SBAPCD RULE 701 TRANSPORATION CONFORMITY
LAST REVISED 10/20/94




RULE 701. TRANSPORTATION CONFORMITY.

( Adopted 10/20/1994 )

NOTE: All sections of Rule 701 are adopted verbatim from the federal Transportation Conformity regulation (58 FR 62118, November 24, 1993) except for provisions §§51.392, 51.402, 51.452(c)(1) and 51.458. Because of numerous cross-references between the federal Transportation Conformity regulation provisions, the numbering scheme from the federal regulation has been retained.


§51.390 Purpose

The purpose of this rule is to implement §176(c) of the Clean Air Act (CAA), as amended (42 U.S.C. 7401 et seq.), and the related requirements of 23 U.S.C. 109(j), with respect to the conformity of transportation plans, programs, and projects which are 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 activities to an applicable implementation plan developed pursuant to §110 and Part D of the CAA.

§51.392 Definitions.

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

§51.394 Applicability.

§51.398 Priority.

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

§51.402 Consultation

ROLES

AGENCY

SIP

TRANSPORTATION PLAN

TRANSPORTATION IMPROVEMENT PROGRAM

CONFORMITY

SBCAG 1) Perform transportation modeling, report analyzes and document timely implementation of transportation control measures.

2) Prepare the transportation control measure portion of SIP submittals pursuant to California Health and Safety Code section 40717.

3) Review and comment as appropriate on SIP revisions.

4) Provide technical and policy input on SIP emission budgets.

1) Develop, implement and revise as necessary 1) Develop, implement and revise as necessary 1) Prepare conformity analysis and make conformity findings for the transportation improvement program pursuant to the requirements of 40 CFR 51
Air Pollution Control District 1) Develop attainment demonstration, maintenance and control strategy SIPs.

2) Pursuant to California Health and Safety Code section 40717, review and approve or disapprove the plan to transportation control measures prepared by SBCAG.

3) With input from SBCAG and Caltrans, prepare emissions budgets and incorporate into the SIP.

4) Upon notification by EPA, notify SBCAB of the status of pending EPA sanctions, sanction clocks and any changes to such status or sanction clocks.

1) Review and comment as appropriate 1) Review and comment as appropriate 1) Review and comment as appropriate
Local Agencies 1) Review and comment as appropriate.

2) Implement on schedule transportation control measures for which they have implementation responsibility.

1) Review and comment as appropriate.

2) Propose projects for inclusion in the transportation plan.

1) Review and comment as appropriate.

2) Propose projects for inclusion in the transportation improvement program.

1) Prepare conformity analysis for projects pursuant to the requirements of 40 CFR 51.

2) Review and comment as appropriate

Caltrans 1) Review and comment as appropriate on SIP revisions.

2) Review and consult with CARB on any proposed revision to motor vehicle emission factors.

3) Implement transportation control measures for which Caltrans has responsibility.

1) Propose projects for inclusion in the transportation plan.

2) Review and comment as appropriate.

1) Propose projects for inclusion in the transportation plan.

2) Review and comment as appropriate.

1) Prepare project-level conformity analyzes for state transportation projects pursuant to the requirements of 40 CFR 51.

2) Review and comment as appropriate on conformity analyzes

findings.

3) Provide technical support to SBCAG for the preparation of emissions analyzes for conformity determinations.

4) Distribute draft and final project environmental documents.

CARB 1) Review all draft and final SIP revisions for compliance with applicable requirements.

2) Submit SIP revisions to EPA.

3) Develop, solicit input on and adopt updated motor vehicle emission factors for use in control strategy SIP development.

1) Review and comment as appropriate. 1) Review and comment as appropriate. 1) Review and comment as appropriate on conformity analyzes

findings.

2) In consultation with SBCAG, Caltrans and other interested parties conduct research to update motor vehicle emission factors.

3) Provide the most recent EPA approved motor vehicle emission factors to SBCAG and Caltrans for use in conformity determination emissions analyzes.

4) Provide technical support to SBCAG and Caltrans for the preparation of emission analyzes in conformity determinations.

Federal Highway and Federal Transit Adminstration 1) Review and comment as appropriate.

2) Provide guidance on the conformity implications of SIP revisions as appropriate.

1) Review and comment as appropriate. 1) Review and comment as appropriate. 1) Make conformity findings for Federal Highway Administration and Federal Transit Administration projects pursuant to 40 CFR 51, subpart T.

2) Make conformity findings for the transportation plan and transportation improvement program prepared by SBCAG.

3) Make conformity findings for state transportation projects.

4) Through SBCAG and Caltrans, provide notification of conformity findings to other agencies.

5) Provide guidance on the conformity and metropolitan transporation planning process.

EPA 1) Review all SIP revisions for completeness and approvability.

