Source: http://www.arb.ca.gov/DRDB/SJU/CURHTML/R9120.HTM
Timestamp: 2014-03-12 15:39:07
Document Index: 115103066

Matched Legal Cases: ['§110', 'art\n450', 'art 613', 'art 450', 'art 613', '§182', '§302', '§110', '§110', '§301', '§182', '§192', '§107', 'art 450', 'art\n81', '§175', '§107', '§182', '§189', '§109', '§107', '§182', 'art 81', 'art 81', '§108', 'art 450', 'art\n3', 'art 51', 'art 450', 'art.\n6', 'art 450', '§51', 'art 450', '§110', '§110', '§110', '§182', '§182', '§182', '§182', '§182', '§175', 'art 51', '§51', '§175', '§192']

DRDB: SJUAPCD 9120 TRANSPORTATION CONFORMITY
RULE 9120 - TRANSPORTATION CONFORMITY
(Adopted January 19, 1995)
This Rule sets forth the principles for determining conformity of transportation plans, programs, and projects
which are developed, funded, or approved by the United States Department of Transportation (DOT), and by metropolitan
planning organizations (MPOs) or other recipients of funds under title 23 U.S.C. or the Federal Transit Act (49
U.S.C. 1601 et seq.). The Rule sets forth policy, criteria, and procedures for demonstrating and assuring conformity
of such activities to an applicable implementation plan developed pursuant to §110 and Part D of the Clean
Air Act (CAA).
This rule becomes effective on the date the United States Environmental Protection Agency (USEPA) promulgates
interim, partial, or final approval of this rule in the Federal Register.
2.1 Action applicability.
2.1.1 Except as provided for in paragraph 2.3 of this section or 4.1, conformity determinations are required for:
2.1.1.1 The adoption, acceptance, approval or support of transportation plans developed pursuant to 23 CFR part
450 or 49 CFR part 613 by an MPO or DOT;
2.1.1.2 The adoption, acceptance, approval or support of TIPs developed pursuant to 23 CFR part 450 or 49 CFR
part 613 by an MPO or DOT; and
2.1.1.3 The approval, funding, or implementation of FHWA/FTA projects.
2.1.2 Conformity determinations are not required under this rule for individual projects which are not FHWA/FTA
projects. However, 6.24 applies to such projects if they are regionally significant.
2.2 Geographic Applicability.
2.2.1 The provisions of this rule shall apply in all nonattainment and maintenance areas of the San Joaquin Valley
Air Basin for transportation-related criteria pollutants for which the area is designated nonattainment or has
a maintenance plan.
2.2.2 The provisions of this rule apply with respect to emissions of the following criteria pollutants: ozone,
carbon monoxide, nitrogen dioxide, and particles with an aerodynamic diameter less than or equal to a nominal 10
micrometers (PM10).
2.2.3 The provisions of this rule apply with respect to emissions of the following precursor pollutants:
2.2.3.1 Volatile organic compounds and nitrogen oxides in ozone areas (unless the Administrator determines under
§182(f) of the CAA that additional reductions of NOx would not contribute to attainment);
2.2.3.2 Nitrogen oxides in nitrogen dioxide areas; and
2.2.3.3 Volatile organic compounds, nitrogen oxides, and PM10 in PM10 areas if:
2.2.3.3.1 During the interim period, the EPA Regional Administrator or the director of the State air agency has
made a finding that transportation-related precursor emissions within the nonattainment area are a significant
contributor to the PM10 nonattainment problem and has so notified the MPO and DOT; or
2.2.3.3.2 During the transitional, control strategy, and maintenance periods, the applicable implementation
plan (or implementation plan submission) establishes a budget for such emissions as part of the reasonable further
progress, attainment or maintenance strategy.
2.3 Limitations.
2.3.1 Projects subject to this regulation for which the NEPA process and a conformity determination have been completed
by FHWA or FTA may proceed toward implementation without further conformity determinations if one of the following
major steps has occurred within the past three years: NEPA process completion; start of final design; acquisition
of a significant portion of the right-of-way; or approval of the plans, specifications and estimates. All phases
of such projects which were considered in the conformity determination are also included, if those phases were
for the purpose of funding, final design, right-of-way acquisition, construction, or any combination of these phases.
2.3.2 A new conformity determination for the project will be required if there is a significant change in project
design concept and scope, if a supplemental environmental document for air quality purposes is initiated, or if
no major steps to advance the project have occurred within the past three years.
When assisting or approving any action with air quality-related consequences, FHWA and FTA shall give priority
to the implementation of those transportation portions of an applicable implementation plan prepared to attain
and maintain the NAAQS. This priority shall be consistent with statutory requirements for allocation of funds among
States or other jurisdictions.
Terms used but not defined in this rule shall have the meaning given them by the CAA, titles 23 and 49 U.S.C.,
other Environmental Protection Agency (EPA) regulations, or other DOT regulations, in that order of priority.
3.1 Applicable implementation plan is defined in §302(q) of the CAA and means the portion (or portions)
of the implementation plan, or most recent revision thereof, which has been approved under §110, or promulgated
under §110(c), or promulgated or approved pursuant to regulations promulgated under §301(d) and which
implements the relevant requirements of the CAA.
3.2 ARB means the California Air Resources Board, the State's lead air quality agency consisting of an
eleven-member Governor appointed board and supporting staff responsible for motor vehicle pollution control, and
having oversight authority over California's air pollution management program.
3.3 CAA means the Clean Air Act, as amended.
3.4 Caltrans means the California State Department of Transportation.
3.5 Cause or contribute to a new violation for a project means:
To cause or contribute to a new violation of a standard in the area substantially affected by the project or
over a region which would otherwise not be in violation of the standard during the future period in question, if
the project were not implemented, or
To contribute to a new violation in a manner that would increase the frequency or severity of a new violation
of a standard in such area.
3.6 Control strategy implementation plan revision is the applicable implementation plan which contains specific
strategies for controlling the emissions of and reducing ambient levels of pollutants in order to satisfy CAA requirements
for demonstrations of reasonable further progress and attainment (CAA §§182(b)(1), 182(c)(2)(A), 182(c)(2)(B),
187(a)(7), 189(a)(1)(B), and 189(b)(1)(A); and §§192(a) and 192(b), for nitrogen dioxide).
3.7 Control strategy period with respect to particulate matter less than 10 microns in diameter (PM10),
carbon monoxide (CO), nitrogen dioxide (NO2), and/or ozone precursors (volatile organic compounds and
oxides of nitrogen), means that period of time after EPA approves control strategy implementation plan revisions
containing strategies for controlling PM10, NO2, CO, and/or ozone, as appropriate. This period
ends when a State submits and EPA approves a request under §107(d) of the CAA for redesignation to an attainment
3.8 Design concept means the type of facility identified by the project, e.g., freeway, expressway, arterial
highway, grade-separated highway, reserved right-of-way rail transit, mixed-traffic rail transit, exclusive busway,
3.9 Design scope means the design aspects which will affect the proposed facility's impact on regional
emissions, usually as they relate to vehicle or person carrying capacity and control, e.g., number of lanes or
tracks to be constructed or added, length of project, signalization, access control including approximate number
and location of interchanges, preferential treatment for high-occupancy vehicles, etc.
3.10 DOT means the United States Department of Transportation.
3.11 EPA or USEPA means the United States Environmental Protection Agency.
3.12 FHWA means the Federal Highway Administration of DOT.
3.13 FHWA/FTA project, for the purpose of this rule, is any highway or transit project which is proposed
to receive funding assistance and approval through the Federal-Aid Highway program or the Federal mass transit
program, or requires Federal Highway Administration (FHWA) or Federal Transit Administration (FTA) approval for
some aspect of the project, such as connection to an interstate highway or deviation from applicable design standards
on the interstate system.
3.14 FTA means the Federal Transit Administration of DOT.
3.15 Forecast period with respect to a transportation plan is the period covered by the transportation
plan pursuant to 23 CFR part 450.
3.16 Geographic subregion with respect to determining conformity and establishing emissions budgets,
includes eight geographic subregions within the San Joaquin Valley Air Basin. These subregions are defined by the
political boundaries of San Joaquin, Stanislaus, Merced, Madera, Fresno, Tulare and Kings Counties, and the portion
of the political boundary of Kern County that lies within the San Joaquin Valley Air Basin, as described in SJVUAPCD
Rule 1020.
3.17 Highway project is an undertaking to implement or modify a highway facility or highway-related program.
Such an undertaking consists of all required phases necessary for implementation. For analytical purposes, it must
be defined sufficiently to: (1) connect logical termini and be of sufficient length to address environmental matters
on a broad scope; (2) have independent utility or significance, i.e., be usable and be a reasonable expenditure
even if no additional transportation improvements in the area are made; and (3) not restrict consideration of alternatives
for other reasonably foreseeable transportation improvements.
3.18 Horizon year is a year for which the transportation plan describes the envisioned transportation
system according to paragraph 6.1 of this rule.
3.19 Hot-spot analysis is an estimation of likely future localized CO and PM10 pollutant concentrations
and a comparison of those concentrations to the national ambient air quality standards. Pollutant concentrations
to be estimated should be based on the total emissions burden which may result from the implementation of a single,
specific project, summed together with future background concentrations (which can be estimated using the ratio
of future to current traffic multiplied by the ratio of future to current emission factors) expected in the area.
The total concentration must be estimated and analyzed at appropriate receptor locations in the area substantially
affected by the project. Hot-spot analysis assesses impacts on a scale smaller than the entire nonattainment or
maintenance area, including, for example, congested roadway intersections and highways or transit terminals, and
uses an air quality dispersion model to determine the effects of emissions on air quality.
3.20 Incomplete data area means any ozone nonattainment area which EPA has classified, in 40 CFR part
81, as an incomplete data area.
3.21 Increase the frequency or severity means to cause a location or region to exceed a standard more
often or to cause a violation at a greater concentration than previously existed and/or would otherwise exist during
the future period in question, if the project were not implemented.
3.22 ISTEA means the Intermodal Surface Transportation Efficiency Act of 1991.
3.23 Maintenance area means any geographic region of the United States previously designated nonattainment
pursuant to the CAA Amendments of 1990 and subsequently redesignated to attainment subject to the requirement to
develop a maintenance plan under §175A of the CAA, as amended.
3.24 Maintenance period with respect to a pollutant or pollutant precursor means that period of time
beginning when a State submits and EPA approves a request under §107(d) of the CAA for redesignation to an
attainment area, and lasting for 20 years, unless the applicable implementation plan specifies that the maintenance
period shall last for more than 20 years.
3.25 Metropolitan planning organization (MPO) is that organization designated as being responsible, together
with the State, for conducting the continuing, cooperative, and comprehensive planning process under 23 U.S.C.
134 and 49 U.S.C. 1607. It is the forum for cooperative transportation decision-making. (also see definition for
3.26 Milestone has the meaning given in §182(g)(1) and §189(c) of the CAA. A milestone consists
of an emissions level and the date on which it is required to be achieved.
3.27 Motor vehicle emissions budget is that portion of the total allowable emissions defined in a revision
to the applicable implementation plan (or in an implementation plan revision which was endorsed by the Governor
or his or her designee, subject to a public hearing, and submitted to EPA, but not yet approved by EPA) for a certain
date for the purpose of meeting reasonable further progress milestones or attainment or maintenance demonstrations,
for any criteria pollutant or its precursors, allocated by the applicable implementation plan to highway and transit
vehicles. The applicable implementation plan for an ozone nonattainment area may also designate a motor vehicle
emissions budget for oxides of nitrogen (NOx) for a reasonable further progress milestone year if the
applicable implementation plan demonstrates that this NOx budget will be achieved with measures in the
implementation plan (as an implementation plan must do for VOC milestone requirements). The applicable implementation
plan for an ozone nonattainment area includes a NOx budget if NOx reductions are being substituted
for reductions in volatile organic compounds in milestone years required for reasonable further progress.
3.28 National ambient air quality standards (NAAQS) are those standards established pursuant to §109
of the CAA.
3.29 NEPA means the National Environmental Policy Act of 1969, as amended (42 U.S.C. 4321 et seq).
3.30 NEPA process completion, for the purposes of this rule, with respect to FHWA or FTA, means the point
at which there is a specific action to make a determination that a project is categorically excluded, to make a
Finding of No Significant Impact, or to issue a record of decision on a Final Environmental Impact Statement under
3.31 Nonattainment area means any geographic region of the United States which has been designated as
nonattainment under §107 of the CAA for any pollutant for which a national ambient air quality standard exists.
3.32 Not classified area means any carbon monoxide nonattainment area which EPA has not classified as
either moderate or serious.
3.33 Phase II of the interim period with respect to a pollutant or pollutant precursor means that period
of time after the effective date of this rule, lasting until the earlier of the following: (1) submission to EPA
of the relevant control strategy implementation plan revisions which have been endorsed by the Governor (or his
or her designee) and have been subject to a public hearing, or (2) the date that the Clean Air Act requires relevant
control strategy implementation plans to be submitted to EPA, provided EPA has notified the State, MPO, and DOT
of the State's failure to submit any such plans. The precise end of Phase II of the interim period is defined in
Section 6.23 of this rule.
3.34 Project means a highway project or transit project.
3.35 Recipient of funds designated under title 23 U.S.C. or the Federal Transit Act means any agency
at any level of State, county, city, or regional government that routinely receives title 23 U.S.C. or Federal
Transit Act funds to construct FHWA/FTA projects, operate FHWA/FTA projects or equipment, purchase equipment, or
undertake other services or operations via contracts or agreements. This definition does not include private landowners
or developers, or contractors or entities that are only paid for services or products created by their own employees.
3.36 Regionally significant project means a transportation project (other than an exempt project) that
is on a facility which serves regional transportation needs (such as access to and from the area outside of the
region, major activity centers in the region, major planned developments such as new retail malls, sports complexes,
etc., or transportation terminals as well as most terminals themselves) and would normally be included in the modeling
of a metropolitan area's transportation network, including at a minimum all principal arterial highways and all
fixed guideway transit facilities that offer an alternative to regional highway travel.
3.37 Rural transport ozone nonattainment area means an ozone nonattainment area that does not include,
and is not adjacent to, any part of a Metropolitan Statistical Area or, where one exists, a Consolidated Metropolitan
Statistical Area (as defined by the United States Bureau of the Census) and is classified under Clean Air Act §182(h)
as a rural transport area.
3.38 San Joaquin Valley Unified Air Pollution Control District (SJVUAPCD) means the eight county air
pollution control district located in the San Joaquin Valley in the central portion of the State of California.
3.39 Standard means a national ambient air quality standard.
3.40 State Implementation Plan (SIP) is a document prepared by each state describing existing air quality
conditions and measures which will be taken to attain and maintain National Ambient Air Quality Standards.
