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1992 Transportation & Air Quality Planning Guidelines
Click HERE for graphic. The 1992 Transportation & Air Quality Planning Guidelines are provided in response to Section I08(e) of the Clean Air Act, as amended November 15, 1990 (CAAA), which directs the Administrator of the Environmental Protection Agency (EPA) to "update the 1978 Transportation-Air Quality Planning Guidelines and publish guidance on the development and implementation of transportation and other measures necessary to demonstrate and maintain attainment of national ambient air quality standards." Table of Contents Chapter 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Publication Content. . . . . . . . . . . . . . . . . . . . . . . . 1 Background on the Clean Air Act Amendments . . . . . . . . . . . . 2 Overview of the Air Quality Planning Process . . . . . . . . . . .21 Lead Planning Organization . . . . . . . . . . . . . . . . . . . .22 Planning Requirements and Procedures . . . . . . . . . . . . . . .23 Overview of the Transportation Planning Process . . . . . . . .25 Integration of Transportation and Air Quality Planning . . . . . .30 Chapter 2 Considerations in the Planning Process . . . . . . . . . . . . . .31 Planning Procedures. . . . . . . . . . . . . . . . . . . . . . . .31 Considerations for Inventory/VMT Estimates . . . . . . . . . . . .33 Considerations for Transportation Control Measures. . . . . . .35 Considerations for PM-10 . . . . . . . . . . . . . . . . . . . . .37 Conformity . . . . . . . . . . . . . . . . . . . . . . . . . . . .39 Public Participation . . . . . . . . . . . . . . . . . . . . . . .41 Chapter 3 Some Case Studies. . . . . . . . . . . . . . . . . . . . . . . . .43 Relevant Publications. . . . . . . . . . . . . . . . . . . . . . .60 Tables: 1 pg. 8; 2 pg. 12; 3 pg. 15; 4 pg. 18; 5 pg. 27; 6 pg.44; 7 pg. 45; 8 pg. 46; 9 pg. 47; 10 pg. 48; 11 pg. 50. Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . .62 Chapter 1 Introduction The 1990 Clean Air Act Amendments (CAAA) direct the Administrator of the Environmental Protection Agency (EPA) to "update the 1978 Transportation & Air Quality Planning Guidelines and publish guidance on the development and implementation of transportation and other measures necessary to demonstrate and maintain attainment of national ambient air quality standards." This document provides guidelines and guidance to State and local government officials to assist them in planning for transportation related emissions reductions that will contribute to the attainment and maintenance of the national ambient air quality standards (NAAQS) for ozone, carbon monoxide and particulate matter (PM10). Publication Content The introduction of the publication provides an overview and summary of: the transportation related provisions of the Clean Air Act Amendments, the air quality planning process, the transportation planning process, and an overview of the document. Chapter 2 addresses many of the considerations involved in the planning process including: development of planning procedures, critical questions that need to be considered in the planning process, funding, and public participation. Chapter 3 provides examples of draft planning procedures proposed by two States and an example memorandum of understanding (MOU) from the State of Michigan pursuant to Section I74 of the CAAA. This memorandum assigns joint responsibilities between the State and the MPO for planning purposes. Appendix A includes a list of abbreviations used throughout the text. Appendix B includes an annotated list of references. Appendix C includes relevant sections of the CAAA. Appendix D includes relevant sections of transport%wion laws. Appendix E includes an expanded summary of transportation related provisions of the CAAA. Appendix F includes a summary table with the State submittals and actions required by the Act. Appendix G contains selected portions of the Intermodal Surface Transportation Efficiency Act of 1991. Background on the Clean Air Act Amendments Since 1968, when the first emission controls were installed on motor vehicles and 1974, when the first motor vehicle emissions inspection and maintenance (I/M) programs were instituted, significant emissions reductions have been achieved by the Federal Motor Vehicle Control Program (FMVCP) and the States' vehicle I/M programs. However, benefits from these emissions reductions have been increasingly eroded by the growth in vehicle use. The United States has experienced substantial growth in vehicle miles traveled (VMT). Nationally, VMT has grown at rates three to four times higher than the rate of population growth, and in some urban areas, VMT has increased by five to eight percent per year. Continued increases in VMT will eventually result in increased emissions despite the FMVCP and I/M and make it more difficult to maintain air quality improvements over the long term. The 1977 CAAA were the first to focus strongly on the widespread NAAQS nonattainment problem and the substantial contribution of the transportation sector to urban air pollution. Nonetheless, by the final date for attainment of the NAAQS, in December 1987, most large urban areas across the country had not attained the national air quality standards for either ozone or carbon monoxide. Concurrently, the number of urban area experiencing increases in violations of the particulate matter standards also increased. Although transportation control measures (TCMs) are mentioned prominently as part of a potential attainment strategy in the 1977 Act, the law lacked specificity regarding the control measures to be adopted by the States. As a result, few TCMs were adopted by the States and incorporated into the State Implementation Plans (SIPs). Currently, there are approximately 120 nonattainment areas in the United States. More than 90 urban areas fail to meet the national standard for ozone, and more than 40 areas fail to meet the carbon monoxide standard. More than 60 areas are in nonattainment for PM-10, fourteen of which are being elevated from moderate to serious nonattainment. Mobile source emissions contribute significantly to the air pollution problems in many of the cities. An estimated 30 - 70 percent of ozone precursors, and up to 90 percent of carbon monoxide pollution is attributed to motor vehicles. Diesel vehicles alone produce almost 50 percent of the PM-10 in New York City. The Clean Air Act Amendments of 1990 (CAAA) establish a process of designation and classification of areas of the country with regard to nonattainment of the standards. The amendments establish new attainment deadlines and new requirements for the State air quality implementation planning process. Title I of the Act presents the overall framework and strategies for attaining the national ambient air quality standards. The provisions of this title consider a number of technological and non-technological approaches to emissions reductions. Unlike the previous statute which had a single attainment date for all areas with the possibility of a one-time extension of the date, the new Act classifies areas according to the severity of their air quality problems, and attainment dates ranging from three to twenty years hence are assigned for each classification. The requirements and control measures for motor vehicles become increasingly rigorous and prescriptive as the nonattainment classifications increase in severity. Areas classified as "marginal" for ozone nonattainment must submit comprehensive inventories including transportation emission sources and must undertake immediate corrections to previously adopted but inadequate vehicle inspection/maintenance (I/M) programs. Areas classified as "moderate" must accomplish these tasks as well as develop additional plans and programs which will achieve a 15 percent reduction in volatile organic compounds (VOCs) within six years from the date of enactment. Moderate areas which have not already adopted I/M programs must do so. In addition to meeting the requirements for the moderate areas, serious nonattainment areas must implement a variety of programs which include: reducing VOC emissions by an additional 3 percent per year beyond 1996, establishing a clean fuels program for commercial fleets, and adopting an enhanced I/M program (if the 1980 urban population exceeds 200,000). "Severe" and "extreme" nonattainment areas must also adopt TCMs necessary to offset emissions increases from increases in either VMT or vehicle trips and to meet the Act's reasonable further progress (RFP) and attainment requirements. In addition, they must adopt employer trip reduction provisions (ETR) which require employers with more than 100 employees to increase the average passenger occupancy (APO) during commute trips by no less than 25% above the average vehicle occupancy (AVO) for the nonattainment area. Title II of the Act includes new requirements for cars, trucks, and buses, and the fuels they use, in order to further limit air pollution emissions at the source. There is a five-year phase-in, beginning in 1994, of tougher tailpipe emission standards for cars and light trucks with the possibility of even stricter limits if necessary. EPA is also directed to issue more stringent emission standards for urban buses. There are requirements for controlling evaporative emissions from vehicles and refueling emissions and for developing and marketing less polluting fuels (reformulated gasoline, low-sulfur diesel fuel, etc.). To stimulate development of alternative fuel technologies, Title II outlines the clean-fuel fleet vehicle program which will be introduced in the worst nonattainment areas. A pilot program for alternative-fueled cars is to be implemented in California. The CAAA establish milestones for monitoring a nonattainment area's progress during the time period allotted for reaching attainment. The reasonable further progress (RFP) milestones are designed to keep the nonattainment areas moving toward attainment of the NAAQS. If the RFP milestones are not achieved, the CAAA mandate the implementation of contingency measures. Tables 1 and 2 summarize the Clean Air Act requirements by nonattainment area classification for ozone and carbon monoxide. Tables 3 and 4 summarize transportation-related requirements by deadlines for program submittal and include listings of relevant documents and references. Appendix C contains relevant Sections of the CAAA. Appendix E contains a more detailed summary of the transportation-related provisions of the CAAA. Appendix F contains a summary table of the required State SIP submittals and actions by submittal deadline. Appendix G contains selected portions of the Intermodal Surface Transportation Efficiency Act of 1991. TABLE 1 SPECIFIC TRANSPORTATION-RELATED PROVISIONS OF THE CLEAN AIR ACT AMENDMENTS OF 1990 (CAAA) BY OZONE NONATTAINMENT AREA CLASSIFICATIONS Marginal Albany, NY Allentown, PA-NJ Altoona, PA Birmingham, AL Buffalo, NY Canton, OH Cherokee Co, SC Columbus, OH Door Co, WI Edmonson Co, KY Erie, PA Essex Co, NY Evansville, IN-KY Greenbrier Co WV Hancock & Waldo Co.s, ME Harrisburg, PA Indianapolis, IN Jefferson Co, NY Jersey Co, IL Johnstown, PA Kent & Queen Anne's MD Knoxville, TN Lake Charles, LA Lancaster, PA Lexington, KY Manchester, NH Memphis, TN-AR-MS Norfolk, VA Owensboro, KY Paducah, KY Portland,OR Poughkeepsie, NY Reno, NV Scranton, PA Seattle-Tacoma, WA Smyth Co, VA South Bend, IN Sussex Co, DE Tampa, FL Walworth Co. WI York, PA Youngstown, OH Sharon, PA - These areas exceed the ozone standard of .12 parts per million (ppm) by 15 percent or less (.121 ppm up to .138 ppm), and are required to attain the standard within 3 years of enactment (11/15/93). - Emission inventories are due within 2 years of enactment. Revised emission inventories are required at the end of each 3-year period until attainment. - These areas must correct existing or previously required inspection/maintenance (I/M) programs. - These areas will be reclassified as moderate nonattainment areas if they fail to attain the standard by the deadline (plus up to two one-year available extensions). Moderate Atlantic City, NJ Charleston, WV Charlotte, NC-SC Cincinnati, OH-KY-IN Cleveland, OH Dallas, TX Dayton, OH Detroit, MI Grand Rapids, MI Greensboro, NC Huntington, WV-KY-OH Kewaunee Co, WI Knox & LincolnCo.s, ME Lewiston, ME Louisville, KY-IN Manitowoc Co, WI Miami, FL Monterey Bay, CA Nashville, TN Parkersburg, WV-OH Phoenix, AZ Pittsburgh, PA Portland, ME Raleigh, NC Reading, PA Richmond, VA Salt Lake City, UT San Francisco, CA Santa Barbara, CA St Louis, MO-IL Toledo, OH - These areas exceed the standard by 15 percent to 33 percent (.138 ppm to .160 ppm), and are required to attain the standard in 6 years (11/15/93). Moderate areas must meet marginal area requirements. - In addition to meeting marginal area requirements, moderate areas have to submit SIP revisions within 3 years of enactment demonstrating volatile organic compound (VOC) reductions, within 6 years of enactment of at least a 15 percent from 1990 baseline emissions, while accounting for any growth in emissions after enactment. (Additional requirements for major Nox sources apply in certain areas.) - Contingency measures be implemented if the area fails to make reasonable further progress or attain the NAAQS by the attainment date. These measures are to be included in the SIP and are to take effect without further action by the State or EPA. - These areas must adopt basic I/M programs. - These areas will be reclassified as serious nonattainment areas if they fail to attain the standard by the deadline (plus up to two one-year available extensions). Serious Atlanta, GA Baton Rouge, LA Beaumont, TX Boston, MA-NH (east MA) El Paso, TX Greater Connecticut Muskegon, MI Portsmouth, NH-ME Providence, RI Sacramento, CA San Joaquin Valley, CA Sheboygan, WI Springfield, MA Washington, DC-MD-VA - These areas exceed the standard by 33 percent to 50 percent (.160 ppm to .180 ppm), and are required to attain the standards in 9 years (11/15/99). Serious areas must meet moderate area requirements. - In addition to meeting moderate area requirements, these areas have to submit SIP revisions within 4 years of enactment that demonstrate VOC reductions that average 3 percent per year each consecutive 3-year period beginning 6 years after enactment. - These areas must submit SIP revisions within 42 months of enactment establishing clean-fuel vehicle programs, mandating that certain percentages of new fleet vehicles be clean-fuel vehicles and use clean-fuels within the nonattainment area, including measures to make the use of clean alternative fuels economical to clean-fuel vehicle owners. - Beginning 6 years after enactment and each 3-year period thereafter, the State has to submit a demonstration as to whether vehicle emissions, congestion levels, vehicle miles