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This paper belongs in a series of reports that lay the groundwork for
the policy recommendations of the fourth regional plan, A Region
Transformed. The full plan will appear this fall.
The Fourth Regional Plan has been made possible by the following sponsors:
We thank all our donors for their generous support for our work.
This report was produced by We are enormously thankful to the people who gave
Pierina Ana Sanchez, Director, New York, RPA us their time and shared their stories of displacement
Moses Gates, Director, Community Planning & Design, RPA throughout the region. Quotes from these interviews are
Sarah Serpas, Associate Planner, Community Planning & displayed throughout the report, and you can learn more in
Design, RPA the appendix.
Chris Jones, Senior Vice President & Chief Planner, RPA
Vanessa Barrios, Associate Planner, Outreach, RPA We would also like to acknowledge the critical contribu-
Renae Widdison, Intern, RPA tions of our Fourth Regional Plan community partners who
Wendy Pollack, Director, Public Affairs, RPA informed our research, and connected us with residents
Emily Thenhaus, Communications Associate, RPA across the region. These partners continue to do the on-
Ben Oldenburg, Senior Graphic Designer, RPA the-ground work preventing displacement and making sure
people have safe and stable places to live.
Contents
Executive Summary/2
A Crisis of Affordability/4
Community Engagement/31
Interviews/32
Methodology/36
Model/37
Over the past decades, New York City and much of the sur- 3. Where are the areas currently seeing the kind of hous-
rounding region has experienced a remarkable turnaround. ing market activity that can lead to price pressures and
Our robust transit system, walkable neighborhoods, displacement?
reduced crime and diverse and international character
have positioned New York City, and some other places in Our findings were supplemented with interviews with
the region, as leaders of the recent urban renaissance. low- and moderate- income residents of the region in order
to understand their current living conditions, experiences
But this success has come at a price. Housing costs have with displacement, and future housing hopes. Interviewees
skyrocketed even as wages have stagnated. Some outer were reached through RPAs fourth regional plan commu-
borough neighborhoods that were once thought of as bas- nity engagement program.
tions of the working- and middle-class have seen a surge of
wealthy residents. The idea that people can find a comfort-
able place to put down community roots for the long term is
increasingly precarious. The pressure on poorer residents Key Findings
to leave for more distant areas and make way for people
who can afford more has seemingly moved from neighbor-
hood to neighborhood with little slowdown, overcoming Low and moderate-income residents are being
recessions, natural disasters, and concerted efforts from replaced by wealthier populations in walkable
government and community organizations alike. There is a neighborhoods with good access to jobs.
common thread in the areas experiencing these pressures: From 2000 - 2015, households making more than $100,000
They are walkable areas with good access to jobs and public a year have grown by 160,000 in these accessible neigh-
transit. And they also are the areas where the people most borhoods, while households making less than $100,000
vulnerable to displacement are likely to live. have declined by 61,000 in these same neighborhoods1 .
Households making under $25,000 in particular are seeing
The rising gap between housing costs and incomes can a marked shift, growing by almost 50,000 households in
strain budgets and limit housing choices even for many the less accessible neighborhoods, while declining by over
middle-class individuals and families. This report focuses 10,000 households in the more accessible ones. This shift
on the impact of rising rents and neighborhood change on isnt equal across the region, and is heavily driven by the
low and moderate-income households. These residents not increase of the wealthy population in walkable, job-accessi-
only have fewer choices when they are priced out of their ble neighborhoods in Manhattan, Brooklyn, and to a lesser
homes, they are also more likely to live in the neighbor- extent Queens and New Jerseys Hudson County.
hoods where the biggest changes are taking place. And
the instability caused by displacement has a much bigger
impact on the lives of people with few resources to adapt to Despite this shift, most low and moderate-
the resulting financial, social and psychological disruption. income residents still live in these walkable,
job-accessible neighborhoods.