3.41 Submarginal area means any ozone nonattainment area which EPA has classified as submarginal in 40
CFR part 81.
3.42 Subregion or Subregional means the same as geographic subregions.
3.43 STIP means the State Transportation Improvement Program.
3.44 Transit is mass transportation by bus, rail, or other conveyance which provides general or special
service to the public on a regular and continuing basis. It does not include school buses or charter or sightseeing
3.45 Transit project is an undertaking to implement or modify a transit facility or transit-related program;
purchase transit vehicles or equipment; or provide financial assistance for transit operations. It does not include
actions that are solely within the jurisdiction of local transit agencies, such as changes in routes, schedules,
or fares. It may consist of several phases. For analytical purposes, it must be defined inclusively enough to:
(1) connect logical termini and be of sufficient length to address environmental matters on a broad scope; (2)
have independent utility or independent significance, i.e., be a reasonable expenditure even if no additional transportation
improvements in the area are made; and (3) not restrict consideration of alternatives for other reasonably foreseeable
3.46 Transitional area means any ozone nonattainment area which EPA has classified as transitional in
40 CFR part 81.
3.47 Transitional period with respect to a pollutant or pollutant precursor means that period of time
which begins after submission to EPA of the relevant control strategy implementation plan which has been endorsed
by the Governor (or his or her designee) and has been subject to a public hearing. The transitional period lasts
until EPA takes final approval or disapproval action on the control strategy implementation plan submission or
finds it to be incomplete. The precise beginning and end of the transitional period is defined in paragraph 6.23
3.48 Transportation control measure (TCM) is any measure that is specifically identified and committed
to in the applicable implementation plan that is either one of the types listed in §108 of the CAA, or any
other measure for the purpose of reducing emissions or concentrations of air pollutants from transportation sources
by reducing vehicle use or changing traffic flow or congestion conditions. Notwithstanding the above, vehicle technology-based,
fuel-based, and maintenance-based measures which control the emissions from vehicles under fixed traffic conditions
are not TCMs for the purposes of this rule.
3.49 Transportation improvement program (TIP) means a staged, multiyear, intermodal program of transportation
projects covering a metropolitan planning area which is consistent with the metropolitan transportation plan, and
developed pursuant to 23 CFR part 450.
3.50 Transportation plan means the official intermodal metropolitan transportation plan that is developed
through the metropolitan planning process for the metropolitan planning area, developed pursuant to 23 CFR part
3.51 Transportation Planning Agency (TPA) means any of the eight agencies responsible for transportation
planning within the eight county domain of the SJVUAPCD. The specific TPAs included in this definition are the
Council of Fresno County Governments, the Kern Council of Governments, the Kings County Association of Governments,
the Merced County Association of Governments, the San Joaquin County Council of Governments, the Stanislaus Area
Association of Governments, the Tulare County Association of Governments, and the Madera County Transportation
Commission. With the exception of Kings and Madera Counties, these TPAs are also the designated metropolitan planning
organizations (MPOs) in the air basin.
3.52 Transportation Planning Agency Directors Association (TPA Directors Association) is composed of
the Director, or her/his designee, of each of the eight county TPAs located within the boundaries of the San Joaquin
Valley Air Basin.
3.53 Transportation project is a highway project or a transit project.
4.1 Exempt projects
Notwithstanding the other requirements of this rule, highway and transit projects of the types listed in Table
1 are exempt from the requirement that a conformity determination be made. Such projects may proceed toward implementation
even in the absence of a conforming transportation plan and TIP. A particular action of the type listed in Table
1 is not exempt if the MPO in consultation with other agencies (see 5.3.1.3), the EPA, and the FHWA (in the case
of a highway project) or the FTA (in the case of a transit project) concur that it has potentially adverse emissions
impacts for any reason. States and MPOs must ensure that exempt projects do not interfere with TCM implementation.
TABLE 1 - EXEMPT PROJECTS
SAFETY Railroad/highway crossing Hazard elimination program Safer non-Federal-aid system roads Shoulder improvements Increasing sight distance Safety improvement program Traffic control devices and operating assistance other than signalization projects Railroad/highway crossing warning devices Guardrails, median barriers, crash cushions Pavement resurfacing and/or rehabilitation Pavement marking demonstration Emergency relief (23 U.S.C. 125) Fencing Skid treatments Safety roadside rest areas Adding medians Truck climbing lanes outside the urbanized area Lighting improvements Widening narrow pavements or reconstructing bridges (no additional travel lanes) Emergency truck pullovers MASS TRANSIT Operating assistance to transit agencies Purchase of support vehicles Rehabilitation of transit vehicles1 Purchase of office, shop, and operating equipment for existing facilities Purchase of operating equipment for vehicles (e.g., radios, fareboxes, lifts, etc.) Construction or renovation of power, signal, and communications systems Construction of small passenger shelters and information kiosks Reconstruction or renovation of transit buildings and structures (e.g., rail or bus buildings, storage and maintenance
facilities, stations, terminals, and ancillary structures) Rehabilitation or reconstruction of track structures, track, and trackbed in existing rights-of-way Purchase of new buses and rail cars to replace existing vehicles or for minor expansions of the fleet1 Construction of new bus or rail storage/maintenance facilities categorically excluded in 23 CFR 771 1- In PM10 nonattainment or maintenance areas, such projects are exempt only if they are in compliance with
control measures in the applicable implementation plan.
AIR QUALITY Continuation of ride-sharing and van-pooling promotion activities at current levels Bicycle and pedestrian facilities OTHER Specific activities which do not involve or lead directly to construction, such as: Planning and technical studies Grants for training and research programs Planning activities conducted pursuant to titles 23 and 49 U.S.C Federal-aid systems revisions Engineering to assess social, economic, and environmental effects of the proposed action or alternatives to
that action Noise attenuation Advance land acquisitions (23 CFR 712 or 23 CFR 771) Acquisition of scenic easements Plantings, landscaping, etc. Sign removal Directional and informational signs Transportation enhancement activities (except rehabilitation and operation of historic transportation buildings,
structures, or facilities) Repair of damage caused by natural disasters, civil unrest, or terrorist acts, except projects involving substantial
functional, locational or capacity changes 4.2 Projects exempt from regional emissions analyses
2 are exempt from regional emissions analysis requirements. The local effects of these projects with respect to
CO or PM10 concentrations must be considered to determine if a hot-spot analysis is required prior to
making a project-level conformity determination. These projects may then proceed to the project development process
2 is not exempt from regional emissions analysis if the MPO in consultation with other agencies (see 5.4.1.3),
the EPA, and the FHWA (in the case of a highway project) or the FTA (in the case of a transit project) concur that
it has potential regional impacts for any reason.
TABLE 2 PROJECTS EXEMPT FROM REGIONAL EMISSIONS ANALYSES
Intersection channelization projects Intersection signalization projects at individual intersections Interchange reconfiguration projects Changes in vertical and horizontal alignment Truck size and weight inspection stations Bus terminals and transfer points 5.0 Consultation
This rule provides procedures for interagency consultation (local, state, and federal) pursuant to section 51.396
and 51.402 of the final transportation conformity rule promulgated November 24, 1993 by the U.S. Environmental
Protection Agency (USEPA). These procedures apply to the San Joaquin Valley Air Basin (hereafter SJV Air Basin)
of California and apply to interagency consultation related to regional transportation plan and transportation
improvement program development, transportation conformity determinations and control strategy implementation plan
development. Such consultation procedures shall be undertaken by TPAs, Caltrans, and the Federal Highway Administration
(FHWA) and the Federal Transit Administration (FTA) with ARB and SJVUAPCD and USEPA before making conformity determinations,
and by ARB and SJVUAPCD and USEPA with TPAs, Caltrans, FHWA, and FTA in developing control strategy implementation
5.2 Interagency Consultation Procedures: General Factors for RTPs and TIPs
5.2.1 Representatives of the TPAs, local and State air quality planning agencies, and State and local transportation
agencies, shall undertake an interagency consultation process with each other and with local or regional offices
of USEPA, FHWA, and FTA in accordance with this section on the development of the implementation plan, the list
of TCMs in the control strategy implementation plan, the unified planning work program under 23 CFR Section 450.314,
the Regional Transportation Plan (RTP), the Transportation Improvement Program (TIP), any revisions to the preceding
documents, and all conformity determinations required by this rule.
5.2.1.1 Regular consultation on major activities shall be conducted primarily at the technical level. At the beginning
of each annual planning cycle the TPA Directors Association will designate technical representatives and/or technical
committees to be the primary forum for interagency consultation on transportation plan development and conformity
findings. These representatives or committees will be responsible for conducting interagency consultation. In general,
each TPA will have a designated representative to conduct conformity consultation with the SJVUAPCD, Caltrans,
ARB, FHWA, FTA, and USEPA. Consultation on issues affecting more than one TPA will be conducted by the TPA Directors
Association or assigned by the Directors to a technical committee. The TPA Directors Association will provide a
forum for policy-level consultation with the SJVUAPCD to ensure consistent air quality and transportation planning,
including joint preparation of TCMs to be used by the air district in meeting both federal and state clean air
mandates. Representatives of the regional, state, and federal agencies listed in paragraph 5.1 of this rule will
be notified of TPA Directors Association meetings and may choose to attend.
5.2.1.2 It shall be the affirmative responsibility of the TPA lead agency for preparation of a document or decision
subject to the interagency consultation process, to initiate the consultation process by notifying other agencies,
convene meetings, assure that all relevant documents and information are supplied to all participants in the consultation
process in a timely manner, prepare minutes of consultation meetings, maintain a written record of the consultation
process, and to assure the adequacy of the interagency consultation process with respect to the subject document
or decision. The TPAs will be responsible for the timely circulation of draft documents among the agencies for
comment (and responding to any comments) before adoption or publication. Draft documents will be circulated among
agencies with a 30-day comment period. Copies of draft documents will be made available for the public to view
at TPA offices. This availability will be announced in local news media in advance of when the documents are available.
5.2.1.3 Each lead agency in the consultation process required under this section shall confer with other agencies
identified under paragraph 5.1 of this section with an interest in the document to be developed, provide all information
to those agencies needed for meaningful input, solicit early and continuing input from those agencies, and prior
to taking any action, consider the views of each agency and respond to them prior to any final decision on such
5.2.1.4 It shall be the responsibility of each agency specified in paragraph 5.1 of this section, when not acting
as lead agency, to confer with the lead agency and other participants in the consultation process, review and comment
as appropriate (including comments in writing) on all proposed and final documents and decisions in a timely manner,
attend consultation and decision meetings, provide input on any area of substantive expertise or responsibility,
and provide technical assistance to the lead agency or to the consultation process in accordance with this paragraph
5.2.2 Specific roles and responsibilities of various participants in the interagency consultation process shall
5.2.2.1 TPAs will:
5.2.2.1.1 Develop RTPs and TIPs and make transportation conformity assessments (on a county level) on these plans,
including transportation and emission modeling and TCM documentation. Findings on transportation conformity assessments
will be made pursuant to interagency consultation procedures, and public participation consistent with 23 CFR 450.
5.2.2.1.2 Designate a transportation conformity representative to coordinate with other agencies and attend
meetings with other agencies. The transportation conformity representative will solicit input from other agencies
during the consultation process.
5.2.2.1.3 Distribute meeting notices and agendas to each agency listed in paragraph 5.1 and be responsible for
reviewing draft transportation conformity documents and assumptions. Distribute minutes of meetings to invitees.
5.2.2.1.4 Solicit early and continuing input from the other agencies identified in paragraph 5.1 of this section
in the development of RTPs, TIPs, amendments to these documents, and other transportation-related projects.
5.2.2.1.5 Provide a period of at least 30 days for review and comment by other agencies prior to taking final
action to adopt an RTP, TIP, amendments to these documents, and other projects that require conformity determinations.
5.2.2.1.6 Review and consider all comments received during interagency consultation process. Address significant
comments in writing when requested by commenting agency.
5.2.2.1.7 Participate in conflict resolution processes as appropriate.
5.2.2.1.8 Identify regionally significant and exempt projects in accordance with Sections 3.0 and 4.1, respectively,
of the final transportation conformity rule and determine when these definitions should be enhanced to include
previously excluded projects because of potential emission impacts.
5.2.2.1.9 Determine which regionally-significant non-federal projects will be subject to transportation conformity,
revise of TIPs and RTPs when conformity is not shown, implement (when appropriate) and monitor progress of TCMs,
ensure and coordinate public participation, and coordinate with other TPAs and agencies as appropriate, including
coordination of development and distribution of agendas for interagency consultation meetings.
5.2.2.1.10 Consult with the SJVUAPCD and other relevant agencies as defined in paragraph 5.1 of this section
when TPAs are determining whether any new projects are regionally significant. This consultation provides an opportunity
to discuss the classification of projects as regionally significant although they may not meet the definition provided
in Section 51.392 of 40 CFR Part 51.
5.2.2.2 Caltrans will:
5.2.2.2.1 Review and comment on RTPs, TIPs, and transportation conformity findings and procedures
5.2.2.2.2 Designate a conformity representative to coordinate with other agencies and attend meetings with other
agencies. The conformity representative will solicit input from other agencies during the consultation process.
5.2.2.2.3 Submit TIPs for inclusion into the STIP, following appropriate consultation with and notification
of other agencies as required by 23 CFR Section 450.216 (a).
5.2.2.3 The SJVUAPCD will:
5.2.2.3.1 Review and provide comments on the transportation conformity determinations and how emissions from a
TIP or RTP compare to the motor vehicle emission budget in the control strategy implementation plan.
5.2.2.3.2 Provide input on issues such as changes to TPA-level emission budgets which do not change emission
levels in the non-attainment area.
5.2.2.3.3 Designate a conformity representative to coordinate with other agencies and attend meetings with other
5.2.2.3.4 Provide opportunity for consultation when TPAs are determining whether any new projects are regionally
5.2.2.4 ARB will:
5.2.2.4.1 Designate a conformity representative to coordinate with other agencies and attend meetings with other
agencies at ARB's discretion.
5.2.2.4.2 Review and provide written comment on proposed TIPs, RTPs, RTP alternatives, control strategy implementation
plan development and transportation conformity findings
5.2.2.4.3 Provide the most recent USEPA-approved emission factors (EMFAC) to the TPAs and Caltrans for use in
emissions analyses, following appropriate consultation with appropriate agencies.