2) Provide guidance on Clean Air Act Amendments.

1) Review and comment as appropriate. 1) Review and comment as appropriate. 1) Review and comment as appropriate conformity analyzes and findings.

2) In cooperation with the Federal Highway Administration, provide guidance on the federal conformity rule to other agencies.

3) Review and approve updates of motor vehicle emission factors for use in conformity analyzes.

§51.404 Content of transportation plans.

§51.406 Relationship of the Transportation Plan and TIP Conformity with NEPA Process

The degree of specificity required in the transportation plan and the specific travel network assumed for air quality modeling do not preclude the consideration of alternatives in the NEPA process or other project development studies. Should the NEPA process result in a project with design concept and scope significantly different from that in the transportation plan or TIP, the project must meet the criteria in §§51.410 - 51.446 for projects not from a TIP before NEPA process completion.

§51.408 Fiscal Constraints for Transportation Plans and TIPs

Transportation plans and TIPs must be fiscally constrained consistent with DOT's metropolitan planning regulations at 23 CFR part 450 in order to be found in conformity.

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

Table 2. Conformity Criteria

ALL PERIODS

Action Criteria
Transportation Plan

TIP

Project (From a conforming plan and TIP)

Project (Not from a conforming plan and TIP)

§§51.412, 51.414, 51.416, 51.418(b)

§§51.412, 51.414, 51.416, 51.418(c)

§§51.412, 51.414, 51.416, 51.420, 51.422, 51.424, 51.426

§§51.412, 51.414, 51.416, 51.418(d), 51.420, 51.424, 51.426

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)

§§51.436, 51.442

§§51.438, 51.444

§51.434

§51.434, 51.440, 51.446

TRANSITIONAL PERIOD

Action Criteria
Transportation Plan

TIP

Project (From a conforming plan and TIP)

Project (Not from a conforming plan and TIP)

§§51.428, 51.436, 51.442

§§51.430, 51.438, 51.444

§51.434

§§51.432, 51.434, 51.440, 51.446

CONTROL STRATEGY AND MAINTENANCE PERIODS

Action Criteria
Transportation Plan

TIP

Project (From a conforming plan and TIP)

Project (Not from a conforming plan and TIP)

§51.428

§51.430

No additional criteria

§51.432



51.412 The conformity determination must be based on the latest planning assumptions.

51.414 The conformity determination must be based on the latest emission estimation model available.

51.416 The MPO must make the conformity determination according to the consultation procedures of this rule and the implementation plan revision required by §51.396.

51.418 The transportation plan, TIP, or FHWA/FTA project which is not from a conforming plan and TIP must provide for the timely implementation of TCMs from the applicable implementation plan.

51.420 There must be a currently conforming transportation plan and currently conforming TIP at the time of project approval.

51.422 The project must come from a conforming transportation plan and program.

51.424 The FHWA/FTA project must not cause or contribute to any new localized CO or PM10 violations or increase the frequency or severity of any existing CO or PM10 violations in CO and PM10 nonattainment and maintenance areas.

51.426 The FHWA/FTA project must comply with PM10 control measures in the applicable implementation plan.

51.428 The transportation plan must be consistent with the motor vehicle emissions budget(s) in the applicable implementation plan or implementation plan submission.

51.430 The TIP must be consistent with the motor vehicle emissions budget(s) in the applicable implementation plan or implementation plan submission.

51.432 The project which is not from a conforming transportation plan and conforming TIP must be consistent with the motor vehicle emissions budget(s) in the applicable implementation plan or implementation plan submission.

51.434 The FHWA/FTA project must eliminate or reduce the severity and number of localized CO violations in the area substantially affected by the project (in CO nonattainment areas).

51.436 The transportation plan must contribute to emissions reductions in ozone and CO nonattainment areas.

51.438 The TIP must contribute to emissions reductions in ozone and CO nonattainment areas.

51.440 The project which is not from a conforming transportation plan and TIP must contribute to emissions reductions in ozone and CO nonattainment areas.

51.442 The transportation plan must contribute to emission reductions or must not increase emissions in PM10 and NO2 nonattainment areas.

51.444 The TIP must contribute to emission reductions or must not increase emissions in PM10 and NO2 nonattainment areas.

51.446 The project which is not from a conforming transportation plan and TIP must contribute to emission reductions or must not increase emissions in PM10 and NO2 nonattainment areas.

§51.412 Criteria and procedures: Latest planning assumptions.

§51.414 Criteria and procedures: Latest emissions model.

§51.416 Criteria and procedures: Consultation.

§51.418 Criteria and procedures: Timely implementation of TCMs.

§51.420 Criteria and procedures: Currently conforming transportation plan and TIP.

There must 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 the procedures of this rule. Only one conforming transportation plan or TIP may exist in an area 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. The conformity determination on a transportation plan or TIP will also lapse if conformity is not determined according to the frequency requirements of §51.400.

