Transportation Planning Capacity Building Program

- Peer Exchange Report -

Enhancing Transit's Role in Transportation Decision Making

APTA Commuter Rail/Rail Transit Conference
Peer-to-Peer Exchange

I. Summary

This report summarizes the results of a peer-to-peer exchange arranged under the auspices of the Metropolitan Planning Capacity Building (MCB) Program. The exchange provided the opportunity for representatives of transit operators and metropolitan planning organizations (MPOs) from across the country to discuss ways of enhancing transit's role in the transportation decision-making planning process. The peer-to-peer exchange session was conducted at the APTA Commuter Rail/Rail Transit Conference in Baltimore, Maryland. Ray Miller of the Delaware Transit Corporation, Dover, Delaware, facilitated the exchange.

I. Background

This peer exchange was initiated at the request of the Maryland Transit Administration (MTA) in order to exchange ideas from peer transit properties on developing and managing the Transportation Improvement Program (TIP). Specifically, the MTA was interested in: 1) How other transit properties prepare TIP information to obtain flexibility in the TIP to avoid amendments; 2) how other transit properties relate to the MPO or State government that prepares the TIP/STIP and; 3) how the transit properties prepare the TIP/STIP for Sections 5307, 5311, 5309 and 5310.

III. State DOT Perspective

Maryland Transit Administration (MTA Perspective)

MTA is unique in some ways. First, it is part of the Maryland Department of Transportation and both the Washington Council of Governments Transportation Planning Board (TPB) and the Baltimore Metropolitan Transportation Council (MTC). The MTA provides local transit services within the Baltimore Metropolitan area but is also a statewide agency. For example, the MTA provides commuter service between Baltimore and Washington. Due to FTA's small regional planning staff, FTA is unable to make a number of these meetings. However, the FTA and FHWA are working to ensure that federal representation is available.

The normal process begins in January with a draft TIP prepared to go through public review by March. The draft proceeds through a review by FHWA, FTA and EPA and then goes back to MDOT to be assembled into one document. By December or January, approvals are given and grants begin to be written. Because projects must be shown in both the Baltimore MTC and Washington TBP TIP, the total cost is shown in both TIPs and the benefits cannot be disaggregated.

Westchester County Department of Transportation Perspective

Patricia Chemka Speranza, Director of Planning at the Westchester County Department of Transportation began the discussion by describing Westchester as a municipal government, transit operator and voting member of the New York Metropolitan Transportation Council (MPO). In these roles, there is an ongoing task to balance the needs of the local communities and bus system operations with state and federal requirements. Westchester County provides bus transit service via the Bee-Line System, serving almost 30 million riders a year. The County comprises a 450 square mile area, made up of semi-rural, suburban and urban areas with a total population of 920,000 people. The Westchester County Department of Transportation has been very successful in coordinating the Department's County Capital Program with the TIP cycle and the federal funding year. Since the County operates on a calendar fiscal year, receives funding from New York State on an April 1 - March 31 fiscal year, and submits grant applications based on the federal fiscal year, all projects need consistent monitoring for progress and funding.

Westchester County has taken the MPO process and inserted another level of approvals. It can be complicated to explain but it is geared towards simplification. Westchester County is a member of the New York Metropolitan Transportation Council. Since the NYMTC region is geographically vast and demographically diverse, the MPO is divided into three Technical Coordinating Committees (TCC). The Long Island TCC to the south has five counties; the New York City TCC has the five boroughs and to the north is the Mid Hudson TCC, which has ten counties, of which Westchester is one. Each has the responsibility of developing a TIP for its geographic area. Transit projects flow from transit to the TCC. The individual TIPS are then brought into the larger regional context through the efforts of the Council members. This approach has been very helpful in creating a TIP process that is relatively simple for the members to participate in. In addition, the TCC structure of the MPO is unique, and provides a good structure to allow the TIP to be developed in a manner which addresses both local and regional needs. The recognition by TCC staff of the federal grant process which it's designated recipients have to follow, has been essential in creating a TIP which provides the flexibility needed to program grant funds.