5.2.2.5 USEPA will:
5.2.2.5.1 Review and provide written comment on draft transportation conformity documents as well as RTPs and TIPs.
5.2.2.5.2 Provide guidance on the transportation conformity rule criteria and statute.
5.2.2.5.3 Review and approve updates of motor vehicle emission factors (EMFAC) for use in transportation conformity
5.2.2.5.4 Designate a conformity representative to coordinate with other agencies and attend meetings with other
agencies at USEPA's discretion. The conformity representative will provide input from other agencies during the
5.2.2.6 FHWA and FTA will:
5.2.2.6.1 Comment on and provide joint transportation conformity determinations for RTPs and TIPs, and plan and
5.2.2.6.2 Provide notification of final joint transportation conformity determinations to each agency listed
in paragraph 5.1.
5.2.2.6.3 Take additional actions as necessary and appropriate to facilitate approval of conformity of RTPs
5.2.2.6.4 Provide guidance on transportation conformity and transportation planning.
5.2.2.6.5 Designate a conformity representative to coordinate with other agencies and attend meetings with other
agencies at FHWA/FTA's discretion. The conformity representative will solicit input from other agencies during
5.3 Interagency Consultation Procedures: General Factors for Development of Control Strategy Implementation Plans
5.3.1 The SJVUAPCD, ARB and USEPA will consult regularly with the TPAs prior to and throughout development of all
control strategy implementation plan submittals which affect transportation conformity, including those which contain
emissions budgets, control strategies, and/or proposed TCMs. The SJVUAPCD, ARB and USEPA will transmit to the TPAs
and the other agencies its draft and final air quality plans, TCM proposals, and available work programs for air
quality planning activities and products, and will solicit the TPAs input on the region's transportation conformity
determinations. Each agency will participate early and continuously in control strategy implementation plan development
to the extent its resources and priorities allow.
5.3.1.1 The organizational level of regular consultation will be at the technical level. Technical consultation
on control strategy implementation plan revisions and on-road mobile emission budgets will be undertaken by appropriate
technical committees established by the TPA Directors Association.
5.3.1.2 The SJVUAPCD will be responsible for the timely circulation of draft documents among the agencies for
comment (and responding to comments) before adoption or publication. Draft documents will be circulated among the
at the three regional offices of the SJVUAPCD.
5.3.1.3 Interagency consultation will be accomplished through regular meetings of the technical committee(s)
established by the TPA Directors Association. The committee(s) shall meet at least on a quarterly basis for the
purpose of consultation. The responsibility for establishing meeting agendas lies with the lead agency designated
in the San Joaquin Valley TPA Cooperative Work Program. The SJVUAPCD will be consulted regarding control strategy
implementation plan revision issues to be placed on the agenda. The lead agency will distribute meeting notices
and agendas to each agency listed in paragraph 5.1 and the SJVUAPCD representative will communicate with agencies
unable to attend and solicit their input.
5.3.2 All control strategy implementation plans and/or revisions, including those initiated by TPAs and other local
agencies, must be submitted through the SJVUAPCD.
5.3.3 ARB and USEPA will consult with the SJVUAPCD on the development of any control strategy implementation
plans that they promulgate or adopt.
5.3.4 Each agency's role and responsibilities are as follows:
5.3.4.1 The SJVUAPCD will:
5.3.4.1.1 Develop attainment demonstrations, control strategy implementation plans, and regulatory TCMs within
the statutory limits of the SJVUAPCD.
5.3.4.1.2 Solicit early and continuing input from the other agencies identified in paragraph 5.1 of this section
in the development of control strategy implementation plan submittals.
5.3.4.1.3 Distribute contents of draft control strategy implementation plans and copies of final control strategy
implementation plan submittals and supporting materials to the agencies identified in paragraph 5.1 of this section.
5.3.4.1.4 Adopt on-road mobile source emissions budgets developed by the TPAs in consultation with the SJVUAPCD.
The budgets may be revised by the SJVUAPCD after joint consultation between the TPAs, the SJVUAPCD, and the ARB
prior to their adoption.
5.3.4.1.5 Provide a period of at least thirty days for review and comment by other agencies prior to taking
final action to adopt or amend a control strategy implementation plan; review and consider the comments of other
agencies; provide written responses to comments as appropriate.
5.3.4.1.6 Consult directly and regularly with TPAs at both policy and technical staff levels.
5.3.4.1.7 Consult with ARB, Caltrans, and USEPA on use of emission factors.
5.3.4.1.8 Hold regular meetings at District headquarters in Fresno to provide status reports and solicit input
from the TPAs on control strategy implementation plan development or revisions.
5.3.4.2 The TPAs will:
5.3.4.2.1 Review and comment as appropriate on the contents of proposed control strategy implementation plan submittals
for conformity determinations.
5.3.4.2.2 Develop and provide system-based (facilities) and non-regulatory (programmatic) TCMs for inclusion
in the SIP.
5.3.4.2.3 Develop proposed on-road mobile source emissions budgets in consultation with the SJVUAPCD.
5.3.4.2.4 Program TCMs and work with appropriate jurisdictions to implement TCMs on schedule where responsible.
5.3.4.2.5 Recommend to the SJVUAPCD when SIP revisions are necessary to replace TCMs.
5.3.4.2.6 Provide the information necessary to develop on-road motor vehicle activity level and associated emission
levels for use in the control strategy implementation plan.
5.3.4.2.7 Hold regular meetings with the SJVUAPCD regarding the development of the RTP, TIP, amendments to these
documents, and other transportation projects.
5.3.4.3 Caltrans will:
5.3.4.3.1 Assist with overall control strategy implementation plan development.
5.3.4.3.2 Consult with the TPAs and the SJVUAPCD on development of TCMs for inclusion in control strategy implementation
5.3.4.3.3 Consult with the other agencies on interregional projects.
5.3.4.3.4 Consult with the other agencies on transportation projects that are entirely under Caltrans discretionary
5.3.4.3.5 Provide transportation data to the TPAs for their consideration in the development of emissions budgets.
5.3.4.4 USEPA will:
5.3.4.4.1 Participate in consultation meetings during development of control strategy implementation plan submittals.
5.3.4.4.2 Provide timely guidance to the SJVUAPCD during development of control strategy implementation plan
5.3.4.4.3 Review all control strategy implementation plan revisions for completeness and approvability.
5.3.4.4.4 Review and approve updates of motor vehicle emission factors (EMFAC) for use in control strategy implementation
plan emissions analysis.
5.3.4.4.5 Adopt on-road mobile source emission budgets for Federal Implementation Plans (FIP) for the San Joaquin
Valley only after consultation with the TPAs and SJVUAPCD.
5.3.4.5 ARB will:
5.3.4.5.1 Participate in consultation meetings during development of control strategy implementation plan revisions.
5.3.4.5.2 Provide timely guidance to the SJVUAPCD during development of control strategy implementation plan
5.3.4.5.3 Review all draft and final control strategy implementation plan submittals for compliance with applicable
5.3.4.5.4 Submit control strategy implementation plan revisions to the USEPA for approval.
5.3.4.5.5 Provide the most recent USEPA-approved emission factors (EMFAC) to the SJVUAPCD for use in control
strategy implementation plan emissions analysis.
5.3.4.6 FHWA and FTA will:
5.3.4.6.1 Review and comment as appropriate on the relevant contents of proposed control strategy implementation
plan revisions.
5.3.4.6.2 Provide guidance on the transportation conformity implications of proposed control strategy implementation
5.3.4.7 Other Recipients of Funds Under Title 23 U.S.C. or the Federal Transit Act will:
5.3.4.7.1 Review and comment as appropriate on the relevant conformity determination issues.
5.4 Interagency Consultation Procedures: Specific Processes for Transportation Conformity
5.4.1 The consultation process shall include the specific issues listed in the following items 5.4.1.1 - 5.4.1.6.
Recommendations and decisions on these issues will be developed by the TPA technical representatives and presented
at regularly scheduled meetings of the TPA Directors Association. In developing these recommendations, the designated
TPA technical representatives will solicit and consider input from SJVUAPCD, USEPA, ARB, FHWA, FTA, Caltrans, and
agencies receiving Federal transportation funds. The TPA Directors Association will take action on these recommendations.
Meeting agendas will note when such issues are to be discussed.
5.4.1.1 Evaluating and choosing a model (or models) and associated methods and assumptions to be used in hot-spot
analyses and regional emissions analyses;
5.4.1.2 Determining which minor arterials and other transportation projects (if any) should be considered "regionally
significant" for the purposes of regional emissions analysis (in addition to those functionally classified
as principal arterial or higher or fixed guideway systems or extensions that offer an alternative to regional highway
travel), and which projects should be considered to have a significant change in design concept and scope from
the RTP or TIP;
5.4.1.3 Evaluating whether projects otherwise exempted from meeting the requirements of paragraphs 4.1. and
4.2 of the transportation conformity rule should be treated as non-exempt in cases where potential adverse emissions
impacts may exist for any reason;
5.4.1.4 Making a determination, as required by Section 6.8.3.1 of the transportation conformity rule, whether
past obstacles to implementation of TCMs which are behind the schedule established in the control strategy implementation
plan have been identified and are being overcome, and whether TCMs are being given maximum priority for approval
and/or funding. This process shall also consider whether delays in TCM implementation necessitate revisions to
the State Implementation Plan to remove TCMs or substitute TCMs or other emission reduction measures;
5.4.1.5 Identifying, as required by paragraph 7.2.4, projects located at sites in PM10 nonattainment
areas which have vehicle and roadway emission and dispersion characteristics which are essentially identical to
those at sites which have violations verified by monitoring, and therefore require quantitative PM10
hot-spot analysis; and
5.4.1.6 Notification of RTP or TIP revisions or amendments which merely add or delete exempt projects listed
in paragraph 4.1 of the transportation conformity rule.
5.4.2 The TPAs shall consult, in accordance with paragraph 5.4.1, with the SJVUAPCD, ARB, USEPA, Caltrans, FHWA,
FTA, and other local agencies which receive Federal transportation funds on the following transportation conformity
5.4.2.1 Evaluating events which will trigger new transportation conformity determinations in addition to those
triggering events established in paragraph 8.0; and
5.4.2.2 Consulting on emissions analysis for transportation activities which cross the borders of TPAs or nonattainment
areas or air basins.
5.4.3 Where the metropolitan planning area does not cover the entire nonattainment or maintenance area, the TPA
and Caltrans shall undertake cooperative planning and analysis for purposes of determining transportation conformity
of all projects outside the metropolitan area and within the nonattainment or maintenance area. This will be accomplished
through the consultation procedures outlined in paragraph 5.2.1 of this section.
5.4.4 The TPAs shall ensure that member jurisdictions regularly disclose plans for construction of regionally
significant projects which are not FHWA/FTA projects (including projects for which alternative locations, design
concept and scope, or the no-build option are still being considered), including those by recipients of funds designated
under title 23 U.S.C. or the Federal Transit Act, and ensure that any changes to those plans are regularly disclosed.
5.4.5 The TPAs and other recipients of funds designated under title 23 U.S.C. or the Federal Transit Act shall
assign a location and design concept and scope of projects which are disclosed to the TPA by its member jurisdictions
as required by paragraph 5.4.4 of this section but whose sponsors have not yet decided these features, in sufficient
detail to perform the regional emissions analysis according to the requirements of paragraph 7.1. These assignments
will be based on the judgement of the TPA and will be discussed at the TPA technical level; issues of regional
importance requiring policy-level decisions will be addressed by the TPA Directors Association.
5.4.6 The TPAs shall consult with each agency listed in paragraph 5.1 on the design, schedule and funding of
research and data collection efforts and regional transportation model development (e.g., household/travel transportation
surveys) initially at the technical level through the appropriate technical committee established by the TPA Directors
Association. Issues of regional and/or policy significance will be presented to the TPA Directors Association.
5.4.7 The TPAs, SJVUAPCD and Caltrans shall distribute final documents (including control strategy implementation
plan revisions) and supporting information to each agency within two weeks after approval or adoption.
5.5 Resolving Conflicts Relating to Transportation Conformity Determinations
5.5.1 Conflicts relating to transportation conformity determinations among State agencies, or between State agencies
and the TPA(s), or among TPA member jurisdictions, shall be identified by a TPA or agency in writing to the other
TPA or agency and (as appropriate) the SJVUAPCD, ARB, Caltrans, FHWA, FTA, and USEPA. The TPA or member jurisdiction
initially identifying the conflict has responsibility for determining which agencies should be notified. The TPA's
or agency's written notice shall:
5.5.1.1 Explain the nature of the conflict.
5.5.1.2 Review options for resolving the conflict.
5.5.1.3 Describe the TPA's or agency's proposal to resolve the conflict.
5.5.1.4 Explain the consequences of not reaching resolution.
5.5.1.5 Request that comments on the matter be received within two weeks.
5.5.2 If the above action does not result in a resolution to the conflict, a meeting shall be held within four
weeks after the initial letter documenting the conflict among the involved agencies and TPA(s). Agencies not able
to attend the meeting must provide any input in writing prior to the meeting.
5.5.3 If staff of the involved agencies cannot resolve the conflict, the heads of the involved agencies, or
their designees, shall meet to resolve differences in a manner acceptable to all involved parties.
5.5.4 Conflicts shall be escalated to the Governor if they cannot be resolved by the heads of the involved agencies.
The ARB has 14 calendar days to appeal to the Governor after Caltrans or the TPAs or other involved agency have
notified the Director of the ARB that either party plans to proceed with their conformity determination that is
the source of the unresolved conflict. If the ARB appeals to the Governor, the final transportation conformity
determination must have the concurrence of the Governor. If the ARB does not appeal to the Governor within 14 days,
the TPA or other project sponsor may proceed with the final transportation conformity determination. The Governor
may delegate his or her role in the process, but not to the Director or staff of the SJVUAPCD, ARB, Caltrans, or
a TPA.
5.6 Public Consultation Procedures.
5.6.1 Affected agencies making conformity determinations on transportation plans, programs, and projects shall
establish a proactive public involvement process and will allow opportunity for public review and comment prior
to taking formal action on a transportation conformity determination for all RTPs and TIPs, consistent with the
requirements of 23 CFR part 450. In addition, any such agency must specifically address in writing all public comments
about known plans for a regionally significant project which is not receiving FHWA or FTA funding or approval and
that has not been properly reflected in the emissions analysis supporting a proposed conformity finding for a transportation
plan or TIP. These agencies will also provide an opportunity for public involvement in transportation conformity
determinations for projects where otherwise required by law. Local entities specified in Section 450.316(b)(4)
of FHWA/FTA's Statewide Planning: Metropolitan Planning are to be included in the public consultation process.
6.0 Requirements
6.1 Content of Transportation Plans
6.1.1 Transportation plans adopted after January 1, 1995, in serious, severe, or extreme ozone nonattainment areas
and in serious carbon monoxide nonattainment areas, must specifically describe the transportation system envisioned
for certain future years which shall be called horizon years.