RPA conducted a detailed analysis of not just New York Over 95% of neighborhoods with high proportions of vul-
City, but the entire metropolitan region, in order to deter- nerable residents are also accessible areas. Out of the 2.1
mine three things: million households in these neighborhoods at risk almost
half of them, 990 thousand, are renters who earn less than
1. Where are residents vulnerable to displacement?
$50,000 per year and are not living in public housing or
2. Where are the neighborhoods that are likely to experi- other income-contingent housing. While some of these
ence gentrification and displacement pressures in the renters have other, weaker forms of rent protections, many
future, and how do they overlap with the vulnerable will have little recourse against being pushed out if housing
populations? costs rise.
1 Neighborhoods are defined by census tracts in this analysis.
For the last two decades, the economies of cities around Figure 1: Households Spending More Than 30% of Their
the country have experienced a remarkable turnaround. Income on Housing, 2000-2015
Attracted to urban amenities and opportunity, young adults
have moved to cities in greater numbers, and older adults 2000 2015
have stayed longer. As a result, the New York metropoli-
tan region experienced robust job and population growth Hudson Valley 28%
concentrated in the urban core. Yet this success was uneven 44%
and unequal. Vulnerable populations, especially low- to Long Island 32%
moderate-income households, the elderly, disabled and 45%
communities of color have lagged behind and not shared
New York City 33%
equally in the prosperity. 49%
Top among their challenges has been an affordable housing Northern 29%
crisis. Incomes for most people in the region have stagnated New Jersey 44%
while housing costs have continued to rise. The supply of Southwestern 27%
housing and especially affordable housing has fallen well Connecticut 42%
behind demand, with cost burdens going up not just in New
NY-NJ-CT 30%
York City, but in Long Island, the Hudson Valley, Northern
Region Total 46%
New Jersey and Southwestern Connecticut.
Source: 2000 US Census; 2011-2015 American Community Survey
Over the last decade, neighborhood change indices and Displacement Index Risk Levels
studies have been produced throughout the country for Tract Categorization Calculation
both research and policy-making purposes. Common 1 Low Displacement Pressure Combined Displacement Risk
among these indices has been the desire to capture demo- Score 15
graphic and market dynamics that indicate gentrification
2 At Risk for Displacement Displacement Risk Score > 15
the form of neighborhood change characterized by the Pressure AND
arrival of higher-income and often-time higher-educated Neighborhood Access Score > 10
residents, along with increasing rents, property values 3 At Risk for Displacement Displacement Risk Score > 15
and cost-of-living, and decreasing non-white populations. Pressure + Shifting Market AND
Each of these indices has operationalized gentrification Neighborhood Access Score > 10
differently according to the particular research ques- AND
Significant increase in apartments
tion. Researchers have been interested in the relationship
with rents $2,000+ or homes
between gentrification and residential displacement, 2 , 3 valued $500k+
gentrification and business displacement,4 gentrification
and economic outcomes of lower-income households, 5
gentrification and public investments,6 and have classified In order to predict future gentrification and displacement
neighborhoods as gentrifying in different ways, includ- pressures in the New York region, this report looked at
ing if property values in relatively inexpensive areas have variables related to three concepts: the economic vulner-
increased, if the non-white population has decreased, or if ability of residents, the characteristics that make a neigh-
incomes have gone up. borhood susceptible to gentrification, and the degree and
type of recent market activity within those places. The
In sum, these studies have found the pace of gentrification report aims to identify specific geographies where resi-
in central neighborhoods across the country to be accel- dents are potentially vulnerable to displacement, and fur-
erating, often resulting in some displacement of low- and ther attempts to examine recent market trends which can
moderate- income households from neighborhoods previ- inform current conditions on the ground. The full meth-
ously accessible to them. And there is evidence that while odology for constructing a displacement index from these
the financial health of individuals who remain in gentrify- factors is described in Appendix 1.
ing neighborhoods tends to improve, the financial health
of individuals unable to remain declines. Incumbent small
businesses, often locally owned, can also be affected by
price pressures resulting from gentrification.
