CALIFORNIA TRANSPORTATION LAW

Transcription

1 CALIFORNIA TRANSPORTATION LAW A guide to federal, state and regional requirements Jeremy G. March Solano Press Books Point Arena, California

2

3 The Book at a Glance CHAPTER ONE Government Agencies Involved in Transportation Planning and Programming...page 1 CHAPTER TWO Statewide Transportation Planning...page 57 CHAPTER THREE Regional Transportation Planning...page 71 CHAPTER FOUR Federal and State Sources of Funding...page 151 CHAPTER FIVE The State Transportation Improvement Program Federal and State Requirements...page 161 CHAPTER SIX Regional-Level Transportation: The Federal TIP and the RTIP...page 185 CHAPTER SEVEN Environmental Limitations and Requirements...page 203 CHAPTER EIGHT Civil Rights Requirements...page 287

4 Contents Preface xv About the author xviii Acknowledgments xviii About the book xix CHAPTER ONE Government Agencies Involved in Transportation Planning and Programming / 1 Federal Agencies United States Department of Transportation Administrations Within the DOT Federal Highway Administration Federal Transit Administration Federal Railroad Administration National Highway Traffic Safety Administration United States Coast Guard Maritime Administration Federal Aviation Administration Surface Transportation Board Bureau of Transportation Statistics Research and Special Programs Administration Office of Research, Technology, and Analysis Office of University Research and Education Volpe National Transportation Systems Center Office of Research Policy and Technology Transfer Office of Hazardous Materials Safety Office of Emergency Transportation Office of Pipeline Safety Saint Lawrence Seaway Development Corporation U.S. Environmental Protection Agency Office of Air and Radiation State Agencies Business, Transportation and Housing Agency California Department of Transportation Department of Motor Vehicles New Motor Vehicle Board California Highway Patrol Office of Traffic Safety Stephen P. Teale Data Center California Transportation Commission State Highway Operation and Protection Program Prop. 116 Rail Program Environmental Enhancement and Mitigation Program Prop. 116 Bicycle, Ferry, and Rural Transit Programs Toll Bridge Program Aeronautics Program California Aviation Systems Plan Program Guidelines Allocating Funds Other Project-Specific Responsibilities Reports to Legislature and Governor Regarding Implementation Advice to the Legislature and Governor Regarding Transportation Policy California Environmental Protection Agency California Air Resources Board Overview of CARB mandates Motor vehicle controls Cleaner fuels Toxic air contaminants Air quality plans Air quality monitoring Emissions inventory and modeling Research Air quality standards Enforcement Air districts California Public Utilities Commission Executive Division Legal Division Administrative Law Judges Division of Strategic Planning Energy Division Rail Safety and Carriers Division Consumer Services Division Office of Ratepayer Advocates Public Advisor s Office Information and Management Services Division Resources Agency of California Energy Resources Conservation and Development Commission Department of Boating and Waterways California Boating and Waterways Commission ( Cal Boating ) California Coastal Commission California Coastal Conservancy California Maritime Academy Board of Pilot Commissioners Bureau of Automotive Repair Off-Highway Motor Vehicle Recreation Commission Metropolitan Planning Organizations Other Regional Agencies Tahoe Regional Planning Agency Southern California Regional Rail Authority

