PENNSYLVANIA DEPARTMENT OF TRANSPORTATION. Transportation Enhancements Implementation Manual

Transcription

1 PENNSYLVANIA DEPARTMENT OF TRANSPORTATION Transportation Enhancements Implementation Manual Updated October 2008

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3 Table of Contents Chapter 1: Introduction... 2 Chapter 2: Legal (Reimbursement) Agreement... 9 Chapter 3: Consultant Selection Chapter 4: Project Management Chapter 5: Environmental Clearance Chapter 6: Final Design Chapter 7: Right-of-Way Acquisition and Clearance Chapter 8: Utilities Relocation and Clearance Chapter 9: Plans, Specifications, & Estimates Package Chapter 10: Procurement Chapter 11: Contract Award/Notice to Proceed Chapter 12: Construction Chapter 13: Maintenance and Operations Chapter 14: Termination, Abandonment, Postponement, or Cancellation of a Project Chapter 15: Keystone Principles for Growth, Investment, and Resource Conservation Chapter 16: Conclusion

4 CHAPTER 1 Introduction The purpose of this manual is to provide, in one convenient document, pertinent information relating to Pennsylvania s Transportation Enhancements (TE) Program. This manual provides guidance, along with the Pennsylvania Department of Transportation s (PennDOT) policies throughout the project development process, to avoid jeopardizing project funding. This is a guidance manual and does not, by itself, constitute official PennDOT policy, nor does this manual imply any agreement between PennDOT and any other body. This manual cannot and does not address all possible situations, scenarios, and circumstances that affect the projects and the applicability of pertinent federal regulations. It has been written for the rule and not the exception. This manual is intended for use by personnel from PennDOT, as well as counties, municipalities, agencies, and organizations (and their consultants) with projects approved for federal funding from the Pennsylvania Transportation Enhancements Program. Appropriate PennDOT staff, where necessary, will provide additional guidance. It is assumed that information included in the TE online worksheet and application has guided project sponsors as to what approvals are required for a federal TE award. Some of the information regarding specific sections, such as utility relocation, will be reiterated in this manual to ensure proper procedures and compliance. Teamwork and team building are the keys to the successes under this program. An initial meeting (scoping field view) is held for each approved project. This is where the project team first meets and begins to focus on the specific elements of what will be achieved. This manual will assist teams in efficiently navigating the project development process. A detailed discussion of the individual steps involved in the TE project development process follows. The same information is presented in bullet form in Appendix I. Background In 1991, the Intermodal Surface Transportation Efficiency Act (ISTEA) ushered in a new era for transportation planning and program development nationwide. New partnerships were formed, greater emphasis was placed on the role of planning, and increased financial flexibility was provided to planners and program managers. 2 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

5 CHAPTER 1 A significant new program was also introduced through ISTEA the Transportation Enhancements Program. This program created new opportunities for transportation program development, forged successful partnerships, and advanced significant projects of local, regional, and statewide interest. The spirit and intent of this very successful program was continued in the Transportation Equity Act for the 21 st Century (TEA-21). TEA-21 also expanded the categories of funding eligibility and substantially increased the total funding available. The 12 categories eligible for transportation enhancement funding are: 1. Provision of facilities for pedestrians and bicycles. 2. Provision of safety and educational activities for pedestrians and bicyclists. 3. Acquisition of scenic easements and scenic or historic sites. 4. Scenic or historic highway programs (including the provision of tourist and welcome center facilities). 5. Landscaping or other scenic beautification. 6. Historic preservation. 7. Rehabilitation and operation of historic transportation buildings, structures, or facilities (including historic railroad facilities and canals). 8. Preservation of abandoned railway corridors (including the conversion and use thereof for pedestrian and bicycle trails). 9. Control and removal of outdoor advertising. 10. Archeological planning and research. 11. Mitigation of water pollution due to highway runoff or to reduce vehicle-caused wildlife mortality while maintaining habitat connectivity. 12. Establishment of transportation museums. Harrisburg State Street Project (District 8-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 3

6 CHAPTER 1 All Transportation Enhancements projects must demonstrate independent utility. If a proposed project has independent utility it does not preclude a decision on location and design of a future project. In the case of trails, independent utility can be achieved by connecting to an existing trail, connecting to a proposed trail that is included on a master recreation plan, or having public access. A trail segment cannot achieve independent utility without one of these characteristics. TEA-21 expired on September 30, Funding for TE continued through a series of short-term extensions until the enactment of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). During this timeframe of shortterm extensions, the Governor of Pennsylvania, Edward G. Rendell, began a statewide initiative under the TE umbrella called Home Town Streets/Safe Routes to School. The initiative made available $200 million and focused on projects involving downtown streetscapes, safe walking/bicycling routes to school for children, etc. It did not have a dedicated funding stream; it used TE dollars for its project selection, thereby subjecting all such projects to TE rules and regulations. All available funding was committed to specific projects. The SAFETEA-LU legislation was signed into law on August 10, It brought several changes: 1. A federal-level program called Safe Routes to School (SRTS) was developed with its own dedicated federal funding. The legislation also mandated that in order for states to receive SRTS funding, they had to have a full-time SRTS Coordinator on staff. 2. One additional TE activity was added: The inventory of outdoor advertising. 3. A clarification was made to the activity list allowing the acquisition of historic battlefields. The TE program is a unique cooperative arrangement between the sponsor, the Federal Highway Administration (FHWA), and PennDOT. Federal funding for successful projects necessitates adherence to appropriate federal guidelines and regulations. PennDOT is charged with ensuring that sponsors attain such compliance. PennDOT works cooperatively with sponsors to plan and schedule activities that meet all necessary regulations and guidelines. In accordance with federal regulations, all TE projects must relate to surface transportation. Surface transportation means all elements of the intermodal transportation system except aviation. A project must address a transportation need, use, or benefit. For example, creating a pedestrian or bicycle path adjacent to (or separate but parallel to) an existing roadway addresses a transportation need. While the restoration of a historic building may create a tourist attraction, it is only eligible for funding if it is a historic transportation facility or transportation museum, or if there is a transportation use, need, or benefit. The TE program does not fund maintenance activities. These include a broad range of projects including sidewalk repair, parking meter re-installation, and improvements to electrical systems for streetlights. Because FHWA funding is not to be used for maintenance activities, projects of this type will not qualify as an eligible TE activity. 4 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

7 CHAPTER 1 Likewise, FHWA funding is not to be used for continual maintenance of the project. For example, if a trail is constructed using TE funding, FHWA funding cannot be used to maintain the trail after construction, or to repair it if it is neglected. A third party identified as the responsible party for maintenance should be noted on the TE application package. If the project is a trail without independent utility, it is possible that the project could be funded under another FHWA or state program. PennDOT personnel can assist project sponsors in determining whether they qualify for one of these other programs. PennDOT Role in Project Development The development and implementation of transportation enhancements projects will be the primary responsibility of each project sponsor. Each project sponsor will secure the appropriate professional assistance in advancing their project (a professional engineer, architect, or landscape architect, depending on the nature of the project) and will establish the implementation schedule for their project. PennDOT staff will be available to provide procedural guidance and to ensure that the appropriate approvals (such as environmental, right-of-way, and utility clearances) are secured during project development so that federal funding is not jeopardized. The TE program is a federal reimbursement program not a grant program. The sponsor of a selected project will receive periodic invoices from service providers working on the project. The sponsor reviews and approves the invoices and then submits them to PennDOT for payment. PennDOT will then reimburse the sponsor for the federal share of the approved invoice. The project sponsor is responsible for compensating the service provider. Program Development and Management Applications are considered for approval in one of two ways. The appropriate Metropolitan Planning Organization (MPO) or Rural Planning Organization (RPO) reviews all local applications. These are PennDOT s planning partners, and are the entities with which PennDOT normally conducts business. Each is allocated funding for TE projects. Blairsville Streetscape (District 10-0) The TE program is a federal reimbursement program not a grant program. Multi-regional and statewide applications are reviewed by a team comprised of state agency representatives. The Department of Conservation and Natural Resources (DCNR), the Department of Community and Economic Development (DCED), the Community Action Team (CAT), the Governor s Office of Housing and Community Revitalization, and PennDOT are all members of this group. Their goal PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 5

8 CHAPTER 1 in selecting projects is to foster and promote, where possible, strategic state investment in selected project areas. All projects must be approved by the State Transportation Commission (STC), and must be included in PennDOT s Twelve-Year Program (TYP). In addition, prior to initiating any project activities, projects must be included on an approved Transportation Improvement Program (TIP) by the designated MPO or RPO. This includes all funded phases of the project (preliminary engineering, right-of-way, environmental clearance, and construction). All projects will be listed on the Statewide Transportation Improvement Program (STIP). The TIP/STIP is updated at the beginning of every second federal fiscal year (October 1). Updating can, however, include accepting new projects as well as dismissing others. The TIP/STIP are dynamic and can be amended throughout the two-year period. Written federal authorization, in the form of an approved Form D-4232, must be secured prior to commencing any work for which federal funding assistance is requested. This must occur either prior to the start of environmental studies or preliminary design for projects based on the 80/20 cost split, or prior to the start of construction for construction-only financed projects. PennDOT will work with project sponsors to secure this approval. Project Kick-off Meeting and Scoping Field View Presque Isle Ferry Docks Fishing (District 2-0) A project kick-off meeting and scoping field view are required for all TE projects. The purpose of the kick-off meeting is for the project team to meet and begin to focus on the specific elements of what will be achieved from the start through the completion of the project. The sponsor will have 45 days after being notified of their TE funding approval to contact the PennDOT District TE Coordinator to set up the kick-off meeting/scoping field view. The meeting should be conducted within 60 days of notification of the TE funding approval. The purpose of the scoping field view is to have PennDOT, FHWA, the planning partner, and the project sponsor view the project and the project area to determine important project issues, the level of documentation needed to obtain environmental clearance, and the technical studies required to prepare the environmental clearance document, as well as any required state or federal permits. 6 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