6.1.1.1 The agency or organization developing the transportation plan may choose any years to be horizon years,
6.1.1.1.1 Horizon years may be no more than 10 years apart.
6.1.1.1.2 The first horizon year may be no more than 10 years from the base year used to validate the transportation
demand planning model.
6.1.1.1.3 If the attainment year is in the time span of the transportation plan, the attainment year must be
a horizon year.
6.1.1.1.4 The last horizon year must be the last year of the transportation plan's forecast period.
6.1.1.2 For these horizon years:
6.1.1.2.1 The transportation plan shall quantify and document the demographic and employment factors influencing
expected transportation demand, including land use forecasts, in accordance with implementation plan provisions
and 5.0;
6.1.1.2.2 The highway and transit system shall be described in terms of the regionally significant additions
or modifications to the existing transportation network which the transportation plan envisions to be operational
in the horizon years. Additions and modifications to the highway network shall be sufficiently identified to indicate
intersections with existing regionally significant facilities, and to determine their effect on route options between
transportation analysis zones. Each added or modified highway segment shall also be sufficiently identified in
terms of its design concept and design scope to allow modeling of travel times under various traffic volumes, consistent
with the modeling methods for area-wide transportation analysis in use by the MPO. Transit facilities, equipment,
and services envisioned for the future shall be identified in terms of design concept, design scope, and operating
policies sufficiently to allow modeling of their transit ridership. The description of additions and modifications
to the transportation network shall also be sufficiently specific to show that there is a reasonable relationship
between expected land use and the envisioned transportation system; and
6.1.1.2.3 Other future transportation policies, requirements, services, and activities, including intermodal
activities, shall be described.
6.1.2 Moderate areas reclassified to serious. Ozone or CO nonattainment areas which are reclassified from
moderate to serious must meet the requirements of paragraph 6.1.1 of this section within two years from the date
of reclassification.
6.1.3 Transportation plans for other areas. Transportation plans for other areas must meet the requirements
of paragraph 6.1.1 of this section at least to the extent it has been the previous practice of the MPO to prepare
plans which meet those requirements. Otherwise, transportation plans must describe the transportation system envisioned
for the future specifically enough to allow determination of conformity according to the criteria and procedures
of 6.4 - 6.22.
6.1.4 Savings. The requirements of this section supplement other requirements of applicable law or regulation
governing the format or content of transportation plans.
6.2 Relationship of transportation plan and TIP conformity with the project level NEPA process
The degree of specificity required in the transportation plan and the specific travel network assumed for air
quality modeling do not preclude the consideration of alternatives in the project level NEPA process or other project
development studies. Should the NEPA process result in a project with design concept and scope significantly different
from that in the transportation plan or TIP, the project must meet the criteria in 6.4 - 6.22 for projects not
from a TIP before NEPA process completion.
6.3 Fiscal constraints for transportation plans and TIPs
Transportation plans and TIPs must be fiscally constrained consistent with DOT's metropolitan planning regulations
at 23 CFR part 450 in order to be found in conformity.
6.4 Criteria and procedures for determining conformity of transportation plans, programs, and projects: General
6.4.1 In order to be found to conform, each transportation plan, program, and FHWA/FTA project must satisfy the
applicable criteria and procedures, for the applicable geographic sub-region of the San Joaquin Valley Air Basin,
in 6.5 - 6.22 as listed in Table 3 in paragraph 6.4.2 of this section, and must comply with all applicable conformity
requirements of implementation plans and of court orders for its planning area which pertain specifically to conformity
determination requirements. The criteria for making conformity determinations differ based on the action under
review (transportation plans, TIPs, and FHWA/FTA projects), the time period in which the conformity determination
is made, and the relevant pollutant. Each transportation plan, program and FHWA/FTA project which satisfies the
applicable criteria and procedures in 6.5 - 6.22 and complies with all applicable conformity requirements of implementation
plans and court orders for the applicable geographic sub-region of the San Joaquin Valley Air Basin cannot have
its conformity status changed, affected, or altered by the conformity status of any other plan, program or FHWA/FTA
project that covers another geographic sub-region of the San Joaquin Valley Air Basin.
6.4.2 The following table indicates the criteria and procedures in 6.5 - 6.22 which apply for each action in
TABLE 3 - CONFORMITY CRITERIA
Transportation Plan TIP Project (From a conforming plan and TIP) Project (Not from a conforming plan and TIP)
Sections 6.5, 6.6, 6.7, 6.8.2 Sections 6.5, 6.6, 6.7, 6.8.3 Sections 6.5, 6.6, 6.7, 6.9, 6.10, 6.11, 6.12 Sections 6.5, 6.6, 6.7, 6.8.4, 6.9, 6.11, 6.12
Sections 6.17, 6.20 Sections 6.18, 6.21 Section 6.16 Sections 6.16, 6.19, 6.22
Sections 6.13, 6.17, 6.20 Sections 6.14, 6.18, 6.21 Section 6.16 Sections 6.15, 6.16, 6.19, 6.22
CONTROL STRATEGY AND MAINTENANCE PERIOD
Section 6.13 Section 6.14 No additional criteria Section 6.15
Key to Table 3 - Conformity Criteria: 6.5 The conformity determination must be based on the latest planning
assumptions. 6.6 The conformity determination must be based on the latest emission
estimation model available. 6.7 The MPO must make the conformity determination according to
the consultation procedures of this rule and the implementation plan revision required by §51.396. 6.8 The transportation plan, TIP, or FHWA/FTA project which is not
from a conforming plan and TIP must provide for the timely implementation of TCMs from the applicable implementation
plan. 6.9 There must be a currently conforming transportation plan and
currently conforming TIP at the time of project approval. 6.10 The project must come from a conforming transportation plan
and program. 6.11 The FHWA/FTA project must not cause or contribute to any new
localized CO or PM10 violations or increase the frequency
or severity of any existing CO or PM10 violations in CO
and PM10 nonattainment and maintenance areas. 6.12 The FHWA/FTA project must comply with PM10 control measures in the applicable implementation plan. 6.13 The transportation plan must be consistent with the motor vehicle
emissions budget(s) in the applicable implementation plan or implementation plan submission. 6.14 The TIP must be consistent with the motor vehicle emissions
budget(s) in the applicable implementation plan or implementation plan submission. 6.15 The project which is not from a conforming transportation plan
and conforming TIP must be consistent with the motor vehicle emissions budget(s) in the applicable implementation
plan or implementation plan submission. 6.16 The FHWA/FTA project must eliminate or reduce the severity
and number of localized CO violations in the area substantially affected by the project (in CO nonattainment areas). 6.17 The transportation plan must contribute to emissions reductions
in ozone and CO nonattainment areas. 6.18 The TIP must contribute to emissions reductions in ozone and
CO nonattainment areas. 6.19 The project which is not from a conforming transportation plan
and TIP must contribute to emissions reductions in ozone and CO nonattainment areas. 6.20 The transportation plan must contribute to emission reductions
or must not increase emissions in PM10 and NO2 nonattainment areas. 6.21 The TIP must contribute to emission reductions or must not
increase emissions in PM10 and NO2 nonattainment areas. 6.22 The project which is not from a conforming transportation plan
and TIP must contribute to emission reductions or must not increase emissions in PM10 and NO2 nonattainment areas.
6.5 Criteria and procedures :Latest planning assumptions
6.5.1 The conformity determination, with respect to all other applicable criteria in 6.6 - 6.22, must be based
upon the most recent planning assumptions in force at the time of the conformity determination. This criterion
applies during all periods. The conformity determination must satisfy the requirements of paragraphs 6.5.2. through
6.5.6 of this section.
6.5.2 Assumptions must be derived from the estimates of current and future population, employment, travel, and
congestion most recently developed by the MPO or other agency authorized to make such estimates and approved by
the MPO. The conformity determination must also be based on the latest assumptions about current and future background
6.5.3 The conformity determination for each transportation plan and TIP must discuss how transit operating policies
(including fares and service levels) and assumed transit ridership have changed since the previous conformity determination.
6.5.4 The conformity determination must include reasonable assumptions about transit service and increases in
transit fares and road and bridge tolls over time.
6.5.5 The conformity determination must use the latest existing information regarding the effectiveness of the
TCMs which have already been implemented.
6.5.6 Key assumptions shall be specified and included in the draft documents and supporting materials used for
the interagency and public consultation required by 5.0.
6.6 Criteria and procedures: Latest emissions model
6.6.1 The conformity determination must be based on the latest emission estimation model available. This criterion
applies during all periods. It is satisfied if the most current version of the motor vehicle emissions model specified
by EPA for use in the preparation or revision of implementation plans in that State or area is used for the conformity
analysis. Where EMFAC is the motor vehicle emissions model used in preparing or revising the applicable implementation
plan, new versions must be approved by EPA before they are used in the conformity analysis.
6.6.2 EPA will consult with DOT to establish a grace period following the specification of any new model.
6.6.2.1 The grace period will be no less than three months and no more than 24 months after notice of availability
is published in the Federal Register.
6.6.2.2 The length of the grace period will depend on the degree of change in the model and the scope of re-planning
likely to be necessary by MPOs in order to assure conformity. If the grace period will be longer than three months,
EPA will announce the appropriate grace period in the Federal Register.
6.6.3 Conformity analyses for which the emissions analysis was begun during the grace period or before the Federal
Register notice of availability of the latest emission model may continue to use the previous version of the model
for transportation plans and TIPs. The previous model may also be used for projects if the analysis was begun during
the grace period or before the Federal Register notice of availability, provided no more than three years have
passed since the draft environmental document was issued.
6.7 Criteria and procedures: consultation
6.7.1 Each MPO must make a conformity determination according to the consultation procedures in this rule and according
to the public involvement procedures established by the MPO in compliance with 23 CFR part 450. This criterion
applies during all periods.
6.8 Criteria and procedures: Timely implementation of TCMs
6.8.1 The transportation plan, TIP, or FHWA/FTA project which is not from a conforming plan and TIP must provide
for the timely implementation of TCMs from the applicable implementation plan. This criterion applies during all
6.8.2 For transportation plans, this criterion is satisfied if the following two conditions are met:
6.8.2.1 The transportation plan, in describing the envisioned future transportation system, provides for the timely
completion or implementation of all TCMs in the applicable implementation plan which are eligible for funding under
title 23 U.S.C. or the Federal Transit Act, consistent with schedules included in the applicable implementation
6.8.2.2 Nothing in the transportation plan interferes with the implementation of any TCM in the applicable implementation
6.8.3 For TIPs, this criterion is satisfied if the following conditions are met:
6.8.3.1 An examination of the specific steps and funding source(s) needed to fully implement each TCM indicates
that TCMs which are eligible for funding under title 23 U.S.C. or the Federal Transit Act are on or ahead of the
schedule established in the applicable implementation plan, or, if such TCMs are behind the schedule established
in the applicable implementation plan, the MPO and DOT have determined that past obstacles to implementation of
the TCMs have been identified and have been or are being overcome, and that all State and local agencies with influence
over approvals or funding for TCMs are giving maximum priority to approval or funding of TCMs over other projects
within their control, including projects in locations outside the nonattainment or maintenance area.
6.8.3.2 If TCMs in the applicable implementation plan have previously been programmed for Federal funding but
the funds have not been obligated and the TCMs are behind the schedule in the implementation plan, then the TIP
cannot be found to conform if the funds intended for those TCMs are reallocated to projects in the TIP other than
TCMs, or if there are no other TCMs in the TIP, if the funds are reallocated to projects in the TIP other than
projects which are eligible for Federal funding under ISTEA's Congestion Mitigation and Air Quality Improvement
6.8.3.3 Nothing in the TIP may interfere with the implementation of any TCM in the applicable implementation
6.8.4 For FHWA/FTA projects which are not from a conforming transportation plan and TIP, this criterion is satisfied
if the project does not interfere with the implementation of any TCM in the applicable implementation plan.
6.9 Criteria and procedures: currently conforming transportation plan and TIP
There must be a currently conforming transportation plan and currently conforming TIP at the time of project
approval. This criterion applies during all periods. It is satisfied if the current transportation plan and TIP
have been found to conform to the applicable implementation plan by the MPO and DOT according to the procedures
of this rule. Only one conforming transportation plan or TIP may exist in any geographic subregion at any time;
conformity determinations of a previous transportation plan or TIP expire once the current plan or TIP is found
to conform by DOT. The conformity determination on a transportation plan or TIP will also lapse if conformity is
not determined according to the frequency requirements of 8.0.
6.10 Criteria and procedures: Projects from a plan and TIP
6.10.1 The project must come from a conforming plan and program. This criterion applies during all periods. If
this criterion is not satisfied, the project must satisfy all criteria in Table 3 for a project not from a conforming
transportation plan and TIP. A project is considered to be from a conforming transportation plan if it meets the
requirements of paragraph 6.10.2 of this section and from a conforming program if it meets the requirements of
paragraph 6.10.3 of this section.
6.10.2 A project is considered to be from a conforming transportation plan if one of the following conditions
6.10.2.1 For projects which are required to be identified in the transportation plan in order to satisfy 6.1, the
project is specifically included in the conforming transportation plan and the project's design concept and scope
have not changed significantly from those which were described in the transportation plan, or in a manner which
would significantly impact use of the facility; or
6.10.2.2 For projects which are not required to be specifically identified in the transportation plan, the project
is identified in the conforming transportation plan, or is consistent with the policies and purpose of the transportation
plan and will not interfere with other projects specifically included in the transportation plan.
6.10.3 A project is considered to be from a conforming program if the following conditions are met:
6.10.3.1 The project is included in the conforming TIP and the design concept and scope of the project were adequate
at the time of the TIP conformity determination to determine its contribution to the TIP's regional emissions and
have not changed significantly from those which were described in the TIP, or in a manner which would significantly
impact use of the facility; and
6.10.3.2 If the TIP describes a project design concept and scope which includes project-level emissions mitigation
or control measures, written commitments to implement such measures must be obtained from the project sponsor and/or
operator as required by 7.4.1 in order for the project to be considered from a conforming program. Any change in
these mitigation or control measures that would significantly reduce their effectiveness constitutes a change in
the design concept and scope of the project.
6.11 Criteria and procedures: Localized CO and PM10 violations (hot spots).
6.11.1 The FHWA/FTA project must not cause or contribute to any new localized CO or PM10 violations
or increase the frequency or severity of any existing CO or PM10 violations in CO and PM10
nonattainment and maintenance areas. This criterion applies during all periods. This criterion is satisfied if
it is demonstrated that no new local violations will be created and the severity or number of existing violations
will not be increased as a result of the project.
6.11.2 The demonstration must be performed according to the requirements of 5.4.1.1 and 7.2.
6.11.3 For projects which are not of the type identified by 7.2.1 or 7.2.4, this criterion may be satisfied
if consideration of local factors clearly demonstrates that no local violations presently exist and no new local
violations will be created as a result of the project. Otherwise, in CO nonattainment and maintenance areas, a
quantitative demonstration must be performed according to the requirements of 7.2.2.
