Pennsylvania Community Transportation Initiative (PCTI) 2010 Program Guide

Pennsylvania Community Transportation Initiative (PCTI) 2010 Program Guide PA Department of Transportation Center for Program Development and Management (07/14/2010) 400 North Street - 6 th Floor Harrisburg PA 17120 Phone: 717.787.2862 Fax: 717.787.5247 www.dot.state.pa.us 1

TABLE OF CONTENT What is the Pennsylvania Community Transportation Initiative 3 What is Smart Transportation? 3 Who May Apply? 4 Eligible Activities 4 Implementation 7 Bidding and Use of Consultants 7 Application Instructions 13 Appendix A: PCTI 2010 Application (Informational Use Only) 23 Appendix B: Frequently Asked Questions 25 Appendix C: PennDOT District, MPO, and RPO Directory 29 2

WHAT IS THE PENNSYLVANIA COMMUNITY TRANSPORTATION INITIATIVE? The Pennsylvania Community Transportation Initiative (PCTI) is a program designed to advance Smart Transportation by incentivizing collaborative decision-making, emphasizing regional, multi-municipal, and multi-agency cooperation, as well as advancing integrated land use and transportation decisions. Linking transportation requires a strong partnership between the Pennsylvania Department of Transportation (PennDOT), Metropolitan Planning Organizations (MPO)/Rural Planning Organizations (RPO), counties and municipalities. To support the second round of PCTI, PennDOT has set aside $12 million in each of the first two years of the 2011 Transportation Improvement Program (TIP). This program utilizes 100% federal transportation funds. All projects must meet applicable state and federal guidelines, eligibility, and regulations. Both planning and construction proposals are eligible to receive the PCTI funds. Requests for planning proposals may not exceed $300,000 and construction proposals may not exceed $1,500,000, including construction inspection. WHAT IS SMART TRANSPORTATION? Smart Transportation is partnering to build great communities for future generations of Pennsylvanians by linking transportation investments and land use planning and decision making. The Smart Transportation initiative emphasizes allocating money to highyield and high value projects, investing in existing communities and infrastructure, mixed use and more compact development, and linking them to a variety of transportation options. PennDOT aims to partner with local governments in order to influence land use to complement these goals. Transportation professionals have advanced innovative solutions to transportation problems. Unfortunately, too many transportation projects in the past were developed following very exacting criteria, which was generally applied regardless of the community context. This produced many textbook style engineering solutions, drastically altering the community character, by affecting a larger footprint than necessary to address the original problem. This view of transportation problems and solutions represents the challenge that exists in how we think about transportation in our communities. 3

Smart Transportation solutions emphasize the tenets of Context Sensitive Solutions (CSS). CSS is an antidote to the one size fits all approach. It requires that all transportation projects be planned and designed with careful consideration of the local land use, economic, environmental, and social contexts. As such, CSS emphasizes a collaborative and multidisciplinary approach, early and continuous engagement of stakeholders, flexibility in design, and minimizing the impacts of projects to the community. For more information visit the Smart Transportation Website: http://www.smart-transportation.com/ WHO MAY APPLY? The following are eligible to apply for the PCTI program: Municipalities Counties Metropolitan and Rural Planning Organizations (MPO/RPO) Transit Agencies Educational institutions (Universities, Colleges, School Districts) Transportation Management Associations Other Public Bodies All applicants must have a Federal Tax ID# to receive PCTI funding. Federal Tax ID # may be obtained from the IRS at http://www.irs.gov/businesses/small/article/0,,id=102767,00.html Although it is not a requirement, non-governmental sponsors are encouraged to work through a municipal or county governmental entity. ELIGIBLE ACTIVITIES Plans including integrated transportation and land use for districts and corridors, regulatory and policy development, feasibility studies, and all phases of project delivery including Preliminary Engineering, Final Design, Right-of-Way/Easement Acquisition, Utility, and Construction are eligible for the PCTI funds provided they meet one or more of the Smart Transportation Themes (Smart Transportation Website: http://www.smarttransportation.com/ ) and are eligible for federal funding (CFR Title 23). 4

Smart Transportation Themes Money Counts: All DOTs are currently operating in a hugely challenging financial environment. Cost inflation has been rampant, sharply eroding PennDOT s purchasing power. Meanwhile, high gas prices are resulting in people driving less for the first time since the 1970s leading to lower gas tax revenue, transportation s primary funding source. Smart Transportation provides us with an innovative approach to these challenges so that we can continue providing great service to the Commonwealth s residents. Leverage and preserve existing investments: Previous generations of Pennsylvanians have made enormous investments in infrastructure. Those investments can be seen all over the Commonwealth, from old stone arch bridges to the cobblestone streets surrounding Independence Hall. As one of the oldest states in the nation, Pennsylvania has spent billions over the past 300 years building roads and highways, rail lines and runways, canals and ports. Smart Transportation asks us to place an emphasis on leveraging and preserving these existing investments when creating our programs. Choose projects with high value/price ratio: Big, complicated projects are often considerably more expensive and have more damaging impacts, but may offer only limited increases in value over the smaller-scale and less expensive options. For instance, if a large potential solution costs $50 million more than a simpler alternative, but only results in 15 seconds less travel time delay through a corridor, is it worth the added cost? Safety always and maybe safety only: Safety for all users remains the most important consideration in planning and building our transportation system. Smart Transportation does not change this focus, but simply asks us to look for more innovative ways to continue improving our safety record. Look beyond level-of-service: Conventional traffic performance measures, such as level-of-service (LOS), have dominated how we evaluate transportation problems and solutions; we should also begin considering other performance measures to evaluate project need and potential alternatives. These measures may include things like travel time, multi-modal access, or the economic development opportunities certain alternative might bring (or inhibit). 5

