appendix G - Selection of New Projects appendix G

Introduction

Project sponsors are required to complete the Project Justification Package in Appendix I. Information provided by the sponsors is used to determine if the projects meet screening criteria and to produce merit evaluations. Every project is required to meet all of the screening requirements before progressing to merit evaluation. Those passing the screening test are categorized according to type, following the general organization of the budget categories in the New Visions Regional Transportation Plan, namely:

Bridges

Pavement

Transit Support

Safety

Community Compatibility/Economic Development

Congestion Relief

Bicycle and Pedestrian

The projects are then evaluated for merit. The results of the merit evaluations are used by CDTC to choose which projects receive funding.

Screening Process

Introduction

The following are the screening criteria that must be met for a project to advance to merit evaluations:

1. Consistency with TEA-21, and CDTC and local plans

2. Provision of local matching funds

3. Defined scope and timing

4. Meeting an identified need

5. Federal-aid eligibility

Consistency with TEA-21, and CDTC and Local Plans

Regional Transportation Plan: Each proposed project is required to be consistent with the RTP. The relevant RTP is the New Visions Regional Transportation Plan, adopted in March 1997. New Visions includes a set of 25 Planning and Investment Principles to guide capital programming, in addition to 10 strategies (with 43 implementing actions, long and short term). Consistency with these principles and strategies is required to insure New Visions implementation.

Major projects with system level impacts are not considered for TIP programming unless they are a recommended action from New Visions or a sub-area or corridor study. Some of these projects may be further subject to a Major Investment Study (MIS) in order to progress towards implementation.

All capacity increasing projects should be consistent with the Congestion Management System (CMS). CDTC has performed extensive analysis of existing congestion in the Capital Region, as documented in CDTC's Metropolitan Congestion Management System: A Structured Approach to Addressing Congestion Issues in Regional Transportation Plan Development, Short-Range Programming and the Management System, which was adopted by the CDTC in December of 1995. CDTC's priority is to address existing congestion problems, with projected future congestion being a lesser priority, subject to a "risk analysis" (See New Visions Congestion Management Principles for more information).

Boundary Compatibility: Each proposed project is required to be consistent/complimentary with the facility (or proposed facility) in the adjacent jurisdiction if the project is near or crosses a jurisdictional boundary.

Land Use Linkage: Linear capacity improvements are required to be linked to local land use management. To maximize the effectiveness of existing facilities, a plan or commitment to access management, construction of new local streets or provision of supplemental transit services must be in place prior to major capacity work.

Public and Sponsor Support: All projects are required to be consistent with community desires as documented in local land use plans or other policy documents, at public meetings, or through other applicable means.

Seven Planning Issues of TEA-21: ISTEA established sixteen planning factors to be considered in the development of the TIP. TEA-21 summarizes these into seven planning issues. All projects were required to address at least one of these factors, as listed below:

1. Support the economic vitality of the United States, the States and metropolitan areas, especially by enabling global competitiveness, productivity, and efficiency;

2. Increase the safety and security of the transportation system for motorized and nonmotorized users;

3. Increase the accessibility and mobility options available to people and freight;

4. Promote and enhance the environment, promote energy conservation and improve quality of life;

5. Enhance the integration and connectivity of the transportation system, across and between modes, for people and freight;

6. Promote efficient system management and operation; and

7. Emphasize the preservation of the existing transportation system.

Provision of Local Matching Funds

Project sponsors are required to be willing and able to provide the local matching funds. All fund sources are not required to be "in hand", but need to have a "reasonable expectation" of being in place by the year of programming. Specifically, the issue of the provision of the required 20% local match share is required to be directly addressed. Public/private financing possibilities should be addressed, if applicable. Transit operators are required by FTA to document financial capacity in the adopted TIP. All facilities that require an ongoing operating budget to be useful are required to demonstrate that such financial capacity exists.

Defined Scope and Timing

All projects are required to be well defined. Project limits, the intended scope of work, and the project concept need to be clearly stated. Planning projects must have further defined longer-range federally eligible projects. Preliminary engineering and right-of-way are acceptable project phases, provided that the other screening requirements have been met for the project as a whole. Phases of larger construction projects are requested to be usable segments that will provide benefit to the traveler. Properly completing the Project Justification Package will satisfy these criteria.

Phases programmed in the TIP must be able to be implemented by the end of the five-year programming period in that TIP.

