|
Major Metropolitan Transportation Investments/Major Investment Studies Guidance
Click HERE for graphic. COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF TRANSPORTATION HARRISBURG, PENNSYLVANIA 17120 OFFICE OF SECRETARY OF TRANSPORTATION July 11, 1994 Attached is the Pennsylvania Department of Transportation's guidance on identifying Major Metropolitan Transportation Investments (MMTIs) and for conducting Major Investment Studies (MISs). This guidance was developed in response to the Metropolitan Planning Final Rules which were jointly issued by the Federal Highway Administration and Federal Transit Administration and became effective on November 29, 1993. This guidance is the result of a cooperative effort of the Department, FHWA, FTA, Turnpike Commission, MPOs and transit authorities. The purpose of this guidance is to facilitate the identification of MMTIs by the Metropolitan Planning Organizations and the Department. The guidance also provides background technical information for the preparation of an MIS and any supporting documentation. More detailed information on the actual preparation of an MIS document will be prepared and distributed in the near future. MAJOR INVESTMENT STUDY PROCEDURES I. Background In response to the 1991 Intermodal Surface Transportation Efficiency Act (ISTEA), the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) issued new regulations governing the development of transportation plans and programs in urbanized areas. One aspect of the new regulations is the requirement for the development of Major Investment Studies (MISs). The regulations state that where the need for a MIS is identified, and Federal funds are potentially involved, major investment (corridor or subarea) studies shall be undertaken to develop or refine the long range transportation plan and lead to decisions by the Metropolitan Planning Organization (MPO), in cooperation with participating agencies (described in Section VI.A. of this guidance), on the design concept and scope of the investment. The regulations for MIS are contained in the Metropolitan Planning Final Rules (23 CFR Part 450.318) issued on October 28, 1993 and which became effective on November 29, 1993. II. Purpose and Scope The purpose of this document is to provide background guidance on MISs and on initial technical assistance for the preparation of MISs and any supporting documentation. This document outlines the MIS development process, but allows for sufficient flexibility in the identification of MIS projects and the actual development of an MIS. The primary intent of the Federal regulations is that the identification of the Major Metropolitan Transportation Investment (MMTI) and the development of the MIS are to be a part of the metropolitan transportation planning process. This constitutes Option I of Attachment I to this document. However, projects which are identified as MMTIs may be included on the MPO's Transportation Plan on an assumed alternative basis prior to the performance of the MIS. See 23 CFR, Part 450.322(b)(8) for details. Since the phase-in of the MMTI requirement is immediate, the MIS process for projects which are presently nearing the implementation stage will often need to take place during the NEPA stage. This conforms to Option II of Attachment I to this document. III. Definitions Major Metropolitan Transportation Investment (MMTI) - A high type highway or transit improvement of substantial cost that is expected to have a significant effect on capacity, traffic flow, level of service, or mode share at the transportation corridor or subarea scale. Consultation among the MPO, the Department, transit operator, the FHWA and FTA may lead to the designation of other proposed improvements as major investments beyond the following list of examples. Examples of such investments could include but are not limited to: (1) construction 1 of a new full or partially controlled access (access allowed only for public roads) principal arterial (includes interstates and expressways), (2) extension of an existing full or partially controlled access (access allowed only for public roads) principal arterial by one or more miles, (3) capacity expansion of a full or partially controlled access (access provided only for public roads) principal arterial by at least one lane through widening or an equivalent increase in capacity produced by access control or technological improvement, (4) construction or extension of a HOV facility or a fixed guideway transit facility for a distance of one or more miles, (5) the addition of lanes or tracks to an existing fixed guideway transit facility for a distance of one or more miles or (6) a substantial increase in transit service on a fixed guideway facility which results from a substantial capital investment. A fixed guideway refers to any public transportation facility which utilizes and occupies a designated right-of-way or rails including rapid rail, light rail, commuter rail, busways, automated guideway transit, people movers, etc. Projects that are generally not considered to be major transportation investments include but are not limited to: (1) highway projects on principal arterials where