5 Transportation Planning Agencies/ Local Transportation Commissions Government Code Section : TPAs in Northern California Government Code Section 29532: TPAs in Other Areas of the State Caution. In the SCAG Region, a TPA for Purposes of Regional Transportation Planning May Not Be the Only TPA for Other Purposes County Transportation Commissions Congestion Management Agencies City and Local Transportation Agencies Native American Tribal Governments CHAPTER TWO Statewide Transportation Planning / 57 Federal Requirements General Overview of the Statewide Planning Process Coordination with the Metropolitan Planning Process and the State Implementation (Air Quality) Plan Scope of the Statewide Planning Process: Factors to Be Considered Factors not subject to judicial review Additional TEA-21 factors to be considered Federal regulations Further requirements relating to coordination and outreach Federal regulations mandating public involvement Funding Available for Statewide Transportation Plan and Improvement Program Treatment of State Laws as Congestion Management Systems Statewide Transportation Plan Not Subject to NEPA Review Study Regarding Effectiveness of Participation of Local Elected Officials in Planning and Programming The Statewide Transportation Plan: Purpose and Content Cooperation and Involvement of Interested Parties In metropolitan areas In areas under Indian tribal jurisdiction In all areas Substance and Content Requirements and Other Provisions Statewide planning regulations Financial plan and illustrative list (optional) Other Procedural Requirements Establishment of Statewide Transportation Plan Continual Evaluation and Update State Requirements for the California Transportation Plan General Provisions Statewide Transportation Planning Must Be an Integrated Process The Sad History of the California Transportation Plan Transportation Blueprint for the 21st Century: A More Successful Model for Statewide, Long-Range Transportation Planning Elements of the California Transportation Plan Policy Element Goals of the Plan Role of the State in Transportation State Policies Regarding Congestion Management.. 69 The problem General state policies for congestion management Strategies Element The California Transportation Plan Is Not Meant to Be Project-Specific Recommendations Element Adoption of the Plan by the Governor CHAPTER THREE Regional Transportation Planning / 71 Introduction Federal Requirements TEA-21, ISTEA, and the Federal Transit Act: The Metropolitan Transportation Planning and Programming Process Overview Designation and Redesignation of the Metropolitan Planning Organization Procedure for designation Structure of MPO board Limits on construction of authority Continuing designation of MPOs Redesignation Designation of more than one MPO Metropolitan Planning Area Boundaries Generally Included area Existing metropolitan planning areas in air quality nonattainment New metropolitan planning areas in air quality nonattainment Transportation Management Areas Designation Transportation plans and programs in a TMA Congestion management systems Selection of projects Certification of planning process in TMAs Coordination in Multistate Areas Interstate compacts Interagency consultation In the Lake Tahoe region Recipients of Other Assistance Coordination of MPOs In nonattainment areas Project located in multiple MPOs Scope of the Planning Process: Planning Process Factors in TEA