Accommodate all modes of travel: An efficient transportation system should consider the infrastructure necessary to support all modes of travel, including walking, bicycling, transit, and private automobiles. This is especially important in an era when many of our families are spending 30% or more of their income on transportation. Enhance local network: Disconnected, sparse local street networks inevitably lead to significant strains on state roads. A highly connected local network, which provides residents a variety of route options for their daily needs, is necessary for state facilities to function as designed. Build towns not sprawl: Transportation strongly influences existing and future land uses and the character of local communities. Smart Transportation asks us to consider the impacts of our transportation decisions. Will they help create great places for people to live, or will they encourage sprawl? Will they help a municipality achieve their economic development goals? Does the project fit into the vision of the community? Understand the context; plan and design within the context: Contextsensitive solutions (CSS) has been a part of the Department s vernacular for many years. CSS is an antidote to the one size fits all approach. It requires that all transportation projects be planned and designed with careful consideration of the local land use, economic, environmental, and social contexts. Develop local governments as strong land use partners: PennDOT does not have the jurisdiction to make land use decisions: we must partner with local governments to ensure that transportation solutions are consistent with a community s land use goals, and that municipalities make land use decisions that take into account corresponding transportation needs and realities. 6

IMPLEMENTATION One of the major goals of PCTI is to provide timely demonstration projects for PennDOT, municipalities, and planning partners to learn about the Smart Transportation themes and principles and how they can be creatively applied to current and future projects. The program is therefore prioritizing applications that can be implemented quickly and fully constructed within reasonable time frame and at a reasonable cost. The proposal should be ready to start or let within a year and have sufficient financial support to be fully implemented as described. In order to meet this criteria, funds should be obligated (form D-4232 has been authorized) by 6/30/2012 and be bid by 8/12/2012. If the 8/12/2012 bid date is not met, applicants will not receive PCTI funds and may be responsible for reimbursing federal funds expended on the project to date. Obligation is the Federal government's legal commitment (promise) to pay or reimburse the States or other entities for the Federal share of a project's eligible costs. A bid is the offer of a bidder, using either a compact disc or the internet, to construct the project, at the prices bid or predetermined. BIDDING AND USE OF CONSULTANTS Local Project Sponsors generally work with a variety of organizations and individuals such as local planning organizations, county officials, PennDOT, and elected officials to put forward projects for consideration. A good place to start investigating the applicability of a project for consideration as a PennDOT local project is the PennDOT District Office. The District Office has project staff who will provide guidance and information about getting started. PennDOT will make available a designated District Project Coordinator or Project Manager to work with the Local Project Sponsor. See Appendix C for PennDOT Engineering District Contacts. In addition, local projects involving federal or state funding are established through inclusion in PennDOT planning and programming mechanisms. Coordination with your local Metropolitan/Rural Planning Organization is necessary for initial steps to begin the process. 7

All local projects are managed by the Local Project Sponsor, which often is the governing municipality. The Local Project Sponsor is responsible for securing a consultant, managing the design process, and addressing the Utilities, Right-of-Way, and environmental requirements. PennDOT is responsible for verifying that the Local Project Sponsor has complied with federal and state regulations and that federal and state funds are available and eligible for reimbursements. When PennDOT bids a local project on behalf of the Local Project Sponsor, all contractual arrangements remain between the sponsor and the low bidder. In all projects, PennDOT provides a District Project Coordinator or Project Manager representing the Department who will provide an oversight role and serve as the primary Department contact. All project sponsors MUST become ECMS business partners. It is important to note that eligibility to receive federal funds depends upon compliance with federal and state laws and regulations. The designated District Project Coordinator or Project Manager can provide advice on the necessary steps. Close coordination with the PennDOT designated District Project Coordinator or Project Manager is necessary throughout the life of the project and, in particular, before the local sponsor takes any actions to start the project. Failure to adhere to the required procedures may be a violation of both federal and state laws and regulations, may jeopardize the eligibility of the project for federal and state funding reimbursements, and will most likely introduce unwanted delay. Written federal authorization, in the form of an approved Form D-4232 (Request for Authorization of Federal Funds), must be secured prior to starting any work for which federal funding is requested. Form D-4232 is the mechanism by which the Federal Highway Administration (FHWA) authorizes spending of the federal funds and establishes the date of eligibility for funding project activities. PennDOT staff will prepare the necessary fiscal documents to secure the federal authorization of funding. 8