Meeting an Identified Need

All projects are required to be justified based on meeting an identified transportation system need according to below criteria.

Bridge projects are required to meet NYSDOT criteria for a deficient bridge. This includes the following two conditions:

1. Condition Rating: The current Federal Sufficiency rating must be less than "50.0", and either (B), (C), or (D) applies;

(B) State Condition Rating must be less than 3.5 by the year of programming, based on the current rating deteriorated at a rate of 0.1 points per year from the date of last inspection to the year of programming; or

(C) Structure has one or more primary (critical) structural features^[1] rated "2" or less, based on its last inspection; or

(D) The municipality can demonstrate some deficiency not covered in (B) or (C), which makes major rehabilitation or replacement mandatory within 5 years.

2. Approach Work^[2]: Approach work should not exceed 25% of the structure cost, or total cost of structure. Approaches using federal-aid should not exceed twice the cost if the project were done with state or local funds.

Pavement Projects: Pavement projects are required to be of a scope that is consistent with implementation with federal-aid funds. Because the pavement condition score does not fully describe overall road conditions or substandard design features, pavement score is not used as a screening criterion, although it plays an influential role in project merit evaluation.

Mobility Projects: Mobility projects must address a Level of Service of E or below, either under current conditions or projected conditions in the year of programming, in order to be evaluated further.

Other Project Types: Other project types are based on the project justifications provided by the project sponsor. Wherever possible, this justification includes the results of existing management systems or other performance-based standards.

Federal-Aid Eligibility

In a general solicitation, all candidates must be eligible for either the STP or CMAQ program. In a solicitation that is focused on specific fund sources, all candidates must be eligible for at least one of the fund sources being programmed. Eligible types of projects are listed below.

¨ Highway (limited access facilities)

· Construction

· Reconstruction

· Resurfacing

· Restoration

· Operational improvements

· Safety improvements and programs

· Research and development and technology transfers

¨ Bridges

· Construction

· Reconstruction, including seismic retrofit

· Resurfacing

· Restoration

¨ Transit

· Anything eligible for FTA funding, including fixed guideways, vehicles, maintenance facilities. Federal regulations prohibit the use of STP funds for ongoing operating expenses.

· Safety improvements and programs

· Research and development and technology transfers

¨ Streets and Roads (conventional facilities), functionally classified as urban collectors or above, or, in rural areas, minor collectors or above. All old FAU/FAS routes are grandfathered.

· New signals and signal timing

· Restriping

· Resurfacing

· Bus turnouts

· Construction

¨ Carpool projects

¨ Park and Ride lots

¨ Bicycle and pedestrian projects

¨ Traffic monitoring, management and control facilities and programs

· Capital

· Operating

¨ Planning programs

¨ Enhancement activities include the following. Note that Enhancements must relate to surface transportation.

· the provision of facilities for pedestrians and bicycles,

· acquisition of scenic easements and scenic or historic sites,

· scenic or historic highway programs (including provision of tourist and welcome center facilities),

· landscaping and other scenic beautification,

· historic preservation,

· rehabilitation and operation of historic transportation buildings, structures, facilities and canals,

· preservation of abandoned railway corridors including the conversion and use thereof for pedestrian or bicycle trails,

· control and removal of outdoor advertising,

· archaeological planning and research,

· environmental mitigation of water pollution due to highway runoff,

· reduction of vehicle-caused wild-life mortality while maintaining habitat connectivity,

· provision of safety or educational activities for pedestrian and bicyclists, and

· establishment of transportation museums.

¨ Transportation Control Measures

¨ Development and establishment of management systems

¨ Wetlands mitigation

According to the TEA-21 and additional guidance made available by the FHWA, eligibility for CMAQ funds is achieved by meeting any of the following criteria:

¨ Projects in the adopted State Implementation Plan (SIP): As a marginal nonattainment area eligible for maintenance certification, the Capital District has no projects listed in the current SIP.

¨ Specific Transportation Control Measures (TCMs) listed in the Clean air Act Amendments of 1990, Section 108:

(b)(1)(A)

(i) programs for improved public transit;

(ii) restriction of certain roads or lanes to, or construction of such roads or lanes for use by, passenger buses or high occupancy vehicles;

(iii) employer-based transportation management plans, including incentives;

(iv)       &nb