access is not limited to public roads only, (2) small scale improvements or extensions (normally less than one mile) on principal arterials with the primary goal of relieving localized safety or operational difficulties, (3) resurfacing, replacement, or rehabilitation of existing principal arterials and structures and fixed transit guideways and structures, (4) highway projects not located on a principal arterial, and (5) changes in transit routing and scheduling. Major Investment Study (MIS) - A study process that is initiated to develop or refine the long range transportation plan and leads to decisions by the MPO and the Department in cooperation with other participating agencies and public on the design concept and fiscal scope of an investment. The primary purpose of an MIS is to provide information about the likely impacts and consequences of proposed investment strategies and to assist in determining the strategy to be implemented. When completed, the MIS will broaden the consideration of options earlier in the planning process such that local officials and the Department may be provided an array of choices in the planning process to improve the performance of the transportation system. In addition, the MIS will substantially improve the linkage between the planning process and the environmental review process under the National Environmental Policy Act (NEPA). To the extent appropriate, the MIS shall evaluate the ability and cost effectiveness of alternative investments or strategies in attaining local, state and national goals and objectives. IV. Applicability MIS is applicable to all 14 of Pennsylvania's MPOs and their respective metropolitan planning areas. Currently, the metropolitan planning areas include entire nonattainment areas even though portions of the nonattainment area may be outside the MPO's normal jurisdiction. However, the planning area boundary may be redefined based upon the agreement of the MPOs and the Governor as outlined in 23 CFR Part 450.310(f). Until such agreements are in place, the MIS requirements apply to the metropolitan planning area in accordance with the above definition. The MIS provisions do not apply to projects where an environmental clearance has occurred via the granting of a Record of Decision (ROD) or a Finding of No Significant Impact (FONSI) 2 on or before November 29, 1993. The procedures for MIS are classified into two scenarios: (1) projects where the environmental process has not been initiated, and (2) projects where the environmental process is underway or completed between November 29, 1993 and the issuance of these procedures. Federal planning PL, Section 8/9 and SPR funds, as well as FHWA/FTA preliminary engineering funds, may be used to conduct MISs. V. Projects Affected PennDOT, the MPO, and the project sponsor, in consultation with the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA), will determine which high type highway or transit projects, if any, in their respective area require an MIS. In order for a project to be considered an MMTI, all of the following criteria must be met: þ it is a high type highway or transit project as previously defined, þ it will have a significant financial impact, þ it will have a significant affect on capacity, traffic flow, levels of service or mode share at the transportation corridor or subarea level. For projects that meet the above criteria, but are only partially within the MPO study area, the MPO in conjunction with the Department, FHWA and FTA will determine if the project has a significant effect on the MPO's plan and program. If it is determined that the project has a regional impact on the MPO's plan and program, an MIS will be initiated. If the MPO decides to initiate an MIS under this circumstance, the study area must be identical to the study area that has been defined by the NEPA process. In such cases, representatives of the affected county government(s) outside of the MPO study area must be included in the process. Initially, and in future years, a review of the MPO's long range plan and TIP should be made to identify candidate MMTIs. This review could be done annually, but it must be done concurrently with the update of the long range plan. MPO approval of the candidate MMTIs is required, and the decision making process must be documented. VI. Environmental Study (NEPA) Not Initiated for the MMTI Where an environmental study as required by NEPA has not been initiated, the following steps should be followed. In all cases, the MIS must be included in the MPO's Unified Planning Work Program (UPWP) and Transportation Improvement Program (TIP) if Federal capital funds administered by FHWA/FTA are involved, prior to the commencement of the study. A. The project sponsor and the MPO will convene a meeting to determine the extent of the analysis and agency roles and to determine which agency or agencies will have the lead role in the MIS development. Invitees to the meeting must include the MPO, PennDOT, PTC (where appropriate), public transit operators, environmental resource and permitting agencies, FHWA, FTA and where appropriate, community development agencies, major governmental housing bodies