6 The Long-Range Transportation Plan: Development and Content Requirements in TEA Some process requirements Abbreviated Plans and Programs for Certain Areas.. 89 Transfer of Funds Additional Requirements for Certain Nonattainment Areas Limits on Statutory Construction Funding Provisions found in 23 U.S.C. section 134 Some provisions found in 49 U.S.C. section 5303 Participation of Private Enterprise in the Planning Process Better Use of Equipment Metropolitan Planning Process Not Subject to NEPA Review Metropolitan Planning Requirements in the Code of Federal Regulations Purpose of the Regulations Applicability MPO Designation Designation must clearly identify policy body Prior establishment of MPO preferred Redesignation of MPO MPOs may use staff resources from other agencies Continuing designation Requirements for redesignation in multistate area Requirements for redesignation of MPO covering more than one urbanized area Composition of MPO s voting membership Metropolitan Planning Area Boundaries Where an air quality nonattainment or maintenance area extends beyond the boundaries of the metropolitan planning area Establishment of metropolitan planning areas for new urbanized areas Approval of metropolitan planning area boundaries Agreements Between the MPO and Other Agencies.. 95 Between MPO and state Between MPO and public transit operators Agreement between MPO and designated air quality agency Above agreements should, if possible, be consolidated Alternate forms for agreements Where metropolitan planning area does not include all of an air quality nonattainment or maintenance area Agreement where multiple MPOs serve a metropolitan planning area, nonattainment area, or maintenance area Responsibilities, Cooperation, and Coordination in the Metropolitan Transportation Planning Process.. 96 Approval of plan and TIP Coordination of transportation plan development with SIP development MPO cannot approve any plan or program not in conformity with SIP Where more than one MPO has authority in a metropolitan planning area Designation of transportation management areas Cooperative development of management systems Involvement of state in development of plans Involvement of Indian tribes and related federal agencies Development of the Unified Planning Work Program Combining work programs Prospectus Simplified work statements in non-tmas Elements of the Metropolitan Transportation Planning Process Planning factors Public involvement Major Metropolitan Transportation Investments and Studies Relation of the Transportation Planning Process to Management Systems Restrictions on federal funds Development of CMSs in TMAs CMS effectiveness must be periodically evaluated The Long-Range Transportation Plan Specific content requirements Opportunity for comment on plan Air quality conformity determinations Copies of plan must be sent to FHWA and FTA Certification of the Metropolitan Planning Process Review by FHWA and FTA State Law Requirements: The Regional Transportation Plan Generally Who Prepares the RTP? Generally, it s the designated TPA Redesignation of a TPA, once RTP preparation has begun, is difficult Caltrans can prepare an RTP in areas where the TPA is a local transportation commission In SCAG region: State law specifies that it is prepared by multicounty designated TPA (namely, the Southern California Association of Governments) TPAs not choosing to prepare the initial RTP in their area still have a chance to prepare the updated ones Purposes of the RTP The Regional Planning Process Public Involvement Coordination ISTEA requirements The NEPA/404 memorandum of understanding Coordination with air quality planning Use of Caltrans system planning Planning Assumptions and Forecasts Identify and articulate assumptions Technical considerations Planning Analysis Generally: Plan on a corridor, subregional, or regional scale Regional Transportation Plan Content Content and Purpose Elements of RTP Executive Summary (optional) Needs assessment (optional) Policy element Goals, policies, and objectives Action element Incorporation of congestion management programs Trip reduction plan Regional agency review of CMPs Monitoring implementation of the CMP Deficiency plan Financial element Environmental documentation Supplemental information Evaluation of RTP Scope of Evaluation Actions by Caltrans

7 Adoption and Submittal of the RTP to State Agencies Public Hearing Required Before Adoption Site-Specific Statutes and Requirements Regional Transportation Planning Process in the MTC Region Factors to be considered Content of plan Estimate of need and schedule of priorities Adoption and continuous revision of RTP Allocation of funds by the California Transportation Commission MTC role as Bay Area Toll Authority Regional Transportation Planning Process in the SCAG Region Additional factors to be considered in planning process SCAG must convene meetings of Caltrans, county transportation commissions to discuss RTP and other transportation issues Commissions may work through SCAG to develop agreements regarding development of facilities, provision of services Cooperative resolution of conflicts Counties are responsible for short-range capital and service planning Counties develop long-range expenditure plans Counties develop short-range recommended TIPs and submit them to SCAG County transportation commissions in SCAG region must recommend candidate projects for regional improvement funds (musn t they?) CHAPTER FOUR Federal and State Sources of Funding / 151 Introduction Major Federal Sources of Funding Surface Transportation Program Funds National Highway System Funds Interstate Maintenance Program Highway Bridge Replacement and Rehabilitation Program Transportation Enhancements Mitigation and Air Quality Improvement Program Federal Lands Highways Program High Priority (Demonstration) Projects Program Job Access and Reverse Commute Grants Clean Fuels Formula Grant Program Urbanized Area Formula Grants Program Formula Grants for Other than Urbanized Areas Transit Capital Investment Grants and Loans Program Transportation Infrastructure Finance and Innovation Act State Infrastructure Bank Program State Transportation Funding Introduction General Overview of the State Transportation Funding System: The Prism Metaphor Taxes and Fees Used to Fund the State Transportation System Accounts in the Transportation Tax Fund Motor Vehicle Fuel Account established pursuant to Revenue and Taxation Code section 8351 Highway Users Tax Account, established pursuant to section 2100 of the Streets and Highways Code Motor Vehicle License Fee Account Transportation Tax Fund State Highway Account Public Transportation Account established pursuant to section et seq. of the Public Utilities Code Motor Vehicle Account Aeronautics Account Bicycle Transportation Account, established under section of the Streets and Highways Code Ridesharing Vanpool Revolving Loan and Grant Fund Environmental Enhancement and Mitigation Demonstration Fund, established under section of the Streets and Highways Code Toll Bridge Seismic Retrofit Account Local Funding Sources Local Transportation Fund Other Local Funds Developer Fees Vehicle Registration Fees Local Option Sales Tax CHAPTER FIVE The State Transportation Improvement Program Federal and State Requirements / 161 Federal Requirements: ISTEA Generally Partial STIP Can Be Developed in Case of Difficulties Rules Regarding STIP Portion for Metropolitan Area State Must Provide MPOs with Estimates Regarding Funds Metropolitan TIPs Must Be Included, Unchanged, in STIP Conformity (Air Quality) Issues Notification of Affected Agencies Same Public Participation Requirements as for Preparation of Statewide Transportation Plan Included Projects Generally Projects Concerning Highways Other Than Federal-Aid Highways Consistency with Long-Range Transportation Plan and TIP and State Air Quality Plan Availability of Anticipated Full Funding Must Be Shown Financial Plan May Be Included for Projects Optional, non-binding, illustrative list of further projects Must Reflect Title 23 Priorities

