Chapter Two
Highways and Transit
In general, transportation projects are identified and prioritized through a dynamic planning process involving proposals generated externally and internally to ConnDOT. Overseeing and coordinating the entire planning and priority setting process is ConnDOT's Bureau of Policy and Planning.
The overall picture that emerges is of an elaborate, complex, and constrained planning process. While many entities are involved, including municipal officials, transit districts, regional planning organizations, the public, and other transportation providers, the federal government and ConnDOT heavily influence the process.
There is a guaranteed regional and public role. This role appears to be inclusive, especially on the planning level, but influence over final project selection and funding is limited. ConnDOT has become somewhat more open in its planning efforts, but the authority exercised by outside entities is advisory. Nonetheless, because so many regional or local entities can be involved in the process, it can create complications in improving regional and statewide transportation assets. As there is an emphasis on regional fairness in the planning and funding process, ConnDOT's ability to address critical statewide needs is diminished.
The department may identify various social, environmental, and fiscal impacts of proposed transportation alternatives on a project level and indicate concern about the wider ramifications of its activities, but its long-term planning efforts are restricted by the department's focus on its current finances and conditioned by limited investment goals. The department's primary goal is to maintain the current system, while retaining a narrow view of economic development and assigning the lowest priority to capacity improvements.
An overview of the state's transportation planning and priority setting processes is provided in this chapter. Most of ConnDOT's efforts and resources are devoted to the development of highway and transit plans, and this process will be examined first. The planning for airports and seaports is essentially separate from this process, and a description of those processes can be found in the next chapter.
This chapter is subdivided into segments describing the historical backdrop to transportation planning, the planning products required under law, the players involved in developing those products, and the process followed. In addition, the process for developing options for major transportation corridors is examined.
Background
In many federal programs of intergovernmental assistance, national funds are allocated to states or local governments -- counties, municipalities, and special districts. Transportation is something of an exception to this pattern, because of the mandatory participation of regional planning entities.
After World War II, "urban problems," especially in the areas of housing and transportation, were perceived as issues of regionwide scope and the federal government began to target modest levels of federal aid to the regional level. Gradually, various entities evolved -- notably, regional councils of government -- due in large part to the requirements attached to local use of federal funds. Federal transportation legislation incrementally developed a role for metropolitan transportation planning.
The federal government created a role for metropolitan transportation planning with the passage of the Federal-Aid Highway Act of 1962. This law stipulated that, in areas with populations exceeding 50,000, a highway project could receive funding only if it was planned as part of a comprehensive, continuing, cooperative regional process. This principle, known as the "3-C" rule, is the root of today's regional planning requirements.
The term "metropolitan planning organization" (MPO) did not appear in federal statutes until the Federal-Aid Highway Act of 1973. States were to allocate a portion of federal-aid transportation funding to "the metropolitan planning organizations designated by the State" as being responsible with the state for carrying out the metropolitan planning responsibilities established by earlier transportation legislation.
In general, metropolitan planning organizations are the transportation planning agencies designated by the governor and local governments in urbanized areas with over 50,000 people. They typically operate through several committees, including a policy committee that is the decision-making body in developing transportation plans and programs. The policy committee is often supported by technical committees, staff that oversee technical work, and citizen advisory committees that provide public input.
The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 served to enhance the role of regional entities in transportation planning. This act gave larger MPOs some additional authority over certain categories of federal transportation aid, notably the Surface Transportation Program (STP), and served to formalize the relationships between the regional entities and state DOTs.
TEA 21. Federal transportation funding relies on periodic authorizations. The Transportation Equity Act for the 21st Century (TEA 21) is the current transportation financing reauthorization. Signed into law in July 1998, it essentially continues the planning requirements developed under ISTEA. These requirements include provisions concerning fiscal constraint, planning horizon, and public involvement, which now must include freight shippers and public transit users. TEA 21 authorizes $41 billion for transit and at least $175 billion in highway funding through federal fiscal year 2003.
Goals of TEA 21. The previous transportation authorization (ISTEA) contained 15 specific factors MPOs had to consider when creating long-range plans. Under TEA 21, those 15 are replaced with seven general areas. The metropolitan planning process must consider projects and strategies that:
ConnDOT's Mission and Investment Goals
One of the most important considerations in examining ConnDOT's approach to planning and priority setting is the fact its mission and its investment goals condition the process. ConnDOT's stated mission is "to provide a safe, efficient, and cost effective transportation system that meets the mobility needs of its users." In translating its mission into the mandated plans for transportation facilities and services, the department is guided by six investment goals established by ConnDOT. Figure II-1 identifies the goals and the sub-objectives associated with the goals. Only three objectives are quantified (resurfacing, bridges, and bus replacement).