Before receipt of the federal authorization of a future phase, prior phase approvals must be secured. The designated District Project Coordinator or Project Manager will provide guidance to the Local Project Sponsor for drafting the necessary legal agreements. Such agreements will detail services that may be required from sources other than the sponsor and include fiscal reimbursement terms and forms. Failure to comply with the agreement terms will jeopardize the federal funds for the project. For federally funded design projects, PennDOT will assist the Local Project Sponsor in preparing an engineering agreement between the Local Project Sponsor and its consultant. Typically, a third-party federal-aid agreement is used. This agreement is a contract between a consultant and a Local Project Sponsor receiving federal funds through a reimbursement agreement with the Department. In addition to the approval for federal funding, both an engineering agreement with the engineering consultant and a reimbursement agreement with PennDOT must be executed by the Local Project Sponsor. A local project reimbursement agreement must be executed prior to commencing any phase of the project (e.g., Preliminary Engineering, Final Design, Right-of-Way Acquisition, Grade Crossing Coordination, Utility Relocation, Construction activities) that is funded with federal and/or state funds. This agreement is required to document the conditions for payment of work completed on the project. The PennDOT District Office will prepare the local project reimbursement agreement for the Preliminary Engineering, Final Design, Right-of-Way, Grade Crossing, Utilities, and Construction phases for both federal and non-federal projects. The designated District Project Coordinator or Project Manager has Department approved reimbursement agreement templates that will be used in the development of all new reimbursement agreements. The approved templates facilitate a more efficient review process. 9

The following guidelines may be used in preparing the agreement: Only those phases included in the current TIP will be covered. The standard reimbursement agreement template will be used for this agreement. Disadvantaged Business Enterprise (DBE) participation requirements must be consistent with Publication 93, Procedures for the Administration of Consultant Agreements, Chapter 6, Administering Third Party Federal-Aid Agreements. As appropriate, consult Publication 541, Local Bridge Program Delivery Guide. Costs for each phase will be limited to the amount approved in the TIP. The project reimbursement agreement must be prepared, fully executed and approved prior to initiating any reimbursable (federalaid) activities. Discuss the timing for execution and approval with the designated District Project Coordinator or Project Manager. The PennDOT District Office will obtain the appropriate sponsor s signatures on the project reimbursement agreement and then submit the agreement to the Department s Central Office (Office of Chief Counsel) for PennDOT execution and legal and fiscal approvals. A resolution from the Local Project Sponsor is also required for the Department to execute the reimbursement agreement. The resolution must authorize the appropriate officials to sign and attest the reimbursement agreement. Current policy requires that agreements be forwarded to the Central Office within 60 days after the Local Project Sponsor signs the agreement. The processing time for this agreement may take from 2 to 6 months and typically requires 90 days for execution. If applicants are requesting funds for Preliminary Engineering and Construction all funds for each project phase need to be obligated (form D- 4232 has been authorized) by 6/30/2012 and be bid by 8/12/2012 to meet the criteria. In accordance with Commonwealth Management Directive 310.30, issued May 24, 2007, relating to the Pennsylvania Electronic Payment Program and the establishment of the Automated Clearing House Network ( ACH ) as the Commonwealth s preferred method of payment, the following provisions are hereby added to the Agreement: 10

The Department will make payments to the Sponsor through ACH. Within 10 days of executing this Agreement, the Sponsor must submit or must have already submitted its ACH information on a ACH enrollment form (obtained at www.vendorregistration.state.pa.us/cvmu/paper/forms/ach- EFTenrollmentform.pdf) to the Commonwealth s Central Vendor Management Unit at 717-214-0140 (FAX) or by mail to the Central Vendor Management Unit, Bureau of Financial Management, Verizon Tower 6 th Floor, 303 Walnut Street, Harrisburg, PA 17101-1830. The Sponsor must submit a unique invoice number with each invoice submitted. The unique invoice number will be listed on the Commonwealth of Pennsylvania s ACH remittance advice to enable the Sponsor to properly apply the state agency s payment to the respective invoice or program. It is the responsibility of the Sponsor to ensure that the ACH information contained in the Commonwealth s Central Vendor Master File is accurate and complete. Failure to maintain accurate and complete information may result in delays in payments. Because federal funding will be used for all or a portion of federal/local or federal/state/local projects, it will be the responsibility of the Local Project Sponsor, its professional consultant(s), and contractor(s) to maintain all appropriate records for possible review by state or federal auditors. These records will include, but are not limited to: Project plans Financial documents Meeting minutes Consultant selection documents Project scoping notes Environmental clearance document (CEE) Right-of-way and utility clearances Construction bidding documentation Project-related correspondence Accounting records Supporting cost proposals Employee time records Payroll records Invoice documentation support for all work in all project phases 11

