KERAPCD RULE 210-8 FEDERAL TRANSPORTATION CONFORMITY
LAST REVISED 04/06/95



RULE 210.8 - Federal Transportation Conformity - Adopted 4/6/95

Table of Contents

I. Purpose

II. Applicability

III. Definitions

IV. Exemptions

V. Consultation

VI. Requirements

VII. Administrative Requirements

VIII.Compliance

IX. Special Provisions for Nonattainment Areas Not Required to Demonstrate Reasonable Further Progress


I. Purpose

This Rule sets forth principles for determining conformity of transportation plans, programs, and projects developed, funded, or approved by the United States Department of Transportation (DOT), and by metropolitan planning organizations (MPOs) or other recipients of funds under Title 23 U.S.C. or the Federal Transit Act (49 U.S.C. 1601 et seq.). This Rule sets forth policy, criteria, and procedures for demonstrating and assuring conformity of such actions with KCAPCD's implementation plan(s) developed pursuant to §110 and Part D of the Federal Clean Air Act (FCAA).

II. Applicability

A. Action applicability

  1. Except as provided for in Subsection II.C., Page 210.8-4, Section IV., Page 210.8-10, conformity determinations are required for:

    a. Adoption, acceptance, approval or support of Transportation Plans developed pursuant to 23 CFR part 450 or 49 CFR part 613 by an MPO or DOT;

    b. Adoption, acceptance, approval or support of TIP's developed pursuant to 23 CFR part 450 or 49 CFR part 613 by an MPO or DOT; and

    c. Approval, funding, or implementation of FHWA/FTA projects.

  2. Conformity determinations shall not be required by this Rule for individual Non-FHWA/FTA projects. However, Subsection VI.X., page 210.8-54, applies to such projects if they are regionally significant.

B. Geographic Applicability

  1. Provisions of this Rule shall apply to transportation-related emissions in all designated nonattainment and maintenance areas of the Kern County APCD (East Kern).

  2. Provisions of this Rule shall apply to emissions of the following primary pollutants: carbon monoxide, nitrogen dioxide, and PM10 (respirable particulates).

  3. Provisions of this Rule shall apply to emissions of the following precursor pollutants:

    a. Volatile organic compounds and nitrogen oxides in ozone non-attainment or maintenance areas unless the Administrator determines under §182(f) of the FCAA that additional reductions of NOx would not contribute to attainment;
  4. b. Volatile organic compounds, and nitrogen oxides, in PM10 non-attainment or maintenance areas if:

    1. During the interim period, the U.S. EPA Region IX Administrator or the Executive Officer of the California Air Resources Board has made a finding that transportation-related PM10 precursor emissions within the nonattainment area are a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT; or

    2. During the transitional, control strategy, and maintenance periods, the applicable implementation plan (or implementation plan submission) establishes a budget for such emissions as part of the reasonable further progress, attainment or maintenance strategy.

C. Limitation

  1. Projects subject to this regulation for which the NEPA process and a conformity determination have been completed by FHWA or FTA may proceed toward implementation without further conformity determinations if one of the following major steps has occurred within the past three years: NEPA process completion; start of final design; acquisition of a significant portion of the right-of-way; or approval of plans, specifications and estimates. All phases of such projects considered in the conformity determination are also included, if those phases were for the purpose of funding, final design, right-of-way acquisition, construction, or any combination of these phases.

  2. A new conformity determination for an action subject to Subsection C.1., above, shall be required if there is a significant change in project design concept and scope; if a supplemental environmental document for air quality purposes is initiated; or if no major steps to advance the project have occurred within the past three years.

D. Priority

When assisting or approving any action with expected air quality-related impacts, FHWA and FTA shall give priority to implementation of those transportation portions of an applicable implementation plan prepared to attain and maintain NAAQS's. This priority shall be consistent with statutory requirements for allocation of funds among States or other jurisdictions.

III. Definitions

Terms used but not defined in this rule shall have the meaning given them by the FCAA, Titles 23 and 49 U.S.C., other U.S. Environmental Protection Agency (U.S. EPA) regulations, or other DOT regulations, in that order of priority.

A. Applicable implementation plan is defined in §302(q) of the FCAA and means the portion (or portions) of the implementation plan, or most recent revision thereof, approved under §110, or promulgated under §110(c), or promulgated or approved pursuant to regulations promulgated under §301(d) and which implements relevant requirements of the FCAA.

B. CARB means the California Air Resources Board, Cal-EPA's air quality agency responsible for motor vehicle pollution control, and oversight of California's local air pollution control programs.

C. CFR means Code of Federal Regulations.

D. Caltrans means the California State Department of Transportation.

E. Cause or contribute to a new exceedance for a project means:

  1. to cause or contribute to a new exceedance of a NAAQS in the area substantially affected by the project or over a region which would otherwise not exceed such standard during the future period in question, if the project were not implemented, or
  2. to contribute to a new exceedance of a NAAQS in a manner that would increase the frequency or severity of a new exceedance of a standard in such area.

F. Control strategy implementation plan revision is the applicable implementation plan which contains specific strategies for controlling emissions of and reducing ambient levels of pollutants to satisfy FCAA requirements for demonstrations of reasonable further progress and attainment (FCAA §§182(b)(1), 182(c)(2)(A), 182(c)(2)(B), 187(a)(7), 189(a)(1)(B), and 189(b)(1)(A); and §§192(a) and 192(b), for nitrogen dioxide).

G. Control strategy period for respirable particulate (PM10) carbon monoxide (CO), nitrogen dioxide (NO2), and/or ozone precursors (volatile organic compounds and oxides of nitrogen), means that period of time after U.S. EPA approves control strategy implementation plan revisions containing strategies for controlling PM10, NO, CO, and/or ozone, as appropriate. This period ends when a CARB submits and U.S. EPA approves a request under §107(d) of the FCAA for redesignation to an attainment area.

H. Criteria pollutant is any air contaminant having a National Ambient Air Quality Standard.

I. Design concept means type of facility identified by the project, e.g., freeway, expressway, arterial highway, grade-separated highway, reserved right-of-way rail transit, mixed-traffic rail transit, exclusive bus way, etc.

J. Design scope means design aspects affecting the proposed project's impact on regional emissions, usually as they relate to vehicle or person carrying capacity and control, e.g., number of lanes or tracks to be constructed or added, length of project, signalization, access control including approximate number and location of interchanges, preferential treatment for high-occupancy vehicles, etc.

K. DOT means the United States Department of Transportation.

L. FCAA means the Federal Clean Air Act, as amended.

M. FHWA means the Federal Highway Administration of DOT.

N. FHWA/FTA project, for purposes of this Rule, is any highway or transit project proposed to receive funding assistance and approval through the Federal-Aid Highway program or the Federal Mass Transit Program, or requires Federal Highway Administration (FHWA) or Federal Transit Administration (FTA) approval for some aspect of the project, such as connection to an interstate highway or deviation from applicable design standards on the interstate system.

O. FTA means the Federal Transit Administration of DOT.

P. Forecast period for a transportation plan is the period covered by the transportation plan pursuant to 23 CFR part 450.

Q. Highway project is an undertaking to implement or modify a highway system or highway-related program. Such an undertaking consists of all required phases necessary for implementation. For analytical purposes, it must be defined sufficiently to:

  1. connect logical termini and be of sufficient length to address environmental matters on a broad scope;
  2. have independent utility or significance, i.e., be usable and be a reasonable expenditure even if no additional transportation improvements in the area are made; and
  3. not restrict consideration of alternatives for other reasonably foreseeable transportation improvements.

R. Horizon year is a year for which the transportation plan describes the envisioned transportation system according to Subsection VI.A., Page 210.8-26.

S. Hot-spot analysis is an estimation of likely future localized CO and PM10 pollutant concentrations and a comparison of those concentrations to the NAAQS's. Pollutant concentrations to be estimated shall be based on total emissions burden which may result from implementation of a single, specific project, summed together with future background concentrations, which can be estimated using ratio of future to current traffic multiplied by ratio of future to current emission factors expected in the area. Total concentration shall be estimated and analyzed at appropriate receptor locations in the area substantially affected by the project. Hot-spot analysis assesses impacts on a scale smaller than the entire nonattainment or maintenance area, including, for example, congested roadway intersections and highway or transit terminals, and uses an air quality dispersion model to determine impact of emissions on air quality.

T. Incomplete data area means any ozone nonattainment area U.S. EPA has classified, in 40 CFR part 81, as an incomplete data area.

U. Increase the frequency or severity means to cause air quality in a location or region to exceed a NAAQS more often or to cause exceedance at a greater concentration than previously existed and/or would otherwise exist during the future period in question, if the project were not implemented.

V. ISTEA means the Intermodal Surface Transportation Efficiency Act of 1991.

W. Maintenance area means any geographic region of the United States previously designated nonattainment pursuant to the FCAA and subsequently redesignated to attainment subject to the requirement to develop a maintenance plan under §175A of the FCAA, as amended.

X. Maintenance period with respect to a pollutant or pollutant precursor means that period of time beginning when a State submits and U.S. EPA approves a request pursuant to §107(d) of the FCAA for redesignation to an attainment area, and lasting for 20 years, unless the applicable implementation plan specifies the maintenance period shall last for more than 20 years.

Y. Metropolitan planning organization (MPO) is that organization designated as being responsible, together with the State, for conducting the continuing, cooperative, and comprehensive planning process pursuant to 23 U.S.C. 134 and 49 U.S.C. 1607. (Also see definition for TPA.)

Z. Milestone has the meaning given in §182(g)(1) and §189(c) of the FCAA. A milestone consists of an emission inventory level and the date by which it is required to be achieved.

AA. Motor vehicle emissions budget is that portion of total allowable emissions defined in a revision to the applicable implementation plan, or in an implementation plan revision endorsed by the Governor or his or her designee, subject to a public hearing, and submitted to U.S. EPA, but not yet approved by U.S. EPA, for a certain date for the purpose of meeting reasonable further progress milestones or attainment or maintenance demonstrations, for any criteria pollutant or its precursors, allocated by the applicable implementation plan to highway and transit vehicles. The applicable implementation plan for an ozone nonattainment area may also designate a motor vehicle emissions "budget" for oxides of nitrogen (NOx) for a reasonable further progress milestone year if the applicable implementation plan demonstrates this NOx budget will be achieved with measures in the implementation plan, as an implementation plan must do for VOC milestone requirements. The applicable implementation plan for an ozone nonattainment area includes a NOx budget if NOx reductions are being substituted for reductions in volatile organic compounds in milestone years required for reasonable further progress. (KCAPCD is substituting NOx for VOC.)

BB. National Ambient Air Quality Standards (NAAQS's) are those standards established pursuant to §109 of the FCAA.

CC. NEPA means the National Environmental Policy Act of 1969, as amended (42 U.S.C. 4321 et seq).

DD. NEPA process completion, for purposes of this Rule and with regard to FHWA or FTA, means the point at which there is a specific action to make a determination a project is categorically excluded, to make a Finding of No Significant Impact, or to issue a record of decision on a Final Environmental Impact Statement pursuant to NEPA.

EE. Nonattainment area means any geographic region of the United States designated as nonattainment under §107 of the FCAA for any pollutant for which a National Ambient Air Quality Standard exists.

FF. Not classified area means any carbon monoxide nonattainment area which EPA has not classified as either moderate or serious.

GG. Phase II of the interim period for a pollutant or pollutant precursor means that period of time after the effective date of this Rule, lasting until the earlier of the following: 1) submission to U.S. EPA of relevant control strategy implementation plan revisions endorsed by the Governor (or his or her designee) and subject to a public hearing, or 2) the date the FCAA requires relevant control strategy implementation plans be submitted to U.S. EPA, provided U.S. EPA has notified the State, MPO, and DOT of the State's failure to submit any such plans. The precise end of Phase II of the interim period is defined in §51.448 of U.S. EPA's final Transportation Conformity Rule.

HH. Project means a proposal to construct or modify a highway or transit system.

II. Recipient of funds designated under Title 23 U.S.C. or the Federal Transit Act means any agency at any level of state, county, city, or regional government routinely receiving Title 23 U.S.C. or Federal Transit Act funds to construct FHWA/FTA projects, operate FHWA/FTA projects or equipment, purchase equipment, or undertake other services or operations via contracts or agreements. This definition does not include private landowners or developers, or contractors or entities that are only paid for services or products created by their own employees.

JJ. Regionally significant project means a transportation project, excluding exempt projects, serving regional transportation needs such as access to and from the area outside of the region, major activity centers in the region, major planned developments such as new retail malls, sports complexes, etc., or transportation terminals as well as most terminals themselves, and normally included in modeling of a metropolitan area's transportation network, including at a minimum all principal arterial highways and all fixed guideway transit facilities offering an alternative to regional highway travel.

KK. Rural transport ozone nonattainment area means an ozone nonattainment area not including, and not adjacent to, any part of a Metropolitan Statistical Area or, where one exists, a Consolidated Metropolitan Statistical Area as defined by the United States Bureau of the Census and is classified under Clean Air Act §182(h) as a rural transport area.

LL. Standard means a National Ambient Air Quality Standard.

MM. State Implementation Plan (SIP) is a document prepared by each state describing existing air quality conditions and measures to be taken to attain and maintain National Ambient Air Quality Standards.

NN. Submarginal area means any ozone nonattainment area U.S. EPA has classified as submarginal in 40 CFR part 81.

OO. STIP means the State Transportation Improvement Program.

PP. Transit is mass transportation by bus, rail, or other conveyance providing general or special service to the public on a regular and continuing basis. It does not include school buses or charter or sightseeing services.

QQ. Transit project is an undertaking to implement or modify a transit facility or transit-related program; purchase transit vehicles or equipment; or provide financial assistance for transit operations. It does not include actions solely within the jurisdiction of local transit agencies, such as changes in routes, schedules, or fares. It may consist of several phases. For analytical purposes, it must be defined inclusively enough to: 1) connect logical termini and be of sufficient length to address environmental matters on a broad scope; 2) have independent utility or independent significance, i.e., be a reasonable expenditure even if no additional transportation improvements in the area are made; and 3) not restrict consideration of alternatives for other reasonably foreseeable transportation improvements.