9 CHAPTER 1 Funding The non-federal share of each project is the responsibility of each project sponsor. Federal guidance provides some flexibility in how each state approaches the program funding. Pennsylvania provides sponsors two funding options, depending on the type of project. Federal regulations may apply to certain pre-construction phases. The two funding options are as follows: 100 Percent Construction For most projects, project sponsors must cover the costs of all preconstruction activities, with the Commonwealth then providing 100 percent federal funding for the construction phase. Under this scenario, sponsors would use their funding (local, state, other federal [must not be an FHWA program]) or private funding to secure the environmental clearance, design the project, acquire property, and clear utilities. The advantage of this option is that sponsors can proceed at their own pace for the pre-construction phases of work. PennDOT staff is available for consultation to ensure that the proper environmental clearance is secured, and to verify that a biddable set of plans is developed. 80/20 Cost Split There are also federal regulations that apply to some pre-construction activities, such as scenic or historic site acquisition. In this scenario, federal funding would cover 80 percent of the costs and the project sponsor is responsible for the remaining 20 percent. This manual and the PennDOT District will guide you with any such regulations. It is important to note that under the 100 percent scenario each project may not necessarily have an exact 80/20 cost sharing. Rather, it will be agreed that the sponsor will pay for all of the preconstruction activities, whatever their cost, and federal funds will cover all construction activities, whatever their cost (up to the amount of the award). Based on historical costs, the overall program will approximate an 80/20 program, and thus satisfy the federal requirement. If the sponsor chooses this funding option, any costs for pre-construction activities that exceed the sponsor s cost estimate are the responsibility of the project sponsor. (PennDOT will not entertain requests for funding any additional pre-construction costs.) Should a project require a construction cost increase, the sponsor must work with the local planning partner to either locate grants for the additional funding (if available) or to reduce the scope of the project. PennDOT should be involved in these deliberations. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 7

10 CHAPTER 1 The acquisition of scenic overlooks or scenic or historic sites are funded only on an 80/20 cost-sharing basis. Acquisition is a preconstruction activity, and as such the project is not available for consideration for construction-only financing. In addition, any subsequent application for other work funded with TE funds will be subject to the same funding ratio. For example, if TE funds were used to acquire a site and additional funding was applied for other work and awarded at a later date, the project sponsor would be responsible for 20 percent of the costs of the other work for which federal funds would be used; the program would fund the 80 percent balance. Federal regulations require that any work which is performed prior to written federal authorization of funding will not be eligible for federal funding. PennDOT staff will prepare the necessary fiscal documents (Form D-4232) to secure the federal authorization of funding. Form D-4232 is the mechanism by which the FHWA gives authorization of funding for design, right-of-way, and/or construction activities. It gives the project sponsor, via PennDOT, the authority to spend the federal funding. However, this does not mean that FHWA is obligated to reimburse the sponsor if it is found that the federal laws or regulations were not followed. In this event, the project sponsor will be Erie Bayfront Promenade (District 1-0) left to fund the project 100 percent. Federal regulation allows the use of in-kind contributions of services, land, materials, and funding as the non-federal share for transportation enhancement projects. PennDOT staff can work with each sponsor to establish the value of any qualifying in-kind contributions, consistent with federal criteria, if the contributions are to be used as the non-federal share on an 80/20 project. If project funding is obtained from sources other than local and FHWA, e.g., PA Community Development Block Grant (CDBG) Program or other federal funding, coordination with PennDOT and/or FHWA is required to determine the appropriate general contract provisions to be incorporated into the bid document. Project sponsors are advised to develop cost estimates that accurately portray all phases of project development including environmental clearance, right-of-way, utility relocation, and construction. As these projects can take one to several years to develop, it is a good practice to include inflation and contingency costs in the estimate. 8 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

11 Legal (Reimbursement) Agreement Project sponsors may be governmental agencies, municipalities, or not-for-profit organizations. Although it is not a requirement, nongovernmental sponsors are encouraged to consider working through a local or county governmental entity. While municipalities have experience with federal and state programs and procedures, this is generally limited to grants. Again, the TE program is not a grant program, it is a reimbursement program, and numerous federal regulations apply that may be unfamiliar to the project sponsor. Municipalities, however, may have an engineer, landscape architect, or architect on retainer who can often provide additional guidance throughout the project development process. PennDOT is prepared, however, to work directly with municipal as well as non-municipal sponsors. CHAPTER 2 The Reimbursement Agreement must be executed with PennDOT prior to proceeding with any reimbursable work on the project. Any costs incurred prior to the execution of the agreement for which federal funds are requested will not be eligible for reimbursement. Interest costs incurred by project sponsors are not eligible for reimbursement. Allegheny Highlands Trail (District 9-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 9

12 CHAPTER 2 After a project sponsor is notified that its Transportation Enhancements application has been selected for funding, PennDOT will begin to develop a standard legal (reimbursement) agreement. This agreement between the project sponsor and PennDOT will specify all terms and conditions with which the project sponsor must comply to receive federal TE funds. The PennDOT District will obtain the necessary signatures on the agreement and submit it to the PennDOT Central Office Office of Chief Counsel for execution and all fiscal and legal approvals. State College Enhancements (District 2-0) To aid in the timely delivery of federal funds, PennDOT has developed sample legal agreements for political subdivisions (Appendix Y) and private sponsors (Appendix Z) to be used for the TE program. The agreement can be revised or modified, as necessary, to meet the needs or circumstances of the project. Persons Authorized to Sign Reimbursement Agreements The following is a list of titles of the senior officers who are authorized to sign reimbursement agreements on behalf of a not-for-profit corporation and bind the corporation with that signature alone: Chairman, President, Vice President, Senior Vice President, Executive Vice President, Assistant Vice President, Chief Executive Officer, and Chief Operating Officer. Junior officers consist of the Secretary, Assistant Secretary, Treasurer, Assistant Treasurer, Chief Financial Officer, and Comptroller. If a senior officer signs for the corporation, then a junior officer may attest the signature of that officer (however, attestation of the senior officer s signature is not mandatory for valid execution). If the agreement has 10 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

13 CHAPTER 2 the signature of a junior officer only, or if a junior officer signs and another junior officer attests that signature, additional evidence of that officer s authority to sign the agreement on the corporation s behalf must accompany the agreement. This evidence can be in the form of a letter from one of the senior officers or the secretary, authorizing the signatory to sign on behalf of the corporation. This letter must be on corporate letterhead. In order for reimbursement agreements to be processed in a timely manner, PennDOT requests that all agreements bear signature dates within the last 60 calendar days, and are submitted to the PennDOT District office within that time period for transmission to the Comptroller and the Office of Chief Counsel. Absent any compelling reason for submissions with dates beyond the 60-day cutoff, agreements with outdated signatures will be returned to the originating office to be resigned and re-dated. Reimbursement The TE program is a reimbursement program. PennDOT is advancing a certified invoice process whereby project sponsors, upon receipt of invoices (maximum two per month) for project activities, certify their accuracy and immediately forward them to PennDOT. PennDOT will then initiate a procedure to pay the sponsor. Upon receipt of a check from PennDOT (approximately six weeks for the first invoice, four weeks for subsequent invoices), the sponsor has 10 days to pay the contractor (checks from PennDOT are made payable to the project sponsor). By using this procedure, the sponsor does not have to use its own funds to pay the contractor. ECMS/MYSAP Requirements The sponsor must be a registered vendor before a reimbursement agreement can be executed. The following steps for registration apply: 1. The sponsor shall provide PennDOT with proof that it owns the property on which the project is to be constructed. This shall include deeds showing fee title, a colorcoded map referencing the deeds or obtained easements showing the project with approximate property lines, and a letter Erie Land Lighthouse (District 1-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 11

14 CHAPTER from the sponsor or the sponsor s attorney certifying that they have sufficient title. The sponsor and the design engineer must be registered business partners in PennDOT s Engineering and Construction Management System (ECMS). The sponsor must log onto and then go to Register as a Business Partner and register as a municipality regardless of whether the sponsor is a municipality or not. The sponsor has to be a vendor in MySAP as well. The sponsor can log onto This is different from ECMS. MySAP is the accounting system and payment mechanism for the agreement. ECMS is the electronic system in which bid documents and construction estimates are entered. Anyone experiencing difficulty with the ECMS process should contact one of the following PennDOT offices: ECMS Help Desk Bureau of Design Bureau of Equal Opportunity TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

15 CHAPTER 3 Consultant Selection There are specific procedures that must be followed regarding the selection and approval of a consultant (including the use of municipal engineers) for the project. The PennDOT District Office will provide guidance to project sponsors for this endeavor. Specifically, the provisions contained within PennDOT Publication No. 93: Procedures for the Administration of Consultant Agreements must be followed. Failure to do so will jeopardize any federal funds obligated for the project. The Statements of Interest or Technical Proposals can be routed through the local PennDOT District Office s TE Coordinator for review. This exercise, although optional, helps ensure that the proposal meets federal requirements. There were several changes made to Publication No. 93 (the April 2005 edition) that impact the administration of consultant agreements for municipal-sponsored projects (including TE projects). The design firm is no longer allowed to perform construction inspections on its own designs. The same engineering involvement restrictions that were applied to state-sponsored projects are now applied to municipal projects as well. This change went into effect for engineering agreements in May The following is a synopsis of the major portions of these consultant selection procedures: A municipality must choose a minimum of three consulting firms that are capable of performing the anticipated work and review their qualifications. Qualifications can either be found in the firms Qualifications Packages in ECMS, or through paper forms SF 254 and SF 255. Based on this review, municipalities must choose the most qualified firm and document the justification for this choice. Municipalities must then submit to the District Office the recommendation along with the justification for coordination with the PennDOT Central Office. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 13