These records must be retained for a period of three years from the date of submission of the final voucher to the FHWA. The Local Project Sponsor agrees to satisfy the audit requirements contained in the federal Single Audit Act of 1984 (31U.S.C.Section 7501 et seq.). Failure to comply with federal procedures could result in loss or repayment of federal funds. However, the retention requirements for right-of-way records differ. Rightof-way records for claims in litigation must be maintained as long as the litigation is pending. They then must be retained for 20 years after the litigation is closed. In accordance with the reimbursement agreements the Sponsor shall maintain, and it shall require its consultants and contractors to maintain, all books, documents, papers, records, supporting cost proposals, accounting records, employees' time cards, payroll records and other evidence pertaining to costs incurred in the Project and shall make such materials available at all reasonable times during the contract period and for three (3) years from the date of submission of the final voucher to FHWA, for inspection and/or audit by the Department, the FHWA or any other authorized representatives of the state or federal government; and copies shall be furnished, if requested. Time records for personnel performing any work shall account for direct labor performed on the Project as well as the time of any personnel included in the computation of overhead costs. In addition, a complete record of time shall be kept for personnel assigned part-time to the Project. A record of time limited to only their work on this Project will not be acceptable. All projects on the program are split into phases that are listed below. Not all phases are required for each project. For example, Right-of-Way activity may not be needed on maintenance type projects. Federal funding requires that project phases be done in order; for instance, a project needs environmental clearance (an element of Preliminary Engineering) before it may proceed to Final Design. The Local Project Sponsor should discuss the order for accomplishing the project development phases and their elements with the designated District Project Coordinator or Project Manager. In addition, project cost estimates need to be as accurate as possible, associated with the year of expenditure, and reflect all project phases. Preliminary Engineering Final Design Right-of-Way Grade Crossing Utilities Construction 12

A more detail explanation of project bidding and consultant selection is available in the Overview of PennDOT Local Project Processes: A Guide to Getting Started on a Local Project with PennDOT and Procedures for the Administration of Consultant Agreements (Consultant Version). APPLICATION INSTRUCTIONS ALL APPLICATIONS MUST BE RECEIVED BY THE PennDOT CENTER FOR PROGRAM DEVELOPMENT AND MANAGEMENT PRIOR TO 5PM ON WEDNESDAY, SEPTEMBER 15 th, 2010. General Application Instructions This form is designed for use in the Adobe Reader application. If you do not have Adobe Reader you can download this software from http://get.adobe.com/reader/. Within the Pennsylvania Community Transportation Initiative (PCTI) Application Form, additional instructions have been built into the form to provide descriptions and help to users while filling out the application. Hover your cursor over the field and a help pop-up box will be displayed. The field titles that have a red double asterisk (**) are required information. If all required fields are not completed, the application cannot be submitted. There are numerous fields that are not required. If data is not available for these fields, leave them blank; however, be sure to concisely and accurately complete all fields to the best of your ability so that the Review Committee will have a clear picture of the current conditions and needs surrounding a potential project. Applicants are encouraged to download the PCTI Application to their personal computer prior to entering the requested information. This allows applicants to save information, should they require more than one session to complete the form. 13

The application is divided into eight distinct sections: 1. Project Summary 2. Project Sponsor 3. Project Overview 4. Project Support 5. Planning Proposal 6. Construction Proposal 7. Additional Funding 8. Terms and Conditions Step-by-step instructions for each section of the application are provided on the following pages. Project sponsors without access to the internet may contact the PennDOT Center for Program Development and Management for assistance in completing an application. Internet access will be required if the proposal is selected. Section I: Project Summary Project Title: Enter the official name that will be used to reference the project from this point forward. Simple names are best. Consider the primary project location and intent. (For example, Maple Street Station TOD or Anytown Streetscape.) Project Type: From the drop down select whether the project is a plan, construction, or both. Total Project Cost: Enter the total project cost including the project components implemented to date, the amount of the PCTI request, and all known future expenditures necessary to fully implement the project. Amount Requested: Enter the total amount requested from the currently available PCTI funds. Requests for planning proposals may not exceed $300.000 and construction proposals may not exceed $1,500,000, including construction inspection. If both planning and construction funds are requested, proposals may not exceed $1,500,000. However, separate applications may be submitted for planning and construction provided they can meet all implementation requirements. 14

If the request is for a Construction Phase, please ensure that Construction Management and inspection costs are included unless sponsor is willing to bear them. County: From the drop down select the county where the plan or construction project is proposed or Multiple if the project affects a region. Selecting the county will automatically populate the MPO/RPO and the PennDOT District fields. If the plan or construction project impacts multiple counties the application will prompt you to provide more detail. The detail should include the appropriate counties, MPO(s)/RPO(s) and PennDOT District(s) at a minimum. Municipality: From the drop down select the municipality where the plan or construction project is proposed. If the plan or project benefits more than one municipality select Countywide. The drop down will automatically list all of the municipalities within the selected county. Project Summary: Provide a concise overview of the proposed project. At a minimum, describe where and what improvements are being requested (i.e. sidewalks along 1 st Street near Elm Elementary). Specific project details will be requested later in the application. 15

