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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2020. Equity Analysis in Regional Transportation Planning Processes, Volume 1: Guide. Washington, DC: The National Academies Press. doi: 10.17226/25860.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2020. Equity Analysis in Regional Transportation Planning Processes, Volume 1: Guide. Washington, DC: The National Academies Press. doi: 10.17226/25860.
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2020 T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP RESEARCH REPORT 214 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation • Planning and Forecasting • Policy Equity Analysis in Regional Transportation Planning Processes Volume 1: Guide Hannah Twaddell ICF Charlottesville, VA a n d Beth Zgoda ICF Washington, DC

TCRP RESEARCH REPORT 214, VOLUME 1 Project H-54 ISSN 2572-3782 ISBN 978-0-309-48167-0 © 2020 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Commission. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Commission to formulate the research program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Commission defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. Published research reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.nationalacademies.org and then searching for TRB Printed in the United States of America

Nikki Tishler was a transportation planner and Title VI strategist with the Office of Trans- portation Planning of the Massachusetts Department of Transportation, supporting capital planning and civil rights compliance activities at the agency. With a background in com- munity organizing, Nikki was passionate about promoting civic engagement and improving public participation processes so that public-sector activities would reflect the needs and wants of the public. In her role as Title VI strategist, Nikki saw the consideration of civil rights and transportation equity as an opportunity to improve the customer experience for the diverse constituencies served by the Massachusetts Department of Transportation. Nikki held a joint Master of Public Policy and Master of Arts in Women’s and Gender Studies from Brandeis University’s Heller School for Social Policy and Management and a Bachelor of Arts in Civic Engagement and the Politics of Representation from the University of Massachusetts–Amherst. On April 9, 2018, the Senate of the Commonwealth of Massachusetts approved a motion to adjourn in honor of Nikki. The text of the motion reads as follows: The Commonwealth of Massachusetts JOURNAL OF THE SENATE Adjourn In Memory of Nikki Tishler The Senator from Norfolk and Plymouth, Mr. Keenan, moved that when the Senate adjourns today it adjourn in memory of Nikki Tishler. Nikki Tishler passed away after a brief illness on March 25, 2018 at the age of 29 with her father Gary by her side. The loss to her family, friends, col- leagues, and the whole MassDOT community is a deep one. Nikki was raised in Easton and most recently lived in Quincy. Her work at MassDOT focused on issues of inclusion and social equity in the transportation planning process, and much of her time was spent on strengthening imple- mentation of Title VI of the Civil Rights Act. She was also the Coordinator of MassDOT’s Safe Routes to Schools program and a liaison to three of the Commonwealth’s Metropolitan Planning Organizations. Nikki had recently been recognized for her work by the Boston chapter of the Women in Transportation Seminar, which had selected her to be a 2018 Emerging Professional. Nikki was a member of the Fontbonne Academy Class of 2007, earned her Bachelor of Arts from the University of Massachusetts Amherst College of Humanities & Fine Arts, with a concentra- tion in the Women, Gender, and Sexuality Studies program, and went on to receive a Master’s degree from the Heller School for Social Policy and Management at Brandeis University. Prior to joining MassDOT, Nikki was a Federal Policy and Communications Fellow at the Sexuality Information and Education Council of the United States and the Director of Operations for Lucky Horse Equine Rescue. She was also a Teaching Fellow at Brandeis and a Research Assistant at UMass. Nikki’s devotion to service and her passion to help others was inspirational. She was a fierce advocate for social justice; a good and loyal friend; a volunteer for a suicide prevention hotline; a warm and thoughtful person; a lover of candy, yoga, adventurous travel, and dancing; and an observer of her Jewish faith. As one of her colleagues described her, ‘Nikki had the innate ability to promote social wellness, which she was a living example of. Her closest colleagues benefited both professionally and personally from her contagious positivity.’ The world will miss her. Accordingly, as a mark of respect in memory of Nikki Tishler, at twenty-six minutes past eleven o’clock A.M., on motion of Mr. Tar, the Senate adjourned to meet again on Wednesday next at eleven o’clock A.M. In Memoriam Statement of Appreciation to TCRP H-54 Panel Member Nikki Tishler (Deceased March 25, 2018)

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The research that produced this guide was performed under TCRP H-54 by ICF with Hannah Twaddell as Principal Investigator and Aida Douglas consulting. Beth Zgoda of ICF led the research and drafting efforts with much appreciation for the contributions of the following ICF staff: Les Brown, James Choe, Catherine Duffy, Taylor Gestwick, Jessica Klion, Alanna McKeeman, Radha Neelakantan, Lindsay Oluyede, Katie O’Sullivan, Eliot Rose, Amy Snelling, Allie Thompson, and Paul Wlodkowski; thank you also to these ICF staff for their peer reviews and technical support: Sunil Dhuri, Terrance Glover, Paul Hershkowitz, and Jon Walker. CRP STAFF FOR TCRP RESEARCH REPORT 214 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Emily Griswold, Program Coordinator Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Sharon Lamberton, Editor TCRP PROJECT H-54 PANEL Field of Policy and Planning Lee L. Davis, Lee L. Davis & Associates, Palmdale, CA (Chair) Ashley B. Burns, Burns Innovation Group, New Orleans, LA Aida Copic, Transit Authority of River City, Louisville, KY Kayla Marie Ferguson, RPM Transportation Consultants, LLC, Nashville, TN Kristin M. Haldeman, Arlington Public Schools, Arlington, VA Austin Lee, AC Transit, Oakland, CA Heidi Schallberg, Metropolitan Council, Saint Paul, MN Nicole Tishler, Massachusetts Department of Transportation, Boston, MA (Deceased) Ken Zatarain, WSP, Portland, OR Wesley Blount, FHWA Liaison Ken Cervenka, FTA Liaison Christopher E. Zeilinger, CTAA Liaison

