Moving Ahead for Progress in the 21 st Century An Overview of MAP-21

Overview of the New Transportation Alternatives Program

Moving Ahead for Progress in the 21st Century

An Overview of MAP-21

1What Happened in MAP-21?Funding ContinuityConsolidation/SimplificationMore Localized Decision-MakingEmphasis on SafetyPerformance ManagementAccelerating Projects and ProgramsFocus on Freight

2Topics and FormatSessionPresenterTime1. Program Changes and FundingJoe Werning9:00-9:20Q&A9:20-9:302. Transportation Alternatives ProgramJustin Luther9:30-10:00Q&A10:00-10:103. Performance-Based FAHPDoug Atkin10:10-10:30Q&A10:30-10:40Break10:40:10:504. Environmental ProvisionsMelissa Maiefski10:50-11:20Q&A11:20-11:305. Other Provisions of InterestDoug Atkin11:30-11:45Open Discussion11:45-12:003

Program Changes and FundingMAP-21Joe Werning4Program authorized through FY14Current law through end of FY12Most new provisions go into effect on October 1st

Avg. annual funding at FY12 levels (plus minor inflation)

Extends Highway Trust Fund taxes and ensures 2 years of solvency for Highway Trust Fund (HTF)

Substantial programmatic consolidationNo earmarksMost discretionary programs eliminated

5Stable Funding5$37.7 billion/yearin formula funding6National Highway Performance Program ($21.8)Surface TransportationProgram ($10.0)HSIP ($2.2)CMAQ ($2.2)Transportation Alternatives ($0.8)Metro Planning ($0.3)Note: Amounts in $ billions; individual program amounts do not add exactly to total due to roundingRailway-Highway Crossing ($0.2)6MAP- 21 Core ProgramsNHPPSTPHSIPCMAQPLTAPNationwide

7National Highway Performance Program (NHPP)8Program Purpose:

Provide support for condition and performance of NHS

Provide support for construction of new NHS facilities

Ensure Federal-aid investments are directed toward achievement of performance targets established in State asset management plan

8NHPPNew Federal-aid program. Funded at $21.8 B per year

Funds an enhanced National Highway System, combining functions of the existing NHS, IM and Bridge Programs

Enhanced NHS includes existing NHS, all principle arterials, STRAHNET, and intermodal connectors

Requires an asset management plan

States set targets for conditions and performance

Min. standards for Interstate & bridge conditions in a StateDOT to set minimum standard for Interstate pavement condition Law sets standard for NHS bridges -- no more than 10% of deck area may be structurally deficient

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9Surface Transportation Program (STP)Program Purpose:

Provide flexible funding for States and localities

Fund projects to preserve and improve conditions and performance on: - any Federal-aid highway- bridge and tunnel projects on any public road- pedestrian and bicycle infrastructure- transit capital projects

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10STPContinued flexible funding for Federal-aid highways,plus safety and bridges on any public road ($10 B/year)

Eligibility for transportation enhancements, rec trails, ferry boats, consolidated border infrastructure program, truck parking facilities, and safe routes to schools (no set-aside)

50% of funds subject to suballocation based on population

Rural provisions enhancedRural planning organizations, if any, must be consultedUp to 15% of rural suballocation may be spent on minor collectors11

11Highway Safety Improvement Program (HSIP)12Program Purpose:

Aimed at significant reduction in traffic fatalities and serious injuries on all public roads, including non-state owned public roads and roads on tribal lands

Requires data-driven, strategic approach to improving highway safety on all public roads

12HSIPDramatically increases size of existing program ($2.4 B)

Maintains current structure; adds requirement for regular update of the strategic highway safety plan

Keeps setaside ($220M/year) for rail-highway grade crossings

No high risk rural roads setaside unless safety statistics worsen

Secretary to establish measures and States to set targets for number of injuries and fatalities (and number per VMT)

Strengthens link between HSIP and NHTSA programs 13

13Congestion Mitigation & Air Quality Improvement Program (CMAQ)Program Purpose:

Provide a flexible funding source to State and locals for transportation projects and programs to help meet CAA requirements

Aimed at reducing congestion and improving AQ for areas that fail to meet NAAQS

1414CMAQ Program continued from previous law

Dramatically increases size of existing program ($2.21 B)

State without nonattainment or maintenance area may use CMAQ funds any CMAQ or STP eligible project

MAP-21 requires new performance based features- rulemaking within 18 months- establish State measures to assess traffic congestion & mobile emissions- States required to establish targets 1-year from final rule- Extra reporting required for nonattainment TMAs (> 1 million)

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15Metropolitan Planning (PL)Program Purpose:

Provide funding for administering 3C transportation planning and programming processes in metropolitan areas

Provides framework for making transportation investment decisions 16

16Metropolitan Planning (PL) Program continued from previous law ($332 M)

MAP-21 modifies metro planning process- MPOs required to establish performance based approach - MPOs must establish performance targets - Performance targets must be coordinated with stakeholders- Targets required 180 days after State/transit operator establish targets- By 7/6/2014, MPOs must include officials of public transit operators

MPO Plan and TIP required to address performance measures & targets

By 7/6/2017 Report to Congress on performance based planning

1717MAP- 21 Core ProgramsNHPPNHPPHSIPSTPSTPCMAQPLHSIPCMAQPLTAPTAP $21.8 B$10.0 B$2.4 B$2.21 B$332 M$809 M$168.2 M$77.4 M$18.5 M$9.95 M$1.6 M$6.7 MLCLCMAPAMAPALCLCMAPALCLCState Flex< 200 K< 5 KState Flex< 200 K< 5 KNationwide

Nebraska

$823K$539 K$2.7 M$386K$981K$1.2 MRec TrailsSIMPCOGI$13.5 M$5.3 M$7.4 M$31.7 M$11.3 MSTP Off System Bridge$3.8 MState & Local

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Transportation Alternatives MAP-21Justin Luther19Funding LevelsSimilar funding levels to the Transportation Enhancement Activities under SAFETEA-LU:FY 2013: $808,760,000FY 2014: $819,900,000

Total TAP funding is 2% of MAP-21 highway funding.

