ENVIRONMENTAL PROTECTION AGENCY
APPENDICES
TO
TRANSPORTATION-AIR QUALITY PLANNING GUIDELINES
June 1978
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TABLE OF CONTENTS FOR APPENDICES
APPENDIX Page
A TRANSPORTATION-RELATED PROVISIONS OF 1
THE CLEAN AIR ACT
3 CRITERIA FOR APPROVAL OF 1979 SIP 9
REVISIONS
C SIP 'REVISION PROCESS 23
D DEFINITIONS ' 27
E BACKGROUND INFORMATION ON TCP PROGRAM 31
F FUNDING 35
G EVALUATION OF ALTERNATIVE STRATEGIES 42
H FHWA/UMTA ACTION MEMO 45
I HUD-EPA AGREEMENT 47
J SUMMARY OF RELATED EPA GUIDELINES AND 50
REGULATIONS
K DOT PLANNING AND PROGRAMMING REGULATIONS 52
(23 CFR 450)
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APPENDIX A
TRANSPORTATION-RELATED PROVISIONS IN THE CLEAN AIR ACT AMENDMENTS OF 1977
I. Introduction
This Appendix contains a general ^mmary and description of the
provisions of the Clean Air Act that primarily concern or most directly
affect the transportation-air quality planning process.
These sections include:
0 § 108: AIR QUALITY CRITERIA AND CONTROL TECHNIQUES (§'108(e):
Planning Process Guidelines, S 108(f): Information Documents)
0 S 110: IMPLEMENTATION PLANS
0 S 121: CONSULTATION
0 S 172: NONATTAINMENT PLAN PROVISIONS
0 § 174: PLANNING PROCEDURES
0 S 175: EPA GRANTS
0 S 176: LIMITATIONS ON CERTAIN FEDERAL ASSISTANCE
The statutory authority for: requiring transportation controls, the
transportation planning guidelines and the information documents on
control techniques is contained in the following sections of the Act:
t
Section 110(a)(2) of the Clean Air Act enumerates the requirements for
state implementation plans. This section specifies that:
....The Administrator shall approve such plan....if he
determines that...(B) it includes...such other measures
as may be necessary to insure attainment and maintenance
of such primary or secondary standards including but not
limited to, transportation controls....
Section 108(e) specifies that the guidelines should include informa-
tion on:
"0) methods to identify and evaluate alternative planning
and control activities;
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(2) methods of reviewing plans on a regular basis as '
conditions change or new information is presented;
(3) identification of funds and other resources necessary
to implement the plan, including interagency agreements
on providing such funds and resources;
(4) methods to assure participation by the public in all phases
of the planning process; and
(5) such other methods as the Administrator determines
necessary to carry out a continuous planning process."
Section 174(b) requires the preparation of implementation plan
provisions for nonattainment areas to be coordinated with the continuing,
cooperative and comprehensive transportation planning process required
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under Section 134 of title 23, USC, and the air quality maintenance
planning process required under Section 110 of the Clean Air Act
(42 USC 7410).
Finally, Section 108(f) directs the Administrator to publish
information documents on processes, procedures and methods to control
pollution and explicitly identifies a broad range of transportation
projects and system management measures to be included in the information
documents.
The amendments significantly expand the requirements and procedures
for developing and implementing transportation measures as part of State
Implementation Plans (SIPs). Specifically, the Act:
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(1) establishes new plan submittal and attainment
deadlines (S 172(a)),
(2) requires the development of information documents
and process guidelines (S 108(e),(f)),
(3) Specifies a planning process that includes
extensive consultation among agencies, the public
and local elected officials along with coordination
with related planning (§ 121, § 174),
(4) requires nonattainment plans to document consul-
tation and contain a commitment to implement
(S 172(b)),
(5) authorizes new planning funds (§ 175),
(6) provides for new funding sanctions for failure
to develop and implement adequate plans (S 176).
II. Plan Deadlines and Criteria
The new requirements of the Act are intended to insure state submission
of SIP revisions adequate to attain and maintain the air quality standards
for the auto-related pollutants. Any nonattainment area for carbon .
monoxide and photochemical oxidants must submit, a SIP revision by
January 1, 1979 that: (1) provides for the implementation of all
reasonably available control measures as expeditiously as practicable
(§ 172(b)(2)) and (2) demonstrates attainment of the air quality standard
not later than December 31, 1982 (S 172(a)(l)).
If a state demonstrates in the 1979 SIP submittal that attainment
of the carbon monoxide and oxidant standard is not possible despite
the implementation of all reasonably available measures, EPA may grant
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an extension beyond December 31, 1982 to provide for attainment as
expeditiously as practicable but not later than December 31, 1987. In
cases where such a demonstration is made, the 1979 SIP submission must:
(1) establish a program of alternatives analysis prior to issuance of
permits for construction or modification of major emitting facilities,
(2) establish a specific schedule for implementing a vehicle inspection
and maintenance program and (3) identify all other measures necessary to
provide for attainment not later than December 31, 1987.
Also according to § 110(a)(3)(D), 1979 SIP submittals that demonstrate
attainment beyond December 31, 1982 shall be revised by July 1, 1979 to
include written evidence on comprehensive measures listed in § 110(c)(5)(B)
that:
(i) establish, expand, or improve public transportation
measures to meet basic transportation needs,
as expeditiously as is practicable; and
(ii) implement transportation control measures necessary
to attain and maintain national ambient air quality
; standards.
The revised plan shall, for the purpose of implementing such comprehensive
public transportation measures, include requirements to use (insofar as is
necessary) federal grants, state or local funds, or any combination of
such grants and funds as may be consistent with the terms of the legislation
providing such grants and funds. (EPA is currently developing guidelines
on the minimum elements of the public transportation plan SIP revision.)
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Section 110(c)(5) also allows states to eliminate existing TCP
bridge toll requirements on bridges located entirely within a city. If
bridge tolls are eliminated, the Governor must certify that a plan will
be submitted by August 7, 1978, which satisfies the requirements of
Section 110(c)(5)(B). The public transportation plan submitted in
August must at least compensate for the air quality and mass transit
benefits which were reasonably expected to be achieved from use of the
eliminated tolls.
Other measures in existing plans may be suspended untjl January 1,
1979, under Section 110(c)(4) of the Act, including requirements for
retrofits on non-commercial vehicles, gas rationing provisions and
on-street parking restrictions. A suspension will not be granted unless
the state agrees to prepare, adopt and submit a plan revision by
January 1, 1979, which meets the requirements of the Administrator.
Section 110(a)(5)(A) also prohibits the Administrator from requiring
states to include indirect source review (ISR) programs in their SIPs.
Further, EPA may not promulgate 'ISR regulations except for federally-
assisted highways, airports and other major federally-assisted or
operated indirect sources (§ 110(a)(5)(B)). Any ISR program in an
existing SIP may be suspended or revoked if, in all respects except
attainment and maintenance of the air quality standards, the plan meets
the requirements of § 110(a); and with respect to attainment and mainte-
nance, the state is preparing in good faith a plan revision to meet
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the requirements of Part D by January 1, 1979, for all nonattainment
areas [s 110(a)(5)(A)(iii); 43 FR 10708 (March 15, 1978)].
Finally, those states that demonstrate a need in the 1979 SIP
submittal for a deadline extension to 1987 must submit a SIP revision
before July 1, 1982 that contains enforceable measures to assure
attainment no later than December 31, 1987.
III. Planning Process
The Act emphasizes locally developed plans resulting from extensive
consultation among agencies (S 121, S 174), public education and
participation (§ 127, S 172(b)(9)), elected official involvement and
the documented analysis of a wide range of alternative measures and
strategies (§ 172(b)(9)). The Act specifies that the transportation-air
quality planning process be coordinated with the continuing, cooperative,
and comprehensive ("3C") transportation planning process administered by
DOT (§ 174(b)).
Local governments and organizations of local elected officials are
explicitly encouraged to assume greater responsibilities in the development,
implementation and enforcement of SIPs (S 121, § 174(a)). Section 174(a)
specifically states that "where possible" nonattainment plans
'... shall be prepared by an organization of elected
officials of local governments designated by
a-greement of the local governments in an affected
area and certified by the State for this purpose.
This section gives specific preference to designation of metropolitan
planning organizations or the agencies-responsible for air quality
maintenance planning. EPA has established April 1, 1978 as the deadline
by which states submit: (1) a list of designated agencies, their boundaries,
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responsibilities, and a brief discussion of the Governor's designation
or certification decision.
The Act also directs EPA to consult with DOT, HUD and state and
local officials in the development of planning process guidelines (S 108(e)).
Furthermore, the Act calls for EPA to cooperate with DOT in the prepara-
tion of information documents on a wide range of transportation measures
including: mass transit improvements, carpool. programs, exclusive bus
lanes, parking management, employer-incentive programs, work schedule
changes, selected auto restrictions, road user charges and bicycle lanes
and facilities (§ 108(f)).
IV. EPA Grants
Section 175 directs EPA to award grants to cover 100 percent of
the additional costs of nonattainment plan development to organizations
of local elected officials with transportation or air quality maintenance
planning responsibilities and certified by the state in accordance with
Section § 174(a). Section 325 authorizes $75 million to be appropriated
beginning in fiscal year 1978 for this purpose.
V. Sanctions
Section 176 provides for limitations on certain federal assistance
as follows:
1. Plan Submittal. Where the Administrator finds that the
Governor has failed to submit an adequate plan which
considers the nonattainment plan provisions specified
in Section 172, EPA is prohibited from approving projects
or awarding grants authorized by the Clean Air Act.
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Similarly, the Secretary of Transportation is pro-'
hibited from approving projects or awarding grants
under title 232 (S 176(a)).
2. Plan Implementation. In areas where the state, local
government(s), or designated regional agency fails
to implement any requirement of an approved or promul-
gated plan under Section 110, the Administrator is
prohibited from making grants under the Clean Air Act
(§ 176(b)).
3. Plan Conformity. No federal department or agency shall
support or approve any activity that does not conform to
a plan approved or promulgated under Section 11(3. No
metropolitan planning organization designated under
23 DSC 134 shall approve any project, program
or plan that does not conform with a plan approved .
or promulgated under Section 110. The assurance of >
conformity shall be the affirmative responsibility of
the head of such department or agency (S 176(c)).'
4. Priority to Implementation of Plan Provisions. Federal
agencies and departments conducting or supporting programs
with air quality-related transportation consequences
shall give priority, consistent with statutory require-
ments, to the implementation of measures in approved
or promulgated plans under Section 110 (S 176(d)).
Footnotes
1 Or make reasonable efforts toward submitting an adequate plan.
2 Safety, mass transit and other transportation projects with air
finality Sonofit<: aro nnt affortorl.
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)••••
APPENDIX B
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D'.C. 20460
OFFICE OF
AIR AND WASTE MANAGEMENT
FE8 24 1978
SUBJECT: Criteria for Approval of L^J79 SIP Revisions
FROM:. The Administrator (A-100) Hj
TO: Regional Administrators, I-X
The attachment to this memo summarizes the elements
which a 1979 State Implementation Plan (SIP) revision
for a non-attainment area must contain in order to be
approved by EPA as meeting the requirements of Part D of
the Clean Air Act.
In summary, the Act requires the demonstration of
attainment of the air quality standards (primary and
secondary) as expeditiously as practicable, but in the
case of national primary standards not later than
December 31, 1982. However, for carbon monoxide (CO) and
oxidants (Ox), if the State can demonstrate attainment
is not possible by 1982 despite the implementation of all
reasonable stationary source and transportation control
measures, the Act provides for up to a five-year extension.
In those cases the plan revisions must demonstrate
attainment as expeditiously as practicable but no later
than December 31, 1987. The extension is not automatic;
a demonstration of need must be made and the State must
fulfill the other statutory requirements.
It is the intent of the Agency to establish reasonable
and achievable goals for SIP submissions and to take a firm
posture on the imposition of sanctions where the reasonable
goals are not achieved. Accordingly, while the policy
requires a commitment to many specific strategies in the
1979 submissions (e.g., RACT on stationary sources, inspec-
tion/maintenance programs where attainment for carbon
monoxide or oxidants extends beyond 1982, other reasonable
transportation control measures, etc.) the memo also
requires (for carbon monoxide and oxidants) a commitment
to a continuing process. This process must be one which
extensively involves the public as well as State and local
elected officials and which ambitiously pursues a wide
range of alternatives.
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.Since reliance on stationary controls and Federal
new car standards alone will not enable most areas with
oxidant and carbon monoxide problems to attain these
standards by 1982, each Regional Office will need to put
particular emphasis on additional measures to reduce
•transportation system emissions. The process committed
to in the 1979 plan submission must lead to the
expeditious selection and implementation of comprehensive
transportation control measures. In judging the adequacy
of 'the 1979 plan submission for the transportation
sector, each Regional Administrator should ensure that
ambitious alternatives (as described in the draft
"Transportation Planning Guidelines" which have been
circulated) will be analyzed.
The Department of Transportation (DOT), Housing and
Urban Development (HUD) and EPA are seeking to integrate
the transportation/air quality planning and implementation
required by the Clean Air Act into existing planning and
programming procedures. The air planning activities should
be.j-included in the Unified Work Program required by DOT
a'n4 the adopted transportation measures should be included
in the Transportation Improvement Program required by DOT.
In complying with the Clean Air Act requirements, the Regions
should also keep in mind the requirements of the HUD-EPA
Agreement which provides for coordination of air quality
planning and planning assisted under the HUD Comprehensive
Planning Assistance (701) Program. Integration of air
and transportation planning with comprehensive planning
which incorporates growth management concerns should improve
the effectiveness of air quality planning and could reduce
the need for enforcement measures in the future.
States will be provided some discretion regarding
the amount of emissions growth to be accommodated within
the SIP. EPA generally will not question the growth rates
desired by .the State so long as reasonable further progress
is demonstrated and there is a demonstration of attainment
by the statutory deadline (1982 or 1987). However, the
growth rate identified in the SIP must be consistent with
growth rates used (or implied by) other planning programs
in the area (e.g., FWPCA§208, 201, HUD §701, FHWA
§134).
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.You should note that there are other SIP revisions
which are not discussed in the attachment but which are
required by the 1977 Amendments. These include:
1. Section 128 (relating to State boards)
2. Section 126 (relating to interstate pollution)
3. Section 127 (relating to public notification)
4. Part C (relating to prevention of significant
deterioration)
5. Section 110(a)(2)(K) (relating to permit fees)
6. Section 123 (relating to stack heights for
existing source in other than non-attainment
areas)
7. Section 121 (relating to consultation)
Although incorporation of these provisions is required
by the law, failure to achieve final approval by
July 1, 1979 does not trigger the new source prohibition
of Section 110(a) (2) (I) .
It is important to emphasize to the States that all
current SIP requirements remain in effect despite the
development of the 1979 revisions. Any suspension or
discontinuance of an existing SIP provision must be
submitted for EPA approval. This should be done as part
of the revision submitted in January 1979. Exceptions
to this procedure may be found in certain new provisions
of §110 relating to reduction of on-street parking, bridge
tolls, and other measures.
The development of the January 1979 SIPs to meet the
minimum requirements of the Clean Air Act Amendments of
1077 is a complex and demanding program. It will require
Che commitment of significant resources on the part of the
air programs staff of the Regional Office to ensure that
the States develop and submit a comprehensive and
apprevable plan. Vve are working with your staff to develop
the necessary guidance and follow-up programs which will
assist your office and the State to carry out this very
difficult but important part of the overall air program.