and other related agencies as may be affected by the 3 proposed scope of analysis. In counties outside of the MPO's jurisdiction but within the nonattainment area, the meeting will not only include the previously listed agencies, but the county planning commission and/or other county agency and the local development district (LDD). The initial meeting with the agencies will not include the general public since the purpose of the meeting is to discuss administrative matters and agency roles. However, after the initial meeting, the MIS development process and study alternatives must include citizens and other interested parties in a manner that is consistent with the MPO's locally adopted public participation procedures. This proactive public participation process will be maintained throughout the life of the study. Decisions will be made by consensus and will be made with the full benefit of public and agency input. B. A decision by consensus (project sponsor and MPO) will be made as to whether the proposed study will serve to initiate the NEPA process and result in the subsequent development of the draft environmental document or whether the MIS will be documented into a report that precedes and serves as input into the NEPA process (refer to Attachment I). For proposed discretionary Section 3 "new start" projects, the MIS will serve as the alternatives analysis and will also serve as the primary source of information for the Section 3(i)(1)(A)Secretarial findings which include findings on cost-effectiveness, local financial commitment and capacity, mobility improvements, environmental benefits, economic development, operating efficiency, etc. In cases where the Department and the MPO agree that the NEPA process as outlined in the Department's Environmental Impact Statement Handbook (Publication Number 278) should be initiated and it has been determined that an MIS is warranted, the MIS and the Department's 10 step transportation project development process will be incorporated into one concurrent process (refer to attachments II & III). The MIS process will be undertaken during the period from Step 1 through Step 4 as outlined in the handbook and will be incorporated into the Phase I Preliminary Alternatives Analysis report as outlined in the handbook. The required MIS agency participation as outlined in Section VI A. will be continued through the process. Therefore, the MIS requirements as outlined in this guidance will become an integral part of the Department's 10 step transportation project development process. A decision will be made as to whether the Single Occupancy Vehicle (SOV) Interim Congestion Management System (CMS) analysis will be incorporated into the MIS for the ozone and CO non- attainment TMAs. The interested parties (see Section VI.A) will have to weigh the advantages and disadvantages of a combined CMS/MIS study. However, the CMS-SOV analysis will need to be initiated first since the analysis will determine if any MIS alternatives that meet the project need remain. The results of the CMS-SOV analysis may eliminate the need for a major investment. 4 C. The MIS will consider an appropriate set of alternatives and their impact on the environment including socio-economic impacts. The alternatives to be considered should be broad ranging in character. They may include, but are not limited to, traditional highway and transit options as well as multi-modal options. The study may also include new technology alternatives such as Intelligent Vehicle Highway Systems (IVHS) and shall consider general alignment, number of lanes, demand management and operational characteristics. The cost effectiveness and financial feasibility of the MMTI must also be considered. At a minimum, the identification of alternatives should be consistent with Step 4B of the Department's 10 step transportation project development process. The analysis shall consider the direct and indirect costs of reasonable alternatives. Such factors to be considered include: mobility improvements, social, economic and environmental effects, safety, operating efficiencies, land use and economic development, financing and energy consumption. D. The study will lead to the determination of the project's design concept and scope of investment. The information from the completed MIS will be used in any subsequent environmental documentation. VII. NEPA Process Initiated for the MMTI Where the NEPA process is underway, the following steps should be followed. Again, the MIS must be included in the MPO's UPWP and on the TIP when capital funds administered by FHWA/FTA are involved. A. NEPA Process Underway - Preliminary Alternatives Analysis (Step 4) Not Yet Completed The process will be essentially as outlined in Section VI. above, and the MIS will be incorporated into the NEPA document(s). B. NEPA Process Has Advanced Beyond Preliminary Alternatives Analysis (Step 4) FHWA and FTA will be consulted as to the integration of the MIS requirements into the project development process. The amount of additional documentation will depend on the nearness of the environmental document's completeness and other factors. An initial meeting of the project