Funded via set-aside from each States formula programs. $6.7 MRec Trails$809 M< 200 K< 5 K$823K$539 K$2.7 MTAPTAPMAPALCLC$1.2MState Flex$981K$386KAdditional notes:Funding is similar to the Transportation Enhancement program during SAFETEA-LU. This level of funding is less than the combined total for TE, Safe Routes to School, and the Recreational Trails Program during SAFETEA-LU. Combined, these programs were $1.1 billion in FY 2009.

20 Funding structureSteps in the TAP sub-allocation process:States receive an apportionment of TAP funds.Funds are set aside for the Recreational Trails Program at FY 2009 levels ($84.16 m) (unless the State opts out).Of the remaining funds:50% are suballocated by population (large urbanized areas, other urban areas, rural areas).50% are available for any area of the State.

Additional notes:This slide explains how the funds are distributed within a State.

The RTP subapportionment takes place prior to suballocating the funds.If a State opts out of the RTP, then the RTP funds are retained as TAP funds. The suballocation would apply to all funds.For FY 2013, Florida and Kansas opted out.

21 TAP Eligible activitiesTransportation Alternatives (TA) as defined:Construction, planning, and design of facilities for pedestrians, bicyclists, ... compliance with Americans with Disabilities Act.safe routes for non-drivers to access daily needs. Conversion and use of abandoned railroad corridors for trails Construction of turnouts, overlooks, and viewing areas.

MAP-21 defined new Transportation Alternatives (TA) activities in the Definitions in 23 U.S.C. 101(a)(29). The definitions incorporate most, but not all, Transportation Enhancement (TE) activities. Bicycle and pedestrian projects remain broadly eligible across the entire Federal-aid highway program.

Transportation alternatives.--The term transportation alternatives means any of the following activities when carried out as part of any program or project authorized or funded under this title, or as an independent program or project related to surface transportation:Construction, planning, and design of on-road and off-road trail facilities for pedestrians, bicyclists, and other nonmotorized forms of transportation, including sidewalks, bicycle infrastructure, pedestrian and bicycle signals, traffic calming techniques, lighting and other safety-related infrastructure, and transportation projects to achieve compliance with the Americans with Disabilities Act of 1990.Construction, planning, and design of infrastructure-related projects and systems that will provide safe routes for non-drivers, including children, older adults, and individuals with disabilities to access daily needs. Conversion and use of abandoned railroad corridors for trails for pedestrians, bicyclists, or other nonmotorized transportation users.Construction of turnouts, overlooks, and viewing areas.Community improvement activities, includinginventory, control, or removal of outdoor advertising;historic preservation and rehabilitation of historic transportation facilities;vegetation management practices in transportation rights-of-way to improve roadway safety, prevent against invasive species, and provide erosion control; andarchaeological activities relating to impacts from implementation of a transportation project eligible under this title.Any environmental mitigation activity, including pollution prevention and pollution abatement activities and mitigation toaddress stormwater management, control, and water pollution prevention or abatement related to highway construction or due to highway runoff, including activities described in 23 U.S.C. sections 133(b)(11), 328(a), and 329; orreduce vehicle-caused wildlife mortality or to restore and maintain connectivity among terrestrial or aquatic habitats.22TAP Eligible Activities (continued)TA as defined (continued)Community improvement activities, includinginventory, control, or removal of outdoor advertising;historic preservation and rehabilitation of historic transportation facilities;vegetation management practicesarchaeological activities relating to impacts from implementation of a transportation project eligible under this title.

Transportation alternatives.--The term transportation alternatives means any of the following activities when carried out as part of any program or project authorized or funded under this title, or as an independent program or project related to surface transportation:Construction, planning, and design of on-road and off-road trail facilities for pedestrians, bicyclists, and other nonmotorized forms of transportation, including sidewalks, bicycle infrastructure, pedestrian and bicycle signals, traffic calming techniques, lighting and other safety-related infrastructure, and transportation projects to achieve compliance with the Americans with Disabilities Act of 1990.Construction, planning, and design of infrastructure-related projects and systems that will provide safe routes for non-drivers, including children, older adults, and individuals with disabilities to access daily needs. Conversion and use of abandoned railroad corridors for trails for pedestrians, bicyclists, or other nonmotorized transportation users.Construction of turnouts, overlooks, and viewing areas.Community improvement activities, includinginventory, control, or removal of outdoor advertising;historic preservation and rehabilitation of historic transportation facilities;vegetation management practices in transportation rights-of-way to improve roadway safety, prevent against invasive species, and provide erosion control; andarchaeological activities relating to impacts from implementation of a transportation project eligible under this title.Any environmental mitigation activity, including pollution prevention and pollution abatement activities and mitigation toaddress stormwater management, control, and water pollution prevention or abatement related to highway construction or due to highway runoff, including activities described in 23 U.S.C. sections 133(b)(11), 328(a), and 329; orreduce vehicle-caused wildlife mortality or to restore and maintain connectivity among terrestrial or aquatic habitats.23 TAP Eligible Activities (continued)TA as defined (continued)Any environmental mitigation activityaddress stormwater management, control, and water pollution prevention or abatement related to highway construction or due to highway runoff; orreduce vehicle-caused wildlife mortality or to restore and maintain connectivity among terrestrial or aquatic habitats.

