impacts on poor households, though the results are sensitive to model specification. Themes Covered  Equity impacts of tolling  Methodology for forecasting impacts Type of Sponsoring Agency or Organization University researchers funded by Washington State DOT grant. Geographic Distribution Seattle and Puget Sound Region in Washington State Type of Tolled Facility & Features Fully tolled segments; $1 per segment on 12 “candidate” segments Tolling Context Twelve hypothetical segment-based tolls; no discussion of tolling technology, etc. Pricing Arrangements Flat-price Decision Question/ Decisionmaker Not explicitly part of a decisionmaking process, but designed to explore the decision to toll in the Puget Sound region. Populations Addressed Low-income households are defined as being at or below 200% of the poverty line. The comparison group is all others. Only examines commute trips, so workers comprise the sample universe. Stage of Decisionmaking Policy research; equity analysis for potential tolling regime.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 82 Relevance This analysis examines the distribution of financial costs, or cost burden, associated with hypothetical tolls in the Puget Sound region.  Authors use the Household Activity Survey (HAS) for the Puget Sound region, a regional activity-diary survey. Estimates of journey-to-work routing are based on ArcMap route-finding algorithms using geocoded (lat/long) data from the HAS dataset over a regional roadway network.  The authors estimate low-income and non-low-income households’ use of potentially tolled segments in order to estimate the potential annual cost of tolls for both groups and assess whether tolls would cost a disproportionate share of low-income households’ income.  The authors only directly model the money-cost of using tolled facilities; time savings are discussed in prose but not modeled. Status N/A Critical Assessment  This paper uses a straightforward approach to estimating money-cost impacts of tolling on low- income households. Many potential impacts are not modeled (though they are addressed in prose), including route deviation to avoid tolls, mode switching, and the impact of time savings on welfare. The approach might be improved upon through the use of more sophisticated route- finding methods (rather than the all-or-nothing approach used here). Time savings could perhaps be modeled, as well as route and modal shifts due to tolling.  Authors suggest that tolling, though regressive, may still be worth pursuing because of congestion relief benefits. They suggest that costs to low-income households can be offset by income transfer or tax policy.  Alternative methods of paying for roads are likely more regressive yet. Additional Comments In its literature review, the authors provide a useful inventory of previous studies with findings on distributional effects of tolls in the United States.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 83 Ray, R., Petrella, M., Peirce, S., et. al. 2014. “Exploring the Equity Impacts of Two Road Pricing Implementations Using a Traveler Behavior Panel Survey” Citation Ray, R., Petrella, M., Peirce, S., et. al. 2014. “Exploring the Equity Impacts of Two Road Pricing Implementations Using a Traveler Behavior Panel Survey”. Report prepared for the Federal Highway Administration. Volpe National Transportation System Center, Cambridge, M.A. Website/Source http://ntl.bts.gov/lib/54000/54000/54064/UPA-CRD_Panel_Survey_Equity_Final_Report_Volpe.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This is a report prepared by the Volpe Center for the FHWA. Document Topic This report compares the equity impacts of two toll implementation projects. One project involved the implementation of new variable tolling system on Evergreen Point Bridge across Lake Washington on SR 520 highway in Seattle. The other project involved conversion of a HOV 2+ lane to a HOT 3+ lane for a 16-mile segment of I-85 in the Atlanta region. Themes Covered  It used panel surveys in both study areas to determine how travel patterns changed after the implementation of tolls for different income groups.  Two-day travel diaries were used in both places.  A survey was conducted before the implementation of tools (wave 1) and another survey was conducted after the implementation of the toll (wave 2) in both areas.  In addition to inquiring about changes in travel patterns in terms of number of trips, mode used, and route choice, the surveys included questions on satisfaction and attitude.  It mentions toll collection mechanisms in both study areas (Good to Go Pass electronic transponder program and Pay-by-Plate for billing by mail for Seattle and Peach Pass transponder in Atlanta).  The Seattle case study showed that low-income individuals reduced overall travel and the use of the bridge after tolling was implemented. This suggests that, contrary to other studies that examined how people would change their travel patterns after implementation of toll, low-income persons may be affected in a disproportionate way in real life. Note that the low-income individuals had the option of using I-90 instead of the tolled facility, but they still cut down on travel. One reason may be that because of not having transponders, they were charged more.  The primary effect in the Atlanta case seems to be increased dissatisfaction of people who used to use the HOV 2+ facility before it was converted.  Another observation is that most previous HOV 2+ users went back to general purpose lanes while new drivers took over the HOT lane. Type of Sponsoring Agency or Organization The study was sponsored by the FHWA. Geographic Distribution The study covers two distinct areas. One is in the Seattle area and the other in Atlanta. However, the studies do not cover the entire metro areas since their focus was on specific areas within the two metros. Type of Tolled Facility & Features The primary focus of the study is HOT highway lanes that were newly constructed or converted from past HOV lanes in different parts of the country. Specifications of the road segments are provided.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 84 Tolling Context The Seattle case was about a bridge over Lake Washington on SR 520, where new tolling was implements. There were non-toll alternatives, including I-90. The Atlanta case was about converting a HOV 2+ lane to a HOT 3+ lane. Pricing Arrangements In the Seattle case, the toll amount varies by time of day with a maximum of $3.50 in peak hour for transponder users and $5 for non-users (Pay-by-Plate users). In the Atlanta case, tolling was dynamic. Decision Question/ Decisionmaker There is no discussion on decisionmaking processes for any of the projects. However, the observation from the Seattle study that the decrease of trips on the tolled facility and overall travel decreased more than that for the higher income groups should be considered by decisionmakers when assessing tolled facilities. Populations Addressed The study considers users of the facilities by income group. Stage of Decisionmaking The study is about two tolling projects that were already implemented. However, they conducted one survey before the implementation of tolls and the other after tolling was implemented. Relevance This study uses a unique method to measure the impact of tolling. While studies in other places, such as Los Angeles, have focused on what the affected population would do as a result of tolling, the authors of this report actually evaluated how travel patterns changed after tolling. Status Not applicable. Critical Assessment The report used one of the most appropriate methods of data collection. The problem is that one cannot adopt their technique to evaluate a yet-to-be implemented toll. However, their study can be used to argue that tolling affects the low-income individuals in real life even though pre- implementation surveys may not show that. Additional Comments The authors should have thought about conducting and presenting results from statistical analysis. It shows some of the differences in the form of tables and it looks like the differences are significant, but there are no tests to compare the before and after situations for the different income groups.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 85 Schweitzer, L. and Taylor, B. 2008. “Just Pricing: The Distributional Effects of Congestion Pricing and Sales Taxes” Citation Schweitzer, L. and Taylor, B. 2008. “Just Pricing: The Distributional Effects of Congestion Pricing and Sales taxes.” Published on-line by Springer Science+Business Media, LLC. http://link.springer.com/article/10.1007/s11116-008-9165-9#page-1 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Public policy research paper for policymakers, transportation and equity practitioners, and researchers. Document Topic This research paper examines data from users of SR 91 HOT lanes and estimates of potential sales tax revenues proposed as Measure M to assess whether toll revenue collection methods are more or less regressive than other means of paying for transport infrastructure and maintenance. The report confirms that tolls are regressive; however, not as much as a sales tax approach that spreads the cost burden to more non-users that are low-income. In comparison to higher income groups, low-income households pay the highest proportion of their income on sales taxes. However, a sales tax approach tends to transfer the cost burden from low and high income households to middle-income households and from regular users of the road facility to people who rarely or never use it. Therefore, in comparison to the sales tax approach, the HOT lane is progressive with respect to lower-income households and progressive with respect to higher income families. Concluding statements also suggest that a sales tax approach leads to pro-driving/pro-auto policies because everyone is taxed (users and non-users). Therefore, externalities related to environmental, energy, safety and congestion are regressively distributed which distorts driver’s choices by hiding these costs. The regressive distribution of sales tax can lead to lower-income households paying for something they do not use as well as experiencing the externalities that disproportionately harm them such as noise and particulate emissions. Themes Covered  Congestion pricing policy implications  Sales tax policy implications  Regressive and progressive tax policy implications Type of Sponsoring Agency or Organization Prepared by the University of Southern California and Institute of Transportation Studies (UCLA) Geographic Distribution Countywide case study in Orange County, California Type of Tolled Facility & Features SR 91 HOT Lane Tolling Context State Route 91 with transponders Pricing Arrangements Based on time of day travel (HOT Lane)

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 86 Decision Question/ Decisionmaker Report examines a comparison of congestion pricing to a sales tax approach. The study was done to compare the regressive differences between a congestion pricing and a sales tax revenue strategy. Populations Addressed The paper primarily examines five income strata - low, low-middle, middle, middle-high to high incomes - because this was the only level of detailed data available for users of SR 91. However, as part of the sales tax discussion single-women and men were compared to married couples. Stage of Decision- making This paper is primarily related to policy decisions which include concepts that could inform mitigation strategies to account for negative financial effects of tolls on low-income households. Relevance This report provides an appropriate comparative framework for assessing the tradeoffs of various transportation funding policies (specifically sales tax). It makes clear that the sales tax could pose a greater financial burden on low-income households and is a more regressive policy than implementing toll pricing strategies. This comparative frame of reference for policy evaluation can be utilized for planning and project development studies as part of an equity analysis. Status Not applicable. Critical Assessment The key insight is that congestion pricing may be regressive but not as much as a sales tax approach. While it is less regressive, the analysis recognizes that a priced facility may still require mitigation to address the financial burden to low-income households and/or help defray investments in public transportation. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 87 Schweitzer, L. 2009. “The Empirical Research on the Social Equity of Gas Taxes, Emissions Fees, and Congestion Charges” Citation Schweitzer, L. 2009. “The Empirical Research on the Social Equity of Gas Taxes, Emissions Fees, and Congestion Charges.” Special Report 303: Equity of Evolving Transportation Finance Mechanisms, Paper prepared for the Committee on the Equity Implications of Evolving Transportation Finance Mechanisms, Transportation Research Board. Washington, D.C., 29p. Website/Source http://onlinepubs.trb.org/onlinepubs/sr/sr303Schweitzer.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory x x Document Type A review and analysis of the existing research surrounding equity issues and their relationship with road pricing. The document is intended for practitioners, academics and policy makers. Document Topic The document summarizes research surrounding various road pricing methods and the impacts they have on EJ. It also analyzes the methods and approaches used to assess such impacts. The report addresses unique and groundbreaking methods, as well as pointing out areas of road pricing research that are lacking or missing completely. Themes Covered  Research methods  Equity  Road pricing  Public finance  Social justice Type of Sponsoring Agency or Organization Prepared for the Committee on the Equity Implications of Evolving Transportation Finance Mechanisms, Transportation Research Board, National Research Council. Geographic Distribution The paper is an overview of research and does not address a specific area. Type of Tolled Facility & Features N/A Tolling Context N/A Pricing Arrangements N/A Decision Question/ Decisionmaker Discusses the state of current research, and areas where research is lacking or missing. Populations Addressed Mainly low-income, minority, and disadvantaged Stage of Decisionmaking Policy research methods

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 88 Relevance This document was chosen because it provides a concise overview of existing research concerning the impacts of a variety of road pricing methods on equity. Methodologies and Analytical Approaches Most transportation studies are estimates based on representative household profiles constructed from: 1. General household expenditure survey data 2. Travel demand data either generalized from a national travel survey or regional travel survey The document points out, that while most studies limit strata to income (versus other characteristics associated with social exclusion), two English studies stood out as methods to address these limitations. They utilized a method referred to as Pop-Gen. The method utilized the existing distribution of particular population characteristics, notably age, disability, ethnicity, and language, to construct “Monte Carlo” simulations. The simulation bootstraps (random sampling with replacement) a distribution of the most likely travelers from particular zones. The “travelers” are then assigned likely links, including the priced roadways, via algorithm. This method offers a more in-depth analysis of population strata, while eliminating the standard problem of small-number and small-area statistics. Another method involved using focus groups and interviews to gather in-depth, original data on how individuals view the probable effects of policy changes given their contexts and needs. Interesting Findings and Conclusions One of the findings concluded that where HOT lanes (most studies found that they were broadly regressive) are concerned the variance in the findings depended not on methodology and data, but instead upon policy design and the distribution of revenues. The differences in equity implications also involved the local geographic differences (i.e. land use, density, available transit, etc.). The specific geographic variables mentioned include: mode supply, destination/activity supply, tax base, socioeconomic characteristics, and geographic distribution of the congestion and pollution externalities. Areas where Research is Lacking. The studies generally excluded the equity implications from the impacts of transit fares and freight. Status Research Critical Assessment No specific areas of concern Additional Comments The impact of freight on both system deterioration, and on the ability of freight users to supply additional roadway funding, may have major implications for equity.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 89 Southern Environmental Law Center. 2013. “A Highway for All? Economic Use Patterns for Atlanta's HOT Lanes” Citation Southern Environmental Law Center. 2013. “A Highway for All? Economic Use Patterns for Atlanta's HOT Lanes.” Atlanta, GA. Southern Environmental Law Center. Website/Source http://www.junctionatl.org/highway-lanes-for-all/ Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type Advocacy research study. The document is intended for broad audience of practitioners, local officials, transportation decision makers and interested general public. Document Topic The study examines HOT lanes in the Atlanta metro area. It compares transaction data for the I-85 HOT lanes in an attempt to determine whether a relationship exists between toll lane use and the economic profile of the toll lane users. The report finds that an overall positive relationship exists between a ZIP codes median income and the frequency of toll lane use. Themes Covered  HOT lanes  Equity  Road pricing  Statistical Analysis Type of Sponsoring Agency or Organization Non-profit organization. Southern Environmental Law Center. Geographic Distribution Atlanta Metropolitan Region, particularly the northeastern suburbs of Doraville and Duluth Type of Tolled Facility & Features HOT lanes Tolling Context  Facility specific.  The case study examines use patterns concerning an existing toll.  The tolling technology and methods of payment are not specifically mentioned in the case study. Pricing Arrangements Not specified in the case study, although the I-85 HOT lanes are dynamically priced ranging between $0.01 and $0.90 depending on traffic flow. Decision Question/ Decisionmaker A research hypothesis is being tested. Does the usage of HOT lanes by single occupant vehicles correlate positively to a ZIP codes median income in a statistically significant way? Populations Addressed The study is examining income differences. Stage of Decisionmaking The document has relevance for policy research and planning.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 90 Relevance Literature Review – The report referenced a couple of other studies, including:  A California study that found commuters with incomes greater than $100,000 were more than twice as likely to frequent the toll lane as users with incomes below $40,000.  A study in Northern Virginia found that the wealthiest quartile receives travel-related benefits more than 17 times greater than the poorest quartile. Methodology - Usage data was obtained from Georgia’s State Road and Tollway Authority for a four-month period over the fall of 2012. This data included the date, duration, average speed, toll status, cost, and ZIP codes for over 1.5 million HOT lane transactions.  Population and median income data was obtained from the U.S. Census Bureau.  Usage was normalized as a per capita amount. Findings - Out of 1 million lane transactions and 31 ZIP codes analyzed, it was found that:  The highest median income ZIP code had 129,921 transactions or 2.01 transactions per person.  The lowest median income ZIP code had 2,956 transactions or 0.38 transactions per person.  The relationship between median income and HOT lane use was found to have a statistical significance of R=0.44. While meaningful, the score below .5 would also suggest that median income is not the only factor influencing HOT lane use. Policy Recommendations – The report is critical that despite a promise to do so, the I-85 project has had not completed a comprehensive analysis of the social equity impacts after its first year of operation. The federal and state agencies are urged to follow through on this commitment. The report also acknowledges that mitigation has focused primarily on the equity of payment systems- related to those who do not have a credit card. That noted, the organization is most critical of the variable priced toll itself and makes recommendations to minimize impacts on low-income and minority populations:  Maximize Carpool Access – the implementation of the HOT lanes increased HOV requirements from 2 to 3 people, deterring carpooling and making it more difficult for low-income users to utilize the lanes via the untolled, HOV option.  Limit State Funding – Using funding directly derived from HOT lanes to maintain the highway limits the impacts of regressive taxes, like fuel taxes, on low-income individuals, and sources the funding directly from willing participants.  Use Toll Revenue to Fund Parallel Transit Service – Using a portion of collected tolls to maintain sufficient transit services within the area of the HOT lanes helps to increase geographic equity.  Provide Minimum Access for All Registered Users – A limited amount of free trips rationed to all registered users would help ensure all drivers receive a minimum benefit irrespective of income. Status N/A Critical Assessment The study acknowledges some limitations of its analytical methods. For example, the analysis would be improved if it could examine individual trip patterns and incomes rather the zip code level transaction data provided by the State Road and Tollway Authority. In the absence of individual information, more detailed analysis could be performed if mapping of originating trips were at block group or census tract level for income information. Similarly, variables that might influence HOT lane use were not considered (e.g., proximity to HOT lane entry points, likely destinations, availability of alternate routes or transit service) which would have likely required use of travel demand modeling and geospatial analyses. While substantial, the transaction period covered just four months and did not permit examination over time. Additionally, the policy recommendations could have more of a regional context. For example; how would the toll revenue recycling to fund parallel transit service be implemented based on the existing Atlanta transit infrastructure and locations of underserved populations?