traveled (VMT), and other relevant parameters are consistent with those used in the SIP; if not the State has 18 months to submit SIP revisions that include transportation control measures (TCMs) to reduce emissions to levels consistent with SIP levels. - In addition to the contingency provisions required under Section I72(c)(9), the SIP shall provide for implementation of specific measures to be undertaken if the area fails to meet any applicable milestone. - These areas must adopt enhanced I/M programs if the 1980 urban population exceeds 200,000. - These areas will be reclassified as severe nonattainment areas if they fail to attain the standard by the deadline (plus up to two one-year available extensions). Severe Baltimore, MD* Chicago, IL-IN-WI* Houston, TX* Milwaukee, WI New York NY-NJ-CT* San Diego, CA* Philadelphia, PA-NJ-DE-MD Ventura Co. CA South East Desert Modified AQMA, CA - These areas exceed the standard by 50 percent to 133 percent (.180 ppm - .280 ppm). Areas with design values from .180 - .189 ppm are required to attain the standards in 15 years (11/15/05). *Areas with design values from .189 - .280 ppm are required to attain the standards in 17 years (11/15/07). Severe areas must meet serious area requirements. - In addition to meeting serious area requirements, these areas must submit SIP revisions within 2 years of enactment, which identify and adopt TCMs to offset growth in emissions from growth in trips or VMT. - Within 2 years of enactment, SIP revisions are due that require employers of 100 or more to increase the average passenger occupancy per vehicle for work trips by not less than 25 percent above the average for all work trips in the area. The average vehicle occupancy for the nonattainment area needs to be established at the time of the SIP submittal. The affected employers have to submit compliance plans within 2 years of the SIP revision (within 4 years of enactment) demonstrating compliance not later than 4 years after the revision (within 6 years of enactment). - Severe areas which fail to attain the standard by the deadline are subject to mandatory fees on stationary emission sources and the more stringent new source review requirements applicable to extreme areas. Extreme Los Angeles, CA - The area exceeds the standard by more than 133 percent (.280 ppm and above), and has 20 years to attain (11/15/10). - Extreme areas must meet severe area requirements. - In addition to meeting severe area requirements, each SIP revision may contain measures to reduce the use of high polluting vehicles or heavy-duty vehicles during heavy traffic hours. - Extreme areas which fail to attain the standard by the deadline must submit a SIP revision within nine months to implement a program of economic incentives and transportation controls. TABLE 2 SPECIFIC TRANSPORTATION-RELATED PROVISIONS OF THE CLEAN AIR ACT AMENDMENTS OF 1990 (CAAA) BY CARBON MONOXIDE (CO) NONATTAINMENT AREA CLASSIFICATIONS Moderate Albuquerque, NM Anchorage, AK Baltimore, MD Boston CMSA (& Planning Area), MA-NH Chico, CA Cleveland-Akron-Lorain, OH Duluth, MN-WI Colorado Springs, CO Denver-Boulder, CO El Paso, TX Fairbanks Ed, AK(Non-MSA) Fort Collins-Loveland, CO Fresno, CA Greensboro-Winston Salem-H. Point, NC Hartford CMSA (& Planning Area), CT Josephine Co., OR (Grants Pass, Non-MSA) Klamath Co., OR (Klamath Falls, Non-MSA) Las Vegas, NV Medford, OR Memphis, TN-AR-MS Minneapolis-St. Paul, MN-WIMissoula Co., MT (Non-MSA) Modesto, CA New York- New Jer.-Long Is., NY-NJ-CT Philadelphia-Wilm.-Trent., PA-NJ-DE-MD Phoenix, AZ Portland-Vancouver, OR-WA Provo-Orem, UT Raleigh-Durham, NC Reno, NV Sacramento, CA San Diego, CA San Francisco-Oakland-San Jose, CASeattle-Tacoma, WA Spokane, WA Stockton, CA Syracuse, NY Washington, DC-MD-VA - these areas exceed the 8-hour CO standard of 9 parts per million (ppm) by not more than 82 percent (9.1 ppm to 16.4 ppm), and are required to attain the standard by December 31, 1995. - emissions inventories are due within 2 years of enactment with revised inventories no later than September 30, 1995, and no later than the end of each 3-year period thereafter until attainment. - states with CO nonattainment areas which have CO design values of 9.5 ppm and above based on 1988 and 1989 data, or for any 2-year period after 1989, must submit SIP revisions requiring any gasoline sold in the metropolitan statistical area (MSA) or consolidated metropolitan statistical area (CMSA) to contain not less than 2.7 percent oxygen by weight. This requirement must be in effect for not less than 4 months per year. Those areas with design values of 9.5 ppm or more on the date of enactment of the CAAA must provide for the requirement to take effect no later than November 1, 1992. Areas that reach the design value after enactment must provide for the requirements to take effect no later than November 1, of the third year after the 2-year period for which the design value is determined. - for those areas with design values above 12.7 ppm, State Implementation Plan (SIP) revisions (due no later than 2 years of enactment) have to contain vehicle miles traveled (VMT) forecasts for each year until the attainment date, based on the Environmental Protection Agency's guidance; the SIPs have to provide for annual updates of forecasts, and annual reports regarding the forecast accuracy. The SIPs must include contingency provisions to be undertaken if actual or projected VMT exceed the prior forecast. - these areas are required to correct existing or previously required inspection and maintenance (I/M) programs, with those areas with design values above 12.7 and a 1980 urban population greater than 200,000 being required to adopt enhanced I/M programs. - these areas will be reclassified as serious nonattainment areas if they fail to attain the standard by the deadline (plus two one-year available extensions). Serious Los Angeles-South Coast Air Basin, CA - These areas exceed the 8-hour CO standard by 83 percent or more (16.5 ppm and higher), and are required to attain by December 31, 2000. *Winnebago and Steubenville-Weirton may apply for waivers from mobile source controls, based on a determination, yet to be made, that mobile sources do not contribute significantly to CO levels. - Serious areas have to meet the requirements for moderate areas with design values of 12.7 ppm or greater. - In addition to meeting moderate area requirements, States with serious areas have to submit SIP revisions within 2 years of enactment that include transportation control measures to reduce CO emissions and offset emission increases from growth in VMT, employer trip reduction programs, and require the seasonal use of oxygenated fuel for the MSA or CMSA, whichever is larger. The oxygen content must be sufficient, in combination with other measures, to provide for attainment of the CO standard by the applicable attainment date. The oxygenated fuels requirement is to be in effect no later than October 1, 1993. - Attainment demonstrations have to include annual emission reduction milestones; if the areas fail to meet the milestones, a SIP revision to implement economic incentives and a transportation control program is required TABLE 3 TRANSPORTATION-RELATED REQUIREMENTS Ozone Nonattainment Areas Click HERE for graphic. Click HERE for graphic. Click HERE for graphic. TABLE 4 TRANSPORTATION-RELATED REQUIREMENTS Carbon Monoxide Nonattainment Areas Click HERE for graphic. Click HERE for graphic. Overview of the Air Quality Planning Process The Act requires States to achieve the NAAQS in order to provide an adequate safety margin for the protection of public health and to protect against known and anticipated adverse effects on public welfare. The State's commitment to attaining the NAAQS is outlined in the State Implementation Plan (SIP), a planning document that, when implemented, is designed to insure the achievement of the NAAQS. Each State currently has a SIP in place, and the CAAA require that SIP revisions be made periodically within the next several years. SIPs include, among other elements,the following: - Inventories of emissions from point, area, and mobile sources. - Statutes and regulations adopted by the State Legislature and executive agencies. - Air quality analyses that include a demonstration that adequate controls are in place to reduce emissions sufficiently to meet the NAAQS. - Contingency measures to be undertaken if an area fails to make reasonable further progress or to attain the air quality standards by the applicable attainment date. The SIP must be submitted to public hearings and approved by the Governor of the State or an appointed designee prior to submittal to EPA. The approved SIP serves as the State's commitment to actions that will reduce or eliminate air quality problems. Once approved by EPA, the SIP becomes part of the Code of Federal Regulations and is federally enforceable. Any subsequent changes must go through the formal SIP revision process specified in the Act. Lead Planning Organization An important first step for States in the air quality planning process is certification of the Lead Planning Organization (LPO). States with ozone, CO, or PM-10 nonattainment areas are urged to take actions to insure that the LPO is certified as soon as possible. Once certified, the LPO can expedite the planning process for implementation of the CAAA requirements. In most cases, State air quality agencies have been designated the Lead Planning Organization (LPO) by the governor of the State and have had primary responsibility for preparing SIPs. Historically, the LPOs have delegated portions of the SIP preparation to State transportation agencies, regional and metropolitan planning organizations (MPO), and/or councils of governments. Guidance regarding the certification of LPO's is included in the General Preamble to Title I of CAAA (FR 13498, April 16, 1992) and Section I74 of the CAAA. The General Preamble indicates that States will have two options available to them. One option is to continue to use the planning organization previously certified. A second option is to certify a new planning organization. Section I74 of the CAAA requires that if a new planning organization is certified by a State, it must include elected officials of local governments in the affected area and representatives of: - the State air quality planning agency, - the State transportation planning agency, - the MPO designated to conduct the continuing cooperative and comprehensive transportation planning process for the area under Section 134 of Title 23, United States Code, - the organization responsible for the air quality maintenance planning process, and - any other organization with responsibilities for developing, submitting or implementing the SIP. Regardless of which certification option is selected, States should notify their Regional EPA office of their LPO selection and certification prior to SIP submission. Planning Requirements/Procedures There have been significant changes in the planning requirements under Section I74 of the CAAA. Previously, planning procedures applied only to ozone and CO nonattainment areas. Under the amended Act, Section I74 of the 1990 CAAA applies to PM-10 nonattainment areas in addition to ozone and CO nonattainment areas. States with areas in nonattainm- ent for ozone, CO, or PM-10, must jointly review and update, as necessary, their pre-1990 planning procedures with affected local governments. In preparing these procedures the State and local elected officials must determine which elements of a revised SIP will be developed, adopted, and implemented by the State and which elements will be carried out by other local, regional, or State entities. Changes in planning procedures should be reported to EPA Regional offices prior to the inventory SIP submittal, due in November of 1992. Chapter 2 of this document contains a more detailed discussion of the planning procedures related to Section I74. Relevant guidance on Section I74 is contained in Appendix U (40 CFR Part 51). Sections 3.2-3.4 of Appendix U provide guidance on joint determination of responsibili- ties. Although the dates, some procedures, and documents contained in Appendix U are not current, the information contained within is useful. An example of an agreement outlining the joint determination of responsibilities, pursuant to Section I74, is contained in Appendix G of this document. The State of Michigan's Memorandum of Understanding (MOU) with the Southeast Michigan Council of Governments (SEMCOG) is a solid framework upon which to model joint determination of responsi- bilities agreements. Funding The Administrator of the Environmental Protection Agency makes grants under Section I05 of the Act to air pollution control agencies for programs designed to attain the national air quality standards. Fundable activities include planning, developing, establishing, and carrying out programs which are contained in the SIP. During fiscal year 92, more than $164 million was appropriated for Section I05 planning grants to the States. Overview of the Transportation Planning Process It is the stated purpose of U.S. transportation policy to encourage and promote the development of transportation systems embracing various modes of transportation in a manner which will efficiently maximize mobility of people and goods within and through urbanized areas and minimize transportation-related fuel consumption and air pollution. To accomplish this objective, metropolitan planning or- ganizations, in cooperation with the State, develop transportation plans and programs for urbanized areas of the State which provide for the construction or funding of transportation facilities (including pedestrian walkways and bicycle transportation facilities). The process for developing these plans and programs is required to be continuing, cooperative, and comprehensive to the degree appropriate, based on the complexity of the transportation problems. A metropolitan planning organization (MPO) is designated for each urbanized area of more than 50,000 population by agreement between the Governor and units of local government which together represent at least 75 percent of the affected population. For areas designated as nonattainment for ozone or carbon monoxide under the CAAA, the bound- aries of the metropolitan area for planning purposes are to include the entire nonattainment area except as otherwise provided by agree- ment between the MPO and the Governor. There are two products associated with the transportation planning process: transportation plans and transportation improvement programs (TIPs). The transportation plan describes long term policies, strate- gies, goals, and existing and proposed facilities and programs to enhance mobility over a 20 year forecast period. Plans in urbanized areas with more than 200,000 in population must also include an analysis of