Section II: Project Sponsor Project Sponsor: Enter the name of the Agency responsible for implementation of the project. The Project Sponsor is required to reasonably maintain any infrastructure improvements that are funded through the PCTI program. In most cases the education institution, transit agency, or municipality will maintain ownership when the improvements fall within their right-of-way. In cases where a county government or MPO/RPO is the sponsor, they may wish to transfer ownership to the corresponding municipality. The Sponsor shall have the right to transfer ownership and maintenance responsibilities for the improvements constructed pursuant to this Agreement, subject to prior approval by the Department. The Sponsor shall submit a letter to the Department s local Engineering District Office requesting approval to transfer ownership and maintenance and stating the name and address of the entity that will assume these responsibilities, which shall also sign the letter. The Department shall signify its approval, which it shall not unreasonably withhold, with the signature of its duly authorized representative on the letter. Sponsor Type: From the drop down select the most appropriate applicant type based on the identified project sponsor. Applicants may select one of the following: Municipality, Counties, Metropolitan and Rural Planning Organization, Transit Agency, Educational institution (Universities, Colleges, School Districts), Transportation Management Associations, or Other Public Bodies. SAP ID Number: Enter the project sponsor s SAP ID Number if applicable. It is not necessary to register as a business partner or obtain a SAP vendor number at the time of the application; however it is required that a sponsor become registered at their earliest convenience to facilitate the reimbursement process, should their project be selected. Each project sponsor must be a registered vendor in mysap in order to receive funding. mysap is the accounting system and payment mechanism for PCTI projects. Some sponsors may already be a registered business partner and have a SAP number. To register as a vendor, log on to www.vendorregistration.state.pa.us and register as a non-procurement vendor. Questions about registering as a non-procurement vendor should be directed to the Central Vendor Management Unit at 717-214-2868 (Harrisburg area) or 866-775-2868 (toll free). 16

Additionally, the sponsor and the design engineer must be a registered business partner in the Engineering and Construction Management System (ECMS). The sponsor must log onto www.dot2.state.pa.us and then go to registered business partner and register as a municipality regardless if the sponsor is a municipality or not. If a sponsor needs assistance, please call (717) 772-0566. This information is not requested on this application. Federal ID Number: Enter the Project Sponsor s Federal Tax ID #. Street Address, City, & Zip Code: Provide the street address, city, and zip code of the project sponsor. NOTE: If official correspondence is to be sent to a post office box, please make sure to provide the nine digit zip code associated with the post office box in addition to the physical street address. Responsible Party: Provide the prefix, first name, last name, job title, phone number, and email address of the person responsible for the PCTI application. This person should be equipped to answer all questions relating to the application and project. Website: Identify the project website if available. If there is not a project website, identify the website of the project sponsor. Section III: Project Overview Project Intent: Select from the drop down list the type of project that most closely matches the intent of this proposal. The project types include: Bicycle/Pedestrian Corridor Management/Congestion Reduction/Signalization Improvements Intermodal/Transit Oriented Development Land Use and Transportation Linkage Planning and Redevelopment Trails/Recreation Regional Planning Road/Intersection/Network Improvements Streetscapes/Traffic Calming Other If Other is selected please provide the primary project type associated with this proposed as prompted in the application. Is This Proposal Consistent with an Existing Plan(s)?: Select Yes, No, or Unknown from the drop down list. If Yes is selected please provide a list of all relevant existing plans as prompted. 17

Location Description: Provide a description of the project location. Be a specific as possible. For example, trail connecting Anytown center to University of Anytown, or traffic calming on Main Street between Elm Street and Maple Street. Is This Proposal Eligible for Federal Funding?: Select Yes, No, or Unknown from the drop down. All projects must be eligible for Federal funding and be consistent with CFR Title 23. Is This Proposal Located on the Federal Aid Highway System?: Select Yes, No, or Unknown from the drop down. If the project is an improvement to an existing roadway it must be identified on the Federal-Aid Highway System to be eligible for funding. Applicants may contact the Highway Performance Monitoring System (HPMS) Coordinator in their PennDOT District to determine if a roadway is on the Federal Aid Highway System. (See Appendix C for contact information.) Statement of the Problem: The statement of the problem should not exceed 500 characters. The statement should concisely document the need and indicate why PCTI is the appropriate funding source. Proposed Solutions and Actions: The proposed solution and actions should concisely demonstrate how the project addresses the statement of the problem and show the process from which the desired approach was selected. It should also describe the scope of work and how the project can be successfully implemented within the requirements of PCTI. How does this proposal support smart transportation, a stronger land use and transportation connection, more transportation choices, social equity, economic competitiveness, and community values?: One of the major purposes for advancing PCTI is to promote a better understanding of how transportation projects impact the surrounding environment (natural, societal, and cultural). The answers to these questions should demonstrate how the project ties the quality and location of transportation facilities to broader opportunities such as access to good jobs, affordable housing, quality schools, and safe streets. This includes addressing safety and capacity issues on all roads through better planning and design, maximizing and expanding new technologies, and using Travel Demand Management approaches to system planning and operations. The desired outcome is a better and more sustainable transportation system for all of Pennsylvania. 18