RR. Transitional area means any ozone nonattainment area U.S. EPA has classified as transitional in 40 CFR part 81.

SS. Transitional period for a pollutant or pollutant precursor means that period of time which beginning after submission to U.S. EPA of the relevant control strategy implementation plan endorsed by the Governor (or his or her designee) and subject to a public hearing. The transitional period lasts until U.S. EPA takes final approval or disapproval action on the control strategy implementation plan submission or finds it to be incomplete. The precise beginning and end of the transitional period is defined in §51.392 of U.S. EPA's final Transportation Conformity Rule.

TT. Transportation control measure (TCM) is any measure specifically identified and committed to in the applicable implementation plan and one of the types listed in §108 of the FCAA, or any other measure for the purpose of reducing emissions or concentrations of air pollutants from transportation sources by reducing vehicle use or changing traffic flow or congestion conditions. Notwithstanding the above, vehicle technology-based, fuel-based, and maintenance-based measures controlling emissions from vehicles under fixed traffic conditions are not TCM's for the purpose of this Rule.

UU. Transportation improvement program (TIP) means a staged, multiyear, intermodal program of transportation projects covering a metropolitan planning area consistent with the metropolitan transportation plan, and developed pursuant to 23 CFR part 450.

VV. Transportation plan means the official intermodal metropolitan transportation plan developed by the metropolitan planning process for the metropolitan planning area, pursuant to 23 CFR part 450.

WW. Transportation Planning Agency (TPA) means the agency responsible for transportation planning within Kern County. The specific TPA included in this definition is the Kern Council of Governments. This TPA is also the designated Metropolitan Planning Organization (MPO).

XX. Transportation project is a highway project or a transit project.

YY. EPA or U.S. EPA means the United States Environmental Protection Agency.

IV. Exemptions

A. Exempt Projects

Notwithstanding other requirements of this Rule, a highway or transit project of a type listed in Table 1 is exempt from the requirement a conformity determination be made. Such projects may proceed toward implementation even in the absence of a conforming transportation plan and TIP. A particular action of a type listed in Table 1 is not exempt if the MPO, in consultation with other agencies (see Subsection V.C.1.c.,Page 210.8-19), the U.S. EPA, and the FHWA, in the case of a highway project, or the FTA, in the case of a transit project, concur it has potentially adverse emissions impacts for any reason. States and MPO's must ensure exempt projects do not interfere with TCM implementation.

TABLE 1 - EXEMPT PROJECTS
SAFETY

Railroad/highway crossings

Hazard elimination programs

Safer non-Federal-aid system roads

Shoulder improvements

Increasing sight distances

Safety improvement programs

Traffic control devices and operating assistance other than signalization projects

Railroad/highway crossing warning devices

Guardrails, median barriers, crash cushions

Pavement resurfacing and/or rehabilitation

Pavement marking demonstrations

Emergency relief (23 U.S.C. 125)

Fencing

Skid treatments

Safety roadside rest areas

Adding medians

Truck climbing lanes outside urbanized areas

Lighting improvements

Widening narrow pavements or reconstructing bridges (no additional travel lanes)

Emergency truck pullovers

MASS TRANSIT

Operating assistance to transit agencies

Purchase of support vehicles

Rehabilitation of transit vehicles1

Purchase of office, shop, and operating equipment for existing facilities

Purchase of operating equipment for vehicles, e.g., radios, fareboxes, lifts, etc.

Construction or renovation of power, signal, and communications systems

Construction of small passenger shelters and information kiosks

Reconstruction or renovation of transit buildings and structures, e.g., rail or bus buildings, storage and maintenance facilities, stations, terminals, and ancillary structures

Rehabilitation or reconstruction of track structures, track, and trackbed in existing rights-of-way

Purchase of new buses and rail cars to replace existing vehicles or for minor expansions of the fleet1

Construction of new bus or rail storage/maintenance facilities categorically excluded in 23 CFR 771

1. In PM10 nonattainment or maintenance areas, such projects are exempt only if they are in compliance with control measures in the applicable implementation plan.
AIR QUALITY

Continuation of ride-sharing and van-pooling promotion activities at current levels

Bicycle and pedestrian facilities

OTHER

Specific activities not involving or leading directly to construction, such as:

Planning and technical studies

Grants for training and research programs

Planning activities conducted pursuant to Titles 23 and 49 U.S.C

Federal-aid systems revisions

Engineering to assess social, economic, and environmental effects of the proposed action or alternatives to such action

Noise attenuation

Advance land acquisitions (23 CFR 712 or 23 CFR 771)

Acquisition of scenic easements

Plantings, landscaping, etc.

Sign removal

Directional and informational signs

Transportation enhancement activities, except rehabilitation and operation of historic transportation buildings, structures, or facilities

Repair of damage caused by natural disasters, civil unrest, or terrorist acts, except projects involving substantial functional, locational or capacity changes

B. Projects exempt from regional emissions analyses

Notwithstanding other requirements of this Rule, a highway or transit project of a type listed in Table 2 are exempt from regional emissions analysis requirements. Local effects of these projects with respect to CO or PM10 concentrations shall be considered to determine if a hot-spot analysis is required prior to making a project-level conformity determination. These projects may then proceed to the project development process even in the absence of a conforming transportation plan and TIP. An action of a type listed in Table 2 is not exempt from regional emissions analysis if the MPO in consultation with other agencies (see Subsection V.D.1.c., Page 210.8-23), the U.S. EPA, and the FHWA (in the case of a highway project) or the FTA (in the case of a transit project) concur it has potential regional impacts for any reason.

TABLE 2

PROJECTS EXEMPT FROM REGIONAL EMISSIONS ANALYSES

Intersection channelization projects

Intersection signalization projects at individual intersections

Interchange reconfiguration projects

Changes in vertical and horizontal alignment

Truck size and weight inspection stations

Bus terminals and transfer points


V. Consultation

A. General

This Rule provides procedures for interagency consultation (local, state, and federal) pursuant to Sections 51.396 and 51.402 of U.S. EPA's final transportation conformity rule promulgated November 24, 1993. These procedures apply to the Kern County APCD and apply to interagency consultation related to regional transportation plan and transportation improvement program development, transportation conformity determinations and control strategy implementation plan development. Such consultation procedures shall be undertaken by TPA's, Caltrans, and the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) with CARB and KCAPCD and U.S. EPA before making conformity determinations, and by CARB and KCAPCD and U.S. EPA with TPA's, Caltrans, FHWA, and FTA in developing control strategy implementation plans.

B. Interagency Consultation Procedures: General Factors for RTP's and TIP's

  1. Representatives of the TPA's, local and State air quality planning agencies, and State and local transportation agencies, shall consult with one another and with local or regional offices of U.S. EPA, FHWA, and FTA in accordance with this Section during development of an implementation plan, the list of TCM's in the control strategy implementation plan, the unified planning work program under 23 CFR Section 450.314, the Regional Transportation Plan (RTP), the Transportation Improvement Program (TIP), any revisions to the preceding documents, and all conformity determinations required by this Rule.

  2. a. Regular consultation with regard to major activities shall be conducted primarily at the technical level. At the beginning of each annual planning cycle, the TPA Directors Association shall designate technical representatives and/or technical committees to be the primary forum for interagency consultation for transportation plan development and conformity findings. These representatives or committees shall be responsible for conducting interagency consultation. In general, each TPA shall have a designated representative to conduct conformity consultation with KCAPCD, Caltrans, CARB, FHWA, FTA, and U.S. EPA. Consultation for issues affecting more than one TPA shall be conducted by the TPA Directors Association or assigned by the Directors to a technical committee. The TPA Directors Association shall provide a forum for policy-level consultation with the KCAPCD to ensure consistent air quality and transportation planning, including joint preparation of TCM's to be used by the air district in meeting both federal and state clean air mandates. Representatives of regional, state, and federal agencies listed in Subsection V.A. shall be notified of TPA Directors Association meetings and may choose to attend.

    b. It shall be the responsibility of the TPA lead agency for preparation of a document or decision subject to the interagency consultation process, to initiate the consultation process by notifying other agencies, convene meetings, assure that all relevant documents and information are supplied to all participants in the consultation process in a timely manner, prepare minutes of consultation meetings, maintain a written record of the consultation process, and to assure adequacy of the interagency consultation process for the subject document or decision. TPA's shall be responsible for timely circulation of draft documents among agencies for comment, and responding to any comments, before adoption or publication. Draft documents shall be circulated among agencies with a 30 day comment period. Copies of draft documents shall be made available for the public to view at TPA offices. This availability shall be announced in local news media in advance of when documents are available.

    c. Each lead agency participating in the consultation process required under this Section shall confer with other agencies identified under Subsection V.A., Page 210.8-14, with an interest in the document to be developed, provide all information to those agencies needed for meaningful input, solicit early and continuing input from those agencies, and prior to taking any action, consider views of each agency and respond to them prior to any final decision on such documents.

    d. It shall be the responsibility of each agency specified in Subsection V.A., page 210.8-14, when not acting as lead agency, to confer with the lead agency and other participants in the consultation process, review and comment as appropriate, including comments in writing, on all proposed and final documents and decisions in a timely manner, attend consultation and decision meetings, provide input on any area of substantive expertise or responsibility, and provide technical assistance to the lead agency or to the consultation process in accordance with this Subsection when requested.

  3. Specific roles and responsibilities of various participants in the interagency consultation process shall be as follows:
  4. a. TPA's shall:

    1. Develop RTP's and TIP's and make County-level transportation conformity assessments for these plans, including transportation and emission modeling and TCM documentation. Findings with regard to transportation conformity assessments shall be made pursuant to interagency consultation procedures, and public participation consistent with 23 CFR 450.

    2. Designate a transportation conformity representative to coordinate with other agencies and attend meetings with other agencies. Such transportation conformity representative shall solicit input from other agencies during the consultation process.

    3. Distribute meeting notices and agendas to each agency listed in Subsection V.A., Page 210.8-14 and be responsible for reviewing draft transportation conformity documents and assumptions. Distribute minutes of meetings to invitees.

    4. Solicit early and continuing input from other agencies identified in Subsection V.A., Page 210.8-14, in development of RTPs, TIPs, amendments to these documents, and other transportation-related projects.

    5. Provide a period of at least 30 days for review and comment by other agencies prior to taking final action to adopt an RTP, TIP, amendments to such documents, and other projects subject to conformity determinations.

    6. Review and consider all comments received during interagency consultation process. Address significant comments in writing when requested by commenting agency.

    7. Participate in conflict resolution processes as appropriate.

    8. Identify regionally significant and exempt projects in accordance with §51.402 respectively, of the final U.S. EPA transportation conformity rule and determine when these definitions should be enhanced to include previously excluded projects because of potential emission impacts.

    9. Determine which regionally-significant non-federal projects will be subject to transportation conformity, revise TIP's and RTP's when conformity is not shown, implement, when appropriate, and monitor progress of TCM's, ensure and coordinate public participation, and coordinate with other TPA's and agencies as appropriate, including coordination of development and distribution of agendas for interagency consultation meetings.

    10. Consult with KCAPCD and other relevant agencies as defined in Subsection V.A., Page 210.8-14, when TPA's are determining whether any new projects are regionally significant. This consultation provides an opportunity to discuss classification of certain projects as regionally significant even though they may not meet the definition set forth in Section 51.392 of 40 CFR Part 51.

    b. Caltrans shall:

    1. Review and comment on RTP's, TIP's, and transportation conformity findings and procedures

    2. Designate a conformity representative to coordinate with other agencies and attend meetings with other agencies. Such conformity representative shall solicit input from other agencies during the consultation process.
    3. Submit TIP's for inclusion into the STIP, following appropriate consultation with and notification of other agencies as required by 23 CFR Section 450.216 (a).

    c. KCAPCD shall:

    1. Review and provide comments on transportation conformity determinations and how emissions from a TIP or RTP compare to the motor vehicle emission budget in the control strategy implementation plan.

    2. Provide input on issues such as changes to TPA-level emission budgets which do not change emission levels in the non-attainment area.

    3. Designate a conformity representative to coordinate with other agencies and attend meetings with other agencies. Such conformity representative shall solicit input from other agencies during the consultation process.

    4. Provide opportunity for consultation when TPA's are determining whether new projects are regionally significant.

    d. CARB shall:

    1. Designate a conformity representative to coordinate with other agencies and attend meetings with other agencies at CARB's discretion.

    2. Review and provide written comment on proposed TIP's, RTP's, RTP alternatives, control strategy implementation plan development and transportation conformity findings

    3. Provide the most recent U.S.EPA-approved emission factors (EMFAC) to the TPA's and Caltrans for use in emissions analyses, following appropriate consultation with appropriate agencies.

    e. U.S. EPA shall:

    1. Review and provide written comment on draft transportation conformity documents, RTP's and TIP's.

    2. Provide guidance on transportation conformity rule criteria and statute.

    3. Review and approve updates of motor vehicle emission factors (EMFAC) for use in transportation conformity analyses.

    4. Designate a conformity representative to coordinate with other agencies and attend meetings with other agencies at U.S. EPA's discretion. Such conformity representative shall provide input from other agencies during the consultation process.

    f. FHWA and FTA shall:

    1. Comment on and provide joint transportation conformity determinations for RTP's and TIP's, and plan and program amendments.

    2. Provide notification of final joint transportation conformity determinations to each agency listed in Subsection V.A.
    3. Take additional actions as necessary and appropriate to facilitate approval of conformity of RTP's and TIP's.

    4. Provide guidance on transportation conformity and transportation planning.

    5. Designate a conformity representative to coordinate with other agencies and attend meetings with other agencies at FHWA/FTA's discretion. Such conformity representative shall solicit input from other agencies during the consultation process.

C. Interagency Consultation Procedures: General Factors for Development of Control Strategy Implementation Plans

  1. KCAPCD, CARB and U.S. EPA shall consult regularly with TPA's prior to and throughout development of all control strategy implementation plan submittals affecting transportation conformity, including those containing emissions budgets, control strategies, and/or proposed TCM's. KCAPCD, CARB and U.S. EPA shall transmit to TPA's and the other agencies its draft and final air quality plans, TCM proposals, and available work programs for air quality planning activities and products, and shall solicit TPA's input on the region's transportation conformity determinations. Each agency shall participate early and continuously in control strategy implementation plan development to the extent its resources and priorities allow.