16 CHAPTER 3 4. The District submits this recommendation and justification to the Central Office under separate cover, and, if acceptable, approval is given for the selection. Also, FHWA now allows the Municipal Engineer to perform construction inspections on local projects, even if they did the design work on the same project. This is because of the special contractual agreement that they have with one another. However, if the firm is not the Municipal Engineer they will not be allowed to conduct the construction inspection if they did the design. Another firm would need to be selected in this case. The maximum allowable for construction inspection percentages of the estimated construction cost have also changed in the April 2005 edition of Publication No. 93. They are as follows: Pine Creek Rail Trail (District 3-0) less than $1,000,000: up to 15 percent $1,000,001 to $5,000,000: up to 12 percent greater than $5,000,000: up to 10 percent The project sponsors are advised to ensure that environmental services are included as part of the design services agreement. Environmental services can be far-reaching, and therefore one or multiple firms may be required to complete the environmental clearance component of project development. PennDOT personnel can assist the sponsors in identifying the type and intensity of environmental services that may be required. The U.S. Department of Transportation s regulations require recipients of any federal financial assistance to develop a Disadvantaged Business Enterprise (DBE) program in accordance with 49 CFR 26. If the value of the engineering agreement exceeds $100,000, a DBE participation goal of 10 percent must be advertised. If the value is below $100,000, a DBE goal is not required. Under the DBE regulation, all recipients of funds from the Federal Aviation Administration (FAA), Federal Highway Administration (FHWA), and Federal Transit Administration (FTA) in each state are required to cooperatively implement a Unified Certification Program (UCP). The UCP will allow an applicant for DBE certification in a state to file only one application and undergo one certification review to achieve DBE certification. That certification will be recognized by all recipients of FAA, FHWA, and FTA funds in the state. The web site for Pennsylvania s UCP is paucp.com. On 80/20 projects, no work by the consultant can be charged to the project, including attendance at meetings, until the Form D-4232 for design services has been authorized by FHWA, and the Engineering Agreement (if appropriate) and the Reimbursement Agreement have been fully executed. 14 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

17 CHAPTER 4 Project Management An effective project manager is essential for the administration and delivery of TE projects. Although PennDOT staff or management consultants will be available to provide general guidance throughout project development, project sponsors are expected to hire or utilize appropriate professionals, if applicable, to serve as project managers for the life of the project. These professionals may be engineering consultants, architects, or landscape architects, depending on the nature of the transportation enhancements project. It is PennDOT s intent to empower the project sponsor and its project manager to understand and comply with the mandates of the program. The project manager in essence becomes an extension of the sponsor s staff, and serves with PennDOT forces to advance the sponsor s project. PennDOT will still play a very active part in the planning, development, and construction of a project. A team consisting of the project sponsor, the project manager, and PennDOT will guide each project. The PennDOT role, however, will be that of coach, overseer, and mentor in helping the project professional adhere to required federal and state regulations, and to ensure that the quality project envisioned by the sponsor is properly implemented and that the project s federal funding is not jeopardized. Mandating compliance with required regulations is in the best interest of both the project and the project sponsor. Chapter 12 discusses audits and recordkeeping requirements. It is the responsibility of the project sponsor/project manager to maintain all necessary records, and to defend all actions and expenditures should any audit be performed on the project. As noted earlier, the project manager should be an engineer, architect, or landscape architect, depending upon the project or circumstances. If the appropriate specialty is not one currently under the project sponsor s employment, this person must be hired. The process for selecting and hiring this project professional is one that will be reviewed and approved by PennDOT, subject to federal regulations. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 15

18 CHAPTER 4 This was discussed in greater detail in Chapter 3 of this manual. It is important to recognize that the project manager (engineer, architect, landscape architect) is employed by the project sponsor and not by PennDOT, and that the engineering/design agreement will be between the sponsor and the project manager. A project manager must be aware of how the project impacts the items listed below: Engineering: What are the design criteria? Environment: Does the project have the necessary environmental clearance? Tort: Could the project cause a liability? Public Concerns: Is the project responsive to the people? Traffic Safety: Does the project create any safety concerns? Economic/Fiscal: Can the project be constructed within budget? Construction: Is the project biddable and buildable? Maintenance: Is the project maintenance accessible? Utility Relocation: Are there utilities that require relocation and coordination? Right-of-way/Acquisition: Must property be acquired or leased (including construction easements) for the project? Meadville Atlantic G West Trail Covered Bridge (District 1-0) 16 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

19 CHAPTER 5 Environmental Clearance Projects using federal funds for any phase must comply with the regulations set forth in the National Environmental Policy Act (NEPA) of 1969 and 23 CFR 771. The TE program is no exception. Certain steps have been taken by both FHWA and PennDOT to streamline this process and to assist the project sponsor in meeting its obligation to obtain necessary environmental clearance. The following is an overview of the NEPA environmental document categories and their applicability to the TE program. Also, refer to Appendix BB for more information. NEPA is the broadest environmental legislation in the nation. It applies to all federal agencies and the activities they undertake, regulate, or fund, that would affect the environment. Federal agencies are required to consider and disclose the environmental consequences of their proposed course of action. Federal Actions under NEPA NEPA mandates that the level of documentation for federal actions be determined by the potential impacts the project may have on the surrounding natural, cultural, and social environment. There are three classes of actions under NEPA, each with its own set of requirements: Class I: Environmental Impact Statement (EIS) This is a detailed written report that provides full and fair discussion of significant environmental impacts and informs decision-makers and the public of the reasonable alternatives that would avoid or minimize adverse impacts or enhance the quality of the human experience. The EIS is required when federal actions will significantly affect the environment. For more information, see PennDOT Publication No. 278: EIS Handbook. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 17

20 CHAPTER 5 Class II: Categorical Exclusion Evaluation (CEE) Obtaining environmental clearance is a critical step in the TE project development process. It is required prior to proceeding with final design, rightof-way and utility clearances, and project letting. This is a classification given to federal actions that do not have a significant effect on the environment, either individually or cumulatively. Once a CEE is approved for a project, environmental clearance requirements have been satisfied (unless mitigation commitments were made). Most, if not all, TE projects will require a CEE to obtain environmental clearance. For more information, see PennDOT Publication No. 294: CEE Handbook. For more information, see Appendix R for the CEE checklist. Class III: Environmental Assessment (EA) This is a document prepared for federal actions that do not qualify as a categorical exclusion and do not appear to be of sufficient magnitude to require an EIS. An EA provides the analysis and documentation to determine whether an EIS should be prepared. For more information, see PennDOT Publication No. 362: EA Handbook. PennDOT Criteria: Categorical Exclusion Evaluations (CEE) The criteria for determining whether a project is appropriate for NEPA clearance with a CEE, and what type of documentation must be included, are based on the Council on Environmental Quality (CEQ) regulations for implementing the procedural requirements of NEPA and the USDOT final rule on environmental impact and related procedures. The CEQ regulations state: Categorical Exclusion means a category of actions which do not individually or cumulatively have a significant effect on the human environment and which have been found to have no such effect in procedures adopted by a federal agency in implementation of these regulations and for which, therefore, neither an environmental assessment nor an environmental impact statement is required. The USDOT regulations state that CEEs are actions which meet the above and:...based on past experience with similar actions, do not involve significant environmental impacts. Most TE projects will require a CEE (see Appendix R for the CEE checklist). PennDOT District staff are available to provide guidance, and must ultimately review and sign the completed CEE before environmental clearance can be granted. The project sponsor has 18 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

21 CHAPTER 5 the opportunity to work through the District Qualified Professionals for cultural resource coordination so they can benefit from the use of PennDOT s Minor Project Programmatic Agreement (MPPA). Processing a CEE can take several months to a year, depending upon the complexity of the project and circumstances involved. Proper documentation and early project coordination with PennDOT and any pertinent natural/cultural resource agencies during the project development stages will help ensure timely processing of the CEE. It is the project sponsor s responsibility to obtain qualified personnel to prepare the CEE. A detailed project description is always necessary, and some projects require both the starting and stopping points for the project (known as logical termini ). Actions Qualifying as a Categorical Exclusion Actions qualifying as a Categorical Exclusion are those that do not: induce significant impacts to planned growth or land use for the area; require the relocation of significant numbers of people or businesses; have a significant impact on any natural, cultural, recreational, historic, or other resource; involve significant air, noise, or water quality impacts; have significant impacts on travel patterns; involve substantial controversy on environmental grounds; involve any inconsistencies with any federal, state, or local law, requirement, or administrative determination relating to the environmental aspects of the action; individually or cumulatively have a significant environmental effect; or require the preparation of an EIS or an EA. Categorical Exclusion Evaluations under the Transportation Enhancements Program The vast majority of TE projects, by their very nature, meet the criteria for a Categorical Exclusion. The construction of bicycle and pedestrian lanes, paths, and facilities; landscaping; acquisition of scenic easements; and projects that do not involve or lead to construction all qualify as CEE projects under federal regulations (23 CFR (c)), provided that there are no extenuating circumstances. While a blanket statement cannot be made declaring that all TE projects will PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 19