List any pending or potential public or private development activities that are known at the time and how they will impact the project: Outline any known development activities and explain the stakeholder coordination and communication effort, as well as, any known opposition. Describe how any planned or scheduled projects (Federal, State, Local, Private) may impact this proposal: Outline any known projects and explain the stakeholder coordination and communication effort, as well as, any know opposition. Describe any potential impact on environmental features or public controversy on environmental grounds: Outline any known impact on the environment and explain any avoidance or mitigation opportunities. Explain any stakeholder coordination and communication used to determine avoidance or mitigation opportunities, as well as, any known opposition. Describe any needed or acquired temporary or permanent easements of Right-of-Way: Outline any known temporary or permanent easement of Right-of-Way required to complete the project and explain the status of the Right-of-Way acquisition, as well as, any known opposition. Section IV: Project Support Project Support: Enter any project supporters, the organization they represent, and the role they play in project development. Section V: Plan Proposal Plan Proposal Information: This section of the application should only be filled out if there is a planning element in the proposal. Elaborate on the scope of work presented in the proposed solutions and actions portion of the application. Identify any major milestones, the start and end date of that particular milestone and any funding secured to date and the source. If you are requesting PCTI funds for the milestone, please indicate the amount requested. When all milestones have been identified please provide totals for funding secured and amount requested. Additionally, from the drop down, select the most appropriate project status. The selections include: Still in the initial planning stage, Finalized Plan Seeking Funding, or Ready to begin pre-construction work. 19

Section VI: Construction Proposal Construction Proposal Information: This section of the application should only be filled out if there is a construction element in the proposal. Elaborate on the scope of work presented in the proposed solutions and actions portion of the application. Provide as much detail as possible for the following project milestones, Preliminary Engineering, Final Design, Right-of- Way, Utility, Construction, and Inspection. Details should include the start and end date of that particular milestone and any funding secured to date and the source. If you are requesting PCTI funds for the milestone please indicate the amount requested. When the appropriate milestones have been identified, please provide totals for funding secured and amount requested. Additionally, from the drop down, select the most appropriate project status. The selections include: Finalized Plan Seeking Funding, Ready to begin preconstruction work, Some pre-construction work begun, Final planning, design finished and awaiting on municipal or local approval, or All preconstruction activities completed and approved, only need funds for construction. Section VII: Additional Funding Additional Funding Sources: Identify any funding received, applied for, or anticipated, the amount, the phase of the project that funding will be used, the year, and the status (i.e. Utilized, Secured, or Requested). Once all funding sources have been identified total the amount. Section VIII: Terms and Conditions Terms and Conditions Checklist: Applicants should read each item on the checklist and select the corresponding box to indicate that they read and understand each of the items. The responsible party should then enter their name into the Signature Field. The Current Date will be auto populated. 20

The terms and conditions checklist on the applications follows: 1. This is a reimbursement program, not a grant program, and that no money will be provided up front. 2. We will comply with all Federal Aid Highway requirements. Failure to comply with any and all of these requirements may result in the disapproval or termination of a previously approved project; and, if the project is already underway, we will be obligated to refund all funding dispersed on the project to date. 3. We are responsible for advancing the project, not PennDOT. However, PennDOT is available to assist with these processes. 4. We agree that this project must be obligated (form D-4232 has been authorized) prior to 6/30/2012. Projects sponsors who are unable to meet this agreement will forfeit Pennsylvania Community Transportation Initiative funds and may be subject to reimbursing all federal funds utilized on the project. 5. All of the individuals and entities listed on the application are aware that they are being included in the project listed on the application and agree to their assigned roles, as required. 6. We agree to enter into an agreement prepared by PennDOT that, among other things, sets forth the terms and conditions governing the performance of the project, disbursement of funding, and our financial obligations as sponsor and provides for maintenance of the completed project improvements. 7. We certify that the affirmations contained in this Application are true and correct to the best of Applicant s knowledge, information and belief; and that this verification is made subject to the penalties of 18 Pa. C.S. 4904, relating to unsworn falsification to authorities. 8. I AGREE TO THESE TERMS AND CONDITIONS. 21

Application Submission: If you use the Outlook E-mail System, the application sponsors should click the green button to the right of the date reading Click to email application to PennDOT. The button should generate an automatic e-mail to RA-PDPennDOTPDFPCTI@state.pa.us with a subject line: PCTI Application for and the project title as identified in the application. This e-mail will have an attached.xml file that contains the application information. If you have additional material related to your application you may attach it to this e-mail. Sponsors should attach any map(s) of the project area at the largest appropriate scale and any project rendering(s) that have been produced. Please limit the number of attachments to five. Send the e-mail. Within two business days, the email sender will receive an email confirming receipt of the application and a unique application identification number. Please use this identification number on all future correspondence regarding the application. If you use another E-mail System the Click to email application to PennDOT button may not generate an automatic e-mail, you will need to submit the application by email. Save the abstract adobe file to your PC. Please rename the file to reflect the project being submitted. Open your standard e-mail application and create an e-mail. In the To: field enter RA-PDPennDOTPDFPCTI@state.pa.us In the Subject: field enter PCTI Application for and the project title as identified in the application. Attach the saved adobe file and any additional material related to your application to this e-mail. Sponsors should attach any map(s) of the project area at the largest appropriate scale and any project rendering(s) that have been produced. Please limit the number of attachments to five. Send the e-mail. Within two business days, the email sender will receive an email confirming receipt of the application and a unique application identification number. Please use this identification number on all future correspondence regarding the application. 22