8 Project Selection for Areas of Less Than 50,000 Population Biennial Review and Approval Modifications to Project Priorities Other Content and Substantive Requirements Grouping of Projects Moving of Projects from One Year to Another Amendment of the STIP Funding STIP Approvals; Certifications Regarding the Entire Planning Process Generally Certification of the Statewide Planning and Programming Process Review of the STIP vis-à-vis the Planning Process Approval of the STIP Length of Joint Approval Period Decision Not to Approve the STIP Notification Approval of Operating Assistance Outside the STIP Project Selection for Implementation Generally Selection of Projects in Metropolitan Areas Subject to Metropolitan Planning Project Selection Criteria Selection Outside Metropolitan Areas Projects in First Year of STIP as an Agreed-To List State Requirements Some Important State Statutory Provisions Regarding the Purpose, Procedure, Content, and Financial Aspects of the STIP Purpose Procedure and Timeline Content Capital improvement projects Specifications for each project Limitation of projects included in STIP Inclusion of interregional improvement projects suggested by RTPAs and county transportation commissions Funding Issues More than one category of funds may be used No matching funds required for STIP projects Overview of the STIP Process Fund Estimate Proposed STIP RTIPs Report Comparing Previous STIP with PSTIP, RTIPs, and Rural Comments Adoption of STIP Appeals Commission Estimates of Available Funds Statutory Law: Government Code Section State Regulations Development and submittal of the estimate Other contents of the fund estimate Adoption of fund estimate by commission The Proposed State TIP Consistency with Fund Estimate Summary of Capital Outlays Geographic Project Listing Project listings content, priority rankings, and submission of project differences set forth in 21 C.C.R. section 8118 P 21 C.C.R. section 8119: Subprogram designations Project Information Must Accompany PSTIP Priorities to Be Considered in PSTIP Consistency with State Urban Strategy Report on Coordination with Other Plans and Programs Other Necessary Information Development of Forecast for Local Funding Levels (Nonmetropolitan Areas) Other Information Needed for FTIP Purposes Project Status Report and Comparison Report Caltrans Report Regarding Status of Projects in STIP or Candidates for Future STIPs Comparison Report Other Reports Commission Review and STIP Adoption Meetings with Nonmetropolitan RTPAs Submission of Metropolitan TIP for Inclusion in STIP Public Hearings Regarding RTIPs and PSTIP Identification of Criteria Commission Staff Recommendations Deviation from, or Rejection of, an RTIP Findings Regarding Funding of Certain Projects Criteria for Evaluation of Transit Guideway Projects Criteria for Evaluation of Airport Projects Consistency with State Urban Strategy and with SIP Listing of Projects Other Requirements: Section 105 Program Consensus Regarding Inclusion of State Highway Projects STIP Appeals and Amendments Generally Contents of Appeal Commission s Consideration and Disposition of Appeals RTIP Amendments Amendments to Adopted STIP, Other Than Those Resulting from the Appeals Substitutes for Aeronautics Projects Demonstration That Aeronautics Project Will Be Undertaken TRANSPORTATION LAW IN CALIFORNIA