The figure also shows the relative importance the department gives each goal. The focus and emphasis of the state's investments is on safety, maintenance and system productivity. The department stresses the state must not return to a period of deferred maintenance.
Economic development. The promotion of economic development is the fourth goal delineated by the department. The department has identified a number of sub-objectives related to this goal, but has provided few specific objectives and has narrowly defined its role in this area. Sub-objectives include the provision of a quality transportation infrastructure, the institution of urban incentives, and the facilitation of economic investment.
The department has only defined the second sub-objective. Urban initiatives refer to the state's efforts to assist economically distressed urban areas by participating in the federal empowerment zone (EZ) process and the state-sponsored neighborhood revitalization zones (NRZs).
Empowerment zones. The EZ initiative is a federal program designed to "empower people and communities" in developing and implementing strategic plans to create job opportunities and sustainable community development. Its purpose is to create jobs and business
opportunities in the most economically distressed areas of inner cites and rural jurisdictions through performance oriented block grants.
Certain portions of the cities of West Haven and New Haven have been designated as empowerment zones. ConnDOT's participation in this process was in supporting the application to the federal government by identifying the financial commitments ConnDOT has already made in the area to leverage additional federal funds (though not transportation funds) for the zone.
Neighborhood revitalization zones. In addition, the department also provides support in reviewing strategic plans developed by neighborhood revitalization zones. The Neighborhood Revitalization Zone Advisory Board was created by statute in 1998. Its purpose is to promote economic self-sufficiency and economic development and assist neighborhood revitalization zone planning committees in developing and implementing strategic plans. The board also makes recommendations regarding the disbursement of money for NRZ grant-in-aid programs. ConnDOT is a member of the advisory board and reviews local NRZ plans and circulates the plans among the ConnDOT offices for review and comment. An examination of ConnDOT's comments indicates most clarify the role or policy of ConnDOT in a particular area, explain why the department cannot fund a proposed improvement, or direct the neighborhood group to contact their regional planning agency to inquire about a particular funding program.
Limitations on direct involvement. ConnDOT has a limited, direct role in economic development due to state statutory and federal regulatory restrictions. As discussed in Chapter I, state law requires developers of facilities that are significant generators of traffic pay for the necessary road improvements to accommodate increased traffic. ConnDOT cannot pay for any changes benefiting a single party but it will try to coordinate planned improvements for a corridor with any ongoing development project. Coordination with the Department of Economic and Community Development is discussed in Chapter IV.
Development of the goals. The department's strategic goals were developed just prior to the creation of the 1993 Master Transportation Plan and were triggered by a series of events. In the early 1990s, changes in federal legislation, including the 1990 Clean Air Act Amendments and the 1991 Intermodal Surface Transportation Efficiency Act, and a distressed state economic situation caused the department to conduct a comprehensive review of the status of the transportation system and state and regional plans.
It became apparent during ConnDOT's review that there would not be enough financial resources available to complete all of the projects in the regional plans. Plans for major projects were reviewed, rescheduled, reduced, or removed to be consistent with the resources available using the goals identified above. A list of major projects was created and has since been refined though the process described below.
Required Plans
Ultimately, the planning process results in the development of four major overlapping documents as depicted in Figure II-2. Three are required by the federal government, and one is required under state statute. A brief description of the plans is provided below.
· Long Range Plans (LRP). The LRP is required under federal law. In Connecticut, the regions and the state develop their own LRPs. The statewide plan is intended to present a policy-oriented, long-term, intermodal vision of the state's transportation system over a 20-year period. This plan is developed by the department in cooperation with MPOs, transit agencies, ports and airports, and others who have an impact on the transportation system. Each of Connecticut's 10 MPOs must also submit a regional plan to the FHWA and FTA. These transportation plans are more project specific to the particular regions. LRPs must be reviewed and updated at least every three years to confirm their validity and consistency with current and forecasted transportation land use conditions and trends, and to extend the forecast period.
· Master Transportation Plan (MTP). The MTP is required by state statute (C.G.S. Sec. 13b-15). This plan is intended to, "provide the Administration, General Assembly, local elected officials, and members of the general public with an understanding of the projects and programs that the department will be pursuing over the next 10 years." It contains information on programmed and planned projects, significant accomplishments, and capital and operating financial data. The MTP must be submitted to the General Assembly every two years.