Transportation alternatives.--The term transportation alternatives means any of the following activities when carried out as part of any program or project authorized or funded under this title, or as an independent program or project related to surface transportation:Construction, planning, and design of on-road and off-road trail facilities for pedestrians, bicyclists, and other nonmotorized forms of transportation, including sidewalks, bicycle infrastructure, pedestrian and bicycle signals, traffic calming techniques, lighting and other safety-related infrastructure, and transportation projects to achieve compliance with the Americans with Disabilities Act of 1990.Construction, planning, and design of infrastructure-related projects and systems that will provide safe routes for non-drivers, including children, older adults, and individuals with disabilities to access daily needs. Conversion and use of abandoned railroad corridors for trails for pedestrians, bicyclists, or other nonmotorized transportation users.Construction of turnouts, overlooks, and viewing areas.Community improvement activities, includinginventory, control, or removal of outdoor advertising;historic preservation and rehabilitation of historic transportation facilities;vegetation management practices in transportation rights-of-way to improve roadway safety, prevent against invasive species, and provide erosion control; andarchaeological activities relating to impacts from implementation of a transportation project eligible under this title.Any environmental mitigation activity, including pollution prevention and pollution abatement activities and mitigation toaddress stormwater management, control, and water pollution prevention or abatement related to highway construction or due to highway runoff, including activities described in 23 U.S.C. sections 133(b)(11), 328(a), and 329; orreduce vehicle-caused wildlife mortality or to restore and maintain connectivity among terrestrial or aquatic habitats.24TAP Eligible Activities (continued)The Recreational Trails Program under section 206.Safe Routes to School under section 1404 of the SAFETEALU.Planning, designing, or constructing boulevards and other roadways largely in the right-of-way of former Interstate System routes or other divided highways.

Additional notes:In addition to the TA activities that were listed, TAP funds may also be used for the Recreational Trails Program; Safe Routes to School; and planning, designing, or constructing roadways largely in the right of way of former Interstate routes.States may continue operating both the SRTS and RTP.25TE Activities No Longer EligibleSafety and educational activities for pedestrians and bicycles.Acquisition of scenic easements and scenic or historic sites.Scenic or historic highway programs (including visitor and welcome centers).Historic preservation as an independent activity unrelated to historic transportation facilities.Operation of historic transportation facilities.Archaeological planning and research undertaken for proactive planning. This category now must be used only as mitigation for highway projects.Transportation museums.

Additional notes:There are several Transportation Enhancement activities that are no longer eligible (see list on slide).If States have prior year TE funds available, those funds will continue to be available for their specified period of availability under the same terms and conditions in effect prior to the effective date of MAP-21. States may continue to use TE funds for the discontinued activities until the TE funds are obligated, rescinded, or lapsed.

26Safe Routes to School EligibilityNo set-aside funding for SRTS.All eligibilities remain.Allocation of funds for Infrastructure and Non-infrastructure activities do not apply (because there is no apportionment).Option to have a State SRTS coordinator, not required.No National Clearinghouse requirement or funds.

Safe Routes to School (SRTS)States may continue with Safe Routes to School (SRTS) activities. SRTS funds may be used for pedestrian and bicycle education activities for children K-8.There are no dedicated funds but States may choose to continue SRTS projects and activities. All SRTS eligibilities remain.Because there is no apportionment, there is no requirement to set aside funds for infrastructure or noninfrastructure activities. In SAFETEA-LU, States had to spend at least 10 percent and up to 30 percent of their SRTS funds on noninfrastructure projects. MAP-21 does not have this same requirement.In SAFETEA-LU, States were required to have a full-time SRTS coordinator. This position may be continued and funded by the TAP, but is not required.If States have prior year SRTS funds available, those funds will continue to be available under the same terms and conditions in effect prior to the effective date of MAP-21. States may continue to use SRTS funds until the SRTS funds are expended.MAP-21 did not require, or provide funds for, a National SRTS Clearinghouse.27Recreational Trails Program EligibilityRTP usually administered by a State resource agency.Funds set aside from TAP (prior to sub-allocation), unless the State opts out.1% returned to FHWA for administration.All other RTP provisions and requirements remain the same.States can opt out of the RTP. If so:Funds remain as TAP funds (prior to sub-allocation).The State does not return 1 percent to FHWA administration.The State cannot use funds for State RTP administrative costs.The State may use TAP funds for trails projects, but using TAP requirements (must treat projects as highway projects).Recreational trails projects also are eligible under STP.Recreational Trails Program (RTP)The RTP is usually administered by a State resource or park agency or a State agency that makes local grants. Only 4 States and DC administer the RTP through a State DOT. (Arkansas, DC, Iowa, Maryland, West Virginia).If the State continues with the RTP, all RTP provisions and requirements remain the same: State agency; advisory committee; project eligibility; diverse, motorized, and nonmotorized requirements; eligible project sponsors; project match; prohibitions; credits for donations; and recreational purpose.Governors can opt out of the RTP if the State wishes to do so. The decision must come from Governor, or Governors designee. The State DOT cannot opt out if it is not the designated agency. For FY 2013, only Florida and Kansas opted out.States that opt out lose the ability to use program funds for State RTP administrative costs for the fiscal year because those funds are tied to apportionments for a fiscal year. If the State opts out, then there is no program for the fiscal year.States may use TAP funds for recreational trails projects, but must follow TAP requirements (including Treatment of Projects requirements).States may use STP funds for recreational trail projects; projects in highway rights-of-way must follow highway procedures, but projects not in highway-rights-of-way may use Common Rule procedures.