9 Reprogramming STIP Prohibited STIP Not Subject to CEQA STIP Guidelines CHAPTER SIX Regional-Level Transportation: The Federal TIP and the RTIP / 185 Introduction The Federal TIP: Requirements in ISTEA, the Federal Transit Act, and Accompanying Regulations General Principles and Development Development as Part of Metropolitan Planning Process Cycle for Development Must Be Consistent with STIP Cycle Length of TIP Priority of Projects Development of the Financial Plan Who Is Involved What Can Be Included? Selection of Projects Statutory Requirements Project selection in transportation management areas Projects on the NHS or part of bridge or interstate maintenance programs Projects that are not part of NHS or bridge and interstate maintenance programs Projects of the NHS or bridge and interstate maintenance programs Regulatory Requirements In areas that are TMAs and for which TIPs have not been developed or approved Areas that are TMAs and for which TIPs have not been developed or approved Where a TIP has been approved Projects not in STIP are ineligible for certain federal funding Priority to timely implementation of TCMs in nonattainment/maintenance areas Included Projects Federal Regulatory Requirements Detailed Descriptions of Included Projects Grouping of Certain Projects Other Funding Considerations Distributions Between Urbanized Areas of Over 200,000 Population Limits on Total Federal Share Agreements to Distribute Funds Generally Cannot Be Used Inclusion of Projects Funded under Section 3 of the Federal Transit Act Role of TIP in Managing and Monitoring Implementation of the RTP Notice and Comment Publication of TIP and Annual Listing of Projects Approval of Operating Assistance in the Absence of a TIP Modification of the TIP Inclusion of TIP (Without Modification) In the STIP; Notification of Federal Agencies Action by FHWA and FTA Major Universal State Requirements Preparation and Essential Contents Basic Requirement Who Prepares the RTIP? Time Frames for Preparation, Submittal, and Updates Plans and Programs to Be Considered During Preparation of RTIP Consistency with RTP Consistency with SIP Consistency with Fund Estimate Geographic Scope Contents Incorporation of congestion management programs Projects not in a congestion management program Transit projects connected with high-density residential development Projects adopted under Government Code section 65082(a) Other projects Projects to be funded with regional improvement funds Project recommendations Comments on PSTIP Major projects: Cost information Milestone delivery dates must remain unaltered Project study reports needed May include reserve of county shares for fund-matching Regulatory content requirements Financial Considerations: Available Funds Submission Commission s State Law Power to Alter or Entirely Reject RTIP Power of California Transportation Commission to make changes to RTIP Power of California Transportation Commission to reject RTIP in its entirety What do these sections enable the California Transportation Commission to do to RTIPs? The scalpel and the ax Submission of Rural RTPA s Comments to Commission Appeals from Commission Decisions Regarding STIP Site-Specific State Laws and Regulations Special Arrangement in the SCAG Region Designation of SCAG Creation of County Transportation Commissions Transportation Improvement Programs Prepared by County Transportation Commissions (Southern California Only) Short-range TIPs Discussions Between SCAG, County Transportation Commissions, and Caltrans Metropolitan Transportation Commission Region (San Francisco Bay Area) Coordinated Applications for Governmental Funds