§51.422 Criteria and procedures: Projects from a plan and TIP.

§51.424 Criteria and procedures: Localized CO and PM10 violations (hot spots).

§51.426 Criteria and procedures: Compliance with PM10 control measures.

The FHWA/FTA project must 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 the construction activities and/or normal use and operation associated with the project) contained in the applicable implementation plan are included in the final plans, specifications, and estimates for the project.

§51.428 Criteria and procedures: Motor vehicle emissions budget (transportation plan).

§51.430 Criteria and procedures: Motor vehicle emissions budget (TIP).

§51.432 Criteria and procedures: Motor vehicle emissions budget (project not from a plan and TIP).

§51.434 Criteria and procedures: Localized CO violations (hot spots) in the interim period.

§51.436 Criteria and procedures: Interim period reductions in ozone and CO areas (transportation plan).

§51.438 Criteria and procedures: Interim period reductions in ozone and CO areas (TIP).

§51.440 Criteria and procedures: Interim period reductions for ozone and CO areas (project not from a plan and TIP).

A Transportation project which is not from a conforming transportation plan and TIP must 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 §51.464. This criterion is satisfied if a regional emissions analysis is performed which meets the requirements of §51.436 and which includes the transportation plan and project in the 'Action' scenario. If the project which is not from a conforming transportation plan and TIP is a modification of a project currently in the plan or TIP, the 'Baseline' scenario must include the project with its original design concept and scope, and the 'Action' scenario must include the project with its new design concept and scope.

§51.442 Criteria and procedures: Interim period reductions for PM10 and NO2 areas (transportation plan).

§51.444 Criteria and procedures: Interim period reductions for PM10 and NO2 areas (TIP).

§51.446 Criteria and procedures: Interim period reductions for PM10 and NO2 areas (project not from a plan and TIP).

A transportation project which is not from a conforming transportation plan and TIP must contribute to emission reductions or must 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 which meets the requirements of §51.442 and which includes the transportation plan and project in the 'Action' scenario. If the project which is not from a conforming transportation plan and TIP is a modification of a project currently in the transportation plan or TIP, and §51.442(b) is used to demonstrate satisfaction of this criterion, the 'Baseline' scenario must include the project with its original design concept and scope, and the 'Action' scenario must include the project with its new design concept and scope.

§51.448 Transition from the interim period to the control strategy period.

§51.450 Requirements for adoption or approval of projects by recipients of funds designated under title 23 U.S.C. or the 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 the requirements of §51.420 and the requirements of one of the following paragraphs (a) through (e) are met:

§51.452 Procedures for Determining Regional Transportation-related Emissions

§51.454 Procedures for Determining Localized CO and PM10 Concentrations (Hot-Spot Analysis)

§51.456 Using the Motor Vehicle Emissions Budget in the Applicable Implementation Plan (or Implementation Plan Submission)

§51.458 Enforceability of Design Concept and Scope and Project-Level Mitigation and Control Measures

§51.460 Exempt projects.

Notwithstanding the other requirements of this rule, highway and transit projects of the types listed in Table 3 are exempt from the requirement that 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 the type listed in Table 3 is not exempt if the MPO in consultation with other agencies (see §51.402(c)(1)(iii)), the EPA, and the FHWA (in the case of a highway project) or the FTA (in the case of a transit project) concur that it has potentially adverse emissions impacts for any reason. States and MPOs must ensure that exempt projects do not interfere with TCM implementation.

§51.462 Projects exempt from regional emissions analyses.

Notwithstanding the other requirements of this rule, highway and transit projects of the types listed in Table 4 are exempt from regional emissions analysis requirements. The local effects of these projects with respect to CO or PM10 concentrations must 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. A particular action of the type listed in Table 4 is not exempt from regional emissions analysis if the MPO in consultation with other agencies (see §51.402(c)(1)(iii)), the EPA, and the FHWA (in the case of a highway project) or the FTA (in the case of a transit project) concur that it has potential regional impacts for any reason.

§51.464 Special Provisions for Nonattainment Areas Which are Not Required to Demonstrate Reasonable Further Progress and Attainment

Table 3. - Exempt Projects

SAFETY

Railroad/highway crossing

Hazard elimination program

Safe non-Federal-aid system roads

Shoulder improvements

Increasing sight distance

Safety improvement program

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 demonstration

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

Fencing

Skid treatments

Safety roadside rest areas

Adding medians

Truck climbing lanes outside the urbanized area

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 vehicles(1)

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/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 fleet expansions1

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

AIR QUALITY

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

Bicycle and pedestrian facilities

OTHER

Specific activities which do not involve or lead directly to construction, such as:

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


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.


Table 4. - Projects Exempt from Regional Emission Analysis

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