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 91 Spitz, G. and Jacobs, D. 2006. “How to Do an Origin and Destination Survey in a Cash- and- Electronic Toll Collection Environment” Citation Spitz, G. and Jacobs D., "How to Do an Origin and Destination Survey in a Cash-and-Electronic Toll Collection Environment." Tollways: Journal of the International Bridge, Tunnel and Turnpike Association Vol. 3, No. 1 (Winter 2006) pp. 65-75. Website/Source http://ibtta.org/sites/default/files/unrestricted/Jacobs.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This research document was published (2006) in Tollways: Journal of the International Bridge, Tunnel and Turnpike Association. The intended audiences are practitioners and academia Document Topic Toll authorities are, first and foremost, transportation providers, and one of their chief objectives in that role is to achieve effective project planning while providing excellent customer service. Obtaining information about customers' travel patterns and trip purposes is essential in that quest. Yet the traditional methods for conducting origin and destination (O-D) surveys and other customer surveys are often incompatible with an electronic toll collection (ETC) environment. In response to this problem, MTA Bridges and Tunnels (B&T), a constituent agency of New York State's Metropolitan Transportation Authority, devised an innovative methodology for O-D surveys. The methodology, developed in cooperation with a private transportation market research firm, has proved to be effective in meeting the challenges of a combined cash-and-ETC environment. The authors believe that B&T's approach in designing the survey would benefit other toll authorities facing the task of conducting logistically complex O-D surveys in a cash- and-ETC setting. Themes Covered  Electronic Toll Collection  Parallel Surveys  Survey Linkages  E-ZPass Sampling  Control Data  Broad Appeal Type of Sponsoring Agency or Organization The New York Metropolitan Transportation Authority’s Bridges and Tunnels was the sponsoring agency. Geographic Distribution New York City metropolitan region and particularly the East River Crossings Type of Tolled Facility & Features Bridge and tunnel – Cash and electronic toll collection Tolling Context Working with bridge and tunnel facilities in a highly congested region to conduct an origin and destination survey in a cash and electronic collection environment Pricing Arrangements Not applicable

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 92 Decision Question/ Decisionmaker Populations Addressed Low-income persons who are more frequently cash-paying customers. Stage of Decisionmaking No information is available Relevance The survey discussed in this article employs a methodology to survey cash customers at toll plazas and E-ZPass customers through the mail on the same day. The interagency cooperation allowed B&T to obtain travel information yet protect the privacy of the E-ZPass customers at the same time.  B&T learned from their O&D survey that cash customers and ETC customers have very different characteristics: o Cash customers have significantly lower incomes than E-ZPass customers o Cash customers have significantly higher vehicle occupancy than E-ZPass customers (it is less expensive to share the ride) o Cash customers are less likely to make a return trip using the same tolled facility than E- ZPass customers o Some cash customers are long distance travelers that pass through the B&T commuter shed from areas outside the E-ZPass service area  B&T also learned the following: o Cash customers’ trip purpose tend to be somewhat different from those of E-ZPass customers o Cash customers tend to use B&T facilities somewhat less frequently than E-ZPass customers o Cash customers are somewhat less likely to use B&T facilities for work trips than E-ZPass customers  While many cash customers are using their facilities in similar ways as E-ZPass customers they also found the following on facilities that utilize two different payment methods: o There is no doubt that these two populations are distinct and unique o That both types of customers need to be analyzed when conducting an O&D study  B&T decided that two separate, but parallel, surveys needed to be undertaken; one for cash customers and one for E-ZPass customers  Cash surveys were distributed at the toll plaza to cash customers  E-ZPass surveys were sent by mail to E-ZPass customers. The strong linkage in both sampling and survey design between the two surveys permitted the two data sets to be combined into a single set that properly reflected travel patterns on B&T facilities for both cash and E-ZPass users on the same day of travel. This same survey approach can be useful for collecting a cross section of parallel data from cash and E-ZPass transactions for O-D studies as well as customer satisfaction and other surveys that could provide helpful information for the successful operation of toll facilities. Status Unknown Critical Assessment The survey allowed characteristics of the cash customer (predominately low-income) to remain differentiated from those of the E-ZPass customers. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 93 Swan, P.F and Belzer, M.H. 2010. “Empirical Evidence of Toll Road Traffic Diversion and Implications for Highway Infrastructure Privatization” Citation Swan, P.F and Belzer, M.H. 2010. "Empirical Evidence of Toll Road Traffic Diversion and Implications for Highway Infrastructure Privatization." Public Works Management and Policy, Vol. 14., No. 4, 2010, 351-373. Website/Source http://pwm.sagepub.com/content/14/4/351 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Technical research article intended for practitioners and academia. Document Topic Scholarly empirical study that measures truckers’ elasticity of demand for limited access toll roads, seeking to address: How do truckers respond to pricing signals? As price increases, how extensively do truckers divert from limited access highways to secondary roads? At what price does this diversion impose costs on secondary highways? Using a unique data set, this article demonstrates empirically the extent to which pricing leads to diversion. Diversion is substantial, and elasticity becomes increasingly negative with higher tolls. This has significant policy implications, including but not limited to public-private partnerships. The diversion of large trucks probably creates an externality that, if it were priced, might cause the costs of tolling to outweigh its benefits. This diversion may have a safety cost because secondary roads are inherently less safe than limited access divided highways. In addition, second-best truck routings may introduce costly deadweight losses to the economy, damaging interstate commerce. Profit-maximizing toll road operators might exacerbate this diversion to the detriment of public welfare. Themes Covered  Elasticity of Truck tolling demand  Diversion of trucks  Safety  Policy implications  Public-private partnerships Type of Sponsoring Agency or Organization University research. Geographic Distribution Midwest, Ohio Turnpike Type of Tolled Facility & Features Ohio Turnpike - fully tolled, variable pricing by distance. Tolling Context Facility specific Pricing Arrangements Variable price by distance Decision Question/ Decisionmaker No decision is being made. This is a state-level research analysis.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 94 Populations Addressed No populations addressed. Stage of Decisionmaking Policy Research Relevance Research on elasticity of truck demand diversion and policy implications of same. Status Research Critical Assessment Study highlights an issue of trucking behavior with respect to price that can have implications to the general public welfare and specific communities when trucks divert to untolled roads. There is no explicit treatment of environmental justice or equity. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 95 Taylor, B. D., and Kalauskas, R. 2010. “Addressing Equity in Political Debates over Road Pricing: Lessons from Recent Projects” Citation Taylor, B. D., and Kalauskas, R. 2010. “Addressing Equity in Political Debates over Road Pricing: Lessons from Recent Projects.” Institute of Transportation Studies, University of California, Los Angeles. Website/Source Transportation Research Record: Journal of the Transportation Research Board, No. 2187. DOI: 10.3141/2187-07 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Literature review and three case studies of road pricing methods. Planning strategies and recommendations are discussed. It is intended for practitioners and academia Document Topic The paper includes a broad review of the existing literature on road pricing equity, as well as three road pricing case studies in which equity debates played a prominent role. Four strategies proved effective in mitigating equity and overcoming opposition: 1. Addressing equity issues early in the planning process 2. Building support from the public and from interest groups 3. Establishing trust between elected officials and transportation agencies before project development 4. Enlisting the support of influential constituencies for toll revenues Themes Covered  Public and political perceptions of road pricing methods  Political realities of transport policy implementation  Social equity and environmental justice: who pays/who benefits  Strategies to overcoming political opposition Type of Sponsoring Agency or Organization Paper prepared by the Institute of Transportation Studies, UCLA and funded in part from grants from California PATH program and California Department of Transportation (Caltrans) with additional support from the Bipartisan Policy Center. Geographic Distribution  The three case studies took place in New York City, Minneapolis/St. Paul, and Los Angeles  Intersection of state, MPO, and municipal governments Type of Tolled Facility & Features The article focuses specifically on HOT (High-occupancy and toll) lanes for all three case studies. Tolling Context  Minneapolis: Facility specific: I-394 NYC: Cordon area concept: Vehicles entering Manhattan south of 60th street and a charge within a designated zone during peak hours. LA: Facility specific: San Bernardino (I-10) and Harbor (I-110) Freeways  Tolling technology was not specifically mentioned  Methods of payment (cash/credit cards) were not specifically mentioned Pricing Arrangements  Minneapolis: Dynamic Pricing  NY: Zonal/Time of Day Pricing  LA: Dynamic Pricing

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 96 Decision Question/ Decisionmaker Implementation of HOT lanes is the major decision question. Decisions are being made at various governmental level:  NYC: state and municipal level.  LA: state and municipal government/transportation authority.  NYC/LA: Federal money promised for pilot implementation of toll/HOT lanes.  MN: Supported by planning efforts of the MPO and state DOT.  NY/LA/MN: Made possible by legislation at the level of the state government. Populations Addressed Focus includes but is not limited to low-income/disadvantaged populations. The article focuses both on socioeconomic and geographical equity concerns voiced by residents, politicians, and policy makers. Several affected stakeholders are referenced including DOTs, transportation authorities, political groups and activists, politicians. Stage of Decisionmaking Policy and program evaluation, statewide and metropolitan planning, and project planning. Relevance The article describes three recent road pricing case studies and distills strategies for successful stakeholder and public involvement concerning HOT lane implementation. It looked at areas where the planning process either failed or succeeded in addressing perceived and actual issues of equity and fairness, as well as areas where the planning process either failed or succeeded to educate the public on the specifics of the policy itself.  The main technique discussed is to involve as many special interest organizations and advocates in the discussion and planning process as possible. This helps spread awareness and education about the project itself and reaches populations that may not otherwise be addressed.  The article examines the challenges of governing bodies in successfully implementing HOT lanes in major U.S. metropolitan areas; the main hurdle involves objections made on the basis of equity and fairness. The solutions that are derived from the case studies include: addressing issues of equity early on in the planning process, public outreach and public education incorporated into the project design, being transparent and straightforward as to the geographic implications for toll collections and usage (i.e., what populations will be paying and what populations will be benefiting from the tolling?).  The Minneapolis case study discusses MnPass’s intentions to investigate the feasibility of a credit program in which each driver is extended a certain amount of dollar credits per month based on income. The dollars could be used on the HOT lanes or for vehicle registration. At the time of the article, the specific program was still in development and the outcomes for implementation and equity had not yet been observed. Status In Minneapolis, the project was implemented in 2005. In NYC, the cordon congestion pricing project failed to garner state legislative support and therefore did not receive Federal CRD funds. Some city politicians and advocates that represented low-income neighborhoods argued that the tax would be regressive and hurt low-income and working class residents. Also, it was argued air quality and parking demands would swamp outer boroughs and disproportionately burden these communities. Opposition to the initiative attracted strange bedfellows and equity arguments were championed to defeat the measure. These unlikely coalitions included suburban districts who, the authors asserted, may have been motivated as much to protect their higher income constituents facing the threat of higher costs into the city than any real concern for the city’s low-income dwellers. There were also geographic equity arguments that the benefits were