transportation systems management and transportation demand management to reduce congestion. All transportation plans must indicate resources from public and private sources that are reasonably expected to be made available to carry out the plan and to recommend any innovative financing techniques which may be needed. The TIP is developed by the MPO in cooperation with the State and affected transit operators. The TIP includes either an annual or a biennial listing of specific transportation projects which are pro- posed for Federal funding, and which will, when implemented achieve the goals of the transportation plan. The TIP details the area's priorities, includes realistic estimates of the total costs and revenues for the program period, and covers a 3 year time frame. Before approving a TIP, the MPO must provide citizens, affected public agencies, representatives of transportation agency employees, private providers of transportation, and other interested parties an opportunity to comment. THIS SPACE INTENTIONALLY LEFT BLANK FUNDING The 1991 Intermodal Surface Transportation Efficiency Act (ISTEA) is a major source of funding for transportation and air quality planning. ISTEA authorizes more than $155 billion in funding for highways, highway safety, and mass transportation over the next six years. The $24 billion "Surface Transportation Program" provides funding for transit, highway, or non-motorized transportation projects, with flexibility to transfer substantial amounts from one category to another. The new legislation also advances several programs, specifi- cally it: provides an expanded source of Federal funding for develop- ing transportation SIPs; assures the funds set aside for urban trans- portation planning have been doubled to 1 percent of total program resources; and allows planning activities to be funded from categories traditionally reserved for capital projects. A major new program to deal with congestion and transportation-related air pollution problems has been created. The Congestion Mitigation and Air Quality Improvement Program (CMAQ), authorizes $6 billion for transportation projects and programs which contribute to the attain- ment of the NAAQS in ozone and CO nonattainment areas. There are several conditions that programs and projects must satisfy for inclusion in the CMAQ program. All projects and programs must come from a conforming transportation plan and TIP, and must be consistent with the conformity provisions contained in Section I76(c) of the CAAA. EPA and the United States Department of Transportation (DOT) have agreed that the following types of projects meet the necessary criteria and may be funded under the CMAQ: - Transportation activities in an approved SIP, - TCMs included in Section I08(b)(1)(A) of the 1990 CAAA, except items xii and xvi which areexcluded by ISTEA, - Developing and establishing management systems fortraffic congestion, public transportationfacilities and equipment, and intermodaltransportation facilities and systems, whereit can be demonstrated that they are likely tocontribute to the NAAQS, - Capital and operation costs for trafficmonitoring, management, and control facilities and programs, where it can be demonstrated that they are likely to contribute to the attainment of the NAAQS. However, CMAQ program funds may not replace existing local and State funds used for operation costs, but are intended to augment and reinforce new efforts, - Construction of bicycle and pedestrian facilities, nonconstruction projects related to safe bicycle use, and State bicycle/pedestrian coordination positions, as established in ISTEA, for promoting and facilitating the increased use of nonmotorized modes of transpor- tation. This includes public educational, promotional, and safety programs forusing such facilities. - Emission Inspection and Maintenance Programs.Construction of public facilities and purchaseof equipment for public stations would be eligible. Planning projects and one-timestart-up activities such as updating quality assurance software or developing a mechanic training curriculum would also be eligible. Other projects and programs may be funded if, after consultation with EPA, FHWA determines they are likely to contribute to the attainment of the NAAQS. The CMAQ program funds may also be used for preliminary engineering associated with projects and programs that have air quality benefits, and related project development activities. This would include planning directly related to a TCM or feasibility/development studies for any other eligible project or program. Integration of Transportation and Air Quality Planning In the past, transportation plans were developed independently of the State's air quality planning process and hence failed to incorporate and implement important air quality measures. Similarly, SIPs developed by air quality planners often failed to consider the feasibility of their plans with respect to implementation by the transportation community. In order to comply with the CAAA, States will need to take actions to ensure the effective integration of transportation planning and air quality planning. Both the Clean Air Act and ISTEA emphasize the importance of coordination and consultation in the preparation of clean air and transportation plans. Air quality specialists cannot guarantee a continuing reduction in motor vehicle related pollutants if vehicle miles traveled continue to grow unabated, and transportation specialist cannot improve mobility if the emissions budget for an area is created without regard to transportation needs. The following chapter discusses the particular areas in which transportation and air quality planners need to consult and cooperate. Chapter 2 Considerations in the Planning Process Section I74 of the CAAA requires that areas in nonattainment for ozone, CO or PM-10 review and update or develop planning procedures before November 15, 1992. Section I74 also requires that in the preparation of planning procedures the State and local elected officials must determine which elements of a SIP revision will be developed, adopted, and implemented (through means including enforcement) by the State and which by local governments or regional agencies, or any combination of local governments, regional agencies or the State. The task involved in developing emission and VMT estimates and the implementing of TCMs can be complex and require an active planning process. Careful planning will help States to allocate the resources for implementing and monitoring the measures required under CAAA. Poor planning may result in both expensive duplication of effort and failure to meet the requirements. Planning Procedures Each State will need to establish planning procedures appropriate for its organizational structure. The planning procedures should be developed jointly by State officials and elected officials of affected local governments. By developing the procedures in this manner, the States will also satisfy the consultation requirement of Section I21 of the CAAA (see Appendix C). As a starting point, the State should delineate the CAAA's transportation related requirements for each nonattainment area and the deadlines for completing these requirements. The planning procedures should consider in detail what agency will have the primary responsibility for each CAAA requirement, the other agencies that will be involved, and the specific role each will play. The principal CAAA transportation and air quality planning requirements are in the areas of VMT and inventory estimation, TCMs, conformity, consultation, and the development and adoption of public participation. The planning process should also be designed to continue beyond adoption of the SIP. For example, planning agencies have primary responsibility for selection of transportation measures for the SIP, but the local government agencies that would implement the TCMs need to be included from the beginning of the TCM selection process and participate throughout the selection process. Likewise, once implementation begins, local governments responsible for much of the implementation should keep the planning agencies informed of the implementation progress, so that corrective changes may be made if needed. In serious nonattainment areas, it must be demonstrated beginning in 1996, and every three years afterward that current vehicle emissions, congestion levels, VMT, and other relevant parameters are consistent with those used in the SIP. Coordination from the beginning will be required to insure consistency. Planning for adequate validation of models used in transportation-air quality projects is also important to consider throughout the planning process. The assumptions made in the planning process are particularly important. They should be documented and their sensitivity taken into account throughout both the planning and implementation process. For example, an assumption that fuel prices will be at a certain level will result in predicting that a certain number of individuals will select transit or ridesha- ring over use of a single occupancy vehicle. A considerable drop in the price of fuel may switch those individuals back into their cars. Conversely, a sharp rise in gas prices may put an unexpected strain on transit lines, and reduce congestion on previously crowded highways. Considerations for Inventory and VMT Estimates Section I87(a) of the CAAA requires Moderate and Serious CO nonattainment areas, with design values above 12.7 ppm, to forecast and track VMT in each year prior to attaining the NAAQS. The EPA has published VMT Forecasting and Tracking Guidance, based on Section I87(a) of the CAAA, which calls for identification of a VMT Tracking Area for purposes of VMT forecasting and tracking. The Highway Performance Monitoring System (HPMS), which is based upon traffic counts collected in accordance with FHWA guidance, will be the cornerstone for tracking VMT. However, for many nonattainment areas, there will be a portion of the nonattainment area that does not fall within Federal Aid Urbanized Area (FAUA), which is the geographic base for the HPMS program. The VMT in the remainder of the VMT Tracking Area should be estimated by a method selected by the State, in consultation with the LPO of the area and other appropriate State and Federal organizations. VMT estimates should be consistent with HPMS unless a State can justify the use of an alternate method. Justification of an alternate method must be based upon criteria in the VMT guidance, and the justification must be documented in the SIP. Some areas have travel demand forecasting models for the transportation study area which will cover a large portion of the VMT Tracking Area for which VMT forecasts are made. Growth factors, derived from a base year and forecast year or from the past year's HPMS reports, will be applied to the 1990 HPMS-based VMT in the forecasting process. The assumptions used in the travel demand forecasting models must be understood by the air agency responsible for the overall inventory, so that the figures can be integrated in the Urban Airshed Model which is used to demonstrate attainment of the standard. The percentage of VMT for the following operating conditions is particularly important: -different speed bands, -hot starts, -cold starts, and -hot stabilized driving modes. The VMT estimation and forecasting process will require close collaboration among the local governments, the MPOs, the air agencies, transit authorities, etc. Complete documentation of the VMT Tracking Area and the VMT estimating and forecasting methods used should be included in the SIP revision. Considerations for Transportation Control Measures The adoption of TCMs, whether mandated or voluntary, will be required in order to meet the NAAQS in many nonattainment areas. The TCMs considered may include but need not be restricted to the list contained in Section I08(f) of the CAAA. Consideration of alternative TCMs is encouraged. TCM planning and selection raises a number of issues. These include: - the potential energy requirements, - the total cost of the measure or project, - the effects on the community, (economic impacts, transportation impacts, and air quality impacts) - the potential participants and/or affected parties, - the role each participant or affected party should play, - the legal authority required for implementation, - the affect implementation will have on existing laws, - how the deadlines for the requirements impact ongoing annual activities of participants in the process, (for example, annual TIP reviews by MPOs) - the geographic scope of implementation, - available resources, (as yet untapped sources of expertise and funding should be considered in addition to current sources) - the relevant political issues, - how implementation affects agencies not directly involved with air quality planning, (such as Federal and State DOE's or traffic controllers working on congestion management, or current and projected plans of land use planning agencies) - the expertise required, - the need for tracking or enforcement, - the potential emissions benefits, - the segments of the population that are likely to participate, (for example, not everyone can or will use bicycles, hence this TCM has a limited audience. Any projections in reductions based on this TCM should take this point into account.) Planning procedures should include a process for addressing these issues. EPA has published two documents to assist in the understanding and implementation of TCMs. The first of these documents, Transportation Control Measures Information Documents, provides basic information on transportation control measures for local elected officials, private employers and other public and private sector decision-makers who will need to assess the applicability of different strategies for solving mobiles source emissions problems in their areas. The second publication, Transportation Control Measures: State Implementation Plan Guidance, discusses institutional guidance involved in TCM planning in depth. Although this document was published prior to enactment of the 1990 CAAA, it is valuable for assisting in the planning process. The document outlines the factors that need to be considered in TCM selection. ( See Appendix B for complete reference). Considerations for PM-10 Section I89 of the CAAA requires that each State in which all or part of a PM-10 nonattainment area is located develop and submit a SIP that provides for the attainment of the NAAQS. Transportation planning activities should include measures to reduce PM-10 in order to facilitate the attainment of the NAAQS. PM-10 emissions can originate from both stationary and mobile sources. Mobile source-related PM-10 emissions, a category that includes dust from paved and unpaved surfaces along with motor vehicle exhaust, warrant consideration from