APPENDIX A: PCTI APPLICATION 23

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APPENDIX B: PENNSYVANIA COMMUNITY TRANSPORTATION INITIATIVE FREQENTLY ASKED QUESTIONS 1. Who can apply for Pennsylvania Community Transportation Initiative (PCTI) funding? Municipalities, Counties, Metropolitan and Rural Planning Organizations, Transit Agencies, Educational Institutions (Universities, Colleges, School Districts), Transportation Management Associations, and Other Public Bodies may apply. 2. What projects will receive priority in the application review process? Projects will be selected based on the completeness of data on the application, ability to meet the implementation criteria, and if the application addresses the themes of smart transportation. 3. How will the applications be reviewed and selected? Project selection will be made through an executive level committee comprised of PennDOT staff. It is also considered beneficial to have input from the Departments local Engineering District(s), as well as, the MPO or RPO identified in the application. Coordination with other state agencies should be also be considered if appropriate. 4. When is the deadline to submit applications? Applications will be accepted no later than September 15, 2010. Applications should be submitted via email to RA- PDPennDOTPDFPCTI@state.pa.us. 5. What can be included on the applications? Please consult the Pennsylvania Community Transportation Initiative (PCTI) 2010 Program Guide for guidance information to be included in the applications. 6. How many applications can be submitted? Only one application should be submitted per project. Applicants may submit any number of applications for consideration. 25

7. Will there be another phase in the application process? No, not at this time. However, you may be contacted to answer questions or discuss certain aspects of the application during the review process. 8. Is this a loan program? No, this is a reimbursement program. The sponsor will pay for the work as it is completed and an invoice(s) is submitted to PennDOT for reimbursement. All state and federal guidelines, eligibility, and regulations apply. 9. Is a local match required for these funds? No, but any local funds that would be available for the project would be considered beneficial and would show local support for the project. Available funding from other state agency sources already committed to a proposed PCTI project should be highlighted on the application and would be considered beneficial, too. 10. Is there a timeframe for when the funds need to be expended? Yes, the funds need to be obligated (form D-4232 has been authorized) by 6/30/2012 and be bid by 8/12/2012 to meet the criteria. Obligation is the Federal government's legal commitment (promise) to pay or reimburse the States or other entities for the Federal share of a project's eligible costs. A bid is the offer of a bidder, using either a compact disk or the internet, to construct the project, at the prices bid or predetermined. 11. Are the projects being submitted required to be new? No, but proposals must fit the parameters of the program and should be reasonably expected to meet the implementation criteria. 12. If a project is currently not on the 2009 Transportation Improvement Program (TIP), can this initiative be applied to get the project on the TIP? Yes, provided the project application demonstrates that it can reasonably meet the implementation criteria. 26

13. Is the program restricted specifically to projects that are currently on the TIP? No, the municipality may nominate a new project that is not on the TIP and if the project fits the criteria it can be added to the 2011 TIP. 14. Can the municipality nominate new projects for local roads? It can only be used on a local road if the road is on the federal-aid system or it s a safety project. Keep in mind that the project must meet the implementation criteria. 15. Does the PCTI program cover engineering costs? Yes, but the funds need to be obligated by 6/30/2012 (form D-4232 has been authorized). 16. Can a project receive design and construction funding? Yes, the funding is available for all phases (Design through Construction). It can be utilized for all phases, provided construction of a project clearly meets the implementation criteria. Also, there would need to be a commitment to fund any remaining phases to give an application appropriate consideration. 17. What does the $300,000 for planning activities include? This funding can only be used on a study. Pre-construction funds can be included as part of the application. However, a plan should be obligated by 6/30/2012 (form D-4232 has been authorized). 18. Can the funds be used for Right-of-Way or easement acquisition? Yes, provided the project can be bid by 8/12/2012 and the total request does not exceed $1.5 million. 19. Can the funds be used for existing PennDOT projects if they meet the PCTI requirements? Yes. 27

20. Is construction inspection required and can the funding cover inspection? Yes. Sponsor can use up to 15% of the awarded funding to pay for construction inspection, if necessary. 21. Will PennDOT s project development process and environmental approval process be used for these projects? Yes, and projects must meet federal/state requirements since they will be funded by federal/state funding. 22. Will there be a PennDOT or MPO/RPO project manager for each project? Yes, there will be a PennDOT and MPO/RPO project manager for each project. Coordination among the MPO/RPO, the PennDOT District and Central Office will be required during the implementation of the project. 23. Will the projects be bid on through PennDOT s ECMS? Yes, all projects must be bid through PennDOT. 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 law requirements. 24. When will projects be awarded? The applications will be reviewed and approved as quickly as possible by the committee and notifications will be sent out in December 2010. 25. For applicable TE projects with TE funds, can PCTI funds be mixed in to cover part of or the entire amount of the project? The funds can be mixed or the applicant may ask for the entire TE project to be funded with PCTI funds if applicable. 28