· Transportation Improvement Program (TIP). The TIP is required under federal law. This plan is a description of all transportation projects in a metropolitan area that are to receive federal funding over a three-year period. A TIP is developed by an MPO in cooperation with the state and public transit operators. The metropolitan plans must be included in the STIP, without modification, following approval by the governor.
· Statewide Transportation Improvement Program (STIP). The STIP is required under federal law. The STIP, developed by the department, is the statewide counterpart to the TIP. It is a complete list and description of all FHWA/FTA- funded projects that will be undertaken within the next three years for the entire state. STIPs must be submitted at least every two years to those two federal agencies for joint approval, although amendments can be submitted anytime.
In addition to the above plans, the department prepares a capital program as part of the normal state budget process involving the governor and the General Assembly. ConnDOT's capital budget requests describe the department's immediate plans for the next two years. The Transportation Committee is the primary oversight committee for transportation issues, while the subcommittees of the Appropriations and the Finance, Revenue, and Bonding committees oversee the fiscal aspects of transportation for the General Assembly. The Bond Commission has final approval and authorizes the release of capital funds approved by the General Assembly.
Planning Structure, Players, and Authority
In Connecticut, 15 regional entities called regional planning organizations (RPOs) are responsible for conducting transportation planning activities for specific geographic areas within the state in cooperation with the department. (There are two towns that are unaffiliated with any RPO, and the department conducts planning for those towns). A map of the planning regions is provided in Appendix C. Within each planning region, the constituent municipalities have voluntarily created either a regional council of governments (COG), a regional council of elected officials (CEO), or a regional planning agency (RPA).
As depicted in Figure II-3, RPOs can be further divided into large MPOs within Transportation Management Areas (TMAs), Metropolitan Planning Organizations, and Rural RPOs. The difference between these entities has to do with the population each represents and the authority they have in the project selection process granted in federal law and regulation. The key differences are defined and summarized in the figure.
Authority of TMAs. In theory, the distinction between the planning entities has to do with which has more authority to develop and guide a project. Generally, TMAs appear to have the ability to initiate and control a project funded under a certain stream of money (Surface Transportation Program - Urban) because they only need to consult with ConnDOT. The funds under this program are earmarked and must be spent in these regions.
Veto authority of TMAs, MPOs, and ConnDOT. Federal law also gives all MPOs and ConnDOT a mutual veto over projects. However, having veto authority is not the same as determining where funds will be spent. Projects identified in the regional Transportation Improvement Program developed by MPOs must be included in the Statewide Transportation Improvement Program without modification once approved by the MPO and the governor. The federal government will not fund a project unless it is in the Statewide Transportation Improvement Program. However, most federal funding sources, including the STP program, require a state or local match. This match is usually provided by ConnDOT and gives the department additional leverage in determining project selection. In addition, there is no formal mediation mechanism to work out any differences between the department and the regions. An MPO would be hard pressed to turn down any money or push an alternative proposal because ConnDOT could decide not to provide the match or decide to spend the money elsewhere in the state.
Planning Process
Figure II-4 illustrates the intent of federal law and regulation with regard to transportation planning. Federal regulations provide that metropolitan transportation planning should be carried out by the MPO in cooperation with the state and the local transit operator, who shall cooperatively determine their responsibilities in the planning process, the long range transportation plan, and the transportation improvement program. The development of the LRP and the TIP must also be coordinated with other providers of transportation (e.g., airports, rail freight operators).
Long-Range Plan. Generally speaking, the planning process begins with the Long Range Plan. Both ConnDOT and the regions develop their own LRPs. The department's plan is intended to provide overall policy direction for the entire state. Regional LRPs are coordinated with the state's plan by the department's Bureau of Policy and Planning. Projects from the regional LRPs are selected by ConnDOT's policy unit for inclusion in the state-mandated 10-year Master Transportation Plan.
Projects can by be proposed by any number of entities, including the state, a region, a municipality, or a designated Federal Transit Administration recipient. While there is variation in how each region operates, there are two general approaches to how the process begins:
- A need or deficiency is identified, studied, and a project is developed.
- New projects are solicited for specific funding programs. This approach is evident in certain STP programs (Urban and Enhancement), the local road accident reduction program, and the Local Bridge Program.