transportation planners. Areas of significance to transportation planners within stationary and mobile sources include the following: exhaust emissions from highway and off-highway mobile sources, e.g., impacts of diesel vehicle exhaust and bus terminals; re-entrained materials from traveled surfaces, primarily paved and unpaved roads; and re-entrained materials from other unpaved surfaces, e.g., open areas such as parking lots. Areas designated nonattainment for PM-10 and classified moderate, on November 15, 1990, are required by section 189(a) of the amended act to submit a SIP no later than November 15, 1991. Among other requirements, this SIP must include the following two elements: Either a demonstration that the plan will provide for attainment on or before December 31, 1994 or a demonstration that attainment by that date is impracticable. Provisions to assure that reasonably available control measures (RACM) for the control of PM-10 are implemented by December 10, 1993. Areas designated nonattainment for PM-10 after November 15, 1990, must submit a SIP within 18 months after being designated nonattainment. States with a moderate nonattainment area are required to submit a plan that includes, among other provisions, a demonstration of attainment, quantitative milestones and provisions to guarantee that RACM are implemented. Specific requirements are set forth in sub-parts 1 and 4 of Title I of the CAAA. A revised model for mobile source PM-10 emissions is not currently available, however one is expected within the next year. In the interim, questions regarding mobile source PM-10 emissions modeling can be directed to Dr. Joseph Somers, USEPA/OMS, 2565 Plymouth Road, Ann Arbor, Michigan, 48105. Conformity The conformity provisions contained in Section I76(c) of the new CAAA will have a significant impact on the transportation planning process. Conformity is a complex issue, and this portion of the Planning Guidelines is only intended to provide an overview. Section I76(c) of the CAAA defines conformity to an implementation plan as: - conforming to an implementation plan's purpose of eliminating and reducing the severity and number of violations of the NAAQS and achieving expeditious attainment of the standards, - not causing or contributing to new NAAQS violations, not increasing the frequency or severity of any existing violation of any standard, and - not delaying timely attainment of any NAAQS or required interim emissions reductions milestones. In making conformity determinations, MPO's will analyze transportation plans, TIPs, and projects for regional and/or local air quality impacts. Regional impacts from transportation plans and TIPs will be analyzed, on a system-wide basis. Localized impacts may require "hot- spot" analysis at the project level, where design detail is adequate to identify potential impacts. Section I76(c)(4) of the CAAA requires EPA to establish procedures for transportation planners to consult with air quality planners prior to making conformity determinations. This consultation process is intended to ensure greater coordination and cooperation between transportation and air quality officials during the development of transportation plans, TIPs and the SIP. Criteria and procedures for determining conformity of transportation plans, programs and projects must be promulgated by the EPA, with the concurrence of DOT. The States must then submit SIP revisions that include criteria and procedures for determining conformity to the EPA. Until the promulgation of the final conformity rule, the interim conformity guidance, jointly issued by EPA and DOT on June 7, 1991, should be referred to regarding conformity matters. (See Appendix B for the annotated references to this document.) The promulgation of the final conformity rule will supersede the interim guidance. Until States submit implementation plans which contain strategies for the attainment of the NAAQS, there exists an interim period with special requirements for making conformity determinations. EPA and DOT have jointly issued guidance for use during phase I of the interim period. During phase I of the interim period, transportation plans and TIPs conform if: - their emissions are consistent with the most recent estimates of mobile source emissions, - they provide for the expeditious implementation of TCMs in the applicable implementation plan, and - they contribute to the annual emission reductions consistent with those specified in the Act for ozone and CO nonattainment areas. Transportation projects conform during phase I of the interim period if they come from a conforming plan and TIP and, in CO nonattainment areas, analyses show that they eliminate or reduce the number and severity of violations of the CO standard in the area substantially affected by the project. The final rule will establish criteria and procedures for determining conformity during the rest of the interim period; the control strategy period, after States submit implementation plan revisions containing strategies for attaining the NAAQS; and the maintenance period after an area has been reclassified to attainment. Public Participation The CAAA call for these Guidelines to include information on methods to assure participation by the public in all phases of the planning process. Given that the institutional framework for decision making among areas varies widely, a prescriptive formula for how public participation should be included in the transportation-air quality planning process is inappropriate. Early involvement and participation of the general public and of interested organizations, however, may prove to be especially critical in terms of the political viability of projects. The public will need to understand the role transportation-air quality projects play in emissions reductions. Planning procedures should include methods for informing and involving the public very early in the process. The successful implementation of many TCMs may ultimately depend on public support, so public education is an important component of planning and implementation. EPA recommends that each area develop a public participation plan whereby public participation is sought and considered in the planning process, documented, and verified. Public participation is already built into the SIP review process, and ISTEA requires public participation in the transportation planning process. It is important that the public: - is made aware of the decision making process, - understands the implications of the choices before decision makers, and - is provided with an opportunity to provide input on the decisions at hand. Until now, the emphasis on controlling air pollution has been almost exclusively on the technological controls that can be applied directly at the source. As the non-technological solutions begin to play more of a role in the effort to achieve attainment, the role of the public in the transportation-air quality arena will expand as well. THIS SPACE INTENTIONALLY LEFT BLANK Chapter 3 Some Case Studies New Jersey In New Jersey, the Department of Transportation has proposed an organizational infrastructure to review and update planning procedures that would include development of a State certified organization to prepare the TCM components of SIPs. The entire State of New Jersey is in nonattainment for ozone. The TCM planning component fits into the overall planning process including the stationary source component and the vehicle controls and alternate fuels sub-component as well. Table 6 is a summary of the proposed planning procedures. Flow charts of the proposed organization are in Tables 6-10. These provide an example of how one State is considering implementation of TCM related planning procedures. THIS SPACE INTENTIONALLY LEFT BLANK Florida The Department of Transportation in the State of Florida has created a proposed flow chart for its transportation planning as well (see Table 11). The last box of this flow chart indicates that the procedures for seeing that conformity determinations are made is yet to be delineated according to the Interim Conformity Guidance and the Final Conformity Rulemaking. THIS SPACE INTENTIONALLY LEFT BLANK California In addition to a formal statewide organization with decision-making responsibilities, California has established an interagency organization specifically designed to facilitate communication among transportation and air quality personnel from all levels. The Transportation Air Quality Review Group (TARG), has an elected chair and an executive board, and meets every 6 weeks, rotating in various locations throughout California. Membership is informal and is currently comprised of 150 - 200 staff members from transportation and air quality agencies throughout California and in Arizona and Nevada as well. Agencies volunteer to host meetings and are responsible for mailing out the agenda to those on the mailing list. Presentations include a wide range of topics that are relevant to the participants. The major function of TARG is to provide an opportunity for transportation and air quality personnel to meet one another and to hear about the issues relevant to both disciplines. Participants cite the value of face-to-face contact with peers from various agencies as especially helpful in their work. Michigan The following pages contain an example memorandum of understanding (MOU) from the State of Michigan pursuant to Section I74 of the CAAA. This memorandum assigns joint responsibilities between the State and the MPO for planning purposes. THIS SPACE INTENTIONALLY LEFT BLANK Relevant Publications A number of documents are currently available that directly address transportation-air quality planning issues. The contents of these are not restated in this publication. The reader is encouraged to refer to them directly for details on these subjects. Additional references are scheduled to be published after the publication of this document. Relevant publications that are currently available or will be avail- able in the near future are included in the annotated reference list in Appendix B. Some of the subjects that are or will be covered by these documents include: - Emissions inventory preparation - Estimation of Vehicle Miles Traveled (VMT) - Interim conformity guidance - Conformity final rule - State implementation plan guidance for Transportation Control Measures (TCMs) - Information documents for TCMs Each of the 16 TCMs listed in Section I08(f) will be addressed through these documents. (See Section I08(f) in Appendix C for this list of TCMs.) These information documents will provide general implementation issues, variations of measures, degree of effectiveness, and institutional processes for these TCMs, and will be qualitative rather than quantitative in nature. - Transportation control measure emission reduction potential. This document is intended to be more quantitative than the series of TCM information documents. It will focus on current methods, strategies, and variables for making estimates on how TCMs affect the number of vehicle trips, VMT, and congestion. THIS SPACE INTENTIONALLY LEFT BLANK APPENDICES Appendix A: List of Abbreviations Appendix B: Annotated list of references and documents including full title, reference number and, where available, name of contact person, address, and telephone number. Appendix C: Relevant sections of the CAAA including Sections 108, 110, 121, 171-182, 187. Appendix D: Relevant sections of transportation-related laws. Appendix E: Summary of Transportation-related provisions of the CAAA Appendix F: Table of Required State Submittals and Actions (from "Getting Started" document) Appendix G: Selected Portion of the Intermodal Surface Transportation Efficiency Act of 1991 APPENDIX A List of Abbreviations APO Average Passenger Occupancy per Vehicle AVO Average Vehicle Occupancy CAA Clean Air Act CAAA Clean Air Act Amendments of 1990 CO Carbon Monoxide CMSA Consolidate Metropolitan Statistical Area DOE Department of Energy DOT Department of Transportation EPA Environmental Protection Agency FHWA Federal Highway Administration FIP Federal Implementation Plan FTA Federal Transit Administration HOV High Occupancy Vehicle I/M Inspection and Maintenance LPO Lead Planning Organization MPO Metropolitan Planning Organization MSA Metropolitan Statistical Area NAAQS National Ambient Air Quality Standards NARC National Association of Regional Councils NJDEP New Jersey Department of Environmental Protection NJDOT New Jersey Department of Transportation NOx Oxides of Nitrogen PM-10 Particulate Matter less than 10 microns in diameter PPM Parts Per Million SIP State Implementation Plan SCO State Certified Organization TARG Transportation Air Quality Review Group TCM Transportation Control Measure TIP Transportation Improvement Program UPWP Unified Planning Work Program VMT Vehicle Miles Traveled VOC Volatile Organic Compound APPENDIX B ANNOTATED LIST OF REFERENCES AND DOCUMENTS Analysis of the Emission Benefits from Transportation Control Measures in San Diego County. (Currently in draft form.) Published by the County of San Diego Air Pollution Control District. Document contains the results of a study to determine the maximum level of emission reductions that Transportation Control Measures could achieve in San Diego County, California. It contains sections on: The Development of Travel and Emission Estimates, Review of Transportation Control Measures, Quantifying Emission Reductions for Candidate TCMs, Evaluation of the Effects of the TCMs on CAAA mandates, and Draft Criteria for TCM Planning. Contact: Paul Davis, County of San Diego Air Pollution Control District, 9150 Chesapeake Drive, San Diego, California 92123-1095. -- An Assessment of Travel Demand Approaches at Suburban Activity Centers. July 1989. Prepared by K.T. Analytics, Inc. for the U.S. Department of Transportation System Center, Office of Technical Assistance and Safety. Document reviews experience with Transportation Systems Management and Parking Management through employer case studies and synthesis of suburban demand management literature. It provides recommendations to local government decision makers and planners on strategy effectiveness and implementation, as well as adoption and implementation of demand management of trip reduction policy instruments. Contact: National Technical Information Service, Springfield, Virginia 22161. -- California Clean Air Act Transportation Requirements Guidance. February, 1990. Air Resources Board, Office of Strategic Planning, Transportation Strategies Group. Under the California Clean Air Act, air pollution control districts have been granted explicit authority to adopt and implement transportation controls. This document offers guidance regarding how the Act's requirements can be met in the required 1991 air quality plans. Contact: Sharon Brehmer, State of California Air Resources