text: Transportation Planning for Small and Medium Sized Communities Table of Contents This Conference was sponsored by the Transportation Research Board Committee on Transportation Planning Needs and Requirements for Small and Medium-Sized Communities— A1D05 and hosted by the Washington State Department of Transportation. The Conference was co-sponsored by the Federal Highway Administration, the Federal Transit Authority, the Institute of Transportation Engineers, the Oregon Department of Transportation, and the Idaho Department of Transportation. The Small and Medium-Sized Communities Conference was a symposium for transportation managers, planners, engineers, and elected officials from urban areas of less than 250,000 people; representatives from regional planning agencies, metropolitan planning organizations (MPOs), federal, state, and local transportation agencies and T-2 centers; consultants; and citizens who had active interest in transportation The theme was "Tools of the Trade." The conference that provided ready-to-use, economical and practical techniques for planners and decision-makers in urban areas of under 250,000 people. The conference provided transportation planners a forum for the exchange of useful information, practical techniques, and low-cost methodologies particularly tailored to the needs of small and medium-sized urban communities. Thanks for your interest in the proceedings of the Sixth National Conference in Spokane Sincerely, KATHERYN BRISCOE Committee Chair Transportation Research Board Committee on Transportation Planning Needs and Requirements for Small and Medium Sized Communities, A1D05 Table of Contents Committee on Transportation Planning Needs and Requirements for Small and Medium Sized Communities Chair: Katheryn Briscoe, Minnesota Department of Transportation TRB Staff Representative: Jim Scott, Transportation Research Board Members: Dr. Robert T. Alguire, Phd., PE, University of Arkansas J. Richard Atkins, PE, city of Greensboro Janet Bell, Jefferson County, Colorado Dr. Arun Chatterjee, University of Tennessee Timothy G. Chelius, PP, South Jersey Transportation Planning Organization Dr. Robert J. Czerniak, New Mexico State University John D. Edwards, The RBA Group Jerry Faris, Transportation Support Group, Inc. Steven Gayle, Binghamton Metropolitan Transportation Study Joseph W. Guyton, HNTB Paul Hershkowitz, Michigan Department of Transportation Barna Juhasz, Federal Highway Administration Robert P. Jurasin, Wilbur Smith Associates Susan Moe, Federal Highway Administration Virginia Porta, Arkansas State Highway and Transportation Department George Reed, URS Consultants Elizabeth B. Rushley, Ohio Department of Transportation Jerry B. Schutz, Washington State Department of Transportation Thomas B. Schwetz, Lane Council of Governments Montie Wade, Texas Transportation Institute Linda Wilshusen, Santa Cruz County Regional Transportation Commission Table of Contents TABLE OF CONTENTS Welcome TRB Committee Membership Vendor Information Conference Attendees Abstracts and Papers ««« Session One - Making Tough Transportation Decisions Easier Moderator - Debbie Hale - Santa Cruz County Regional Transportation Commission, CA Jill Kruse, Surface Transportation Policy Project "Remove It and They Will Disappear: New Evidence Why Building Roads Isn't Always the Answer" Cass Brotherton, Washington DOT Streamlining the Transportation Decision-Making Process Patrick DeCorla-Souza, Federal Highway Administration Evaluation of Alternatives Using the Surface Transportation Efficiency Analysis Model (STEAM) Martin Weiss, Federal Highway Administration Economic Growth From Transportation Improvements: Does It or Doesn't It ««« Session Two - Integrated Transit: State, Regional and Local Perspectives Moderator - Tom Schwetz, - Lane Council of Governments, OR Valerie Rodman, Washington DOT The Intercity Network - A New Approach for Statewide Mobility Lisa Gardner, Lane Transit District, OR Bus Rapid Transit: An Innovative Transit Strategy for Medium-Sized Cities Rebecca Ocken, City of Gresham, OR Ped-to-Max" Program City of Gresham's " ««« Session Three - Show Me the Money Moderator, - Joe Guyton - HNTB, MO Cory J. Crebbin, City of Lacey, WA Streamlining Traffic Mitigation Fees William F. Grimes, Studio Cascade, WA "Fair Share " Cost Allocations: a Rural Community's Home-Grown Approach Elizabeth Rushley, Ohio DOT Funding Major Transportation Projects in Ohio 's Small and Medium-Sized Metropolitan Planning Organizations Scott M. Smith, HNTB, MO The Grassroots Public/Private Toll Movement - The Lake of the Ozarks Community Bridge ««« Session Four - Practical Modeling Methods Moderator - Bob Alguire - University of Arkansas Brian A. Roper, St. Cloud Area Planning Org., MN User Benefits of Railroad Grade In A Small Community: Practical Techniques for Applying Micro-BENCOST