6.12 Criteria and procedures: Compliance with PM10 control measures. The FHWA/FTA project must comply
with PM10 control measures in the applicable implementation plan. This criterion applies during
all periods. It is satisfied if control measures (for the purpose of limiting PM10 emissions from the
construction activities and/or normal use and operation associated with the project) contained in the applicable
implementation plan are included in the final plans, specifications, and estimates for the project.
6.13 Criteria and procedures: Motor vehicle emissions budget (transportation plan)
6.13.1 The transportation plan must be consistent with the motor vehicle emissions budget(s) in the applicable
implementation plan (or implementation plan submission). This criterion applies during the transitional period
and the control strategy and maintenance periods, except as provided in 9.0. This criterion may be satisfied if
the requirements in paragraphs 6.13.2 and 6.13.3 of this section are met:
6.13.2 A regional emissions analysis shall be performed as follows:
6.13.2.1 The regional analysis shall estimate emissions of any of the following pollutants and pollutant precursors
for which the area is in nonattainment or maintenance and for which the applicable implementation plan (or implementation
plan submission) establishes an emissions budget:
6.13.2.1.1 VOC as an ozone precursor;
6.13.2.1.2 NOx as an ozone precursor, unless the Administrator determines that additional reductions
of NOx would not contribute to attainment;
6.13.2.1.3 CO;
6.13.2.1.4 PM10 (and its precursors VOC and/or NOx if the applicable implementation plan
or implementation plan submission identifies transportation-related precursor emissions within the nonattainment
area as a significant contributor to the PM10 nonattainment problem or establishes a budget for such
emissions); or
6.13.2.1.5 NOx (in NO2 nonattainment or maintenance areas);
6.13.2.2 The regional emissions analysis shall estimate emissions from the entire transportation system, including
all regionally significant projects contained in the transportation plan and all other regionally significant highway
and transit projects expected in the nonattainment or maintenance area in the timeframe of the transportation plan;
6.13.2.3 The emissions analysis methodology shall meet the requirements of 7.1;
6.13.2.4 For areas with a transportation plan that meets the content requirements of 6.1.1, the emissions analysis
shall be performed for each horizon year. Emissions in milestone years which are between the horizon years may
be determined by interpolation of model inputs; and
6.13.2.5 For areas with a transportation plan that does not meet the content requirements of 6.1.1, the emissions
analysis shall be performed for any years in the time span of the transportation plan provided they are not more
than ten years apart and provided the analysis is performed for the last year of the plan's forecast period. If
the attainment year is in the time span of the transportation plan, the emissions analysis must also be performed
for the attainment year. Emissions in milestone years which are between these analysis years may be determined
by interpolation.
6.13.3 The regional emissions analysis shall demonstrate that for each of the applicable pollutants or pollutant
precursors in paragraph 6.13.2.1 of this section the emissions are less than or equal to the applicable subregional
motor vehicle emissions budget as established in the applicable implementation plan or implementation plan submission
6.13.3.1 If the applicable implementation plan or implementation plan submission establishes emissions budgets
for milestone years, emissions in each milestone year are less than or equal to the applicable subregional motor
vehicle emissions budget established for that year;
6.13.3.2 For nonattainment areas, emissions in the attainment year are less than or equal to the applicable
subregional motor vehicle emissions budget established in the applicable implementation plan or implementation
plan submission for that year;
6.13.3.3 For nonattainment areas, emissions in each analysis or horizon year after the attainment year are less
than or equal to the applicable subregional motor vehicle emissions budget established by the applicable implementation
plan or implementation plan submission for the attainment year. If emissions budgets are established for years
after the attainment year, emissions in each analysis year or horizon year must be less than or equal to the motor
vehicle emissions budget for that year, if any, or the applicable subregional motor vehicle emissions budget for
the most recent budget year prior to the analysis year or horizon year; and
6.13.3.4 For maintenance areas, emissions in each analysis or horizon year are less than or equal to the applicable
subregional motor vehicle emissions budget established by the maintenance plan for that year, if any, or the emissions
budget for the most recent budget year prior to the analysis or horizon year.
6.14 Criteria and procedures: Motor vehicle emissions budget (TIP)
6.14.1 The TIP must be consistent with the applicable subregional motor vehicle emissions budget(s) in the applicable
6.14.2 For areas with a conforming transportation plan that fully meets the content requirements of 6.1.1, this
criterion may be satisfied without additional regional analysis if:
6.14.2.1 Each program year of the TIP is consistent with the Federal funding which may be reasonably expected for
that year, and required State/local matching funds and funds for State/local funding-only projects are consistent
with the revenue sources expected over the same period; and
6.14.2.2 The TIP is consistent with the conforming transportation plan such that the regional emissions analysis
already performed for the plan applies to the TIP also. This requires a demonstration that:
6.14.2.2.1 The TIP contains all projects which must be started in the TIP's timeframe in order to achieve the highway
and transit system envisioned by the transportation plan in each of its horizon years;
6.14.2.2.2 All TIP projects which are regionally significant are part of the specific highway or transit system
envisioned in the transportation plan's horizon years; and
6.14.2.2.3 The design concept and scope of each regionally significant project in the TIP is not significantly
different from that described in the transportation plan.
6.14.2.3 If the requirements in paragraphs 6.14.2.1 and 6.14.2.2 of this section are not met, then:
6.14.2.3.1 The TIP may be modified to meet those requirements; or
6.14.2.3.2 The transportation plan must be revised so that the requirements in paragraphs 6.14.2.1 and 6.14.2.2
of this section are met. Once the revised plan has been found to conform, this criterion is met for the TIP with
no additional analysis except a demonstration that the TIP meets the requirements of paragraphs 6.14.2.1 and 6.14.2.2
6.14.3 For areas with a transportation plan that does not meet the content requirements of 6.1.1, a regional emissions
analysis must meet all of the following requirements:
6.14.3.1 The regional emissions analysis shall estimate emissions from the entire transportation system, including
all projects contained in the proposed TIP, the transportation plan, and all other regionally significant highway
6.14.3.2 The analysis methodology shall meet the requirements of 7.1.3; and
6.14.3.3 The regional analysis shall satisfy the requirements of 6.13.2.1, 6.13.2.5, and 6.13.3.
6.15 Criteria and procedures: Motor vehicle emissions budget (project not from a plan or TIP)
6.15.1 The project which is not from a conforming transportation plan and a conforming TIP must be consistent with
the applicable, subregional motor vehicle emissions budget(s) in the applicable implementation plan (or implementation
plan submission). This criterion applies during the transitional period and the control strategy and maintenance
periods, except as provided in 9.0. It is satisfied if emissions from the implementation of the project, when considered
with the emissions from the projects in the conforming transportation plan and TIP and all other regionally significant
projects expected in the area, do not exceed the motor vehicle emissions budget(s) in the applicable implementation
plan (or implementation plan submission).
6.15.2 For areas with a conforming transportation plan that meets the content requirements of 6.1.1:
6.15.2.1 This criterion may be satisfied without additional regional analysis if the project is included in the
conforming transportation plan, even if it is not specifically included in the latest conforming TIP. This requires
a demonstration that:
6.15.2.1.1 Allocating funds to the project will not delay the implementation of projects in the transportation
plan or TIP which are necessary to achieve the highway and transit system envisioned by the transportation plan
in each of its horizon years;
6.15.2.1.2 The project is not regionally significant or is part of the specific highway or transit system envisioned
in the transportation plan's horizon years; and
6.15.2.1.3 The design concept and scope of the project is not significantly different from that described in
the transportation plan.
6.15.2.2 If the requirements in paragraph 6.15.2.1 of this section are not met, a regional emissions analysis must
be performed as follows:
6.15.2.2.1 The analysis methodology shall meet the requirements of 7.1;
6.15.2.2.2 The analysis shall estimate emissions from the transportation system, including the proposed project
and all other regionally significant projects expected in the nonattainment or maintenance area in the timeframe
of the transportation plan. The analysis must include emissions from all previously approved projects which were
not from a transportation plan and TIP; and
6.15.2.2.3 The emissions analysis shall meet the requirements of 6.13.2.1, 6.13.2.4, and 6.13.3.
6.15.3 For areas with a transportation plan that does not meet the content requirements of 6.1.1, a regional emissions
analysis must be performed for the project together with the conforming TIP and all other regionally significant
projects expected in the nonattainment or maintenance area. This criterion may be satisfied if:
6.15.3.1 The analysis methodology meets the requirements of 7.1.3;
6.15.3.2 The analysis estimates emissions from the transportation system, including the proposed project, and
all other regionally significant projects expected in the nonattainment or maintenance area in the timeframe of
the transportation plan; and
6.15.3.3 The regional analysis satisfies the requirements of 6.13.2.1, 6.13.2.5, 6.13.2.3.
6.16 Criteria and procedures: Localized CO violations (hot spots) in the interim period.
6.16.1 Each FHWA/FTA project must eliminate or reduce the severity and number of localized CO violations in the
area substantially affected by the project (in CO nonattainment areas). This criterion applies during the interim
and transitional periods only. This criterion is satisfied with respect to existing localized CO violations if
it is demonstrated that existing localized CO violations will be eliminated or reduced in severity and number as
6.16.2 The demonstration must be performed according to the requirements of 5.3.1.1 and 7.2.
6.16.3 For projects which are not of the type identified by 7.2.1, this criterion may be satisfied if consideration
of local factors clearly demonstrates that existing CO violations will be eliminated or reduced in severity and
number. Otherwise, a quantitative demonstration must be performed according to the requirements of 7.2.2.
6.17 Criteria and procedures: Interim period reductions in ozone and CO areas (transportation plan).
6.17.1 A transportation plan must contribute to emissions reductions in ozone and CO nonattainment areas. This
criterion applies during the interim and transitional periods only, except as otherwise provided in 9.0. It applies
to the net effect on emissions of all projects contained in a new or revised transportation plan. This criterion
may be satisfied if a regional emissions analysis is performed as described in paragraphs 6.17.2 through 6.17.6
6.17.2 Determine the analysis years for which emissions are to be estimated. Analysis years shall be no more
than ten years apart. The first analysis year shall be no later than the first milestone year (1995 in CO nonattainment
areas and 1996 in ozone nonattainment areas). The second analysis year shall be either the attainment year for
the area, or if the attainment year is the same as the first analysis year or earlier, the second analysis year
shall be at least five years beyond the first analysis year. The last year of the transportation plan's forecast
period shall also be an analysis year.
6.17.3 Define the 'Baseline' scenario for each of the analysis years to be the future transportation system
that would result from current programs, composed of the following (except that projects listed in 4.1 and 4.2
need not be explicitly considered):
6.17.3.1 All in-place regionally significant highway and transit facilities, services and activities;
6.17.3.2 All ongoing travel demand management or transportation system management activities; and
6.17.3.3 Completion of all regionally significant projects, regardless of funding source, which are currently
under construction or are undergoing right-of-way acquisition (except for hardship acquisition and protective buying);
come from the first three years of the previously conforming transportation plan and/or TIP; or have completed
the NEPA process. (For the first conformity determination on the transportation plan after November 24, 1993, a
project may not be included in the "Baseline" scenario if one of the following major steps has not occurred
within the past three years: NEPA process completion; start of final design; acquisition of a significant portion
of the right-of-way; or approval of the plans, specifications and estimates. Such a project must be included in
the "Action" scenario, as described in paragraph 6.17.4 of this section.)
6.17.4 Define the 'Action' scenario for each of the analysis years as the transportation system that will result
in that year from the implementation of the proposed transportation plan, TIPs adopted under it, and other expected
regionally significant projects in the nonattainment area. It will include the following (except that projects
listed in 4.1 and 4.2 need not be explicitly considered):
6.17.4.1 All facilities, services, and activities in the 'Baseline' scenario;
6.17.4.2 Completion of all TCMs and regionally significant projects (including facilities, services, and activities)
specifically identified in the proposed transportation plan which will be operational or in effect in the analysis
year, except that regulatory TCMs may not be assumed to begin at a future time unless the regulation is already
adopted by the enforcing jurisdiction or the TCM is identified in the applicable implementation plan;
6.17.4.3 All travel demand management programs and transportation system management activities known to the
MPO, but not included in the applicable implementation plan or utilizing any Federal funding or approval, which
have been fully adopted and/or funded by the enforcing jurisdiction or sponsoring agency since the last conformity
determination on the transportation plan;
6.17.4.4 The incremental effects of any travel demand management programs and transportation system manageent
activities known to the MPO, but not included in the applicable implementation plan or utilizing any Federal funding
or approval, which were adopted and/or funded prior to the date of the last conformity determination on the transportation
plan, but which have been modified since then to be more stringent or effective;
6.17.4.5 Completion of all expected regionally significant highway and transit projects which are not from a
conforming transportation plan and TIP; and
6.17.4.6 Completion of all expected regionally significant non-FHWA/FTA highway and transit projects that have
clear funding sources and commitments leading toward their implementation and completion by the analysis year.
6.17.5 Estimate the emissions predicted to result in each analysis year from travel on the transportation systems
defined by the 'Baseline' and 'Action' scenarios and determine the difference in regional VOC and NOx
emissions, unless the Administrator determines that additional reductions of NOx would not contribute
to attainment, between the two scenarios for ozone nonattainment areas and the difference in CO emissions between
the two scenarios for CO nonattainment areas. The analysis must be performed for each of the analysis years according
to the requirements of 7.1. Emissions in milestone years which are between the analysis years may be determined
6.17.6 This criterion is met if the regional VOC and NOx emissions (for ozone nonattainment areas)
and CO emissions (for CO nonattainment areas) predicted in the 'Action' scenario are less than the emissions predicted
from the 'Baseline' scenario in each analysis year, and if this can reasonably be expected to be true in the periods
between the first milestone year and the analysis years. The regional analysis must show that the 'Action' scenario
contributes to a reduction in emissions from the 1990 emissions by any nonzero amount.
6.18 Criteria and procedures: Interim period reductions in ozone and CO areas (TIP).
6.18.1 A TIP must contribute to emissions reductions in ozone and CO nonattainment areas. This criterion
applies during the interim and transitional periods only, except as otherwise provided in 9.0. It applies to the
net effect on emissions of all projects contained in a new or revised TIP. This criterion may be satisfied if a
regional emissions analysis is performed as described in paragraphs 6.18.2 through 6.18.6 of this section.
6.18.2 Determine the analysis years for which emissions are to be estimated. The first analysis year shall be
no later than the first milestone year (1995 in CO nonattainment areas and 1996 in ozone nonattainment areas).