IV. Local Agency Perspective

Ventura County Transportation Commission Perspective

Peter De Haan, Director of Transportation Programming, Legislation & Grants, Ventura County Transportation Commission (VCTC) explained that VCTC is a local agency established under California law to serve as the countywide multi-modal transportation programming and implementing agency. It is one of five county transportation commissions that perform this integrated function within the region of the Southern California Association of Governments (SCAG), the MPO. San Diego is not part of the Southern California region. The VCTC is currently working with SCAG to update the Regional Transportation Plan. Through its mandate for project implementation, VCTC also serves as bus operator and Designated Recipient, builder of commuter rail stations, and member of the multi-county commuter rail joint powers operating authority.

North San Diego County Transit Development Board Perspective

Ellen Roundtree, Manager of Grants and Legislative Affairs, North (San Diego) County Transit District (NCTD) first described the North San Diego County Transit Development Board (NSDCTDB). The Board was created to plan, construct, and operate, directly, or through a contractor, public transit systems, in its area of jurisdiction. The nine-member Board consists of the 5th District Supervisor of the County of San Diego, and council members from the cities of Oceanside, Carlsbad, Encinitas, Del Mar, Solana Beach, Vista, San Marcos, and Escondido. The Board formed the NCTD in 1976 to carry out these functions. The NCTD provides service to a geographical area of 1,020 square miles extending from the northern boundary of San Diego County, south through the city of Del Mar and inland from the Pacific Coast to the city of Escondido and the unincorporated communities of Fallbrook and Ramona. The service area also includes the Camp Pendleton Marine Corp Base. The total population of the service area is approximately 800,000.

NCTD provides fixed-route bus service (the Breeze), general-purpose demand response service, passenger rail service via the Coast Express Rail, known as the Coaster, and is in the pre-construction phase of a new light rail system, which is planned for revenue operations in December 2005. In addition, the Board, along with the Metropolitan Transit Development Board, is the owner of the railroad right-of-way from Oceanside to San Diego and the sole owners of the railroad right-of-way from Oceanside to Escondido.

As the transit agency, the NCTD is responsible for submitting the agencies' TIP and TIP amendments to SANDAG, the metropolitan planning organization for San Diego.

V. Lessons Learned

1. Consistency and Relationships

   The Westchester County Department of Transportation recognizes that there are benefits of having consistency in the process by having the same people involved over a period of years. The relationship between transit and the MPO is very good. The MPO, as keepers of funding does not know what has happened to transit projects and Westchester can inform them if transit money is rolled forward.

   SCAG agreed and said that SCAG has enjoyed the benefits of having one in house on staffperson who has done it for years. Staff continuity provides a level of consistency and familiarity in getting through the process.

   In Columbus, the transit authority meets with the MPO bi monthly to go over TIP and STIP amendments. The RTA takes the amendment to the MPO advisory committee. The transit authority has a good relationship with the MPO due to both continuity with staff and members and the fact that some current transit authority staff were recruited from the MPO.

2. TIP Amendments and Administrative TIP Amendments

   In Maryland, Mark Donovan commented that an amendment to the TIP was made after going to EPA in the past year for conformity and that now, as a result of the amendment, conformity on the TIP has to be repeated in the current year. At SCAG, there has been only one amendment at this time after the TIP has been approved.

   According to Patricia Chemka Speranza, Director of Planning, Westchester County Department of Transportation, their organization uses different methods to amend the TIP. Although a project with a significant change in scope may go through a traditional amendment, there is another type of amendment that some projects fall under that requires only a vote. An electronic voting process will decrease the time needed even more. Amendments are also submitted to the TCC. There are approximately five amendments per year for the Mid-Hudson TCC. These amendments are often not related to either transit or highway projects but must be included in the TIP because they are using federal transportation dollars. This method has been essential in creating a TIP that provides the flexibility needed to program grant funds.