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Criteria for Approval of 1979 State Implementation PI an Revisions
for Non-Attainment Areas
Purpose
The purpose of this document is to define the criteria by v/hich
State Implementation Plan (SIP) revisions for non-attainment areas
required by the Clean Air Act Amendments of 1977 (the Act) will be
approved. These revisions are to be submitted to EPA by January 1, 1979.
Categories of SIP Revisions
SIP revisions submitted by January 1, 1979 can ba divided into
two categories:
1. Those v/hich provide for attainment of the Primary Ambient
Air Quality Standards (primary standards) for, all criteria pollutants
on or before December 31, 1982.
2. Those which provide for attainment of the primary standards
for sulfur dioxide, nitrogen-oxides, and particulate matter on or before
December 31, 1982 but show that despite the implementation of all
reasonable transportation and stationary source emission control measures
attainment of the primary standards for carbon monoxide and/or oxidants
cannot be achieved until after this date. In these cases, the revisions
must demonstrate attainment as expeditiously as practicable but no later
than December 31, 1987.
In order for an adequate SIP revision to fall into ths second
category, the State has an affirmative responsibility to demonstrate
to th.e satisfaction of EPA that attainment of the primary carbon
monoxide and/or oxidants standards is not possible in an area prior
to December 31, 1982.
It should be noted that SIP revisions of either category should
=ilso provide for attainment of Secondary Ambient Air Quality Standards
(secondary standards) as expediticusly as practicable although there is
no specific deadline contained in the Act.
Gongral Requirements of All 1979 SIP Revisions
Each 1979 SIP revision must contain the following:
1. A definition of the geographic areas for v/hich control
strategies have been or will be developed. Consideration should be
given to the practical benefits of defining areas v/hich correspond
v/henever possible to those substate districts established pursuant
to Part IV, Attachment A of OMB Circular No. A-95.
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2. An accurate, comprehensive, and current (1977 calendar year)
inventory of existing emissions.
3. A determination of the level of control needed to demonstrate
attainment by 1982 (including growth). This demonstrate-,n should be
made by the application of modeling techniques as set fcrth in EPA's
Guideline on Air Quality Models. For ox-idants, any leg-;:;,-, :ce modeling
technique (e.g., those referenced in "Use, Limitation aivj :cchnical
Basis of Procedures for Quantifying Relationships p:tween Photochemical
Oxidants and Precursors." EPA 450/2-77-021a. November 1977) can be
used. Consideration of background and transport for oxidants should
generally be in accordance with the procedures documented in "Procedures
for Quantifying Relationships Between Photochemical Oxidants and
Precursors." In developing photochemical oxidant control strategies
for a particular area, states may assume at a minimum that the standard
will be attained'in adjacent states.
If a state can demonstrate that the level of control, necessary for
attainment of the primary standards for carbon monoxide and/or oxidant
is not possible by 1982 despite the application of all reasonable
measures, an extension past 1982 (but not beyond 1987) is authorized.
4. Adoption in legally enforceable form"' of all measures necessary
to provide for attainment by the prescribed date or, where adoption of
all such measures by 1979 is not possible, (e.g., certain transportation
control measures, and certain measures to control the oxides of nitrogen
and total suspended particulate) a schedule for expeditious development,
adoption, submittal, and implementation of these measures. The
situations in which adoption of measures may be scheduled after 1979
are discussed in the pollutant specific sections of this document. Each
schedule must provide for implementation of all reasonably available
control measures as expeditiously as practicable. During the period
prior to attainment, these measures must be implemented rapidly enough
to provide at a minimum for reasonable further progress (see discussion
^Written evidence that the State, the general purpose local
government or governments, or a regional agency designated by general
purpose local governments for such purpose, have adopted by sta-tute,
regulation, ordinance or other legally enforceable document, the
necessary requirements and schedules and timetables for compliance,
and arc committed to implement and enforce the appropriate elements
of the plan. The relevant organizations shall provide evidence that
the legally enforceable attainment measures and the "criteria,
standards and implementing procedures necessary for effectively guiding
and controlling major decisions as to where growth shall and shall not
take place," prepared by State and local governments in compliance with
Section 701 of the Housing Act of 1954, as amended, are fully coordinated
in the attainment and maintenance of the u'AAQS.
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below). Each schedule will be considered part of the applicable
implementation plan and thus will represent a commitment o'n the part
of the State to meet the key milestones set forth in the submitted
schedule.
5. Emission reduction estimates for each adopted or scheduled
control measure or for related groups of control measures where
estimates for individual measures are impractical. It is recognized
that reduction estimates may change as measures are more fully
analyzed and implemented. As such estimates change, appropriate
responses will be required to insure that the plan remains adequate
to provide for attainment and for reasonable'further progress.
6. Provision for reasonable further progress toward attainment
of the primary and secondary standards in the period prior to the
prescribed date for attainment. Reasonable further progress is defined
as annual incremental reductions in total emissions (emissions from
new as well as existing sources) to provide for attainment by the
prescribed date. The plan shall provide for substantial reductions in
tha early years with regular reductions thereafter.
Reasonable further progress will be determined for each area
by dividing the total emission reductions required to attain the appli-
cable standard by the number of years between 1979 and the date pro-
jected for attainment (not later than 1S37). This is represented
graphically by a straight line drawn from the emissions inventory sub-
mitted in 1979 to the allowable emissions on the attainment date.
However, EPA recognizes that some measures cannot result in immediate
emission reduction. Therefore,, if a State can show that some lag in
emissions reduction is necessary, a SIP will be acceptable even though
reductions sufficient to produce decreases at the ".straight-line rate"
are not achieved for a year or two after 1979. This lag in achieving
the "straight-line rate" for emissions reduction is to be accepted
only to accommodate the time required for compliance with the first set
of regulations adopted on or before January 1, 1979, if immediate
compliance is not possible. It does not authorize delays in adoption
of control requirements.
The requirement to demonstrate reasonable further progress will,
in most areas designated non-attainment for oxidant or carbon monoxide,
necessitate a continuous, phased implementation of transportation
control measures. In areas where attainment of all primary arnbic-nt
standards by 1982 is not possible EPA will not accept mere reliance on
the Federal Motor Vehicle Control Program by itself as a demonstration
of reasonable further progress.
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In determining "reasonable further progress", those emission
eductions obtained from compliance between August 7, 1977, and "
December 31, 1979, with (1) SIP revisions that have been' submitted
c-.fter August 7, 1977, and (2} regulations which were approved by the
Agency prior to the enactment of the 1977 Clean Air Amendments, can
lie treated as having been achieved during 1979. The>-0 should be an
Assurance, however, that these are real emission reductions and not
just "paper" ones.
7. An identification and quantification of an emissions growth
,'ncrement which will be allowed to result from the construction and
operation of major new or modified stationary sources within the area
.'•'or which the plan has been developed. Alternatively, an emissions
offset regulation can be adopted to provide for major new source growth.
The growth rates established by states for mobile sources and new
i.TJNor stationary sources should also be specified, and in combination
t'ith the growth associated with major new or modified stationary sources
vill be accepted so long as they do not jeopardize the reasonable further
progress test and attainment by the prescribed date. However, the growth
vatn identified in the SIP must be consistent with the growth rates used
(or implied by) the other planning programs in the area (e.g., FWPCA
Section 2GB [201], HUD Section 701, FHWA Section 134). A system for
monitoring the emission growth rates from mijor and minor new stationary
sources and from transportation s.ources and assuring that they do not
t.r.T^Gd the specified amounts must also be provided for in the revision.
S. Provision for annual reporting on the progress toward meeting
•ins schedules summarized in (4) above as well as growth of mobile
sources, minor new stationary sources, major new or modified stationary
•Q'.jrces, and reduction in emissions from existing sources to provide for
•rr.a.:onable further progress as in (6) above. This should include an
treated emission inventory.
9. A requirement that permits be issued for the construction and
irjcration of new or modified major sources in accordance with -Section
.173 and T!0(a)(2)('D).
10. An •identification of and commitment to the financial and
Fi'-anpowsr resources necessary to carry out the plan. The commitment
sh'iu'fd be.mdd.e at the highest executive level having responsiblity for
SIP or- that portion of it and having authority to hire new employees.
This commitment should include written evidence that the State, the
grnercjl purpose local government or governments, and all state, local or
rugional agencies have included appropriate provision in their respective
b:.'c!c;ets and intend to continue to do so in future years for which budgets
i;avC: r.u-: yet been final ize.-d, to the extent necessary.
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11. Evidence of public, local govern,-=nt, and state legislative
involvement and consultation. It shall also include an identification
and brief analysis of the air quality, health, welfare, economic,
energy, and social effects of the plan revisions and of the alternatives
considered by the State, and a summary of the public comment on such
analysis.
12. Evidence that the SIP was adopted by the state after reasonable
notice and public hearing.
Additional Requirements.for Carbon Monoxide and Qxidant SIP Revisions
which Provide for Attainment of the Primary Standards Later than 1982
For those SIP revisions v/hich demonstrate that attainment of the •
primary standards for carbon monoxide and/or oxidants is not possible
in an area prior to December 31, 1982 despite the implementation of all
reasonable emission control measures the following items must be
included in the January 1, 1979 submission in addition to all the
general requirements listed above:
1. A program which requires prior to issuance of any permit for
construction or modification of a major emitting facility an analysis
. of alternative sites, sizes, production processes, and environmental
control techniques for such proposed source which demonstrates that
benefits of the proposed source significantly outweigh the environmental
and social cost imposed as a result of its location, construction, or
modification.
2. An inspection/maintenance program or a schedule endorsed by
end comnitted to by the Governor for the development, adoption, and
implementation of such a program as expeditiously as practicable.
Where the necessary legal.authority does not currently exist, it must
be obtained by June 30, 1979. Limited exceptions to the requirement
to obtain legal authority by June 30, 1979 may be possible if the state
can demonstrate that (a) there was insufficient opportunity to conduct
necessary technical analyses and/or (b) ths legislature has had no
opportunity to consider any necessary enabling legislation for inspection/
maintenance between enactment of the 1977 .^sndernents to the Act and
June 30, 1979. In addition, v/hsre a legislature has adequate opportunity
to adopt enabling legislation before January 1, 1979, the Regional
Administrator should require submission of such legal authority by
January 1, 1979. In no case can the schedule- submitted provide for
obtaining legal authority later than July 1, 1980.
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Actual implementation of the inspection/maintenance program must
proceed as expeditiously as practicable. EPA considers two 'and one half
years from the time of legislative adoption to be the maximum time
required to implement a centralized inspection/maintenance program and
one and one half years to implement a decentralized program. In no case
may "implementation of the program, i.e., mandatory inspection and
mandatory repair of failed vehicles be delayed beyond 1982 in the case
of a centralized program (either state lanes or contractor lanes) or
beyond 1981 in the case of a decentralized (private garage) system.
3. A commitment by the responsible government official or
officials to establish, expand, or improve public transportation
measures to meet basic transportation needs as expeditiously as' is
practicable.*
4. A commitment to use insofar as is necessary Federal grants,
state or local funds, or any combination of such grants and funds as
may be consistent with the terms of the legislation providing such
grants and funds, for the purpose of establishing, expanding or
improving public transportation measures to meet basic transportation
needs.
Note that HUD has prepared guidelines for local development codes
^and ordinances to provide special requirements for areas which for .
significant periods of time may exceed the primary standards. These •
guidalines specify criteria for new construction operation of buildings
which minimize pollutant concentrations to ensure a healthy indoor and
outdoor environment. States are encouraged to adopt such measures as
part of the SIP.
Pollutant Specific Requirements
Sulfur Dioxide
Specifically, with regard to item (4) of the General Requirements,
the January 1979 plan revisions dealing with sulfur dio.x''. "iust cont--'
all the necessary emission limitations and legally enforceable pro;; c!;,
to "provide for attainment by no later than December 31, 1982 (i.e.,
schedules for the development, adoption, and submittal of regulations
will not be acceptable).
*Written evidence on comprehensive public transportation measures
must be submitted in a SIP revision by July 1, 1979.
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Nitrogen Oxides
For NOX, the January 1979 plan must contain all the necessary
emission limitations and the legally enforceable procedures, or as a
minimum, the appropriate schedules to adopt and submit the emission
limitations and legally enforceable procedures which provide for
implementation so that standards will be attained by no later than
December 31, 1982. "EPA is currently evaluating the need for a short
term NOg standard and expects to promulgate such a standard during
1973. If such a standard for air quality is promulgated, a new and
separate SIP revision will be required for this pollutant.
Particulate Hatter
The January 1979 plan revisions dealing with particulate matter
must contain all the necessary emission limitations and legally enforce-
able procedures for traditional sources. These emission limitations and
enforceable procedures must provide for the control of fugitive
emissions, where necessary, as well as stack emissions from thase
stationary sources. Where control of non-traditional sources (e.g.,
urban fugitive dust, resuspension, construction, etc.) is necessary for
attainment, the plan shall contain an assessment of the impact of these
sources and a commitment on the part of the state to adopt appropriate
'control measures. This commitment shall take the form of a schedule to
develop, submit, and implement the legally enforceable procedures, and
programs for controlling non-traditional particulate matter sources.
These schedules must include milestones for evaluating progress and
provide for attainment of the primary standards by no later than
December 31, 1982, and attainment of the secondary standards as expe-
ditiously as practicable. States should initiate the necessary studies
and demonstration projects for controlling the non-traditional sources
as soon as possible.
Carbon Monoxide and Oxidant
An adequate SIP for oxidant is one which provides for sufficient
control of.volatile organic compounds (VCC) from stationary and mobile
sources to provide for attainment of the oxidant standard. Accordingly,
the 1979 plan revision must set forth the necessary emission limitations
and schedules to obtain sufficient control of VOC emissions in all non-
Gttainmerit areas. They must be directed toward reducing the peak
concentrations within the major urbanized areas to demonstrate attainment
as expeditiously as practicable but in no case later than December 31, 1937.
This should also solve the rural oxidant problem by minimizing VOC
emissions and more importantly oxidants that may be transported from
urban to rural areas. The 1979 submission must represent: n comprehensive
strategy or plan for each non-attainment area; plan submissions that
address only selected portions of non-attainment are not adequate.
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For the purpose of oxidant plan development, major urban areas are
those with an urbanized population of 200,000 or greater (U.S. Bureau
of Census, 1970). A certain degree of flexibility v/ill be allowed in
defining the specific boundaries of the urban area.. However, the areas
must be large enough to cover the entire urbanized^ area and adjacent
fringe areas of development. For non-attainment urban areas, the highest
pollutant concentration for the entire area must be used in determining
the necessary level of control. Additionally, uniform modeling tech-
niques must be used throughout the non-attainment urban area. These
requirements apply to interstate as well as intrastate areas.
Adequate plans must provide for the adoption of reasonably
available control measures for stationary and. mobile sources.
For stationary sources, the 1979 oxidant plan submissions for
major urban areas must include, as a minimum, legally enforceable
regulations to reflect the application of reasonably available control
technology (RACT)3 to those stationary sources for which EPA has
published a Control Techniques Guideline (CTG) by January 1978, and
provide for the adoption and submittal of additional legally enforce-
able RACT regulations on an annual basis beginning in January 1980, for
those CTGs that have been published by January of the preceeding year.
For rural non-attainment areas, the Ox plan must provide the
necessary legally enforceable procedures for the control of large HC •
sources (more than 100 ton/year potential emissions) for which EPA
has issued a CTG by January 1978, and to adopt and submit additional
legally enforceable procedures on an annual basis beginning in
January 1980, after publication of subsequent CTGs as set forth above.