Economically Vulnerable
Census Tracts
Source: 2011-2015 American Community Survey
NY
NJ
NY
CT
NY
NJ
NY
CT
This sub-index measures the quali- tracts which have high levels of access
ties of attractive urban neighborhoods to jobs, public transportation, and
that may make them more likely to amenities.
face gentrification and the influx of
high-income populations, and thus The idea that these types of areas are
place vulnerable populations at risk increasingly more attractive is born
of gentrification-induced displace- out by looking at trends from 2000 -
ment. Two indicators were selected to 2015. The census tracts described as
construct an index of neighborhood accessible in the index experienced
desirability: access to jobs by public an 11 percent increase in households
transportation, taken from a previ- making over $100,000/year, whose
ous RPA report, Fragile Success, 8 and occupants have a high level of hous-
Walk Score,9 a measure of a neighbor- ing choice. Much of this was driven by
hoods walkability based on access to growth in high-income households in
neighborhood amenities like stores, New York City, especially in parts of
parks, restaurants and services. While Manhattan and Brooklyn where both
other factors such as crime rates, the access to jobs and walkability had the
condition of the housing stock and highest scores. Census tracts with low
school quality also have an impact, access experienced a 7% increase in
access and walkability were selected high-income households.
because they represent relatively fixed
physical characteristics. Access to jobs
by public transportation and Walk
Score were weighted, and together
make up a neighborhood access
indicator. The result is 3,712 census
NYNY
CT
NJ
NY
CT
NNYYCT
NJ
NY
CT
NY
NJ
NY
CT
Displacement Index
Source: 2011-2015 American Community Survey;
RPA & Conveyal Access to Jobs Analysis from Frag-
ile Success, 2014; Walk Score, 2014
At Risk
At Risk with Shifting Market
NY
NJ
NY
CT
To assess the current state of the this shift toward high-end housing are
housing market, recent market activ- designated as areas that may be of par-
ity was indexed for census tracts that ticular concern to municipalities when
both contained vulnerable populations it comes to combating displacement.
and were in walkable, job-accessible
areas. Activity was measured using
the change in number of apartments
with contract rents greater than
$2,000, and the change in home values
greater than $500,000. Census tracts
with a large increase in the proportion
of high-rent and high-cost housing
from 2010 - 2015 indicate neighbor-
hoods undergoing more rapid change.
Using the change in the proportion
of high-end housing, rather than the
change in the total amount, lessens
the effect of creating a new high-
end home versus turning a cheaper
home into a more expensive one. In
this way, a neighborhood that adds
high-end housing, but keeps the rest
of its housing prices relatively steady,
shows less of a market shift than one
which added high-end housing comes
at the expense of its affordable homes.
The subset of the vulnerable, acces-
sible census tracts currently seeing
NY NY
NJ NJ
NY NY
CT CT
0 25% 0 25%
25 50% 25 50%
50% + 50% +
NY NY
NJ NJ
NY NY
CT CT
0 25% 0 25%
25 50% 25 50%
50% + 50% +
at nic
States. For instance, a typical white household has 16 times
o
*
*
O *
k*
te
er
/ L pa
in
an
ac
hi
th
is
more wealth than a typical black one10, and a black young
i
As
W
Bl
H
man is more likely to go to prison than attend college or Areas at Risk 19% 28% 41% 10% 2%
serve in the military.11
Region Total 50% 15% 23% 10% 2%
Segregation also persists spatially. When compared with *non-hispanic
other large metropolitan areas, New York ranks highest in
income inequality and continues to rank as one of the most
racially and ethnically segregated regions in the United
Source: 2011-2015 American Community Survey; RPA Analysis
States.12
10 Institute for Assets & Social Policy, Brandeis University, 2015. The Racial
Wealth Gap. http://www.demos.org/sites/default/files/publications/Racial-
WealthGap_1.pdf
11 Western, Bruce. 2007. Punishment and Inequality in America.
12 Regional Plan Association. 2015. Spatial Planning and Inequality. http://
library.rpa.org/pdf/RPA-4RP-Whitepaper-Spatial-Planning-and-Inequality.