Needs are identified in a number of ways and with varying degrees of technical sophistication and involvement by the planning regions. For example, in a recent review of ConnDOT by the FHWA, 19 different project selection or related processes were found. Depending on the funding source and the type of funding, any number of entities within and outside the department can be involved. Nonetheless, at some point in each of the processes the RPOs must be involved because their approval is necessary before federal money is spent in their region.
Fiscal constraint. Because the federal government requires all plans be fiscally constrained -- that is planning must be based on an estimate of the funding that can reasonably be expected --the planning regions will receive an estimate from the department of anticipated funds in order to develop their 20-year LRP. An example of the last projected allocation is provided in Appendix D.
The department prepares this estimate for the planning regions based on a six-step process. Using the last planning cycle as an example, these steps are outlined in Table II-1.
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Table II-1. ConnDOT Process for Allocating Anticipated Funds for Long-Range Planning 1999-2019 |
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STEP |
CALCULATION |
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1. For example, the Q-Bridge project and related improvements in the South Central planning region represents about a $1 billion investment over the next 20 years, while the region's estimated allocation is about $1.3 billion 2 System Improvement - projects that enhance safety, improve mobility, increase system productivity, or promote economic growth. System Preservation - projects such as repaving roadways, bridge repair or replacement, and any other form of reconstruction in place Source: ConnDOT |
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Improvement projects. As indicated above, the department allocates 40 percent of its funding to improvement projects. While economic development and capacity projects are included in this category, so are a number of other types of projects such as safety and productivity. ConnDOT has not analyzed the projects further to determine how much has been spent in the area of economic development. While there are some examples of projects that could clearly fall into one or the other category, such as a bridge replacement with no capacity improvement, many do not. The department asserts it would be difficult to provide that type of analysis because it is not always possible to identify all projects that have an economic impact.
ConnDOT plans for maintenance. It is important to note for long-range planning purposes, the department is essentially doing most of the planning for the system preservation projects. The regions have less involvement with system preservation planning and tend to focus on system improvements.
Any significant system improvement projects come after a major study. The comprehensive regional assessment process through which needs are identified is described further below.
Mass transit capital improvements. ConnDOT works directly with the 14 active transit districts throughout the state to develop a 20-year Public Transportation Capital Management Plan. The districts are expected to coordinate their efforts with the MPOs. (Complicating that coordination is the fact the districts do not align with the MPO boundaries, as the map of the transit districts in Appendix E shows). The bulk of this funding is directed toward the replacement of rolling stock. Vehicle replacements are programmed according to Federal Transit Administration (FTA) guidelines. Each asset's condition, expected useful life, and replacement cost are determined. Funding needs are established and prioritized relative to the condition of the transit asset. Using the funding anticipated to be available, transit capital projects are programmed over a 20-year period. The overall results of this process are included in the public transportation portion of regional and statewide LRPs and TIPs.
Additional subsidy. The department has indicated that since expanded service requires an additional subsidy and current state and federal funding sources are fully utilized or programmed, it will not finance new or expanded services. Any region that proposes a new or expanded transit service must identify a new source of funding to cover additional operating expenses.
Rail freight. Improvements to the limited rail freight network in Connecticut are included in the state's LRP but are generally not eligible for federal funding. The department has a fairly limited role in rail freight. The department does not own or run any freight railroads. ConnDOT has three programs related to rail freight. They are:
Network problems. Rail freight is often cited as a potential option in relieving congestion by reducing truck traffic along the I-95 corridor. However, a number of issues make freight rail along the coast difficult, notably clearance problems on the line between New York City and New Haven and the lack of adequate rail connections over the Hudson. Those infrastructure problems in combination with the proximity of two major intermodal terminals -- a major rail yard in West Springfield and a major container port in New Jersey -- results in a significant percentage of goods shipped to or from Connecticut being handled at those facilities by truck. Consequently, annual rail shipments originating or terminating in Connecticut equal about 2 percent of all freight moved in Connecticut.
TIP and STIP. The regional TIPs evolve from the long-range plans -- it specifies the projects that will be funded over a three-year time frame. All of the regional TIPs will be integrated into a Statewide Transportation Improvement Program (STIP), along with projects located in the rural areas of the state, by ConnDOT's policy unit. Figure II-5 provides an overview of the TIP/STIP process.