For mobile sources in urbanized area (population 200,000) SIPs
must provide for expeditious implementation of reasonably available
control measures. Each of the measures for which EPA will publish
information documents during 1978 is a reasonably available control
measure. These measures are listed on the following page:
2As defined by the U.S. Bureau of Census, urbanized area generally
include core cities plus any closely settled suburban areas.
3While it is recognized that RACT will be determined on a case-by-
case basis, the criteria for SIP approval rely heavily upon the
information contained in the CTG. Deviations from the use of the CTG
must be adequately documented.
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1. To be published by February lc)7'-'
a. inspection/maintenance
b. vapor recovery
c. improved public transit
d. exclusive bus and carpool lanes
e. area wide carpool programs
2. To be published by August 1978
a. private car restrictions
b. long range transit improvements
c. on street parking controls
d. park and ride and fringe parking lots
e. pedestrian malls
f. employer programs to encourage car and van pooling,
mass transit, bicycling and walking
g. bicycle lanes and storage facilities
h. staggered work- hours
i. road pricing to discourage single occupancy auto trips
j. controls on extended vehicle idling
k. traffic flow improvements
1* alternative fuels or engines and other fleet
vehicle controls
nu other than light duty vehicle retrofit
ru extreme cold start emission reduction programs
The- above measures (either individually or combined into packages
of measures) should be analyzed promptly and thoroughly and scheduled
for expeditious implementation. EPA recognizes that not all analyses
of every measure can be completed by January 1979 and, where necessary,
schedules may provide for the completion of analyses after January 1,
1979 as discussed below.. (If analysis after January 1979 demonstrates
that certain measures would" be unnecessary cr ineffective, a decision
not to implement such measures may be justifiable. However, decisions
not to implement measures will have to be. carefully reviewed to avoid
broad rejections of measures based on conclusory assertions of
infeasibility.)
As'described previously, annual incremental reductions in total
emissions must occur in order to achieve reasonable further progress
during the period prior to attainment of the standards. Therefore;
not all transportation measure implementation activities should wait
until the comprehensive analyses of control measures ,:re completed.
Demonstration studies are important.'and should accompany or precede
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full scale implementation of the comprehensive, strategy. It is EPA's
policy that each area will be required to schedule a representative
selection of reasonable transportation measures (as listed above) for
implementation at least on a pilot or demonstration basis prior to the
end of 1980.
Every effort must be made to integrate the air quality related
transportation plan and implementation required by the Clean Air Act
into planning and programming procedures administered by DOT. EPA will
publish "Transportation Planning Guidelines" which will, if followed
carefully, insure that an adequate transportation planning process
exists.
EPA recognizes that the planning and implementation of very
extensive air quality related transportation measures can be a complicated
and lengthy process, and in areas with severe carbon monoxide or oxidant
problems, completion of some of the adopted measures may extend beyond
1982. Implementation of even these very extensive transportation
measures, however, must be initiated before December 31, 1982.
In the case of plan revisions that make the requisite showing to
justify an extension of the date for attainment, the portion of the 1979
plan submittal for transportation measures must:
1. Contain procedures and criteria adopted into the SIP by which
it can be determined whether the outputs of the DOT Transportation
•planning process conform to the SIP.
2. Provide for the expeditious implementation of currently
planned reasonable transportation control measures. This includes
reasonable but unimplemented transportation measures in existing SIPs
and transportation controls with demonstrable air 'quality benefits
developed as part of the transportation process funded by DOT.
3. Present a program for evaluating a range of alternative
packages of transportation options that includes, as a minimum, those
measures listed above for which EPA will develop information documents.
The analyses must identify a package of transportation control measures
to attain the emission reduction target ascribed to it in the SIP.
4. Provide for the evaluation of long range (post-1982) trans-
portation and growth policies. Alternative growth policies and/or
development patterns must be examined to determine the potential for
modifying total travel demand. One of the growth alternatives evaluated
should be that prepared in response to Section 701 of the Housing Act of
1954, as amended.
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5. Include a schedule for analysis and adoption of transportation
control measures as expeditiously as practicable. The comprehensive
analysis of alternatives '(item 2 above) must be completed by July 1980
unless the designated planning agency can demonstrate that analysis •
of individual components (e.g., long range transit improvements) may
require additional time. Adopted measures must be implemented as
expeditiously as practicable and on a continuous schedule that demonstrates
reasonable further progress from 1979 to the attainment date. Deter-
minations of the reasonableness of a schedule will be based on the
nature of the existing or planned transportation system and the.com-
plexity of implementation of an individual measure.
Additional Carbon Monoxide and Oxidant Monitoring Requirements
It is EPA's policy to require that all SIPs which provide for
attainment of the oxidant standard after December 31, 1982, must con-
tain cornnitTients to implement a complete oxidant monitoring program in
major urbanized areas 'in order to adequately characterize the nature
end extent of the problem and to measure the effectiveness of the
control strategy for oxidants. The 1979 plan submittal must provide
for a schedule to conduct such CO monitoring as necessary to correct
any deficiencies as identified by the Regional Office.
SIPs for Unclassified Areas Rgdesicnated Non-Attainment
With respect to unclassified areas which are later found to be
non-attainment areas the state will be required to submit a plan
within 'nine months of the non-attainment determination. During plan
development, the state will be required to implement the.offset policy
for that area. However, it should be noted that in many cases, because
of previous plan revisions or adoption of previous control regulations,
the baseline for offsets will be more restrictive and thus offsets may
be more difficult to obtain. For oxidants, state-wide regulatory
development (for at least all sources greater than 100 tons/year),
however, would permit the state to utilize the regulations developed
for the entire state as the applicable plan for the newly designated
non-attainment area. This would normally constitute an approvable SIP
per the above criteria and could essentially accommodate the proposed
growth within the previously submitted state plan and not require
offsets once the area is designated as non-attainment.
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APPENDIX C
SIP REVISION PROCESS
Appendix C provides one general illustration of how the transportation
portion of the implementation plan could-be developed and implemented
within the context of the entire SIP revision process. In this illustration
(see Figure 1) the MPO has been assigned the responsibility for the
• transportation portion of the SIP, while other agency responsibilities
are as snown in 5d-f. (The acronyms are defined at the end of the Appendix.)
Explanatory Notes for Flow Chart
1. Blocks # 1-4 concern scoping the problem. Blocks 3 5-6 concern
the development of a control strategy.
2. All tasks are to be performed in accordance with the planning
procedures jointly determined by the state and local elected officials
as specified in Section 174 of the Clean Air Act, as amended August 1977.
Section 174 indicates that elements of a revised implementation plan should
be planned, implemented, and enforced by either the state, local govern-
ments or regional agencies or some combination of the three. This cooperative
approach will probably require some involvement by all appropriate agencies
in each task, although a single lead agency may be assigned to specific
tasks (e.g., see tasks 5a-c). Tasks 5 and 6 will require full participation
by al1 key agencies.
3. Jd.sk__l: The Emissions Inventory will be periodically revised as
new and more accurate information becomes available for stationary and
mobile sources.
2
O
C/i
£
ui
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FIGURE 1
FLOW CHART FOR DEVELOPMENT/REVISION
•OF 1979 SIP TO ATTAIN NAAQS BY 1987
1. Develop/Revise Comprehensive
. Emissions Inventory
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4. Task 2: In the crudest, most straight-forward approach'the gross
magnitude of emission reductions for standard attainment can be roughly
determined with air quality and emission data using the simple roll-back
technique. The emission reduction line in the graph on page 23 is shown
to be straight for simplicity's sake only. The line represents emission
reductions from both stationary and mobile source controls and in actuality
will not, of course, be straight. The general slope and shape of the line
will -- especially for transportation controls -- be other than straight
due to, among other factors, the non-linear hydrocarbon (emission)-oxidant
(air quality) relationship and the implementation lag times (e.g., substan-
tial emission reductions from transportation sources is likely to occur in
later years closer to.1987 because of longer planning and implementation
lead times). The graph on page 23 actually represents an emission reduction
schedule that is jointly negotiated, reviewed, and periodically revised
(e.g., in Tasks 5 and 6).
The graph can be used to communicate fundamental Agency policy concepts
if the difficulties and uncertainties of drawing such a line are temporarily
set aside. For example, by 1982 emissions should be reducexJ.-- and air
Quality improved -- sufficient to reach the emission reduction line.
(This allows the necessary lead time for the application of RACT and the
implementation of certain RACM.) From 1982 to 1987 the line represents
reasonable further progress (RFP) (the annual incremental emission
reductions called for in Section 171). If an area is below the line
after 1982 additional growth of major stationary sources is permitted.
If an area is on or above the line, growth will only be permitted as
part of the Agency offset policy.
5. Task 3 will show the annual decrease in emissions between 1979
and 1987 that will result from certain (hard) control strategies.
6. Task 4 will show the additional emission reduction required from
other stationary and mobile sources (to be achieved from the future
application of RACT and the implementation of RACM).
7. Task 5 produces an estimate of emission reduction goals achievable •
through future RACT and RACM (soft strategies) jointly determined by all
appropriate agencies identified in accordance with Section 174. This
estimate is one of the major decisions to be made in the SIP revision process,
8. Task 5a: The 1979 SIP submission must contain a well-defined,
functioning planning process complete-with interagency agreements,
memoranda of understanding, etc.
9. Task 5b: The 1979-submission should contain evidence that certain
measures currently in the TIP are being implemented as rapidly as possible.
However, because of planning and lead times it is expected that the
majority of transportation RACM will be selected and implemented after 1979.
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10. Task 5c and the feedback arrow to 5a acknowledges that 'implementa-
tion progress will be highly dependent on the adequacy of the planning
process (i.e., RACM is largely a question of public and political accepta-
bility whereas RACT is more.of a technological and economic determination).
11. Task 5d indicates that future control progress with other stationary
sources will be determined by EPA's schedule for promulgating RACT documents.
12. Task 6 is another critical joint decision that should be made at
least annually by all participating agencies, followed by another run
through all the tasks as part of the continuous SIP revision process.
Definition of Acronyms
(from top to bottom in Figure 1)
SIP = State Implementation Plan
.NAAQS = National Ambient Air Quality Standard
RACT = Reasonable Available Control Technology (applied to
stationary sources)
'FMVCP = Federal Motor Vehicle Control Program
I/M = Inspection and Maintenance program for in-use vehicles
RACM = Reasonably Available Control Measure (generally applied to
transportation measures)
RFP = Reasonable Further Progress: annual incremental emission
reductions
MPO = Metropolitan Planning Organization
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APPENDIX D
DEFINITIONS
1. "Clean Air Act, as amended August 1977 (CAAA)": The Clean Air
Act as amended by the Clean Air Act Amendments of 1977, P.L. 95-95, 91
Stat. 685, 42 USC 7401 et seq (formerly 42 USC 1857 et seq)..
2. "State- Implementation Plan (SIP)": The plan which each state is
required to develop under Section 110 of the Clean Air Act. If the state
fails to submit an approvable plan, EPA is required to promulgate one
for the state. The SIP must provide for the attainment and maintenance
of the established air quality standards within the time frames set forth
in the Act.
3. "Approvable SIP": A SIP which satisfies the requirements outlined
by the Administrator of EPA in a memorandum dated February 24, 1978.
4. "Air Quality Maintenance Plan (AQMP)": The plan required in areas
where, based on current emission inventory and the projected growth rate,
national ambient air quality standards will be exceeded over a 10-year
period. The AQMP is usually required to assure attainment as well as
maintenance of the air quality standards, and thus must contain control
strategies to ensure that projected emissions are compatible with
attainment and maintenance of the national standards.
5. "Transportation Control Plan (TCP)": That portion of the SIP
which describes the transpor.tation-air quality planning process and the
transportation system measures applicable to each area.
6. "Transportation Control Measure (TCM)": Any measure directed
toward reducing emissions of air pollutants from transportation sources,
such as, reducing vehicle use, changing traffic flow patterns, decreasing
emissions from in-use motor vehicles, or altering existing modal split
patterns (see 40 CFR § 51.1).
7. "Reasonably Available Control Measure (RACM)": The determination
of reasonably available measures will be made on a case-by-case basis
through the existing transportation policy decision apparatus by all
agencies identified according to § 174 of the CAAA. This determination
results from an analytical, participatory and negotiatory process
that involves both EPA and DOT. The transportation measures listed in
S 108(f) of the Clean Air Act, as amended, provide an initial list of
measures that are considered reasonably available for the purpose of
analysis. The applicability, scale and speed of implementation of
specific measures and strategies for specific areas will vary. The
reasonableness of a measure will generally depend on the sevprity of the
pollution problem, other available alternative means of attaining or
maintaining air quality standards and the social and economic impact of
the measure.
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8. "174 Planning Organization": The organization designated under
§ 174 of the CAAA to conduct or coordinate the planning process' and
eligible for assistance under S 175 of" the CAAA.
9. "Short Term Measures": Those transportation measures with the
potential of reducing transportation system emissions which can be
developed and implemented by 1982.
10. "Longer Term Transportation Improvements": Those transportation
measures which may be necessary for attainment and maintenance of the
air quality health standards beyond 1982.
11. "Attainment": For any pollutant, the status of an area which
has met the national ambient air quality standard for such pollutant.
12. "Nonattainment": For any pollutant, the status of an area which
is shown by monitored data or which is calculated by air quality modeling
to exceed any national ambient air quality standard for such pollutant
(see S 171(2) of the CAAA, 42 USC 7501 (2)).
13. "Emission Inventory": The comprehensive, accurate, current
inventory of actual emissions taking into account the implementation of
strategies in the transportation plan and program, so that the need for
additional reductions to assure attainment may be assessed, as required
!in S 172(b)(4) of the CAAA.
14. "Incremental Progress in Reducing Emissions from the Trans-
portation System": The requirement that the transportation-related portion
of the SIP show progress toward attainment and/or maintenance of the air
quality standard. "Incremental Progress": demonstration of which will
initially be based on progress made in developing, programming and
implementing measures to reduce emissions, and later will be based on
progress in actually reducing emissions.
15. "Conformity" (as related to transportation): A determination
under § 176(c) of the CAAA that DOT has assured that transportation
plans and programs in-an area conform to the transportation-related
requirements of the SIP.
16. "Consistency": The requirement in 42 USC 109(j) that proposed
transportation plans and projects be consistent with the approved SIP.
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17. "Public Participation and Education; Interagency Consultation":
The process of effectively involving citizens, local elected officials
and state officials and legislators in air quality related planning,
programming and decisionmaking.
18. "Metropolitan Planning Organization (MPO)": That organization
designated by the Governor as being responsible, together with the state,
for urban transportation planning under the Federal-Aid Highway Act
(23 USC S 101 et seq) and the Urban Mass Transportation Act (49 USC 1601
et seq). This organization is the forum for cooperative decisionmaking
by principal elected officials of general purpose local governments
(see 23 CFR § 450.104(b)).
19. "Unified Planning Work Program (UPWP)": The document that must
be developed by the MPO under 23 CFR S 450.112(a) and satisfy the require-
ments of 23 CFR S 450.114(c). The UPWP describes all urban transportation-
related planning activities within the area during the next 1- or 2-year
period, regardless of funding sources and documents work to be performed
with planning assistance under Section 9 of the UMT Act (49 USC 1607a)
and 23 USC 104(f) and 307(c).