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 97 going to be unfairly enjoyed by Manhattan residents within the cordon region at the expense of others in the region. There were disagreements among city council members and only some saw this as potentially positive for equity concerns, leading to less traffic, better air quality and a mean for funding better public transportation options for low-income neighborhoods. Despite the city’s support, the decision to approve the measure was in the hands of the state legislature and there was insufficient support at that level of governance to bring the legislation to a vote and the initiative was defeated. LA: At the time the article was written the project was still in the proposal stage, although it has since been implemented. The authors argue that equity objections raised at the time were fueled as much by concerns over geographic equity in transportation funding than by social or economic fairness concerns to their low-income constituents; that is, politicians sought more transit funding to their area and brought their objections forward as a political tactic to accelerate funding to their area for the Gold Line light rail. Critical Assessment The article contains highly readable literature review on the treatment of equity, including the authors’ prior research on the relative progressivity of tolls vis-à-vis other transportation funding mechanisms. The article contains case studies that contain some critical and shrewd observations about opposition presented on equity grounds and what it may take to build support for tolling projects. The strategies and recommendations put forward to overcome political opposition provide some valuable broad points and point to select exemplars to follow through in further research. Overall, the article suggests some key ingredients in building political and public support; these strategies – equity addressed early in the process; broad-based support from the public and interest groups; trust between elected officials and transportation agencies; and powerful constituencies for toll revenues arise – generally reflect the challenge of navigating political realities in specific regions related to transportation funding equity (i.e., modal, geographic) and outline important but broad strategic considerations that agencies should recognize when seeking to promote and implement pricing solutions. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 98 Texas Transportation Institute and Cambridge Systematics, Inc. 2006. “Washington State Comprehensive Tolling Study” Citation Texas Transportation Institute, in association with Cambridge Systematics, Inc. 2006. “Washington State Comprehensive Tolling Study”. Final Report, Volume 2, Background Paper #4: Equity, Fairness, and Uniformity in Tolling. Report for the Washington State Transportation Commission. Website/Source http://www.wstc.wa.gov/Rates/Tolling/FR1_WS_TollStudy_Vol2_Paper04.pdf http://wstc.wa.gov/Rates/Tolling/WS_TollStudy_FinalReport_Vol2_Complete.pdf http://wstc.wa.gov/Rates/Tolling/WS_TollStudy_FinalReport_V1.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type The purpose of the Washington State Comprehensive Tolling Study (September 2006) is to help Washington State make policy-level decisions on if, where, when, and how to toll by providing a practical step-by-step tolling strategy for Washington State. Although Washington State has had numerous toll facilities in the past, with the exception of the Washington State Ferries, there are none currently in operation. Two facilities, the Tacoma Narrows Bridge and the SR 167 High-Occupancy Toll (HOT) Lanes Pilot Project, were authorized as toll facilities and currently are under construction. There also are numerous tolling proposals in various stages of study. The Background Paper #4, Equity, Fairness, and Uniformity in Tolling, is one of 11 Background Papers included in volume 2 of this 2-volume study. The study was prepared for the Washington State Transportation Commission. Document Topic The topic covered by Background Paper #4 is Equity, Fairness, and Uniformity in Tolling and it provides a national review of equity and fairness. Themes Covered The Background Paper #4 on Equity, Fairness and Uniformity in Tolling included a national review of equity and fairness research. The study reviewed research and finding on equity and fairness and its relationship to tolling. The report also explores the equity of the current financing system and makes recommendations for Washington State. It discusses a framework for analysis and provides key definitions and considerations for income and geographic equity. Type of Sponsoring Agency or Organization Washington State Transportation Commission (WSTC) is designated in law as the State Tolling Authority. It provides a public forum for transportation policy development. It also reviews and assesses how the entire transportation system works across the state and issues the state’s 20-year Transportation Plan. As the State Tolling Authority, the WSTC sets tolls for state highways and bridges and fares for Washington State Ferries. It is a seven member body of citizens appointed by the Governor for six-year terms. The Secretary of the Washington State Department of Transportation and a representative from the Governor’s Office are ex officio members. Geographic Distribution This document addresses not only Washington State but also provides information on from other states, including: Jefferson Parkway (W-470) proposed toll corridor in Colorado; the Mid-State Tollway in Alameda and Contra Costa counties in California; the Trans- Texas Corridor in Texas, and Value Pricing Program projects such as SR 91 (express toll lanes), I-15 (HOT lanes), I-394 (HOT lanes), I-25 (HOT lanes), Tappan Zee Bridge (value pricing), and Leeway toll bridge (value pricing).

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 99 Type of Tolled Facility & Features Washington State currently has three tolled facilities: the Tacoma Narrows Bridge (drivers can pay using a Good To Go! account, by stopping at the toll booths or Pay By Mail where a toll bill is sent in the mail to the vehicle's registered owner). SR 167 HOT Lanes Pilot Project (HOT lanes are HOV lanes open to solo drivers who choose to pay a toll) and the SR 520 Bridge (all-electronic tolling). I- 405 Express Toll (ET) lanes are currently under construction on the north end of I-405 and are expected to open in 2015. These lanes will operate similarly to the HOT lanes on SR167 (different names but same function). Tolling Context Washington State currently has three tolled facilities: the Tacoma Narrows Bridge (drivers can pay using a Good To Go! account, by stopping at the toll booths or Pay By Mail where a toll bill is sent in the mail to the vehicle's registered owner). SR 167 HOT Lanes Pilot Project (HOT lanes are HOV lanes open to solo drivers who choose to pay a toll) and the SR 520 Bridge (all-electronic tolling). Pricing Arrangements This topic is not discussed Decision Question/ Decisionmaker The purpose of the Washington State Comprehensive Tolling Study (September 2006) is to help Washington State make policy-level decisions on if, where, when, and how to toll by providing a practical step-by-step tolling strategy for Washington State. Decision makers include all levels of government Populations Addressed Key considerations relevant to the impacts of tolls on low-income populations are discussed. No other affected stakeholders are referenced Stage of Decisionmaking The purpose of the Washington State Comprehensive Tolling Study (September 2006) is to help Washington State make policy-level decisions on if, where, when, and how to toll by providing a practical step-by-step tolling strategy for Washington State. Relevance The National Review of Equity and Fairness issues identified five principal types of equity considerations, all related to the distribution of benefits and costs:  Geographic Equity – Concerning the distribution throughout the State of Washington  Income Equity – Concerning the distribution upon economically disadvantaged communities  Participation Equity – Concerning the involvement of affected communities in the decision- making process for the distribution  Opportunity Equity – Concerning the specific distribution throughout the State relative to decision criteria  Modal Equity – Concerning the distribution upon preferred travel behavior The document provides a detailed discussion of geographic equity and income equity. Geographic equity analysis is addressed primarily in the realm of public opinion and policy setting, whereas income equity analysis is based within the principles of environmental justice. For toll projects, the particular question is whether payment of a toll may be an additional cost. The evaluation needs to consider:  the net benefit or net benefit or net cost of the toll itself upon low-income and poverty-stricken communities;  the access to the system because of the ability (or lack thereof) to pay a toll; and  available alternatives to pay the toll Toll projects are not necessarily negative for low-income population. Particular situations in which toll projects avoid negative impacts on low-income populations include:  Toll projects create a positive spillover on adjacent facilities  Lower-income situational value of time is higher that the prevailing toll charge  Toll projects provide enhancement of mobility options

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 100  Conversely, particular applications of tolling which hold the prospect of burdensome impacts on lower-income communities include:  Toll projects which do not ensure accessibility to the facility, independent of ability to pay  Toll projects on existing capacity  Projects that jump to the head of the priority queue because of toll revenue Status Stage of planning or implementation, date of pricing inception, etc.) Critical Assessment It addressed positive and negative aspects on low-income populations and provided information relative to “looking back and seeing what happened” on projects that have been in operation for some time. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 101  Special Report 303: “Equity of Evolving Transportation Finance Mechanisms” Citation Special Report 303: “Equity of Evolving Transportation Finance Mechanisms.” Transportation Research Board of the National Academies, Washington, D.C., p. vii-150. Website/Source http://onlinepubs.trb.org/onlinepubs/sr/sr303.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type This report is intended for policy makers at all levels of government with the purpose of providing guidance about equity issues to officials deciding how to fund transportation programs and projects. Document Topic When confronted with decisions on how to finance state, regional, or local transportation projects, policymakers legally and ethically require knowledge of how transportation financing impacts their constituents. Considerations of who ultimately bears the burdens and benefits of a transportation financing policy are essential. When analyzing the equity of a given transportation funding mechanism (or transportation project) there are five criteria that policymakers can use as a framework for policy debate about equity and to ensure impacts do not disproportionately affect one group, including: (1) income; (2) geography; (3) mode; (4) generation; and (5) ethnicity. Themes Covered  The role of equity in the evolution of U.S. surface transportation financing is discussed in the context of local streets, highways, and public transit. As travel purpose varies on local streets, highways, and public transit, so do considerations of equity – notably, who should pay for travel in these circumstances.  Equity related to transportation system use evolved from an array of constitutional protections, statutory mandates, presidential executive orders, and regulations accompanying federal grants or contracts.  Equity considerations stem from five main concepts: o Benefits received: equity increases when individuals pay at a rate that is proportional to the benefit they receive for transportation system use (basis for the user-pays principle). o Ability to pay: those with greater income or wealth should pay more to support public services (basis for income and property taxes). o Return to source: the amount a group (or community) pays should reflect that groups’ expenditures on transportation. Groups are often defined by where they live or pay taxes (basis for geographic equity concept). o Costs imposed: people should pay in proportion to the costs they impose on society, including other transportation system users and third parties. o Process: transportation users should be part of the decisionmaking process. Perceptions of fairness often depend on the decisionmaking process as much as, or more than, the outcomes of the decisions.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 102   There are useful criteria for grouping individuals for the purpose of assessing equity impacts, including: o Geographic location o Economic status o Generation (time period of impact) o Socio-demographic characteristics (e.g., sex, age, race or ethnicity, physical limitations) o Use of the transportation system (e.g. drivers, rail commuters, bicyclists, etc.)  An overarching goal of equity considerations is to determine who the “winners and losers” are of a policy or project. If there are any inequities, what steps can be taken to mitigate any adverse outcomes.  The burden of a policy designed to raise transportation revenues may be drastically different than what was foreseen. The actual burdens people and businesses experience as a result of financing mechanisms are not always obvious, because there are many ways to shift costs to others.  Making informed decisions about finance policy requires going beyond the cost burdens alone. Identifying the policy’s benefits such as faster travel times, cleaner air, and safer roads, among other benefits are also integral considerations for assessing equity. Type of Sponsoring Agency or Organization This study was initiated by the Transportation Research Board (TRB) Executive Committee in 2008. Under the leadership of Joseph L. Schofer, a committee of 12 members completed this report to provide guidance to public officials about equity issues regarding transportation funding mechanisms. Geographic Distribution The research applies to all locations in the United States. The primary audience of this work is elected officials at the local, state, and national levels. Type of Tolled Facility & Features HOT lanes, managed lanes, truck only toll lanes, and cordon pricing are presented in an overarching discussion transportation funding mechanisms and equity surrounding them. Tolling Context As flat rate and variable tolling facilities have emerged as strategies to finance the nation’s surface transportation infrastructure, they bring about a host of equity questions that must be answered if these mechanisms are to succeed. This report addresses equity concerns associated with tolling through the following contexts:  An historic overview of the role of tolling in the past and its potential use in the future.  Flat rate and variable tolls (including vehicle miles traveled fees, cordon pricing, and truck only lanes) as options to supplement or replace the motor fuels tax. Pricing Arrangements This report provides an overview of toll pricing features and the equity considerations that go along with them, including: dynamic, time of day, and single price toll options. Decision Question/ Decisionmaker This report focuses on the equity considerations prior to the implementation of transportation funding mechanisms. Adoption of funding mechanisms involves intergovernmental decision making. This report focuses on equipping public officials, at all levels of government, with a comprehensive understanding of how equity relates to all transportation funding decisions. Populations Addressed This article addresses the economic effects of transportation funding borne by transportation system users (low, middle, and high level of wealth, ethnicity, and limited mobility status). Stage of Decisionmaking This report focuses on the transportation planning process at all levels of government. It provides background knowledge on funding mechanisms and equity considerations as well as strategies decisionmakers can employ to engage their constituents and stakeholders in informed discussions about the fairness of road pricing proposals.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 103  Relevance This report presents a broad discussion of the various equity considerations that should be considered as transportation funding options are being analyzed. It serves as a foundation of knowledge for policy makers, transportation agencies, stakeholders and other parties that are evaluating the impacts of toll facilities, vehicle miles traveled fees, and other transportation funding options. When a tax is levied upon a group, that group does not always bear the financial burden. In many instances, there are indirect effects that occur if a group subject to a tax is able to pass off its cost burden to another party. This report discusses motor fuels and weight-mile taxes as two funding mechanism that offer insight into the direct, indirect, and cumulative effects of road pricing policy on different populations. For example, when a tax is imposed on fuel tax distributors, they may decide to raise the price of fuel that they charge to retailers. As a result the retailers bear the cost of the tax, or they may raise their selling prices, passing the burden onto consumers. Similarly, the cost burden of a weight-mile tax imposed on owner operators may be shifted to shippers, which may be in turn passed onto consumers. The level to which cost burdens can be shifted is often very difficult to predict. Thus, determining who ultimately bears the cost burden for a mechanism can be extremely complicated or complex. The report evaluates five aspects of equity, including: (1) income, (2) geography, (3) mode, (4) generation, and (5) ethnicity. Each of these aspects should be evaluated to avoid disproportionate societal impacts. On the following page, there is a table that has been extracted from the report that provides meaningful questions to ask about each aspect and what tools or information a policy maker would need to mitigate inequity.  Identification of innovative practices including successful mitigation strategies (e.g., alternate routes, travel modes, revenue recycling, discount programs, transit credit programs, etc.) Status n/a Critical Assessment This report provides a robust foundation of the various equity considerations that should be incorporated into the transportation planning process. They provide an excellent framework to evaluate the impacts of a transportation funding mechanism. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 104     Ungemah, D. 2007. “This Land is Your Land, This Land is My Land: Addressing Equity and Fairness in Tolling and Pricing” Citation Ungemah, D. 2007. “This Land is Your Land, This Land is My Land: Addressing Equity and Fairness in Tolling and Pricing.” Transportation Research Record: Journal of the Transportation Research Board, No. 2013, Transportation Research Board of the National Academies, Washington, D.C., pp 13-20. Website/Source https://trb.metapress.com/content/e55r578145060063/resource-secured/?target=fulltext.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory     X   X Document Type Practitioner-based Research Study Document Topic Definitions of equity in the context of transportation policy. Themes Covered Legal basis for requiring considerations of equity in transportation policy. Type of Sponsoring Agency or Organization The paper was based on tolling and equity policy research for the Washington State Transportation Commission. The paper was published by the Transportation Research Board of the National Academies. Geographic Distribution National Type of Tolled Facility & Features Limited access highways, HOT lanes and congestion pricing. Tolling Context The use of tolls as a way to fund transportation investment and other transportation services. Pricing Arrangements This paper focuses almost exclusively on the equity impacts of tolls. Decision Question/ Decisionmaker When adopting tolls (of any of the variety mentioned above) is there a net benefit to EJ communities? Populations Addressed It general, adopts the definition of EO 12898, but it uses “poverty-stricken” and other such terms in the course of discussion so the exact community addressed lacks precision. Stage of Decisionmaking Planning and Project Development Relevance This paper is useful for cataloging the various conceptions of equity (e.g., income, geographic, modal, participation, opportunity) and that have to be taken into account. But what makes it especially useful is that beyond the taxonomy of legal requirements in transportation planning to address the needs of EJ communities the author also supplies a taxonomy of the fundamental concerns of EJ. In addition, the paper places these concerns in the context of the limitations of conventional financing for roads and other transportation services. Finally, the author is careful to stress that tolls also produce benefits so that in any cost/benefit analysis it cannot be assumed that EJ communities will always oppose any of the variety of toll proposals considered in the paper. The author suggests that income equity issues can more easily be mitigated or alleviated than geographic equity, fulfilling the requirements of environmental justice. The author also argues that no project