22 CHAPTER 5 be Categorical Exclusions, it is typical that many projects can be processed as CEEs. Section 106 Programmatic Agreement Section 106 of the National Historic Preservation Act affords historic properties protection in the form of mandating a consultative process between the FHWA and the SHPO. In Pennsylvania, the Pennsylvania Historical and Museum Commission is the SHPO. This process calls for mitigation when the undertaking is found to have an adverse effect. PennDOT personnel can assist sponsors in determining whether Section 106 applies to the project. It is advised that PennDOT qualified personnel act as liaisons with the SHPO. Johnstown Train Station (District 9-0) Philadelphia County has its own Memorandum of Understanding with the SHPO and the Advisory Council on Historic Preservation. Contact PennDOT s District 6-0 for specific information and clarification. The FHWA, the Pennsylvania State Historic Preservation Officer (SHPO), the Advisory Council on Historic Preservation, and PennDOT entered into an agreement, known as the Minor Project Programmatic Agreement (MPPA), which outlines various conditions under which minor projects may qualify for expedited processing under Section 106 of the National Historic Preservation Act to obtain the cultural resource clearance that is a necessary component of environmental clearance. The MPPA applies exclusively to minor projects. The MPPA promotes an expedited historic preservation review for applicable projects. Some, but not all, types of projects are covered by this agreement. A determination on its applicability may be made at the project scoping and field view. PennDOT staff will provide assistance on this agreement as necessary. Currently, the categories of activities that may use the programmatic agreement are the provision of facilities for pedestrians and bicycles, acquisition of scenic easements, landscaping, and the preservation of abandoned railway corridors. Where the programmatic agreement does not apply, more extensive involvement with the SHPO is required, especially for buildings and structures that are 50 years of age or older, and potential archeological sites. See Appendix BB-1 for reference to the Advisory Council on Historic Preservation s Section 106 Questions and Answers. Projects that involve an historic resource, such as building restoration, should consider the Secretary of Interior s Standards for the Treatment of Historic Places. More on this reference can be found at www. cr.nps.gov. Projects incorporating these standards are less likely to be determined as having an adverse effect which could significantly reduce the amount of time and funding for environmental clearance. 20 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

23 CHAPTER 5 Section 4(f) Exclusive of any requirements imposed by NEPA, the FHWA has separate regulations that apply to its projects. These regulations are contained in Section 4(f) of the USDOT Act of 1966 and in their regulations under 23 CFR , and are commonly referred to as 4(f) evaluations. A determination on this evaluation is required and may be made at the project scoping and field view. The FHWA determines the applicability of Section 4(f) to the project. Section 4(f) protection applies to publicly-owned parks, recreation areas, wildlife and waterfowl refuges, and historic sites of national, state, or local significance. The applicability of Section 4(f) to a resource and its use is determined by the FHWA. See Appendix BB-1 for more information. Wetlands A qualified wetland scientist must identify whether there are wetlands present at a project site. If so, precautions need to be taken to avoid wetland impacts. If wetland impacts cannot be avoided, then mitigation is necessary. Usually mitigation is in the form of on-site/ in-kind replacement at ratios of 2:1 or as high as 10:1, depending on the functional value of the impacted wetland. Consultation with the Pennsylvania Department of Environmental Protection (DEP) and the U.S. Army Corps of Engineers (USACE) is necessary if wetlands are present in order to perform a Jurisdictional Determination, assess impacts, and discuss mitigation as part of the permitting process. Certain activities or circumstances are waived from DEP and USACE permits. PennDOT personnel can provide guidance on this issue. Re-evaluations There may be the need for re-evaluation if a project has been dormant for three or more years since the last federal authorization, if environmental features change, or if the project scope changes. It acts as a check valve to ensure that the project scope and its context have not changed, and, if they have, that the change has not been significant enough to change the type of NEPA class action. A reevaluation can range from a memo to a report. PennDOT personnel can advise the project sponsor on the need for and format of the reevaluation. Elizabethtown Train Station (District 8-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 21

24 CHAPTER 5 Public Involvement An underpinning of both NEPA and the National Historic Preservation Act (NHPA) is disclosure of the undertaking to the public and affording the public an opportunity to comment. Traditionally and by nature, TE projects generally benefit a resource, structure, or a system, and therefore public involvement is often overlooked as an essential element of the environmental clearance process. However, it is imperative that the project complies with NEPA and NHPA. As such, the project sponsor, in partnership with PennDOT, should actively seek the opinions of the public on the undertaking. This can be in the form of a meeting with local officials, surveys to the community, newsletter inserts, newspaper articles, etc. Documented public involvement activities may support the application and ensure that the sponsor has worked with adjacent property owners, the community, and users in determining the design, shape, and scope of the undertaking. Assistance Available from PennDOT Obtaining environmental clearance is a critical step in the transportation enhancement project s development process. The degree of involvement by PennDOT District staff will vary depending upon local circumstances. The extent of PennDOT involvement will be discussed during the early project development meetings involving the sponsor, the sponsor s project manager, and PennDOT. It is, however, the sponsor s responsibility to prepare any required environmental documents; the District will provide guidance and oversight. There are many requirements to obtain environmental clearance. See Appendix R, CEE Checklist. CATA Bike Racks (District 2-0) 22 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

25 Final Design CHAPTER 6 Federal law requires that final design not commence until environmental clearance is secured. Preliminary engineering is often required to support environmental clearance activities, and as such can commence in advance of or during the environmental approval process. However, if preliminary design activities are being reimbursed with federal funds, federal authorization is necessary prior to commencing that phase of the project. PennDOT staff can provide guidance to the sponsor in this area. All TE projects must follow standard federal and state procedures for all phases of work. Final design involves preparation of the plans that will be used by the contractor to construct the project. Most, if not all, TE projects differ significantly from projects that are traditionally constructed by PennDOT. For most, there are no standard design criteria established that apply to the type of activity proposed. Consequently, the project must be designed in a common sense manner (including the preparation of contract documents), taking into account, where applicable and available, any guidance from various professional organizations. This will help to ensure that a project is biddable and has adequate access as required by the Americans with Disabilities Act (ADA) and other appropriate acts. For example, the American Association of State Highway and Transportation Officials (AASHTO) has developed guidelines that apply to pedestrian and bicycle facilities. Likewise, the Rails-to-Trails Conservancy has developed guidelines which may assist designers in the development of pedestrian and bicycle paths. It will be incumbent upon the sponsor and consultant to avail themselves of the appropriate guidelines, and apply those guidelines judiciously to ensure that their project is properly designed. Bridges over state or local roads, or roads that use liquid fuels funds, must be approved by PennDOT for structural adequacy and adequate vertical clearance over a state road. Non-highway bridges not crossing a road do not require approval from PennDOT. However, two basic criteria must be met for such bridges when the design has not been reviewed by PennDOT: 1. The bridge design must meet current AASHTO criteria. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 23

26 CHAPTER 6 2. The bridge design must be reviewed and approved by a professional engineer (PE) independent from the designer or fabricator. This PE may be from the owner s staff or the owner s consultant. Permits and Approvals It is the responsibility of the project sponsor and its project manager to secure all necessary federal, state, and local permits and approvals to design or implement the project. The agencies that may be involved include, but are not necessarily limited to, the DEP, the USACE, and PennDOT (for highway occupancy permits and related agreements). Local government permits may also need to be secured prior to design and implementation. Projects that involve earth disturbance necessitate submission of an Erosion and Sediment Control Plan to the County Conservation District and subsequently receipt of an approval letter from the County Conservation District. All permits must be submitted as part of the PS&E package. See Chapter 9 for information on the PS&E package. Federal law requires that for receipt of funding from the FHWA, certain general specifications be included in the project specifications. If PennDOT Publication No. 408: Specifications is used, Section 100 and Appendix C of Publication 408 satisfy the general requirements of the FHWA. Many TE projects involve the construction of buildings or necessitate building renovations. Such projects are better suited to architecturaltype specifications developed by the Construction Specifications Institute (CSI) and standard general specifications (conditions) developed by the American Institute of Architects (AIA). In these situations, the minimum information from PennDOT Publication No. 408 to be incorporated into the document is contained in Appendices Y and Z. Public Utility Commission Involvement Certain projects, such as rails-to-trails projects or those involving railroad crossings, may require the involvement of the Pennsylvania Public Utility Commission (PUC). A railroad line that has been inactive may still require PUC involvement if the line has not been decommissioned (abolished) by the PUC. It will be the responsibility of 24 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

27 CHAPTER 6 the project sponsor to contact the Public Utility Commission to secure any necessary approvals by that agency. If there is a railroad crossing in the area, the PennDOT District Grade Crossing Engineer should be consulted to evaluate whether any upgrades to the crossing are needed. Yough River Bridge (District 11-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 25

28 CHAPTER 7 Right-of-Way Acquisition and Clearance No offers for rightof-way acquisition or any payments may be made until environmental clearance has been obtained for the project and a Form D-4232 is approved by FHWA for the right-of-way acquisition phase. Right-of-way clearance can be a time-consuming process. PennDOT s Right-of-Way Unit must be involved in the project as early as feasible. The District Right-of-Way Administrator must be involved early to determine applicability of federal regulations to property dedicated toward the project. The acquisition of right-of-way must follow the procedures outlined in PennDOT Publication No. 98: A Guide for Local Public Agency Acquisition of Right-of-Way. In many cases, the property or right-of-way will have been acquired in advance of the transportation enhancement project being approved for funding. Credit cannot be taken for land acquisitions where federal funding was used for the purchase. PennDOT will insist that the project sponsor provide proof of ownership or agreed-upon easements to certify that they have the right to construct a project on the particular site. Check with PennDOT to ensure that the property qualifies for the TE program. All property or right-of-way acquisition occurring after approval of the federal TE funding must be in accordance with the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) and associated federal regulations. No offers for right-of-way acquisition or any payments may be made until environmental clearance has been obtained for the project and a Form D-4232 is approved by FHWA for the right-of-way acquisition phase. PennDOT right-of-way staff will be involved in this process to ensure that property and right-of-way is properly acquired. A right-of way clearance certificate will be required for all projects prior to advertising for construction bids. The following right-of- 26 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