20. "Modified UPWP": The UPWP currently prepared for an area by the
MPO in response to DOT requirements which has been modified to include
(transportation-related air quality planning activities in response to CAAA
'requirements.
21. "Prospectus": That part of the UPWP which summarizes the planning
•program and generally describes the status and anticipated accomplishments
of each element, the procedures to be used in carrying out each element and
the functional responsibilities of each participating agency (see 23 CFR
§ 450.114(b)).
22. "Regional Transportation Plan (RTP)": The plan that must be
developed under the DOT urban transportation planning process to satisfy
the requirements of 23 CFR § 450.116. The RTP includes a transportation
systems management element and a long range element and must be consistent
with the area's comprehensive long-range land use p-lan and overall social,
economic, environmental, system performance and energy conservation goals
and objectives.
23. "Transportation Systems Management Element (TSME)": That part
of the RTP which provides for the short-range transportation needs of the
urbanized area, not including new transportation facilities or major changes
in existing facilities (see 23 r -. 450.116(b)).
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24. "Long-Range Element (LRE)": That part of the RTP which must
identify new transportation policies and facilities or major changes in
existing facilities (.see. 23 CFR S 450.116(c)).
25. "Transportation Improvement Plan (TIP)": A staged multi-year
program of transportation improvements including an annual element listing
transportation improvement projects proposed for implementation during
the first program year (see 23 CFR § 450.304(b)).
26. "Annual Element (AE)": A list of transportation improvement
projects proposed for implementation during the first program year of
the TIP (see 23 CFR § 450.304(b)).
27. "Intermodal Planning Group (IPG)": A group composed of repre-
sentatives of all DOT administrations, and other agency representatives
on an ad hoc basis, which serves as a forum for coordinating trans-
portation planning programs funded individually by the different DOT
administrations. In all regions EPA is represented by an ad hoc member,
and HUD and state agencies are represented in some regions. The IPG has
no decisionmaking power.
28. "Highway Planning and Research Funds (HPR Funds)": Funds apportioned
to the states under 23 USC § 104 and made available under 23 USC § 307 for
expenditure on request by the state for statewide planning, urban planning
and highway-related research. The amount available is a 1 and 1/2 percent
deduction from sums apportioned' to any state for all federal-aid systems
under 23 USC § 104. The funds may be used only for planning and research.
29. "Planning Funds (PL Funds)": Funds apportioned to the states
under 23 USC § 104 and made available through the states to MPOs for
carrying out 23 USC 134. The funds may be used to establish and maintain
a continuing, comprehensive and cooperative (3C) process in urban areas
with more than 50,000 population. The amount of funds available are based
upon 1/2 percent of funds to be apportioned to all states for federal-aid
systems. This amount is then apportioned to the states as a ratio of
urbanized area population.
30. "Planning and Research Funds (PR f-u..••: .)": Construction funds
which may be used for planning and research, or demonstration projects
in connection with highway-related research. The amount of funds is
limited to 1/2 percent of sums apportioned for federal-aid primary,
secondary and urban systc. •
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APPENDIX E
BACKGROUND INFORMATION OF EPA'S TRANSPORTATION CONTROL PROGRAM
Under the Clean Air Act, as amended in 1970, each state was required
to develop a State Implementation Plan (SIP) that provided for the
attainment and maintenance of the established air quality standards
within the time frames set forth in the Act. If a state failed to submit
an approvable plan, EPA was required to promulgate one. Controls on
stationary sources and the federal new car emission control program went
a long way toward achieving the air quality standards. However, despite
the substantial emission reductions from these controls, many areas-were
in need of further controls if the standards were to be attained and
maintained.* Recognizing this need for further controls, the Act
; (Section 110(a)(2)(B)) specifically required the use of transportation
control measures where necessary. As a result of a suit filed by the
Natural Resources Defense Council (NRDC v. EPA, 475 F.2d 968), the U.b
Court of Appeals for the District of Columbia Circuit ordered the
Administrator to require submission of complete implementation plans
(including transportation control measures) during 1973.
The extremely tight time constraints imposed by the Court;took
their toll on the quality of transportation control plans that were
produced. 'Some states decided that it was impossible to produce a plan
*This was true in many cases even assuming all cars on the road were
actually meeting the original statutory.standards. However, this
assumption was contingent on having the necessary inspection and
maintenance programs to ensure that in-use performance matched the
capability demonstrated in certification.
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within the time limit because of manpower and funding shortages', leaving
EPA with the responsibility of preparing and promulgating the plans.
Other states submitted only partial plans, again leaving EPA with the
responsibility of promulgating additional measures as necessary for
attainment. Overall, the effect of the Court decision was to require
extremely rapid adoption and implementation of some very substantial,
and in some cases -- potentially disruptive -- changes in urban trans-
portation systems for which the public and the political process were
largely unprepared and about which they were largely uninformed. By
December 1973, EPA had approved or promulgated transportation control
measures in all the then demonstrably deficient areas. (Originally 31
urban areas required transportation control plans. Many other areas
t
were strongly suspected to have similar air quality problems, but adequate
monitoring data was not available in 1973.)
The transportation control measures can be divided into classes of
measures that reduce in-use automobile emission rates (emissions per
mile) and classes of measures that both reduce vehicle usage and promote
transit. The former class includes inspection/maintenance and vehicle
retrofit programs. The latter includes transit improvement, carpooling,
and selected restrictions on the use of automobiles. These latter measures
are identified in Section 108(f) of the Clean Air Act and are similar
to the Transportation System Management (TSM) measures identified by
the Department of Transportation in their joint planning regulations
(23 USC 450).
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In developing the original plans for reducing emissions from the
transportation system, emphasis was placed on controlling the in-use
automobile'emissions (27 areas required inspection/maintenance). Measures
to reduce auto trips were used where in-use controls were not sufficient.
In the case of hydrocarbons the Agency first examined additional
stationary source controls before either type of mobile source control
was used. The promulgation of gasoline marketing vapor recovery regulations
is an example.
The implementation phase since December 1973, was a mix of successes
and failures. Some metropolitan areas made good faith efforts to adopt
and implement transportation control measures. However, there have also
been unsuccessful examples. There are various reasons for this failure
i
to implement transportation control measures. First, information on the
effectiveness, costs, and implementability of transportation options in
1973 was limited. Time did not allow for the investigation of social
and economic effects -oh a case-by-case basis.
In addition, experience was lacking at all levels of government
to plan and implement effective measures. Due to the time restrictions,
many of the transportation control requirements could not be adapted to
the existing institutional framework, to ongoing planning schedules and
processes, and to agency budget cycles. Also the 1977 time deadline for
achieving health related national air quality standards did not allow
credit for long-range measures such as ma-ss transit improvements. Conse-
quently, both the alternatives considered and the effects analyzed were
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limited. Perhaps the greatest deficiency was the lack of inter-
governmental coordination and citizen participation. A considerable
amount of the opposition to the plans centered not so much on the
measures but rather on the manner in which the measures were developed
and imposed.
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APPENDIX F
FUNDING
IDENTIFICATION OF FUNDS TO IMPLEMENT THE PLAN AND TO CONDUCT RELATED PLANNING
(a) FHWA
The United States Code, Title 23 provides funds for transportation
improvements in a number of categories identified by highway system. In
addition, funds for planning and research programs are provided which
could be used to plan for and implement transportation control measures.
These funds are apportioned under Section 104 or made available for
expenditure on planning and research activities under Section 307.
(1) Construction
Funds that are available for project development and
construction in urbanized areas which could be used to
implement certain transportation control measures
include:
0 Federal-Aid Primary
0 Federal-Aid Interstate
0 Federal-Aid Urban
These funds are available for use statewide and are not
specifically earmarked for use in urbanized areas. One
exception is the portion of urban system funds that are
attributable to urbanized areas of 200,000 population
or more.
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Funds also are available for special categories of
improvement, such as control of outdoor advertising,
control of junkyards, special bridge replacement, priority
primary routes, pavement marking demonstration, projects
for high-hazard locations, elimination of roadside
obstacles, highways crossing federal projects, bicycle
transportation and pedestrian walkways and safer off-
system roads. Most of these funds are for special
purposes and are not generally applicable to trans-
portation control measures.
(2) Planning
Funds commonly referred to as PL funds are apportioned to
states under Section 104(f) and made available through
the states to metropolitan planning organizations (MPOs)
for carrying out the provisions of Section 134,
Transportation planning in certain urban areas:
0 To establish and maintain a continuing, compre-
hensive, and cooperative (3C) planning process in
urbanized areas (urban areas with more than 50,000
population).
0 Funds are based on one-half percent of funds to be
apportioned to all states for federal-aid systems.
This amount is then apportioned, to the states as
a ratio of urbanized area population, except that
no state receives less than one-half percent of
the total apportionment.
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(3) Planning and Research
Funds commonly referred to as HPR and PR funds are
made available for expenditure on request by the
state for statewide planning, urban planning, and
highway-related research.
° Amount of HPR funds available is a 1-1/2 percent
deduction from sums apportioned to any state for
all federal-aid systems under Section 104.
0 Since the HPR funds are used for statewide planning,
research, and to satisfy certain planning data
reporting requirements of the FHWA, the amounts
available for urban planning are limited. These
funds, however, are to be used only for planning
and research.
0 PR funds are construction funds which may be used
for planning and research. These funds may also
be used for demonstration projects in connection
i
with highway-related research. The amount of
funds is limited to one-half percent of sums
apportioned for federal-aid primary, secondary,
and urban systems.
(b) UMTA
(1) Construction
Section 3: Federal Financial Assistance
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0 Assists states and local agencies in financing
(1) the acquisition, construction, reconstruction,
and improvement of facilities and equipment for use
in mass transportation service in urban areas and in
coordinating such service with highway and other
transportation in such areas, and (2) the establishment.
and organization of public and quasi-public transit
corridor development corporations or entities.
0 Eligible facilities and equipment include buses and
other rolling stock and real property including land
(but not public highways) within the entire zone
affected by the construction and operation of transit
improvements, including station sites, needed for any
efficient and coordinated mass transportation system.
0 Up to one-half of any financial assistance provided
under this Act (other than Section 5) may be used
for the payment of operating expenses incurred in
connection with the provision of mass transit service
in an urban area.
Section- 5
0 For use in urbanized areas.
0 Funds available for construction of mass transportation
facilities (with construction covering a broad range
of activities).
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39
0 The federal share available for construction under
this section is 80 percent.
0 The federal share available for operating subsidies
is 50 percent.
0 Funds made available on the basis of a formula under
which urbanized areas will be entitled to receive
an amount equal to:
(a) one-half the total amount apportioned X the
ratio which the population of the urbanized
area bears to the total population of all
the urbanized areas in all the states
(b) one-half the total amount so apportioned X a
ratio for that urbanized area determined on
the basis of population weighted by a density
factor
0 To obtain these funds, the recipient must certify
that public hearings have been conducted and must
submit a report indicating the consideration given
to the economic, social, environmental and other
effects of the proposed project.
(2) Planning
Section 9: Grants for Technical Studies
0 Available to states and local governments for the
planning, engineering, designing, and evaluation of
urban mass transportation projects or for other
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40
technical studies to be included in a program for a
coordinated urban transportation system as a part
of the comprehensively planned development of the
urban area.
0 Activities which qualify for funding include:
(1) studies relating to management, operations,
capital requirements, and economic feasi-
bility;
(2) preparation of engineering and architectural'
surveys, plans and specifications;
(3) evaluation of previously funded projects; and
(4) other related activities in preparation for
the construction, acquisition, or improved
operation of mass transportation systems,
facilities, and equipment.
(3) Other
Section 6: Research, Development and Demonstration Projects
. ° The Secretary may contract or provide grants for
RD&D in all phases of urb.an mass transportation.
(c) HUD
Transportation control planning activities are eligible to
receive HUD funding under S 701 grant program (S 701 of Housing Act of
1954, 40 USC 461, as amended by the Housing and Community Development
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41
Act of 1974, 42 USC 5301 et seq; 24 CFR Part 600). However, the availa-
bility of funds for transportation planning is limited. While $57 million
is available for land use and housing planning ($21.5 million is available
to A-95 metropolitan planning agencies), most areas exhaust their allotment
satisfying HUD directives. If any funds remain after required planning
activities have been performed, a local decision could be made to use
remaining funds for transportation planning.
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42
APPENDIX G
SUPPLEMENTARY INFORMATION ON THE EVALUATION OF ALTERNATIVES
1. Legal Mandate
Section 172(b)(9) of the Clean Air Act, as amended 1977, specifies
that the plan for nonattainment areas shall include:
... an identification and analysis of the air quality,
health, welfare, economic, energy and social effects
of the plan provisions ... and of alternatives considered
by the state.
(Section 129(c) of the Clean Air Act Amendments of 1977 (Pub. L. No. 95-95,
91 Stat. 750-51) indicates that this plan shall be submitted by January 1,
1979.) In addition, Section 108(f) requires the preparation of information
on a wide range of alternative transportation measures, including an
assessment of "the relative effectiveness, ... potential effect on
transportation systems and the provision of transportation services, ...
and the environmental, energy and economic impacts."
The joint planning regulations issued by FHWA and UMTA on September 17,
1975 (23 CFR 450) specifically call for .alternative analyses:
The urban transportation planning process shall ... include:
('ii) An evaluation of alternative transportation
systems management improvements ...
(iv) Analysis of alternative transportation invest-
ments to meet areawide needs for new transportation
facilities.
The joint regulations further state that energy .conservation, air
quality improvement, and increased social and environmental amenities
are purposes of the transportation systems management requirement. The
regulations also specify "the urban transportation planning process
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43
shall: (1) Provide for the consideration of social, economic 'and environ-.
mental effects ... (2) Be coordinated with air quality planning conducted
pursuant to 42 DSC 1857 (Clean Air Act)."
The DOT regulations direct urban areas in developing the TSM element
to consider a wide range of options. The Appendix to the regulation
presents a lengthy list of measures which are suggested for consideration.
The categories of measures include: traffic operations improvements;
preferential treatment for high occupancy vehicles; provision for pedestrians
and bicycles; management and control of parking; changes in work schedules,
fares and tolls; reduced vehicle use incentives; transit service improve-
ments; and transit management improvements. Significantly, the Appendix
also contains the following guidance in an "Actions to be considered"
section:
... While the feasibility of and need for individual
actions may differ with the size of an urbanized area
or the extent of congestion all categories of actions
should be considered. It is expected that some actions
in each category will be appropriate for any urbanized
area.
2. Scope of Analysis
Effective transportation planning requires analysis not only of
individual transportation measures but also of different options for
implementing measures and of overall transportation strategies, or
packages of measures. Because the feasibility and effectiveness of
certain measures may be influenced by the presence or absence of certain
other transportation activities in a particular sub-area or corridor,
studies of combinations of measures may be appropriate in some cases.
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44
For example, an urban area might combine studies of park and ride facili-
ties and transit circulator service with an auto-restricted zone study.
In addition, the areawide effects of proposed transportation programs on
factors such as oxidant concentrations often must be assessed. Thus,
depending on local circumstances and the pollutant to be controlled the
alternatives that are analyzed might consist of individual measures,
combinations of measures applicable to certain corridors or sub-regional
areas, or entire transportation programs.