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 105  needs to be delayed or tabled because of issues of equity. Identifying concerns and addressing them through deliberate and transparent policy and action can help further the case for tolls in a broad transportation financing and planning context. Status N/A. Critical Assessment This short paper can be used as a check-list for concerns as we map out the next steps, but its analysis will need to be deepened for anything more than that. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 106  U.S. Government Accountability Office. 2012. “Traffic Congestion: Road Pricing Can Help Reduce Congestion, but Equity Concerns Grow” Citation U.S. Government Accountability Office. 2012. “Traffic Congestion: Road Pricing Can Help Reduce Congestion, but Equity Concerns Grow.” Report to the Subcommittee on Transportation, Housing, and Urban Development and Related Agencies, Committee on Appropriations, House of Representatives. Website/Source http://www.pwfinance.net/document/research_reports/GAO%20HOT%20lanes.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X Document Type This is a GAO report for the Subcommittee on Transportation, Housing, and Urban Development and Related Agencies, Committee on Appropriations, of the House of Representatives that reviews the status of existing Congestion Pricing Programs. Document Topic As state transportation agencies are confronted with how to deal with rising levels of congestion and are looking to generate additional revenues to support their transportation system needs, congestion pricing has become more appealing. The pricing mechanism has the potential to change driver behavior, so that more individuals carpool or utilize transit, and free-up more road space. Though pricing encourages a more efficient allocation of vehicles, it has equity implications that have yet to be fully addressed. This report evaluates some 14 congestion pricing facilities that have emerged from the three federal congestion pricing programs. Themes Covered  Some “red tape” has been removed and funds have become available to enable State Departments of Transportation (DOTs) to implement congestion pricing projects. This includes USDOT approval on design exceptions for certain projects that include congestion pricing, categorical exclusions for pricing projects that remain within their original “footprint,” and three congestion pricing programs that enable agency participation.  If revenue-maximization is the ultimate motive of a pricing facility’s sponsor, then meeting revenue targets can be at odds with providing optimal throughput. For example, public-private partnerships that plan to use toll revenues to pay for construction debt, operations, and a return for their investors have every incentive to profit-maximize. In theory a sponsor could charge a higher toll and make more money off of fewer paying vehicles.  Equity concerns arise as decision makers introduce pricing to previously untolled facilities. Populations already at a disadvantage will have to contend with a loss of travel options.  Equity concerns should be weighed against the potential benefits, including improvements in economic efficiency. A greater use of pricing could enhance economic efficiency by discouraging solo driving and making alternatives such as carpooling or taking transit more appealing.  Congestion pricing projects that convert shoulders and narrow lanes to create new lanes raise concerns about driver safety and highway operations. Additional lanes on converted shoulders remove the safety refuge areas for motorists during vehicle breakdowns and emergencies. Type of Sponsoring Agency or Organization This study was written by the Government Accountability Office and directed to the Subcommittee on Transportation, Housing, and Urban Development and Related Agencies, Committee on Appropriations of the House of Representatives.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 107  Geographic Distribution The research applies to all locations in the United States; however there is a special focus on facilities that are part of the three federal pricing programs (Value Pricing Pilot Programs (VPPP), Express Lanes Demonstration Program (ELD), and High-Occupancy Vehicle (HOV) facilities). Type of Tolled Facility & Features HOT lanes, peak-travel pricing, and bridge tolling are discussed in this report. Tolling Context This report discussed HOT lane facilities, turnpikes with peak-pricing, and bridges that were part of the three federal pricing programs (VPPP, ELD, and HOV Facilities). It also discussed potential toll rebate options offered to disadvantaged populations. Pricing Arrangements This report focuses mainly on variable toll rates that are charged for the use of HOT lane facilities. Other facilities that charge a peak-travel toll are also discussed. Decision Question/ Decisionmaker Congress has authorized the US Department of Transportation to approve tolling, which can include congestion pricing through three programs. The list below is extracted from the literature and it discusses these three programs:  VPPP, authorized in the Transportation Equity Act for the 21st Century in 1998 (and preceded by the Congestion Pricing Pilot Program authorized in the Intermodal Surface Transportation Efficiency Act of 1991) is a pilot program for local transportation programs to determine the potential of different value pricing approaches to managed congestion, including projects that would use toll on highway facilities. DOT can grant tolling authority to 15 state and local transportation agencies for this program. All but 1 of the HOT lane projects in the operation and open to traffic and most peak-period pricing projects in the United States received VPPP funds at one time or another.  ELD, authorized in Safe, Accountable, Flexible, Efficient Transportation Equity Act—A Legacy for Users (SAFETEA-LU) in 2005, allows 15 demonstration projects to use tolling to manage high congestion levels, reduce emissions to meet specific Clean Air Act requirements, or finance additional Interstate lanes to reduce congestion. Five projects – 4 of which are in Dallas-Ft. Worth, Texas, and the other in Ft. Lauderdale, Florida—have received tolling authority through this program, and four of these projects are under construction.  High Occupancy Vehicle (HOV) Facilities (HOT Lanes), authorized in SAFETEA-LU in 2005, permits states to charge tolls to vehicles that do not meet occupancy requirements to use an HOV lane even if the lane is on an Interstate facility. Eleven of the 12 operational HOT lane projects in the United States received tolling authority as part of the HOV Facilities program or VPPP and its predecessors – the Congestion Pricing Pilot Program. DOT has approved design exceptions for certain highway projects. In addition, projects that a federal agency has previously determined to have no significant environmental impacts may receive categorical exclusion, meaning that they do not require an Environmental Impact Statement or Environmental Assessment to comply with the National Environmental Policy Act (NEPA). Decisions are being made at the state level in coordination with the USDOT. For example, the Florida Department of Transportation received design exceptions for I-95 in Miami to convert parts of the median and shoulder lanes and narrow other lanes from the standard 12 feet to 11 to make two HOT lanes in each direction. Populations Addressed The report identifies the income equity effects of congestion pricing and how they may be borne by low-income and minority populations. Bus riders are disproportionately lower-income. This report discusses using pricing revenues to develop express bus routes on HOT lanes to help mitigate any adverse pricing effects.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 108  Stage of Decisionmaking Policy research and program evaluation report that examine how congestion pricing aligns with project development and NEPA processes, facility operations, and mitigation and compensation techniques. Relevance The report discusses the efforts that have been made to assess the effects of congestion pricing projects on equity. The report includes an evaluation of income equity (the distribution of costs and benefits of congestion pricing between low- and high income drivers) and geographic equity (the relative effects of congestion pricing on two geographic areas, including the effects of any traffic diversion). Lessons learned and methods employed in these efforts can be used to inform the state of the practice when considering congestion pricing implementation. Income equity: Four HOT lane projects attempted to assess equity through surveys or focus groups of travelers concerning their use of these facilities.  SR 91 in Orange County, I-394 in Minneapolis, and SR 167 in Seattle indicated that drivers of all incomes used HOT lanes, but high income drivers used them more.  SR 91 in Orange County, I-394 in Minneapolis, SR 167 in Seattle and I-15 in San Diego found that drivers liked having the option of using HOT land and thus were supportive of them. Geographic equity: Traffic was expected by many transportation agencies to be drawn into the HOT lanes instead of away from them. This is because HOT lanes were implemented by converting an HOV lane that prohibited solo drivers to an HOT lane that permitted solo drivers, but with a toll. This was the case for SR 91 in Orange County. Two agencies that sponsored peak-period pricing studied traffic diversion and found no evidence of traffic being diverted to adjacent roads. Minority considerations: Agency sponsors of a HOT lane project (SR 167 in Seattle) and a peak pricing project (the New Jersey Turnpike) evaluated the impact of pricing on minorities. An environmental justice assessment for SR 167 found that there would not be a disproportionate effect on minorities because there was a small minority population in the area and there were unpriced alternatives. The 2005 New Jersey Turnpike evaluation found that there would be no disproportionate effect on minority populations; however, these results came from a survey with a small sample size with results that cannot be generalized to all users. Environmental concerns: Three HOT lane projects (I-15 San Diego, SR 91 Orange County, and I- 394 Minneapolis) and one peak-period pricing project (New Jersey Turnpike) found little or no air quality improvements. There were minimal air quality improvements on I-15, I-394 and the New Jersey Turnpike, but no effects on SR 91. Performance Measures: Performance measures are reported for the Express Lanes Demonstration Program, the Value Pricing Pilot Program, and the High Occupancy Vehicles Facilities Program. DOT reports the performance of ELD to Congress. Performance goals are in four categories: (1) travel, traffic, and air quality (2) distribution of benefits and burdens on users of the facility (3) use of alternative transportation modes (4) use of revenue to meet transportation or impact mitigation needs Performance measures include changes in traffic volumes and traffic speed; average tolls charged for the year compared with the previous year; number of carpools and express bus ridership; and use of toll revenues, including the percentage of revenues used to mitigate impacts. ELD projects are not yet required to meet specific performance standards.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 109  Project sponsors that receive VPPP funds must also evaluate the performance of congestion pricing projects. Results are then reported to Congress biannually; however, no specific performance standards are required. These five categories are reported: (1) driver behavior, traffic volumes, and travel speeds (2) transit ridership (3) air quality (4) equity for low-income individuals (5) availability of funds for transportation programs The HOV Facilities Program sponsors must meet a vehicle speed performance measure. Vehicles must be able to travel at least 45 miles per hour 90 percent to the time during weekday morning and evening peak hours over a 180-day period. A portion of the toll revenues can be set aside for alternative transportation modes in the highway corridor, such as express bus service on HOT lanes. Often, bus riders are disproportionately lower- income individuals who would benefit from both reduced congestion on the HOT lanes and increased transit investments from toll revenues. A survey of Seattle residents demonstrated that public support grew for tolling the SR 520 Bridge if a portion of the revenue was dedicated to transit. Avoiding, Minimizing and Mitigating Impacts: Setting performance standards for measures that are already evaluated by DOT (air quality, equity for low-income individuals, and availability of funds for transportation programs) would assist in minimizing adverse effects on low-income and minority populations. In addition, dedicating revenues to alternative transportation modes in highway corridors such as express bus service on HOT lanes could potentially mitigate adverse effects upon disadvantaged populations. Performance monitoring was presented in the appendix of the report. The monitoring examples have been extracted and included in the final pages of this document. Toll revenue could be used to reimburse low-income drivers, whether by exempting them from paying tolls or by providing them with a tax credit for the difference between the toll and transit fares. Transportation agencies have considered offering reimbursement to households qualify for discounted utility rates. Status n/a Critical Assessment This report provides a comprehensive evaluation of the projects that are within the Express Lanes Demonstration Program, thee Value Pricing Pilot Program, and the High Occupancy Vehicles Facilities Program. It provides valuable information on the status of the programs and devotes discussion to various measures being employed by sponsors and their partners to address equity concerns. Additional Comments

T f his information acility performa above was ext nce monitoring. racted from the Environm GAO report’s ental Justice An appendix due t alyses When Co o its relevance nsidering Toll I in the discussio Projec mplementation o n of congestion t NCHRP 08-100 r Rate Changes Appendix A ‐  pricing 110 

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 111  performance monitoring. This information above was extracted from the GAO report’s appendix due to its relevance in the discussion of congestion pricing facility

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 112  This information above was extracted from the GAO report’s appendix due to its relevance in the discussion of congestion pricing facility performance monitoring.

This information performance mo above was extr nitoring. acted from the Environm GAO report’s ap ental Justice An pendix due to i alyses When Co ts relevance in t nsidering Toll I he discussion of Projec mplementation o congestion pric t NCHRP 08-100 r Rate Changes Appendix A ‐  ing facility 113 

   Th Ev an (3) is table was ext olving Transpor y adverse effects mode, (4) gene racted from Com tation Finance M that may dispr ration, and (5) e mittee on Equit echanisms,” T oportionally imp thnicity. Environm y Implications of ransportation R act certain grou ental Justice An Evolving Trans esearch Board, ps through an e alyses When Co portation Finan Special Report 3 valuation of five nsidering Toll I ce Mechanisms 03. p.131. It co aspects: (1) inc Projec mplementation o . 2011. “Equity nsiders how to m ome, (2) geogra t NCHRP 08-100 r Rate Changes Appendix A ‐  of inimize phy, 114 

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 115  U.S. Federal Highway Administration. 2008. “Income-Based Equity Impacts of Congestion Pricing: A Primer” Citation U.S. Federal Highway Administration, 2008. “Income-Based Equity Impacts of Congestion Pricing: A Primer,” FHWA-HOP-08-040, United States Department of Transportation, Washington, D.C. Website/Source http://ops.fhwa.dot.gov/publications/fhwahop08040/fhwahop08040.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This research document is part of FHWA’s 7-part set called The Congestion Pricing Primer Series. Document Topic This element of FHWA’s Congestion Pricing Primer series provides an overview of the key elements of congestion pricing, to illustrate the multidisciplinary aspects and skill sets required to analyze and implement congestion pricing, and to provide an entry point for practitioners and others interested in engaging in the congestion pricing dialogue. This equity primer was produced to examine the impacts of congestion pricing on low-income groups, public opinion as expressed by various income groups, and ways to mitigate the equity impacts of congestion pricing. Themes Covered There are three principal types of equity (income, geographic and modal) considered that relate to the distribution of benefits and burdens of toll or congestion pricing projects. This document focuses on income equity which asks the questions:  are low-income groups negatively affected?  is the burden of travel-behavior change falling disproportionately on low-income individuals fair? It found that toll roads impact EJ in at least two ways:  impacts from the alignment  impacts from the ability to take advantage of better service. This document focuses on the ability to take advantage of better service because the focus is on congestion pricing as applied to existing facilities. It presents information on the low-income equity issue in three ways:  an overview of what is known about the low-income equity issue on the basis of current literature  results from studies conducted under US DOT’s Value Pricing Pilot (VPP) Program  what is known about the issue, at this point in time, from DOT’s six urban partners (Miami, Atlanta, Minneapolis, Seattle, San Francisco, and Los Angeles) funded under the Urban Partnership Agreement Program and the Congestion Reduction Demonstration Program. Type of Sponsoring Agency or Organization Federal Highway Administration (FHWA) Geographic Distribution  “Partial” Pricing Projects o San Diego, CA o Denver, CO o Minneapolis, MN o Houston, TX o Seattle, WA o Orange, CA  “Full” Facility Pricing Projects o Lee County, FL o New York, NY