The analysis years shall be no more than ten years apart. The second analysis year shall be either the attainment
year for the area, or if the attainment year is the same as the first analysis year or earlier, the second analysis
year shall be at least five years beyond the first analysis year. The last year of the transportation plan's forecast
6.18.3 Define the 'Baseline' scenario as the future transportation system that would result from current programs,
composed of the following (except that projects listed in 4.1 and 4.2 need not be explicitly considered):
6.18.3.1 All in-place regionally significant highway and transit facilities, services and activities;
6.18.3.2 All ongoing travel demand management or transportation system management activities; and
6.18.3.3 Completion of all regionally significant projects, regardless of funding source, which are currently
come from the first three years of the previously conforming TIP; or have completed the NEPA process. (For the
first conformity determination on the TIP after November 24, 1993, a project may not be included in the "Baseline"
scenario if one of the following major steps has not occurred within the past three years: NEPA process completion;
start of final design; acquisition of a significant portion of the right-of-way; or approval of the plans, specifications
and estimates. Such a project must be included in the "Action" scenario, as described in paragraph (d)
6.18.4 Define the 'Action' scenario as the future transportation system that will result from the implementation
of the proposed TIP and other expected regionally significant projects in the nonattainment area in the timeframe
of the transportation plan. It will include the following (except that projects listed in 4.1 and 4.2 need not
be explicitly considered):
6.18.4.1 All facilities, services, and activities in the 'Baseline' scenario;
6.18.4.2 Completion of all TCMs and regionally significant projects (including facilities, services, and activities)
included in the proposed TIP, except that regulatory TCMs may not be assumed to begin at a future time unless the
regulation is already adopted by the enforcing jurisdiction or the TCM is contained in the applicable implementation
6.18.4.3 All travel demand management programs and transportation system management activities known to the
determination on the TIP;
6.18.4.4 The incremental effects of any travel demand management programs and transportation system management
or approval, which were adopted and/or funded prior to the date of the last conformity determination on the TIP,
but which have been modified since then to be more stringent or effective;
6.18.4.5 Completion of all expected regionally significant highway and transit projects which are not from a
6.18.4.6 Completion of all expected regionally significant non-FHWA/FTA highway and transit projects that have
6.18.5 Estimate the emissions predicted to result in each analysis year from travel on the transportation systems
defined by the 'Baseline' and 'Action' scenarios, and determine the difference in regional VOC and NOx emissions
(unless the Administrator determines that additional reductions of NOx would not contribute to attainment)
between the two scenarios for ozone nonattainment areas and the difference in CO emissions between the two scenarios
for CO nonattainment areas. The analysis must be performed for each of the analysis years according to the requirements
of 7.1. Emissions in milestone years which are between analysis years may be determined by interpolation.
6.18.6 This criterion is met if the regional VOC and NOx emissions in ozone nonattainment areas and
CO emissions in CO nonattainment areas predicted in the 'Action' scenario are less than the emissions predicted
from the 'Baseline' scenario in each analysis year, and if this can reasonably be expected to be true in the period
between the analysis years. The regional analysis must show that the 'Action' scenario contributes to a reduction
in emissions from the 1990 emissions by any nonzero amount.
6.19 Criteria and procedures: Interim period reductions for ozone and CO areas (project not from a plan and TIP).
A Transportation project which is not from a conforming transportation plan and TIP must contribute to emissions
reductions in ozone and CO nonattainment areas. This criterion applies during the interim and transitional periods
only, except as otherwise provided in 9.0. This criterion is satisfied if a regional emissions analysis is performed
which meets the requirements of 6.17 and which includes the transportation plan and project in the 'Action' scenario.
If the project which is not from a conforming transportation plan and TIP is a modification of a project currently
in the plan or TIP, the 'Baseline' scenario must include the project with its original design concept and scope,
and the 'Action' scenario must include the project with its new design concept and scope.
6.20 Criteria and procedures: Interim period reductions for PM10 and NO2 areas (transportation
6.20.1 A transportation plan must contribute to emission reductions or must not increase emissions in PM10
and NO2 nonattainment areas. This criterion applies only during the interim and transitional periods.
It applies to the net effect on emissions of all projects contained in a new or revised transportation plan. This
criterion may be satisfied if the requirements of either paragraph 6.20.2 or 6.20.3 of this section are met.
6.20.2 Demonstrate that implementation of the plan and all other regionally significant projects expected in
the nonattainment area will contribute to reductions in emissions of PM10 in a PM10 nonattainment
area (and of each transportation-related precursor of PM10 in PM10 nonattainment areas if
the EPA Regional Administrator or the director of the State air agency has made a finding that such precursor emissions
from within the nonattainment area are a significant contributor to the PM10 nonattainment problem and
has so notified the MPO and DOT) and of NOx in an NO2 nonattainment area, by performing a
regional emissions analysis as follows:
6.20.2.1 Determine the analysis years for which emissions are to be estimated. Analysis years shall be no more
than ten years apart. The first analysis year shall be no later than 1996 (for NO2 areas) or four years
and six months following the date of designation (for PM10 areas). The second analysis year shall be
either the attainment year for the area, or if the attainment year is the same as the first analysis year or earlier,
the second analysis year shall be at least five years beyond the first analysis year. The last year of the transportation
plan's forecast period shall also be an analysis year.
6.20.2.2 Define for each of the analysis years the "Baseline" scenario, as defined in 6.17.3, and
the "Action" scenario, as defined in 6.17.4.
6.20.2.3 Estimate the emissions predicted to result in each analysis year from travel on the transportation
systems defined by the "Baseline" and "Action" scenarios and determine the difference between
the two scenarios in regional PM10 emissions in a PM10 nonattainment area (and transportation-related
precursors of PM10 in PM10 nonattainment areas if the EPA Regional Administrator or the director
of the State air agency has made a finding that such precursor emissions from within the nonattainment area are
a significant contributor to the PM10 nonattainment problem and has so notified the MPO and DOT) and
in NOx emissions in an NO2 nonattainment area. The analysis must be performed for each of
the analysis years according to the requirements of 7.1. The analysis must address the periods between the analysis
years and the periods between 1990, the first milestone year (if any), and the first of the analysis years. Emissions
in milestone years which are between the analysis years may be determined by interpolation.
6.20.2.4 Demonstrate that the regional PM10 emissions and PM10 precursor emissions, where
applicable, (for PM10 nonattainment areas) and NOx emissions (for NO2 nonattainment
areas) predicted in the 'Action' scenario are less than the emissions predicted from the 'Baseline' scenario in
each analysis year, and that this can reasonably be expected to be true in the periods between the first milestone
year (if any) and the analysis years.
6.20.3 Demonstrate that when the projects in the transportation plan and all other regionally significant projects
expected in the nonattainment area are implemented, the transportation system's total highway and transit emissions
of PM10 in a PM10 nonattainment area (and transportation-related precursors of PM10
in PM10 nonattainment areas if the EPA Regional Administrator or the director of the State air agency
has made a finding that such precursor emissions from within the nonattainment area are a significant contributor
to the PM10 nonattainment problem and has so notified the MPO and DOT) and of NOx in an NO2
nonattainment area will not be greater than baseline levels, by performing a regional emissions analysis as follows:
6.20.3.1 Determine the baseline regional emissions of PM10 and PM10 precursors, where applicable
(for PM10 nonattainment areas) and NOx (for NO2 nonattainment areas) from highway
and transit sources. Baseline emissions are those estimated to have occurred during calendar year 1990, unless
the implementation plan revision defines the baseline emissions for a PM10 area to be those occurring
in a different calendar year for which a baseline emissions inventory was developed for the purpose of developing
a control strategy implementation plan.
6.20.3.2 Estimate the emissions of the applicable pollutant(s) from the entire transportation system, including
projects in the transportation plan and TIP and all other regionally significant projects in the nonattainment
area, according to the requirements of 7.1. Emissions shall be estimated for analysis years which are no more than
ten years apart. The first analysis year shall be no later than 1996 (for NO2 areas) or four years and
six months following the date of designation (for PM10 areas). The second analysis year shall be either
the attainment year for the area, or if the attainment year is the same as the first analysis year or earlier,
6.20.3.3 Demonstrate that for each analysis year the emissions estimated in paragraph 6.20.3.2 of this section
are no greater than baseline emissions of PM10 and PM10 precursors, where applicable (for
PM10 nonattainment areas) or NOx (for NO2 nonattainment areas) from highway and
transit sources.
6.21 Criteria and procedures: Interim period reductions for PM10 and NO2 areas (TIP).
6.21.1 A TIP must contribute to emission reductions or must not increase emissions in PM10 and NO2
nonattainment areas. This criterion applies only during the interim and transitional periods. It applies to the
net effect on emissions of all projects contained in a new or revised TIP. This criterion may be satisfied if the
requirements of either paragraph 6.21.2 or paragraph 6.21.3 of this section are met.
6.21.2 Demonstrate that implementation of the plan and TIP and all other regionally significant projects expected
in the nonattainment area will contribute to reductions in emissions of PM10 in a PM10 nonattainment
area (and transportation-related precursors of PM10 in PM10 nonattainment areas if the EPA
Regional Administrator or the director of the State air agency has made a finding that such precursor emissions
6.21.2.1 Determine the analysis years for which emissions are to be estimated, according to the requirements of
6.21.2.2 Define for each of the analysis years the "Baseline" scenario, as defined in 6.18.3, and
the "Action" scenario, as defined in 6.18.4.
6.21.2.3 Estimate the emissions predicted to result in each analysis year from travel on the transportation
systems defined by the "Baseline" and "Action" scenarios as required by 6.20.2.3 and make the
demonstration required by 6.20.2.4.
6.21.3 Demonstrate that when the projects in the transportation plan and TIP and all other regionally significant
projects expected in the area are implemented, the transportation system's total highway and transit emissions
nonattainment area will not be greater than baseline levels, by performing a regional emissions analysis as required
by 6.20.3.1. - 6.20.3.3.
6.22 Criteria and procedures: Interim period reductions for PM10 and NO2 areas (project not
from a plan and TIP). A transportation project which is not from a conforming transportation plan and TIP must
contribute to emission reductions or must not increase emissions in PM10 and NO2 nonattainment
areas. This criterion applies during the interim and transitional periods only. This criterion is met if
a regional emissions analysis is performed which meets the requirements of 6.20 and which includes the transportation
plan and project in the 'Action' scenario. If the project which is not from a conforming transportation plan and
TIP is a modification of a project currently in the transportation plan or TIP, and 6.20.2 is used to demonstrate
satisfaction of this criterion, the 'Baseline' scenario must include the project with its original design concept
and scope, and the 'Action' scenario must include the project with its new design concept and scope.
6.23 Transition from the interim period to the control strategy period
6.23.1 Areas which submit a control strategy implementation plan revision after November 24, 1993.
6.23.1.1 The transportation plan and TIP must be demonstrated to conform according to transitional period criteria
and procedures by one year from the date the Clean Air Act requires submission of such control strategy implementation
plan revision. Otherwise, the conformity status of the transportation plan and TIP will lapse, and no new project-level
conformity determinations may be made.
6.23.1.1.1 The conformity of new transportation plans and TIPs may be demonstrated according to Phase II interim
period criteria and procedures for 90 days following submission of the control strategy implementation plan revision,
provided the conformity of such transportation plans and TIPs is redetermined according to transitional period
criteria and procedures as required in paragraph 6.23.1.1 of this section.
6.23.1.1.2 Beginning 90 days after submission of the control strategy implementation plan revision, new transportation
plans and TIPs shall demonstrate conformity according to transitional period criteria and procedures.
6.23.1.2 If EPA disapproves the submitted control strategy implementation plan revision and so notifies the State,
MPO, and DOT, which initiates the sanction process under Clean Air Act sections 179 or 110(m), the conformity status
of the transportation plan and TIP shall lapse 120 days after EPA's disapproval, and no new project-level conformity
determinations may be made. No new transportation plan, TIP, or project may be found to conform until another control
strategy implementation plan revision is submitted and conformity is demonstrated according to transitional period
criteria and procedures.
6.23.1.3 Notwithstanding paragraph 6.23.1.2 of this section, if EPA disapproves the submitted control strategy
implementation plan revision but determines that the control strategy contained in the revision would have been
considered approvable with respect to requirements for emission reductions if all committed measures had been submitted
in enforceable form as required by Clean Air Act §110(a)(2)(A), the provisions of paragraph 6.23.1.1 of this
section shall apply for 12 months following the date of disapproval. The conformity status of the transportation
plan and TIP shall lapse 12 months following the date of disapproval unless another control strategy implementation
plan revision is submitted to EPA and found to be complete.
6.23.2 Areas which have not submitted a control strategy implementation plan revision.
6.23.2.1 For areas whose Clean Air Act deadline for submission of the control strategy implementation plan revision
is after November 24, 1993, and EPA has notified the State, MPO, and DOT of the State's failure to submit a control
strategy implementation plan revision, which initiates the sanction process under Clean Air Act sections 179 or
110(m):
6.23.2.1.1 No new transportation plans or TIPs may be found to conform beginning 120 days after the Clean Air Act
6.23.2.1.2 The conformity status of the transportation plan and TIP shall lapse one year after the Clean Air
Act deadline, and no new project-level conformity determinations may be made.
6.23.2.2 For areas whose Clean Air Act deadline for submission of the control strategy implementation plan was
before November 24, 1993, and EPA has made a finding of failure to submit a control strategy implementation plan
revision, which initiates the sanction process under Clean Air Act sections 179 or 110(m), the following apply
unless the failure has been remedied and acknowledged by a letter from the EPA Regional Administrator:
6.23.2.2.1 No new transportation plans or TIPs may be found to conform beginning March 24, 1994; and
6.23.2.2.2 The conformity status of the transportation plan and TIP shall lapse November 24, 1994, and no new
project-level conformity determinations may be made.
6.23.3 Areas which have not submitted a complete control strategy implementation plan revision.
6.23.3.1 For areas where EPA notifies the State, MPO, and DOT after November 24, 1993, that the control strategy
implementation plan revision submitted by the State is incomplete, which initiates the sanction process under Clean
Air Act sections 179 or 110(m), the following apply unless the failure has been remedied and acknowledged by a
letter from the EPA Regional Administrator:
6.23.3.1.1 No new transportation plans or TIPs may be found to conform beginning 120 days after EPA's incompleteness
finding; and
6.23.3.1.2 The conformity status of the transportation plan and TIP shall lapse one year after the Clean Air
6.23.3.1.3 Notwithstanding paragraphs 6.23.3.1.1 and 6.23.3.1.2 of this section, if EPA notes in its incompleteness
finding that the submittal would have been considered complete with respect to requirements for emission reductions
if all committed measures had been submitted in enforceable form as required by Clean Air Act §110(a)(2)(A),
the provisions of paragraph 6.23.1.1 of this section shall apply for a period of 12 months following the date of
the incompleteness determination. The conformity status of the transportation plan and TIP shall lapse 12 months
following the date of the incompleteness determination unless another control strategy implementation plan revision
is submitted to EPA and found to be complete.