sponsor, PennDOT, MPO, FHWA and FTA may be held, or the consultation process may begin with the circulation of a report prepared by the project sponsor which details the consideration given or to be given to transportation alternatives and strategies, including mass transit and the upgrading of the existing infrastructure, during the alternative analysis process. The report must document the nature and extent of the public and agency involvement in the process. At a minimum, the report should be circulated to the Department, MPO, FHWA, FTA and all major operators of public transit serving the project area. In cases where the NEPA process has advanced beyond the DEIS stage, and where the report demonstrates general compliance with the MIS 5 concepts, the consultation process may conclude with a consensus finding that the MIS requirements have been essentially met by the NEPA process. This finding must be acknowledged by the FHWA and FTA, and the consultation process must be fully documented in the environmental document. Where the report and/or the preliminary consultation process indicates that additional study may be necessary to perform a complete MIS, a consultation meeting will be held as outlined in section VI.A, above and the roles of each participating agency will be determined. The meeting should be substantially similar to the meeting in Step 1E.1 of the EIS Handbook. Any additional work that is identified that addresses the MIS requirements will be incorporated into the NEPA document. The MPO will coordinate its own public participation process with any ongoing project specific NEPA public involvement; this coordination will be resolved at the initial consultation meeting. The MPO's public participation process should enhance the ongoing NEPA public involvement process. VIII. Department/MPO Actions Needed to Complete MIS It is critically important that the technical and policy committees of the MPO be kept fully aware of the status of all MIS initiatives. While it appears likely that the Technical Committee will be actively involved in any MIS, there needs to be a linkage with the MPO policy body. This MPO policy body involvement can be accomplished through one or more of the various forms listed below: A. receiving periodic status reports B. reviewing and commenting on pre-draft documents C. reviewing, commenting and approving draft documents D. adoption of a resolution that accepts the recommendations included in the MIS E. endorsing the final MIS document When the MIS is performed concurrent with and included as part of the NEPA document, the desirable MPO policy body action will include item D or E above. The final results of the MIS must be included in the MPO's financially constrained transportation plan and TIP as required in CFR Parts 450.322(b)11 and 450.324e. In nonattainment areas, a conformity determination on the revised plan and TIP will be necessary prior to advancing the proposed project with Federal funds. Appropriate discussion of the MIS process end results should always be included in the NEPA document(s). IX. Federal Decision Process For any MIS that results in a revised long range plan, there are no required approvals by FHWA and/or FTA, other than conformity determinations on nonattainment or maintenance area MPO long range plans. In these situations, FHWA/FTA must be provided copies of the revised plan. If the MIS results in a change to the TIP and STIP, FHWA/FTA will need to approve the STIP 6 amendment, including conformity. For any MIS that is developed concurrent to the NEPA process, the Federal decision process by FHWA and/or FTA will consist of a ROD or FONSI which will not be issued until the MMTI analysis requirements are fulfilled. Where possible, the MIS will be completed prior to the circulation of a DEIS. If circulation of the DEIS has occurred prior to the issuance of this policy, completion of the MIS must occur prior to the approval of the FEIS. In cases where the FEIS was completed prior to the effective date of the MIS requirements, but a ROD has not been issued, the MIS must be completed with concurrence by FHWA/FTA prior to the ROD being issued. The Federal decision agency may opt to include the MIS as an attachment to the ROD, or may simply include reference to the MIS in the ROD, or both. X. Glossary of Acronyms CFR Code of Federal Regulations CMS Congestion Management System DEIS Draft Environmental Impact Statement EIS Environmental Impact Statement FEIS Final Environmental Impact Statement FHWA Federal Highway Administration FONSI Finding of No Significant Impact FTA Federal Transit Administration HOV High Occupancy Vehicle ISTEA Intermodal Surface Transportation Efficiency Act IVHS Intelligent Vehicle Highway Systems LDD Local Development District MIS Major Investment Study MMTI Major Metropolitan Transportation Investment MPO Metropolitan Planning Organization NEPA National Environmental Policy Act PTC Pennsylvania Turnpike Commission ROD Record of Decision SOV Single Occupancy Vehicle TIP Transportation Improvement Program TMA Transportation Management Area UPWP Unified Planning Work Program 7 Click HERE for graphic. Click HERE for graphic. Click HERE for graphic.