28 Competitive ProcessesStates and MPOs

Shall develop a competitive process to allow eligible entities to submit projects for funding

States and MPOs develop their own competitive processes.

Additional notes:

FHWA encourages state DOTs to develop creative approaches to program structure and project implementation procedures.States should include public involvement as part of the project selection process, given the unique nature of TAP The TAP funds are to be distributed using competitive processes at the State and MPO level.Some States and MPOs already have competitive processes in place for funding sources such as Transportation Enhancements.It will be up to the States and MPOs to develop their own competitive processes.Large MPOs (over 200,000) select projects in consultation with the State, but control their own processes.The Office of the Secretary of Transportation is working with us to provide Best Practices.All States already have procedures for the RTP.29 Eligible Project SponsorsLocal governments;Regional transportation authorities;Transit agencies;Natural resource or public land agencies;School districts, local education agencies, or schools;Tribal governments; andAny other local or regional governmental entity with responsibility for or oversight of transportation or recreational trails (other than a metropolitan planning organization or a State agency) that the State determines to be eligible, consistent with the goals of this subsection. RTP setaside keeps its list of eligible project sponsors.

Additional notes:MAP-21 listed the eligible entities that can apply for the competitively distributed funds.Regional transportation authorities are considered the same as the Regional Transportation Planning Organizations defined in the statewide planning section (23 U.S.C. 135(m)).Natural resource or public land agencies may include Federal, State, or local land management agencies.Nonprofit organizations may partner with eligible project sponsors if allowable under State laws or regulations.For States that continue the RTP setaside, the RTP list of eligible project sponsors remains in effect.Only TAP-eligible entities can sponsor SRTS projects or recreational trails projects not funded under the RTP setaside.

State DOTs and MPOs are not eligible entities for TAP funds. However, eligible project sponsors may partner with the States or MPOs on behalf of the States or MPOs.30Transferability of FundsStates may transfer the any area TAP funds to other apportioned programs.Funds from other apportioned programs may be transferred into TAPbut TAP projects are broadly eligible under STP, so a transfer is not necessary to use STP funds.In the second fiscal year of MAP-21, unobligated balances of over 100% can be used for any TAP-eligible activity or any CMAQ activity.

Additional notes:States may transfer up to 50% of TAP funds to other programs, but only from the any area of the State portion.Suballocated funds cannot be transferred.States MAY transfer other funds into TAP, but there is no need to transfer STP funds because TA projects are broadly eligible for STP.If States accumulate a surplus of TAP funds in the second fiscal year of MAP-21, they can use the excess funds for any TAP-eligible or CMAQ activity.

31 Treatment of ProjectsTAP projects shall be treated as projects on a Federal-aid highwayTAP projects must comply with applicable provisions in Title 23, such as project agreements, authorization to proceed prior to incurring costs, prevailing wage rates (Davis-Bacon), competitive bidding, and other contracting requirements, even for projects not located within the right-of-way of a Federal-aid highway.Does not apply to projects conducted under the Recreational Trails Program set aside.MAP-21 1524 Youth Corps provision offers flexibility.Additional notes:MAP-21 requires that all TAP projects must be treated as projects on a Federal-aid highway, except for RTP projects funded under the RTP subapportionment.This provision was part of the SAFETEA-LU SRTS program but is now extended to TAP projects in general.It means that even if TAP projects are not located in the right-of-way of a Federal-aid highway, they must be treated as such.The treatment of projects requirement does not apply to RTP projects funded through the RTP setaside.If the State opts out of the RTP, then the treatment of projects requirement applies to recreational trail projects.The treatment of projects requirement does not necessarily apply to TAP-eligible projects funded under STP, if the project is not within a highway right-of-way.The MAP-21 1524 provision for Use of Youth Service or Conservation Corps allows flexibility. See the Youth Corps questions and answers at http://www.fhwa.dot.gov/map21/qandas/qayscc.cfm.

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Performance Based FAHPMAP-21Doug Atkin3334

a strategic approach that uses system information to make investment and policy decisions to achieve a desired set of national goals...What is Transportation Performance Management?34Special Performance Rules applyTargets set by States and MPOsPerformance Elements of MAP-21MAP-21 establishes a broad performance-based approach to the Federal-aid program

Performance elements are contained within several sections of MAP-21 and driven through the planning process

In general the elements, which we will discuss today, include:Establishment of national goalsNational performance measures established by USDOTPerformance targets set by States and MPOsStrategic, investment and project specific plans that document how targets will be achievedAccountability to performance outcomesSpecial performance related requirements tied to specific programsReporting on progress

35Seven National Transportation Goals are established in MAP-21.