Board, 1102 Q Street, PO Box 2815, Sacramento, California 95812. -- Clean Air in Our Times?: The Amendments to Reform Transportation Planning in the Clean Air Act Amendments of 1990. June 1991. Robert Yuhnke, Senior Attorney, Environmental Defense Fund. Provides an overview of the CAAA from the perspective of on of the environmental organizations most involved with transportation-air quality issues. Contact: Robert Yuhnke, Senior Attorney, Environmental Defense Fund, 1405 Arapohoe Avenue, Boulder, Colorado 80302. FAX: 303-440-8052. -- Conformity Rulemaking. Publication pending. To be issued by the U.S. Environmental Protection Agency. Transportation portions will have U.S. Department of Transportation concurrence. This document will contain final criteria and procedures for determining conformity of all Federal actions and MPO transportation plans, programs, and projects effective immediately upon issuance, as well as consultation procedures among agencies. Contact: Kathryn Sargeant, Emission Control Strategies Branch, Office of Mobile Sources, U.S. Environmental Protection Agency, 2565 Plymouth Road, Ann Arbor, Michigan, 48105. FAX: 313-668-4531. General Preamble Title I Clean Air Act Amendments 1990. Fall 1991. Document describes EPA's policy and technical judgements related to the implementing Title I of the 1990 Clean Air Act. Designed to be used as guidance to States on how to prepare State Implementation Plans (SIP) submittals required under the Clean Air Act Amendments of 1990 for nonattainment areas. Guidance on VMT offset provisions of the Act are included in this document. Contact: Sheila Holman, U.S. Environmental Protection Agency, Office of Air Quality Planning and Standards, Research Triangle Park, North Carolina 27711. FAX: 919-541-0804. -- Getting Started on Title I. April, 1991. Document outlines the requirements for states which must develop ozone and/or CO SIPs pursuant to the new provisions in Title I of CAAA. Contact: David Johnson, Air Quality Management Division, Office of Air Quality Planning and Standards, U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. FAX:919-541-0804. -- Guidance for Determining Conformity of Transportation Plans, Programs and Projects with the Clean Air Act Implementation Plans During Phase I of the Interim Period. June, 1991. Jointly issued by the U.S. Environmental Protection Agency and the U.S. Department of Transportation. These Interim Conformity Guidelines apply to all transportation plans, programs, and projects in nonattainment areas submitted after November 15, 1990, until Final Conformity Rulemaking is published. Contact: Kathryn Sargeant, Emission Control Strategies Branch, Office of Mobile Sources, U.S. Environmental Protection Agency, 2565 Plymouth Road, Ann Arbor, Michigan 48105. FAX: 313-668-4531. -- Methodology to Calculate Cost Effectiveness of Potential Transportation Control Measures. Interim Report, November, 1990. Prepared by Sierra Research Inc. for the San Diego Association of Governments. This report documents the operation of a FORTRAN program designed to quantify the emissions reductions that could be produced by separate transportation control measures being considered by local air quality/transportation planners. It is the second of three modules that comprise a system designed to aid communities in evaluating the effectiveness of alternative TCMs. Contact: John Duve, San Diego Association of Governments, Suite 800, 1st Industrial Plaza, 401 B Street, San Diego, California 92101. Phone (619) 595-5300. -- Procedures for Emission Inventory Preparation. Revised, summer 1992. Volume IV: Mobile Sources, EPA 450/4-81-026d Provides assistance to States for meeting the requirements for emissions inventory development by focusing on the technical aspects of inventorying emissions from mobile sources. Identifies specific methods that can be used to identify and inventory sources, estimate emissions, and establish and maintain a useful, current mobile sources inventory file. Contact: Natalie Dobie, Environmental Protection Agency Motor Vehicle Emissions Laboratory, Ann Arbor, MI 48105. Phone: 313-668-4200. -- Review and Evaluation of Current VMT Forecasts. (Currently in draft form.) Measures of vehicle miles traveled (VMT) are used by many government agencies and private organizations. Levels of VMT are important in analyzing fuel use, highway use and roadway capacity, city planning and a variety of other purposes. This document looks at different uses of VMT projections and the models associated with them. Contact: John German, U.S. Environmental Protection Agency Office of Mobile Sources, Certification Division, Ann Arbor, Michigan 48105. Phone (313) 668-4214. -- Staff Report on the Implementation of Regulation XV - Trip Reduction/ Indirect Source. February, 1991. Waldo Lopez-Aqueres, PH.D., South Coast Air Quality Management District Transportation Programs Division. Document discusses various aspects of Regulation XV to include: background, anticipated benefits, review of progress, trip reduction plan process, the continuing significance of Regulation XV, and staff responses to issues raised during the informational and Public Meetings. Contact: Catherine Wasikowski, South Coast Air Quality Management District, 9150 Flair Drive, El Monte, California 91731. Phone FAX: 714-396-2000. -- Transportation Control Measure Emission Reduction Potential Winter, 1992. To be prepared by System Applications International for the U.S. Environmental Protection Agency. The planned document is intended to analyze existing TCM benefits methodologies, develop methodologies for a few select TCMs, calculate VMT speed and changes, and develop look-up tables form MOBILE emissions model to assist TCM analysts in determining the emissions effects of VMT, trip, and speed changes resulting from TCMs. Contact: Mark Simons, Emission Control Strategies Branch, Office of Mobile Sources, U.S. Environmental Protection Agency, 2565 Plymouth Road, Ann Arbor, Michigan 48105. FAX: 313-668-4531. -- Transportation Control Measures Information Documents. USEPA 400-R-92-0006. March 1992. Documents address the portion of Section I08 calling for "the development and implementation of transportation and other measures necessary to demonstrate and maintain attainment of national ambient air quality standards." Each of the 16 TCMs listed in Section I08 (f) will be addressed through these documents. They will provide general implementation issues, variations of measures, degree of effectiveness, and institutional processes for these TCMs, and will be qualitative rather than quantitative in nature. Contact: Mark Simons, U.S. Environmental Protection Agency, 2565 Plymouth Road, Ann Arbor, Michigan 48105. For Document Copies contact: NTIS, 5285 Port Royal Road, Springfield, Virginia 22161. Request document #PB 92-173566. -- Transportation Control Measures: State Implementation Plan Guidance. EPA 450/2-89-020. Revised Spring 1992. Document summarizes current knowledge about transportation control measures. Information presented demonstrates that there have been significant advances in TCM development over the past decade, and that TCMs are appropriate control options for state implementation plans. Designed for transportation and air quality management staff at all government levels. Contact: Frances Wicher, United States EPA, Region 9, 75 Hawthorne Street, San Francisco, California 94105. FAX: 415-484-1076 For Document Copies contact: NTIS, 5285 Port Royal Road, Springfield, Virginia 22161. Request document #PB 92-182013. -- Transportation Efficiency: Tackling Southern California's Air Pollution and Congestion. March 1991. Environmental Defense Fund (EDF) Regional Institute of Southern California. Document explores approaches to lessen smog and congestion in Southern California by managing demand to achieve more efficient use of transportation resources. Recommends a number of transportation pricing policies, including: peak-period pricing on congested corridors, buying out employer-subsidized parking; non-employee parking pricing; annual smog fees based on mileage and emissions performance; and deregulation of private transit. Contact: Environmental Defense Fund, 5655 College Ave. Suite 304 Oakland, California 94618. -- VMT Forecasting and Tracking Issued by Environmental Protection Agency. Provides guidance under section 187(a) of CAAA on how to project and track vehicle miles traveled in moderate and serious CO nonattainment areas with design values greater than 12.7 ppm at time of classification. Contact: Mr. Mark A. Wolcott, State Support and Regulatory Analysis Section, Technical Support Branch, U.S. EPA, 2565 Plymouth Road, Ann Arbor, MI 48105. For Document Copies contact: NTIS, 5285 Port Royal Road, Springfield, Virginia 22161. Request document #PB 92-164961. APPENDIX C SELECTED SECTIONS OF THE CLEAN AIR ACT AMENDMENTS OF 1990 TABLE OF CONTENTS Section I08 Air Quality Criteria And Control Techniques Section II0 Implementation Plans Section I21 Consultation Section I71 Definitions (RFP, Nonattainment Area) Section I72 Nonattainment Plan Provisions In General -Classification and Attainment Dates -Schedule for Plan Submissions -Nonattainment Plan Provisions -Required Plan Revisions in Response to Finding of Plan Inadequacy Section I73 Permit Requirements Section I74 Planning Procedures Section I75 Environmental Protection Agency Grants Section I76 Limits on Certain Federal Assistance (Conformity) Section I77 New Motor Vehicle Emissions Standards In Nonattainment Areas Section I78 Guidance Documents Section I79 Sanctions and Consequences of Failure to Attain - State Failure -Sanctions -Notice of Failure to Attain -Consequences of Failure to Attain Section I81 Classifications and Attainment Dates -Classifications and Attainment Dates for 1989 -New Designations and Reclassification -Voluntary Reclassification Section I82 Plan Submissions and Requirements -Marginal Areas *Inventory *Corrections to the SIP *Periodic Inventory *General Offset Requirements -Moderate Areas *Reasonable Further Progress (RFP) *Reasonably Available Control Technology *Gasoline Vapor Recovery *Motor Vehicle Inspection & Maintenance *General Offset Requirements -Serious Areas *Enhanced Monitoring *RFP Demonstrations *Enhanced Inspection & Maintenance *Clean Fuel Vehicle Program *Transportation Control *De Minimis Rule *Special Rules for Modification of Sources Emitting More or Less than 100 Tons *Contingency Provisions *General Offset Requirements -Severe Areas *Vehicle Miles Traveled *Offset Requirements *Enforcement Under Section I85 -Extreme Areas *Offset Requirements *Clean Fuels *Traffic Control Measures *New Technologies *NOx Requirements *Milestones *Economic Incentive Program Section I84 Control of Interstate Ozone Air Pollution Section I85 Enforcement for Severe and Extreme Ozone Nonattainment Areas for Failure to Attain Section I86 Classification and Attainment Dates -Classification by Operation of Law -New Designations and Reclassification to Nonattainment -Reclassification of Moderate Areas Upon Failure to Attain Section I87 Plan Submission and Requirements -Moderate Areas *Inventory *Vehicle Miles Traveled *Special Rule for Denver *Contingency Provision *I/M Savings Clause *Periodic Inventory *Attainment Demonstration -Serious Areas *In General *Vehicle Miles Traveled *Oxygenated Gasoline -Areas with Significant CO *Waivers for Certain Areas *Guidelines -CO Milestones -Multi-State CO Nonattainment Areas Section I88 Classification and Attainment Dates for PM-10 Section I89 Plan Provisions and Schedules for Plan Submission for PM-10 Section I90 Issuance of RACM and BACM Guidance Section I91 Plan Submission Deadlines Section I92 Attainment Dates Section I93 General Savings Clause APPENDIX D RELEVANT SECTIONS OF TRANSPORTATION LAWS FROM 23 CFR CHAPTER 1 (4-1-90 EDITION) Section I50.100 Purpose. The purpose of this subpart is to implement 23 U.S.C. 134 and section 8 of the Urban Mass Transportation Act of 1964, as amended (UMT Act) 49 U.S.C. 1607), which require that each urbanized area. As a condition to the receipt of Federal capital or operating assistance, have a continuing, cooperative, and comprehensive transportation planning process that results in plans and programs consistent with the comprehensively planned development of the urbanized area. These plans and programs support transportation improvements and subsequent project development activities in the area. Section I50.102 Applicability. The provisions of this subpart are applicable to the transportation planning process in urbanized areas. Section I50.104 Definitions. (a) Except as otherwise provided, terms defined in 23 U.S.C. 101(a) are used in this part as so defined. (b) As used in this part: (1) "Governor" means the Governor of any one of the fifty States, or Puerto Rico, and includes the Mayor of the District of Columbia. (2) "Designated section 9 recipient means that organization designated in accordance with section 9(m) or 5(b)(1) of the UMT Act, as amended, as being responsible for receiving and dispensing section 9 and/or section 5 funds. (3) "Metropolitan planning organization" means that organization designated as being responsible, together with the State, for carrying 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(e)(1), 5(1), 8 (a) and (c) and 9 (e)(3)(G) of the UMT Act (49 U.S.C. 1602(e)(1), 1604(1), 1607 (a) and (c) and 1607a(e)(3)(C)). The metropolitan planning organization is the forum for cooperative transportation decision making. (4) "Annual (or biennial) element" means a list of transportation improvement projects proposed for implementation during the first year (or 2 years) of the program period. (5) "Transportation improvement program (TIP)" means a staged multi-year program of transportation improvements including an annual (or biennial) element. Section 450.106 Metropolitan planning organization. (a) Designation of a metropolitan planning organization shall be made by agreement among the units of general purpose local governmental and the Governor. To the extent possible, only one metropolitan planning organization to the extent agreed to pursuant to paragraph (a) of this section. Section 450.108 Urban transportation planning process: Funding. (a) Funds authorized by 23 U.S.C. 104(f) shall be made available by the State to the metropolitan planning organization, as required by 23 U.S.C. 104(f)(3). (b) Funds authorized by section 8 of the UMT Act (49 U.S.C. 1607) shall be made available to the metropolitan planning organization, to the extent possible, in urbanized areas with populations of 200,000 or more or where the metropolitan planning organization represents a group of contiguous or related urbanized areas with an aggregate population of 200,000 or more. In urbanized areas with populations below 200,000, such funds shall be made available to the State , at the State's option, to