  2. a). The organizational level of regular consultation shall be at the technical level. Technical consultation with regard to control strategy implementation plan revisions and on-road mobile emission budgets shall be undertaken by appropriate technical committees established by the TPA Directors Association.

    b). KCAPCD shall be responsible for timely circulation of draft documents among agencies for comment, and responding to comments, before adoption or publication. Draft documents shall be circulated among agencies with a 30-day comment period. Copies of draft documents shall be made available for the public to view at KCAPCD.

    c). Interagency consultation shall be accomplished by means of regular meetings of technical committee(s) established by the TPA Directors Association. Such committee(s) shall meet at least on a quarterly basis for purposes of consultation. Responsibility for establishing meeting agendas shall be with the lead agency designated by the TPA. KCAPCD shall be consulted regarding control strategy implementation plan revision issues to be placed on the agenda. The lead agency shall distribute meeting notices and agendas to each agency listed in Subsection V.A. and the KCAPCD representative shall communicate with agencies unable to attend and solicit their input.

    1. All control strategy implementation plans and/or revisions, including those initiated by TPA's and other local agencies, shall be submitted through the KCAPCD.
    2. CARB and U.S. EPA shall consult with KCAPCD on development of any control strategy implementation plans promulgated or adopted.
    3. Each agency's role and responsibilities shall be as follows:

    a). KCAPCD shall:

    1. Develop attainment demonstrations, control strategy implementation plans, and regulatory TCM's within the statutory limits of the KCAPCD.

    2. Solicit early and continuing input from other agencies identified in Subsection V.A., Page 210.8-14, in development of control strategy implementation plan submittals.

    3. Distribute contents of draft control strategy implementation plans and copies of final control strategy implementation plan submittals and supporting materials to agencies identified in Subsection V.A., Page 210.8-14.

    4. Adopt on-road mobile source emissions budgets developed by TPA's in consultation with KCAPCD. Such budgets may be revised by KCAPCD after joint consultation between KCAPCD, TPA's, CARB prior to adoption.

    5. Provide a period of at least thirty days for review and comment by other agencies prior to taking final action to adopt or amend a control strategy implementation plan; review and consider comments of other agencies; provide written responses to comments as appropriate.

    6. Consult directly and regularly with TPA's at both policy and technical staff levels.

    7. Consult with CARB, Caltrans, and U.S. EPA with regard to use of emission factors.

    8. Hold regular meetings to provide status reports and solicit input from TPA's on control strategy implementation plan development or revisions.

    b). TPA's shall:

    1. Review and comment as appropriate on contents of proposed control strategy implementation plan submittals for conformity determinations.

    2. Develop and provide system-based (facilities) and non-regulatory (programmatic) TCM's for inclusion in the SIP.
    3. Develop proposed on-road mobile source emissions budgets in consultation with KCAPCD.

    4. Program TCM's and work with appropriate jurisdictions to implement TCM's on schedule where responsible.
      Recommend to KCAPCD when SIP revisions are necessary to replace TCM's.

    5. Provide information necessary to develop on-road motor vehicle activity level and associated emission levels for use in control strategy implementation plan(s).

    6. Hold regular meetings with KCAPCD regarding development of the RTP, TIP, amendments to these documents, and other transportation projects.

    c). Caltrans shall:

    1. Assist with overall control strategy implementation plan development.

    2. Consult with TPA's and KCAPCD with regard to development of TCM's for inclusion in control strategy implementation plan(s).

    3. Consult with other agencies with regard to interregional projects.

    4. Consult with other agencies with regard to transportation projects entirely under Caltrans discretionary control.

    5. Provide transportation data to TPA's for consideration in development of emissions budgets.

    d). U.S. EPA shall:

    1. Participate in consultation meetings during development of control strategy implementation plan submittals.

    2. Provide timely guidance to KCAPCD during development of control strategy implementation plan revisions.

    3. Review all control strategy implementation plan revisions for completeness and approveability.

    4. Review and approve updates of motor vehicle emission factors (EMFAC) for use in control strategy implementation plan emissions analyses.
    5. Adopt on-road mobile source emission budgets for Federal Implementation Plans (FIP) for the KCAPCD only after consultation with TPA's and KCAPCD.

    e). CARB shall:

    1. Participate in consultation meetings during development of control strategy implementation plan revisions.

    2. Provide timely guidance to KCAPCD during development of control strategy implementation plan submittals.

    3. Review all draft and final control strategy implementation plan submittals for compliance with applicable requirements.

    4. Submit control strategy implementation plan revisions to the U.S. EPA for approval.

    5. Provide most recent U.S. EPA-approved emission factors (EMFAC) to KCAPCD for use in control strategy implementation plan emissions analyses.

    f). FHWA and FTA shall:

    1. Review and comment as appropriate with regard to relevant contents of proposed control strategy implementation plan revisions.

    2. Provide guidance on transportation conformity implications of proposed control strategy implementation plan revisions.

    g). Other Recipients of Funds Under Title 23 U.S.C. or the Federal Transit Act shall:


    Review and comment as appropriate on relevant conformity determination issues.

D. Interagency Consultation Procedures: Specific Processes for Transportation Conformity

  1. The consultation process shall include specific issues listed in the following Subsections: V.D.1.a. to V.D.1.f., below. Recommendations and decisions with regard to these issues shall be developed by TPA technical representatives and presented at regularly scheduled meetings of the TPA Directors Association. In developing these recommendations, designated TPA technical representatives shall solicit and consider input from KCAPCD, U.S. EPA, CARB, FHWA, FTA, Caltrans, and agencies receiving Federal transportation funds. The TPA Directors Association shall take action on these recommendations. Meeting agendas shall note when such issues are to be discussed.

  2. a. Evaluating and choosing a model(s) and associated methods and assumptions to be used in hot-spot analyses and regional emissions analyses;

    b. Determining minor arterials and other transportation projects (if any) to be considered "regionally significant" for purposes of regional emissions analysis, in addition to those functionally classified as principal arterial or higher or fixed guideway systems or extensions offering an alternative to regional highway travel, and projects to be considered to have a significant change in design concept and scope from the RTP or TIP;

    c. Determining if projects otherwise exempted from meeting requirements of Subsections IV.A. and IV.B. should be treated as non-exempt in cases where potential adverse emissions impacts may exist for any reason;

    d. Determining, as required by Subsection VI.H.1.a., Page 210.8-32, whether past obstacles to implementation of TCM's delinquent with respect to the schedule established in the control strategy implementation plan have been identified and are being overcome, and whether TCM's are being given maximum priority for approval and/or funding. This process shall also consider whether delays in TCM implementation necessitate revisions to the State Implementation Plan to remove TCM's or substitute TCM's or other emission reduction measures;

    e. Identifying, as required by Subsection VII.B.4., Page 210.8-61, projects located at sites in PM10 nonattainment areas having vehicle and roadway emission and dispersion characteristics essentially identical to those at sites having exceedances verified by monitoring, and therefore require quantitative PM10 hot-spot analysis; and

    f. Notification of RTP or TIP revisions or amendments adding or deleting exempt projects listed in Subsection IV.A., Page 210.8-10.

  3. TPA's shall consult, in accordance with Subsection V.D.1., Page 210.8-22, with KCAPCD, CARB, U.S. EPA, Caltrans, FHWA, FTA, and other local agencies receiving Federal transportation funds regarding the following transportation conformity issues:

  4. a. Evaluating events triggering new transportation conformity determinations in addition to those triggering events set forth in Section VIII., Page 210.8-63; and

    b. Evaluating emissions analyses for transportation activities crossing the borders of TPA's nonattainment areas, or air basins.

  5. Where the metropolitan planning area does not cover the entire nonattainment or maintenance area, the TPA and Caltrans shall undertake cooperative planning and analysis for purposes of determining transportation conformity of all projects outside the metropolitan area and within the nonattainment or maintenance area. This shall be accomplished through consultation procedures outlined in Subsection V.B.1., Page 210.8-14.

  6. TPA's shall ensure member jurisdictions regularly disclose plans for construction of regionally significant projects not FHWA/FTA projects, including projects for which alternative locations, design concept and scope, or the no-build option are still being considered, including those by recipients of funds designated under Title 23 U.S.C. or the Federal Transit Act, and ensure any changes to those plans are regularly disclosed.
  7. TPA's and other recipients of funds designated under Title 23 U.S.C. or the Federal Transit Act shall assign a location and design concept and scope of projects disclosed to the TPA by its member jurisdictions as required by Subsection V.D.4., above, but whose sponsors have not yet defined these features, in sufficient detail, to perform the regional emissions analysis pursuant to requirements of Subsection VII.A., Page 210.8-55. These assignments shall be based on judgement of the TPA and shall be discussed at the TPA technical level; issues of regional importance requiring policy-level decisions shall be addressed by the TPA Directors Association.

  8. TPA's shall consult with each agency listed in Subsection V.B., Page 210.8-14, with regard to design, schedule and funding of research and data collection efforts and regional transportation model development, e.g., household/travel transportation surveys, initially at the technical level through the appropriate technical committee established by the TPA Directors Association. Issues of regional and/or policy significance shall be presented to the TPA Directors Association.

  9. TPA's, KCAPCD and Caltrans shall distribute final documents, including control strategy implementation plan revisions, and supporting information to each agency within two weeks after approval or adoption.

E. Resolving Conflicts Relating to Transportation Conformity Determinations

  1. Conflicts relating to transportation conformity determinations between State agencies, or between State agencies and the TPA(s), or among TPA member jurisdictions, shall be identified by a TPA or agency in writing to the other TPA or agency and, as appropriate, the KCAPCD, CARB, Caltrans, FHWA, FTA, and U.S. EPA. The TPA or member jurisdiction initially identifying the conflict shall have responsibility for determining agencies to be notified. The TPA's or agency's written notice shall:

  2. a. Explain the nature of the conflict,

    b. Review options for resolving the conflict,

    c. Describe the TPA's or agency's proposal to resolve the conflict,

    d. Explain the consequences of not reaching resolution, and

    e. Request comments on the matter be received within two weeks.

  3. If the above action does not result in resolution of a conflict, a meeting shall be held within four weeks after the initial letter documenting the conflict among the involved agencies and TPA(s). Agencies not able to attend this meeting shall provide any input in writing prior to the meeting.

  4. If staff of the involved agencies cannot resolve the conflict, Directors of the involved agencies, or their designees, shall meet to resolve differences in a manner acceptable to all involved parties.

  5. Conflicts shall be referred to the Governor if resolution by Directors of the involved agencies cannot be achieved. CARB shall have 14 calendar days to appeal to the Governor after Caltrans, a TPA, or other involved agency has notified CARB's Executive Officer that either party plans to proceed with it's conformity determination that is the source of the unresolved conflict. If CARB appeals to the Governor, the final transportation conformity determination shall have concurrence of the Governor. If CARB does not appeal to the Governor within 14 days, the TPA or other project sponsor may proceed with the final transportation conformity determination. The Governor may delegate his or her role in the process, but not to the Director or staff of the KCAPCD, CARB, Caltrans, or a TPA.

F. Public Consultation Procedures

Affected agencies making conformity determinations with regard to transportation plans, programs, and projects shall establish a proactive public involvement process and shall allow opportunity for public review and comment prior to taking formal action on a transportation conformity determination for all RTP's and TIP's, consistent with the requirements of 23 CFR part 450. In addition, any such agency shall specifically address in writing all public comments about known plans for a regionally significant project not receiving FHWA or FTA funding or approval and not properly reflected in the emissions analysis supporting a proposed conformity finding for a transportation plan or TIP. These agencies shall also provide an opportunity for public involvement in transportation conformity determinations for projects where otherwise required by law. Local entities specified in Section 450.316(b)(4) of FHWA/FTA's Statewide Planning: Metropolitan Planning shall be included in the public consultation process.

VI. Requirements

A. Content of Transportation Plans

  1. Transportation plans adopted after January 1, 1995, in serious, severe, or extreme ozone nonattainment areas and in serious carbon monoxide nonattainment areas, shall specifically describe the transportation system envisioned for certain future "horizon" years.

  2. a. The agency or organization developing the transportation plan may choose any years to be horizon years, subject to the following restrictions:

    1. Horizon years shall be no more than 10 years apart,

    2. The first horizon year shall be no more than 10 years from the base year used to validate the transportation demand planning model,

    3. If the attainment year is within the time span of the transportation plan, the attainment year shall be a horizon year, and

    4. The last horizon year shall be the last year of the transportation plan's forecast period.

    b. For horizon years:

    1. The transportation plan shall quantify and document the demographic and employment factors influencing expected transportation demand, including land use forecasts, in accordance with implementation plan provisions and Section V., Page 210.8-14.;

    2. The highway and transit system shall be described in terms of regionally significant additions or modifications to the existing transportation network the transportation plan envisions to be operational in each horizon year. Additions and modifications to the highway network shall be sufficiently identified to indicate intersections with existing regionally significant facilities, and to determine their effect on route options between transportation analysis zones. Each added or modified highway segment shall also be sufficiently identified in terms of its design concept and design scope to allow modeling of travel times under various traffic volumes, consistent with modeling methods for area-wide transportation analysis in use by the MPO. Transit facilities, equipment, and services envisioned for the future shall be identified in terms of design concept, design scope, and operating policies sufficiently to allow modeling of their transit ridership. The description of additions and modifications to the transportation network shall also be sufficiently specific to show there is a reasonable relationship between expected land use and the envisioned transportation system; and

    3. Other future transportation policies, requirements, services, and activities, including intermodal activities, shall be described.

    c. Moderate areas reclassified to serious. Ozone or CO nonattainment areas reclassified from moderate to serious shall meet requirements of Subsection VI.A.1., Page 210.8-26, within two years from date of reclassification.

    d. Transportation plans for other areas. Transportation plans for other areas shall meet requirements of Subsection VI.A.1., Page 210.8-26, at least to the extent it has been the previous practice of the MPO to prepare plans meeting those requirements. Otherwise, transportation plans shall describe the transportation system envisioned for the future specifically enough to allow determination of conformity according to criteria and procedures of Subsections VI.D. to VI.V., Pages 210.8-28 to 210.8-48.

    e. Savings. Requirements of this section supplement other requirements of applicable law or regulation governing format or content of transportation plans.