SafetyInfrastructure ConditionCongestion ReductionSystem ReliabilityFreight Movement and Economic VitalityEnvironmental SustainabilityReduced Project Delivery DelaysEnactment 2012Comment Period 90 DaysSeven National Transportation Goals are established in MAP-21. These goals are established to focus the Federal-aid program on 7 areas of national interest.23USC150(b)NATIONAL GOALS.It is in the interest of the United States to focus the Federal-aid highway program on the following national goals:(1) SAFETY.To achieve a significant reduction in traffic fatalities and serious injuries on all public roads.(2) INFRASTRUCTURE CONDITION.To maintain the highway infrastructure asset system in a state of good repair.(3) CONGESTION REDUCTION.To achieve a significant reduction in congestion on the National Highway System.(4) SYSTEM RELIABILITY.To improve the efficiency of the surface transportation system.(5) FREIGHT MOVEMENT AND ECONOMIC VITALITY.To improve the national freight network, strengthen the ability of rural communities to access national and international trade markets, and support regional economic development.(6) ENVIRONMENTAL SUSTAINABILITY.To enhance the performance of the transportation system while protecting and enhancing the natural environment.(7) REDUCED PROJECT DELIVERY DELAYS.To reduce project costs, promote jobs and the economy, and expedite the movement of people and goods by accelerating project completion through eliminating delays in the project development and delivery process, including reducing regulatory burdens and improving agencies work practices.

Performance measures focus primarily on the first 5 goals.

36National Highway Performance ProgramHighway Safety Improvement ProgramCongestion Management and Air Quality Improvement Program Freight Movement

Performance measures affect these programs.

National Highway Performance ProgramHSIPCMAQFreight Movement37Performance MeasuresNot later than 18 months after date of enactment USDOT, in consultation with State DOTs, MPOs, and other stakeholders will promulgate a rulemaking that establishes measures.Provide not less than 90 days to comment on regulation.Take into consideration any comments.Limit performance measures to those described under 23USC150(c).MAP-21 identifies a number of areas in which performance measures will be established. These measures will be established by USDOT, through rulemaking, in consultation with State departments of transportation, metropolitan planning organizations, and other stakeholders. USDOT will promulgate this rulemaking no later than 18 months after the date of enactment of MAP-21 (by 4/1/2014).

The measure rulemaking must include a minimum comment period of 90 days and USDOT must take into consideration the comments in the establishment of the final rule.

By statute, USDOT is limited to only establishing measures, through this rulemaking effort, to those that will assess performance in the areas presented in the next few slides.

38Performance MeasuresFor purposes of carrying out National Highway Performance Program USDOT will establish:Measures for States to use to assess:Condition of PavementsInterstate SystemNational Highway System (excluding the Interstate)Condition of BridgesNational Highway SystemPerformance of:Interstate SystemNational Highway System (excluding the Interstate)For the purposes of carrying out the National Highway Performance Program USDOT will establish measures to assess:Pavement condition Interstate and NHS (excluding Interstate)Bridge condition NHSPerformance Interstate and NHS (excluding Interstate)

These measures will be focused on the condition and performance of the Interstate and National Highway Systems as the purpose of the National Highway Performance Program is to:Provide support for the condition and performance of the NHSProvide support for the construction of new facilities on the NHS, andEnsure that investments of Federal-aid funds in highway construction are directed to support progress toward the achievement of performance targets established in an asset management plan of a State for the NHS.

39Performance MeasuresFor the purpose of carrying out the Highway Safety Improvement Program USDOT shall establish measures for States to use to assess:Serious injuries per vehicle mile travelledFatalities per vehicle mile travelledNumber of serious injuriesNumber of fatalitiesMeasures used to assess safety on all public roadsFor purposes of carrying out the Highway Safety Improvement Program USDOT will establish measures to assess:Fatalities per VMT and numberSerious Injuries per VMT and number

These measures will address safety on all public roads as the purpose of the Highway Safety Improvement Program is to achieve a significant reduction in traffic fatalities and serious injuries on all public roads, including non-State-owned public roads and roads on tribal land.40Performance MeasuresFor the purpose of carrying out the Congestion Mitigation and Air Quality Improvement Program USDOT shall establish measures for States to use to assess:Traffic congestionOn-road mobile source emissionsUSDOT will establish measures for States to use to assess freight movement on the Interstate system.For purposes of carrying out the Congestion Mitigation and Air Quality Improvement (CMAQ) Program USDOT will establish measures to assess:Traffic congestionOn-road mobile source emissions

USDOT will also establish measures to assess freight movement on the Interstate system

41Measure ConsistencyData elements necessary to collect and maintain standardized dataMay be incorporated into requirements of each measure, as needed

The performance measure rule-making will also consider elements that will be necessary to ensure for consistency in collection and reporting at a national level.42Stakeholder InputNational online dialogue to discuss options for measures and data elements. Dialogue open from September 13th through September 23rd.USDOT will consider input provided by stakeholders in the development of the proposed rule for performance measures.Currently USDOT is establishing several methods to capture stakeholder input before issuing a notice of proposed rulemaking on possible performance measures.

One method was to hold a national online dialogue for a period of 10 days. This event was kicked-off September 13. During the dialogue, stakeholders provided suggestions on the establishment of performance measures and standards. Visitors to the dialogue contributed ideas, commented and rated others ideas. A dashboard was provided on the home page to give the visitor a sense of the ideas that are generating discussion and rated highest by participants. This event provided for a very open and public exchange of ideas regarding potential national measures.

The USDOT MAP-21 website also provides a phone, email and mail address contact if stakeholders would prefer to submit comments using other means of communication.Comments and input received will be considered in the development of the notice of proposed rulemaking and will be discussed in the rules text.

Additional events to receive input from stakeholders will be conducted before, during and after the notice of proposed rulemaking is issued.