TCRP Research Report 214: Equity Analysis in Regional Transportation Planning Pro- cesses, Volume 1: Guide documents a five-step equity analysis framework for regional transportation plans and programs. The opening chapters provide a high-level overview of relevant requirements and the analysis framework; quick-reference charts of activi- ties, resources, and guidebook sections that apply particularly to planners, policy makers, analysts, and modelers; and approaches for laying a strong foundation of public and stakeholder engagement to support the entire analysis process. Subsequent chapters provide step-by-step descriptions of methods, examples, and resources to help agencies develop and implement equity analyses that reflect varying regional contexts and agency capabilities. Volume 1 concludes with descriptions of brief pilot projects conducted with four metropolitan planning organizations (MPOs) to test different aspects of the equity analysis framework. A separate Research Overview, published as TCRP Research Report 214, Volume 2, describes the results of the research effort conducted to identify ways in which equity in public trans- portation can be analyzed through an integrated participatory and quantitative approach that is adaptable to plans and programs developed by MPOs in partnership with transit agencies and that relates to environmental justice analysis and Title VI procedures, imple- mentation, and reporting compliance. The products of this research will be useful to transportation professionals engaged in the process of planning and programming federal transportation funds at MPOs and transit agencies. The reports provide information about methods, tools, and resources that agencies can use to support plans and programs that are compliant with equity-related federal requirements. The guidance and information provided in the reports do not consti- tute any standard, specification, or regulation. In metropolitan regions, public services such as transportation, parks, libraries, health services, law enforcement, and affordable housing are often not provided in such a way that all segments of the population have equal access to these services. Barriers can include the physical and socio-economic segregations between population groups that receive greater benefits and/or experience fewer burdens associated with transportation investments, and those that receive fewer benefits or experience higher burdens. Research has shown historic patterns of biased service delivery associated with income, race, color, and national origin, often in relation to urban location. A review of planning documents and reports from over 50 large MPOs shows that a wide variety of approaches have been used in the process with no clear standards, methodologies, metrics, or reporting formats by which plans can be easily evaluated or compared. F O R E W O R D By Gwen Chisholm Smith Staff Officer Transportation Research Board

This report was prepared by ICF consultants under TCRP Project H-54. The primary objective of this research was to develop a reference guide that identifies and describes how equity in public transportation can be analyzed through an integrated participatory and quantitative approach that is adaptable to planning and development at local and regional levels. To accomplish these objectives, a focused review of literature, research in progress, and current practices related to equity in transportation plans and programs was conducted. In addition, pilot testing of best practices and technical assistance was completed with four MPOs. Lessons learned through this research were compiled in this reference guide, which leads MPOs through a five-step equity analysis process that integrates quantitative and qualitative approaches.

1 Chapter 1 Introduction 1 Purpose and Target Audience 2 What Does Equity Mean for Transportation Planners? 3 Why Conduct Equity Analyses? 4 What Requirements Are Relevant to Equity Analyses? 6 Terms Used in This Guide 7 Organization of This Guide 8 Quick References for Planners, Policy Makers, Analysts, and Modelers 9 Equity Analysis Elements and Resources 12 Chapter 2 Lay the Foundation with Public Engagement 12 Why Is Public Engagement Important? 12 Develop an Inclusive Public Engagement Plan 13 Connect 13 Educate 14 Sustain 15 Commit Resources 16 Evaluate Progress 17 Resources 18 Chapter 3 Step 1: Identify Populations for Analysis 18 Define Population Groups for Analysis 21 Identify Regional Distribution of Underserved Persons 25 Identify High-Priority Areas 27 Understand Demographic Change 27 Resources 29 Chapter 4 Step 2: Identify Needs and Concerns 30 Identify Needs at the Regional Level 35 Identify Needs at the Neighborhood Level 38 Document Findings for Use in Other Steps 39 Resources 41 Chapter 5 Step 3: Measure Impacts of Proposed Agency Activity 41 Select Indicators 44 Differentiate Project Types for Evaluation 44 Measure Outputs 47 Measure Outcomes 50 Document Measurements for Use in Next Steps 50 Resources C O N T E N T S

52 Chapter 6 Step 4: Determine Whether Impacts Are Disparate or Have DHAE 53 Review Data to Identify Differences Among Population Groups 54 Screen for Disparate Impacts Using Quantitative Methods 59 Validate Findings with Qualitative Methods and Stakeholder Engagement 61 Explore Causes and Mitigation Options 62 Resources 63 Chapter 7 Step 5: Develop Strategies to Avoid or Mitigate Inequities 63 Invest in Projects That Advance Equity 66 Address Equity in All Phases of Planning and Decision Making 68 Resources 70 References A-1 Appendix Pilot Case Studies

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Transportation agencies that manage federally funded programs and projects are responsible for ensuring that their plans, programs, policies, services, and investments benefit everyone in their jurisdictions equitably.

The TRB Transit Cooperative Research Program's TCRP Research Report 214: Equity Analysis in Regional Transportation Planning Processes, Volume 1: Guide is designed to help Metropolitan Planning Organizations (MPOs) analyze and address equity effectively in long-range, regional, multimodal transportation planning and programming processes.

The guide walks through public engagement, identifying populations for analysis, identifying needs and concerns, measuring impacts, further understanding those impacts, and developing strategies to avoid or mitigate inequities. As the guide states, minority, low-income, and limited English proficiency populations have not benefited equitably from transportation investments and programs historically.

This report is followed by TCRP Research Report 214: Equity Analysis in Regional Transportation Planning Processes, Volume 2: Research Overview, which describes the results of the research effort and identifies ways in which equity in public transportation can be analyzed and adapted by MPOs in partnership with transit agencies.

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