3. Assignment of Responsibility
The detailed institutional arrangements and assignments of responsi-
bility in the analysis of alternatives should be tailored to the particular
conditions in each metropolitan area. For example, a number of the measures
' to be considered in TSM and transportation control planning traditionally
have been the responsibility of various operating agencies -- city planning'
departments, transit authorities, traffic divisions, county transportation
commissions, and enforcement agencies. In many urban areas, these
organizations will continue to play the major role in the generation of
alternatives, assessment of their impacts and feasibility, and implementation.
In these areas the MPO may wish to coordinate study efforts, perform special
supplementary studies and areawide analyses, and integrate the recommenda-
tions of the local agencies into a TSM plan and a TIP. In some urban
areas, the MPOs may wish to develop additional capabilities to conduct
its own short range planning and analysis.
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*,•»*HWA 121 /P.*. s-73) APPENDIX H 45
UNITED STATES GOVERNMENT DEPARTMENT OF TRANSPORTATION
[emoranaum
_ .. 1 FEKRAL HIGHWAY ADMINISTRATION
Memorandi
OATE: 1 FEB 1978
ACTION - Integration of Air Quality ,„ wp
SUBJECT. Requirements into the Transportation '*>•< », HHP-23
Planning Process UTP-21
FROM
Federal Highway Administrator
'•Urban Mass Transportation Administrator
TO -Regional Federal Highway Administrators, Regions 1-10
Urban Mass Transportation Administration Regional
Directors, Regions I-X
The Clean Air Act Amendments of 1977 were signed into law by
the President on August 7, 1977. These Amendments require
State and local governments to develop revisions to State
Implementation Plans (SIP)s, for all areas where national
ambient air quality standards have not been attained, by
January 1, 1979. In most major urbanized areas of the country,
the revised SIPs will require transportation controls, i.e.,
strategies designed to reduce emissions from transportation-
related sources by means of structural and operational changes
in the transportation system.
The Office of Management and Budget has directed DOT and EPA.
to integrate and fund air quality planning within DOT's trans-
portation planning process. The DOT and EPA are, therefore,
negotiating an agreement linking air quality and 'transportation
planning; meanwhile, criteria for transportation control plans
(TCP) and SIP revisions are being prepared with the intent of
prompt joint DOT-EPA issuance of transportation regulations
and guidelines by February 9, 1978.
Because of the imminence of the January 1, 1979, deadline, we
are directing- that the following actions be initiated promptly
by the regional staffs of UMTA and FHWA:
1. The EPA should be invited to participate in the
Intermadal Planning Group (IPG) so as to insure
coordination of all activities pertaining to the
urban transportation planning process;
2. The EPA should be consulted to determine which areas
are likely td require TCPs and what the estimated
magnitude of TCP effort will be in those areas;
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46
—3. For areas requiring TCPs, funds within already approved'
Unified Planning Work Programs (UPWPs) may be
reprogramed as appropriate to support the identification
and analysis of transportation control measures in
coordination with the SIP revision process;
4. Air quality planning tasks in support of the SIP
revision process should be given a high priority in
UPWPs now being developed. Air quality planning is
a national priority and must be given appropriate
emphasis in the conduct of the transportation planning
process;
5. The transportation improvement program (TIP)/annual
element (AE) review process should be conducted with a
renewed emphasis on the inclusion of projects benefiting
air quality in the TIP/AE; and
6. The certification review process should be conducted
with a renewed emphasis on the coordination of air
quality planning and transportation planning as
required by the joint regulations.
The President has requested the establishment of a single Federal
mechanism to integrate transportation and air quality planning.
We are confident that through the mutual commitment of FHWA and
UMTA, we can meet this goal. Regional Administrators and
Directors should furnish their respective modal administrators
with a progress summary on each of the six items in their
periodic reports (in UMTA, the Biweekly Highlights Report to
the' Administrator) beginning with the March 1978 report.
Richard S. Page// William M. Cox
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47
APPENDIX I
INTERAGENCY AGREEMENT
BETWEEN
THE DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
THE ENVIRONMENTAL PROTECTION AGENCY
I. ' PURPOSE:
This Interagency Agreement has been developed to: (1) coordinate
the planning and management activities of the two signatory agencies,
the Department of Housing and Urban Development (HUD) and the Environ-
mental Protection Agency (EPA) in accordance with the Administration's
objectives; (2) encourage interagency cooperation and coordination of
planning between local levels of government; (3) ensure that any land
use policies and control strategies undertaken for air quality improve-
ment are developed and implemented within a broader framework of compre-
hensive planning and management; and (4) ensure that comprehensive
planning and management reflects the constraints attendant in attaining
and maintaining the National Ambient Air Quality Standards (NAAQS) and
in preventing, significant deterioration of air quality.
II. PROGRAMS INVOLVES:
The following programs are involved:
Comprehensive Planning Assistance Program (Section 701) of the
Housing Act of 1954, as amended;
State Implementation Plan (SIP) Program of the Clean Air Act,
as amended.
III. PROVISIONS
1. To the extent that resources are available, the HUD 701 land
use element shall provide basic land use planning including: (1) long
and short term policies regarding where growth should and should not
take place; (2) the type, intensity and timing of growth; (3) studies,
criteria, standards and implementing procedures necessary for effec-
tively guiding and controlling major decisions as to the location of
growth; and should include, as an objective, policies and management
programs which contribute to the attainment and maintenannce of. NAAQS
and to the prevention of significant deterioration of air quality.
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48
To the extent that resources are available, any evaluation of
potential land use measures performed under section 110 of the Clean
Air Act shall analyze land use/air quality relationships to determine
what revisions could be niade to existing or proposed land use plans,
policies, and regulations in order to reduce'or prevent air pollution
from stationary and mobile sources.
2. In those geographic areas where lar.d use elements are to be developed
pursuant to the Comprehensive Planning Assistance Program and where land
use related provisions are to be added to a SIP, HUD and EPA shall en-
courage through appropriate guidelines that units of government and
planning agencies involved in the two processes consult in the process
of developing their work programs so that: (1) there is.no duplica-
tion of effort; (2) completed land use elements and SIP provisions are
consistent; and (3) the objectives of lioth the Comprehensive Planning
Assistance and the SIP development..|>ru^raas are achieved.
3. The OMB Circular A-95 Clearinghouse procedures shall:be used for
review of SIP land use provisions by State arid areawide 701 recipients.
The 701 land use element will be reviewed by air quality planning and
management agencies prior, to submission to HUD. Criteria to assist the
Clearinghouses in making this review will be developed. The principle
intent of the review and comment is to allow interested parties to
point out potential inconsistencies between the SIP and the land use
element for further consideration by the appropriate planning agencies.
Neither HUD nor EPA will approve a land use clement or a land use related
provision of a SIP, respectively,, unless such an opportunity for review
is granted.
4. In activities funded under the Comprehensive Planning Assistance
Program, grant recipients shall, as a condition of continued eligibility
for funding (1) incorporate any land usa related measures identified in
the SIP .as necessary for the attainment and maintenance of the NAACS
as performance critieria, and (2) reflect any State or Federal programs
for prevention of significant deterioration of air quality.
5. EPA will encourage the designation and continuous substantive involve-
ment of qualified State and areawide comprehensive planning agencies in
(1) the development of land use related SIP provisions and (2) State
or Federal programs for prevention of significant deterioration of air
quality.
6. All HUD 701 recipients and EPA or'Stats designated agencies responsi-
ble for the SIP development will be actively encouraged to use common
data bases, common analytic techniques and consistent criteria in their
planning activities and to adopt compatible work programs and imple-
mentation strategies.
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49
8. HUD and EPA regional or field offices will develop lines of commu-
nication and effective means to jointly address issues, problems or
disputes that may impede the timely and effective implementation of
either the HUD 701 land use elements or ths land use related portions
of the SIP. Where thes.e impediments are the result of planning assisted
or required by a Federal agency, the HUD and EPA field offices will
invite representatives of interested Federal, State, areawide and local
agencies to review the situation and whenever possible remove the impedi-
ments.
9. Existing coordination mechanisms such as the A-95 Clearinghouse
procedures and the Federal Regional Councils will be used to the extent
that they prove capable of meeting the objectives of this agreement.
10. HUD and EPA will develop such procedures as may be required to
implement the above provisions. These will be developed in accordance
with Executive Orders and regulations governing both programs and will
require joint approval prior to issuance.
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50
APPENDIX J
•SUfWARY OF SELECTED EPA GUIDELINES AND REGULATIONS RELATED
TO THE TRANSPORTATION REQUIREMENTS OF THE CLEAN AIR ACT
Guideline:
Purpose:
Statusr
"Clean Air Act Section 174 Guidelines" issued jointly
by the Environmental Protection-Agency and the Department
of Transportation.
To implement Section 174 of the amended Clean Air Act
which requires (1) that state and local governments jointly
determine responsibilities for developing, implementing and
enforcing plans for areas where national ambient air quality
standards for carbon.monoxide and photochemical oxidants
have not been attained and (2) that a lead planning organiza-
tion be designated to coordinate plan development for 'such
areas. State and local responsibilities must be jointly
determined and lead plan development organizations nominated
by local governments by February 7, 1978. Governors must
certify by April lt 1978, a lead organization nominated
by local officials for plan development or must designate
an alternative organization..
Issued. December 14,. 1977.
Guideline;
Purposes
Status:
"Criteria for Approval of 1979 SIP Revisions." Memorandum
from the EPA Administrator to all Regional Administrators.
To Implement subpart D of the aasnded. Clean Air Act which
sets forth the requirements for revisfng a state imple-
mentation plan (SIP} for any area, for which national ambient
air quality standards have not been attained.- The SIP
revisions must be submitted by states to the Environmental
Protection Agency by January 1, 1979, and must provide for
attainment of standards no later than December 31, 1982. If
a state is able to denxmstrate that attainment of the standard
for carbon- monoxide and photochemical oxidants is not possible
by 1982,. an extension of the attainment deadline up "to
December 31, 1987,. is possible. The-guidelines summarize
tte eleinents of an approvaile 1979 SIP that must be incli ded
tn-order to-avoid imposition of sanctions provided for ir
the Act.
Issued February 24-, 1973.
Regulation:
Establishment of a process for consultation with general
purpose local governments, organizations of local elected
officials and federal land managers.
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5 i
Purpose:
Status:
To .implement the requirements of Section 121 of the amended
Clean Air Act which requires states to provide a satisfactory
process of consultation for provisions of state implementation
plans dealing with (1) transportation controls, air quality
maintenance and new source review; (2) control measures for
nonattainrnent areas; and (3) measures for prevention of
significant deterioration of air quality. The consultation
process requirement is applicable to all implementation plan
revisions for the three categories listed that are adopted
after August 7, 1978. The consultation processes established
by states must be in accordance vn'th regulations, promulgated
by the Environmental Protection Agency. The Act requires
regulations to be. promulgated, after notice and opportunity
for public hearing, by February 7, 1978.
Drafts of the Environmental Protection Agency regulation have'
undergone extensive review and will be proposed in the
Federal Register in March 1978.
Guideline:
Purpose:
Statusr
Information documents for transportation control treasures.
To iroplenjant Section- 108(f} of the amended Clean Air Act which
requires the Adnrfnistrator of the Environmental Protection
Agency to publish, in cooperation with the Secretary of the
Department of Transportation, information about processes,
procedures and methods to reduce transportation-related air
pollution. The information must include assessments of
(1) the relative effectiveness of such processes, procedures
and methods;. (2) the potential effects on transportation
systems- and- on the- provision of transportation services; and
(3) envirtrnraHTtal „ energy and--econcnrfc effects. Information
about programs for vehicle inspection and maintenance, control
of vapor emissions from fual transfer and storage and from
solvent operations,, improved public transit, exclusive bus
and carpool lanes and areavrfde carpool programs must be
published by February 7,. 1978. Information on a number of
other progress including" long-range transit improvement,
central of on-strest parking r construction of paric-and-rfde
facilities, staggered work hours and road user charges
be pun! t shed, by August 7, 1973.
Information documents covering vehicle inspection and
maintenance,, control of vapor emissions from fuel transfer
and storage » improved public transit,, exclusive bus and
carpool lanes and areawide carpool programs have been drafted
and sent to the Department of Transportation for review.
Contracts to develop the additional information documents
to be- available by August 7, 1973, are under development.
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DOT PLANNING AND PROGRAMMING REGULATIONS APPENDIX K
WEDNESDAY, SEPTEMBER 17, 1975
PART II:
DEPARTMENT OF
TRANSPORTATION
Federal
Administration
Urban Mass Transportation
Administration
TRANSPORTATION
IMPROVEMENT
PROGRAM
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53
1297C
Title 23—Highways
CHAPTER I—FEDERAL HIGHWAY ADMIN-
ISTRATION, DEPARTMENT OF TRANS-
PORTATION
PART 450—PLANNING ASSISTANCE AND
STANDARDS
Urban Transportation Planning
The purpose or this document is to
issue final regulations implementing
certain provisions of title 23, U.S.C., and
the Urban Mass Transportation Act of
1064. as amended, 49 U.S.C. 1601, et seq.
(UMT Act), governing urban transpor-
tation planning under the Federal
Highway Administration and the Ur-
ban Mass Transportation Administra-
tion programs.
In the November 8. 1974, edition of
the FEDERAL REGISTER <39 FR 30660).
the Federal Highway Administration
(FHWAi and the Urban Mass Trans-
portation Administration (UMTA) pub-
lished a notice of proposed nilemnking
(the "notice"i to add a new Part 450.
Subpart A, to 23 CFR. Chapter I. and
a new Part CKJ, Subpart B. to 40 CFR.
Chapter VI.
The public was invited to participate
in this rulemaking through submission
of written comments. Over 120 inter-
ested groups and individuals provided
comments, including the House Com-
mittee on Public Works and Transpor-
tation, the Senate Committee on Pub-
lic Works, the American Public Transit
Association, the American Association
of State Highway and Transportation
Officials. State depurtnifnts of transpor-
tation, cities. :incl a number of metro-
politan planning organizations. In ar-
riving at the linal regulations sot forth
below. FHWA and UMTA have given
consideration to all comments received
in response to the notice of proposed
rulemaking insofar as they related to
matters within the scope of that notice.
Review of the comments received indi-
cated the desirability of making changes
in the regulations as originally pro-
posed. In view of the interest expressed
in these regulations, except for editorial
revisions, those sections of these final
regulations which have been revised or
were the subject of major interest are
discussed in this commentary.
Since the publication of tho notice of
these proposed rules. Congress has en-
acted the National Mass Transportation
Assistance Act of 1074 (Pub. L. 03-503.
88 Slat. 1565). which amended the UMT
Act to add among other matters a new
formula grant program under which both
capital and operating assistance may
be provided, and to make the "3-C" plan-
ning process described in 23 U.S.C. 134
applicable to all UMTA-assistcd capital
and operating projects. While the enact-
ment of Pub. L. 93-503 did require some
modification of these regulations, these
changes were essentially technical in na-
ture, and. where made, do not represent-
any overall substantive change except
for the addition of the Transportation
Systems Management (TSM> element
(discussed infra).
In response to the notice, some con-
cern was expressed that the role of the
RULES AND REGULATIONS
Metropolitan Planning Organization
iM?O> in tiie planning and programing
process tended to impinge on State and
locol authority. It was intended that the
MPO provide a forum for cooperative de-
cisionmaking by principal elected offi-
cials of general purpose local govern-
ment; accordingly, the definition of the
MPO has been modified to clarify this
intent. It is not intended to preclude the
State and publicly owned operators from
acting through thks forum.