B. Relationship of transportation plan and TIP conformity with project level NEPA process

The degree of specificity required in the transportation plan and the specific travel network assumed for air quality modeling do not preclude consideration of alternatives in the project level NEPA process or other project development studies. Should the NEPA process result in a project with design concept and scope significantly different than the transportation plan or TIP, the project shall meet criteria in Subsections VI.D. to VI.V., Pages 210.8-28 to 210.8-48, for projects not from a TIP before NEPA process completion.

C. Fiscal constraints for transportation plans and TIP's

Transportation plans and TIP's shall be fiscally constrained consistent with DOT's metropolitan planning regulations contained in 23 CFR part 450 to be found in conformity.

D. Criteria and procedures for determining conformity of transportation plans, programs, and projects: General

  1. To be found to conform, each transportation plan, program, and FHWA/FTA project shall satisfy applicable criteria and procedures set forth in Subsections VI.E. to VI.V., Pages 210.8-31 to 210.8-48, as listed in Table 3 in Subsection VI.D.2., following, and shall comply with all applicable conformity requirements of implementation plans and of court orders for its planning area pertaining specifically to conformity determination requirements. Criteria for making conformity determinations differ based on the action under review, transportation plans, TIP's, and FHWA/FTA projects, the time period in which the conformity determination is made, and the relevant pollutant.

  2. 2. The following table indicates criteria and procedures in Subsections VI.E. to VI.V., Pages 210.8-31 to 210.8-48, applying to each action in each time period.

TABLE 3 - CONFORMITY CRITERIA

ALL PERIODS

Action

Criteria

Transportation Plan

TIP

Project (from a conforming plan and TIP)

Project (not from a conforming plan and TIP)

Subsections VI.E., VI.F., VI.G., VI.H.2.,

Subsections VI.E., VI.F., VI.G., VI.H.3.,

Subsections VI.E., VI.F., VI.G., VI.I., VI.J., VI.K., VI.L.,

Subsections VI.E., VI.F., VI.G., VI.H.4., VI.I., VI.K., VI.L.

PHASE II OF THE INTERIM PERIOD

Action

Criteria

Transportation Plan

TIP

Project (from a conforming plan and TIP)

Project (not from a conforming plan and TIP)

Subsections VI.Q., VI.T.,

Subsections VI.R., VI.U.,

Subsection VI.P.,

Subsections VI.P., VI.S., VI.V.,

TRANSITIONAL PERIOD

Action

Criteria

Transportation Plan

TIP

Project (from a conforming plan and TIP)

Project (not from a conforming plan and TIP)

Subsections VI.M., VI.Q., VI.T.,

Subsections VI.N., VI.R., VI.U.,

Subsection VI.P.,

Subsections VI.O., VI.P., VI.S., VI.V.

CONTROL STRATEGY AND MAINTENANCE PERIOD

Action

Criteria

Transportation Plan

TIP

Project (from a conforming plan and TIP)

Project (not from a conforming plan and TIP)

Subsection VI.M.

Subsection VI.N.

No additional criteria

Subsection VI.O.



Key to Table 3 - Brief summary of Conformity Criteria (see referenced Subsections for specifics):

E. Criteria and procedures: Latest planning assumptions

  1. A conformity determination, with respect to all other applicable criteria in Subsections VI.F. to VI.V., Pages 210.8-31 to 210.8-48, shall be based upon the most recent planning assumptions in force at the time of such conformity determination. This criterion applies during all periods. A conformity determination shall satisfy requirements of Subsections VI.E.2. to VI.E.6., below.

  2. Assumptions shall be derived from estimates of current and future population, employment, travel, and congestion most recently developed by the MPO or other agency authorized to make such estimates and approved by the MPO. A conformity determination shall also be based on latest assumptions about current and future background pollutant concentrations.

  3. A conformity determination for each transportation plan and TIP shall discuss how transit operating policies, including fares and service levels, and assumed transit ridership have changed since a previous conformity determination.

  4. A conformity determination shall include reasonable assumptions about transit service and increases in transit fares and road and bridge tolls over time.

  5. A conformity determination shall use the latest existing information regarding effectiveness of TCM's having already been implemented.

  6. Key assumptions shall be specified and included in draft documents and supporting materials used for the interagency and public consultation required by Section V., Page 210.8-14.

F. Criteria and procedures: Latest emissions model

  1. 1. A conformity determination shall be based on the latest emission estimation model available. This criterion applies during all periods. It is satisfied if the most current version of the motor vehicle emissions model specified by U.S. EPA for use in the preparation or revision of implementation plans in that State or area is used for such conformity analysis. Where EMFAC is the motor vehicle emissions model used in preparing or revising the applicable implementation plan, new versions shall be approved by U.S. EPA before used in such conformity analysis.

  2. U.S. EPA shall consult with DOT to establish a grace period following specification of any new model.

  3. a. A grace period shall be no less than three months and no more than 24 months after notice of availability is published in the Federal Register.

    b. Length of the grace period shall depend on degree of change in the model and scope of re-planning likely to be necessary by MPO's to assure conformity. If the grace period will be longer than three months, U.S. EPA shall announce the appropriate grace period in the Federal Register.

  4. Conformity analyses for which the emissions analysis was begun during the grace period or before the Federal Register notice of availability of the latest emission model may continue to use the previous version of the model for transportation plans and TIP's. The previous model may also be used for projects if the analysis was begun during the grace period or before the Federal Register notice of availability, provided no more than three years have passed since the draft environmental document was issued.

G. Criteria and procedures: consultation

Each MPO shall make a conformity determination according to consultation procedures in this Rule and according to public involvement procedures established by the MPO pursuant to 23 CFR part 450. This criterion applies during all periods.

H. Criteria and procedures: Timely implementation of TCM's

  1. A transportation plan, TIP, or FHWA/FTA project not from a conforming plan and TIP shall provide for timely implementation of TCM's from the applicable implementation plan. This criterion applies during all periods.

  2. For a transportation plan, this criterion is satisfied if the following two conditions are met:

  3. a. The transportation plan, in describing the envisioned future transportation system, provides for timely completion or implementation of all TCM's in the applicable implementation plan eligible for funding under Title 23 U.S.C. or the Federal Transit Act, consistent with schedules included in the applicable implementation plan, and

    b. Nothing in the transportation plan interferes with the implementation of any TCM in the applicable implementation plan.

  4. For a TIP, this criterion is satisfied if the following conditions are met:

  5. a. An examination of specific steps and funding source(s) needed to fully implement each TCM indicates TCM's eligible for funding under Title 23 U.S.C. or the Federal Transit Act are on or ahead of the schedule established in the applicable implementation plan, or, if such TCM's are behind the schedule established in the applicable implementation plan, the MPO and DOT have determined past obstacles to implementation of such TCM's have been identified and have been or are being overcome, and that all State and local agencies with influence over approvals or funding for TCM's are giving maximum priority to approval or funding of TCM's over other projects within their control, including projects in locations outside the nonattainment or maintenance area,

    b. If TCM's in the applicable implementation plan have previously been programmed for Federal funding but funds have not been obligated and such TCM's are behind the schedule in the implementation plan, then the TIP cannot be found to conform if funds intended for those TCM's are reallocated to projects in the TIP other than TCM's, or if there are no other TCM's in the TIP, if the funds are reallocated to projects in the TIP other than projects eligible for Federal funding under ISTEA's Congestion Mitigation and Air Quality Improvement Program, and

    c. Nothing in the TIP can be expected to interfere with implementation of any TCM in the applicable implementation plan.

  6. For FHWA/FTA projects not from a conforming transportation plan and TIP, this criterion is satisfied if the project does not interfere with implementation of any TCM in the applicable implementation plan.

I. Criteria and procedures: currently conforming transportation plan and TIP

There shall be a currently conforming transportation plan and currently conforming TIP at the time of project approval. This criterion applies during all periods. It is satisfied if the current transportation plan and TIP have been found to conform to the applicable implementation plan by the MPO and DOT according to procedures of this Rule. Only one conforming transportation plan or TIP may exist in KCAPCD at any time; conformity determinations of a previous transportation plan or TIP expire once the current plan or TIP is found to conform by DOT. A conformity determination for a transportation plan or TIP shall also lapse if conformity is not determined according to frequency requirements of Section VIII.

J. Criteria and procedures: projects from a plan and TIP

  1. The project shall come from a conforming plan and program. This criterion applies during all periods. If this criterion is not satisfied, the project shall satisfy all criteria in Table 3 for a project not from a conforming transportation plan and TIP. A project shall be considered to be from a conforming transportation plan if it meets the requirements of Subsection VI.J.2., below, and from a conforming program if it meets requirements of Subsection VI.J.3., Page 210.8-34.

  2. A project shall be considered to be from a conforming transportation plan if one of the following conditions applies:

  3. a. For a project required to be identified in the transportation plan to satisfy Subsection VI.A., Page 210.8-26, the project is specifically included in the conforming transportation plan and the project's design concept and scope have not changed significantly from those described in the transportation plan, or in a manner significantly impacting use of the facility; or

    b. For a project not required to be specifically identified in the transportation plan, the project is identified in the conforming transportation plan, or is consistent with policies and purpose of the transportation plan and will not interfere with other projects specifically included in the transportation plan.

  4. A project shall be considered to be from a conforming program if the following conditions are met:

  5. a. The project is included in the conforming TIP and the design concept and scope of the project were adequate at the time of the TIP conformity determination to determine its contribution to the TIP's regional emissions and have not changed significantly from those described in the TIP, or in a manner significantly impacting use of the facility; and

    b. If the TIP describes a project design concept and scope including project-level emissions mitigation or control measures, written commitments to implement such measures shall be obtained from the project sponsor and/or operator as required by Subsection VII.D.1., Page 210.8-62, in order for the project to be considered from a conforming program. Any change in these mitigation or control measures significantly reducing their effectiveness constitutes a change in the design concept and scope of the project.

K. Criteria and procedures: localized CO and PM10 exceedances (hot spots).

  1. An FHWA/FTA project shall not cause or contribute to any new localized CO or PM10 exceedances or increase frequency or severity of any existing CO or PM10 exceedance in CO and PM10 nonattainment and maintenance areas. This criterion applies during all periods. This criterion is satisfied if it is demonstrated no new local exceedance will be created and severity or number of existing exceedances will not be increased as a result of the project.

  2. This demonstration shall be performed in accordance with requirements of Subsections V.D.1.a., Page 210.8-23, and VII.B., Page 210.8-60.

  3. For projects not of the type identified by Subsections VII.B.1., Page 210.8-60, or VII.B.4., Page 210.8-61, this criterion may be satisfied if consideration of local factors clearly demonstrates no local exceedances presently exist and no new local exceedances will be created as a result of the project. Otherwise, in CO nonattainment and maintenance areas, a quantitative demonstration shall be performed in accordance with requirements of Subsection VII.B.2., Page 210.8-60.

L. Criteria and procedures: compliance with PM10 control measures.

An FHWA/FTA project shall comply with PM10 control measures in the applicable implementation plan. This criterion applies during all periods. It is satisfied if control measures, for the purpose of limiting PM10 emissions from construction activities and/or normal use and operation associated with the project, contained in the applicable implementation plan are included in final plans, specifications, and estimates for the project.

M. Criteria and procedures: motor vehicle emissions budget (transportation plan)

  1. A transportation plan shall be consistent with the motor vehicle emissions budget(s) in the applicable implementation plan, or implementation plan submission. This criterion applies during the transitional period and the control strategy and maintenance periods, except as provided in Section IX., Page 210.8-65. This criterion is satisfied if requirements of Subsections VI.M.2., below, and VI.M.3., Page 210.8-36, are met:

  2. A regional emissions analysis shall be performed as follows:

  3. a. The regional analysis shall estimate emissions of any of the following pollutants and pollutant precursors for which the area is nonattainment or maintenance and for which the applicable implementation plan (or implementation plan submission) establishes an emissions budget:

    1. VOC as an ozone precursor;

    2. 2. NOx as an ozone precursor, unless the Administrator determines additional reductions of NOx would not contribute to attainment;

    3. CO;

    4. PM10 and its precursors VOC and/or NOx if the applicable implementation plan or implementation plan submission identifies transportation-related PM10 and PM10 precursor emissions within the nonattainment area as a significant contributor to the PM10 nonattainment problem or establishes a budget for such emissions; or

    5. NOx.

    b. The regional emissions analysis shall estimate emissions from the entire transportation system, including all regionally significant projects contained in the transportation plan and all other regionally significant highway and transit projects expected in the nonattainment or maintenance area in the timeframe of the transportation plan;

    c. The emissions analysis methodology shall meet requirements of Subsection VII.A., Page 210.8-55;

    d. For an area with a transportation plan meeting content requirements of Subsection VI.A.1., Page 210.8-26, the emissions analysis shall be performed for each horizon year. Emissions in milestone years between horizon years may be determined by interpolation of model inputs; and

    e. For an area with a transportation plan not meeting content requirements of Subsection VI.A.1., Page 210.8-26, the emissions analysis shall be performed for any years in the time span of the transportation plan provided they are not more than ten years apart and provided such analysis is performed for the last year of the plan's forecast period. If the attainment year is in the time span of the transportation plan, the emissions analysis shall also be performed for the attainment year. Emissions in milestone years between these analysis years may be determined by interpolation.