6.23.3.2 For areas where EPA has determined before November 24, 1993, that the control strategy implementation
plan revision is incomplete, which initiates the sanction process under Clean Air Act sections 179 or 110(m), the
following apply unless the failure has been remedied and acknowledged by a letter from the EPA Regional Administrator:
6.23.3.2.1 No new transportation plans or TIPs may be found to conform beginning March 24, 1994; and
6.23.3.2.2 The conformity status of the transportation plan and TIP shall lapse November 24, 1994, and no new
6.23.3.2.3 Notwithstanding paragraphs 6.23.3.2.1 and 6.23.3.2.2 of this section, if EPA notes in its incompleteness
the provisions of paragraph of this section shall apply for a period of 12 months following the date of the incompleteness
determination. The conformity status of the transportation plan and TIP shall lapse 12 months following the date
of the incompleteness determination unless another control strategy implementation plan revision is submitted to
EPA and found to be complete.
6.23.4 Areas which submitted a control strategy implementation plan before November 24, 1993.
6.23.4.1 The transportation plan and TIP must be demonstrated to conform according to transitional period criteria
and procedures by November 24, 1994. Otherwise, their conformity status will lapse, and no new project-level conformity
determinations may be made.
6.23.4.1.1 The conformity of new transportation plans and TIPs may be demonstrated according to Phase II interim
period criteria and procedures until February 22, 1994, provided the conformity of such transportation plans and
TIPs is redetermined according to transitional period criteria and procedures as required in paragraph 6.23.4.1
6.23.4.1.2 Beginning February 22, 1994, new transportation plans and TIPs shall demonstrate conformity according
to transitional period criteria and procedures.
6.23.4.2 If EPA has disapproved the most recent control strategy implementation plan submission, the conformity
status of the transportation plan and TIP shall lapse March 4, 1994, and no new project-level conformity determinations
may be made. No new transportation plans, TIPs, or projects may be found to conform until another control strategy
implementation plan revision is submitted and conformity is demonstrated according to transitional period criteria
6.23.4.3 Notwithstanding paragraph 6.23.4.2 of this section, if EPA has disapproved the submitted control strategy
in enforceable form as required by Clean Air Act §110(a)(2)(A), the provisions of paragraph 6.23.4.1 of this
section shall apply for 12 months following (insert date of publication in the Federal Register). The conformity
status of the transportation plan and TIP shall lapse 12 months following November 24, 1993, unless another control
strategy implementation plan revision is submitted to EPA and found to be complete.
6.23.5 Projects. If the currently conforming transportation plan and TIP have not been demonstrated to conform
according to transitional period criteria and procedures, the requirements of paragraphs 6.23.5.1 and 6.23.5.2
of this section must be met.
6.23.5.1 Before a FHWA/FTA project which is regionally significant and increases single-occupant vehicle capacity
(a new general purpose highway on a new location or adding general purpose lanes) may be found to conform, the
State air agency must be consulted on how the emissions which the existing transportation plan and TIP's conformity
determination estimates for the "Action" scenario (as required by 6.17 - 6.22) compare to the motor vehicle
emissions budget in the implementation plan submission or the projected motor vehicle emissions budget in the implementation
6.23.5.2 In the event of unresolved disputes on such project-level conformity determinations, the State air
agency may escalate the issue to the Governor consistent with the procedure in 5.0.4, which applies for any State
air agency comments on a conformity determination.
6.23.6 Redetermination of conformity of the existing transportation plan and TIP according to the transitional
period criteria and procedures.
6.23.6.1 The redetermination of the conformity of the existing transportation plan and TIP according to transitional
period criteria and procedures (as required by paragraphs 6.23.1.1 and 6.23.4.1 of this section) does not require
new emissions analysis and does not have to satisfy the requirements of 6.5 and 6.6 if:
6.23.6.1.1 The control strategy implementation plan revision submitted to EPA uses the MPO's modeling of the existing
transportation plan and TIP for its projections of motor vehicle emissions; and
6.23.6.1.2 The control strategy implementation plan does not include any transportation projects which are not
included in the transportation plan and TIP.
6.23.6.2 A redetermination of conformity as described in paragraph 6.23.6.1 of this section is not considered a
conformity determination for the purposes of 8.1.2.4 or 8.1.3.4 regarding the maximum intervals between conformity
determinations. Conformity must be determined according to all the applicable criteria and procedures of 6.4 within
three years of the last determination which did not rely on paragraph 6.23.6.1 of this section.
6.23.7 Ozone nonattainment areas.
6.23.7.1 The requirements of paragraph 6.23.2.1 of this section apply if a serious or above ozone nonattainment
area has not submitted the implementation plan revisions which Clean Air Act §§182(c)(2)(A) and 182(c)(2)(B)
require to be submitted to EPA November 15, 1994, even if the area has submitted the implementation plan revision
which Clean Air Act §182(b)(1) requires to be submitted to EPA November 15, 1993.
6.23.7.2 The requirements of paragraph 6.23.2.1 of this section apply if a moderate ozone nonattainment area
which is using photochemical dispersion modeling to demonstrate the "specific annual reductions as necessary
to attain" required by Clean Air Act §182(b)(1), and which has permission from EPA to delay submission
of such demonstration until November 15, 1994, does not submit such demonstration by that date. The requirements
of paragraph 6.23.2.1 of this section apply in this case even if the area has submitted the 15% emission reduction
demonstration required by Clean Air Act §182(b)(1).
6.23.7.3 The requirements of paragraph 6.23.1 of this section apply when the implementation plan revisions required
by Clean Air Act §§182(c)(2)(A) and 182(c)(2)(B) are submitted.
6.23.8 Nonattainment areas which are not required to demonstrate reasonable further progress and attainment. If
an area listed in 9.0 submits a control strategy implementation plan revision, the requirements of paragraphs 6.23.1
and 6.23.5 of this section apply. Because the areas listed in 9.0 are not required to demonstrate reasonable further
progress and attainment and therefore have no Clean Air Act deadline, the provisions of paragraph 6.23.2 of this
section do not apply to these areas at any time.
6.23.9 Maintenance plans. If a control strategy implementation plan revision is not submitted to EPA but a maintenance
plan required by Clean Air Act §175A is submitted to EPA, the requirements of paragraph 6.23.1 or 6.23.4 of
this section apply, with the maintenance plan submission treated as a "control strategy implementation plan
revision" for the purposes of those requirements.
6.24 Requirements for adoption or approval of projects by other recipients of funds designated under title 23 U.S.C.
or Federal Transit Act
No recipient of federal funds designated under title 23 U.S.C. or the Federal Transit Act shall adopt or approve
a regionally significant highway or transit project, regardless of funding source, unless there is a currently
conforming transportation plan and TIP consistent with the requirements of 6.9 and the requirements of one of the
following paragraphs 6.24.1 through 6.24.5 are met:
6.24.1 The project comes from a conforming plan and program consistent with the requirements of 6.10;
6.24.2 The project is included in the regional emissions analysis supporting the currently conforming TIP's
conformity determination, even if the project is not strictly "included" in the TIP for the purposes
of MPO project selection or endorsement, and the project's design concept and scope have not changed significantly
from those which were included in the regional emissions analysis, or in a manner which would significantly impact
use of the facility;
6.24.3 During the control strategy or maintenance period, the project is consistent with the motor vehicle emissions
budget(s) in the applicable implementation plan consistent with the requirements of 6.15;
6.24.4 During Phase II of the interim period, the project contributes to emissions reductions or does not increase
emissions consistent with the requirements of 6.19 (in ozone and CO nonattainment areas) or 6.22 (in PM10
and NO2 nonattainment areas); or
6.24.5 During the transitional period, the project satisfies the requirements of both paragraphs 6.24.3 and
6.24.4 of this section.
7.1 Procedures for determining regional transportation-related emissions
7.1.1 General requirements.
7.1.1.1 The regional emissions analysis for the transportation plan, TIP, or project not from a conforming plan
and TIP shall include all regionally significant projects expected in the nonattainment or maintenance area, including
FHWA/FTA projects proposed in the transportation plan and TIP and all other regionally significant projects which
are disclosed to the MPO as required by 5.0. Projects which are not regionally significant are not required to
be explicitly modeled, but VMT from such projects must be estimated in accordance with reasonable professional
practice. The effects of TCMs and similar projects that are not regionally significant may also be estimated in
accordance with reasonable professional practice.
7.1.1.2 The emissions analysis may not include for emissions reduction credit any TCMs which have been delayed
beyond the scheduled date(s) until such time as implementation has been assured. If the TCM has been partially
implemented and it can be demonstrated that it is providing quantifiable emission reduction benefits, the emissions
analysis may include that emissions reduction credit.
7.1.1.3 Emissions reduction credit from projects, programs, or activities which require a regulation in order
to be implemented may not be included in the emissions analysis unless the regulation is already adopted by the
enforcing jurisdiction. Adopted regulations are required for demand management strategies for reducing emissions
which are not specifically identified in the applicable implementation plan, and for control programs which are
external to the transportation system itself, such as tailpipe or evaporative emission standards, limits on gasoline
volatility, inspection and maintenance programs, and oxygenated or reformulated gasoline or diesel fuel. A regulatory
program may also be considered to be adopted if an opt-in to a Federally enforced program has been approved by
EPA, if EPA has promulgated the program (if the control program is a Federal responsibility, such as tailpipe standards),
or if the Clean Air Act requires the program without need for individual State action and without any discretionary
authority for EPA to set its stringency, delay its effective date, or not implement the program.
7.1.1.4 Notwithstanding paragraph 7.1.1.3 of this section, during the transitional period, control measures
or programs which are committed to in an implementation plan submission as described in 6.13 - 6.15, but which
has not received final EPA action in the form of a finding of incompleteness, approval, or disapproval may be assumed
for emission reduction credit for the purpose of demonstrating that the requirements of 6.13 - 6.15 are satisfied.
7.1.1.5 A regional emissions analysis for the purpose of satisfying the requirements of 6.17 - 6.19 may account
for the programs in paragraph 7.1.1.4 of this section, but the same assumptions about these programs shall be used
for both the "Baseline" and "Action" scenarios.
7.1.1.6 Ambient temperatures shall be consistent with those used to establish the emissions budget in the applicable
implementation plan. Factors other than temperatures, for example the fraction of travel in a hot stabilized engine
mode, may be modified after interagency consultation in accordance with paragraph 5.0 if the newer estimates incorporate
additional or more geographically specific information or represent a logically estimated trend in such factors
beyond the period considered in the applicable implementation plan.
7.1.2 MPOs in serious, severe, and extreme ozone nonattainment areas and serious carbon monoxide areas after January
1, 1995, must have a program for upgrading their existing modeling practices to meet the requirements of 7.1.2.1
through 7.1.2.5 of this section by June 30, 1997, consistent with the timelines identified in 7.1.2.1 through 7.1.2.5
of this section. Estimates of regional transportation-related emissions used to support conformity determinations
must be made according to procedures defined in the program for upgrading modeling practices.
7.1.2.1 A network-based transportation demand model or models relating travel demand and transportation system
performance to land-use patterns, population demographics, employment, transportation infrastructure, and transportation
policies must be used to estimate travel within the metropolitan planning area of the nonattainment area. Such
a model shall possess the following attributes:
7.1.2.1.1 By January 1, 1995, the modeling methods and the functional relationships used in the model(s) shall
in all respects be in accordance with acceptable professional practice, and reasonable for purposes of emission
7.1.2.1.2 By January 1, 1995, the network-based model(s) must be validated against ground counts for a base
year that is not more than 10 years prior to the date of the conformity determination. Land use, population, and
other inputs must be based on the best available information and appropriate to the validation base year;
7.1.2.1.3 By June 30, 1997, for peak-hour or peak-period traffic assignments, a capacity sensitive assignment
methodology must be used;
7.1.2.1.4 By January 1, 1995, zone-to-zone travel times used to distribute trips between origin and destination
pairs must be in reasonable agreement with the travel times which result from the process of assignment of trips
to network links. Where use of transit currently is anticipated to be a significant factor in satisfying transportation
demand, these times should also be used for modeling mode splits;
7.1.2.1.5 By June 30, 1996, free-flow speeds on network links shall be based on empirical observations;
7.1.2.1.6 By June 30, 1997, peak and off-peak travel demand and travel times must be provided;
7.1.2.1.7 Trip distribution and mode choice must be sensitive to pricing, where pricing is a significant factor,
if the network model is capable of such determinations and the necessary information is available;
7.1.2.1.8 The model(s) must utilize and document a logical correspondence between the assumed scenario of land
development and use and the future transportation system for which emissions are being estimated. Reliance on a
formal land-use model is not specifically required but is encouraged; and
7.1.2.1.9 A dependence of trip generation on the accessibility of destinations via the transportation system
(including pricing) is strongly encouraged but not specifically required, unless the network model is capable of
such determinations and the necessary information is available;
7.1.2.1.10 A dependence of regional economic and population growth on the accessibility of destinations via
the transportation system is strongly encouraged but not specifically required, unless the network model is capable
of such determinations and the necessary information is available; and
7.1.2.1.11 Consideration of emissions increases from construction-related congestion is not specifically required.
7.1.2.2 By June 30, 1996, Highway Performance Monitoring System (HPMS) estimates of vehicle miles traveled shall
be considered the primary measure of vehicle miles traveled within the portion of the nonattainment or maintenance
area and for the functional classes of roadways included in HPMS, for urban areas which are sampled on a separate
urban area basis. A factor (or factors) shall be developed to reconcile and calibrate the network-based model estimates
of vehicle miles traveled in the base year of its validation to the HPMS estimates for the same period, and these
factors shall be applied to model estimates of future vehicle miles traveled. In this factoring process, consideration
will be given to differences in the facility coverage of the HPMS and the modeled network description. Departure
from these procedures is permitted with the concurrence of DOT and EPA.
7.1.2.3 By January 1, 1995, reasonable methods shall be used to estimate nonattainment area vehicle travel on
off-network roadways within the urban transportation planning area, and on roadways outside the urban transportation
7.1.2.4 By January 1, 1995, reasonable methods in accordance with good practice must be used to estimate traffic
speeds and delays in a manner that is sensitive to the estimated volume of travel on each roadway segment represented
in the network model.