A few comments addressed the Gov-
ernor's designation of these organiza-
tions. The Department recognizes that
institutional arrangements are at differ-
ent stages of evolution in the various ur-
banized areas; accordingly, consiclerablo
flexibility will be afforded by FHWA and
UMTA in the administration of 5 450.106.
We note in this connection that while
it is encouraged, nothing in flic regula-
tions requires that the MPO and the A-95
agency be the same. Further, designa-
tion.-, made under s 450.106 may be
changed when appropriate, consistent
with the provisions of that section.
A number, of comments on the geo-
graphic scope of the urban transporta-
tion planning process indicated concern
that the regulation could be interpreted
to cncourapo coverage of rural areas. The
intent is that the planning process ex-
tend to urban and urbanizing areas;
coiiMstcnt with that intent, the regula-
tion has been revised to allow each ur-
banized area miximum flexibility in de-
termining the geographic scope of the
urbnn transportation planning process.
Several comments were directed to the
failure of §450.112 to reflect the tri-
partite nature of the planning process.
i.e.. the involvement in the process of
Slate government, local government, and
publicly owned operators of mass trans-
portation .services as specified in the
section on "Agreements." For this rea-
son. S 450.Hi; has been revised to stipu-
late that the MPO. in cooperation with
the SUHc and with publicly owned opera-
tors of mass transportation services, is
responsible for carrying out the urban
transportation planning process.
Section 450.116 has been revised to
provide greater detail regarding the com-
ponents of the transportation plan. The
transportation plan includes the TSM
and the Ions-range elements. The TSM
clement was initially referenced in
5 450.120 of the proposed regulation. It is
designed to meet the short-range trans-
portation needs of urban areas through
elficicnt use of existing facilities. A joint
issuance appended to these regulations
provides additional advisory information
on the scope and objectives of the TSM
element.
Notice is given that the inclusion in
the Transportation' Improvement Pro-
gram (TIP) of projects recommended
from the TSM clement will be a condi-
tion of UMTA program approvals. The
TSM element and the programing for
Us implementation in the TIP supports
the requirement to Improve the efficiency
of mass transportation service pursuant
to section 5(d)(2) of the UMT Act (49
U.S.C. 1604(d>(2)> and Is deemed to be
the program of actions referred to in the
expression of intent described in Sec-
tion F of the Capital and Operating As-
sistance Formula Grants and the In-
terim Guidelines and Procedures '40 FR
2534. January 13. 19751.
The target date emisioned for the de-
velopment of the TSM element and the
programing for its implementation is
Mnrch 30, i97G.
Section 450.120 of the regulation has
been reorganized to group the general
planning activities, first, and the activi-
ties of a technical natur:, second. In re-
sponse to comments and to statutory re-
quirements, planning process elements
were added to cover energy conservation,
consideration of existing private mass
transportation services, coordination
with air quality planning and with plan-
ning for the transportation needs of the
elderly and handicapped.
A number of comments addressed the
criteria for Federal determinations under
the "Certification" section. In response.
§ 450.122 has been simplified to indicate
that certification will be based on- com-
pliance with the requirements in this
subpart and that the determination will
be made by UMTA and FHWA acting
jointlv. The certification determination
is a Federal evaluation of the planning
process.
A further clarificatirn in 5 450.122 p^r-
tains to the lapsing of certification. The
Department intends thnt a negative
planning finding be a deliberate deter-
mination and not the result of an ad-
ministrative oversight. Accordingly, the
planning certification will'remain in ef-
fect until a new determination is made.
These regulations unify the individual
planning requirements of FHWA and
UMTA and supersede tho following op-
erating procedures: FHWA Policy nncl
Procedure Memorandums 50-9 and ?0-
11. Instructional Memorandum1! 50-3-71
and 50-4-68: Sections D and F of the
Capital and Operating Assistance For-
mula Grant^: Interim Guidelines and
Procedures '40 FR 2534. January 13.
1975) : and the Urban Mass Transporta-
tion Planning Requirements Guide as
contained in Appendix 2 of the UMTA
External Operating .Manual (UMTA
Order 1000.2. dated August 22. 1972K
In consideration of the foregoing, and
under the authority of 23 U.S.C. 104'f>
(3). 134. and 315. and sections 3. 4.
and 5 of the UMT Act (49 U.S.C. 1602.
1003(a^. and 1604). and the delegation
of authority by the Secretary of Trans-
portation at 49 CFR 1.48'b) and 1.50'f).
Chapter I of title 23 and Chapter VI of
title 49 of the Code of Federal Reruln-
tions are hereby amended by adding a
new Part 450, Subpart A as set forth
below.
Effective dale: These regulations take
effect on October 17. 1975.
Issued on: Septmber 11, 1975.
L. P. LAMM,
Executive Director.
Federal Highway Administration.
ROBERT E. PATRICELLI,
Urban Mass Transportation
Administrator.
FEDERAL REGISTER. VOt. 40, NO. 181—WEDNESDAY, SEPTEMBER 17, 1975
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54
RULES AND RHCULATIONS
42977
Subpart A of Part 450 Is added as set
forth below:
Subpart A—Urban Transportation Planning
Sec.
450.100 Purpose.
450.102 Applicability.
4*50.104 Definitions.
450.106 Metropolitan Planning Organiza-
tion: designation.
450.108 Metropolitan Planning Organiza-
tion: agreements.
450.110 Metropolitan Planning Organiza-
tion: geographic scope.
450.112 Metropolitan Planning Organiza-
tion: responsibilities.
450.114 Urban transportation planning
process: planning work programs.
450.116 Urban transportation planning
process: transportation plan.
450.118 Urban transportation planning
process: transportation improve-
ment program.
450.120 Urban transportation planning
process: elements.
450.122 Urban transportation planning
process: certification.
Appendix: Advisory Information on Develop-
ment of Transportation Systems Manage-
ment Elements.
AUTHORITY: 23 U.S.C. 104(f)(3), 134, and
315; Sections 3. 4(a). and 5 of the Urban
Mass Transportation Act of 19G4, as amended.
(UMT Act) (49 U.S.C. 1802. 1603(a), and
1604); and 49 CFR 1.48(b) and 1.50(f).
Subpart A—Urban Transportation
Planning
S 450.100 Purpose.
The purpose of this subpart Is to Im-
plement 23 U.S.C. 134, and Sections 3(a)
(2),4(a).5(g)(l), and 5(1) of the Urban
Mass Transportation Act of 1964, as
amended, (49 U.S.C. lG02(a) (2). 1603(a),
and 1604(g)(l) and (D), which require
that each urbanized area, as a condition
to the receipt of Federal capital or op-
erating assistance, have a continuing, co-
operative, and comprehensive transpor-
tation planning process that results in
plans and programs consistent with the
comprehensively planned development of
the urbanized area.
§ -150.102 Applirnl.ililv.
The provisions of this subpart are ap-
plicable to the transportation planning
process In urbanized areas. Certification
under this subpart shall be a prerequisite
for program approvals in urbanized areas
pursuant to 23 U.S.C. 105(d) and 134(a),
section 5(g) of. the UMT Act (49 U.S.C.
1604(g^), and Subpart C of this pnvt.
g -150.101 P.Tuiilinii*.
(fO Except ns otherwise provided.
terms defined in 23 U.S.C. 101 in) are
used In this subpart as so defined.
(b) As used In this subpart:
"Governor" means the Governor of any
one of the fifty States, and includes the
Mayor of the District of Columbia.
"Metropolitan Planning Organization
tMPO>" menus that organization desig-
nated by the Governor ns bcine respon-
sible, together with the State, for carry-
ing out the provisions of 23 U.S.C. 134.
as provided in 23 U.S.C. 104(f)(3>, and
capable of meeting the requirements of
sections 3(aM2> and (eHl), 4(a), and
5(g)(l) and (V of the UMT Act (49
U.S.C. 1602(a)(2) and (e)(l), 1603(a),
and 1604(g) (1) and (1)). This organiza-
tion is the forum for cooperative decl-
sionmaking by principal elected officials
of general purpose local government.
§ 450.106 Metropolitan Planning Orga-
nization: designations.
(a) The Governor of each State shall
designate the Metropolitan Planning Or-
ganization (MPO). To the extent pos-
sible, only one MPO shall be designated
for each urbanized area or group of con-
tiguous urbanized areas.
ib) Funds authorized by 23 U.S.C.
104'f) shall be made available by the
State to the MPO, as required by 23
U.S.C. 104(f) (3). To the extent possible,
the MPO shall be eligible to receive
planning funds authorized by section 9
of the UMT Act of 1964, as amended. (49
U.S.C. I607a).
•(c) To the extent possible, the MPO
designated by the Governor shall be es-
tablished under specific State legislation,
State enabling legislation, or by Inter-
state compact, with authority to carry
out metropolitan transportation plan-
ning, and should perform the functions
required by the Office of Management
and Budget (OMB) Circular A-95 "Eval-
uation, Review, Coordination of Federal
Assistance Programs and Projects"
November 13, 1973, as amended.
(d) Principal elected officials of gen-
eral purpose local government within the
jurisdiction of the MPO shall have ade-
quate representation on the MPO.
(e) Nothing herein shall be deemed to
prohibit the MPO from utilizing, through
contractual agreements, the staff re-
sources of other local agencies to carry
out selected elements of the planning
process.
(f) An MPO designated under the
provisions of this section shall remain
designated until the Governor designates
another MPO under the provisions of
this section.
§150.108 Metropolitan Planning Or-
ganization: agreements.
(a) The responsibilities for coopera-
tively carrying out transportation plan-
ning and programing shall be clearly
identified in an agreement or memo-
randum of understanding between the
State and the MPO.
(b) Where the MPO is different from
the A-95 agency, there shall be an agree-
ment between the two organizations
which prescribes the means by which
their activities will be coordinated, as
required by Part IV of OMB Circular A-
95. This aprcpmcnt shall specify how
transportation planning and program-
ing will be part of the comprehensively
planned development of the urbanized
area.
(c* There shall be an agreement be-
tween the MPO and publicly owned op-
erators of mass transportation services
which specifies cooperative procedures
for carrying out transportation plan-
ning and programing as required by
this subpart.
(d) To the extent possible, there shall
be one cooperative agreement contain-
ing the understandings required by this
section among the State, MPO, publicly
owned operators of mass transportation
services and, where necessary, the A-95
agency.
§450.110 Metropolitan Planning Orga-
nizution: geographic scope.
The transportation planning process
shall, as a minimum, cover the urban-
ized area and the area likely to be ur-
banized in the period covered by the
long-range element of the transporta-
tion plan described in § 450.116 of this
subpart.
§•150.112 Metropolitan Thinning Orga-
nization : responsibilities.
(a) The MPO in cooperation with the
State, and in cooperation with publicly
owned operators of mass transportation
services, shall be responsible for carry-
ing out the urban transportation plan-
ning process specified In § 450.120 and
shall develop the planning work pro-
grams, transportation plan, and trans-
portation improvement program spec-
ified in §§450.114 through 450.118 of
this subpart. The MPO shall be the
forum for cooperative decisionmaking
by principal elected officials of general
purpose local government.
(b^ The MPO shall annually endorse
the plans and programs required by
§§450.114 through 450.118 of this sub-
part.
§•150.114 Urban transportation plan-
ning proce.«»: planning work pro-
grams.
(a) The urban transportation plan-
ning process shall include the develop-
ment of a prospectus and a unified
planning work program.
(bl The prospectus shall establish a
multlyear framework within which the
unified planning work program is ac-
complished and shall include:
(1) A summary of the planning pro-
gram including discussion 01' the im-
portant transportation Issues : acing the
area;
(2) A general description of Vhe status
and anticipated accomplishments of each
of the elements specified In § 450.120 of
this subpart;
(3) A description of the procedures to
be used in carrying out each element
specified In § 450.120 of this subpart:
(4) A description of the functional
responsibilities of each participating
agency; and
(5) Copies of agreements specified in
§ 450.108 of this subpart.
(c) The unified planning work pro-
gram shall: (1) Annually describe all
urban transportation and transporta-
tion-related planning activities antici-
pated within the area during the next 1-
or 2-year period regardless of "funding
sources; and (2) Document work to be
performed with planning assistance pro-
vided under section 9 of the UMT Act
(49 U.S.C. 1607a) and 23 U.S.C. 104(f)
and 307(c).
(d) The prospectus and the unified
planning work program may be com-
bined .in a single document. Arrange-
FEDERAl REGISTER, VOl. 40. NO. 181—WEDNESDAY, SEPTEMBER 17, 1975
-------
55
4297S
ments may be made to further combine
these documents with work program re-
quirements of other Federal sources of
physical planning funds (e.g., Depart-
ment of Housing (2)
and 14 of the UMT Act (49 U.S.C. 1604
(h)(2) and 1610);
(2) Be coordinated with air quality
planning conducted pursuant to 42
U.S.C. 1857 (Clean Air Act) ;
RULES AND REGULATIONS
(3) Include provisions to ensure in-
volvement of the public;
(41 Be consistent with Title VI of the
Civil Rights Act of 1964 and the Title VI
assurance executed by each State under
23 U.S.C. 324 and 29 U.S.C. 794, which
ensure that no person shall on the
grounds of race, color, sex, national
origin, or physical handicap be excluded
from participation in, be denied benefits
of, or be otherwise subjected to discrimi-
nation under any program receiving
Federal assistance from the Department
of Transportation;
(5) Include special efforts to plan pub-
lic mass transportation facilities and
services that can effectively be utilized
by elderly and handicapped persons
pursuant to section 1C of-the UMT Act
(49 U.S.C. 1G12> and section 165(b> of
the Federal-Aid Highway Act of 1973.
as amended:
• (6) Provide for the consideration of
energy conservation:
(7> Include consideration of existing "
private mass transportation services; and
(8) Include the following technical ac-
tivities to the degree appropriate for the
size of the metropolitan area and the
complexity of its transportation prob-
lems:
(i) An analysis of exi.sting conditions
of travel, transportation facilities, and
systems management:
(ii> An evaluation of alternative
transportation systems management im-
provements to make more efficient u.sc
of existing transportation resources and
the development of the transportation
systems management clement of the
transportation plan.
(iiii Projections of urban area eco-
nomic, demographic, and land use activi-
ties consistent with urban development
goals and the development of potential
transportation demands based on these
levels of activity;
• iv) Analysis of alternative transpor-
tation investments to meet areawlde
needs for new transportation facilities
and the development of the long-range
element of the transportation plan;
(vi Refinement of the transportation
plan through the conduct of corridor,
transit technology, and staging studies;
and subarca, feasibility, location, legis-
lative, fiscal, functional classification,
and institutional studies;
(vi) Monitoring and reporting of urban
development and transportation indica-
tors and a regular program of reappraisal
of the transportation plan; and
(vii) Implementation programing
which merges the results of plan refine-
ment of the long-range element and the
improvements recommended in the
transportation systems management ele-
ment of the transportation plan to pro-
duce a transportation improvement pro-
gram as specified in Subpart C of this
part.
(b) The urban transportation plan-
ning process shall include preparation of
technical reports to assure documenta-
tion of the development, refinement, and
reappraisal of the transportation plan.
§.1,">0.122 I'rban Iraiispnrlaliiiii )
niiiK priirrss: rrrlilifiitiun.
(a) The Federal Highway and I'
Mass Transportation Administn
jointly will review and evaluate amu
the transi>ortation planning procc
each urbanized area to determine i:
process meets the requirements of
subpart.