  4. A regional emissions analysis shall demonstrate for each applicable pollutant or pollutant precursor in Subsection VI.M.2.a., Page 210.8-35, the emissions are less than or equal to applicable District motor vehicle emissions budget(s) as established in the applicable implementation plan or implementation plan submission as follows:

  5. a. If the applicable implementation plan or implementation plan submission establishes emissions budgets for milestone years, emissions in each milestone year shall be less than or equal to the applicable District motor vehicle emissions budget established for that year;

    b. For a nonattainment area, emissions in the attainment year shall be less than or equal to the applicable District motor vehicle emissions budget established in the applicable implementation plan or implementation plan submission for that year;

    c. For a nonattainment area, emissions in each analysis or horizon year after the attainment year shall be less than or equal to the applicable District motor vehicle emissions budget established by the applicable implementation plan or implementation plan submission for the attainment year. If emissions budgets are established for years after the attainment year, emissions in each analysis year or horizon year must be less than or equal to the motor vehicle emissions budget for that year, if any, or the applicable District motor vehicle emissions budget for the most recent budget year prior to the analysis year or horizon year; and

    d. For a maintenance area, emissions in each analysis or horizon year shall be less than or equal to the applicable District motor vehicle emissions budget established by the maintenance plan for that year, if any, or the emissions budget for the most recent budget year prior to the analysis or horizon year.

N. Criteria and procedures: motor vehicle emissions budget (TIP)

  1. A TIP shall be consistent with applicable District motor vehicle emissions budget(s) in the applicable implementation plan (or implementation plan submission). This criterion applies during the transitional period and the control strategy and maintenance periods, except as provided in Section IX., Page 210.8-65. This criterion shall be satisfied if requirements in Subsections VI.N.2., below, and VI.N.3., Page 210.8-38, are met:

  2. For an area with a conforming transportation plan fully meeting requirements of Subsection VI.A.1., Page 210.8-26, this criterion shall be satisfied without additional regional analysis if:

  3. a. Each program year of the TIP is consistent with Federal funding reasonably expected for that year, and required State/local matching funds and funds for State/local funding-only projects are consistent with revenue sources expected over the same period; and

    b. The TIP is consistent with the conforming transportation plan such that the regional emissions analysis already performed for the plan also applies to the TIP. This requires a demonstration that:

    1. The TIP contains all projects to be started in the TIP's timeframe to achieve the highway and transit system envisioned by the transportation plan in each of its horizon years;

    2. All regionally significant TIP projects are part of the specific highway or transit system envisioned in the transportation plan's horizon years; and

    3. The design concept and scope of each regionally significant project in the TIP is not significantly different from that described in the transportation plan.

    c. If requirements of Subsections VI.N.2.a. and VI.N.2.b., above, are not met, then:

    1. The TIP may be modified to meet those requirements; or

    2. The transportation plan shall be revised so that requirements in Subsections VI.N.2.a. and VI.N.2.b., above are met. Once the revised plan has been found to conform, this criterion is met for the TIP with no additional analysis except a demonstration the TIP meets requirements of Subsection VI.N.2.a. and VI.N.2.b., above.

    d. For areas with a transportation plan not meeting content requirements of Subsection VI.A.1., Page 210.8-26, a regional emissions analysis shall meet all of the following requirements:

    1. The regional emissions analysis shall estimate emissions from the entire transportation system, including all projects contained in the proposed TIP, the transportation plan, and all other regionally significant highway and transit projects expected in the nonattainment or maintenance area in the timeframe of the transportation plan;

    2. The analysis methodology shall meet requirements of Subsection VII.A.3., Page 210.8-58; and

    3. The regional analysis shall satisfy requirements of Subsections VI.M.2.a., Page 210.8-35, VI.M.2.c., Page 210.8-36 and VI.M.3., Page 210.8-36.

O. Criteria and procedures: motor vehicle emissions budget (project not from a plan or TIP)

  1. A project not from a conforming transportation plan and a conforming TIP shall be consistent with the applicable, District motor vehicle emissions budget(s) in the applicable implementation plan or implementation plan, submission. This criterion applies during the transitional period and the control strategy and maintenance periods, except as provided in Section IX., Page 210.8-65. It is satisfied if emissions from implementation of the project, when considered with emissions from projects in the conforming transportation plan and TIP and all other regionally significant projects expected in the area, do not exceed the motor vehicle emissions budget(s) in the applicable implementation plan (or implementation plan submission).

  2. For areas with a conforming transportation plan meeting content requirements of Subsection VI.A.1., Page 210.8-26:

  3. a. This criterion may be satisfied without additional regional analysis if the project is included in the conforming transportation plan, even if it is not specifically included in the latest conforming TIP. This requires a demonstration that:

    1. Allocating funds to the project will not delay implementation of projects in the transportation plan or TIP necessary to achieve the highway and transit system envisioned by the transportation plan in each of its horizon years;

    2. The project is not regionally significant or is part of the specific highway or transit system envisioned in the transportation plan's horizon years; and

    3. The design concept and scope of the project is not significantly different from that described in the transportation plan.

    b. If requirements in Subsection VI.O.2.a., above, are not met, a regional emissions analysis shall be performed as follows:

    1. The analysis methodology shall meet requirements of Subsection VII.A., Page 210.8-55;

    2. The analysis shall estimate emissions from the transportation system, including the proposed project and all other regionally significant projects expected in the nonattainment or maintenance area in the timeframe of the transportation plan. The analysis shall include emissions from all previously approved projects not from a transportation plan and TIP; and

    3. The emissions analysis shall meet requirements of Subsections VI.M.2.a., Page 210.8-35, VI.M.2.d., Page 210.8-36, and VI.M.3., Page 210.8-36.

  4. For areas with a transportation plan not meeting the content requirements of Subsection VI.A.1., Page 210.8-26, a regional emissions analysis shall be performed for the project together with the conforming TIP and all other regionally significant projects expected in the nonattainment or maintenance area. This criterion may be satisfied if:

  5. a. The analysis methodology meets requirements of Subsection VII.A.3., Page 210.8-58;

    b. The analysis estimates emissions from the transportation system, including the proposed project, and all other regionally significant projects expected in the nonattainment or maintenance area in the timeframe of the transportation plan; and

    c. The regional analysis satisfies requirements of Subsections VI.M.2.a., Page 210.8-35, VI.M.2.c., Page 210.8-36, VI.M.2.e., Page 210.8-36.

P. Criteria and procedures: localized CO exceedances (hot spots) in the interim period

  1. Each FHWA/FTA project shall eliminate or reduce severity and number of localized CO exceedances in the area substantially affected by the project (in CO nonattainment areas). This criterion applies during the interim and transitional periods only. This criterion is satisfied with respect to existing localized CO exceedances if it is demonstrated existing localized CO exceedances will be eliminated or reduced in severity and number as a result of the project.

  2. Such demonstration shall be performed according to the requirements of Subsections V.C.1.a., Page 210.8-19, and VII.B., Page 210.8-60.

  3. For projects not of the type identified by Subsection VII.B.1., Page 210.8-60, this criterion shall be satisfied if consideration of local factors clearly demonstrates existing CO exceedances will be eliminated or reduced in severity and number. Otherwise, a quantitative demonstration shall be performed according to requirements of Subsection VII.B.2., Page 210.8-60.

Q. Criteria and procedures: interim period reductions in ozone and CO areas (transportation plan)

  1. A transportation plan shall contribute to emissions reductions in ozone and CO nonattainment areas. This criterion applies during the interim and transitional periods only, except as otherwise provided in Section IX., Page 210.8-65. It applies to the net effect on emissions of all projects contained in a new or revised transportation plan. This criterion shall be satisfied if a regional emissions analysis is performed as described in Subsection VI.Q.2. through VI.Q.6., following.

  2. Determine analysis years for which emissions are to be estimated. Analysis years shall be no more than ten years apart. The first analysis year shall be no later than the first milestone year (1995 in CO nonattainment areas and 1996 in ozone nonattainment areas). The second analysis year shall be either the attainment year for the area, or if the attainment year is the same as the first analysis year or earlier, the second analysis year shall be at least five years beyond the first analysis year. The last year of the transportation plan's forecast period shall also be an analysis year.

  3. Define the "Baseline" scenario for each analysis year to be the future transportation system that would result from current programs, composed of the following, except projects listed in Subsections IV.A., Page 210.8-10, and IV.B., Page 210.8-13, need not be explicitly considered:

  4. a. All in-place regionally significant highway and transit facilities, services and activities;

    b. All ongoing travel demand management or transportation system management activities; and

    c. Completion of all regionally significant projects, regardless of funding source, currently under construction or undergoing right-of-way acquisition, except for hardship acquisition and protective buying; come from the first three years of the previously conforming transportation plan and/or TIP; or have completed the NEPA process. For the first conformity determination on the transportation plan after November 24, 1993, a project cannot be included in the "Baseline" scenario if one of the following major steps has not occurred within the past three years: NEPA process completion; start of final design; acquisition of a significant portion of the right-of-way; or approval of the plans, specifications and estimates. Such a project shall be included in the "Action" scenario, as described in Subsection VI.Q.4., below.

  5. Define the "Action" scenario for each analysis year as the transportation system resulting in that year from implementation of the proposed transportation plan, TIP's adopted under it, and other expected regionally significant projects in the nonattainment area. It shall include the following, except projects listed in Subsections IV.A., Page 210.8-10, and IV.B., Page 210.8-13, need not be explicitly considered:

  6. a. All facilities, services, and activities in the "Baseline" scenario;

    b. Completion of all TCM's and regionally significant projects, including facilities, services, and activities specifically identified in the proposed transportation plan to be operational or in effect in the analysis year, except that regulatory TCM's cannot be assumed to begin at a future time unless the regulation is already adopted by the enforcing jurisdiction or the TCM is identified in the applicable implementation plan;

    c. All travel demand management programs and transportation system management activities known to the MPO, but not included in the applicable implementation plan or utilizing any Federal funding or approval, having been fully adopted and/or funded by the enforcing jurisdiction or sponsoring agency since the last transportation plan conformity determination;

    d. Incremental effects of any travel demand management programs and transportation system management activities known to the MPO, but not included in the applicable implementation plan or utilizing any Federal funding or approval, adopted and/or funded prior to the date of the last transportation plan conformity determination, but having been modified since then to be more stringent or effective;

    e. Completion of all expected regionally significant highway and transit projects not from a conforming transportation plan and TIP; and

    f. Completion of all expected regionally significant non-FHWA/FTA highway and transit projects having clear funding sources and commitments leading toward implementation and completion by the analysis year.

  7. Estimate emissions predicted to result in each analysis year from transportation systems travel defined by the "Baseline" and "Action" scenarios and determine the difference in regional VOC and NOx emissions unless the Administrator determines additional reductions of NOx would not contribute to attainment, between the two scenarios for ozone nonattainment areas and the difference in CO emissions between the two scenarios for CO nonattainment areas. Such analysis shall be performed for each of the analysis years according to the requirements of Subsection VII.A., Page 210.8-55. Emissions for milestone years between analysis years may be determined by interpolation.

  8. This criterion is met if regional VOC and NOx emissions (for ozone nonattainment areas) and CO emissions (for CO nonattainment areas) predicted in the "Action" scenario are less than emissions predicted from the "Baseline" scenario in each analysis year, and if this can reasonably be expected to be true in periods between the first milestone year and the analysis years. Such regional analysis shall show the "Action" scenario contributes to a reduction in emissions from 1990 emissions by any nonzero amount.

R. Criteria and procedures: interim period reductions in ozone and CO areas (TIP)

  1. A TIP shall contribute to emissions reductions in ozone and CO nonattainment areas. This criterion applies during the interim and transitional periods only, except as otherwise provided in Section IX., Page 210.8-65. It applies to the net effect on emissions of all projects contained in a new or revised TIP. This criterion shall be satisfied if a regional emissions analysis is performed as described in Subsections VI.R.2. to VI.R.6., following.

  2. Determine analysis years for which emissions are to be estimated. The first analysis year shall be no later than the first milestone year (1995 in CO nonattainment areas and 1996 in ozone nonattainment areas). Analysis years shall be no more than ten years apart. The second analysis year shall be either the attainment year for the area, or if the attainment year is the same as the first analysis year or earlier, the second analysis year shall be at least five years beyond the first analysis year. The last year of the transportation plan's forecast period shall also be an analysis year.

  3. Define the "Baseline" scenario as the future transportation system resulting from current programs, composed of the following, except that projects listed in Subsections IV.A., Page 210.8-10, and IV.B., Page 210.8-13, need not be explicitly considered:

  4. a. All in-place regionally significant highway and transit facilities, services and activities;

    b. All ongoing travel demand management or transportation system management activities; and

    c. Completion of all regionally significant projects, regardless of funding source, currently under construction or undergoing right-of-way acquisition, except for hardship acquisition and protective buying; come from the first three years of the previously conforming TIP; or have completed the NEPA process. (For the first TIP conformity determination after November 24, 1993, a project cannot be included in the "Baseline" scenario if one of the following major steps has not occurred within the past three years: NEPA process completion; start of final design; acquisition of a significant portion of the right-of-way; or approval of plans, specifications and estimates. Such a project shall be included in the "Action" scenario, as described in Subsection VI.R.4., below.

  5. Define the "Action" scenario as the future transportation system resulting from implementation of the proposed TIP and other expected regionally significant projects in the nonattainment area in the timeframe of the transportation plan. It shall include the following, except that projects listed in Subsections IV.A., Page 210.8-10, and IV.B., Page 210.8-13, need not be explicitly considered):

  6. a. All facilities, services, and activities in the "Baseline" scenario;

    b. Completion of all TCM's and regionally significant projects, including facilities, services, and activities, included in the proposed TIP, except regulatory TCM's cannot be assumed to begin at a future time unless the regulation is already adopted by the enforcing jurisdiction or the TCM is contained in the applicable implementation plan;

    c. All travel demand management programs and transportation system management activities known to the MPO, but not included in the applicable implementation plan or utilizing any Federal funding or approval, having been fully adopted and/or funded by the enforcing jurisdiction or sponsoring agency since the last TIP conformity determination;

    d. Incremental effects of any travel demand management programs and transportation system management activities known to the MPO, but not included in the applicable implementation plan or utilizing any Federal funding or approval, adopted and/or funded prior to the date of the last TIP conformity determination, but having been modified since then to be more stringent or effective;

    e. Completion of all expected regionally significant highway and transit projects not from a conforming transportation plan and TIP; and

    f. Completion of all expected regionally significant non-FHWA/FTA highway and transit projects having clear funding sources and commitments leading toward implementation and completion by the analysis year.