Air quality. An important consideration in the planning process is the air quality conformity requirement. A conformity report is required by the federal Clean Air Act Amendments. It essentially certifies to the federal government that the projects in the STIP (and LRP) will "conform" to the State Implementation Plan for Air Quality (SIP). The SIP, required for "non-attainment areas" where certain types of pollutants do not meet federal standards, is a plan to reduce the emissions of volatile organic compounds, nitrogen oxides, and carbon monoxide. Most of Fairfield County is classified as a "severe non-attainment area," and the rest of the state is a "serious non-attainment area."
Actions of neighboring states. ConnDOT stays informed about other state developments through the exchange of various planning documents. The department does not perform any assessment of the impacts of transportation developments in other states. Except for the contract with the New York based Metropolitan Transit Authority to run Metro North, ConnDOT does not maintain any formal relationship with other state transportation planning agencies.
Corridor and Major Investment Studies
A planning tool that is becoming increasingly important in Connecticut is the major investment study (MIS) or corridor study. Solutions to transportation problems that result in significant projects are usually identified after a comprehensive regional assessment. These studies are initiated to promote a comprehensive understanding of a given transportation problem and facilitate viable and publicly acceptable projects.
These assessments are important because this is the point in the process where critical, large-scale, long-term changes can take place. There are several types of assessments. For large-scale capacity improvements, project selection usually occurs after or in conjunction with a corridor study, a major investment study, alternatives analysis, or an environmental study, such as an Environmental Impact Statement.
This outreach effort is different than in pre-ISTEA years (before 1991). Major investment studies refer to a specific kind of study required under ISTEA but no longer in TEA 21, although public input is still required. Prior to ISTEA, the department did not have advisory committees, but did meet with local officials and hold public meetings on proposed transportation improvements. An MIS and the other types of assessment now performed generally follow the same process.
As depicted in Figure II-6, requests to initiate studies for major improvements can come from within ConnDOT or external to the department. ConnDOT may base its decision to initiate a study based on an analysis of congestion, safety issues, and growth patterns within the state. Requests external to ConnDOT to initiate studies can come from the public, local governments, the governor, and the legislature. ConnDOT will schedule a study when it believes it is feasible and appropriate to do so. An RPO can also initiate a corridor study but depends on ConnDOT to provide matching dollars to fund the study.
Study process. The figure also illustrates the project identification and selection process. In typical corridor and MIS studies, the RPO, with the assistance of ConnDOT and usually a consultant, will conduct the following activities:
Projects are recommended at the regional level and then sent to ConnDOT for consideration. Not all MIS studies result in a unanimous or a single preferred option. The Bureau of Policy and Planning reviews the recommendations in coordination with other units and divisions of ConnDOT. For example, roadway and transit improvement recommendations from a single corridor study would be divided up and sent to the Bureau of Highways and the Bureau of Transit as appropriate. Each bureau is expected to prioritize the recommendations based on available funding and a combination of technical, political, and economic factors identified in Figure II-6. In some cases, multiple options will be forwarded to the next step -- the Environmental Impact Statement. It will, nonetheless, be the department that ultimately selects the preferred alternative, subject to RPO approval as described above.
The department has historically discouraged transit solutions to congestion in a corridor. This is still evidenced in a recent memo to RPOs advising them of their financial constraints in developing their LRP, and informing them that all operating funds for mass transit have been programmed and RPOs would have to identify new funding for any transit enhancements. One exception is the proposed busway between New Britain and Hartford identified above. However, while many observers acknowledge ConnDOT has become more responsive in many of its planning efforts, they also have indicated this busway selection is an exception. In addition, a source of funding for the estimated $5.7 million operating subsidy has not been identified.
Thus, the on-going operating costs of an alternative can affect the project selection process. The federal government's share of operating costs for mass transit has been reduced over the last several years. The Federal Transit Administration provides about $3 million in operating costs out of an estimated $125 million needed to currently support mass transit in Connecticut. ConnDOT provides nearly all the operating subsidy for local transit services.
As of January 2000, approximately 17 corridor studies have been initiated by eight different RPOs, and another five are pending initiation. Additional studies are expected in the near future. Eight of the 17 have been completed. ConnDOT estimates adequate funding will not be available to implement all of the recommended improvements.
Southwest Corridor Example
ConnDOT's approach to transportation issues in the Southwest corridor of the state provides an example of the limitations of the current planning process, including the funding, environmental, and community preference constraints. Appendix F presents an overview that briefly outlines the department's actions in this area as they relate to long-term planning. It is not an analysis or evaluation of all of ConnDOT's actions in addressing the problems in this corridor.