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 116   Planning Studies conducted under the VPP program o Alameda County, CA o Minneapolis, MN o Washington D.C. Metropolitan Area Type of Tolled Facility & Features “Partial” pricing projects (HOT lanes) and “Full Facility” pricing projects (reduced off-peak tolls and variable tolls). Under “Planning Studies Conducted Under the VPP Program” three innovative approaches were designed specifically to address equity issues  Toll credits to qualified low-income users on the basis of their monitored usage of free regular lanes located adjacent to HOT lanes. Accumulated credits allowed for periodic free use of the HOT lanes by these motorists  Allocate a fixed amount of toll credits to all area motorists, similar to the limited number of free peak-period minutes allocated by cell phone companies to their customers. Total credits allocated to all motorists would be limited by the peak-period capacity available on the roadway system. This would ensure that demand would not exceed supply of road space (i.e., roadway capacity) and guarantee congestion-free travel for all motorists in exchange for use of their free credits to “pay” for roadway use  Analyze three scenarios involving a network of priced lanes o With respect to transit, because transit service was added between the base case and the scenarios, only gains in accessibility were noted. o With regard to highways, one scenario had no losses in accessibility; thus, no population group experienced losses. o The pattern of losses and gains for the other two scenarios were very similar, with no one population group receiving a large share of the benefit and no one population group shouldering a disproportionate share of the losses. Tolling Context The document discusses many different variations of tolling, and focuses on congestion/varied tolling prices and the effect on low-income drivers. HOT lanes are a particular focus. Pricing Arrangements As this is a research document, no specific pricing arrangements, but discusses time of day pricing. Decision Question/ Decisionmaker No changes or decisions are being made. Populations Addressed Low-income, median income, and high income. Other affected stakeholders that are mentioned include transit users and bus riders. Stage of Decisionmaking Policy and program evaluation; statewide and metropolitan planning; project development; operations. Relevance CONCLUSIONS  This document concludes that any change in the way charges are made for road use will benefit some individuals more than others. Those who have higher incomes will tend to use congestion- priced facilities more often, which leads to a perception that wealthy people are favored; however, income-related equity concerns may not be entirely warranted. Although data from priced lanes that are operated in the United States show that high income motorists do use the lanes more often, the lanes are used by all income groups, serving drivers’ needs when they absolutely have to get to their destinations on time (e.g., getting to a daycare center before late fees kick in). Moreover, approval ratings are equally high for all income groups, in the 60–80 percent range, because all income groups value the “insurance” of a reliable trip time when they absolutely need it.  Low-income travelers who take transit more frequently will benefit from transit service improvements that generally accompany congestion pricing. Toll revenues can be used to compensate those who might otherwise consider themselves “losers” as a result of congestion pricing. These riders can benefit significantly from toll-financed transit improvements, which are

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 117     generally included in any pricing package. In cases in which effects on low-income drivers are perceived to be particularly severe, such drivers could be provided with toll exemptions, rebates, or other forms of monetary compensation, such as tax rebates or income supplements. Pricing schemes may include protections for low-income individuals, such as toll credits. ADDRESSING EQUITY CONCERNS  Research has identified strategies for addressing equity concerns through redistribution of toll revenues. These include distributing rebates or credits, or revenue transfer to transit and carpooling services in the priced corridor. To ensure that at least some surplus toll revenue is used to improve transit, some areas have passed legislation to dedicate a portion of the surplus revenue to transit, whereas others have created special transit accounts.  A particularly important consideration in evaluating congestion pricing options and their equity implications is the use of revenues generated by tolls. Toll revenues can be used to compensate those who might otherwise consider themselves “losers” as a result of congestion pricing. Compensation can come in a variety of forms. Toll revenues may be used to finance highway improvements (particularly in the corridor where the tolls are levied) or to pay for improvements in transit service. In cases in which effects on low-income drivers are felt to be particularly severe, toll exemptions or toll rebates may be offered to eligible drivers, or other forms of monetary compensation may be offered, such as tax rebates that provide reimbursement for tolls paid or income supplements.  Each of these approaches has been used or considered for use in congestion pricing programs. For example, revenues from area pricing in Central London were used in part to improve bus service into the priced area, thereby enhancing transportation services to low-income groups and other users of those systems. The statutes in California mandate that 18 percent of toll revenues from the Bay Area Toll Authority be transferred into three accounts controlled by the Metropolitan Transportation Commission, a multimodal planning agency for the region. The Port Authority of New York and New Jersey likewise uses surplus toll revenue to subsidize transit services. When New York City considered a cordon pricing scheme, it proposed a tax rebate for drivers who qualified for the federal-earned income tax credit. In the case of a proposed congestion pricing scheme on the San Francisco Bay Bridge, tolls were to be raised from $1 to $3 per trip, but the proposal called for a reduced “lifeline” toll rate of $1 for low-income users.  Schweitzer and Taylor (2008) suggested that if policymakers are worried about low-income, peak- period commuters paying tolls, one way to address this would be to provide discounted “lifeline” pricing based on income levels, as is done by utility companies for qualifying customers. As an alternative, they could provide travel credits to low-income commuters. DATA SOURCES AND METHODS Information from several studies is provided, including  A general poll in several states showing public opinion of tolls vs. taxes;  Hypothetical vehicle miles traveled (VMT) fee projections;  Equity impacts by income group under high-occupancy toll (HOT) lane policies;  Documented experience and statistics on “Partial” Pricing Projects;  Percentage of peak-period travelers per household income;  Accessibility to job locations by demographics; and  Regional geographic equity survey results. Status All facilities are in operation. Critical Assessment Valuable resource document, but could provide more information on how access is examined in terms of tools and facilities targeted to unbanked and low-income users – transponders, use of cash, credit or debit card, and locations of places where these are available. Additional Comments  