  7. Estimate emissions predicted to result in each analysis year from transportation systems travel defined by the "Baseline" and "Action" scenarios, and determine the difference in regional VOC and NOx emissions, unless the Administrator determines additional reductions of NOx would not contribute to attainment, between the two scenarios for ozone nonattainment areas and the difference in CO emissions between the two scenarios for CO nonattainment areas. The analysis shall be performed for each analysis year according to requirements of Subsection VII.A., Page 210.8-55. Emissions in milestone years between analysis years may be determined by interpolation.

  8. This criterion is met if regional VOC and NOx emissions in ozone nonattainment areas and CO emissions in CO nonattainment areas predicted in the "Action" scenario are less than emissions predicted from the "Baseline" scenario in each analysis year, and if this can reasonably be expected to be true in a period between analysis years. Such regional analysis shall show the "Action" scenario contributes to a reduction in emissions from 1990 emissions by any nonzero amount.

S. Criteria and procedures: interim period reductions for ozone and CO areas (project not from a plan and TIP)

A transportation project not from a conforming transportation plan and TIP shall contribute to emissions reductions in ozone and CO nonattainment areas. This criterion applies during the interim and transitional periods only, except as otherwise provided in Section IX., Page 210.8-65. This criterion is satisfied if a regional emissions analysis is performed meeting requirements of Subsection VI.Q., Page 210.8-40, and including the transportation plan and project in the "Action" scenario. If the project is not from a conforming transportation plan and the TIP is a modification of a project currently in the plan or TIP, the "Baseline" scenario shall include the project with its original design concept and scope, and the "Action" scenario shall include the project with its new design concept and scope.

T. Criteria and procedures: interim period reductions for PM10 and NO2 areas (transportation plan)

  1. A transportation plan shall contribute to emission reductions or shall not increase emissions in PM10 and NO2 nonattainment areas. This criterion applies only during the interim and transitional periods. It applies to the net effect on emissions of all projects contained in a new or revised transportation plan. This criterion shall be satisfied if the requirements of either Subsection VI.T.2. or VI.T.3., following, are met.

  2. Demonstrate implementation of the plan and all other regionally significant projects expected in the nonattainment area will contribute to reductions in emissions of PM10 in a PM10 nonattainment area, and of each transportation-related precursor of PM10 in PM10 nonattainment areas, if the EPA Regional Administrator or the director of the State air agency has made a finding such precursor emissions from within the nonattainment area are a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT, and of NOx in an NO2 nonattainment area, by performing a regional emissions analysis as follows:

  3. a. Determine analysis years for which emissions are to be estimated. Analysis years shall be no more than ten years apart. The first analysis year shall be no later than 1996 for NO2 areas or four years and six months following the date of designation for PM10 areas. The second analysis year shall be either the attainment year for the area, or if the attainment year is the same as the first analysis year or earlier, the second analysis year shall be at least five years beyond the first analysis year. The last year of the transportation plan's forecast period shall also be an analysis year.

    b. Define for each analysis year the "Baseline" scenario, as defined in Subsection VI.Q.3., Page 210.8-41, and the "Action" scenario, as defined in Subsection VI.Q.4., Page 210.8-41.

    c. Estimate emissions predicted to result in each analysis year from transportation systems travel defined by the "Baseline" and "Action" scenarios and determine the difference between the two scenarios in regional PM10 emissions in a PM10 nonattainment area, and transportation-related precursors of PM10 in PM10 nonattainment areas if the EPA Regional Administrator or the director of the CARB has made a finding such precursor emissions from within the nonattainment area are a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT, and in NOx emissions in an NO2 nonattainment area. Such analysis shall be performed for each analysis year according to the requirements of Subsection VII.B., Page 210.8-60. Such analysis shall address periods between analysis years and periods between 1990, the first milestone year, if any, and the first analysis year. Emissions in milestone years between analysis years may be determined by interpolation.

    d. Demonstrate regional PM10 emissions and PM10 precursor emissions, where applicable, for PM10 nonattainment areas, and NOx emissions for NO2 nonattainment areas predicted in the "Action" scenario are less than emissions predicted from the "Baseline" scenario in each analysis year, and this can reasonably be expected to be true in the periods between the first milestone year (if any) and the analysis years.

  4. Demonstrate implementation of the plan and all other regionally significant projects expected in the nonattainment area will result in emissions not greater than baseline levels, including the transportation system's total highway and transit emissions of PM10 in a PM10 nonattainment area, and transportation-related precursors of PM10 in PM10 nonattainment areas, if the EPA Regional Administrator or the CARB Executive Officer has made a finding such precursor emissions from within the nonattainment area, are a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT, and of NOx in an NO2 nonattainment area, by performing a regional emissions analysis as follows:

  5. a. Determine baseline regional emissions of PM10 and PM10 precursors, where applicable, for PM10 nonattainment areas, and NOx for NO2 nonattainment areas from highway and transit sources. Baseline emissions are those estimated to have occurred during calendar year 1990, unless the implementation plan revision defines baseline emissions for a PM10 area to be those occurring in a different calendar year for which a baseline emissions inventory was developed for the purpose of developing a control strategy implementation plan.

    b. Estimate emissions of applicable pollutant(s) from the entire transportation system, including projects in the transportation plan and TIP and all other regionally significant projects in the nonattainment area, according to the requirements of Subsection VII.A., Page 210.8-55. Emissions estimates for analysis years shall be no more than ten years apart. The first analysis year shall be no later than 1996 for NO2 areas or four years and six months following the date of designation for PM10 areas. The second analysis year shall be either the attainment year for the area, or if the attainment year is the same as the first analysis year or earlier, the second analysis year shall be at least five years beyond the first analysis year. The last year of the transportation plan's forecast period shall also be an analysis year.

    c. Demonstrate for each analysis year emissions estimated pursuant to Subsection VI.T.3.b., Page 210.8-46, highway and transit source emissions are no greater than baseline emissions of PM10 and PM10 precursors, where applicable, for PM10 nonattainment areas or NOx for NO2 nonattainment areas.

U. Criteria and procedures: interim period reductions for PM10 and NO2 areas (TIP)

  1. A TIP shall contribute to emission reductions or shall not increase emissions in PM10 and NO2 nonattainment areas. This criterion applies only during the interim and transitional periods. It applies to the net effect on emissions of all projects contained in a new or revised TIP. This criterion shall be satisfied if requirements of either Subsection VI.U.2., below, or VI.U.3., below, are met.

  2. Demonstrate implementation of the plan and TIP and all other regionally significant projects expected in the nonattainment area will contribute to reductions in emissions of PM10 in a PM10 nonattainment area and transportation-related precursors of PM10 in PM10 nonattainment areas if the EPA Regional Administrator or CARB Executive Officer has made a finding such precursor emissions from within the nonattainment area are a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT and of NOx in an NO2 nonattainment area, by performing a regional emissions analysis as follows:

  3. a. Determine analysis years for which emissions are to be estimated, according to the requirements of Subsection VI.T.2.a., Page 210.8-45.

    b. Define for each analysis year the "Baseline" scenario, as defined in Subsection VI.R.3., Page 210.8-43, and the "Action" scenario, as defined in Subsection VI.R.4., Page 210.8-43.

    c. Estimate emissions predicted to result in each analysis year from transportation systems travel defined by the "Baseline" and "Action" scenarios as required by Subsection VI.T.2.c., Page 210.8-45, and make the demonstration required by Subsection VI.T.2.d., Page 210.8-46.

  4. Demonstrate when projects in the transportation plan and TIP and all other regionally significant projects expected in the area are implemented, the transportation system's total highway and transit emissions of PM10 in a PM10 nonattainment area, and transportation-related precursors of PM10 in PM10 nonattainment areas if the EPA Regional Administrator or the CARB Executive Officer has made a finding such precursor emissions from within the nonattainment area are a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT, and of NOx in an NO2 nonattainment area will not be greater than baseline levels, by performing a regional emissions analysis as required by Subsection VI.T.3.a. to VI.T.3.c., Pages 210.8-46 and 210.8-47.

V. Criteria and procedures: interim period reductions for PM10 and NO2 areas (project not from a plan and TIP)

A transportation project not from a conforming transportation plan and TIP shall contribute to emission reductions or shall not increase emissions in PM10 and NO2 nonattainment areas. This criterion applies during the interim and transitional periods only. This criterion is met if a regional emissions analysis is performed meeting requirements of Subsection VI.T., Page 210.8-45, and including the transportation plan and project in the "Action" scenario. If the project is not from a conforming transportation plan and TIP is a modification of a project currently in the transportation plan or TIP, and Subsection VI.T.2., Page 210.8-45, is used to demonstrate satisfaction of this criterion, the "Baseline" scenario shall include the project with its original design concept and scope, and the "Action" scenario shall include the project with its new design concept and scope.

W. Transition from the interim period to the control strategy period

  1. Areas submitting a control strategy implementation plan revision after November 24, 1993

  2. a. The transportation plan and TIP shall be demonstrated to conform according to transitional period criteria and procedures by one year from the date the Federal Clean Air Act requires submission of such control strategy implementation plan revision. Otherwise, the conformity status of the transportation plan and TIP shall lapse, and no new project-level conformity determinations can be made.

    1. The conformity of new transportation plans and TIP's may be demonstrated according to Phase II interim period criteria and procedures for 90 days following submission of the control strategy implementation plan revision, provided the conformity of such transportation plans and TIP's is redetermined according to transitional period criteria and procedures as required in Subsection VI.W.1.a., above.

    2. Beginning 90 days after submission of the control strategy implementation plan revision, new transportation plans and TIP's shall demonstrate conformity according to transitional period criteria and procedures.

    b. If U.S.EPA disapproves the submitted control strategy implementation plan revision and so notifies the State, MPO, and DOT, initiating the sanction process pursuant to Federal Clean Air Act Sections 179 or 110(m), the conformity status of the transportation plan and TIP shall lapse 120 days after U.S. EPA's disapproval, and no new project-level conformity determinations may be made. No new transportation plan, TIP, or project can be found to conform until another control strategy implementation plan revision is submitted and conformity is demonstrated according to transitional period criteria and procedures.

    c. Notwithstanding Subsection VI.W.1.b., above, if U.S. EPA disapproves the submitted control strategy implementation plan revision but determines the control strategy contained in the revision would have been considered approveable with respect to requirements for emission reductions if all committed measures had been submitted in enforceable form as required by Clean Air Act §110(a)(2)(A), provisions of Subsection VI.W.1.a., Page 210.8-48, shall apply for 12 months following the date of disapproval. The conformity status of the transportation plan and TIP shall lapse 12 months following the date of disapproval unless another control strategy implementation plan revision is submitted to EPA and found to be complete.

  3. Areas not having submitted a control strategy implementation plan revision

  4. a. For an area with a Federal Clean Air Act deadline for submission of the control strategy implementation plan revision after November 24, 1993, and U.S. EPA has notified the State, MPO, and DOT of the State's failure to submit a control strategy implementation plan revision, initiating the sanction process pursuant to Federal Clean Air Act Sections 179 or 110(m):

    1. No new transportation plans or TIP's can be found to conform beginning 120 days after the Clean Air Act deadline; and

    2. The conformity status of the transportation plan and TIP shall lapse one year after the Clean Air Act deadline, and no new project-level conformity determinations can be made.

    b. For an area with a Federal Clean Air Act deadline for submission of the control strategy implementation plan before November 24, 1993, and U.S. EPA has made a finding of failure to submit a control strategy implementation plan revision, initiating the sanction process pursuant to Federal Clean Air Act Sections 179 or 110(m), the following shall apply unless the failure has been remedied and acknowledged by a letter from the U.S. EPA Regional Administrator:

    1. No new transportation plans or TIP's can be found to conform beginning March 24, 1994; and

    2. The conformity status of the transportation plan and TIP shall lapse November 24, 1994, and no new project-level conformity determinations can be made.

  5. Areas not having submitted a complete control strategy implementation plan revision

  6. a. For an area for which U.S. EPA notifies the State, MPO, and DOT after November 24, 1993, the control strategy implementation plan revision submitted by the State is incomplete, initiating the sanction process under Clean Air Act sections 179 or 110(m), the following shall apply unless the failure has been remedied and acknowledged by a letter from the U.S. EPA Regional Administrator:

    1. No new transportation plans or TIP's can be found to conform beginning 120 days after EPA's incompleteness finding; and

    2. The conformity status of the transportation plan and TIP shall lapse one year after the Clean Air Act deadline, and no new project-level conformity determinations can be made.

    3. Notwithstanding Subsections VI.W.3.a.1). and VI.W.3.a.2)., above, if U.S. EPA notes in its incompleteness finding the submittal would have been considered complete with respect to requirements for emission reductions if all committed measures had been submitted in enforceable form as required by Federal Clean Air Act §110(a)(2)(A), the provisions of Subsection VI.W.1.a. shall apply for a period of 12 months following the date of the incompleteness determination. The conformity status of the transportation plan and TIP shall lapse 12 months following the date of the incompleteness determination unless another control strategy implementation plan revision is submitted to U.S. EPA and found to be complete.

    b. For an area for which U.S. EPA has determined before November 24, 1993, the control strategy implementation plan revision is incomplete, initiating the sanction process under Clean Air Act Sections 179 or 110(m), the following shall apply unless the failure has been remedied and acknowledged by a letter from the U.S. EPA Regional Administrator:

    1. No new transportation plans or TIP's can be found to conform beginning March 24, 1994; and

    2. The conformity status of the transportation plan and TIP shall lapse November 24, 1994, and no new project-level conformity determinations can be made.

    3. Notwithstanding Subsection VI.W.3.b.1). and VI.W.3.b.2)., above, if U.S. EPA notes in its incompleteness finding the submittal would have been considered complete with respect to requirements for emission reductions if all committed measures had been submitted in enforceable form as required by Federal Clean Air Act §110(a)(2)(A), the provisions of paragraph of this section shall apply for a period of 12 months following the date of the incompleteness determination. The conformity status of the transportation plan and TIP shall lapse 12 months following the date of the incompleteness determination unless another control strategy implementation plan revision is submitted to U.S. EPA and found to be complete.