pdf
NY
NJ
NY
CT
Over the last 25 years, New York City has been at the center New York CIty has already experienced a stark shift in
of the regions growth and revitalization. Manhattan is its low-income population, losing 35,100 very low-income
home to the largest central business district in the nation, households in these highly accessible census tracts, while
and job growth is expanding rapidly to the Bronx, Queens the low-income population in other census tracts stayed
and Brooklyn. But as jobs and population have grown, steady. This is in almost direct contrast to high income
housing costs have skyrocketed, placing significant burdens households, which experienced a gain of 132,790 in these
especially on low- and moderate-income households. The walkable, job-accessible census tracts, while also staying
rapid demographic and housing market change that has steady in the other tracts. From 2000-2015 over 35% of the
occurred in many New York City neighborhoods over the total growth of high-income households in the region took
last 25 years has been heavily documented13 . place in the accessible neighborhoods of Manhattan and
Brooklyn, despite these areas having just 20% of the popu-
lation of the region.
Hudson
St. George
Port Ivory New Brighton
Howland Arlington Tompkinsville
Port Richmond
Hook Randall Manor
Mariner's Harbor
Everything around you is gone. Your Elm Park
West Brighton Stapleton
Grymes Hill
friends are gone. The retail stores dont Westerleigh Silver Lake Clifton
Graniteville
Fox Hills
even have any protections Castleton Sunnyside Rosebank
Bulls Head Corners
Park Hill Shore
Bloomfield Emerson Acres
Phil | Williamsburg, Brooklyn Willowbrook
Manor Heights
Hill Concord
Grasmere
Todt Hill
Chelsea New Springville Old Town Arrochar
Heartland Village Dongan Hills
Travis
13 New York University Furman Center. 2015. State of New York Citys Hous-
ing & Neighborhoods: Focus on Gentrification. http://furmancenter.org/files/ Staten Egbertville South Beach
sotc/NYUFurmanCenter_SOCin2015_9JUNE2016.pdf Middlesex Island Lighthouse Hill
Grant City
New Dorp Midland Beach
Richmond Town
New Dorp Beach
Woodlawn
Fieldston Wakefield
Riverdale Bronx Eastchester
Spuyten Edenwald
Duyvil Kingsbridge Williamsbridge
Norwood
Marble Hill Co-op City
Kingsbridge Bedford Olinville
Inwood Heights Park Baychester
Allerton
Fordham Pelham Gardens
University Belmont Pelham Parkway
Heights
Washington Bronxdale
Heights Mount Hope Pelham Bay
Morris Heights Morris Park City Island
Country Club
Mount Eden East Tremont Van Nest
West Farms Westchester Square
High Bridge
Parkchester
Concourse
Claremont Village Unionport
Concourse Village Schuylerville
Hamilton Heights Morrisania Soundview Edgewater Park
Manhattanville Melrose Castle Hill
Longwood Throgs Neck
Central
Harlem Hunts Point
Morningside Mott Haven
Heights Clason Point
Port Morris
Manhattan
Valley
an
NY
CT
Looking closer at the index, we can see that many neigh- I am in a choice spot. I got the bus in front of
borhoods in Manhattan and northwest Brooklyn dont me. I got the train right there on 110. I stay in
appear on the current displacement index simply because my humble abode and still am good and still
there are few low-income people left to displace. Others have my place. So why should I give that up?
that do show up are likely due to the number of low-income
households living in rent regulated or subsidized housing, Ray | East Harlem
which wasnt removed from our index, such as Low-Income
Housing Tax Credit (LIHTC) apartments or HDFC coop-
eratives. But throughout the rest of Brooklyn, as well as
most of the Bronx, much of Queens and some of the north
shore of Staten Island, there remain vulnerable low-income
communities in walkable, job-accessible neighborhoods.