29 CHAPTER 7 way information is required before a Clearance Certificate can be granted. The sponsor shall provide any and all information necessary to document its ownership of all existing right-of-way necessary for construction of the project. Upon request from PennDOT, the sponsor shall provide sufficient additional information, as deemed necessary by PennDOT, to establish current ownership. This may include the creation of a plan showing all parcels acquired by the sponsor s predecessor in title, including a designation of the nature of the predecessor s interest (i.e., whether in fee or easement), and a notation of where the instruments conveying those interests are located. The project will not advance to the construction phase until PennDOT is satisfied that the sponsor has proven appropriate title. The information deemed necessary to support sufficient title to the area of the property may vary. In all circumstances, however, the sponsor must certify to PennDOT that it has sufficient title to the area. If there are easements for railroad purposes within the corridor, the certification must include confirmation that there has been no abandonment and/ or reversion of those easements, and no takings due to the proposed TE project. This certification need not be from a third party insurer, but must be by the sponsor or on its behalf by a third party title company or an attorney. A qualified conservation organization is not defined in federal regulations. PennDOT will assist in securing the determination of applicability of this designation. Highway Occupancy Permits/Agreements When a TE project interfaces with a State Route (SR), an approval is necessary from PennDOT. A Highway Occupancy Permit is required for driveways. A Highway Occupancy Agreement is required for bridges over a SR. Organization Federal regulations state that the requirements of the Uniform Act do not apply when real property acquired for a TE project was purchased from a third party by a qualified conservation organization. The organization must not be acting on behalf of the agency receiving federal funds, and federal approval of property acquisition must not have occurred prior to the involvement of the conservation organization. When a qualified conservation organization acquires real property for a project receiving TE funding on behalf of an agency with eminent domain authority, the requirements of the Uniform Act apply as if the PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 27

30 CHAPTER 7 agency had acquired the property itself. PennDOT has a specific right-of-way manual. Check with the District rightof-way staff for the most current version of the manual. When, subsequent to federal approval of property acquisition, a qualified conservation organization acquires real property for a project receiving TE funds, and there will be no use or recourse to the power of eminent domain, the limited requirements of 49 CFR (a)(2) apply. Involvement of the conservation organization means the date the organization makes a legally binding offer to acquire a real property interest, including an option to purchase, in the property. Federal approval of property acquisition means the date of the environmental document or project authorization/agreement, whichever is earlier. Property Management Real property acquired with TE funds must be managed in accordance with the property management requirements on 23 CFR Part 710, Subpart D ( ). Any use of the property for purposes other than that for which TE funds were provided must be consistent with the continuation of the original use. Minimum Required Documentation by the Sponsor A plan or land survey which shows required areas, affected parcels identified by a number, and identification of the current owners of the affected property. The name of the current owner as well as deed information (i.e., date of the deed, grantor, grantee, nature of title, and Deed Book volume and page number). Amount and date of payment to the current owner from the Local Public Agency (LPA) or sponsor for the required area. If no payment was made, state that the owner has donated the required area. Provide deed information (i.e., date of the deed, grantor, grantee, nature of title, and Deed Book volume and page number) for transfer of the required area to the LPA or sponsor. If the sponsor has obtained a quit claim deed, the title obtained by the sponsor shall identify the deed dates, grantor, grantee, and recording reference for the most recent transfer of fee title. If the sponsor has acquired title less than fee simple directly from a railroad, the sponsor must confirm that there has been no abandonment and/or reversion of the railroad easement, 28 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

31 CHAPTER 7 7. and that there has been no additional taking from the abutting property owner (i.e., the abutting property is not subject to additional servitude) as a result of the new project. A certification letter from the sponsor s solicitor stating that: a) the information on the plan or land survey is accurate; b) all right-of-way necessary for the completion of the project has been acquired in accordance with the applicable state and federal laws and regulations; c) steps relative to relocation advisory assistance and payments were not necessary since there was no relocation, or all steps relative to relocation advisory assistance and payments as required in the applicable laws and regulations have been taken, and individuals and families have been relocated to decent, safe, and sanitary housing; and d) all occupants have vacated the acquired lands and improvements, and the sponsor has physical possession and the right to remove or demolish any improvements and enter onto the land; or although right-of-way has not been acquired, the right to occupy and to use all right-of-way required for the proper execution of the project has been acquired, and the sponsor has physical possession and the right to remove or demolish these improvements. Meyersdale Train Station (District 9-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 29

32 CHAPTER 8 Utilities Relocation and Clearance Utility Relocation Utility Relocation Sponsor s Responsibilities In many cases, sponsors must incorporate utility relocations as a proposed element of their TE project. It is important to remember that funding from the TE program cannot be used for utility relocations. 1 It is the responsibility of the sponsor to determine whether a utility relocation is necessary, and if so, whether or not the sponsor is under a legal obligation to reimburse the utility for their move. It is important to identify any possible impacts on a utility early in project development. The best approach is to eliminate utility relocations through design. Applicants anticipating utility relocations should coordinate their proposed project with the appropriate utility prior to submitting an application. This allows the utility to have advance knowledge of the proposed project, and affords the utility the opportunity to interact with the project designer. The end result may be a more harmonious relationship with the utility as well as cost savings. Types of Improvements That May Require Utility Relocations A TE project may require that a utility relocate its facilities for highway improvements, aesthetic improvements, or a combination of these reasons. Highway improvements may include, but are not limited to, safety improvement projects including traffic and/or pedestrian safety which require adjustments to the roadway configuration or width; widening traffic lanes to accommodate increased traffic demand or turning movements; installation of traffic signals or other traffic control devices; installation of traffic calming and/ 1 This policy change became effective in July Any projects approved prior to the effective date of this policy that contained utility relocations as a construction cost item will be honored without prejudice. 30 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

33 CHAPTER 8 or congestion management devices; adjusting sidewalks for compliance with ADA requirements; or improving, reconfiguring, or increasing parking which requires pavement widening (performed by permit, with ADA compliance assured). Aesthetic improvements may include, but are not limited to, plantings, decorative street lighting, construction or replacement of sidewalks with pavers or similar techniques, and other items primarily for beautification or to replicate local historic conditions. When Will PennDOT Order a Utility to Relocate its Facilities from PennDOT Right-of-Way and Who Pays Sponsor or Utility? In limited circumstances, PennDOT will require a utility to move from PennDOT right-of-way at the utility s expense in connection with a TE project. The relocation of utility facilities for a TE project mirrors PennDOT s standard utility relocation practices. Requests by sponsors to have PennDOT order the utility to relocate from the right-of-way must be coordinated with the appropriate District utility unit. Any utility placement or relocation work within PennDOT right-of-way may only occur if the utility obtains a Highway Occupancy Permit and must be conducted in accordance with applicable laws and regulations. See 67 Pa. Code 459. The following explains when PennDOT will order utilities to relocate 2 and which party must bear the cost of that move: 1. If the utility s facilities are located in PennDOT s right-of-way by a permit with private status, PennDOT will order the utility to relocate. The sponsor must pay for the relocation of those facilities regardless of the reason for the relocation (highway or aesthetics). The relocation costs may include the cost of obtaining substitute right-of-way for the utility if the facilities are not relocated to PennDOT right-of-way. 2. If the utility does not have a permit or a private status agreement, but claims a real property interest within the PennDOT right-of-way, the validity of their claim must be determined before further action can be taken. Contact the Central Office Program administrator for more information. If it is determined that the utility has a compensable real property interest, the relocation will be treated as if proceeding under item 1, above. If the utility is found not to have a compensable 2 See PennDOT Design Manual Part 5, Chapter 10.3 for additional guidance on how the District actually notifies the utility to proceed with relocation. Note that the standard utility relocation letter will need to be modified to address the specific TE relocation situation. Each letter must include a statement that PennDOT is not responsible for the cost of any utility relocation, notwithstanding the utility s possible right to reimbursement from the sponsor. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 31

34 CHAPTER interest, then it will be treated as noted below. If the utility relocation is necessary to accommodate highway improvements and the utility is located within PennDOT right-ofway by permit, the cost of the relocation must legally be borne by the utility. In this situation PennDOT will order the utility to relocate at its own expense if requested by the sponsor. If the utility relocation is necessary to accommodate aesthetic improvements and the utility is located within PennDOT rightof-way by permit, PennDOT can order the utility to relocate if requested by the sponsor. However, PennDOT will not order the utility to relocate at its expense. The sponsor must reimburse the utility for relocation costs or make other arrangements directly with the utility. If the utility relocation results from a mix of both highway and aesthetic improvements and the utility is located within PennDOT right-of-way by permit, PennDOT can order the utility to relocate if requested by the sponsor. However, the sponsor must bear the costs related to the aesthetic improvement portion of the project. a. The cost to be borne by the sponsor is typically the difference between the total cost of the relocation and the cost of what the utility would have done to accommodate the highway improvement portion of the project alone. b. For example, assume that a TE project involves the reconfiguration of parking and sidewalks along a street to increase parking and meet ADA requirements. Also assume that the project requires utilities to go underground for street beautification purposes. Finally, assume that but for the underground aspects of the project, the utility could have relocated poles and wires aboveground. In this scenario, the sponsor must pay the difference between the total cost of the relocation and what it would have cost the utility to relocate the poles and wires without undergrounding. Franklin Streetscape (District 1-0) 32 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