7.1.2.5 By January 1, 1995, ambient temperatures shall be consistent with those used to establish the emissions
budget in the applicable implementation plan. Factors other than temperatures, for example the fraction of travel
in a hot stabilized engine mode, may be modified after interagency consultation according to 5.0 if the newer estimates
incorporate additional or more geographically specific information or represent a logically estimated trend in
such factors beyond the period considered in the applicable implementation plan.
7.1.3 Areas which are not serious, severe, or extreme ozone nonattainment areas or serious carbon monoxide areas,
or before January 1, 1995.
7.1.3.1 Procedures which satisfy some or all of the requirements of paragraph 7.1.1 of this section shall be used
in all areas not subject to paragraph 7.1.2 of this section in which those procedures have been the previous practice
of the MPO.
7.1.3.2 Regional emissions may be estimated by methods which do not explicitly or comprehensively account for
the influence of land use and transportation infrastructure on vehicle miles traveled and traffic speeds and congestion.
Such methods must account for VMT growth by extrapolating historical VMT or projecting future VMT by considering
growth in population and historical growth trends for vehicle miles travelled per person. These methods must also
consider future economic activity, transit alternatives, and transportation system policies.
7.1.4 Projects not from a conforming plan and TIP in isolated rural nonattainment and maintenance areas. This paragraph
applies to any nonattainment or maintenance area or any portion thereof which does not have a metropolitan transportation
plan or TIP and whose projects are not part of the emissions analysis of any MPO's metropolitan transportation
plan or TIP (because the nonattainment or maintenance area or portion thereof does not contain a metropolitan planning
area or portion of a metropolitan planning area and is not part of a Metropolitan Statistical Area or Consolidated
Metropolitan Statistical Area which is or contains a nonattainment or maintenance area).
7.1.4.1 Conformity demonstrations for projects in these areas may satisfy the requirements of 6.15, 6.19, and 6.22
with one regional emissions analysis which includes all the regionally significant projects in the nonattainment
or maintenance area (or portion thereof).
7.1.4.2 The requirements of 6.15 shall be satisfied according to the procedures in 6.15.3, with references to
the "transportation plan" taken to mean the statewide transportation plan.
7.1.4.3 The requirements of 6.19 and 6.22 which reference "transportation plan" or "TIP"
shall be taken to mean those projects in the statewide transportation plan or statewide TIP which are in the nonattainment
7.1.4.4 The requirement of 6.24.2 shall be satisfied if:
7.1.4.4.1 The project is included in the regional emissions analysis which includes all regionally significant
highway and transportation projects in the nonattainment or maintenance area (or portion thereof) and supports
the most recent conformity determination made according to the requirements of 6.15, 6.19, or 6.22 (as modified
by paragraphs 7.1.4.2 and 7.1.4.3 of this section), as appropriate for the time period and pollutant; and
7.1.4.2 The project's design concept and scope have not changed significantly from those which were included in
the regional emissions analysis, or in a manner which would significantly impact use of the facility.
7.1.5 PM10 from construction-related fugitive dust.
7.1.5.1 For areas in which the implementation plan does not identify construction-related fugitive PM10
as a contributor to the nonattainment problem, the fugitive PM10 emissions associated with highway and
transit project construction are not required to be considered in the regional emissions analysis.
7.1.5.2 In PM10 nonattainment and maintenance areas with implementation plans which identify construction-related
fugitive PM10 as a contributor to the nonattainment problem, the regional PM10 emissions
analysis shall consider construction-related fugitive PM10 and shall account for the level of construction
activity, the fugitive PM10 control measures in the applicable implementation plan, and the dust-producing
capacity of the proposed activities.
7.2 Procedures for determining localized CO and PM10 concentrations (hot-spot analysis).
7.2.1 In the following cases, CO hot-spot analyses must be based on the applicable air quality models, data bases,
and other requirements specified in 40 CFR part 51 Appendix W ("Guideline on Air Quality Models (Revised)"
(1988), supplement A (1987) and supplement B (1993), EPA publication no. 450/2-78-027R), unless, after the interagency
consultation process described in §51.402 and with the approval of the EPA Regional Administrator, these models,
data bases, and other requirements are determined to be inappropriate:
7.2.1.1 For projects in or affecting locations, areas, or categories of sites which are identified in the applicable
implementation plan as sites of current violation or possible current violation;
7.2.1.2 For those intersections at Level-of-Service D, E, or F, or those that will change to Level-of-Service
D, E, or F because of increased traffic volumes related to a new project in the vicinity;
7.2.1.3 For any project involving or affecting any of the intersections which the applicable implementation
plan identifies as the top three intersections in the nonattainment or maintenance area based on the highest traffic
7.2.1.4 For any project involving or affecting any of the intersections which the applicable implementation
plan identifies as the top three intersections in the nonattainment or maintenance area based on the worst Level-of-Service;
7.2.1.5 Where use of the "Guideline" models is practicable and reasonable given the potential for
7.2.2 In cases other than those described in paragraph 7.2.1 of this section, other quantitative methods may be
used if they represent reasonable and common professional practice.
7.2.3 CO hot-spot analyses must include the entire project, and may be performed only after the major design
features which will significantly impact CO concentrations have been identified. The background concentration can
be estimated using the ratio of future to current traffic multiplied by the ratio of future to current emission
7.2.4 PM10 hot-spot analysis must be performed for projects which are located at sites at which violations
have been verified by monitoring, and at sites which have essentially identical vehicle and roadway emission and
dispersion characteristics (including sites near one at which a violation has been monitored). The projects which
require PM-10 hot-spot analysis shall be determined through the interagency consultation process required in section
5.0. In PM-10 nonattainment and maintenance areas, new or expanded bus and rail terminals and transfer points which
increase the number of diesel vehicles congregating at a single location require hot-spot analysis. DOT may choose
to make a categorical conformity determination on bus and rail terminals or transfer points based on appropriate
modeling of various terminal sizes, configurations, and activity levels. The requirements of this paragraph for
quantitative hot-spot analysis will not take effect until EPA releases modeling guidance on this subject and announces
in the Federal Register that these requirements are in effect.
7.2.5 Hot-spot analysis assumptions must be consistent with those in the regional emissions analysis for those
inputs which are required for both analyses.
7.2.6 PM10 or CO mitigation or control measures shall be assumed in the hot-spot analysis only where
there are written commitments from the project sponsor and/or operator to the implementation of such measures,
as required by section 7.4.1.
7.2.7 CO and PM10 hot-spot analyses are not required to consider construction-related activities
which cause temporary increases in emissions. Each site which is affected by construction-related activities shall
be considered separately, using established "Guideline" methods. Temporary increases are defined as those
which occur only during the construction phase and last five years or less at any individual site.
7.3 Using the motor vehicle emission budget in the applicable implementation plan (or implementation plan submission.
7.3.1 In interpreting an applicable implementation plan (or implementation plan submission) with respect to its
motor vehicle emissions budget(s), the MPO and DOT may not infer additions to the budget(s) that are not explicitly
intended by the implementation plan (or submission). Unless the implementation plan explicitly quantifies the amount
by which motor vehicle emissions could be higher while still allowing a demonstration of compliance with the milestone,
attainment, or maintenance requirement and explicitly states an intent that some or all of this additional amount
should be available to the MPO and DOT in the emission budget for conformity purposes, the MPO may not interpret
the budget to be higher than the implementation plan's estimate of future emissions. This applies in particular
to applicable implementation plans (or submissions) which demonstrate that after implementation of control measures
in the implementation plan:
7.3.1.1 Emissions from all sources will be less than the total emissions that would be consistent with a required
demonstration of an emissions reduction milestone;
7.3.1.2 Emissions from all sources will result in achieving attainment prior to the attainment deadline and/or
ambient concentrations in the attainment deadline year will be lower than needed to demonstrate attainment; or
7.3.1.3 Emissions will be lower than needed to provide for continued maintenance.
7.3.2 If an applicable implementation plan submitted before November 24, 1993, demonstrates that emissions from
all sources will be less than the total emissions that would be consistent with attainment and quantifies that
"safety margin," the State may submit a SIP revision which assigns some or all of this safety margin
to highway and transit mobile sources for the purposes of conformity. Such a SIP revision, once it is endorsed
by the Governor and has been subject to a public hearing, may be used for the purposes of transportation conformity
before it is approved by EPA.
7.3.3 A conformity demonstration shall not trade emissions among budgets which the applicable implementation
plan (or implementation plan submission) allocates for different pollutants or precursors, or among budgets allocated
to motor vehicles and other sources, without a SIP revision or a SIP which establishes mechanisms for such trades.
7.3.4 If the applicable implementation plan (or implementation plan submission) estimates future emissions by
geographic subarea of the nonattainment area, the MPO and DOT are not required to consider this to establish subarea
budgets, unless the applicable implementation plan (or implementation plan submission) explicitly indicates an
intent to create such subarea budgets for the purposes of conformity.
7.3.5 If a nonattainment area includes more than one MPO, the SIP may establish motor vehicle emissions budgets
for each MPO, or else the MPOs must collectively make a conformity determination for the entire nonattainment area.
7.4 Enforcability of design concept and scope and project-level mitigation and control measures
7.4.1 Prior to determining that a transportation project is in conformity, the MPO, other recipient of funds designated
under title 23 U.S.C. or the Federal Transit Act, FHWA, or FTA must obtain from the project sponsor and/or operator
enforceable written commitments to implement in the construction of the project and operation of the resulting
facility or service any project-level mitigation or control measures which are identified as conditions for NEPA
process completion with respect to local PM10 or CO impacts. Before making conformity determinations
enforceable, written commitments must also be obtained for project-level mitigation or control measures which are
conditions for making conformity determinations for a transportation plan or TIP and included in the project design
concept and scope which is used in the regional emissions analysis required by 6.13 - 6.15 and 6.17 - 6.19 or used
in the project-level hot-spot analysis required by 6.11 and 6.16.
7.4.2 Project sponsors voluntarily committing to mitigation measures to facilitate positive conformity determinations
shall provide enforceable written commitments must comply with the obligations of such commitments.
7.4.3 Enforceable written commitments to mitigation or control measures must be obtained prior to a positive
conformity determination, and that project sponsors must comply with such commitments.
7.4.4 During the control strategy and maintenance periods, if the MPO or project sponsor believes the mitigation
or control measure is no longer necessary for conformity, the project sponsor or operator may be relieved of its
obligation to implement the mitigation or control measure if it can demonstrate that the requirements of 6.11,
6.13, and 6.14 are satisfied without the mitigation or control measure, and so notifies the agencies involved in
the interagency consultation process required under 5.0. The MPO and DOT must confirm that the transportation plan
and TIP still satisfy the requirements of 6.13 and 6.14 and that the project still satisfies the requirements of
6.11, and therefore that the conformity determinations for the transportation plan, TIP, and project are still
8.1 Frequency of Conformity Determinations
8.1.1 Conformity determinations and conformity redeterminations for transportation plans, TIPs, and FHWA/FTA projects
must be made according to the requirements of this section and the applicable implementation plan.
8.1.2 Transportation plans.
8.1.2.1 Each new transportation plan must be found to conform at the time or before the transportation plan is
approved by the MPO or accepted by DOT.
8.1.2.2 All transportation plan revisions must be found to conform at the time or before the transportation
plan revisions are approved by MPO or accepted by DOT, unless the revision merely adds or deletes exempt projects
listed in 4.1 or modifies the plan in some other way that does not affect the implementation of projects or actions
subject to the assessment of conformity as described herein. The conformity determination must be based on the
transportation plan and the revision taken as a whole.
8.1.2.3 Conformity of existing transportation plans must be redetermined within 18 months of the following,
or the existing conformity determination will lapse:
8.1.2.3.1 November 24, 1993;
8.1.2.3.2 EPA approval of an implementation plan revision which:
8.1.2.3.2.1 Establishes or revises a transportation-related emissions budget (as required by CAA §§175A(a),
182(b)(1), 182(c)(2)(A), 182(c)(2)(B), 187(a)(7), 189(a)(1)(B), and 189(b)(1)(A); and §§192(a) and 192(b),
for nitrogen dioxide); or
8.1.2.3.2.2 Adds, deletes, or changes TCMs; and
8.1.2.3.3 EPA promulgation of an implementation plan which establishes or revises a transportation-related emissions
budget or adds, deletes, or changes TCMs.
8.1.2.3.4 In any case, conformity determinations must be made no less frequently than every three years, or
the existing conformity determination will lapse.
8.1.3 Transportation improvement programs.
8.1.3.1 A new TIP must be found to conform at the time or before the TIP is approved by the MPO or accepted by
8.1.3.2 A TIP amendment requires a new conformity determination for the entire TIP at the time or before the
amendment is approved by the MPO or accepted by DOT, unless the amendment merely adds or deletes exempt projects
listed in 4.1 or modifies the TIP in some other way that does not effect the implementation of projects or actions
subject to the assessment of conformity as described herein.
8.1.3.3 After an MPO adopts a new or revised transportation plan, conformity must be redetermined by the MPO
and DOT within six months from the date of adoption of the plan, unless the new or revised plan merely adds or
deletes exempt projects listed in 4.1. Otherwise, the existing conformity determination for the TIP will lapse.
8.1.3.4 In any case, conformity determinations must be made no less frequently than every three years or the
existing conformity determination will lapse.
8.1.4 Projects. FHWA/FTA projects must be found to conform before they are adopted, accepted, approved, or funded.
Conformity must be redetermined for any FHWA/FTA project if none of the following major steps has occurred within
8.1.4.1 NEPA process completion;
8.1.4.2 start of final design;
8.1.4.3 acquisition of a significant portion of the right-of-way; or,
8.1.4.4 approval of the plans, specifications and estimates.
9.0 Special provisions for nonattainment areas which are not required to demonstrate reasonable further progress
9.1 Application. This section applies in the following areas:
9.1.1 Rural transport ozone nonattainment areas;
9.1.2 Marginal ozone areas;
9.1.3 Submarginal ozone areas;
9.1.4 Transitional ozone areas;
9.1.5 Incomplete data ozone areas;
9.1.6 Moderate CO areas with a design value of 12.7 ppm or less; and
9.1.7 Not classified CO areas.
9.2 Default conformity procedures. The criteria and procedures in 6.17 - 6.19 will remain in effect throughout
the control strategy period for transportation plans, TIPs, and projects (not from a conforming plan and TIP) in
lieu of the procedures in 6.13 - 6.15, except as otherwise provided in paragraph 9.3 of this section.
9.3 Optional conformity procedures. The State or MPO may voluntarily develop an attainment demonstration and
corresponding motor vehicle emissions budget like those required in areas with higher nonattainment classifications.
In this case, the State must submit an implementation plan revision which contains that budget and attainment demonstration.
Once EPA has approved this implementation plan revision, the procedures in 6.13 - 6.15 apply in lieu of the procedures
in 6.17 - 6.19.