  7. Areas submitting a control strategy implementation plan before November 24, 1993

  8. a. The transportation plan and TIP shall be demonstrated to conform according to transitional period criteria and procedures by November 24, 1994. Otherwise, their conformity status shall lapse, and no new project-level conformity determinations can be made.

    1. The conformity of new transportation plans and TIP's may be demonstrated according to Phase II interim period criteria and procedures until February 22, 1994, provided conformity of such transportation plans and TIP's is redetermined according to transitional period criteria and procedures as required in Subsection VI.W.4.a., above.

    2. Beginning February 22, 1994, new transportation plans and TIP's shall demonstrate conformity according to transitional period criteria and procedures.

    b. If U.S. EPA has disapproved the most recent control strategy implementation plan submission, the conformity status of the transportation plan and TIP shall lapse March 4, 1994, and no new project-level conformity determinations can be made. No new transportation plans, TIP's, or projects can be found to conform until another control strategy implementation plan revision is submitted and conformity is demonstrated according to transitional period criteria and procedures.

    c. Notwithstanding Subsection VI.W.4.b, Page 210.8-51, if U.S. EPA has disapproved the submitted control strategy implementation plan revision but determines the control strategy contained in the revision would have been considered approveable with respect to requirements for emission reductions if all committed measures had been submitted in enforceable form as required by Federal Clean Air Act §110(a)(2)(A), provisions of Subsection VI.W.4.a., Page 210.8-51, shall apply for 12 months following date of publication in the Federal Register. The conformity status of the transportation plan and TIP shall lapse 12 months following November 24, 1993, unless another control strategy implementation plan revision is submitted to EPA and found to be complete.

  9. Projects

  10. If the currently conforming transportation plan and TIP have not been demonstrated to conform according to transitional period criteria and procedures, following requirements of Subsection VI.W.5.a., and VI.W.5.b., following, shall be met.

    a. Before a regionally significant FHWA/FTA project increasing single-occupant vehicle capacity, i.e. a new general purpose highway on a new location or adding general purpose lanes, can be found to conform, CARB shall be consulted on how emissions estimated for the "action" scenario of the existing transportation plan and TIP's conformity determination compare to the motor vehicle emissions budget in the implementation plan submission or the projected motor vehicle emissions budget in the implementation plan under development.

    b. In the event of unresolved disagreements regarding such project-level conformity determinations, CARB can refer such issues to the Governor consistent with the procedure in Subsection V.D., Page 210.8-22; this applies to any CARB comments on a conformity determination.

  11. Redetermination of conformity of the existing transportation plan and TIP according to the transitional period criteria and procedures

  12. a. A redetermination of conformity of the existing transportation plan and TIP according to transitional period criteria and procedures, as required by Subsections VI.W.1.a., Page 210.8-48, and VI.W.4.a., Page 210.8-51, does not require new emissions analysis and does not have to satisfy requirements of Subsections VI.E., Page 210.8-31, and VI.F., Page 210.8-31, if:

    1. The control strategy implementation plan revision submitted to U.S. EPA uses the MPO's modeling of the existing transportation plan and TIP for its projections of motor vehicle emissions; and

    2. The control strategy implementation plan does not include any transportation projects not included in the transportation plan and TIP.

    b. A redetermination of conformity as described in Subsection VI.W.6.a., Page 210.8-52, shall not be considered a conformity determination for purposes of Subsections VIII.B.4., Page 210.8-64, or VIII.C.a., Page 210.8-64, regarding maximum intervals between conformity determinations. Conformity shall be determined according to all applicable criteria and procedures of Subsection VI.D., Page 210.8-28, within three years of the last determination not relying on Subsection VI.W.6.a., Page 210.8-52.

  13. Ozone nonattainment areas

  14. a. Requirements of Subsection VI.W.2.a., Page 210.8-49, shall apply if a serious or above ozone nonattainment area has not submitted the implementation plan revisions required by Federal Clean Air Act §§182(c)(2)(A) and 182(c)(2)(B) to be submitted to EPA November 15, 1994, even if the area has submitted the implementation plan revision required by Federal Clean Air Act §182(b)(1) to be submitted to EPA November 15, 1993.

    b. Requirements of Subsection VI.W.2.a., Page 210.8-49,.shall apply if a moderate ozone nonattainment area using photochemical dispersion modeling to demonstrate the "specific annual reductions as necessary to attain" required by Federal Clean Air Act §182(b)(1), and having approval is from U.S. EPA to delay submission of such demonstration until November 15, 1994, does not submit such demonstration by that date. Requirements of Subsection VI.W.2.a. shall apply in this case even if the area has submitted the 15% emission reduction demonstration required by Federal Clean Air Act §182(b)(1).

    c. Requirements of Subsection VI.W.1., Page 210.8-48, apply when implementation plan revisions required by Federal Clean Air Act §§182(c)(2)(A) and 182(c)(2)(B) are submitted.

  15. Nonattainment areas not required to demonstrate reasonable further progress and attainment

  16. If an area listed in Section IX., Page 210.8-65, submits a control strategy implementation plan revision, requirements of Subsection VI.W.1., Page 210.8-48, and VI.W.5., Page 210.8-52, shall apply. Because areas listed in Section IX are not required to demonstrate reasonable further progress and attainment and, therefore, have no Federal Clean Air Act deadline, provisions of Subsection VI.W.2., Page 210.8-49, do not apply to these areas at any time.

  17. Maintenance plans

  18. If a control strategy implementation plan revision is not submitted to EPA but a maintenance plan required by Federal Clean Air Act §175A is submitted to U.S. EPA, requirements of Subsections VI.W.1., Page 210.8-48, or VI.W.4., Page 210.8-51, apply, with the maintenance plan submission treated as a "control strategy implementation plan revision" for purposes of those requirements.

X. Requirements for adoption or approval of projects by other recipients of funds designated under Title 23 U.S.C. or Federal Transit Act

No recipient of Federal funds designated under Title 23 U.S.C. or the Federal Transit Act shall adopt or approve a regionally significant highway or transit project, regardless of funding source, unless there is a currently conforming transportation plan and TIP consistent with requirements of Subsection IX., Page 210.8-65, and requirements of one of the following Subsections VI.X.1., to VI.X.9., following, are met:

  1. The project comes from a conforming plan and program consistent with requirements of Subsection VI.J., Page 210.8-33;
  2. The project is included in the regional emissions analysis supporting the currently conforming TIP's conformity determination, even if the project is not strictly "included" in the TIP for purposes of MPO project selection or endorsement, and the project's design concept and scope have not changed significantly from those included in the regional emissions analysis, or in a manner significantly impacting use of the facility;
  3. During the control strategy or maintenance period, the project is consistent with the motor vehicle emissions budget(s) in the applicable implementation plan consistent with the requirements of Section VI.O., Page 210.8-38;
  4. During Phase II of the interim period, the project contributes to emissions reductions or does not increase emissions consistent with requirements of Subsection VI.S., Page 210.8-44, in ozone and CO nonattainment areas or Subsection VI.V., Page 210.8-48, in PM10 and NO2 nonattainment areas; or
  5. During the transitional period, the project satisfies requirements of both Subsections VI.X.3., above, and VI.X.4., above.

VII. Administrative Requirements

A. Procedures for determining regional transportation-related emissions

  1. General requirements

  2. a. A regional emissions analysis for the transportation plan, TIP, or project not from a conforming plan and TIP shall include all regionally significant projects expected in the nonattainment or maintenance area, including FHWA/FTA projects proposed in the transportation plan and TIP and all other regionally significant projects disclosed to the MPO as required by Section V., Page 210.8-14. Projects not regionally significant are not required to be explicitly modeled, but VMT from such projects shall be estimated in accordance with reasonable professional practice. Effects of not regionally significant TCM's and similar projects can also be estimated in accordance with reasonable professional practice.

    b. An emissions analysis cannot include for emissions reduction credit any TCM's having been delayed beyond the scheduled date(s) until such time as implementation has been assured. If such TCM has been partially implemented and it can be demonstrated it is providing quantifiable emission reduction benefits, emissions analysis may include that emissions reduction credit.

    c. Emissions reduction credit from projects, programs, or activities requiring a regulation to be implemented cannot be included in the emissions analysis unless the regulation is already adopted by the enforcing jurisdiction. Adopted regulations are required for demand management strategies for reducing emissions not specifically identified in the applicable implementation plan, and for control programs external to the transportation system itself, such as tailpipe or evaporative emission standards, limits on gasoline volatility, vehicle inspection and maintenance programs, and oxygenated or reformulated gasoline or diesel fuel. A regulatory program can also be considered to be adopted if an opt-in to a Federally-enforced program has been approved by U.S. EPA, if U.S. EPA has promulgated the program, if the control program is a Federal responsibility, such as tailpipe standards, or if the Federal Clean Air Act requires the program without need for individual CARB action and without any discretionary authority for U.S. EPA to set its stringency, delay its effective date, or not implement the program.

    d. Notwithstanding Subsection VII.A.1.c., above, during the transitional period, control measures or programs committed to in an implementation plan submission as described in Subsections VI.M. to VI.O., Pages 210.8-35 to 210.8-38, but not having received final U.S. EPA action in the form of a finding of incompleteness, approval, or disapproval can be assumed for emission reduction credit for purposes of demonstrating requirements of Subsections VI.M. to VI.O. are satisfied.

    e. A regional emissions analysis for purposes of satisfying requirements of Subsections VI.Q. to VI.S., Pages 210.8-40 to 210.8-44, can account for programs in Subsection III.A.1.d., but the same assumptions about these programs shall be used for both the "Baseline" and "Action" scenarios.

    f. Ambient temperatures shall be consistent with those used to establish the emissions budget in the applicable implementation plan. Factors other than temperatures, for example the fraction of travel in a hot stabilized engine mode, can be modified after interagency consultation in accordance with Section V., Page 210.8-14, if the newer estimates incorporate additional or more geographically specific information or represent a logically estimated trend in such factors beyond the period considered in the applicable implementation plan.

  3. MPO's in serious, severe, and extreme ozone nonattainment areas and serious carbon monoxide areas after January 1, 1995, shall have a program for upgrading existing modeling practices to meet requirements of Subsections VII.A.2.a. to VII.A.2.e., following, by June 30, 1997, consistent with timelines identified in Subsections VII.A.2.a. to VII.A.2.e. Estimates of regional transportation-related emissions used to support conformity determinations shall be made according to procedures defined in the program for upgrading modeling practices.

  4. a. A network-based transportation demand model or model(s) relating travel demand and transportation system performance to land-use patterns, population demographics, employment, transportation infrastructure, and transportation policies shall be used to estimate travel within the metropolitan planning area of the nonattainment area. Such a model shall satisfy the following criteria:

    1. By January 1, 1995, modeling methods and functional relationships used in the model(s) shall, in all respects, be in accordance with acceptable professional practice, and reasonable for purposes of emission estimation;

    2. By January 1, 1995, the network-based model(s) shall be validated against ground counts for a base year not more than 10 years prior to the date of the conformity determination. Land use, population, and other inputs shall be based on best available information and appropriate to the validation base year;

    3. By June 30, 1997, for peak-hour or peak-period traffic assignments, a capacity sensitive assignment methodology shall be used;

    4. By January 1, 1995, zone-to-zone travel times used to distribute trips between origin and destination pairs shall be in reasonable agreement with travel times resulting from the process of assignment of trips to network links. Where use of transit currently is anticipated to be a significant factor in satisfying transportation demand, these times shall also be used for modeling mode splits;

    5. By June 30, 1996, free-flow speeds on network links shall be based on empirical observations;

    6. By June 30, 1997, peak and off-peak travel demand and travel times shall be provided;

    7. Trip distribution and mode choice shall be sensitive to pricing, where pricing is a significant factor, if the network model is capable of such determinations and necessary information is available;

    8. The model(s) shall utilize and document a logical correspondence between the assumed scenario of land development and use and the future transportation system for which emissions are being estimated. Reliance on a formal land-use model is not specifically required but is encouraged; and

    9. A dependence of trip generation on accessibility of destinations via the transportation system, including pricing, is strongly encouraged but not specifically required, unless the network model is capable of such determinations and necessary information is available;

    10. A dependence of regional economic and population growth on accessibility of destinations via the transportation system is strongly encouraged but not specifically required, unless the network model is capable of such determinations and necessary information is available; and
    11. Consideration of emissions increases from construction-related congestion is not specifically required.

    b. By June 30, 1996, Highway Performance Monitoring System (HPMS) estimates of vehicle miles traveled shall be considered the primary measure of vehicle miles traveled within the portion of the nonattainment or maintenance area and for functional classes of roadways included in HPMS, for urban areas sampled on a separate urban area basis. A factor (or factors) shall be developed to reconcile and calibrate network-based model estimates of vehicle miles traveled in the base year of its validation to HPMS estimates for the same period, and these factors shall be applied to model estimates of future vehicle miles traveled. In this factoring process, consideration shall be given to differences in facility coverage of the HPMS and the modeled network description. Departure from these procedures is permitted with concurrence of DOT and U.S. EPA.

    c. By January 1, 1995, reasonable methods shall be used to estimate nonattainment area vehicle travel on off-network roadways within the urban transportation planning area, and on roadways outside the urban transportation planning area.

    d. By January 1, 1995, reasonable methods in accordance with good practice shall be used to estimate traffic speeds and delays in a manner sensitive to estimated volume of travel on each roadway segment represented in the network model.

    e. By January 1, 1995, ambient temperatures shall be consistent with those used to establish the emissions budget in the applicable implementation plan. Factors other than temperatures, for example, fraction of travel in a hot stabilized engine mode, can be modified after interagency consultation according to Section V., Page 210.8-14, if newer estimates incorporate additional or more geographically specific information or represent a logically estimated trend in such factors beyond the period considered in the applicable implementation plan.

  5. Areas not serious, severe, or extreme ozone nonattainment areas or serious carbon monoxide areas, or before January 1, 1995

  6. a. Procedures satisfying some or all requirements of Subsection VII.A.1., Page 210.8-55, shall be used in all areas not subject to Subsection VII.A.2., Page 210.8-56, if those procedures have been the previous practice of the MPO.

    b. Regional emissions can be estimated by methods not explicitly or comprehensively accounting for the influence of land use and transportation infrastructure on vehicle miles traveled and traffic speeds and congestion. Such methods shall account for VMT growth by extrapolating historical VMT or projecting future VMT by considering growth in population and historical growth trends for vehicle miles travelled per person. These methods shall also consider future economic activity, transit alternatives, and transportation system policies.