35 CHAPTER 8 Relocation of Utility Facilities Located Outside PennDOT Right-of-Way If the utility is located outside PennDOT right-of-way, PennDOT will not be involved in the relocation. PennDOT cannot require the relocation of a utility on land PennDOT does not own or control. Utility Clearance Authorization for utilities to proceed with physical relocation work will not be granted until the relocation plans and estimates are approved, permits have been issued, or both the sponsor and the utility have signed a reimbursement agreement. The utility relocation process is outlined in PennDOT Publication No. 16M: Design Manual, Part 5, (DM5), Chapter 11, including Subparts A and B. PennDOT must issue all highway occupancy permits for utility relocations within state right-of-way, and will draft a reimbursement agreement between the project sponsor and the utility company. All projects must have a utility clearance form (PennDOT Form D-419) processed prior to the advertisement for bids. This procedure requires the sponsor to certify that all necessary arrangements have been completed for the relocation of any affected utility. Written responses from each utility must be in the possession of the District Utility Unit before a clearance will be issued on any project. Where applicable, a reimbursement agreement will be executed by the sponsor and the utility. On federally-funded projects, a utility clearance assurance statement must be written by PennDOT s Central Office Utility Unit prior to advertising a project for bids. PennDOT will provide advice on this process. The following information must be included on the PennDOT Form D-419 in order for utility clearance to be granted: The name of the utility, in ALL CAPITAL LETTERS. The name and telephone number of a contact person. The type of work, in ALL CAPITAL LETTERS (i.e., PRIOR, RESTRICTIVE, CONCURRENT, COORDINATED, etc.). A narrative describing the type of facility, the location by station(s), the work to be performed, and the time frame required to complete. Prior work requires a completion date prior to the start of the contractor s operations. Where coordinated work is required, the specific construction operation to be performed by the contractor must be described in general (i.e., establish rough grade followed by the Utility will then ). York Heritage Rail Trail (District 8-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 33

36 CHAPTER 8 Incorporated work should be listed with each utility description, and must direct the contractor to install the utility pay item by specific pay item number along with a description of the item. Abbreviations, where possible, for such words as underground U/G, station STA, etc. When using Not Affected, do not say use caution. Any updating of any part of the form after the proposal has been submitted must have an asterisk (*) at the end of the change. PennDOT Form D-419 must be used on all projects, including those to be cleared by local governments; see PennDOT Design Manual, Part 5, Chapter 11, for additional information and Appendix T for a sample Utility Form. Erie Bayfront Promenade Master Plan (District 1-0) 34 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

37 CHAPTER 9 & Estimates Package The sponsor s professional engineer/architect will develop the Plans, Specifications, and Estimates (PS&E) package, which will be used to secure bids for the construction of the TE project. Generally, the plans should comply with PennDOT s Design Manual, Part 3. Architectural or building project plans must comply with industry standards. On the summary sheet, the item numbers should follow the PennDOT Items Catalog (Publication No. 7) or follow the non-standard items procedure contained in PennDOT Publication No. 51M. Specifications can follow and refer to the PennDOT format (Publication No. 408) or can use CSI specifications. For most TE projects, however, there are no standard design criteria that apply to the type of activity proposed. Consequently, the project must be designed in a common sense manner, taking into account, where applicable, guidance which has been prepared by various professional organizations. The aim is to prepare a clear, understandable, biddable, and buildable plan. PennDOT staff will provide general guidance on the content and quality of the PS&E package prior to its development, and will review the package once it is completed to ensure that a biddable package has been developed and that all of the proposed work is eligible for federal transportation enhancements funding. Structures require a bid alternate for competition between material vendors. In some cases, Publication No. 408 has been used for the basic contract format and general provisions (Section 100), and specifications in the CSI format have been added as an attachment. This is typically done for Central Office lets. The PS&E package to PennDOT will consist of the following elements: Final design plans, including tabulations and summaries of work items. A bid proposal, including the specifications which are applicable to this particular project, and any necessary permits. A project cost estimate. A construction schedule. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 35

38 CHAPTER 9 Generally, PennDOT requests that two copies of the plans (22-inch by 36-inch), specifications, and estimates be submitted. Specification of proprietary items (available from only one manufacturer) or items with two manufacturers will not be permitted without the prior written approval of the FHWA and/or PennDOT. Davis-Bacon predetermined minimum wage provisions do not apply to TE projects; TE projects use state prevailing wages (obtained through the Pennsylvania Department of Labor and Industry). Projects that require any earth disturbance must have an Erosion and Sediment Control Plan submitted to the County Conservation District for review. A copy of the County Conservation District approval letter must be included in the PS&E submission. PS&E Checklist The following checklist states what needs to be included in the PS&E package (where appropriate). A. Plans and Estimates Title Sheet (for signatures by project sponsor, consultant, and District Engineer) All Original Plan Sheets First Sheet of Traffic Control, Structures, etc. (for signature by consultant and appropriate District personnel) Engineer s Estimate (D-407), if a non-exempt project Federal Estimate B. Bid Proposal & Specifications Standard Proposal/Contract Documents (Some items listed are supplied by the PennDOT District Contract Management Unit the District will supply guidance in this area.) Pottstown Promenade Bear Fountain (District 6-0) Proposal Cover Sheet Acknowledgment of Addenda Bidder s Understanding of Conditions Applicable to Proposal Bid Proposal Guaranty Bond Bidder s Certification of Pre-qualifications, Classifications, and Work Capacity (unless waiver granted by Bureau of Construction and Materials) List of Subcontractors Statement of Joint Venture Participation 36 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

39 CHAPTER 9 Affirmative Action Certificate Signatures (three pages) C. Special Provisions Pre-Bid Conference (if needed) Award of Contract Anticipated Notice to Proceed (NTP) Date Disadvantaged Business Enterprise Participation Equal Employment Opportunity (EEO) Reporting Requirements Affirmative Action Requirements Sworn Affidavit Act 287 Act 274 Air Pollution Control Trainees Utilities Specifications (specific contract provisions) General Contract Provisions Butler Freeport Trail (District 10-0) D. Attachments Notice Prevailing Minimum Wage (federal or state) Disclosure of Lobbying Activities Standard Form LLL FHWA PR-47 (only required for non-exempt projects or exempt projects over $1 million) FAR Required Contract Provisions Federal Aid Construction Contracts Notice to Prospective Federal Aid Construction Contractor Special Supplement Anti-Pollution Measures Commonwealth Nondiscrimination/Sexual Harassment Clause E. Non-Collusion (23 CFR ) F. Certificates Lobbying Certificate Suspension and Disbarment Certificate G. Provision Non-Responsive Bid Provision The preceding is based upon the project being let by PennDOT. Local PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 37

40 CHAPTER 9 lets are possible, if authorization to do so is granted by the District and approved by the Bureau of Design. If so, the PS&E format can be modified and must be developed in consultation with and approved by PennDOT and FHWA. Minimum requirements for specifications that are needed to meet FHWA requirements are shown in Appendices Y and Z. FHWA Authorization A Form D-4232 for construction must be authorized by FHWA prior to opening bids for local lets and prior to advertising for District and Central Office lets. Care must be taken to ensure that projects remain on current TIPs or STIPs, effective October 1 st of each year. Pottstown Promenade (District 6-0) 38 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

41 CHAPTER 10 Procurement Low Bid In the early stages of project development, as the PennDOT reimbursement agreement is being negotiated, PennDOT and the sponsor will determine the appropriate entity to advertise and open bids for the project. This activity may be handled by the Bureau of Design (BOD) in PennDOT s Central Office, by the PennDOT District Office, or by the project sponsor (if approved by the PennDOT District Office and BOD). Each project will be different, and as such, this activity will be determined individually. Unless the sponsor has procedures in place that PennDOT has previously approved and which are acceptable to FHWA allowing the sponsor to handle the bidding and contract award, PennDOT will advertise for bids, open bids, and award the construction contract in the name of the sponsor, in accordance with applicable state and federal laws and requirements. Once the PS&E package is submitted to the local PennDOT Engineering District, 15 weeks are needed: two weeks to review and assemble the bid package, five weeks to advertise, and eight weeks to award and execute the construction contract. PennDOT will establish the bid due date. All bids will be received in Harrisburg for projects let in PennDOT s Central Office. The District Office will supply a specific address and guidance. Project sponsors that have been granted permission by PennDOT to bid their project themselves are required to follow the requirements of PennDOT Publication No. 39, including project advertisement requirements. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 39

42 CHAPTER 10 Other Methods Procurement methods other than the normal competitive process used for PennDOT construction projects may be used if they are in compliance with the Pennsylvania Procurement Code and not within the highway right-of-way. Presque Isle Ferry Docks (District 2-0) 40 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

43 CHAPTER 11 Contract Award/ Notice to Proceed Contract Award Once bids have been received, the project sponsor and its professional consultant will review the bids with PennDOT staff and agree to award to the apparent low bidder, reject the apparent low bidder, or reject all bids. Factors such as the contractor s responsiveness to the bid package, consistency with project funding, and ability to perform the specified work are among the factors that will be evaluated. PennDOT will request a letter from the sponsor stating that it either concurs with the award or wishes to reject the bid. Upon receipt of all required concurrences, PennDOT Bureau of Design (BOD) will award the contract in the name of the sponsor or reject the bid. A pre-construction conference will be scheduled and conducted by the local PennDOT Engineering District in accordance with standard PennDOT procedure. Notice to Proceed Once the contract has been awarded and subsequently executed by the contractor and sponsor, the sponsor must issue a notice to proceed to the contractor, following PennDOT s direction, which specifies the calendar date on which work may commence. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 41