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 118   Weinstein, A. and. Sciara, G.C. 2006. “Unraveling Equity in HOT Lane Planning: A View from Practice” Citation Weinstein, A. and. Sciara, G.C. 2006. “Unraveling Equity in HOT Lane Planning: A View from Practice.” Journal of Planning Education and Research 26: 174-184. Website/Source Journal of Planning Education and Research-2006-Weinstein-174-84.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory     X X   Document Type This article is intended for practitioners and academia. Document Topic The article investigates how concern about equity has arisen in the planning and implementation of high-occupancy/toll lane projects, or so-call “HOT lanes.” Specifically, the research assesses (1) where and how equity issues have surfaced in the debate over HOT lanes and (2) how practicing planners have responded to these equity concerns. By looking explicitly at the planning process through a series of case studies and a review of newspaper coverage, the research suggests strategies for how practitioners can craft a comprehensive and meaningful framework for assessing and addressing equity issues. Themes Covered  The growing interest in HOT lanes  Literature review on equity, transportation, and HOT lanes  The nature and extent of concern about HOT lanes and equity o Equity concerns are ubiquitous o Equity issues concern diverse stakeholders o Planners and stakeholders define equity concerns predominantly with regard to income o Spatial and modal dimensions of equity are also visible concerns o Newspaper coverage simplifies and sensationalizes equity issues  Equity in project planning and implementation o Addressing equity via public outreach and education o Incorporating equity analysis into project planning analysis and evaluation o Introducing HOT lanes as a pilot project o Spending HOT lane revenues to alleviate equity concerns  Analysis and conclusions: addressing the intricacy of equity o Equity concerns are unavoidable in HOT lane projects o Equity assessment belongs in all stages of a project o HOT lanes affect low-income travelers in complex ways Type of Sponsoring Agency or Organization Research for the article was commissioned by the Santa Clara Valley Transportation Authority Geographic Distribution This article looked at 11 projects throughout the US. Three were in California (Orange County, Alameda County and San Diego); and one each was located in Washington D.C./Maryland; Washington D.C./Virginia; Miami-Dade County (FL); Minneapolis-Saint Paul (MN); New York/New Jersey; Piedmont and Research Triangle (NC); Houston (TX); and Seattle (WA). Type of Tolled Facility & Features The 11 projects were a combination of HOT lanes and variable pricing projects.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 119  Tolling Context The 11 projects included newly constructed HOT lanes, carpool lanes converted to HOT lanes, conversion of HOV to HOT lanes, and construction of new “high-occupancy toll/credit lanes”, and allowing two-plus carpools to access HOV lanes for a toll during rush hour. Pricing Arrangements The 11 projects included conversion of flat tolls to variable tolls, other variable pricing options, variable tolls. Decision Question/ Decisionmaker Populations Addressed Low-income populations Stage of Decisionmaking This article addresses projects in the program evaluation; statewide and metropolitan planning; project development and NEPA; and operations stages. Relevance The article provides a view of the practice relative to 11 projects. Rather than assess definitively whether HOT lanes are equitable, the objective was to investigate how equity has been perceived in the context of HOT lanes and how practitioners have handled equity concerns The article found that missing from the burgeoning literature on HOT lanes was an assessment of how practitioners have wrestled with the equity question in their daily HOT lane planning and project experience. At the time of its writing, empirical research on how equity concerns have played out in actual project planning was missing from the literature and through their research the authors sought to address this gap. Status The 11 projects were at differing stages of planning or implementation. Critical Assessment The interviewees raised “income equity” concerns only in the context of the HOT lane tolls themselves, but recent research suggests that affordability issues also apply to the acquisition of the electronic transponders typically required for solo drivers to access HOT lanes. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 120   Zmud, J. and Arce, C. 2008. “NCHRP Synthesis 377: Compilation of Public Opinion Data on Tolls and Road Pricing” Citation Zmud, J. and Arce, C. 2008. “NCHRP Synthesis 377: Compilation of Public Opinion Data on Tolls and Road Pricing.” Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_377.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X   Document Type Research document that compiles existing data from completed public opinion research and presents an interpretive framework for understanding situational context in outcomes from various public opinion polls. The document is a resource for public and elected officials who make decisions about infrastructure policy and helps aid the process of considering, planning, implementing, and operating tolled facilities. Intended audiences beyond public and elected officials can include: state department of transportation organizations, metropolitan planning organizations, tolling authorities and operators, communications professionals, consultants, academics, and other researchers interested in empirical research on this transportation issue. Document Topic The study summarizes and analyzes public opinion on tolling and road pricing across the United States (some international studies were used when US data specific to a certain tolling method was not broad enough), but overall the focus is on tolling opinions here in the US. Themes Covered  Traditional tolling  Express toll lanes  High-occupancy toll lanes  Cordon tolling and area charging  Public-private partnerships  Tax-related initiatives  Polling and public opinion  Situational context  Public acceptance Type of Sponsoring Agency or Organization Research sponsored by the American Association of State Highway and Transportation officials in cooperation with the Federal Highway Administration. The document was prepared by the Transportation Research Board. Geographic Distribution  National and International  Opinion polls that were statewide, city, county, and international cities were all included in the document. Type of Tolled Facility & Features Traditional tolling, express toll lanes, high occupancy toll lanes, cordon tolling, and area charging were all studied to synthesize public opinion on each of the tolling methods. Tolling Context This study summarizes and analyzes public opinion on tolling and road pricing across the United States (some international studies were used when US data specific to a certain tolling method was not broad enough). Traditional tolling, express toll lanes, high occupancy toll lanes, cordon tolling and area charging were all investigated and the results of the public opinion polls relative to each tolling method are included.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 121  Pricing Arrangements Not applicable Decision Question/ Decisionmaker Not applicable Populations Addressed The research study examines 110 public opinion polls relative to tolling and road pricing (the public opinion data comes from cities/counties/states all across the country, as well as data from a few international public opinion polls). Private consultants and engineering firms that are members of the International Bridge, Tunnel, and Toll Road Association (IBTTA) also polled, and of this group a total of 11 organizations agreed to be interviewed and answer the questionnaires. Stage of Decisionmaking Not applicable Relevance The report gives a relatively current (2008) and comprehensive investigation of over one hundred tolling public opinion polls previously completed. It provides a summary of findings of each that was researched, discusses factors and circumstances affecting public opinion, and identifies recurring themes in the public opinion results. The document gives valuable insights on the public’s opinion on most of the major types of tolling. It is an outstanding resource for organizations to use as a starting point for planning and discussions relative to tolling. Specifically, the research showed:  Among all the surveys 56% indicated support for tolling or road pricing concepts  Opposition was encountered in 31% of cases, and mixed results occurred in 13% of cases.  The level of aggregate support for road pricing contrasts sharply with that found for tax- related initiatives.  The aggregate level of support for tax-related initiatives was 27%, with 60% opposed and 13% mixed.  The authors synthesize research findings on: public opinions based on US geography, public opinion on pricing versus tax-related initiatives, public opinion trends for individual projects, and public opinion based on type of pricing. The scope of the study was limited to the compilation of public opinion data on tolling and road pricing. It does not address behavioral data, such as impacts on travel patterns, route choice, or mode choice. The analysis of the study provides trends and themes in public opinion, as well as a discussion and analysis of factors that can influence public opinion. Status Not applicable Critical Assessment Gaps exist in the data that the study referenced and used for its findings, but for the purposes of providing a synthesis of previous public opinion research, it does the job well. The data used was not randomized and the inclusion of data from different countries can be considered a confounding factor. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 122   DEMOGRAPHIC AND CULTURAL TRENDS, PATTERNS, AND PERSPECTIVES Beckman, J. D. and K. G. Goulias. 2008. “Immigration, Residential Location, Car Ownership, and Commuting Behavior: A Multivariate Latent Class Analysis From California” Citation Beckman, J. D. and K. G. Goulias. 2008. “Immigration, Residential Location, Car Ownership, and Commuting Behavior: A Multivariate Latent Class Analysis From California.” Transportation (2008) 35: 655. https://doi.org/10.1007/s11116-008-9172-x Website/Source http://trid.trb.org/view.aspx?id=870367 Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X   X   Document Type This is an article in an academic journal. The content of the article is mostly statistical. It could be of interest mostly to academics, but the conclusions may interest transportation professionals also. Document Topic This article examines the travel behavior of immigrants in select California regions by using latent class cluster analysis. It uses Public Use Microdata Sample (PUMS) from the 2000 census. While past studies considered travel characteristics, such as, travel time, mode choice, and departure time to work independently, this study considers them jointly. The study concludes that public policy should address the diversity among immigrants instead of considering them as a homogeneous group. Themes Covered  Immigrants  Place characteristics  Demographic and socioeconomic characteristics  Commuting trips Type of Sponsoring Agency or Organization The study was sponsored by the University of California Transportation Center and the California Department of Transportation. Geographic Distribution The study pertains to select regions of California. It uses data at the level of PUMAs (Public Use Microdata Area) Type of Tolled Facility & Features The study does not pertain to tolling or toll facilities. Its focus is travel behavior of immigrants. Tolling Context There is not tolling context in the study. Although it studies different types of travel characteristics, paying tolls by the subject is not a part of the study. Pricing Arrangements N/A Decision Question/ Decisionmaker Public policy should be cognizant of the diversity among immigrants and the diversity of places where they live. Populations Addressed Immigrant groups in California.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 123  Stage of Decisionmaking Policy research Relevance While the article does not have anything to do with pricing or tolling, it emphasizes that immigrants demonstrate diverse travel patterns based on age and place characteristics. Status N/A Critical Assessment The article is peripherally related to the current study. The article provides an example of studies showing diversity among immigrants. Additional Comments None.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 124  Blumenberg, E. and Weinstein, A. 2010. “Getting Around When You’re Just Getting By: Transportation Survival Strategies of the Poor” Citation Blumenberg, E. and Weinstein, A. 2010. “Getting Around When You’re Just Getting By: Transportation Survival Strategies of the Poor.” MTI Report 10-02. Presented at the 90th Annual Meeting of the Transportation Research Board , Washington, D.C., 2011. Website/Source http://transweb.sjsu.edu/MTIportal/research/publications/documents/2806_10-02.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Research document by university transportation institute. The intended audience includes policy makers, practitioners, and academia. Document Topic This research uses in-depth interviews with 73 adults to examine how high and rising transportation costs affect low-income families. Transportation access needs are unique in that they enable people to meet almost all other needs, by traveling to shelter, food sources, education, medical care, and so on. Therefore forgoing travel entails long-term costs to quality of life. The interviews examine four general areas of interest: travel behavior and transportation spending patterns; the costs and benefits of alternative modes of travel; cost management strategies; and opinions about the effects of changing transportation prices on travel behavior. The report concludes with recommendations for increasing transportation affordability, minimizing the impact of new transportation taxes or fees on low-income people, and developing new research and data collection strategies. Themes Covered Key findings include: 1. Most low-income households are concerned about their transportation costs. 2. Low-income individuals actively and strategically manage their household resources in order to survive on very limited means and to respond to changes in income or transportation costs (fuel costs, public transportation fares, tolling, etc.).They do so by using strategies such as: (a) modifications to travel behavior, (b) creative cost-covering strategies, (c) careful management of household expenditures, including transportation expenditures, and (d) reductions in discretionary spending. 3. In making mode choice decisions, low-income travelers carefully evaluate the costs of travel (time and out-of-pocket expenses) against the benefits of alternative modes available to them. 4. Some low-income individuals were willing to accept future increases in transportation expenditures if they would potentially benefit from the increased expenses. 5. Although low-income households find ways to cover their transportation expenditures, many of these strategies have negative effects on their lifestyles. The study findings consider existing transportation support in place and suggest policy and planning strategies to increase transportation affordability and minimize the adverse effects of new transportation taxes or fees on low-income people, including: 1. Target transportation subsidy programs to low-income people, the elderly, the disabled, etc. Help subsidies reach those who most need them. Provide better access to alternate transportation. 2. Divide large, lump-sum transportation costs such as transit passes into smaller, more frequent payments, to make the costs more manageable. 3. Help low-income families access a wide variety of essential destinations such as support services, government offices, and businesses.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 125  4. Recognize that the specific transportation supports needed vary by household structure, life stage, family responsibilities, employment, and residential location. These varied needs may make certain modes of transportation inaccessible. For example, reduced-cost transit passes may help those living near public transit but will do little to aid families in rural communities with minimal transit service. 5. Future multi-agency collaboration is needed among transportation agencies, government social service agencies, non-profit organizations, and private companies. Type of Sponsoring Agency or Organization Norman Y. Mineta International Institute for Surface Transportation Policy Studies Geographic Distribution San Jose Area in California. This urban area is a city of about one million people. Type of Tolled Facility & Features N/A- The report looks into the transportation expenditures by low-income households. Tolling Context N/A Pricing Arrangements N/A Decision Question/ Decisionmaker N/A Populations Addressed Low-income families, recruited through organizations serving low-income clients. Stage of Decisionmaking Policy research Relevance The report highlights the difficulty of collecting reliable and thorough income and transportation expenditure data from lower-income and lesser represented populations. This is due to many reasons such as them not being an accessible demographic, misrepresentation of expenditures and potential illegal cost-cutting-strategies, distrust of interviewers, poor record of expenditures, etc. The report proposes various strategies for collecting new data that would allow policymakers to assess which policies would most effectively and efficiently ease the transportation burden for low- income families. This includes strategies such as: further in-depth interviews, in-depth and holistic data collection, using creative assessment methods, etc. Status N/A – A research document. Critical Assessment The report provides a rich and detailed, nuanced understanding of how transportation costs shape low-income people’s travel options and choices- an area for which reliable data has previously been difficult to get. Through use of interviews, the researchers immerse themselves in the socioeconomic and spatial environment and circumstances of low-income travelers. As the report identifies, the results of the interviews are not generalizable to the larger population of the States, due to its small sample size and lack of random selection. Additional Comments The report offers a method for identifying the challenges of being a low-income person when seeking mobility and access to needed goods and opportunities – an appropriate lens when assessing the effects of road pricing in terms of environmental justice.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 126  Zmud, J. P, Barabba, V. P., Bradley, M., Kuzmyak, J. R., Zmud, M., and Orrell D. 2014. “NCHRP Report 750: Strategic Issues Facing Transportation, Volume 6: The Effects of Socio-Demographics on Future Travel Demand” Citation Zmud, J. P., Barabba, V. P., Bradley, M., Kuzmyak, J. R., Zmud, M., and Orrell D. 2014. “NCHRP Report 750: Strategic Issues Facing Transportation, Volume 6: The Effects of Socio- Demographics on Future Travel Demand.” Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_750-v6.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This is an NCHRP report sponsored by the Transportation Research Board. Document Topic This report provides the background information about the Impacts 2050 toolkit that allows users to conduct scenario analysis up to the year 2050 pertaining to socio-demographics, travel behavior, land use, employment, and transportation supply. The Impacts 2050 toolkit is based on what is termed as Systems Dynamics (SD) model. The toolkit is Excel based. The purpose of the model is not so much to forecast long-term travel behavior, but to illustrate different scenarios using interrelated variables to understand the implications for policy and planning. The SD model segments a region’s population by age, household structure, income, race, ethnicity, culture, residence location, and area type. The change of these characteristics over time results in changes in travel patterns. The Impacts 2050 toolkit uses 2000 census data to generate scenarios up to 2050. The premise for developing the toolkit is that the US population’s socio-demographic characteristics will change drastically over the 2000-2050 period. While the initial chapters of the report describes the changes in the characteristics of the US population over time and describes the SD model, Chapter 6 of the report describes the Impacts 2050 toolkit. Themes Covered  Demographic change  Travel behavior  Scenario analysis  Land use  Transportation supply Type of Sponsoring Agency or Organization The study was sponsored by the Transportation Research Board. Geographic Distribution The context of the report is the US in general. However, the Impacts 2050 toolkit is supposed to be applicable to regions within the US. Type of Tolled Facility & Features The report mentions tolling and pricing as a part of discussions on transportation policies, but it does not specifically relate to any actual or planned projects. Tolling Context It does not relate to any particular facility or project.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 127  Pricing Arrangements No specific pricing scheme is discussed. Decision Question/ Decisionmaker The study does not pertain to any tolling/pricing decisions. Populations Addressed The report is about the US population. It does talk about changes in the country’s population characteristics in terms of race, ethnicity, et cetera. However, it is not about any specific groups. Stage of Decisionmaking The Impacts 2050 toolkit may be useful for future decision making, especially understanding the potential impacts of policies. However, the report itself does not include any real life decision making for planning or project development. Relevance The study was selected under the assumption that it would include some discussions on real life decision making based on actual demographic changes. The report itself is not directly related to the primary objective of the current study. Status Not applicable. Critical Assessment The report is not directly related to tolling, pricing, or equity assessment of such projects. Hence it is only peripherally related to the current study. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 128  ENVIRONMENTAL JUSTICE / TITLE VI, COMMUNITY IMPACT ASSESSMENT AND MITIGATION Cairns, S., Grieg, J., and Wachs, M. 2003. “Environmental Justice & Transportation: A Citizen’s Handbook” Citation Cairns, S., Grieg, J., and Wachs, M. 2003. “Environmental Justice & Transportation: A Citizen’s Handbook,” University of California Transportation Center No. 620 Website/Source http://www.uctc.net/papers/620.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Transportation advocacy study Document Topic Improving public consultation in transportation decision making in service of environmental justice. Themes Covered The legal obligation of transportation decision makes to take environmental justice concerns into account. The process of creating a process of public engagement to ensure that the concerns of environmental justice communities are taken into account in the transportation planning process. Type of Sponsoring Agency or Organization A University based transportation study center. Geographic Distribution California (but applicable nationally) Type of Tolled Facility & Features This essay does not directly address tolls, but suggests the considerations that should guide decision makers as they consider not just assessing tolls, but in how the proceeds of tolls are allocated. The policy that should guide them is that proceeds of tolls or congestion pricing should benefit the least advantaged users of transportation services. Tolling Context Highway tolling and congestion pricing. Pricing Arrangements Since tolls or congestion pricing according to this study function as a tax, every effort should be made to ensure that it is not regressive. Decision Question/ Decisionmaker This study focuses on the legally mandated decision points as places where members of the environmental justice community, especially cities and county planning and public works departments and transit providers. Special attention is addressed to the regional transportation plan (RTP) and the federally required Transportation Improvement Program (TIP). Populations Addressed The populations address basically track the definition in EO12898, but include low-income and minority populations who are disproportionally affected by the transportation decision. Stage of Decisionmaking Project Development and NEPA.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 129  Relevance For designing the public participation process and for outlining the considerations necessary for good decision making in the interest of EJ communities, this study is excellent. It does this by assembling criteria for identifying stakeholders and community needs as well as identifying those places in the process where the public can intervene. For purposes of this study that means not just addressing transportation needs, but using the available environmental review tools to push decision makers to consider alternatives they might have ignored. While it focuses on CEQA, most states have some kind of environmental review process or at minimum will trigger NEPA evaluation. It outlines the kinds of data that community groups need to assemble, how to construct performance measures, how to identify diverse needs and how to look behind the data. Moreover, it suggests when the proceeds from tolling or other pricing mechanism ought to be used to address other EJ needs in addition to transportation. It sets out a metric for evaluating who get what out a variety of proposals and how to understand why a particular plan might be characterized in one way or another and whether the characterization truly reflects the needs of the EJ community. Status N/A Critical Assessment This is a valuable template for crafting a handbook for community engagement. It has limitations (especially with regard to its treatment of data), but would be useful nonetheless. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 130  Chakraborty, J. 2006. “Evaluating the Environmental Justice Impacts of Transportation Improvement Projects in the US” Citation Chakraborty, J. 2006. “Evaluating the Environmental Justice Impacts of Transportation Improvement Projects in the US.” Transportation Research Part D: Vol. 11, pp. 315-323. Website/Source http://www.sciencedirect.com/science/article/pii/S1361920906000332 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type Research paper on methods to identify and assess environmental justice impacts. Document Topic Research paper suggests method for measuring the environmental justice impacts of transportation projects and applies this method to an assessment of proposed capacity improvement projects in Volusia County, Florida. The demonstrated index measures can serve as preliminary indicators of a potential environmental justice issue and are easily replicable using census data and tools available in geographic information systems software. Themes Covered  Statutory, regulatory and agency authority for civil rights and environmental justice  Absence of standardized methods for assessing environmental justice impacts  Florida’s ETDM tool for screening socioeconomic impacts  Description of EJ Indices  Using EJ indices to evaluate impacts on transportation improvement projects Type of Sponsoring Agency or Organization Research described was conducted under funding from the Florida Department of Transportation. Geographic Distribution Case example from Volusia County, Florida but data and method applicable in any part of the U.S. Type of Tolled Facility & Features Not applicable. Tolling Context Not applicable. Pricing Arrangements Not applicable. Decision Question/ Decisionmaker The article addresses a method that practitioners could apply to screen for environmental justice impacts early in project planning process. Populations Addressed Minorities, Hispanics and Low-Income Persons (i.e., persons in poverty). Stage of Decisionmaking Project Planning, Project Development and NEPA.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 131  Relevance The papers describes a practical method for evaluating the environmental justice implications of transportation projects at an early stage of project planning or impact assessment.  The paper provide a definition and describes how to calculate two indices: a “buffer comparison index” and an “area comparison index” using available census data and census geographies for race, ethnicity and income measures.  The buffer comparison index (BCI) measures whether minority or low-income populations are over-represented in the area that is adversely impacted by a proposed transportation system change. It compares this primary impact area to the entire county. The index is a quotient ratio (ratio of ratios) that is derived separately for non-Whites, Hispanics and or persons in poverty residing in the adversely impacted area relative to elsewhere in the county. When it exceeds “1”, the indicator would suggest a “disproportionately high and adverse effect” based on USDOT and FHWA orders. The index can be tested for its statistical significance of the difference of ratios.  The area comparison index (ACI) measures the proportions of racial/ethnic minorities or low- income populations in areas adversely impacted by a proposed system change to their proportions in other areas of the county. The ACI index represents the quotient between the percentages inside a buffer zone and outside the buffer zone. When the index is greater than “1”, the proportion of non-Whites, Hispanics or persons in poverty residing in the buffer zone exceed their respective proportion in the area outside, suggesting a disproportionate effect on the subgroup. The index can be tested for its statistical significance of the difference of ratios between areas inside and outside the buffer.  Using GIS tools, the method can be applied to areas perceived as the location of the adverse impacts. The researchers demonstrated the application of the easy to calculate indices for three different buffer distances to represent potential areas exposed to adverse impacts of a proposed capacity improvement project (500 ft; half-mile, and one-mile buffers). Status Not applicable. Critical Assessment The article presents a replicable standard and method of identifying whether a place location where adverse impacts have been identified may be causing disproportionately high and adverse effects on low-income and minority populations. The method is useful for screening projects at a metropolitan or corridor scale. The method is most useful for assessing social and economic effects borne by communities, but perhaps could also be applied to an assessment of changes in access and mobility. The author makes reference to applying a “two-sample test of proportions (one-tailed) that can be used” to assess whether differences are statistically significant. The paper would benefit from further documentation of how this is done in practice. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 132   Deka, Devajyoti. 2004. “Social Environmental Justice Issues in Urban Transportation” Citation Deka, Devajyoti. 2004. “Social Environmental Justice Issues in Urban Transportation.” The Geography of Urban Transportation. Third Edition, pp.332-355. The Guilford Press, New York. Website/Source ISBN 1-59385-055-7 Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X   X X X Document Type Textbook chapter relevant to academia and practitioners. Document Topic The limitations of transportation policy in addressing social and economic inequalities, as well as the history of said inequalities and policies. Themes Covered This textbook chapter explores several themes with reference to relevant theoretical and empirical literature and research on:  Transportation Policy  Social Justice  Environmental Justice  Public Transportation Type of Sponsoring Agency or Organization This is a chapter of an urban transportation and geography textbook. Geographic Distribution The document does not address any specific geographic region, but it describes an array of issues that are inextricably linked with urban space and urban geographies such as housing, jobs, food access, healthcare access, equity, discrimination, public transportation, and public policy. Type of Tolled Facility & Features The document does not address tolling. Tolling Context Not applicable. Pricing Arrangements Not applicable. Decision Question/ Decisionmaker Local, state, and federal transportation policy as it intersects with equity and environmental justice issues. Populations Addressed Low-income, minority, disadvantaged populations and persons with disabilities. Stage of Decisionmaking Policy research. Relevance This document provides a detailed history and analysis of transportation policy as it relates to how it has addressed or failed to address issues of equity and environmental justice across a broad array of activities in policy research, planning, implementation and operations of transportation systems and services. Several topics are discussed, including the problem of spatial-mismatch, in which jobs and housing are dispersed inefficiently with poor connections to low-income neighborhoods. The main factors that contribute to this reality are listed as follows: discrimination in both the housing market and the real