   The North County Transit District added that their MPO is very strict in regard to TIP amendments. Amendments are only allowed on a quarterly basis. The scope is written to be general in nature to allow for flexibility. In Ventura County, TIP amendments are done quarterly. It is well understood that once a TIP amendment is amended, no changes can be made. TIP amendments are locked in by June; the grant is written in September and submitted in October. Ventura County is a big advocate of the administrative TIP amendment process. The model for air quality and conformity is run once and most transit projects are exempt. An emergency TIP amendment is considered only when someone is in jeopardy of losing their funding, a lapse in funding for example.

   For the Central Ohio Transit Authority in Columbus, the TIP is updated every two years and amendments may be put forward at any time.

3. Administrative Amendments

   VCTC, Westchester County, and the NCTD all knowing how Section 5307 funds work, recognized that a process had to be put in place in the interim to help ensure that no changes would be made that would require that conformity be run. In addition, a public review process is required for new TIP and it is not feasible to have TIP amendment trigger a new TIP. For the TIP, a conformity analysis is started and then two weeks prior to the public review, projects are allowed to change

   For the Ventura Transit, the FTA and FHWA metropolitan office approve each amendment. This is for exempt projects and SCAG is good at getting projects that are not exempt out of the amendment process before it goes to the metropolitan office. Ventura is one of the smaller counties in the region and the budget is adopted in June. TIP amendments have to be final. The option of waiting is there and projects may be submitted later but it will hold up their grants. Usually, funds are needed as quickly as possible for cash flow purposes. The model for conformity is run once and no amendment that would impact model after it is run is allowed that year. People are well aware that a transit project, such as a new rail line, will have to wait until the model is run again in the next year. Once, when the whole TIP was about to be approved, opposition led to one project being taken out and this required the entire conformity model to be run again. Any project listed in Year 1, Year 2 or Year 3 is obligated

   For NCTD, more state funds are received than federal funds. Quarterly meetings are held on every project and their status. This has been very helpful and the meetings are project oriented rather than just budget oriented. The state has strict guidelines with phases and funding. For Delaware and Westchester County, funds come from the state.

4. Scope flexibility

   Maryland tried to add a broader category to cover new projects but was told that this could not be done and that all projects would have to be assembled in a new TIP. Maryland asked if others were able to add after public review. At NCTD, projects can go 20 percent over without triggering a TIP amendment rule. This helps with rail capital and rehabilitation. There was some discussion as to whether or not there are differences in philosophies between FTA regional staff that make it more difficult to get TIP amended.

   TIP/STIP: Broader Categories used for rail support; bus support; new starts or double track projects

   "Other support equipment"
   This is a category used at NCDT. For more complicated improvements such as rail infrastructure where there is always a need, NCDT has the resources without having to amend the TIP when something goes wrong on the track. Ventura transit has a category for "bus capital maintenance". In Columbus, there is a TIP/STIP swat team where the Central Ohio Transit puts together the FTA changes and so does the MTA. There is a program committee and an executive committee. The administrative amendment process works with transit projects and the time it takes has decreased from two months to one month. There are quarterly TIP amendments.

   At the VCTC, any project listed in Year 1, Year 2 or Year 3 is obligated. For NCTD, projects in the second year of the TIP are obligated. Thus, if NCTD writes a grant, a letter of concurrence from the MPO is needed for the FTA. At NCTD, for a category such as preventative maintenance, 02 grants would cover 03 projects, with the same rules applying to operating assistance funds.

   Parking is a separate category for all and Delaware has a system preservation, management and expansion category.

5. Capital Improvement Programs (CIP)

   For Westchester, it is important to make sure decision makers on capital programs are aware that they can not spend funds right away if changes are made. The TIP process establishes a funding framework for projects. County level transit projects in Westchester County are more difficult to change in the county's CIP than in the TIP.

   At NCTD, the CIP is 6 years and the first two years have already been submitted in a grant. For the fiscal cycle from June to July, the funds would already be an approved grant. Any grant NCTD is waiting for will cover two years in the CIP. For Columbus, Ohio and Ventura Transit, it is also two years and for Maryland, it is every year. Delaware tries to stay in sync with the budget.