AASHTO has been and continues to be heavily involved in this effort.43

States set targets for all national performance measuresCoordinate with relevant MPOs to ensure consistencyCoordinate with public transportation providersTargets established within 1 year of final rule - StatesTargets established with 180 days of State target - MPOs

1 Year State TargetsEstablishedFinal RuleMPO Targets 180 DaysSelection of the State targets shall be coordinated with the relevant MPOs to ensure consistency. Selection of MPO targets shall be coordinated with the relevant State/s and public transportation providers to ensure for consistency.

States and MPOs shall consider the targets when developing policies, programs, and investment priorities reflected in the transportation plan and the improvement program. A description of measures and targets shall be included in the metropolitan transportation plan.

Integration of Other Performance Based Plans A state shall integrate into the statewide transportation planning process directly or by reference the goals objectives, Performance Measures and targets described in other state transportation and transportation processes as well as any plans developed pursuant to chapter 53 of title 49 by providers of public transportation in urbanized areas not represent by a MPO requires as part of a PBP.

44STIP and TIPs must include a discussion on the anticipated effect of the improvement program toward achieving the performance targets

NHPP- Asset Management PlanHSIP - Strategic Highway Safety PlanCMAQ Performance PlanMPO System Performance PlanOptional State Freight Plan

Other plans that reference the measures and targets in MAP-21 include:

NHPP Asset Management PlanDOT develops process through rulemaking within 18 monthsState must have plan in place by the beginning of the 2nd fiscal year after rulemaking (penalty: federal share is reduced to 65%)Updates required every 4 yrs.

HSIP Strategic Highway Safety PlanDOT develops requirements for updated SHSPs within 1 yr.State must have updated plan in place by August 1st of fiscal year following establishment of requirements.Updates frequency to be established by DOT.

CMAQ Performance PlanMPO serving a TMA with a population over 1,000,000 in a non-attainment or maintenance area must develop a plan.Updates required every 2 yrs.

MPO Performance PlanThe Metropolitan and statewide planning process shall provide for a performance-based approach to transportation decision making.Required as part of MPO certification every 4 years.

Optional Plan for:Freight State Freight PlanDOT to encourage each State to develop a freight plan.

45Highway Asset Management PlanUSDOT, in consultation with State DOTs, will establish the process to develop the plan through a rulemaking no later than 18 months after 10/1/2012States must have a plan developed consistent with the process by the 2nd fiscal year, otherwise federal share for NHPP will be reduced to 65%Process certificationUSDOT 90 days review period to determine certificationStates have 90 days to cure deficiencies if not certifiedRecertification required every 4 yrsMAP-21 Defines Asset Management as:

A strategic and systematic process of operating, maintaining and improving physical assets, with a focus on engineering and economic analysis based upon quality information, to identify a structured sequence of maintenance preservation, repair, rehabilitation, and replacement actions that will achieve and sustain a desired state of good repair over the lifecycle of the assets at minimum practicable cost.

States will be required to develop a risk-based asset management plan for the National Highway System to improve or preserve the condition of the assets and the performance of the system.

The process must be certified every 4 years.

States without a plan meeting the requirements of MAP-21 will face a reduction in Federal-aid on the NHPP Projects.46 Management SystemsUSDOT will establish minimum standards for States to use in developing and operating:Bridge management systemsPavement management systemsMinimum standards established through a rulemakingMinimum 90 day comment periodUSDOT will promulgate a rulemaking not later than 18 months after date of enactment USDOT will establish these standards in the rulemaking to establish the asset management plan process.47Highway Safety Improvement ProgramAchievement within two years of establishment of targetsSpecial rules related to safety on rural roads and older driversSpecial Performance Rules applyMPO CertificationApplies to MPOs serving an area with a population over 200,000

National Highway Performance ProgramAchievement targets within two reporting periodsMin pavement and bridge standards

Although, States and MPOs are required to set targets for all of the measures established under 23USC150(c) only two programs require progress to be made in the achievement of the target. These include:

NHPP Target Achievement 119(e)(7)Check every 2 yrs (report frequency) to evaluate performance over 4 yr period.If not met then State must document in the performance report required under 150(e) how they intend to make improvements to achieve targets.

HSIP Target Achievement 148(i)

IF THE STATE HAS NOT MET OR MADE SIGNIFICANT PROGRESS TOWARD MEETING THE PERFORMANCE GOALS, IT MUST SET ASIDE A PORTION OF ITS FORMULA LIMITATION IN AN AMOUNT EQUAL TO ITS PRIOR YEAR HSIP APPORTIONMENT AND USE THE SET ASIDE LIMITATION ONLY TO OBLIGATE FUNDS FOR SAFETY PROJECTS.

Progress towards the achievement of targets will also be assessed as part of the MPO planning certification process. This certification review will address all requirements in the metropolitan planning process. The requirement to provide for a performance-based approach will be a new element of the certification under MAP-21. It is not expected that target achievement will be a sole determining factor in the certification decision.

MPO Certification 134(k)(5)the transportation planning process complies with the requirements of this section and other applicable requirements of Federal lawConducted every 4 yrs.Certification limited only to ensuring that the performance based elements were included in the process (not the achievement of targets)If not certified DOT may withhold up to 20% of the funds

48State Reports on Performance ProgressAddress all targetsReport every two yearsHighway Safety Improvement Program ReportReport frequency to be set by USDOTCMAQ Performance PlanReport Required every two yearsMPO System Performance ReportIn LRP every four yearsMAP-21 includes performance reporting both from States/MPOs and USDOT.

State Report on Performance Progress 150(e) required initially within 4 yrs and at a 2 yr frequency thereafter. Must report on progress towards the achievement of all targets set under 150(d). Also need to report on the effectiveness of the investment strategy document in the State asset management plan for the National Highway System; and the ways in which the State is addressing congestion at freight bottlenecks, including those identified in the National Freight Strategic Plan, within the State

USDOT is currently working on guidance to support this requirement

HSIP Report 148(h) Report content, due date and frequency to be established by DOT.