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 133  estate industry; economic shifts and the loss of blue collar and service jobs to the suburbs, the inability of public transit to efficiently connect the city with the suburbs, the high cost of car ownership, and the regressive taxes and fares used to locally fund roads and transit. The three solutions offered to correct for this mismatch include moving jobs to the central city, moving low-income residents to the suburbs, or connecting jobs with a subsidized system of transportation. The discussion raises questions in addressing equity through the lens of tolling. 1. How will low-income users be protected from or compensated for the added cost of the toll? 2. How can the funds from the tolls be used to increase equity? Although the paper does not discuss tolling directly it does discuss the individual costs associated with transit and creatively suggests how they can be applied more equitably. In addressing the first question the paper addresses cost per trip versus cost per distance. Inner-city users often pay a lot more per mile for transit than commuters because they are charged by trip and not by the distance that they travel. An alternative method would be to charge for usage per mile versus per trip. This method would lead to higher charges for commuters relative to non-commuters and with charges shifted to this basis, the costs may be more equitable. Low-income and minority transit users will typically travel more often in the non-peak periods. In the analysis, they are seen as paying for the additional level of service and labor needed to handle the volume at peak periods, although this same level of service and labor is not necessary in the time that they utilize transit. One mitigating method would be to offer discounted rates during off-peak hours, leading to lesser burdens for the low-income riders who do not work on the peak hours. Status Not applicable. Critical Assessment The paper points out that the need for mobility and accessibility has not yet been widely recognized as a basic need for advancing social justice, and it has not yet been fully realized in U.S. transportation policy. Growing awareness of it essential importance alongside such basic needs as food, shelter and clothing suggests that it must be explored in the context of tolling. Both, the idea to charge per mile versus per trip, and the idea to charge less during off-peak hours are provocative in term of increasing equity and could prove of relevance in a tolling context. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 134  Forkenbrock, D. and Sheeley, J. 2004. “NCHRP Report 532: Effective Methods for Environmental Justice Assessment” Citation Forkenbrock, D. and Sheeley, J. 2004. “NCHRP Report 532: Effective Methods for Environmental Justice Assessment.” Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_532.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Research project translated into a practitioner guidebook. The document is intended for transportation planners and socioeconomics focused disciplines in transportation planning and project development. Document Topic As stated in the foreword of the guidebook “the objective of this research was to identify and develop processes, procedures, and techniques for integrating environmental justices (EJ) considerations into transportation systems planning, priority programming, project development, and decision making at the statewide, metropolitan, and local levels”. The report appropriately defines environmental justice to encompass not only the traditional human health and safety concerns that much of the EJ literature speaks to but also economic development, societal and cultural considerations as well as natural environmental consequences. The guide is constructed around estimating distributive effects by first identifying the affected population/s then estimating the nature and extent of the effects; and finally, assessing whether the effects are equitable. There are 11 impact areas covered in the report including an overview, state of the practice, how to select the appropriate method of analysis, methods available for estimating impacts and resources for each impact area. Themes Covered What topics does this document address?  Identifying protected populations  Air quality  Hazardous materials  Water quality and drainage  Transportation safety  Transportation user effects  Community cohesion  Economic development  Noise  Visual quality  Land prices and property values  Cultural resources Type of Sponsoring Agency or Organization This is a National Cooperative Highway Research policy report funded by the Transportation Research Board, part of the National Academy of Sciences, and projects are sponsored by state DOTs and FHWA. Geographic Distribution While the guidebook can be applied to area wide plans it is primarily focused on techniques most applicable to specific projects not system level analysis. Type of Tolled Facility & Features Specific, unique projects are not characterized in the guide; however, the guide includes important considerations for selecting appropriate methods of analysis which are relevant to tolling projects.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 135  Tolling Context N/A Pricing Arrangements N/A Decision Question/ Decisionmaker While the guidebook foreword states that the report can be used by planning agencies such as MPOs the focus is more on state DOTs and project level decisions. Populations Addressed The guidebook describes the “universe of protected populations to include those defined by age, disability, gender, religion, class, race, low-income, limited English proficiency, and national origin. The guidebook presents 12 different methods to identify potentially affected populations including the following:  Local knowledge and public input  Threshold analysis  Spatial interpolation  Field Survey  Customer Survey  Population Surfaces  Historic Data Review  Population Projection  Environmental Justice Index  Personal Interviews  Abbreviated Diary  Space-time Activity Using GIS Analyses. The guide provides a useful table that describes each method with a detailed explanation of each method following the table. All these methods could be applicable for a tolling project but the space- time analysis through personal interviews, abbreviated diary and GIS analysis seem most interesting to explore. Stage of Decisionmaking The guidebook is primarily designed to be most useful to project development practitioners as part of a NEPA analysis. Relevance This guidebook is the most recent NCHRP product that focuses on environmental justice analysis exclusively. Subsequent NCHRP publications have focused on engaging non-traditional populations in decision making but this publication focused on assessment methodologies. When attempting to evaluate environmental justice considerations as part of a tolling project all impact categories covered in the guidebook could be relevant. This resource could be utilized to identify assessment methodologies appropriate for different tolling and pricing projects. The most promising methodologies are described below: Air Quality Concerns about exposure to air pollutants is arguably one of the most pressing impact topics to EJ populations. Unfortunately, many transportation projects are located adjacent to EJ communities. From a tolling perspective there have been debates that pricing strategies can actually improve air quality outcomes to adjacent communities due to the improved traffic flow resulting from market dynamics. Therefore air quality evaluation should be considered for most tolling EJ analysis. This guidebook focuses on micro-scale analyses because regional analyses do not provide indications of how protected populations living or moving about in a particular area would be affected by other populations in a community. However, it can be used to understand how a large project may alter region wide emissions which may or may not be important to protected populations. Hazardous Materials This topic has a unique place within EJ history because this is where the roots of EJ started back in the 1980’s with the siting of a PCB landfill in Warren County, North Carolina. Subsequent studies

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 136  conducted by EPA demonstrated that landfills were disproportionately located in communities of color. As such, evaluating how transportation projects may affect the presence and handling of hazardous material is important for EJ evaluations. Within the context of tolling projects if lanes are added and hazardous material are present within the right of way there are clear procedures in place to handle such incidents. However, of greater concern is the probability of transportation spills and releases. The guidebook covers methods for transport screening of hazardous material as well as probability modeling of hazardous materials in transit which could increase with tolling options. This type of analysis would include risk assessment to protected populations. Water Quality and Drainage The guidebook draws upon traditional methods to evaluate impacts to water quality but highlights unique considerations for EJ communities including potential mitigation strategies. An interesting case study is presented on page 134 to highlight how EJ considerations may arise during a project which involved a new interchange. Safety Impacts to user and nonuser safety is always important in any project analysis. However, often safety considerations related to EJ communities relate to pedestrian and bicycle considerations. In the context of tolling projects it would be unusual for bike and pedestrian issues to be relevant; however, other safety issues related to congestion issues could be evaluated to assess how impacts could be experienced by protected populations. Transportation User Effects This section is directly applicable to tolling projects with effects on ravel time, vehicle operating costs, and travel choices. It is first important to understand how the current system is performing for protected populations and how this might change for a tolling project. Accessibility and transportation choice are the two most critical components to be measured as part of a transportation user analysis. Traditional trip based models as well as well as the Highway Economic Requirements System (HERS) model and activity-based models can provide the basis for an accessibility analysis. The information on studying transportation choice is particularly interesting as it provides potential input that may inform redistribution of revenue collected from tolls to fund other modes of transportation. Modal quality assessment, user demand and evaluating surveys as well as transportation surveys and models are discussed appropriately. The report contains some ideas that may have relevance for a mitigation framework for tolling projects. Economic Development As stated in the guidebook “transportation projects have long been identified with economic development. By changing the pattern of accessibility, highway projects can facilitate trade between locations, allow consumers to more easily shop or sell wares at particular places, an even change commuting patterns in ways that may facilitate the growth of employment centers.” These effects are distributive in nature and therefore can be spatially displayed and correlated to protected populations. The effects from economic development are direct or indirect in that some occur within the project area and others outside the project area. There are also construction-related and post construction elements of an economic study. After construction, travel patterns can change therefore affecting patterns of accessibility which can affect businesses. EJ analysis considers how positive and negative impacts of highway projects play out spatially and how these patterns may affect protected populations. Three methods are discussed including map and GIS assessment, surveys and focus groups as well as gravity models. Most of these methods are utilized as part of transportation user effects but with a different set of questions. This is particularly important for tolling projects as changes in accessibility are inevitable and desired for congestion pricing projects.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 137  Land Prices and Property Values Changes in property values and land prices have similar trajectories as economic development as they are both generally rooted in access issues; however, the primary differences can be found between residential and commercial property effects. Property values can also be linked to other issues related to noise, air quality, visual quality, etc. Three methods are described in the guidebook including market studies and expert opinion, property comparisons/appraiser opinion, and hedonic regression. Status N/A Critical Assessment This guidebook is a continuation of the themes and approaches presented in NCHRP 456 on social and economic effects of transportation project; in large part, because they are authored by the same Principal Investigator. These two guides comprise provide a very useful framework for evaluating how transportation projects may affect all aspects of a community’s quality of life. As such, these guides can create a framework for understanding which types of effects are critical to be included in different types of tolling projects. The information in this guidebook can be used to construct checklists to inform a practitioner of which impact they may need to consider and what methods might be useful to inform comparisons between different tolling strategies. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 138  Forkenbrock, D. and Weisbrod, G. 2001. “NCHRP Report 456: Guidebook for Assessing the Social and Economic Effects of Transportation Projects” Citation Forkenbrock, D. and Weisbrod, G. 2001. “NCHRP Report 456: Guidebook for Assessing the Social and Economic Effects of Transportation Projects.” Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_456-a.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Resource guidebook for transportation planning practitioners but researchers would find it useful. Document Topic Guidebook was developed for transportation and socioeconomic disciplines as part of systems planning evaluation and for individual projects that require a NEPA analysis. The report describes 11 general types of social and economic effects which can be grouped into two clusters: 1) transportation systems effects which focuses on users and are organized around changes in travel time, safety, vehicle operating costs, transportation choice and accessibility; and 2) social and economic effects which relates to non-users (how people in a community are affected by the project) and include community cohesion, economic development, traffic noise, visual quality and property values. Distributive effects are also described and focus on understanding who will benefit and who will bear the costs of project outcomes. Each chapter of the guidebook provides a definition of each impact category including special issues, methods, tools and techniques available to evaluate these effects. The report stresses that impacts are not always quantifiable through objective assessment methods and, therefore, public input is crucial to any evaluation of social and economic impacts. Themes Covered  Transportation systems effects o Travel time o Safety o Vehicle Operating Costs o Transportation Choice  Social and Economic Effects o Community Cohesion o Economic Development o Traffic Noise o Visual quality  Distributive effects Type of Sponsoring Agency or Organization Transportation Research Board part of the National Academy of Science Geographic Distribution The guide is applicable to area plans as well as specific projects. Type of Tolled Facility & Features Specific types of tolling projects are not detailed.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 139  Tolling Context Not applicable. Pricing Arrangements Not applicable. Decision Question/ Decisionmaker Not applicable. Populations Addressed The guidebook references indicators of transportation disadvantaged populations in the chapter related to transportation choice which includes households with no car, disabled individuals, low- income households, low-income single parents, people too young to drive, immigrants, and unemployed adults. However, the chapter on distributive effects only discusses low-income and minority populations but examples are only provided for low-income populations. Stage of Decisionmaking The guidebook is useful for long range planning, corridor and project decisions. Relevance The guidebook provides a very useful framework for considering a range of social and economic effects important for a full analysis of any type of transportation project including tolling projects. The document does not specifically address a tolling project but methods are transferable to any type of project. While all impact categories may be useful for a tolling project evaluation, the chapters on travel time, transportation choice, accessibility, noise, and distributive effects may be of greatest relevance: Changes in Travel Time Methods:  Highway Economic Requirements System (HERS) - computer model compares aggregate travel times for a base case with times for an improved case then translates time savings into a monetized value.  State Preference Surveys – created originally by marketing researchers these surveys collect responses from individuals on different travel options.  Travel Time Variability Model- these models focus on measures of travel reliability which incorporates mean and variance of travel delays caused by incidents and total delay due to type of incident. These are translated into a user benefit (or costs) Transportation Choice:  Qualitative Analysis is a screening tool that evaluates if a project will affect the number and quality of transportation choices. GIS can be used to map population of concern and transportation models can be utilized to assess how choice and trip affordability may be affected by a project.  User Demand and Evaluation Surveys gather information from travelers concerning their particular transportation alternative and potential barriers they may face.  Improved transportation surveys and models can be utilized to get better information than standard travel surveys by collecting demand for transportation alternative by different groups and how a change in the transportation network could affect alternative modes by different groups. Accessibility:  Interview, focus groups, and surveys can be used to identify common travel needs, destinations, travel time and costs expectations, and anticipated effects of alternatives. This information can be useful for understanding origins and destinations and general predictors of how travel may change from a new transportation option.  Maps and aerial photographs can be used to calculate a measure of access for persons who can reach a proposed highway. This can also be used to calculate access between households and employment centers and how a transportation project can affect that access through travel time savings.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 140      Gravity models can be used to measure “accessibility effects associated with a change in market opportunities, such as residential access to workplaces or shopping centers, or business access to labor markets or customer markets.”  Traffic Demand Models can be used to assess the effects of travel demand changes including travel times between origins and destinations and compare different transportation investments within a network. Traffic Noise:  Traffic noise predictions models can be utilized to assess changes in noise levels to adjacent residents and businesses. Since many lower income families live next to highway expansion projects this is a core impact area that must be assessed for any type of transportation project. Distributive Effects:  A list of special concerns related to low-income and minority communities is presented. However, NCHRP 532 on Effective Methods for Environmental Justice provides a more thorough examination of equity concerns. The guidebook provides useful information for project scoping, selection of evaluation criteria and alternatives analysis. Status Stage of planning or implementation, date of pricing inception, etc. N/A Critical Assessment This guidebook provides a simple easy-to-use framework for considering different type of social and economic effects relevant to evaluation of transportation plans and projects. While somewhat dated, the work describes methods that are still relevant today. Of particular importance is utilizing the impact categories in the guidebook as well as suggested methods. Additional Comments  

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 141  Prozzi, J., Victoria, I., Torres, G., Walton, C. M., and Prozzi, J. 2006. “Guidebook for Identifying, Measuring and Mitigating Environmental Justice Impacts of Toll Roads” Citation Prozzi, J., Victoria, I., Torres, G., Walton, C. M., & Prozzi, J. 2006. “Guidebook for Identifying, Measuring and Mitigating Environmental Justice Impacts of Toll Roads.” Report No. 0-5208-P2. Center for Transportation Research, University of Texas at Austin Website/Source http://www.utexas.edu/research/ctr/pdf_reports/0_5208_P2.pdf Focus Area(s) Place an “X” by all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X X X Document Type Guidebook for practitioners. Document Topic The objective of the guidebook is to present an approach for the identification, measurement, and mitigation of adverse impacts on minority/low-income/environmental justice (EJ) communities by toll roads relative to non-toll roads. Themes Covered  EJ  EJ communities  Toll roads  Potential mitigation options  Effective public EJ participation  Public involvement techniques  National Environmental Policy Act (NEPA) of 1969  Executive Order 12898  EJ evaluation methodology (EJEM)  Toll road impact matrix  Analysis techniques to assess EJ impacts at the project level  Title VI Type of Sponsoring Agency or Organization The sponsoring organization was the Texas Department of Transportation’s Research and Technology Implementation Office. The performing organization was the Center for Transportation Research, The University of Texas at Austin. Project conducted in cooperation with the Federal Highway Administration and the Texas Department of Transportation Geographic Distribution The document is primarily intended for a Texas audience, but contains useful guidance for analysts and organizations to consider across the nation (as well as internationally). Type of Tolled Facility & Features Various types of toll roads. Tolling Context Not applicable Pricing Arrangements Not applicable Decision Question/ Decision Maker Document is a primer and planning tool to help practitioners and agency decisionmakers effectively deal identify and address the issue of environmental justice impacts on tolling network (i.e., facility or corridor projects).