(b> If. upon the review and evalu:r
conducted tinder paragraph of
section, the Administrators jointly ch
mine that the transportation plan;
process in an urbanized area meet.
substantially meets the requirement.
this subpart. they may take one of
following actions, as appropriate:
d) Certify the transportation i>!
ning process: or
(2) Certify the transportation pi.
ning process subject to one of the foil-
ing conditions:
(i) That certain specified correr
actions be taken; or
Ui> That the process is a basis
approval of only those categories of r
grams or projects that the Adminisl
tors may jointly detremine and that i •
tarn .specified corrective actions be Uik.
(c> The State and the MPO shall
notified of the actions taken under pa:
praph ib> of this section.
nl' A certification under parapr-
(b> of this section will remain in cil'<
until a new certification determination
made.
AlTKNWX
ADVI-SOUY INPUIIM A I'lON (IK [JKVFI.OPMKNT
•IIIAN.SI'OIITATIUN SVSTKMS MANAGEMENT K.\
Ml-.NTS UNIIMH UMTA AND FIIWA JOINT RVI.
I.ATIKNS. :.l .vc. Tlie preamble to U\c N:\ticr
Mass Triin.sporiiilion Assistance Act of 1'.'
stales thai clliricnt. economical and <•<>•
vcnk'iu mass transportation Is a vital pub;
service essential to the health and wclfa-
of urban areas. The resources provided by t:
Act urc intended to assist communities •
preserving and revitalising their mass trail
-systems. An essential part of this goal Ls
Improve the eiliclcncy of transit service—n-
only to achieve greater economics of opcr.
tlon. but also 10 help contribute to tlie will.
national objectives of energy conservalio-
improved air quality, and Increased soci
and environmental amenity. The 1974 A-
provides additional resources to enable I-
c:ililies to Improve the eiliclcncy of Iran •
operations.
'Similarly. Section 135 of title 23 declares :
to be in the national Interest that ttir-
should be a continuing program within urha
arc-as "designed to reduce trallic conc.t-stlo-
and in facilitate the Iloiv of l-rallic." Imprmv
ments which "directly facilitate and cnnliv
trallic How" are made eligible projects l>
Urban fOxtrnsiini and Urban System funds.
Pursuant t» the plannini; rrqulrr-mrn'
established for urbanixed areas in title "
and the Urban Mass Transportation Act <•
lOC-t. as amended. UMTA and KHWA ha-..
Jointly issued regulations c>3 CFR Part -I.')-1
and 4!) CFR Pan 013) that require the urban
transportation planning process to develop
(1) a Plan containing a Transportation Sys-
tem Management (TSM) clement, and (":>>
a Transportation Improvement Program
(TIP) for each urbanized area.
Tlie purposes of these supplementary
guidelines Is to Jointly provide additional def-
initions and explanation of the Intent and
scope of the Transportation Systems Man-
agement requlromciUs •sptv-lfl^'l In t>:« to'--'
-------
RULES AND REGULATIONS
42979
planning regulations. Each Administration
(I.e.. UMTA and FHWA) will be using Its own
regulations or policy mechanisms to specify
rurther conditions In order to meet their
requirements lor approval of programs or
projects under their Jurisdiction.
2. Introduction. Automobiles, public tran-
sit, taxis, pedestrians, and bicycles should
be considered aa elements of one single urban
transportation system. The objective of ur-
baff transportation system management la to
coordinate these Individual elements through
operating, regulatory and service policies BO
aa to achieve maximum efficiency and pro-
ductivity for the system as a whole.
Controlling, the flow of traffic, Influencing
the volume, pattern and mix of traffic, and
giving priority to buses and other hlgh'-occu-
pancy vehicles may be the single most effec-
tive set of measures to Improve the efficiency
and productivity of both mass transportation
service and the entire urban transportation
system. However, other actions can also be
effective. Mass transit efficiency can be In-
creaaed through Internal management ac-
tions, such as more flexible routing, dispatch-
tog and scheduling of transit vehicles. Urban
transportation system efficiency can be In-
creased by the provision of para-transit serv-
ices, Incentives for car-pools, and greater off-
peak use of transportation facilities. Con-
flicts between pedestrians and vehicles can
be reduced by developing explicit and co-
ordinated poUcr to balance competing claims
«a street space. Economic or other disincen-
tives can be Introduced to discourage low-
occupancy auto use. reduce traffic In con-
gested areas, and persuade commuters to
shift to niass transit; the quality of public
tiranalt KI vb.e can be Improved to compen-
sate for.any reductions In auto accessibility.
S. Planning requirement. The UMTA and
FHWA do not intend to.prescribe efficiency
standards or the particular measures that
an urbanized area must adopt to meet the
requirement to develop a Transportation
Systems Management element. Formulation
of an overall policy strategy, assessment of
candidate measures, and selection, program-
Ing and Implementation of actions are
clearly a local responsibility to be can-led
out as part of continuing transportation
planning and Implementation process. In
accordance with the Joint regulations, the
Metropolitan Planning Organization (MPO)
• In each urbanized area In cooperation with
the State and In cooperation with publlcly-
owied operators of mass transportation serv-
ice^ Is responsible .for the development and
periodic updating of the Transportation
Systems Management element.
The plan should set forth the underlying
goals and policy objectives and the strategy
•elected to accomplish them. Since the plan
will have official status as a product of the
areawlde planning process, onoe It Is en-
dorsed by tne MPO, It should represent
agreement on the part of those agencies
Identified as responsible for carrying out
each action. The programing for Imple-
mentation of Transportation Systems Man-
agement projects In the annual element of
the Transportation Improvement Program
represents a commitment for carrying out
each action.
4. Actions to be considered. The following
major categories of action should be con-
sidered for Inclusion In the Transportation
Systems Management element. While the
feasibility of and need for Individual actions
may differ with the' slae of an urbanized
area or UM extent of Its congestion, all cate-
gories of'action* ahould be considered. It Is
expected that aonie action* In each category
will be appropriate for any urbanized area.
a. Aattma to tnrure the efficient use of
space through
(1) Traffic operations Improvements to
manage and control the flow of motor ve-
hicles, surh as:
Channelization of traffic
One-way streets
Better slgnallzatlon and prngesslve timing
of traffic signals
Computerized traffic control
Metering access to freeways
Reversible traffic lanes
Other traffic engineering Improvements
(2) Preferential treatment for transit and
other high-occupancy vehicles, such as:
Reserved or preferential lanes on freeways
and city streets
Exclusive lanes to bypass congested points
Exclusive lanes at toll plazas with provi-
sion for no-stop toll collection
Conversion of selected downtown streets
to exclusive bus use
Exclusive access ramps to freeways
Bus preemption of traffic signals
Strict enforcement of reserved transit
rlghts-of-way
Special turning lanes or exemption of
buses from turning restrictions
(3) Appropriate provision for pedestrians
and bicycles, such as:
Bicycle paths and exclusive lanes
Pedestrian molls and other means of sep-
arating pedestrian and vehicular traffic
Secure and convenient storage areas for
bicycles
•Other bicycle facilitation measures
(4) Management and control of parking
through : •
Elimination of on-street parking, especially
during peak periods
Regulation ol the number and price of
public and private parking spaces
Favoring parking by snort-term users over
all-day commuters
Provision of fringe and transportation cor-
ridor parking to facilitate transfer to
transit and other high-occupancy
vehicles
Strict enforcement of parking restrictions
(5) Changes In work schedules, fare struc-
ture and automobile tolls to reduce pfeak-
perlod travel and to encourage off-peak use
of transportation facilities and transit serv-
ices. such as:
Staggered work hours
Flexible work hours
Reduced transit fares for off-peak transit
users
Increased peak-hour commuter tolls on
bridges and access routes to the city
b. Actions to reduce vehicle use in con-
gested areas through.:
Encouragement of carpoollng and other
forms of ride sharing
Diversion, exclusion and metering of auto-
mobile access to specific areas
Area licenses, parking surcharges and other
forms of congestion pricing
Establishment of car-free zones and clo-
sure of selected streets to vehicular' traf-
fic or to through traffic
Restrictions on downtown truck delivery
during peak hours
c. Actions to improve transit service.
through:
Provision of better collection, distribution
and Internal circulation services (Includ-
ing route-deviation and demand-respon-
sive services) within low-density areas
Greater flexibility and responsiveness In
routing, scheduling, and dispatching of
transit vehicles
Provision of express bua services In coor-
dination with local collection and dis-
tribution services
Provision of extensive p&rk-and-rlde aerr-
ices from fringe and transportation cor-
ridor parking areas
Provision of shuttle transit services from
Cnn fringe parking areas to downtown
activity centers
Encouragement of Jitneys and other flexi-
ble paratranslt services and their Inte-
gration In the metropolitan public trans-
portal Ion system.
Simplified fare collection systems and poli-
cies
Provision of shelters e.nd other passenger
amenities
Better passenger information systems and
services
d. Actions to increase internal transit mon-
agr.mrnt efficiency, such as:
Improve marketing
Developing cost accounting und other man-
agement tools to Improve declslonmak-
Ini*
Establishing maintenance policies • thu;
assure greater equipment reliability
Using surveillance and communication*
technology to develop real time monitor-
Inc and control capability
5. Planning assistance. Development of
the program Is an eligible activity for Inclu-
sion In the Unified Work Program for trans-
portation planning In any urbanized aren.
It can be assisted with UMTA and FHWA
planning funds. In addition. Management
Improvement planning studies can be In-
cluded In the Unified Work Program or
funded by special UMTA grants. Some local-
ities may wish to propose amendments to on-
going work programs In order to accelerate
development of the Plan. Such requests wll!
be given priority consideniyon. It Is expectwu
•that there will be relatively continuous work
activity relating to this requirement: some
feasibility studies will t&Jce longer than
others, some actions will become feasible
only after others have been defined, com-
pleted actions will have to be evaluated, am!
the program must be periodically updated
as the effects of other developments Influence
the feasibility of various actions.
6. Technical Assistance. Substantial
amounts of technical material are available
concerning possible strategies and the ac-
tions that should be considered for Inclusion
In local programs. Further research and a
number of demonstrations ars underway
which can be expected to contribute addi-
tional data to assist In evaluating tire fea-
sibility and planning the Implementation of
some actions. The FHWA and UMTA Intend
to maintain surveillance over these develop-
ments and provide timely and useful docu-
mentation to assist localities In meeting this
requirement.
7. Implementation Assistance. Implemen-
tation of actions In the local program rrmy
be eligible for assistance with UMTA Sec-
tions 3 and 5 funds and Federal-aid hlgawmy
funds (Urban Systems, Urban Extension.
Primary and Interstate).
[ PR Doc.75-3*60fl Filed »-l«-7S;8:45 iun|
PAPT 450—PLANING ASSISTANCE
AND STANDARDS
Transportation Improvement Program
The purpose of this document Is to Is-
sue final regulations which Implement
certain provisions of title 23. TJJ3.C., and
the Urban Mass Transportation Act of
1964, as amended. 49 tLS.C. 1601, et &eq.
(T7MT Act), governing the planning and
programing of urban transportaUoo
Improvements under the Federal High-
way Adxnlnlstrattoa and Urban afaea
Transportation Administration pro-
O • 0
-------
I2!)S2
RULES AND REGULATIONS
'In consideration of the forenoinf!. and
under the authority of 23 U.S.C. 10!i,
134'a1. and 13fxbi, and .sections 3. 4
and 5 of the UMT Act '49 U.S.C. 1602,
1603(ai, 1C04I. and the delegation of au-
thority by the Secretary of Transporta-
tion at 49 CPR 1.48(b> and l.SO'fi,
Chapter I of Title 23 of the Code of Fed-
eral Regulations is amended by addaig
a new Part 4!30, Subpurt C.
Effective date: The.se regulations take
effect on October 17, 1975.
Issued on: September 11. 1975.
L. P. LAMM.
Executive Director,
Federal Highway Administration.
ROBERT E. PATRICEU.I.
Urban Mass Transportation
( Administrator.
Subpart C of Part 450 is added to read
as follows:
Subpart C—Transportation Improvement
Program
Sec.
450.300 Purpose.
450.302 Applicability.
450.304 Dclinlticjiis.
450.306 Transportation Improvement Pru-
yram: general.
45U.308 Triinspoilnllon Improvement Pro-
gram, content.
150.310 Anminl • •.<.iui>n;: project, Iniiiaiion.
450.312 Annti.:! . ;.-nir::l. content.
450.314 Annu:.l r::-nu-i.l: modification.
450.310 Action i>'.|iured by Metropol:titn
Planning Organization.
450.318 Selection 01 projects for iinplondi-
tation.
450.320 Program approval.
AUTHORITY: 23 U.S.C. 105. 134ia). and 135
(b): sections 3. 4(a). and 5 of tne Urban Muss
Trausportatlon Act of 1964. n.s amended. (49
U.S.C. 1602. 1603(a), and 1604): .Mid 49 CFR
1.48 Sections 3 and 5 of the Urban Mass
Transportation Act of 1904. as amended
'UMT Act i '49 U.S.C. 1G02 and 1604-
UMTA capital and operating assistance
projects i :
'4> 23 U.S.C. 104'b' '3> ' projects on
iii-ban extensions of primary and second-
ary systcmsi, except as provided in this
subpart:
'5i 23 U.S.C. iri4'b''.T> 'projects nn
Hie In tor;- tale System', except as pro-
vided in this subpart.
'b' Projects under paragraphs < a) '4>
and 'Si of this section, which arc in-
cluded in the liiphway snfi'iy improve-
ment prosram. may be excluded from
the transportation improvement pro,". ram
at the option of the State.
'in Except as otherwise provided.
terms defined in 23 U.S.C. 101 iap are
used in this subpart :is so defined.
' bi As used herein:
"Annual element." means a list of
transportation improvement projects
proposed for implementation during the
first program year.
"Governor" means the Governor of
any one of the fifty States, and includes
the Mayor of the District of Columbia.
"Highway safety improvement pro-
gram" means a program prepared by the
State pursuant, to 23 CFR, Part 655. Sub-
part K.
"Interstate substitution projects"
means projects funded under 23 U.S.C.
103 1 4 i (Withdrawal of Interstate seg-
ments and substitution of nonhighwuy
public mass transportation projects'.
"Interstate System projects" means
projects funded under 23 U.S.C. 104' b'
•,5>.
"Metropolitan Planning Organi/ation"
IV.LMIIS that orcaniy.iuum designated by
the Governor as being responsible, to-
gether with the State, for carrying out
the provisions of 23 U.S.C. 134. as pro-
vided in 23 U.S.C. 104if i <3> . and capable
of meeting the requirements of Sections
3 ' a i '2i and i 1 ' . and 4'a1 . and 5 IK>
Hi and ih of the UMT Act (49 U.S.C.
Ifi02 in1 1 2 ' and icMli. 1603 t'a) and
1G04 iy > 1 1 ' and ' 1 ' . This organ/at ion is
the forum for cooperative decisionmak-
ing by principal elected officials of gen-
eral purpose local government.
"Transportation Improvement Pro-
gram" means a sUiged multiyear pro-
gram of transportation improvements
including an annual element.
§ •!;>(). 30<> Tr:m«[)0rl.ili(in inmr<" rnini!
projrniin: fienonil.
(a> The transportation improvement
program shall be developed and updated
annually under the direction of the
Metropolitan Planning Organization
(MPO) in cooperation with:
(1) State and local officials:
(2) Regional and local transit opera-
tors:
(3) Recipients authorized under sec-
tion 5(b> (2) or (3> of the UMT Act (49
U.S.C. 1604'b^i (2) or <3>: and
'•4> Other affected transportation •""'•
iTt'ional. planning r.nd implement;:
agencies.
ib) The transportation improvcmr
program shall consist of improveme:
recommended from the transportatir
systems management and long-ram
elements of the transix>rtation plan d-
veloped vinder S 450. 11G of this part.