Long Island
At Risk
At Risk with Shifting Market
Glen Cove
onx
Suffolk Ronkonkoma
Westbury
Nassau Wyandanch
Freeport
Rockville
Center Scale 1:500,000
0 5 10 Miles
Kingston
Displacement Index in
Hudson Valley
At Risk
At Risk with Shifting Market
Dutchess
Ulster
Poughkeepsie
Sullivan
Beacon
Newburgh
Middletown
Putnam
NY
NJ Peekskill
Westchester
NY
Haverstraw
Rockland
CT
Ossining
Sussex
Spring Valley
Thornwood
Passaic
Tarrytown
White Plains
Port Chester
Bergen Mamaroneck
Scale 1:500,000
0 5 10 Miles
Yonkers New Rochelle
Mount Vernon
22 Morris
Pushed Out|Regional Plan Association|March 2017 Bronx
Characteristics of Tracts at Risk in Hudson Valley
Suffolk
Northern New Jersey
Rockland
Sussex
Displacement Index in
Passaic
Northern New Jersey
Newton
At Risk
At Risk with Shifting Market
Bergen
Paterson Englewood
Warren
Morris Hackensack
Bronx
Fort Lee
Passaic
Montclair
Morristown
Essex
New
Orange York
Union City
Newark Hoboken
Jersey City
Hudson Quee
Union Kings
Elizabeth Bayonne
Linden
Plainfield
Rahway Richmond
Somerset
Hunterdon
Manville Perth Amboy
Flemington
New Brunswick
Middlesex Keyport
Monmouth
Mercer Long Branch
Freehold
Scale 1:500,000
0 5 10 Miles
Ocean Lakewood
Displacement Index in
Southwestern Connecticut
At Risk
At Risk with Shifting Market
Waterbury
Meriden
New Haven
Putnam
Danbury
Fairfield
New Haven
Westchester
NY Bridgeport
CT
Norwalk
Stamford
ns
Scale 1:500,000
In order to emphasize the importance of creating healthy, leading cause of homelessness and are an immensely stress-
mixed-income communities, RPAs fourth regional plan, A ful and disruptive force in peoples lives. Even when ten-
Region Transformed, will propose several strategies to pro- ants are ultimately victorious in court, legal fees combined
mote fair housing, affordable mixed-income communities with lost wages from the need to go to court often create
and greater housing choices for all of the regions residents. a downward financial spiral for low-income residents in
These include substantially increasing housing production the region, leading to more struggle making rent and as
overall, requiring mixed-income housing throughout the such, more eviction actions. Until the recent decision by
region, reducing land use and policy barriers to multi-fam- the administration of New York City Mayor Bill de Blasio
ily housing production and encouraging more density in administration to expand housing counsel to renters mak-
walkable and transit-accessible communities, and allow- ing under $50,000 facing eviction, 80% of tenants in New
ing for invisible intensification through using our existing York City facing eviction went without counsel, compared
buildings more efficiently to house more people. with 90% of landlords who were represented by counsel.
Access to housing counsel both helps prevent unjustified
Protecting residents from displacement in their current evictions and discourages landlords from bringing frivo-
communities is one of these. And while there is no single lous cases designed solely to displace existing tenants.
policy that can prevent residential displacement, there
are mechanisms for states and municipalities to try and The number of eviction actions vary dramatically across
address the problem proactively. These mechanisms exist the region, and are heavily concentrated in a few counties.
to varying degrees throughout the region, though no single While figures are unavailable for the three Connecticut
place has incorporated all of them. If the region as a whole counties, RPA research shows that of the approximately
continues on the positive trajectory toward walkable, job- 400,000 yearly eviction actions that take place in the 28
accessible communities experiencing increasing demand, New York and New Jersey counties of the region, just one-
housing prices will be continue to be upwardly pressured quarter of them - Brooklyn, the Bronx, Manhattan, Queens,
and these mechanisms will need to be strengthened in and New Jerseys Essex, Hudson and Middlesex Counties -
order to retain existing low- and moderate-income popula- account for over three-quarters of the filed eviction actions.
tions and keep housing affordable to a range of people. In
this way, we can revitalize communities while also reduc- The potential costs of such a program are still largely
ing segregation and inequality, and achieve the mixed- unknown. Estimates vary on the net costs of providing this
income and racially diverse communities that lead to legal counsel in New York City: while the estimated cost
improved social equity. And importantly, while programs of funding lawyers for eviction cases is relatively consis-
to prevent displacement can have financial costs, they also tent, savings from preventing homelessness and associated
have many financial benefits, saving significant amounts shelter costs, not needing to replace affordable housing that
of public money through prevention of future homeless- may be lost when a tenant is evicted, and other offsets vary
ness, lowered social service and emergency service needs, significantly. As a result, costs from a $320 million surplus18
health savings through fewer unfunded emergency room to a $203 million deficit 19 have been projected.