  7. Projects not from a conforming plan and TIP in isolated rural nonattainment and maintenance areas

  8. This paragraph applies to any nonattainment or maintenance area or any portion thereof not having a metropolitan transportation plan or TIP and having projects not part of the emissions analysis of any MPO's metropolitan transportation plan or TIP because the nonattainment or maintenance area or portion thereof does not contain a metropolitan planning area or portion of a metropolitan planning area and is not part of a Metropolitan Statistical Area or Consolidated Metropolitan Statistical Area which is or contains a nonattainment or maintenance area.

    a. Conformity demonstrations for projects in these areas can satisfy requirements of Subsections VI.O., Page 210.8-38, VI.S., Page 210.8-44, and VI.V., Page 210.8-48, with one regional emissions analysis including all regionally significant projects in the nonattainment or maintenance area, or portion thereof.

    b. Requirements of Subsections VI.O., Page 210.8-38, shall be satisfied according to procedures in Subsection VI.O.3., Page 210.8-39, with references to the "transportation plan" taken to mean the statewide transportation plan.

    c. Requirements of Subsection VI.S., Page 210.8-44, and VI.V., Page 210.8-48, referencing "transportation plan" or "TIP" shall be taken to mean those projects in the statewide transportation plan or statewide TIP in the nonattainment or maintenance area (or portion thereof).

    d. Requirements of Subsection VI.X.2., Page 210.8-54, shall be satisfied if:

    The project is included in the regional emissions analysis including all regionally significant highway and transportation projects in the nonattainment or maintenance area, or portion thereof and supporting the most recent conformity determination made according to requirements of Subsections VI.O., Page 210.8-38, VI.S., Page 210.8-44, and VI.V., Page 210.8-48, (as modified by Subsections VII.A.4.b., and VII.A.4.c., above, as appropriate for the time period and pollutant; and

    e. The project's design concept and scope have not changed significantly from those included in the regional emissions analysis, or in a manner significantly impacting use of the facility.

  9. PM10 from construction-related fugitive dust

  10. a. For areas in which the implementation plan does not identify construction-related fugitive PM10 as a contributor to the nonattainment problem, fugitive PM10 emissions associated with highway and transit project construction are not required to be considered in the regional emissions analysis.

    b. In PM10 nonattainment and maintenance areas with implementation plans identifying construction-related fugitive PM10 as a contributor to the nonattainment problem, the regional PM10 emissions analysis shall consider construction-related fugitive PM10 and shall account for level of construction activity, fugitive PM10 control measures in the applicable implementation plan, and the dust-producing capacity of proposed activities.

B. Procedures for determining localized CO and PM10 concentrations (hot-spot analysis)

  1. In the following cases, CO hot-spot analyses shall be based on applicable air quality models, data bases, and other requirements specified in 40 CFR Part 51, Appendix W ("Guideline on Air Quality Models (Revised)" (1988), supplement A (1987) and supplement B (1993), U.S. EPA publication no. 450/2-78-027R), unless, after the interagency consultation process described in §51.402 of the final Federal Conformity Rule and with approval of the U.S. EPA Regional Administrator, these models, data bases, and other requirements are determined to be inappropriate:

  2. a. For projects in or affecting locations, areas, or categories of sites identified in the applicable implementation plan as sites of current exceedance or possible current exceedance;

    b. For those intersections at Level-of-Service D, E, or F, or those changing to Level-of-Service D, E, or F because of increased traffic volumes related to a new project in the vicinity;

    c. For any project involving or affecting any intersection identified by the applicable implementation plan as a top three traffic volume intersection in the nonattainment or maintenance area;

    d. For any project involving or affecting any intersection identified by the applicable implementation plan as a top three worst Level-of-Service intersection in the nonattainment or maintenance area; and

    e. Where use of the "Guideline" models is practicable and reasonable given the potential for exceedances.

  3. In cases other than described in Subsection VII.B.1., above, other quantitative methods can be used if representing reasonable and common professional practice.

  4. CO hot-spot analyses shall include the entire project, and can be performed only after major design features significantly impacting CO concentrations have been identified. The background concentration can be estimated using ratio of future to current traffic multiplied by ratio of future to current emission factors.

  5. PM10 hot-spot analyses shall be performed for projects located at sites where exceedances have been verified by monitoring, and at sites having essentially identical vehicle and roadway emission and dispersion characteristics, including sites near one at which a exceedance has been monitored. Projects requiring PM-10 hot-spot analyses shall be identified by the interagency consultation process required in Section V., Page 210.8-14. In PM-10 nonattainment and maintenance areas, a new or expanded bus and rail terminals and transfer points increasing the number of diesel vehicles congregating at a single location require a hot-spot analysis. DOT can choose to make a categorical conformity determination on bus and rail terminals or transfer points based on appropriate modeling of various terminal sizes, configurations, and activity levels. Requirements of this paragraph for quantitative hot-spot analysis shall not take effect until U.S. EPA issues modeling guidance and publishes an effective date in the Federal Register.

  6. Hot-spot analyses assumptions shall be consistent with those in the regional emissions analysis for inputs required for both analyses.

  7. PM10 or CO mitigation or control measures shall be assumed in hot-spot analyses only if there are written commitments from the project sponsor and/or operator to implement of such measures, as required by Subsection VII.D.1., Page 210.8-62.

  8. CO and PM10 hot-spot analyses are not required to consider construction-related activities causing temporary increases in emissions. Each site affected by construction-related activities shall be considered separately, using established "Guideline" methods. Temporary increases are defined as those occurring only during the construction phase and lasting five years or less at any individual site.

C. Using the motor vehicle emission budget in the applicable implementation plan or implementation plan submission

  1. In interpreting an applicable implementation plan, or implementation plan submission with regard to its motor vehicle emissions budget(s), the MPO and DOT cannot infer additions to the budget(s) not explicitly intended by the implementation plan (or submission). Unless the implementation plan explicitly quantifies the amount by which motor vehicle emissions can be higher while still demonstrating compliance with milestone, attainment, or maintenance requirements and explicitly stating an intent that some or all of this additional amount should be available to the MPO and DOT in the emission budget for conformity purposes, the MPO may not interpret the budget to be higher than the implementation plan's estimate of future emissions. This applies in particular to applicable implementation plans, or submissions demonstrating after implementation of control measures in the implementation plan:

  2. a. Emissions from all sources will be less than total emissions consistent with a required demonstration of an emissions reduction milestone;

    b. Emissions from all sources will result in achieving attainment prior to the attainment deadline and/or ambient concentrations in the attainment deadline year will be lower than needed to demonstrate attainment; or

    c. Emissions will be lower than needed to provide continued maintenance.

  3. If an applicable implementation plan submitted before November 24, 1993, demonstrates emissions from all sources will be less than total emissions consistent with attainment and quantifies that "safety margin," CARB may submit a SIP revision assigning some or all of this safety margin to highway and transit mobile sources for purposes of conformity. Such a SIP revision, once endorsed by the Governor and subject to a public hearing, can be used for purposes of transportation conformity before it is approved by U.S.EPA.

  4. A conformity demonstration shall not trade emissions among budgets the applicable implementation plan, or implementation plan submission allocates for different pollutants or precursors, or among budgets allocated to motor vehicles and other sources, without a SIP revision or a SIP establishing mechanisms for such trades.

  5. If the applicable implementation plan, or implementation plan submission estimates future emissions by geographic subarea of the nonattainment area, the MPO and DOT are not required to consider this to establish subarea budgets, unless the applicable implementation plan, or implementation plan submission explicitly indicates an intent to create such subarea budgets for purposes of conformity.

  6. If a nonattainment area includes more than one MPO, the SIP can establish motor vehicle emissions budgets for each MPO, or the MPO's shall collectively make a conformity determination for the entire nonattainment area. 

D. Enforceability of design concept and scope and project-level mitigation and control measures

  1. Prior to determining a transportation project conforms, the MPO, other recipient of funds designated under Title 23 U.S.C. or the Federal Transit Act, FHWA, or FTA shall obtain from the project sponsor and/or operator written commitments to implement in the construction of the project and operation of the resulting facility or service any project-level mitigation or control measures identified as conditions for NEPA process completion with regard to local PM10 or CO impacts. Before making conformity determinations enforceable, written commitments shall also be obtained for project-level mitigation or control measures which are conditions for making conformity determinations for a transportation plan or TIP and included in the project design concept and scope used in the regional emissions analysis required by Subsections VI.M. to VI.O., Pages 210.8-35 to 210.8-38, and VI.Q.to VI.S., Pages 210.8-40 to 210.8-44, or used in the project-level hot-spot analysis required by Subsections VI.K. and VI.P., Pages 210.8-34 and 210.8-40.

  2. Project sponsors voluntarily committing to mitigation measures facilitating positive conformity determinations shall provide enforceable written commitments and shall comply with obligations of such commitments.

  3. Enforceable written commitments for mitigation or control measures shall be obtained prior to a positive conformity determination, and project sponsors shall comply with such commitments.

  4. During control strategy and maintenance periods, if the MPO or project sponsor believes a mitigation or control measure is not necessary for conformity, the project sponsor or operator can be relieved of its obligation to implement the mitigation or control measure if it can demonstrate requirements of Subsections VI.K., Page 210.8-34, VI.M., Page 210.8-35, and VI.N., Page 210.8-37, are satisfied without the mitigation or control measure, and so notifies agencies involved in the interagency consultation process required pursuant to Section V., Page 210.8-14. The MPO and DOT shall confirm the transportation plan and TIP still satisfy requirements of Subsections VI.M., Page 210.8-35, and VI.N., Page 210.8-37, and the project still satisfies requirements of Subsection VI.K., Page 210.8-34, and therefore conformity determinations for the transportation plan, TIP, and project are still valid.

VIII. Compliance

A. Frequency of Conformity Determinations

Conformity determinations and conformity redeterminations for transportation plans, TIP's, and FHWA/FTA projects shall be made according to requirements of this section and the applicable implementation plan.

B. Transportation plans

  1. Each new transportation plan shall be found to conform at the time or before such transportation plan is approved by the MPO or accepted by DOT.

  2. All transportation plan revisions shall be found to conform at the time or before transportation plan revisions are approved by the MPO or accepted by DOT, unless the revision only adds or deletes exempt projects listed in Subsection IV.A., Page 210.8-10, or modifies the plan in some other way not affecting implementation of projects or actions subject to assessment of conformity as required herein. Such conformity determination shall be based on the transportation plan and the revision taken as a whole.

  3. Conformity of existing transportation plans shall be redetermined within 18 months of the following, or the existing conformity determination shall lapse:

  4. a). November 24, 1993;

    b). EPA approval of an implementation plan revision which:

    1. Establishes or revises a transportation-related emissions budget (as required by FCAA §§175A(a), 182(b)(1), 182(c)(2)(A), 182(c)(2)(B), 187(a)(7), 189(a)(1)(B), and 189(b)(1)(A); and §§192(a) and 192(b), for nitrogen dioxide); or

    2. Adds, deletes, or changes TCM's; and

    c). EPA promulgation of an implementation plan establishing or revising a transportation-related emissions budget or adds, deletes, or changes TCM's.

  5. Additionally, conformity determinations shall be made no less frequently than every three years, or the existing conformity determination shall lapse.

C. Transportation improvement programs

  1. A new TIP shall be found to conform at the time or before the TIP is approved by the MPO or accepted by DOT.

  2. A TIP amendment shall require a new conformity determination for the entire TIP at the time or before the amendment is approved by the MPO or accepted by DOT, unless the amendment only adds or deletes exempt projects listed in Subsection IV.A., Page 210.8-10, or modifies the TIP in some other way not effecting implementation of projects or actions subject to assessment of conformity as required herein.

  3. After an MPO adopts a new or revised transportation plan, conformity shall be redetermined by the MPO and DOT within six months after the date of adoption of the plan, unless the new or revised plan only adds or deletes exempt projects listed in Subsection IV.A., Page 210.8-10. Otherwise, the existing conformity determination for the TIP shall lapse.

  4. Additionally, conformity determinations shall be made no less frequently than every three years or the existing conformity determination shall lapse.

D. Projects

FHWA/FTA projects shall be found to conform before adoption, acceptance, approval, or funding. Conformity shall be redetermined for any FHWA/FTA project if none of the following major steps has occurred within the past three years:

  1. NEPA process completion;

  2. start of final design;

  3. acquisition of a significant portion of the right-of-way; or

  4. approval of the plans, specifications and estimates.

IX. Special provisions for nonattainment areas not required to demonstrate reasonable further progress

A. Application

This section applies to the following areas:

  1. Rural transport ozone nonattainment areas;

  2. Marginal ozone areas;

  3. Submarginal ozone areas;

  4. Transitional ozone areas;

  5. Incomplete data ozone areas;

  6. Moderate CO areas with a design value of 12.7 ppm or less; and

  7. Unclassified CO areas.



B. Default conformity procedures

Criteria and procedures set forth in Subsections VI.Q. to VI.S., Pages 210.8-40 to 210.8-44, shall remain in effect for the duration of the control strategy period for transportation plans, TIP's, and projects not from a conforming plan and TIP, in lieu of procedures in set forth in Subsections VI.M. to VI.O., Page 210.8-35 to 210.8-38, except as otherwise provided in Subsection IX.C., below.

C. Optional conformity procedures

The State or MPO can voluntarily develop an attainment demonstration and corresponding motor vehicle emissions budget similar to those required in areas with higher nonattainment classifications. In such case, CARB shall submit an implementation plan revision containing that budget and attainment demonstration. Once U.S. EPA has approved this implementation plan revision, procedures set forth in Subsections VI.M. to VI.O., Page 210.8-35 to 210.8-38, shall apply in lieu of procedures set forth in Subsections VI.Q. to VI.S., Pages 210.8-40 to 210.8-44.