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 142  Populations Addressed What populations does this document address?  Black, Hispanic, Asian American, American Indian or Alaskan Native persons.  Any readily identifiable group of minority persons who live in geographic proximity, and if circumstances warrant, geographically dispersed/transient person.  An individual with a household income at or below the Department of Health and Human Services poverty guidelines.  Identifiable groups of low-income persons who live in geographic proximity, and, if circumstances warrant, geographically dispersed/transient who would be similarly affected by a proposed FHWA program, policy, or activity. Stage of Decision- making Statewide and Metropolitan Planning and Project Development/NEPA related stages. Relevance The guidebook compares the adverse and beneficial impacts tolling as they may affect environmental justice populations (i.e., low-income and minority). It presents a guide on how to identify, engage, and mitigate adverse impacts to these communities. It is very comprehensive and provides steps for organizations to take that will help mitigate any negative effects of tolling on EJ communities.  This guidebook describes an EJ evaluation methodology (EJEM) to identify, measure, and mitigate EJ concerns associated with four defined toll road scenarios relative to non-toll roads. The authors propose a methodology that has two components: an analysis/quantitative and an effective EJ participation component.  The document specifically discusses indirect and cumulative effects. The authors have developed a detailed Toll Road Impact Matrix that may be used by prospective analysts as a reference when identifying the additional benefits and burdens associated with toll roads vs. non-toll roads.  The authors reference a study (Cairns, Greig, and Wachs, 2003) that lays out relevant criteria for identifying whether EJ may be an issue on a toll-related project. “EJ is a concern when: some communities benefit from improved access, faster trips, and congestion relief, while minority or low-income communities receive fewer benefits; minority or low-income communities are disproportionately impacted by transportation projects in terms of social, economic, and environmental burdens; or minority or low-income communities are less represented in decisions”. The authors assert that criteria for concerns relative to EJ typically fall within the following categories: physical environment effects, health effects, mobility and safety effects, and social and economic effects.  The authors provide an extensive list of recommended engagement strategies to involve low- income and minority populations. They cite a study done by the Federal Highway Administration (FHWA), Public Involvement Techniques for Transportation Decision-Making as a more comprehensive resource for techniques related to enhancing public participation (FHWA and FTA, 1996).  The authors state that any analyst has to be aware of the difference between public consultation and public participation. Public consultation implies that the community can be presented a plan with alternatives and then asked for their thoughts on the plan. The analyst takes their feedback, decides which steps to initiate moving forward, thus taking all of the responsibility for the decision. The authors are critical of this approach for failing to meaningful involve the public and give them ownership concerning the project decisions. A study done by Tyler in 2003 is cited in the paper to further back up this train of thought.  The authors cite other sources that deal with innovative practices and successful mitigation strategies (Litman 1999, FHWA 2000, Lee 2003, DeCorla-Souza and Skaer 2003, and Litman 2004), including the following:

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes   Appendix A ‐ 143      Mitigating options for neighborhood effects: temporary or permanent relocation of housing units; construction of new housing units; fair relocation benefits; renovation of housing units; relocation of the entire community; renovation of public areas uses for community activities; relocation of graves; crossing guards at local schools during project construction; ban heavy vehicles from neighborhood streets; relocation site accessible by primary neighborhood transportation mode; conversion of former building to community centers; construction of parks and community centers; noise barriers to reduce highway noise levels; and soundproofing systems at sensitive sites. This category also includes some mitigation options that are specific to tolling and travel effects, including: use of toll revenue to finance transportation improvements; increase the quantity and quality of low-cost transportation alternatives; and provide toll exemptions to low-income travelers.  Mitigating options for local business effects: permanent relocation of business; fair share of contracts generated by the project earmarked for local business; maintain or enhance access to local businesses.  Mitigating options for economic development effects: fair employment opportunities for local residents during construction phase. This category also references some mitigation options specific to revenue recycling: return toll revenue to low-income households in the form of reduced regressive taxes and improved social services; reduce general taxes or other user fees, redistribute toll revenues according to income. Status The document is from 2006. It was important contribution to Texas during its planning and implementation of toll road improvements and toll road network. Critical Assessment The stated objective of the paper is to “present an approach for the identification, measurement, and mitigation of disproportionately high or adverse impacts imposed on minority and low-income (EJ) communities by toll roads relative to non-toll roads”. The guidebook does a good job of highlighting general EJ considerations on highway-related transportation improvements as well as highlighting specific considerations related to EJ on toll implementation projects -- namely identification of affected communities, impact analysis, environmental justice evaluation criteria and potential mitigation of impacts to EJ communities. The public involvement section’s presentation of “public participation techniques” could be further updated and expanded to incorporate processes currently in use for toll-related studies. The document could be clearer on its intended audience. Additional Comments  

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 144 PUBLIC INVOLVEMENT AND COMMUNICATIONS Aimen, D. and Morris, A. 2012. “NCHRP Report 710: Practical Approaches for Involving Traditionally Underserved Populations in Transportation Decision Making” Citation Aimen, D. and Morris, A. 2012. “NCHRP Report 710: Practical Approaches for Involving Traditionally Underserved Populations in Transportation Decision Making.” Transportation Research Board of the National Academies, Washington, D.C. Website/Source http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_710.pdf Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X X Document Type This document is a research document, case studies, and toolkit. The intended audience was use by practitioners, members of the public, and academia. Document Topic State DOTs, MPOs, and other transportation agencies implement a variety of approaches designed to meet the spirit and the letter of Title VI of the Civil Rights Act of 1964 and Executive Orders 12898, “Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations” and 13166, “Improving Access to Services for Persons with Limited English Proficiency.” In response to a growing awareness that the demographics of this country’s population have changed dramatically since the early 1950s when public involvement was first required on federal projects, a number of resources have recently been published that provide guidance and practical advice to transportation agencies on how to implement Title VI and Presidential Executive Orders 12898 and 13166. These include How to Engage Low-Literacy and Limited-English- Proficiency Populations in Transportation Decisionmaking and Transportation and Environmental Justice: Case Studies, published by FHWA. These technical resources and others have cautioned that traditional public involvement techniques may fall short of establishing meaningful opportunities for traditionally underserved populations to participate in decisionmaking about a proposed transportation activity that will affect their environment, safety, or health. This report builds upon these existing resources, updates and capture new and innovative techniques and approaches being used within the transportation industry and in other industries. It develops a compendium of practical and easy-to-use best practices that practitioners can use to involve traditionally underserved populations, particularly minority, low-income, limited English proficiency, and low-literacy groups, in transportation decisionmaking processes. There is no “one size-fits-all” strategy but rather a continuum of approaches that can be taken or customized to reach different communities or that are particularly appropriate for a specific stage of transportation decisionmaking. Relevant new practices and/or new applications of existing public involvement practices are documented and emerging demographic and communications trends and their implications for transportation decisionmaking are discussed. Abbreviated case studies provide examples of how each tool, technique, or practice has been successfully used.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 145 Transportation agencies are increasingly recognizing the value of professional public involvement expertise, whether obtained from consultants or agency staff. The report should serve as a significant resource to public involvement professionals as well as to transportation planners, engineers, and project managers who are responsible for ensuring that public involvement activities are meaningful, effective, efficient and relevant to traditionally underserved populations. Themes Covered The objective of this research project is to develop an easy-to-use toolkit of practical approaches—a compendium of effective practices, tools and techniques, and data sources— that agencies and practitioners can use to foster meaningful involvement of traditionally underserved populations, particularly minority, low-income, limited English proficiency, and low-literacy groups, in transportation decisionmaking. Transportation agencies need proven tools to identify, engage, and achieve a standard of meaningful involvement in the development of transportation solutions that are appropriate to each stage of decisionmaking and capable of being effective in an increasingly diverse society. Type of Sponsoring Agency or Organization National Cooperative Highway Research Program , Transportation Research Board of the National Academy of Sciences Geographic Distribution Project examples illustrating practical approaches – case studies, effective practices, tools and techniques – are drawn from throughout the United States, highlighting examples from state DOTs, MPOs, transit agencies, local and tribal governments, etc. Type of Tolled Facility & Features While this document does not specifically address toll facilities and features, the approaches presented in the document suggest many ways to identify and involve low-income, minority and other traditionally underserved populations in transportation decisionmaking processes. Tolling Context N/A Pricing Arrangements N/A Decision Question/ Decisionmaker N/A Populations Addressed This document addresses traditionally underserved populations such as low-income, elderly, disabled, limited English proficient, homeless, limited mobility, immigrants, Black/African American, Asian/Pacific Islander, Hispanic/Latino, Native American/Alaska Natives, etc. Other affected stakeholders are referenced. Stage of Decisionmaking The document describes practical approaches for engaging traditionally underserved populations at each stage of decisionmaking. These practical approaches described would be applicable to a tolling decisionmaking context in policy and program evaluation; statewide and metropolitan planning; project development and NEPA; operations and mitigation implementation; market research, and marketing and communications. Relevance This document describes several effective practices and, thus, has indirect relevance to characterizing the state of the practice as it relates to toll implementation and the conduct of environmental justice analyses.  The document identifies several “data sources and tools” that can be used to better identify and understand the social and economic characteristics of communities and various segments of traditional underserved populations;  The document identifies seven interrelated task objectives that practitioners can recognize when devising “practical approaches” for involving traditionally underserved populations on tolling related projects throughout the stages of transportation decisionmaking: o Identify populations o Implement public involvement plan

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 146 o Provide information o Gather feedback o Build relationships o Mitigate impacts, deliver benefits o Overcome institutional barriers  This document provides several examples of measures deployed to avoid, minimize and mitigate adverse effects upon populations, including low- income and minority populations.  The document does not directly practical approaches using tolling related planning studies and project examples. Status The document addresses projects that are completed. Critical Assessment This is the most encyclopedic document on how to identify and engage traditionally underserved populations published to-date. A collection of 10 – 12 page case studies would be useful in that they would be able to provide more information on the details. Additional Comments

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 147 McAndrews, C., Florez-Diaz, J.M., and Deakin, E. 2006. “Views of the Street: Using Community Surveys and Focus Groups to Inform Context-Sensitive Design” Citation McAndrews, C., Florez-Diaz, J.M., and Deakin, E. 2006. “Views of the Street: Using Community Surveys and Focus Groups to Inform Context-Sensitive Design.” Transportation Research Record: Journal of the Transportation Research Board, No. 1981, Transportation Research Board of the National Academies, Washington, D.C., pp. 92–99. Website/Source http://trid.trb.org/view.aspx?id=776858 Focus Area(s) Fill in all that apply Data Requirements and Trends Tolling and Pricing Scenarios and Collection Technologies Analytic Methods/Impact Measures Public Engagement Approaches & Methods Mitigation & Compensation Legal and Regulatory X Document Type Research document intended for transportation and public involvement practitioners. Document Topic Urban transportation planners need community involvement to design the urban transportation system for its users and for those who experience its spillovers and externalities, positive and negative. This paper discusses methods and findings from an effort to involve residents in the planning for the redesign and revitalization of San Pablo Avenue, an urban arterial running along the eastern edge of the San Francisco Bay, California. Resident surveys and focus groups show that even on a major arterial serving multiple jurisdictions, local residents account for a major share of shopping and personal business along the arterial, and local trips are a major portion of the pedestrian traffic, transit ridership, and auto use in the corridor. Further, residents have intimate knowledge of the way the street functions and malfunctions and can offer useful suggestions for street redesign, operational improvements, land use changes, and related social programs. The paper shows that context-sensitive design needs to respond not only to the physical environment but also to social and economic conditions, including neighborhood concerns and aspirations. Themes Covered  Use of community surveys and focus groups as a means of public involvement.  How use of these tools are part of a larger public involvement effort.  How the results of this research contrasted with previous assumptions made by professionals planning portions of the street and suggested new directions for change. Type of Sponsoring Agency or Organization  MPO -- Department of City and Regional Planning and Department of Civil and Environmental Engineering.  University -- University of California Transportation Center, Universidad Simón Bolivar, Departamento de Planificación Urbana, Apdo. Geographic Distribution San Francisco metro area. Type of Tolled Facility & Features Not applicable. Tolling Context Not applicable Pricing Arrangements Not applicable Decision Question/ Decisionmaker Redesign and revitalization of urban avenue in which the metropolitan planning organization is involved. Populations Addressed Residents are of every racial and ethnic group in the region and range from low-income to middle class. Some areas along the avenue are fighting decline, others are gentrifying. Bus riders, bicyclists, pedestrians, vehicle drivers, neighborhood residents.

Project NCHRP 08-100 Environmental Justice Analyses When Considering Toll Implementation or Rate Changes Appendix A ‐ 148 Stage of Decisionmaking Market research, public involvement, and metropolitan planning. Relevance This article was chosen hoping to find additional insights using surveys and focus groups for tolling projects. Unfortunately, the article did not deal with tolling, but did emphasize the importance of having a broad approach to public involvements via surveys, while also being able to drill down to more in-depth specifics via focus groups. Also has implications for being sure to get adequate survey sample sizes of those from EJ populations, as well as conducting focus groups specifically with EJ populations. Status Early planning stage study. Critical Assessment Article provides a good example of how the use of surveys and focus groups can bring additional perspectives to the planning process. Has definite implications for tolling projects in which understanding the impacts of tolling and potential mitigation strategies can be understood in part through such public involvement methods. Article could have benefitted from additional survey analysis, especially relative to findings by ethnicity/race and income variables. Additional Comments