'c> The program shall cover a perm
of not less than 3 years, but may at lot-:
discretion cover up to 5 or more years.
>; |.>0..'SU!> 'I rjnix|)(»rl;it ion imprm riin-r
|tnit:r.i 1:1 : <' .'hall be Initiated by
recipients authorized under section 5(bi
i2> or -3- of the UMT Act (49 U.S.C.
1004'b1 '2' or <3> '. by local transit op-
craiiiiK officials, or by principal elected
officials of general purpose local govern-
ments in cooiieration with local transit
operating officials.
'd' Proposed UMTA section 5 projects
1 49 U.S.C. 1604) shall be Initiated by
recipients authorized under section 5tbi
t2> or '3> of the UMT Act (49 U.S.C. 1604
(b> i2> or i3) i. Nothing in this subsec-
tion is intended to prohibit or discour-
age the initiation by such recipients of
projects recommended by local transit
operating officials or by principal elected
officials of general purpose local govern-
ments in cooperation with local transit
operating officials.
(e) Proposed urban extension and In-
terstate System projects shall be ini-
tlatrxi bv the ?tnfe hiVhrrnr (iron'*'.'.
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58
RULES AND REGULATIONS
§ l.">0.312 Annual rli-iiicnl: riiiili-Mt.
Estimated total cost and the
amount of Federal funds proposed to be
obligated during the program year:
'3) Proposed source of Federal and
non-Federal funds: and
(4) Identification of the recipient and
State and local agencies responsible for
carrying out the project.
fc) Projects proposed for Federal sup-
port that are not considered by the State
and MPO to be of appropriate scale for
individual inclusion in the annual ele-
ment may be grouped by functional clas-
sification, geographic area, and work
type.
The annual clement shall be rea-
sonably consistent with the amount of
Federal funds expected to be available
to | the area. Federal funds that have
been allocated to the area pursuant to
23 U.S.C. 150 shall be Identified.
(e) The total Federal share of proj-'
ects included In the annual element and
proposed for funding under section 5 of
the TIPIT Act (49 U.S.C. 1004 > may not
exc .u • pportioncd section f> funds avail-
able to the urbanized area duriiiR the
program year.
§ •I.~>0.3I I Amtll:il i-lrim-nl: im.ili lir;i-
lion.
The annual clement may be modified
at any time consistent with the proce-
dures established in this subpnrt for its
development.
§ 450.31ft Arli» llir Mrlrn-
liolilnu I'lamiing Orcimi/.iiliitn.
(a) The transportation improvement
program, including the annual clement.
shall be endorsed annually by the MPO.
(b) The MPO shall submit the trans-
portation improvement program includ-
ing the annual element:
(U To the Governor and the Urban
M;iss Transportation Administrator:
and
(2i Through the State to tho Federal
Highway Administrator.
§ l.'iO.'tlll Sclrriion 'if |in>i shall be those con-
tained hi the annual element of the
transportation improvement program
submitted by the MPO to the Urban Mass
Transportation Administrator.
'bi Upon receipt of the transporta-
tion improvement program, the State
shall include in the statewide program
of projects required under 23 U.S.C. 105: •
<1) Those projects drawn from the
annual element and proi>osed to be im-
plemented with Federal assistance under
23 U.S.C. 104'bM6> (Federnl-aid urban
system) and 103'eii4) (Withdrawal of
Interstate segments and substitution of
public mass transportation projects", in
which it concurs: provided, however, that
in any case where the State does not
concur in a nonhighway public mass
transportation project, a statement de-
scribing the reasons for the nonconcur-
rence shall accompany the statewide
program of projects: and
(2 > Those projects drawn from the
annual element and proposed lo be im-
plemented with Federal assistance under
23 U.S.C. 104(b>(3" (Extensions of the
Federal-aid primary and secondary sys-
tems in urbanized areas) and 23 U.S.C.
104' b 1 1 5> (Interstate System projects in
urbani/.ed areas) : and
cj.) Those projects not drawn from
the annual element that arc proposed
to be implemented with Federal assist-
ance under 23 U.S.C. 104(b> i3) (projects
on urban extensions of primary and sec-
ondary systems) and 23 U.S.C. 104(b> (5)
(projects on the Interstate System"
provided that:
( i) Such project or projects were initi-
ated pursuant to § 450.310iei of this sub-
part: and
(ii) Such project or projects are for
highway transportation improvements
for which there has been a Federal au-
thorization to acquire right-of-way or
Federal approval of physical construction
or implementation where right-of-way
acquisition was not previously federally
funded.
u- * For each project under paragraph
'b> i3> of this section a statement shall
accompany the statewide program of
projects which shall:
( 1 " Include the views of the MPO; and
(2) Indicate how the requirements of
23 U.S.C. 134(a) have been met.
(d) The preparation and endorsement
of the transportation improvement pro-
gram and the selection of projects in
accordance with these regulations will
meet the requirements of 23 U.S.C. 105
i di. 23 U.S.C. 134 uo. and section 5(g) (2)
of the UMT Act (49 U.S.C. 1004(g) (2) ) .
The State shall notify the MPO
of actions taken under paragraph ib>
of this section.
Upon the determination by the
Federal Highway Administrator and the
Urban Mass Transportation Administra-
tor that the transportation improvement
program or portion thereof is in con-
formance with this subpart. and that the
area is under planning certification, pro-
grams of projects selected for implemen-
tation under S 450.318 of this subpart,
will be considered for approval as
follows:
(1> Federal-aid urban system projects
included in the statewide program of
projects under 23 U.S.C. 105 will be rip-
proved by:
(ii The Federal Highway Administra-
tor with respect to highway projects:
(iii The Urban Mass Transportation
Administrator with respect to nonhigh-
way public mass transportation projects;
and
' iii i The Federal Highway Adminis-
trator and the Urban Mass Transporta-.
tion Administrator jointly in any case
where the statewide program of projects
submitted pursuant to 23 U.S.C. 105 does
not include all Federal-aid urban sys-
tem nonhighway public mass transporta-
tion projects contained in the annual
element.
12i Interstate substitution nonhigh-
way public mass transportation projects
included in the. statewide program of
projects under 23 U.S.C. 105 will be ap-
proved by the Urban Mass Transporta-
tion Administrator.
i3> Projects proposed to be imple-
mented under sections 3 and 5 of the
UMT Act (49 U.S.C. 1G02 and 1G04) in-
cluded in the annual clement of the
transportation improvement program
will be approved by the Urban Mass
Transportation Administrator alter con-
sidering any comments received from the
Governor within 30 days of the submittal
required by § 450.316(b) (1) of this
subpart.
(4) Federal-aid urban extension and
Interstate projects included in the state-
wide program of projects under 23 U.S.C.
105 will be approved by the Federal
Highway Administrator.
(b) Approvals by the Federal High-
way Administrator or joint approvals by
the Federal Highway Administrator and
Urban Mass Transportation Administra-
tor will be in accordance with the provi-
sions of this subpart and with 23 CFR
G30. Subpart A. Approvals granted under
this section will constitute:
(1) The approval required under 23
U.S.C. 105; and
(2) A finding that the program Is based
on a continuing, comprehensive planning
process carried on cooperatively by the
States and local communities in accord-
ance with the provisions of 23 U.S.C. 134.
ic> Approvals by the Urban Mass
Transportation Administrator will be in
accordance with the provisions of this
subpart and with other applicable provi-
sions of 49 CFR G13. Subpart B. These
approvals will constitute:
il> The approval required under sec-
tion 51 IT ' el' of the UMT Act (49 U.S.C.
HiO-lig >(2> > :
iji A finding that the projects are
based on a continuing comprehensive
transportation planning process carried
ou in accordance with the provisions of
.sci-lions 3'a'iji or 5igMl> of the UMT
Act (49 U.S.C. 1602(a)i2> or 1601
11' i. as Applicable: and
(31 A finding that the projects are
needed to carry out a program for a uni-
fied or officially coordinated urban trans-
portation system in accordance with the
provisions of sections 4(a) or 5(1) of the
UMT Act (49 U.S.C. 1603(a) or 1604(1)),
as applicable.
|FR Doc.75-2'4G97 Filed 9-l&-75;8:45 am)
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429S4
RULES AND xifGULATIONS
Title 49—Transportation
CHAPTER VI—URBAN MASS TRANSPOR-
TATION ADMINISTRATION, DEPART-
MENT OF TRANSPORTATION
PART 613—PLANNING ASS'STANCE
AND STANDARDS
Urban Transportation Planning
The purpose of this document is to is-
sue final regulations implementing cer-
tain provisions of Title 23, United States
Code, and the Urban Mass Transporta-
tion Act of 1964, as amended (49 U.S.C.
"'101, et seq.), which govern urban trans-
portation planning under the Federal
Highway Administration (FHWA) and
Urban Mass Transportation Administra-
tion (UMTA) programs.
In the November 8, 1974, edition of
the FEDERAL REGISTER (39 PR 39660),
FHWA and UMTA published a notice of
proposed rulemaking to add a new Part
450, Subpart A, to 23 CFR. Chapter I.
and a new Part 613, Subpart. B, to 49
CFR, Chapter VI.
The final regulations are published in
full under 23 CFR, Part 450, Subpart A.
The purpose of the regulations published
below is to incorporate 23 CFR. Part 450,
Subpart A, into 49 CFR, Part 613, Sub-
part A. The original notice indicated
that the Urban Transportation Plan-
ning regulation's under 23 CFR, Part
450, Subpart A, were to be incorporated
Into 49 CFR, Part 613, Subpart B. For
reasons of continuity, these regulations
ace published as being incorporated into
49 CFR, Part 613, Subpart A rather than
Suboart B.
The preamble to the joint FHWA/
UMTA regulations, Title 23, CFR Part
450, Subpart A, published at page 42976 of
this edition of the FEDERAL REGISTER and
to be incorporated by reference In 49
CFR, Part 613, Subpart A, is hereby in-
corporated as the preamble for the fol-
lowing regulations.
Pursuant to Sections 3, 4'a), and 5 of
the Urban Mass Transportation Act of
1964, as amended (49 U.S.C. 1602, 1603
(a) and 1604), and 23 U.S.C. 104(fH3),
134, and 315, and the delegation of au-
thority by the Secretary at 49 CFR 1.48
(b) and 1.50(0, Chapter VI of-/Title 49
of the Code of Federal Regulations is
amended by adding a new Subchapter B,
Part 613, Subpart A. as set forth below.
Effective date: These regulations take
effect on October 17,1975.
Issued on: September 11. 1975.
L. P. LAMM,
Executive Director.
Federal Highway Administration.
ROBERT E. PATRICELLI,
Urban Mass Transportation
'Administrator.
Subpart A of Part 613 io added as set
forth below:
Subpart A—Urban Transportation Planning
Sec.
613.100 Urban transportation planning.
AVTHOKITY: 23 U.S.C. 104(1) (3), 134, and
315; i! 3, 4(a), and 5 of the Urban Mass
Transportation Act of 1964, as amended (49
TJ.S.C. 1602, 1603(a), and 1604); 43 CFR
§§ 1.48(b) and 1.50(f).
Subpart A—Urban Transportation
Planning
§613.100. Urban Irniisporlntioii plun-,
ning.
The urban transportation planning
regulations implementing 23 U.S.C. 134
and sections 3, 4(a), and 5(g) <1) and in
of the Urban Mass Transportation Act
of 1964. as amended (49 U.S.C. 1602.
1603(a) and 1604(g.xi) and (/)>. which
require comprehensive planning of
transportation improvement.1; which are,
set forth in 23 CFR Part 450, Subpart A.
are incorporated into this subpart.
|FR Doc.75-24698 Filed 9-16-75:8:45 am|
PART 613—PLANNING 'ASSISTANCE
AND STANDARDS
Transportation Improvement Program
The purpose of this document is to issue
final regulations which implement cer-
tain provisions of title 23, United States
Code, and the Urban Mass Transporta-
tion Act of 1964, as amended, 49 U.S.C.
1601, et seq., governing the planning and
programing, of urban transportation im-
provements under the Federal Highway
Administration (FHWA) and Urban
Mass Transportation Administration
(UMTA i programs.
In the November 8. 1974. edition of the
FEDERAL REGISTER i39 FR 39665), FHWA
and UMTA published a notice of pro-
posed rulemaking to add a new Part 450,
Subpart C, to 23 CFR, Chapter I. and a
new Part 613, Subpart A. to 49 CFR,
Chapter VI.
The final regulations are published in
full under 23 CFR, Part 450. Subpart C.
The purpose of these regulations, pub-
lished below, is to incorporate 23 CFR.
Part 450, Subpart C. into 49 CFR. Part
613. Subpart B, and to set forth certain
additional requirements applicable to the
UMTA administered program. The origi-
nal notice indicated that the Transpor-
tation Improvement Program regulations
under 23 CFR. Part 450. Subpart C. were
to be incorporated into 49 CFR, Pavt 613.
Subpart A. For reasons of continuity,
ther.e regulations are published as beitifr
incorporated into 49 CFR. Part 613. Sub-
part B rather than Subpart A.
The preamble to the joint FIIWA-
UMTA regulations, Title 23 CFR. Part
450, Subpart C, published at page 42976
of this edition of the FEDERAL REGISTER.
and to be incorporated by reference in
49 CFR Part 613, Subpart B, is hereby
incorporated as the preamble for the fol-
lowing regulations.
Pursuant to sections 3, 4ia) and 0 of
the Urban Mass Transportation Act of
1964, as amended (49 U.S.C. 1602, 1C03
(a), and 1604) and 23 U.S.C. 105, 134.
and 135I>4. ns amended H!>
U.S.C. 1602. 1603(n). and ll>04): and «M!i
CFR 1.48(b) and 1.50(f).
Subpart B — Transportation Improvement
Program
§ (> I 3.200 'I r:m*portal 14111 lni|iro\ rnirnt
The transportation improvement pro-
gram regulations establishing guidelines
l&r thr development, content, and proc-
c^sing of a cooperatively developed trans-
portation improvement program in ur-
banized areas and also presrribing guide-
lines for ihe selection, by implementing
agencies, of annual programs of projects
to be advanced in urbanized areas which
nrc set forth in 23 CFR Part 450. Subpiirt
C. are incorporated into this subpart.
S <> I .'J.-02 Additional criteria for urlcm
ni:i.«s h-ansporlulir.il Ailinini-lrnlor'-
:ili|>n»:iU mi(l for all projects
proposed for implementation with Fed-
eral assistance under sections 3 and 5 ol
the Urban Mass Transportation Act of
196-1. as amended (23 U.S.C. 1602 and
1604). in urbanized areas having a pop-
ulation of 200.000 or more.
(b> After March 30, 1976. the Urban
Mass Transportation Administrator will
grant program approval for projects
under paragraph (a) of this section only
after he has determined that:
i i i The transportation plan developed
pursuant lo 23 CFR 450.116 contains a
Transportation System Management
'TSM > clement; and
i iii The annual element of the trans-
portation improvement program devel-
oped pursuant to 23 CKR 450.118 con-
tains projects drawn from the TSM
dement.
'c> Ailer Marr:h 30. 1977. the Urban
Mass Transportation Administrator will
grant program approval for projects
under paragraph
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