allocate among such urbanized area, to use for the benefit of such area with the concurrence of the metropolitan planning organization. If the State does not elect this option, these funds shall be made available directly to the metropolitan planning organization, to the extent possible. (c) In urbanized areas with populations of 200,000 or more, the State, metropolitan planning organization, and designated section 9 or 9A funds recipient, where section 9 or 9A funds are used for planning purposes, shall develop a unified planning work program (UPWP) which describes urban transportation and transportation related planning activities anticipated in the area during the next 1 or 2-year period including the planning work to be performed with Federal planning assistance and with funds available under section 9 or 9A, if any. The UPWP shall be endorsed by the metropolitan planning organization. (d) In urbanized areas with populations below 200,000, the State and the metropolitan planning organization (and where section 9 or 9A funds are to be used for planning, the designated recipient) shall cooperatively describe and document how Federal planning funds and funds available under section 9 or 9A if any, would be expended for planning in each area, who would do the work and what work in general would be done. The work proposed shall be endorsed by the metropolitan planning organization. (e) The staff resources of other agencies (such as the State, local government and transit operator staff) may be utilized where appropriate to carry out the planning process, including the activities funded with Federal planning funds, through contractual agreements. (The reporting requirements contained in paragraph (c) were approved by the Office of Management and Budget under OMB control number 2132 0031) Section 450.110 Urban transportation planning process: Products. The urban transportation planning process shall include the development of: (a) A transportation plan describing policies, strategies and facilities or changes in facilities proposed. The transportation plan shall be formulated according to the requirements of 23 U.S.C. 134 and section 8 of the UMT Act (49 U. S.C. 1607) which include an analysis of transportation system management strategies to made more efficient use of existing transportation systems. (b) A transportation improvement program (TIP) including annual (or biennial) element a prescribed in Sub part B of this part. The program shall be a staged multi-year program of transportation improvement projects consistent with the transportation plan. (c) Other planning and project development activities deemed necessary by State and local officials to assist in addressing transportation issues in the area. (The reporting requirements contained in paragraph (b) were approved by the Office of Management and Budget under OMB control number 2132 0529) Section 450.112 Urban transportation planning process: Participant responsibilities. (a) The metropolitan planning organization, the State, and publicly owned operators of mass transportation services shall determine their mutual responsibilities in the development of the planning work program, transportation plan and TIP specified in Sections 450.108 and 450.110. (b) the metropolitan planning organization shall endorse the transportation plan and TIP required by Sections 450.110 and 450.204. These endorsements are prerequisites for the approval of programs of projects in urbanized areas pursuant to 23 U.S.C. 105(d) and 134(a), section 8(c) of the UMT Act (49 U.S.C. 1607(c)), and Sub part B of the part. Section 450.114 Urban transportation planning process: Certification. (a) The urban transportation planning process shall include activities to support the development and implementation of a transportation plan and TIP/annual (or biennial) element and subsequent project development activities including the environmental impact assessment process. These activities shall be included as necessary and to the degree appropriate for the size of the metropolitan area and the complexity of its transportation problems. (b) The planning process shall be consistent with: (1) Sections 8(e) and 3(e) (49 U.S.C. 1607 and 1602(e)) of the UMT Act concerning involvement of the appropriate public and provide transportation providers; (2) 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. (3) Section I05(f) of the Surface Transportation Assistance Act of 1982 regarding the involvement of minority business enterprises in FHWA and UMTA funded projects (Pub. L. 97-424, section 105(f); 49 CFR Part 23); and (4) Section I6 of the UMIT Act 49 U.S.C. 1612), section 165(b) of the Federal-Aid Highway Act of 1973, as amended, and 49 CFR Part 27, which call for special efforts to plan public mass transportation facilities and services that can effectively be utilized by elderly and handicapped persons. (c) At the time the TIP/annual (or biennial) element is submitted, the State and the metropolitan planning organization shall certify that the planning process is being carried on in conformance with all applicable requirements of: (1) 23 U.S.C. 134, section 8 of the UMT Act (49 U.S.C. 1607) and these regulations; (2) Sections 174 and 176 (c) and (d) of the Clean Air Act (42 U.S.C. 7504, 7506(c) and (d)). Subpart B--Transportation Improvement Program Authority: 23 U.S.C. 105, 134(a), and 135(b); secs. 3,5, and 8(c) of the Urban Mass transportation Act of 1964, as amended (49 U.S.C. 1602, 1604 and 1607(c); secs. 174 and 176 of the Clean Air Act (42 U.S.C. 7504 and 7506); and 49CFR 1.48(b) and 1.51. Source: 48 FR 30350, June 30, 1983, unless otherwise noted. Section 450.200 Purpose. The purpose of this subpart is to establish regulations for the development, content, and processing of a cooperatively developed transportation improvement program (TIP) in urbanized areas. Section 450.202 Applicability. (a) the provisions of this subpart shall be applicable to projects in or serving urbanized areas with funds made available under: (1) 23 U.S.C. 104(b)(6) (urban system projects); (2) 23 U.S.C. 103(e)(4) (Interstate substitution projects); (3) Sections 3, 5, 9, and 9A of the Urban Mass Transportation Act of 1964, as amended (UMT Act) (49 U.S.C. 1602, 1604, 1607a and 1607a- 1) (UMTA capital and operating assistance projects); (4) 23 U.S.C. 104(b)(1) (projects on extensions of primary systems in urbanized areas), except as provided in this subpart. (5) 23 U.S.C. 104(b)(5) (A) and (B) (projects on the Interstate System), except as provided in this subpart. (6) 23 U.S.C. 144 (highway bridge replacement and rehabilitation projects), except as provided in this subpart. (b) Projects under paragraphs (a) (4), (5) and (6) of this section which are for resurfacing, restoration, rehabilitation, reconstruction (4R), or highway safety improvement; and which will not alter the functional traffic capacity or capability of the facility being improved may be excluded from the TIP including its annual (or biennial) element by agreement between the State and the metropolitan planning organization. Section 450.204 Transportation Improvement Program: General. (a) The TIP, including the annual (or biennial) element, shall be developed by the metropolitan planning organization, the State and publicly owned operators of mass transportation services in cooperation with recipients authorized under sections 5, 9, or 9A of the UMT Act (49 U.S.C. 1604, 1607a or 1607a-1). (b) The TIP shall as a minimum: (1) Consist of Improvements from the transportation plan developed under Section 450.110(a) and recommended for Federal funding during the program period; (2) Cover a period of not less than 3 years; (3) Indicate the area's priorities; and (4) Include realistic estimates of the total costs and revenues for the program period. (c) The metropolitan planning organization endorsement of the TIP including the annual (or biennial) element is a prerequisite for the approval of programs of projects in urbanized areas pursuant to 23 U.S.C. 105(d) and 134(a), and section 8(c) of the UMT Act (49 U.S.C. 1607(c)). The State, metropolitan planning organization, and publicly owned operators of mass transportation services are encouraged to develop simplified procedures for updating or modifying an endorsed annual (or biennial) element. (d) The TIP including the annual (or biennial) element shall be submitted: (1) To the Governor and the Urban Mass Transportation Administrator, and (2) Through the State to the Federal Highway Administrator for use as a basis for meeting the applicable air quality procedures contained in 23 CFR Part 770 and for the subsequent approval of the statewide program of projects under 23 U.S.C. 105 in accordance with Section 450.212 and 23 CFR Part 630. Section 450.206 Annual (or biennial) element: Project selection. (a) Federally funded projects shall be selected for inclusion in the annual (or biennial) element at all phases in the development of the transportation improvement for which program action is proposed. The projects to be included in the annual (or biennial) element of the TIP shall be selected in accordance with: (1) State and local law; (2) 23 U.S.C. 105(d) regarding the selection of urban system projects by the appropriate local officials with concurrence of the State highway department; (3) 23 U.S.C. 103(e)(4) and 23 CFR Part 476 regarding the selection of Interstate substitution projects by the responsible local officials; and (4) Procedures acceptable to the State highway department, the metropolitan planning organization, and local public transit operating officials. (b) The endorsement of the annual (or biennial) element of the TIP by the metropolitan planning organization constitutes the selection of the projects by local officials pursuant to 23 U.S.C. 105(d) and 23 U.S.C. 103(e)(4). Section 450.208 Annual (or biennial) element: Content. (a) Except as provided in Section 450.210(b)(3) nd (4), the annual (or biennial) element shall contain projects selected under Section 450.206 and endorsed under Section 450.204. (b) With respect to each project under paragraph (a) of this section the annual (or biennial) element shall include: (1) Identification of the projects, including the phase of phases proposed for implementation. (2) Estimated total cost and the amount of Federal funds proposed to be obligated during the program period. (3) Proposed source of Federal and non-Federal matching funds; and 4) Identification of the recipient and State and local agencies responsible for carrying out the project. (c) Projects proposed for Federal funding that are not considered to be of appropriate scale for individual inclusion in the annual (or biennial) element may be grouped by functional classification, geographic area or work type. (d) The annual (or biennial) element shall be reasonably 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 projects included in the annual (or biennial) element and proposed for funding under sections 5, 9, or 9A of the UMT Act (49 U.S.C. 1604, 1607a and 1607a 1) may not exceed apportioned section 5 or 9A funds available to the urbanized area during the program year (or 2 years). Section 450.210 Selection of projects for implementation. (a) The projects proposed to be implemented with Federal assistance under section 3, 5, 9 and 9A of the UMT Act (49 U.S.C. 1602, 1604, 1607a and 1607a-1) and nonhighway public mass transit projects under 23 U.S.C. 103(e)(4) shall be those contained in the annual (or biennial) element of the TIP submitted to the Urban Mass Transportation Administrator. (b) Upon receipt of the TIP, the State shall include in the statewide program of projects required under 23 U.S.C. 105: (1) Those projects drawn from the annual (or biennial) element and proposed to be implemented with Federal assistance under 23 U.S.C. 104(b)(6) (Federal-aid urban system) in which the State concurs): provided, however, that in case any where the State does not concur in a nonhighway public mass transit project, a statement describing the reasons for the nonconcurrence shall accompany the statewide program of projects. (2) Those projects drawn from the annual (or biennial) element and proposed to be implemented with Federal assistance under 23 U.S.C. 104(b)(s) (projects on urban extensions of the Federal-aid primary system) and 23 U.S.C. 144 (highway bridge replacement and rehabilitation projects), in which it concurs; (3) Those projects not drawn from the annual (or biennial) element that are proposed to be implemented with Federal assistance under 23 U.S.C. 104(b)(6) (Federal-aid highway urban system), 23 U.S.C. 104(b)(1) (Projects on urban extensions of the Federal-aid primary system) and 23 U.S.C. 104(b)(5) (Projects on the Interstate System) provided that : (i) Previous phases of such project or projects were selected pursuant to Section 450.206, and advanced; (ii) Such project or projects are for highway transportation improvements for which there has been a Federal authorization to acquire right-of-way or Federal approval of physical construction or implementation where right-of-way acquisition was not previously federally funded; and (iii) A statement accompanies the statewide program of projects which includes for such projects the views of the metropolitan planning organization and indicates how the requirements of 23 U.S.C. 134(a) have been met; and (4) Those projects not drawn from the annual (or biennial) element that were excluded under Section 450.202(b) and are proposed to be implemented. (c) The preparation and endorsement of the TIP, the selection of projects in accordance with this subpart, and the agreement under Section 450.202(b), if any, will meet the requirements of 23 U.S.C. 105(d), 23 U.S.C. 134(a) and section 8(c) of the UMT Act (49 U.S.C. 1607(c)). (d) The State shall notify the appropriate metropolitan planning organizations of the 23 U.S.C. 105 program actions taken on projects in each urbanized area. Section 450.212 Program approval. (a) Upon the determination by the Federal Highway Administrator and the Urban Mass Transportation Administrator that the TIP or portion thereof is in conformance with this subpart and that the planning process in conformance with Subpart A, programs of projects and Interstate Substitution projects selected for implementation under Sections 450.210 and 450.206, respectively 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 approved by: (i) The Federal Highway administrator with respect to highway projects; (ii) The Federal Highway Administrator and the Urban Mass Transportation 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 system nonhighway public mass transit projects contained in the annual (or biennial) element. (2) Interstate substitution nonhighway public mass transit projects included in the annual (or biennial) element will be approved by the Urban Mass Transportation Administrator. (3) Projects