44 CHAPTER 12 Construction PennDOT Publication No. 39: Procedures for the Administration of Locally-Sponsored Projects will be used to guide the administration of TE projects. After the award, the Notice to Proceed is issued to the contractor. A pre-construction conference will be held between the contractor, project sponsor, construction inspector, and District to provide an opportunity to clarify any outstanding issues. The conference will be scheduled and conducted by the local PennDOT Engineering District in accordance with standard PennDOT procedure. Inspection All TE projects require construction inspection. It is the responsibility of the project sponsor to secure a qualified construction inspector(s). The requirements for staffing construction inspection and the responsibilities of construction inspection personnel must be in accordance with PennDOT Publication No. 39. PennDOT will determine the level of inspection required as well as the qualifications required for the inspector. It is envisioned that the sponsor s professional consultant or someone who is familiar with the project and state and federal procedures will have the capability of performing the necessary construction inspection, and that the sponsor will demonstrate these qualifications to the satisfaction of the District. The inspector does not have to work on the project full time, but will be expected to inspect the project based upon a schedule mutually agreed upon by PennDOT and the project sponsor. Sponsors can use up to 15 percent of the awarded TE funds to pay for construction inspection, if necessary. District staff will provide guidance on the qualifications necessary for a construction inspector. Inspectors will be responsible for ensuring that all work is completed in conformity with the approved plans, specifications, and contract provisions; for determining and documenting the quality and quantity of materials and work; for recording all pertinent information related to the progress of the work; for the measurement, acceptance, and payment of completed work; for being knowledgeable of and complying with all applicable FHWA regulations; and for cooperating and consulting with 42 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

45 CHAPTER 12 PennDOT personnel during the course of the contract. PennDOT will review and certify the completed project. Recordkeeping/Audits Because federal funding will be used for all or a portion of the TE project, it will be the responsibility of the project sponsor, their professional consultant(s), and the contractor(s) to maintain all appropriate records for possible review by state or federal auditors. These records will include, but are not limited to: Financial documents Meeting minutes Project scoping notes Environmental clearance document (CEE) Right-of-way and utility clearances Project-related correspondence Accounting records Supporting cost proposals Employees time records Yough Improvements (District 11-0) Payroll records These records must be retained for a period of seven years after the date of final payment to the contractor or three years from the date of submission of the final voucher to the FHWA, whichever is the later date. The sponsor agrees to satisfy the audit requirements contained in the federal Single Audit Act of 1984 (31U.S.C.Section 7501 et seq.). Payment Schedule TE projects are funded on a cost reimbursement basis. That is, the project sponsor first incurs the cost and is invoiced by the contractor. The project sponsor pays the invoice and submits a copy of the paid invoice to PennDOT for reimbursement. Realizing that this method of payment poses severe hardship on most project sponsors, PennDOT will process requests for payment under a certified invoice process. This alternative method of receiving payment works as follows: Contractor submits invoice for services performed. Project sponsor reviews invoice and determines if it is acceptable. Acceptable invoice is submitted to PennDOT, accompanied by a All changes in scope of work or increases in federal funding must have the written approval of PennDOT and the respective MPO/RPO planning partner prior to proceeding with the work. Any activities undertaken that are not in compliance with the above will not be eligible for reimbursement. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 43

46 CHAPTER 12 statement that the invoice is correct as submitted/revised. PennDOT reviews the invoice and submits it for payment. Sponsor receives payment, and subsequently pays contractor. As has been noted earlier in this manual, federal funding must first be authorized by the FHWA prior to its availability. PennDOT will secure this authorization via the processing of the appropriate funding documents. Any costs incurred prior to the written federal authorization will not qualify for federal reimbursement. Cost Increases/Changes in Scope of Work Each TE project is approved for a specific scope of work and level of funding based on the information submitted by the project sponsor in their application. All changes in scope of work or increases in federal funding must have the written approval of PennDOT and the respective MPO/RPO planning partner prior to proceeding with the work. Any activities undertaken that are not in compliance with the above will not be eligible for reimbursement. Projects funded on an 80/20 basis that require a cost increase must also include an increase in the local 20 percent match prior to receiving any additional federal funds. The TE program is not a grant program. Just as project sponsors must follow all applicable FHWA guidelines, rules, and regulations, so too must PennDOT and its planning partners. This applies to project planning and programming as well as to design and construction. Consequently, project sponsors must be aware that once their project is approved, it is programmed at the approved funding level. The planning partner must amend its Transportation Improvement Program (TIP) to incorporate the project. Likewise, any financial adjustments to the project will require the prior approval by the planning partner in the form of a revision to the TIP. The scope of work can be changed from what was originally stated in the TE application; however, this change must occur prior to executing the reimbursement agreement. The sponsor must forward a letter to the file documenting the change, and the planning partner and PennDOT must agree with the change. Also, a letter must be included in the environmental document (CEE), the change must not negatively affect the findings reflected in the CEE, and the proposed change must be accomplished within the funding originally provided for the project. If either PennDOT or the planning partner does not agree to the proposed change, the project award will be nullified. 44 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

47 CHAPTER 12 Payments to Contractors Project sponsors are responsible for the timely payment (10 days after receiving their check from PennDOT) of the prime contractor. PennDOT does not pay the contractor directly. PennDOT is only responsible for ensuring that the project sponsor is reimbursed funding as agreed upon to advance the project. The sponsor can either deposit the check into its bank account and subsequently pay the contractor, or the check received from PennDOT can be signed over to the contractor. Lykens Train Station (District 8-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 45

48 CHAPTER 13 Maintenance and Operations The project sponsor will be responsible for all costs associated with the maintenance and operation of the project after completion of construction. No federal transportation enhancements funding will be provided for ongoing maintenance and operations costs. Failure by the sponsor to fulfill its maintenance responsibilities may result in the loss of future state and federal funds for private sponsors and the withholding of liquid fuels funds for municipal sponsors. The transfer of project maintenance and operation can be transferred to another party with concurrence by PennDOT. The sponsor may charge a fee if the price is not excessive to the general public, and by agreement the proceeds are instituted for the maintenance and operation of the TE-funded resource. No fee can be charged for admission to a tourist or welcome center constructed with TE funds. The sponsor must establish a formal inspection and maintenance program, to be performed by its own or contract personnel, to ensure an acceptable level of physical integrity and operation consistent with the original design standards. This maintenance program, established in accordance with standards determined to be acceptable to PennDOT, must include, but is not limited to: periodic inspections, appropriate preventive maintenance (i.e., cleaning, lubricating, refurbishing electrical equipment, etc.), a systematic recordkeeping system, and the means to handle notification and implementation of emergency repairs. Bridge Requirements When a bridge or structure is included in a TE project (including such bridge work as new construction, rehabilitation, repair, 46 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

49 CHAPTER 13 conversion from rail to trail bridge, etc.), provisions for its safety inspection on a periodic, continuing basis must be included to ensure its ongoing safety for public use. For public highway bridges greater than 20 feet in length, the federal National Bridge Inspection Standards (NBIS) inspection requirements and PennDOT standards apply and will satisfy this requirement. Federal reimbursement (80 percent) for NBIS inspections may be available. Note that highway bridges are not normally part of a TE project. For non-highway bridges or structures over state routes, the safety inspections are required and are to be outlined in the required Highway Occupancy Agreement between the owner and PennDOT. The inspection requirements are now available and will be in PennDOT s Publication No. 238: Bridge Inspection Safety Manual. For non-highway bridges or structures over streams or local roads, safety inspections are to be required in the TE project agreement. PennDOT recommends that local owners follow the requirements for similar structures that PennDOT uses. Qualified personnel, including the owner s in-house staff or consultants, may conduct bridge/structure safety inspections. Bridge/structure inventory and inspection data are to be submitted to PennDOT for inclusion in the statewide Bridge Management System (BMS) database. Owners are to keep complete structure and inspection records. Thun Trail (District 5-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 47

50 CHAPTER 14 Termination, Abandonment, Postponement, or Cancellation of a Project Approved projects can be terminated, abandoned, or postponed by either PennDOT or the project sponsor if federal funds are not available. A project sponsor may, at any time in the project development process, decide to cancel/terminate the project and drop out of the TE program. The sponsor must send PennDOT a 30-day written notice of termination. The project sponsor will be responsible for the reimbursement of all federal funds received as of that date, as well as for all PennDOT staff costs incurred as part of the project. The project sponsor must reimburse PennDOT within 30 days after receiving a statement from PennDOT invoicing all project costs for which reimbursement is due. The sponsor will also be responsible for the payment of all outstanding invoices to consultants or contractors. Pottstown Promenade Building (District 6-0) 48 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

51 CHAPTER 15 Keystone Principles for Growth, Investment, and Resource Conservation Preamble The Commonwealth of Pennsylvania Keystone Principles & Criteria for Growth, Investment & Resource Conservation were adopted by the Pennsylvania Economic Development Cabinet on May 31, They were developed by the Interagency Land Use Team, a working group of the Cabinet, over two years. The Principles & Criteria are designed as a coordinated interagency approach to fostering sustainable economic development and conservation of resources through the state s investments in Pennsylvania s diverse communities. The Principles lay out general goals and objectives for economic development and resource conservation agreed upon among the agencies and programs that participated in their development. The Criteria are designed to help measure the extent to which particular projects accomplish these goals. The Criteria do not replace agency program guidelines or criteria. Rather, at each agency s discretion, they will either be integrated into existing program criteria (preferable) or used as additional, favorable considerations in the scoring or decision-making process. The Principles & Criteria are designed to encourage multifaceted project development that will integrate programs and funding sources from a variety of state agencies into a comprehensive strategy to address PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 49