6. 5311/5307 funds

   In Ohio, the process is set by the state and included as part of the TIP.

   Delaware has used 5307 funds partly for preventative maintenance. The process takes about 2 months.

   For Westchester County, more is being accomplished using an electronic format between the MPO and New York DOT in Albany. It takes two weeks if a project needs to be fast tracked and has no air quality issues. The MPO has not had a TIP cycle with the new regional model in place. For NCTD, the state used to take the most time in the process before and now takes two to three months instead of nine. FTA review was always quick. For Ventura County, TIP amendments are put together in Los Angeles, sent to Sacramento and back to Los Angeles, sent to the FTA government office and then emailed to go into the California transit database.

   For the STIP, the FTA regional office in Philadelphia has a joint review with FHWA. FHWA usually only takes a few weeks whereas FTA typically takes about two to three months. Formal approval also takes a few weeks after verbal approval is given.

   In Maryland, FHWA and FTA give approval and a letter is sent to the Maryland Transit Administration. For NCTD, California has a central database and is easily accessible to see approval initials and date.. MDOT does the STIP amendment but it would be beneficial if an administrative amendment process were put in place to work through the committee.

7. Timeframes

   In Ventura County, an on-going problem is how flex fund transfers slow the process. CALTRANS will not request flex funds be transferred until in a TIP and STIP, and FTA will not start an official review of a grant until the flex funds are transferred.

8. Project Listings (multiple counties)

   Since projects have to be listed by county, in Maryland, projects in multiple counties are listed first by counties and then by region. One suggestion made for projects in multiple counties was to list the county where the buses are home based. This is an operational requirement that the attendees inquired why it was needed for FTA. FTA participants said that they would inquire into this.

VI. Peer Exchange Recommendations

• Look for opportunities to establish an administrative amendment process for the TIP.
  This process is appropriate for amendments on exempt projects that will not trigger the need to rerun conformity on the TIP and additional public review. (Ventura, Westchester and the NCTD)
• Consider an electronic amendment process.
  An electronic voting process for amending the TIP is appropriate for exempt projects that will not trigger the need to rerun the conformity analysis and only requires a vote. An electronic voting process will decrease the time needed to make the amendment even faster than an administrative TIP amendment (Westchester).
• Have quarterly meetings that include project status rather than just funding status.
  Consider holding quarterly meetings with the state for state funded projects or state controlled federal funds to go over the actual status of every project rather than just the funding status.
• Use broad categories.
  Categories such as "Other Support Equipment", "Parking", "System Preservation", and "Management and Expansion" are some of the broad categories listed by the transit properties for the TIP/STIP for rail and bus support, new starts and double start projects (NCDT, Delaware, Ventura).
• Consider the requirement to list projects by county distribution.
  When buses are to be used in multiple counties, refer to the bus home base as the county (Delaware Transit).
• Incorporate a broader scope on projects to provide more flexibility.
  Establish an allowable threshold such as 20 percent for going over the scope without a TIP amendment rule. This helps with rail capital rehabilitation (NCDT).

VII. For More Information

IX. Attachments/Links

List of Attendees

Enhancing Transit's Role in Transportation Decision Making!
APTA Commuter Rail/Rail Transit Conference
Baltimore, Maryland

June 13, 2003

Sherry Ways, Federal Transit Administration

Charlie Goodman, Federal Transit Administration

Paul Branch, Federal Transit Administration

Terry Rosapep, Federal Transit Administration

Tisha Ann Weichmann, Volpe, USDOT

Rich Weaver, APTA

Patricia Chemka, Westchester County DOT, NY

Ray Miller (Facilitator), Delaware Transit Corporation, Dover, DE

Nicholas R. D'Orsi, Central Ohio Transit Authority, Columbus, Ohio

Ellen Roundtree, North County Transit District

Peter DeHaan, Ventura County Transportation Commission, CA

Eunice Lovi, Maryland Transit Administration

Mark Donovan, Maryland Mass Transit Administration, Baltimore, Maryland