proposed to be implemented under sections 3, 5, 9, and 9A of the UMT act (49 U.S.C. 1602, 1604, 1607a and 1607a 1) included in the annual (or biennial) element will be approved by the Urban Mass Transportation Administrator after considering any comments received from the Governor within 30 days of the submittal required by Section 450.204(d)(1). (4) Federal-aid urban extensions of primary projects, Interstate projects and highway bridge replacement and rehabilitation projects included in the statewide program of projects under 23 U.S.C. 105 will be approved by the Federal Highway Administrator. (b) Approvals by the Federal Highway Administrator or joint approvals by the Federal Highway Administrator or joint approvals by the Federal Highway Administrator and Urban Mass Transportation Administrator will be in accordance with the provisions of this subpart and with 23 CFR Part 630, Subpart A. These approvals will constitute: (1) The approval required under 23 U.S.C. 105; and (2) A finding that the program is based on a continuing, cooperative and comprehensive transportation planning process carried on in accordance with the provisions of section 8 of the UMT Act (49 U.S.C. 1607), as applicable; (3) A finding that the projects are needed to carry out a program for a unified officially coordinated urban transportation system in accordance with the provisions of section 3 (e)(1),5(1), or 8(c) of the UMT Act (49 U.S.C. 1602(e)(1), 1604(1) or 1607(c), as applicable; and (4) In nonattainment areas which require transportation control measures, a finding that the program conforms with SIP in accordance with procedures in 49 CFR Part 623. APPENDIX E Summary of the Transportation-related Provisions of the Clean Air Act Amendments of 1990 Planning Procedures This section provides for review and update, if necessary, of air quality planning procedures. It provides for assigning responsibilities for plan development and implementation. The 1977 amendment to the CAA made it clear that the MPO should be the organization to develop the transportation portion of the SIP. The 1990 CAAA is less clear on this point. For example, the new Act indicates that the State certified organization for preparing the SIP shall include locally elected officials, and representatives of the State air quality planning agency, the State transportation planning agency, the MPO, the organization responsible for the air quality maintenance planning process, and any other organization responsible for developing, submitting, or implementing the SIP. The committee report that accompanied the Senate bill indicates that this provision should not require changes in existing responsibilities where relevant State, local and regional agencies have, within the last 2 years, reviewed these issues and reached agreement. Transportation Planning Guidance The EPA is required to update the 1978 transportation/air quality planning guidelines within 9 months after enactment and after consultation with DOT and public comment. These guidelines are intended to provide a framework for a continuous transportation/air quality planning process, and provide guidance on the development and implementation of transportation-related and other measures deemed necessary to attain and maintain the national ambient air quality standards (NAAQS). Emission Reduction Requirements In Moderate And Higher Classification Ozone Nonattainment Areas Within 3 years of enactment, States with moderate ozone nonattainment areas must submit SIP revisions that demonstrate emission reductions of volatile organic compounds, within 6 years of enactment of at least 15 percent, accounting for any growth in emissions that occur after enactment. Emission reductions from motor vehicle exhaust or evaporative emissions, promulgated by EPA by January 1, 1990, or controls on fuel volatility promulgated by EPA after enactment of the CAAA of 1990 cannot be credited toward the required 15 percent reductions. Measures required to correct SIPs under EPA guidance, and measures required to correct inspection and maintenance (I/M) programs also cannot be credited toward the demonstration of the 15 percent reduction. Within 4 years of enactment, Serious, Severe and Extreme areas have to submit SIP revisions that demonstrate VOC reductions that average 3 percent per year each consecutive 3-year period beginning 6 years after enactment. Transportation Control Provisions In Serious And Higher Classification Ozone Nonattainment Areas Beginning 6 years after enactment and each third year thereafter, States must submit data demonstrating whether aggregate vehicle mileage, aggregate vehicle emissions, and congestion levels are consistent with projected levels included in the SIP. Where the monitored levels exceed projected levels, SIP revisions that include TCMs are due within 18 months that will reduce emissions to levels that are consistent with those contained in the SIP which demonstrated attainment of the air quality standards. The revisions are to be developed in accordance with guidance issued by EPA. Vehicle Miles Traveled Provisions In Severe And Higher Classification Ozone Nonattainment Areas Within 2 years of enactment, States with severe ozone nonattainment areas must submit SIP revisions that identify and adopt TCMs to offset any growth in emissions from growth in VMT or growth in vehicle trips. Employers of 100 or more will need to reduce work-related trips and VMT of their employees in accordance with guidance issued by EPA. Traffic Control Measures During Heavy Traffic Hours In Extreme Ozone Nonattainment Areas Currently, Los Angeles is the only area that is classified as Extreme. Its SIP revisions may contain provisions to reduce the use of high polluting or heavy-duty vehicles during heavy traffic hours. Vehicles Miles Traveled Provisions In Carbon Monoxide Nonattainment Areas Within 2 years of enactment, CO nonattainment areas with design values above 12.7 ppm must revise their SIPs to contain annual forecasts of VMT in the area for each year until attainment. The forecasts must be made in accordance with guidance issued by EPA, in consultation with DOT, within 6 months of enactment. The SIP revisions must include contingency provisions to provide for the implementation of specific measures to be undertaken if VMT levels exceed the amount forecast or it the area fails to attain the CO standards on time. The contingency measures are to take effect without further action by the State or EPA. Vehicle Miles Traveled Provisions In Serious Carbon Monoxide Nonattainment Areas Within 2 years of enactment, Serious CO nonattainment areas must revise their SIPs to provide for the identification and adoption of TCMs to offset any growth in emissions from growth in VMT or growth in vehicle trips. Failure To Meet CO Emission Reduction Milestone By March 31, 1996, Serious CO nonattainment areas must submit data to EPA demonstrating that they have achieved CO emission reductions equal to the total specified annual emission reductions required by December 31, 1995. If a State fails to make the submission or achieve the total reductions, the State must submit a SIP revision, within 9 months of notification, to implement an economic incentive and transportation control program. The program may include incentives and requirements to reduce vehicle emissions and VMT, including TCMs. Miscellaneous Guidance On Transportation Control Measures The EPA after consultation with DOT and public comment, must issue information on the emission reduction potential of TCMs for attaining the standards. A list of 16 TCMs, which is not intended to be all inclusive, is presented. The information is to be published and made available to Federal, State, and local transportation and environmental agencies within 1 year of enactment of the CAAA. Transportation System Impacts On Clean Air The DOT and EPA must submit a report to Congress by January 1, 1993, and every 3 years thereafter. The report must contain the results of reviews of State and local air quality-related transportation programs, including the adequacy of funding for transportation projects identified in the SIP. It must also evaluate the extent to which the DOT's existing air quality-related transportation programs and proposed budget will achieve the goals of the CAAA. Finally, it must include recommended changes, if any, to existing programs and proposed budgets as well as to any statutory authority relating to air quality-related transportation programs that would improve the achievement of the goals of the CAAA. Each report after the first one must include the disposition of recommendations from the preceding report. APPENDIX F REQUIRED STATE SUBMITTALS AND ACTIONS Click HERE for graphic. APPENDIX G SELECTED PORTIONS OF THE INTERMODAL SURFACE TRANSPORTATION EFFICIENCY ACT OF 1991 Section I49, Congestion mitigation and air quality improvement program "(a) Establishment.--The Secretary shall establish a congestion mitigation and air quality improvement program in accordance with this section. "(b) Eligible Projects.--Except as provided in subsection (c), a State may obligate funds apportioned to it under section 104b)(2) for the congestion mitigation and air quality improvement program only for a transportation project or program-- "(1)(A) if the Secretary, after consultation with the Administrator of the Environmental Protection Agency, determines, on the basis of information published by the Environmental Protection Agency pursuant to section 108(f)(1)(A) of the Clean Air Act (other than clauses (xii) and (xvi) of such section), that the project or program is likely to contribute to the attainment of a national ambient air quality standard; or "(B) in any case in which such information is not available, if the Secretary, after such consultation, determines that the project or program is part of a program, method, or strategy described in such section; "(2) if the project or program is included in a State implementation plan that has been approved pursuant to the Clean Air Act and the project will have air quality benefits; or "(3) the Secretary, after consultation with the Administrator of the Environmental Protection Agency, determines that the project or program is likely to contribute to the attainment of a national ambient air quality standards, whether through reductions in vehicle miles traveled, fuel consumption, or through other factors. No funds may be provided under this section for a project which will result in the construction of new capacity available to single occupant vehicles unless the project consists of a high occupancy vehicle facility available to single occupant vehicles only at other than peak travel times. "(c) States Without a Nonattainment Area.--If a State does not have a nonattainment area for ozone or carbon monoxide under the Clean Air Act located within its borders, the State may use funds apportioned to it under section 104b)(2) for any project eligible for assistance under the surface transportation program. "(d) Applicability of Planning Requirements.--Programming and expenditure of funds for projects under this section shall be consistent with the requirements of sections 134 and 135 of this title." (b) Apportionment.--Section I04(b)(2) of such title is amended to read as follows: "(2) Congestion Mitigation and Air Quality Improvement Program.-- For the congestion mitigation and air quality improvement program, in the ratio which the weighted nonattainment area population of each State bears to the total weighted nonattainment area population of all States. The weighted nonattainment area population shall be calculated by multiplying the population of each area within any State that is a nonattainment area (as defined in the Clean Air Act) for ozone by a factor of-- "(A) 1.0 if the area is classified as a marginal ozone nonattainment area under subpart 2 of part D of title I of the Clean Air Act; "(B) 1.1 if the area is classified as a moderate ozone nonattainment area under such subpart; "(C) 1.2 if the area is classified as a serious ozone nonattainment area under such subpart; "(D) 1.3 if the area is classified as a severe ozone nonattainment area under such subpart; or "(E) 1.4 if the area is classified as an extreme ozone nonattainment area under such subpart. If the area is also classified under subpart 3 of part D of title I of such Act as a nonattainment area for carbon monoxide, for purposes of calculating the weighted nonattainment area population, the weighted nonattainment area population of the area, as determined under the preceding provisions of this paragraph, shall be further multiplied by a factor of 1.2. Notwithstanding any provision of this paragraph, in the case of States with a total 1990 census population of 15,000,000 or greater, the amount apportioned under this paragraph in a fiscal year to all of such States in the aggregate, shall be distributed more than 42 percent of the aggregate amount so apportioned to all of such states. Notwithstanding any other provision of this paragraph, each State shall receive a minimum apportioned of 1/2 of 1 percent of the funds apportioned under this paragraph. The Secretary shall use estimates prepared by the Secretary of Commerce when determining population figures." (c) Conforming Amendment.--The analysis for chapter 1 of such title is amended by striking "149. Truck lanes>" and inserting "149. Congestion mitigation and air quality improvement program." Section I34. Metropolitan planning "(a) General Requirements.--It is in the national interest to encourage and promote the development of transportation systems embracing various modes of transportation in a manner which will efficiently maximize mobility of people and goods within any through urbanized areas and minimize transportation-related fuel consumption and air pollution. To accomplish this objective, metropolitan planning organizations, in cooperation with the State, shall develop transportation plans and programs for urbanized areas of the State. Such plans and programs shall provide for the development of transportation facilities (including pedestrian walkways and bicycle transportation facilities) which will function as an intermodal transportation system for the State, the metropolitan areas, and the Nation. The process for developing such plans and programs shall provide for consideration of all modes of transportation and shall be continuing, cooperative, and comprehensive to the degree appropriate, based on the complexity of the transportation problems. "(b) Designation of Metropolitan Planning Organizations,-- "(1) In General.--To carry out the transportation planning process required by this section, a metropolitan planning organization shall be designated for each urbanized area of more than 50,000 population by agreement among the Governor and units of general purpose local government which together represent at least 75 percent of the affected population (including the central city or cities as defined by the Bureau of the Census) or in accordance with procedures established by applicable State or local law. (2) Membership of Certain MPO's.