52 CHAPTER 15 issues affecting whole communities. There are two categories of criteria: Core Criteria, where relevant, should be given primary consideration in all investment decisions made by Commonwealth agencies when making grants or loans to public or private projects using agency funds. Lemont Rail Line Rehab (District 2-0) Preferential Criteria should be used by Commonwealth agencies in all programs to which they are applicable to evaluate projects and make decisions on grants or loans using agency funds. Projects are to be evaluated with the recognition that rural, suburban, and urban areas have different characteristics and needs, and that what might work in an urban area might not work in a rural area (the Be Fair standard). Principles REDEVELOP FIRST Support revitalization of Pennsylvania s many cities and towns. Give funding preference to reuse and redevelopment of brownfield and previously developed sites in urban, suburban, and rural communities for economic activity that creates jobs, housing, mixed-use development, and recreational assets. Conserve Pennsylvania s exceptional heritage resources. Support rehabilitation of historic buildings and neighborhoods for compatible contemporary uses. PROVIDE EFFICIENT INFRASTRUCTURE Fix it first: use and improve existing infrastructure. Make highway and public transportation investments that use context-sensitive design to improve existing developed areas and attract residents and visitors to these places. Provide transportation choice and intermodal connections for air travel, driving, public transit, bicycling, and walking. Increase rail freight. Provide public water and sewer service for dense development in designated growth areas. Use on-lot and community systems in rural areas. Require private and public expansions of service to be consistent with approved comprehensive plans and consistent with implementing ordinances. CONCENTRATE DEVELOPMENT Support infill and greenfield development that is compact, conserves land, and is integrated with existing or planned transportation, water and sewer services, and schools. Foster creation of well-designed developments and walkable, bikeable neighborhoods that offer healthy lifestyle opportunities for Pennsylvania residents. Recognize the importance of projects that can document measurable impacts and are deemed most ready to move to 50 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

53 successful completion. INCREASE JOB OPPORTUNITIES Retain and attract a diverse, educated workforce through the quality of economic opportunity and the quality of life offered in Pennsylvania s varied communities. Integrate educational and job training opportunities for workers of all ages with the workforce needs of businesses. Invest in businesses that offer good paying, high quality jobs, and, are located near existing or planned water and sewer infrastructure, housing, an existing workforce, and transportation access (highway or transit). FOSTER SUSTAINABLE BUSINESSES Strengthen natural resource-based businesses that use sustainable practices in energy production and use, agriculture, forestry, fisheries, recreation, and tourism. Increase our supply of renewable energy. Reduce consumption of water energy and materials to reduce foreign energy dependence and address climate change. Lead by example: support conservation strategies, clean power, and innovative industries. Construct and promote green buildings and infrastructure that use land, energy, water, and materials efficiently. Support economic development that increases or replenishes knowledge-based employment, or builds on existing industry clusters. RESTORE AND ENHANCE THE ENVIRONMENT Maintain and expand our land, air and water protection, and conservation programs. Conserve and restore environmentallysensitive lands and natural areas for ecological health, biodiversity, and wildlife habitat. Promote development that respects and enhances the state s natural lands and resources. ENHANCE RECREATIONAL AND HERITAGE RESOURCES Maintain and improve recreational and heritage assets and infrastructure throughout the Commonwealth, including parks and forests, greenways and trails, heritage parks, historic sites and resources, fishing and boating areas, and game lands offering recreational and cultural opportunities to Pennsylvanians and visitors. EXPAND HOUSING OPPORTUNITIES Support the construction and rehabilitation of housing of all types to meet the needs of people of all incomes and abilities. Support local projects that are based on a comprehensive vision or plan; have significant potential impact (e.g., increased tax base, private investment); and demonstrate local capacity, technical ability, and leadership to implement the project. Coordinate the provision of housing with the location of jobs, public transit, services, schools, and other existing infrastructure. Foster the development of housing, home partnerships, and rental housing State College Enhancements (District 2-0) CHAPTER 15 PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 51

54 CHAPTER 15 Clarion Little Toby Creek Trail Triathalon (District 2-0) opportunities that are compatible with county and local plans and community character. 9. PLAN REGIONALLY; IMPLEMENT LOCALLY Support multi-municipal, county, and local government planning and implementation that has broad public input and support and is consistent with these principles. Provide education, training, technical assistance, and funding for such planning, and for transportation, infrastructure, economic development, housing, mixed-use, and conservation projects that implement such plans. 10. BE FAIR Support equitable sharing of the benefits and burdens of development. Provide technical and strategic support for inclusive community planning to ensure that social, economic, and environmental goals are met. Ensure that in applying the principles and criteria, fair consideration is given to rural projects that may have less existing infrastructure, workforce, and jobs than urban and suburban areas, but that offer sustainable development benefits to a defined rural community. I. Core Criteria Project avoids or mitigates high hazard locations (e.g., floodplain, subsidence or landslide prone areas). Project/infrastructure does not adversely impact environmentally-sensitive areas, productive agricultural lands, or significant historic resources. If project is in suburban or rural area: Project and supporting infrastructure are consistent with multi-municipal or county and local comprehensive plans and implementing ordinances, and there is local public/private capacity, technical ability, and leadership to implement project. If project is in core community (city, borough, or developed area of township): Project is supported by local comprehensive vision and plan, and there is local public/private capacity, technical ability, and leadership to implement project. Project supports other state investments and community partnerships. II. Preferential Criteria 1. Development/Site Location a. Brownfield previously developed site. b. Rehabilitation or reuse of existing buildings (including 52 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

55 CHAPTER 15 schools and historic buildings). c. Infill in or around city, borough, or developed area of township. d. If greenfield site, located in or adjacent to developed area with infrastructure. e. Located in distressed city, borough, or township. 2. Efficient Infrastructure a. Use of existing highway capacity and/or public transit access available. b. Within one-half-mile of existing or planned public transit access (rail, bus, shared ride, or welfare-to-work services). c. Use of context-sensitive design for transportation improvements. d. Use/improvement of existing public or private water and sewer capacity and services. 3. Density, design, and diversity of uses a. Mixed residential, commercial, and institutional uses within development or area adjacent by walking. b. Sidewalks, street trees, connected walkways and bikeways, greenways, parks, or open space amenities included or nearby. c. Interconnected project streets connected to public streets. d. Design of new water, sewer, and storm water facilities follows Best Management Practices, including emphasizing groundwater recharge and infiltration, and use of permeable surfaces for parking and community areas. 4. Expand Housing Opportunities a. Adopted county and multi-municipal or local municipal plans include plan for affordable housing; and implementing zoning provides for such housing through measures such as inclusion of affordable housing in developments over a certain number of units (e.g. 50), provision for accessory units, and zoning by right for multi-family units. b. Project provides affordable housing located near jobs (extra weight for employer-assisted housing). c. Project adds to supply of affordable rental housing in areas of demonstrated need. 5. Increase Job Opportunities a. Number of permanent jobs created and impact on local Bellefonte Central Rail Trail (District 2-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 53

56 CHAPTER 15 labor market. b. Number of temporary jobs created and impact on local labor market. c. Number of jobs paying family-sustaining wages. d. Increased job training coordinated with business needs and locations. 6. Foster Sustainable Businesses a. Sustainable natural resource industry improvement or expansion: agriculture, forestry, recreation (fisheries, game lands, boating), tourism. b. Business or project is energy efficient; uses energy conservation standards; produces, sells, or uses renewable energy; expands energy recovery; promotes innovation in energy production and use; or expands renewable energy sources, clean power, or use of Pennsylvania resources to produce such energy. c. Project meets green building standards. d. Project supports identified regional industry cluster(s). 7. Restore/Enhance Environment a. Cleans up/reclaims polluted lands and/or waters. b. Protects environmentally-sensitive lands for health, habitat, and biodiversity through acquisition, conservation easements, planning and zoning, or other conservation measures. c. Development incorporates natural resource features and protection of wetlands, surface and groundwater resources, and air quality. 8. Enhance Recreational/Heritage Resources a. Improves parks, forests, heritage parks, greenways, trails, fisheries, boating areas, game lands, and/or infrastructure to increase recreational potential for residents and visitors. b. Historic, cultural, greenways, and/or open space resources incorporated in municipal plans and project plan. c. Makes adaptive reuse of significant architectural or historic resources or buildings. 9. Plan regionally; Implement Locally a. Consistent county and multi-municipal plan (or county and local municipal plan) adopted and implemented by county and local governments with consistent ordinances. b. County or multi-municipal plan addresses regional issues and achieves participating municipalities economic, social, and environmental goals. All plans (county, multi-municipal, 54 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE

57 CHAPTER 15 and local) follow standards for good planning, including: 1. Is up-to-date. 2. Plans for designated growth and rural resource areas, and developments of regional impact. 3. Plans for infrastructure, community facilities, and services, including transportation, water and sewer, storm water, and schools. 4. Plans for tax base and fair share needs for housing, commercial, institutional, and industrial development. 5. Identification of high hazard areas where development is to be avoided. 6. Identification of and plans for prime agricultural land, natural areas, historic resources, and appropriate mineral resource areas to be conserved. 7. Open space plan for parks, greenways, important natural and scenic areas, and connected recreational resources. c. County and local ordinances implement the governing plans and use innovative techniques, such as mixed-use zoning districts; allowable densities of six or more units per acre in growth areas; and/or clustered development by right, transfer of development rights, and Specific Plans; and tax and revenue sharing. Cambria Iron Works Bridge (District 9-0) PENNSYLVANIA DEPARTMENT OF TRANSPORTATION 55

58 CHAPTER 16 Conclusion The TE Program is popular because it offers municipalities and grass roots organizations opportunities to significantly enhance their quality of life and transportation. However, because the program is federally-funded, projects must satisfy all applicable federal laws and regulations. Substantial progress has been made over the past few years to streamline the project development process and to bring a common sense approach to the process. PennDOT, as the designated agent of the federal government for this program, will provide overall guidance to project sponsors as they advance their projects through the process. Most importantly, however, project sponsors need to secure quality professional assistance so they can move their projects as quickly as possible and avoid jeopardizing their federal funding. Clarion Little Toby Creek Trail Triathalon (District 2-0) 56 TRANSPORTATION ENHANCEMENTS PROGRAM GUIDE