CMAQ Performance Report 149(l) required for MPOs serving a TMA with a population over 1,000,000 in a non-attainment or maintenance area. Report on progress toward the achievement of performance targets. Required every 2 yrs.

49Special Performance Rules applyTargets set by States and MPOsPerformance Elements of MAP-2150

Environmental ProvisionsMAP-21Melissa Maiefski51

Rulemaking Process

Publish draft rule in Federal Register to initiate comment periodReview and consider comments receivedPublish final ruleFinal rule will include effective date

Will need to publish a draft rule in the register for comments (referred to as NPRM notice of proposed rulemaking)Then review and consider commentsThen publish final rule.Final rule will include effective date

NPRMs, public comments on these rulemakings, and final rules associated with these NPRMs 52Expanded authority for categorical exclusions

Categorical exclusion describes a category of actions that do not typically result in individual or cumulative significant environmental impacts.

CEs still need to look for extraordinary or unusual circumstances

Examples of unusual circumstances include significant environmental impacts, substantial controversy on environmental grounds, significant impact on properties protected by section 4(f) of the Department of Transportation Act or Section 106 of the National Historic Preservation Act, and inconsistencies with any Federal, State, or local law, requirement or administrative determination relating to environmental aspects of the action (23 CFR 771.117(b)). 53

CE does not mean dont look40 CFR 1508.4 extraordinary circumstances

23 CFR 771.117 unusual circumstances

5 U.S.C 706(2)(A): Administrative Procedures40 CFR 1508.4 requires all federal agencies to look extraordinary circumstances in which a typical CE may have significant impacts

23 CFR 771.117 requires FWHA to look for unusual circumstances in which a typical CE may have significant impacts

5 U.S.C 706(2)(A): federal agencies shall not be arbitrary, capricious, abuse discretion, act outside the law, or ignore procedures of law. Courts review the written records when reviewing federal action

- this is why we have our PCE/CE forms- we have an obligation to look for impacts, disclose impacts, and avoid and minimize impacts, regardless of the level of NEPA review

Also note FY 12 program percent of PCEs, CEs54CEs

Emergency Repairs

Projects within the operational Right of Way

Projects receiving limited financial assistance

Proposal of additional CEs, based on survey of stakeholders

Multi-modal projects

Emergency Repairs:Applies to repair or reconstruction actions of any road, highway, or bridge in operation or under construction when damaged by the event, if the repair/replacement is in-kind and in the same location, and the work commences within 2 years of the emergency declarationPublic comment period for NPRM just ended.USDOT will consider comments, consult internally and with some external federal agencies, then will publish final rule. No timeline for final rule publicationNote: all our ER projects in Nebraska have been CEs

Projects within existing operational right-of-way (Sec. 1316) Need to define operational ROWPromulgate regulations not later than 150 days after October 1, 2012. Effective after the completion of the rulemaking process

Projects with limited financial assistance:(Sec. 1317) Receiving less than $5 million in Federal funds, or With a total estimated cost of not more than $30 million and Federal funds comprising less than 15% of total estimated project cost Promulgate regulations not later than 150 days after October 1, 2012. Effective after the completion of the rulemaking process.

Proposal of new CEs:US DOT sent out a survey to stakeholders in Sept 2012, asking for feedback on CEs used since 2005 and to solicit requests for possible new CE categoriesSurvey ended October 9th, Received 522 responsesResults of survey posted last Friday on Map 21 website, mostly looked like variations of activities already listed as CEsNext, FHWA and FTA will review the proposals to determine which are not duplicative to actions already on CE list, meet regulatory requirements, and be substantiated as not having potential for significant affects (following CEQs guidance from about a year or so ago)Then NPRM will be published in federal register, comments received considered, then final rule published

multi-modal projects also considered CEs can adopt CEs from other US DOT modes. Can do that now, so really nothing new, and rulemaking not needed for this

ALSO, not a slide for but also:1) Publish a notice of proposed rulemaking to move three types of actions from (d) to (c) list in 23 CFR 771.117 Modernization of a highway (771.117(d)(1)) Highway safety or traffic operations improvements (771.117(d)(2)) Bridge rehabilitation, reconstruction, or replacement projects (771.117(d)(3)) Effective after completion of the rulemaking process.55State Assumption of Categorical Exclusions

States can assume responsibilities for categorical exclusions [effective October 1]. State can terminate at will with 90 day notice. State can use Fed-aid funds for attorney fees. Need to sign MOU for up to a 5 year agreement. Requires audits for each of the first 4 years and monitoring for year 5 and beyond.The Secretary may terminate the ability if a determination is made that the state is not adequately carrying out the responsibilities assigned to the state. Requires review and monitoring by FHWA

56Accelerating Complex EIS Projects (Sec. 1309)

EISs where more than 2 years have passed since the NOI with no ROD issued.

Resources and technical assistance provided upon request of project sponsor or Governor.

More than 2 years have passed since NOI without a ROD, governor of state can request From FHWA enhanced technical assistance to accelerate the completion of the EIS.Enhanced technical assistance can include: additional staff, training, facilitators for interagency coordinationPart of enhanced technical assistance, FHWA would establish a scope and schedule to finish the EIS. Schedule requires concurrence from CEQ and each participating agencyFull implementation will require guidance to clarify the process.