--In a metropolitan area designated as a transportation management area, the metropolitan planning organization designated for such area shall include local elected officials, officials of agencies which administer or operate major modes of transportation in the metropolitan area (including all transportation agencies included in the metropolitan planning organization on June 1, 1991) and appropriate State officials. This paragraph shall only apply to a metropolitan planning organization which is redesignated after the date of the enactment of this section. "(3) Limitation on Statutory Construction.--Nothing in this subsection shall be construed to interfere with the authority, under any State law in effect on the date of the enactment of this section, of a public agency with multimodal transportation responsibilities to- - "A) develop plans and programs for adoption by a metropolitan planning organization; and "(B) develop long-range capital plans, coordinate transit services and projects, and carry out other activities pursuant to State law. "(4) Continuing Designation.--Designations of metropolitan planning organizations, whether made under this section or other provisions of law, shall remain in effect until redesignated under paragraph (5) or revoked by agreement among the Governor and units of general purpose local government which together represent at least 75 percent of the affected population or as otherwise provided under State or local procedures. "(5) Redesignation.-- "(A) Procedures.--A metropolitan planning organization may be redesignated by agreement among the Governor and units of general purpose local government which together represent at least 75 percent of the affected population (including the central city or cities as defined by the Bureau of the Census) as appropriate to carry out this section. "(B) Certain Requests to Redesignate.--A metropolitan planning organization shall be redesignated upon request of a unit or units of general purpose local government representing at least 25 percent of the affected population (including the central city or cities as defined by the Bureau of the Census) in any urbanized area (i) whose population is more than 5,000,000 but less than 10,000,000, or (ii) which is an extreme nonattainment are for ozone or carbon monoxide as defined under the Clean Air Act. Such redesignation shall be accomplished using procedures established by subparagraph (A). "(6) Treatment of Large Urban Areas.--More than 1 metropolitan planning organization may be designated within an urbanized area as defined by the Bureau of the Census only if the Governor determines that the size and complexity of the urbanized area make designation of more than 1 metropolitan planning organization for such area appropriate. "(c) Metropolitan Area Boundaries.--For the purposes of this section, the boundaries of a metropolitan area shall be determined by agreement between the metropolitan planning organization and the Governor. Each metropolitan area shall cover at least the existing urbanized area and the contiguous area expected to become urbanized within the 20-year forecast period and may encompass the entire metropolitan statistical area or consolidated metropolitan statistical area, as defined by the Bureau of the Census. For areas designated as nonattainment areas for ozone or carbon monoxide under the Clean Air Act, the boundaries of the metropolitan area shall at least include the boundaries of the nonattainment area, except as otherwise provided by agreement between the metropolitan planning organization and the Governor. "(d) Coordination in Multistate Areas-- "(1) In General.--The Secretary shall establish such requirements as the Secretary considers appropriate to encourage Governors and metropolitan planning organizations with responsibility for a portion of a multi-State metropolitan area to provide coordinated transportation planning for the entire metropolitan area. "(2) Compacts.-- The consent of Congress is hereby given to 2 for more States to enter into agreements or compacts, not in conflict with any law of the United States, for cooperative efforts and mutual assistance in support of activities authorized under this section as such activities pertain to interstate areas and localities within such States and to establish such agencies, joint or otherwise, as such States may deem desirable for making such agreements and compacts effective. "(e) Coordination of MPO's.--If more than 1 metropolitan planning organization has authority within a metropolitan area or an area which is designated as a nonattainment area for ozone or carbon monoxide under the Clean Air Act, each metropolitan planning organization shall consult with the other metropolitan planning organizations designated for such area and the State in the coordination of plans and programs required by this section. "(f) Factors to be Considered.--In developing transportation plans and programs pursuant to this section, each metropolitan planning organization shall, at minimum, consider the following: "(1) Preservation of existing transportation plans and programs pursuant to this section, each metropolitan planning organization shall, at a minimum, consider the following; "(2) The consistency of transportation planning with applicable Federal, State, and local energy conservation programs, goals, and objectives. "(3) The need to relieve congestion and prevent congestion from occurring where it does not yet occur. "(4) The likely effect of transportation policy decisions on land use and development and the consistency of transportation plans and programs with the provisions of all applicable short-and long-term land use and development plans. "(5) The programming of expenditure on transportation enhancement activities as required in section 133. "(6) The effects of all transportation projects to be undertaken within the metropolitan area, without regard to whether such projects are publicly funded. "(7) International border crossings and access to ports, airports, intermodal transportation facilities, major freight distribution routes, national parks, recreation areas, monuments and historic sites, and military installations. "(8) The need for connectivity of roads within the metropolitan area with roads outside the metropolitan area. "(9) The transportation needs identified through use of the management systems required by section 303 of this title. "(10) Preservation of rights-of-way for construction of future transportation projects, including identification of unused rights-of- way which may be needed for future transportation corridors and identification of those corridors for which action is most needed to prevent destruction or loss. "(11) Methods to enhance the efficient movement of freight. "(12) The use of life-cycle costs in the design and engineering of bridges, tunnels, or pavement. "(13) The overall social, economic, energy, and environmental effects of transportation decisions. "(14) Methods to expand and enhance transit services and to increase the use of such services. "(15) Capital investments that would result in increased security in transit systems. "(g) Development of Long Range Plan.-- "(1) In General.--Each metropolitan planning organization shall prepare, and update periodically, according to schedule that the Secretary determines to be appropriate, a long range plan for its metropolitan area in accordance with the requirements of this subsection. "(2) Long Range Plan.--A long range plan under this section shall be in a form that the Secretary determines to be appropriate and shall, at a minimum: "(A) Identify transportation facilities (including but not necessarily limited to major roadways, transit, and multimodal and intermodal facilities) that should function as an integrated metropolitan transportation system, giving emphasis to those facilities that serve important national and regional transportation functions. In formulating the long range plan, the metropolitan planning organization shall consider factors described in subsection (f) as such factors relate to a 20-year forecast period. "(B) Include a financial plan that demonstrates how the long-range plan can be implemented, indicates resources from pubic and private sources that are reasonably expected to be made available to carry out the plan, and recommends any innovative financing techniques to finance needed projects and programs, including such techniques as value capture, tolls nd congestion pricing. "(C) Assess capital investment and other measures necessary to-- "(i) ensure the preservation of the existing metropolitan transportation system, including requirements for operational improvements, resurfacing, restoration, and rehabilitation of existing and future transit facilities; and "(ii) make the most efficient use of existing transportation facilities to relieve vehicular congestion and maximize the mobility of people and goods. "(D) Indicate as appropriate proposed transportation enhancement activities. "(3) Coordination with Clean Air Act Agencies.--In metropolitan areas which are in nonattainment for ozone or carbon monoxide under the Clean Air Act, the metropolitan planning organization shall coordinate the development of a long range plan with the process for development of the transportation control measures for the State implementation plan required by the Clean Air Act. "(4) Participation by Interested Parties.--Before approving a long range plan, each metropolitan planning organization shall provide citizens, affected public agencies, representatives of transportation agency employees, private providers of transportation, and other interested parties with reasonable opportunity to comment on the long range plan, in a manner that the Secretary deems appropriate. "(5) Publication of Long Range Plan.--Each long range plan prepared by a metropolitan planning organization shall be-- "(i) published or otherwise made readily available for pubic review; and "(ii) submitted for information purposes to the Governor at such times and in such manner as the Secretary shall establish. "(h) Transportation Improvement Program.-- "(1) Development.--The metropolitan planning organization designated for a metropolitan area, in cooperation with the State and affected transit operators, shall develop a transportation improvement program for the area for which such organization is designated. In developing the program, the metropolitan planning organization shall provide citizens, affected employee representatives, private providers of transportation, and other interested parties with a reasonable opportunity to comment on the proposed program. The program shall be updated at least once every 2 years and shall be approved by the metropolitan planning organization and the Governor. "(2) Priority of Projects.--The transportation improvement program shall include the following: "(A) A priority list of projects and project segments to be carried out within each 3 -year period after the initial adoption of the transportation improvement program. "(B) A financial plan that demonstrates how the transportation improvement program can be implemented, indicates resources from public and private sources that are reasonably expected to be made available to carry out the plan, and recommends any innovative financing techniques to finance needed projects and programs, including value capture, tolls, and congestion pricing. "(3) Selection of Projects.--Except as otherwise provided in subsection (i)(4), project selection in metropolitan areas for projects involving Federal participation shall be carried out by the State in cooperation with the metropolitan planning organization and shall be in conformance with the transportation improvement program for the area. "(4) Major Capital Investments.--Not later than 6 months after the date of enactment of this section, the Secretary shall initiate a rulemaking proceeding to conform review requirements for transit projects under the National Environmental Policy act of 1069 to comparable requirements under such Act applicable to highway projects. Nothing in this section shall be construed to affect the applicability of such Act to transit or highway projects. "(5) Included Projects.--A transportation improvement program for a metropolitan area developed under this subsection shall include projects within the area which are proposed for funding under this title and the Federal Transit Act and which are consistent with the long range plan developed under subsection (g) for the area. The program shall include a project, or an identified phase of a project, only if full funding can reasonably be anticipated to be available for the project within the time period contemplated for completion of the project. "(6) Notice and Comment.-- Before approving a transportation improvement program, a metropolitan planning organization shall provide citizens, affected public agencies, representatives of transportation agency employees, private providers of transportation, and other interested parties with reasonable notice of and an opportunity to comment on the proposed program. "(i)Transportation Management Areas.-- "(1) Designation.--The Secretary shall designate as transportation management areas all urbanized areas over 200,000 population. The Secretary shall designate any additional area as a transportation management area upon the request of the Governor and the metropolitan planning organization designated for such area or the affected local officials. Such additional areas shall include upon such a request the Lake Tahoe Basin s defined by Public Law 96-551. "(2) Transportation Plans and Programs.--Within a transportation management area, transportation plans and programs shall be based on a continuing and comprehensive transportation planning process carried out by the metropolitan planning organization in cooperation with the State and transit operators. "(3) Congestion Management System.--Within a transportation management area, the transportation planning process under this section shall include a congestion management system that provides for effective management of new and existing transportation facilities eligible for funding under this title and the Federal Transit Act through the use of travel demand reduction and operational management strategies. The Secretary shall establish and appropriate phase-in schedule for compliance with the requirements of this section. "(4) Selection of Projects.--All projects carried out within the boundaries of a transportation management area with Federal participation pursuant to this title (excluding p