10 San Diego Association of Governments Region RTIP Must Include Information from Metropolitan Transit Development Board s TIP Consistency with Regional Comprehensive Plan CHAPTER SEVEN Environmental Limitations and Requirements / 203 Introduction Transportation-Related Air Quality Requirements Basic Terms and Concepts Transportation Control Measures and Their Role in Federal and State Air Quality Plans The State Implementation Plan Development of the SIP; Role of MPO The federal attainment and maintenance plans and the SIP Air Quality Management Plans What, Exactly, Is a Transportation Control Measure? Definition Non-Exhaustive List of TCMs in Section Other Basic Federal Criteria Applicable to TCMs General characteristics TCMs in serious, severe, and extreme nonattainment areas must have certain impact on emissions Transportation Conformity General Principle of Transportation Conformity: No Federal or MPO Approval of Actions That Do Not Conform to Implementation Plan Criteria for Transportation Conformity to Implementation Plan Conformity Determination Must Utilize Demographics from MPO SIP Itself Must Ensure Conformity Categories of Activities Subject to Conformity Analyses Implementation of Transportation Provisions Restrictions on transportation-related actions of MPOs Criteria and procedures for determining conformity of transportation plans, programs, and projects Content of transportation plans with respect to conformity Conformity of General Federal Actions What is a federal action? Conformity determination must be based on estimates most recently approved by the MPO Federal agency must report proposed and final conformity determination to the MPO Environmental Review Under the National Environmental Policy Act Purpose of NEPA Overview of the NEPA Process Step 1: Is the Proposed Action Subject to NEPA? Is it a proposal for federal legislative or other major action? Does it fall within a categorical exclusion? Is the activity exempt from NEPA? Step 2: Would the Proposed Action Significantly Affect the Quality of the Human Environment? Step 3: Prepare and Certify Environmental Impact Statement Environmental Review Under the California Environmental Quality Act Nature and Purpose of CEQA Applicability of CEQA Three-Step Process for Determining Applicability of CEQA and Reports That Must Be Made Is the Project Subject to CEQA? What is a project? Notice of exemption: Purpose and contents Statute of Limitations If the Project Is Subject to CEQA, Will It Have a Significant Effect on the Environment? The Initial Study and the Negative Declaration Initial study The purpose of an initial study Contents of an initial study Format Submission of supporting data Consultation How to determine if the project has a significant effect on the environment Where Project Has a Significant Effect: The Environmental Impact Report Scope Economic and social effects of the project Organizations and persons consulted in preparing the EIR Content requirements of a Final EIR Means of Avoiding Unnecessary Duplication When Preparing EIRs and Environmental Documents: Tiering under CEQA CHAPTER EIGHT Civil Rights Requirements / 287 Introduction Title VI of the Civil Rights Act of 1964 and the Environmental Justice Strategy Related Regulations and Assurances Environmental Justice Requirements: Executive Order 12,898 and Related DOT Regulations Disadvantaged Business Enterprise Requirements DOT Policy Regarding Disadvantaged Business Enterprises Terminology The Adarand Decision: Racial Classifications, Including Those in DBE Requirements, Must Be Subject to Strict Scrutiny Equal Employment Opportunity Requirements for Grant Recipients The Americans with Disabilities Act and Accompanying Regulations TRANSPORTATION LAW IN CALIFORNIA

11 APPENDICES / 293 A B C D E F G H I J California Constitution Article 19 Motor Vehicle Revenues Major Federal Statutes and Regulations Concerning Statewide and Regional Transportation Planning and Programming Major State Statutes and Regulations Concerning Statewide and Regional Transportation Planning and Programming Regional Transportation Plan Guidelines Issued by the California Transportation Commission State Transportation Improvement Guidelines Issued by the California Transportation Commission Major Federal Statutory and Regulatory Provisions Concerning Air Quality Conformity Checklist of Mandatory Federal and State Requirements Concerning Public Outreach Executive Order 12,898 Concerning Environmental Justice and Accompanying Department of Transportation Regulations How to Use the Internet: Finding Whatever You Want Including Federal and State Statutory, Legislative, and Regulatory Materials Understanding the Language Used in Statutes, Bills, and Regulations Notes Glossary List of Acronyms Suggested Reading Index

12