visits and fewer law enforcement, housing court, and other
governmental costs.17 Even with these costs, the social and public health ben-
efits of preventing displacement makes this a worthwhile
endeavor. New York City announced in early 2017 that it
Strategy 1: Limit evictions through access would fully implement the program, and other municipali-
to legal counsel for low income residents ties could follow suit. The program could be implemented
Free legal counsel for low-income tenants facing eviction
is one of the most potent strategies to protect economically 18 Stout Risius Ross, Inc. report to NYC Bar Association http://www2.nycbar.
vulnerable residents from displacement. Evictions are a org/pdf/report/uploads/SRR_Report_Financial_Cost_and_Benefits_of_
Establishing_a_Right_to_Counsel_in_Eviction_Proceedings.pdf
17 Home Stability Support. http://www.homestabilitysupport.com/about-the- 19 New York City Independent Budget Office, 2014 http://www.ibo.nyc.ny.us/
plan/ iboreports/2014housingcourtletter.pdf
To include the perspectives of underrepresented commu- engaged thousands of low-income residents on the Fourth
nities in the Fourth Regional Plan, RPA collaborated with Plan through surveys, focus groups, forums and trainings.
organizations that serve low-income individuals and com- These community partners are further described below.
munities of color. These community partners include: Com-
munity Voices Heard, Partnership for Strong Communities, In producing this report, community partners connected
Housing and Community Development Network of New RPA with low- to moderate- income residents around the
Jersey, Make the Road in New York and Connecticut, New region struggling with housing displacement. Summary of
York Communities for Change, Right to the City Alliance, interviews with these residents are included below. More
Hester Street Collaborative and the Alliance for a Greater information is available upon request.
New York. Over the course of three years, these partners
NORTH &
LONG ISLAND
CENTRAL
JERSEY NYC
Ron | Hempstead, NY
Retired Veteran
Ron is a disabled senior citizen and a
veteran living on fixed income. He lives
in a housing complex for low-income seniors
and talks about struggling with inadequate heat and other
repair issues. In the winter, Ron and many of his neighbors
heat their homes homes in dangerous ways, with their
oven and numerous electric heaters. He suggests that this
is because in his affordable housing complex, the landlord
is supposed to be responsible for the heat, but tenants are
made to heat their own homes.
= = =
Percent Low and Very Low Number of jobs accessible Higher Market Temperature
Income Renters within 60 minutes by transit Areas classified as those tracts with more
Max: 40 Max: 10 than 200 households that had an above
average change in the share of high rent
Share very low income renters 35 Less than 25,000 0 apartments or high value homes.
Share low income renters 5 25K - 50K 2 Flag: Yes or No
Percent of All Households that + Greater than $300k $400k $500k $500k
are Housing Cost burdened Walkscore Source: 1990 Census through NHGIS; 2000 Census Survey;
(paying more than 30% of 2010 Census; 2015 ACS 5 Year Estimates
Max: 40
their income on rent) Note: Since there are no margins of error available for 1990
Max: 10 5. Walkers Paradise 40 or 2000, these values were only calculated for tracts with
more than 100 total rentals or owned homes, and the same
4. Very Walkable 35 method was applied to 2010-2015.
Share housing cost burdened renters 10
3. Somewhat walkable 20
Share housing cost burdened homeowners 5
2. Somewhat Car-Dependent 5
Source: 2015 ACS, 2000 Census Survey
1. Very Car-dependent 0
Note: Public housing and Project-Based Section 8 House-
holds have been removed from these households by income Source: 2014 Block-level Walkscore data aggregated to
using approximated incomes from HUD census-tract level census tracts
data.
Note: Access to Jobs and Walkscore values are the same
for 2000 and 2015, based on the assumption that the basic
physical characteristics (in terms of transit and street net-
work) of these places are less likely to change dramatically
over 15 years.
Board of Directors