57

Accelerated Decisionmaking (Sec. 1306)

Within 30 days after the close of the public comment period of a Draft EIS the Secretary may convene a meeting of agencies to assure project on schedule.

If agencies cannot provide assurances, the Secretary may initiate the Issue Resolution process.

58Issue Resolution Process (Sec. 1306)

When needed, Lead Agency convenes a meeting within 21 days.

Issues not resolved within 30 days of meeting, elevated to the Secretary to meet with the heads of agencies

Issues not resolved within 30 days of meeting, issue is referred to CEQ and another meeting is convened.

Issues not resolved within 30 days of the CEQ meeting, then issue is referred to President or designee.

Issue resolution process convened only if:There is a schedule delayRequired approvals may be denied

Federal lead agency, project sponsor, Federal agency with jurisdiction, or State Governor may request an issue resolution meeting.

59PEL

Federal lead agency may adopt certain findings of planning studies into project-level NEPA, with concurrence from participating agencies and public that certain stipulations were met

Allows for the use of planning products in the NEPA process (currently can do). Still need guidance for implementation.

Planning decisions that can be adopted:Tolling, private financial assistance, or other special finance measuresModal choicesMethodologies for environmental analysis in NEPAIdentification of programmatic level mitigation opportunitiesPlanning data that can be adopted:Travel demandsRegional development/growthLocal land use, management, and developmentPopulation and employmentNatural and build environmental conditionsEnvironmental resources and sensitive areasPotential environmental affects, including resources of concern and cumulative affectsMitigation needsStipulations that must be met:Planning process complied with federal lawProduct developed through active consultation with agencies and tribesPlanning process included broad systems-level or corridor wide needs and potential affects to human and natural environmentNotice provided to interested agencies, public and tribes that the products may be used in NEPA and invite to participateNo significant new information comes to light during project level NEPA that questions validity of planning productsPlanning product based on reliable, current data, using reasonable and acceptable methodologiesPlanning product sufficiently documented to show compliance with these requirementsPlanning product not more than 5 years old prior to adoption for NEPA

60Programmatic Mitigation Plans (Sec. 1311 )

Programmatic mitigation plans developed as part of planning process

Developed by State or MPO, in consultation with agencies with jurisdiction over resource

Draft plan provided to agencies and public for comments

Address comments in the final plan

Programmatic mitigation plans (eff. Oct. 1)guidance will be developed

Can focus on projects within region, or specific type of projectCan focus on multiple resources or a single resource

61 Miscellaneous

Buy America: Any federal funds on contract cause application to entire project (defined by NEPA document)

Statue of Limitations: decreased to 150 days

Combine FEIS and ROD: in certain conditions, pending guidance

Monetary penalties: levied against federal resource agencies for delays in certain situations

Programmatic Approaches to compliance: eliminate repetitive discussions, focus on issues ripe for review while being in compliance

Changed statute of limitation for claims from 180 days to 150 days for all statute of limitation notices published on or after Oct 1, 2012

Secretary shall ensure that programmatic approaches to compliance (sect 1305) (requires rulemaking):Completed in consultation with appropriate agencies, tribes and the publicPromote transparency of analyses and dataUse accurate and timely informationDescribe the relationship between programmatic analysis and future tiered analysisDescribe the role of the public in the creation of future tiered analysis.

OTHERS NOT ON SLIDE:

broadening the ability for States to acquire or preserve right-of-way for a transportation facility prior to completion of the review process required under the National Environmental Policy Act of 1969 (NEPA),

States with no nonattainment or maintenance areas may use their CMAQ funds for any CMAQ- or STP-eligible project.

Research and Technology Development and Deployment Three specific programs are repealed: the International Outreach Program [52006], the Surface Transportation Environment Cooperative Research Program [52007], and the National Cooperative Freight Research Program [52008]. However, the authority for international collaboration remains, and environmental and freight research and development activities are incorporated into Highway Research and Development

Performance measure for environmental: National goal: To enhance the performance of the transportation system while protecting and enhancing the natural environment. Performance Measure: DOT to establish measures to reduce On-road mobile source emissions within 18 months of enactment of MAP 21

Programmatic agreements for processing CEs allow States to determine CEs on FHWAs behalf [effective October 1]PAs may identify types of CE projects in addition to CEs listed in 23 CFR 771.117.

62

Other Provisions of InterestMAP-21Doug Atkin63

National Freight Policy Projects of National & Regional Significance CMGCOther Provisions of Interest:6465

6566

66Freight provisionsNational Freight PolicyEstablishment of National Freight Network, incl. Primary Freight Network, remainder of Interstate System, and critical rural freight corridors National freight strategic plan Freight transportation conditions and performance reportsDevelopment of transportation investment data and planning tools

Prioritization of projects to improve freight movement For these projects, increases Federal share payable to 95% on the Interstate System and 90% elsewhereUSDOT must certify project improves efficiency of freight movementProject must be identified in a State freight plan

State freight advisory committees & freight plans encouraged; plan required to qualify for increased Federal share6767Projects of Natl. & Regional Significance ($500M in FY13 only)Aimed at critical high-cost capital projects

Maintains most SAFETEA-LU PNRS languageTitle 23-eligible projects, including freight railroad projects & activities Competitive grants to States, tribes, & transit agenciesNo designated projects (vs. fully earmarked under SAFETEA-LU)

$ from General Fund; must be appropriated

Report that identifies and analyzes a comprehensive list of PNRS compiled via a survey of States6868

Final Questions?

FHWAs MAP-21 Website: www.fhwa.dot.gov/MAP21/69