26. Will the MPO/RPO be given ample time to review all submitted project forms for projects with the MPO s/rpo s area of responsibility? The MPO/RPO will be provided time to review the projects before they are awarded and the sponsors have been encouraged to work through their respective MPO/RPO during the development of the initial application phase. 27. Where can I find out more information? PA Department of Transportation Center for Program Development and Management (HJM) 400 North Street - 6th Floor Harrisburg PA 17120 Phone: 717.787.2862 Fax: 717.787.5247 PennDOT Website: www.dot.state.pa.us Smart Transportation Website: http://www.smart-transportation.com/ APPENDIX C: PennDOT DISTRICT, METROPOLITAN PLANNING ORGANIZATION (MPO), AND RURAL PLANNING ORGANIZATION (RPO) DIRECTORY PennDOT Districts PennDOT District 1-0 PCTI Contact: E. Mariah Hanson (814) 678-7078 Email: emhanson@state.pa.us HPMS Contact: Troy Cyphert (814) 678-5038 Email: tcyphert@state.pa.us HPMS Contact: Ken Brannon (814) 678-7049 Email: kbrannon@state.pa.us Counties: Crawford, Erie, Forest Mercer, Venango, Warren PennDOT District 2-0 PCTI Contact: Vicki Rusnak (814) 765-0441 Email: virusnak@state.pa.us HPMS Contact: John Schneider (814) 765-0466 Email: johschneid@state.pa.us Counties: Cameron, Centre, Clearfield, Clinton, Elk, Juniata, McKean, Mifflin, Potter 29

PennDOT District 3-0 PCTI Contact: Mike Mausteller, P.E. (570) 368-4225 Email: mmaustelle@state.pa.us HPMS Contact: Jamie Dietrich (570) 368-4340 Email: jdietrich@state.pa.us Counties: Bradford, Columbia, Lycoming, Montour, Northumberland, Snyder, Sullivan, Tioga, Union PennDOT District 4-0 PCTI Contact: Marie Bishop (570) 963-3141 Email: mabishop@state.pa.us HPMS Contact: Joe Strok (570) 963-4995 Email: jstrok@state.pa.us HPMS Contact: Joe Popple (570) 963-3312 Email: jpopple@state.pa.us Counties: Lackawanna, Luzerne, Pike, Susquehanna, Wayne, Wyoming PennDOT District 5-0 PCTI Contact: Amanda Leindecker (610) 871-4552 Email: aleindecke@state.pa.us HPMS Contact: Jeff Williams (610) 871-4521 Email: jeffwillia@state.pa.us HPMS Contact: Steve Caruano, P.E. (610) 871-4520 Email: scaruano@state.pa.us Counties: Berks, Carbon, Lehigh, Monroe, Northampton, Schuylkill PennDOT District 6-0 PCTI Contact: Linda Guarini (610) 205-6950 Email: lguarini@state.pa.us HPMS Contact: Caroline Kiondo (610) 205-6822 Email: ckiondo@state.pa.us HPMS Contact: Vicente Morales (610) 205-6842 Email: vmorales@state.pa.us HPMS Contact: Adam Mouser (610) 205-6853 Email: amouser@state.pa.us Counties: Bucks, Chester, Delaware, Montgomery, Philadelphia 30

PennDOT District 8-0 PCTI Contact: Dennis Sloand (717) 787-7144 Email: desloand@state.pa.us HPMS Contact: Ben Singer (717) 787-6690 Email: besinger@state.pa.us HPMS Contact: Jim Beatty (717) 783-0174 Email: jabeatty@state.pa.us Counties: Adams, Dauphin, Cumberland, Franklin, Lancaster, Lebanon, Perry, York PennDOT District 9-0 PCTI Contact: Dave Lybarger (814) 696-7178 Email: dlybarger@state.pa.us HPMS Contact: Kevin Boslet (814) 696-7115 Email: kboslet@state.pa.us Counties: Bedford, Blair, Cambria, Fulton, Huntingdon, Somerset PennDOT District 10-0 PCTI Contact: Dave Cook (724) 357-2082 Email: davcook@state.pa.us HPMS Contact: Zac Cross (724) 357-4012 Email: zcross@state.pa.us Counties: Armstrong, Butler, Clarion, Indiana, Jefferson PennDOT District 11-0 PCTI Contact: Rob Miskanic (412) 429-4822 Email: rmiskanic@state.pa.us HPMS Contact: William Dipner (412) 429-3814 Email: wdipner@state.pa.us HPMS Contact: Beth Bertino (412) 429-4939 Email: ebertino@state.pa.us Counties: Allegheny, Beaver, Lawrence PennDOT District 12-0 PCTI Contact: Stacey Rabatin (724) 437-3147 Email: srabatin@state.pa.us HPMS Contact: Rich Jones (724) 439-7181 Email: richajones@state.pa.us HPMS Contact: Ken Shimko (724) 439-7361 Email: kshimko@state.pa.us Counties: Fayette, Greene, Washington, Westmoreland 31