William W. Mann, Virginia DOT Simplified 4-Step Transportation Planning Process for Medium-Sized Areas Shuming Yan, Washington DOT A Practical Approach to Travel Demand Modeling in Small and Medium-Sized Communities Jerry Faris, Transportation Support Group, FL Freight Modeling Techniques for Small and Medium- Sized Areas ««« Session Five - Coordinating Transportation and Land Use Planning Moderator - Libby Rushley - Ohio DOT Cindy Gray, Fargo-Moorhead Metropolitan Council of Governments Fringe Land Use Guide and Street Plan Doug Bilse, Transportation Agency for Monterey County, CA Transportation Planning for Military Conversion Dr. David Clarke, University of Tennessee Urban Considerations in the Priority Technique for General Aviation Airport Investments in Tennessee Mike Partridge, Washington State DOT State/Tribal Transportation Planning Coordination and Strategies Tribal Planning Guidebook ««« Session Six - Air Quality and Transportation: Current Issues and Techniques Moderator - Arun Chatterjee - University of Tennessee Jerry Everett, Federal Highway Administration New Ambient Air Quality Standard - FHWA Perspectives of the Impacts on Small and Medium-Sized Areas David Hyder, North Carolina DOT Rules, Roles and Responsibilities for Transportation Planning and Air Quality: One State'sView l Richard Margiotta, Science Applications Int' Corp. Speed and Delay Prediction Models for Air Quality Analysis Scott Lane, Capital Area MPO, Raleigh, NC Air Apparent: How the MPO Can Work with Air Quality ««« Session Seven - Transportation Tools that Make Communities Livable Moderator - John Edwards - The RBA Group, GA Greg Pates, Minnesota DOT Improving Small City Highways: New Techniques for Improving Safety and Livability Through Technology Transfer Todd Chase, OTAK, OR Redesigning Main Streets in Small Cities David Godfrey, City of Kirkand, WA Success in Redesigning Main Streets for Pedestrians ««« Session Eight - Public Involvement: Better Results From Fewer Dollars Moderator - Janet Bell - Jefferson County Planning Department, CO Janet Bell, Jefferson County Planning Department, CO Public Involvement - Low Budget Can Mean High Effectiveness Lee Shoemaker, Lane Council of Governments, OR Sustaining Public Involvement in Long Range Planning Using a Stakeholder Based Process Carol O'Doud, Athena's Consulting Network, CO Low Tech-High Touch Public Involvement for Small and Medium Cities ««« Session Nine - Highways and Corridor Studies Moderator - Montie G. Wade - Texas Transportation Institute Saad A. Shbaklo, URS Consultants, FL A Pilot Application Study of Corridor Performance Indicators Patrick DeCorla-Souza, Federal Highway Administration Accounting for Induced Travel in Evaluation of Urban Highway Congestion Robert M. O' Loughlin, Federal Highway Administration Addressing Concerns About the Major Investment Study Requirements Terrance Beuthling, Rust Environment and Infrastructure, TX Use of the MIS Process to Evaluate Alternative Improvements in A Small Urbanized Area George Reed, URS Consultants, FL Determination of Vehicle Occupancy For Small and Medium-Sized Areas Linda Dossé, North Carolina DOT MIS for A Small Urbanized Area Corridor : Cabarrus/ South Rowan, North Carolina ««« Session Ten - Getting The Most Out of Your Geographic Information System (GIS) Moderator - Pau l Hershkowitz - Michigan DOT Thomas Schwetz, Lane Council of Governments, OR Cooperation and Patience: The Key to a High-Quality, Sustainable GIS Suzette Thieman, Cheyenne MPO, WY Accident Data Use and Geographic Information Systems (GIS) Paula Reeves, Washington DOT Integrating Transportation Modeling and "Desktop GIS": A Practical and Affordable Analysis Tool for Small and Medium-Sized Communities Howard Slavin, Caliper Corp, MA Enhanced Framework for Modeling Urban Truck Trips Zaher Khatib, University of Idaho GIS and Transportation Planning ««« Session Twelve - "Tooltime" for Planners Moderator - Kathy Briscoe - Minnesota DOT Kristie Billiar, Minnesota DOT Citizen Transportation Planning: A Working Model John Carnowski, STREET SMARTS, GA Innovative Data Collections to Analyze North Carolina 's Airport Activities Brian A. Roper, St. Cloud Area Planning Organization, MN Plans, Trains & Automobiles: Big River Crossing, Issues in a Small Community Joseph Kott, Marin County Community Development Agency, CA Intelligent Transportation Systems Early Deployment Planning for a Small Region Gordon Rogers, Whatcom County Council of Governments, WA Incorporating Implementation of ITS into Local Planning Processes Table of Contents Conference Attendees Name Agency Telephone E-mail Faris Al Memar Washington State DOT 206-440-4712 email@example.com Mary Alguire University of Arkansas 501-575-6079 firstname.lastname@example.com Robert T. Alguire University of Arkansas 501-545-6025 email@example.com Robert R. Allen Abilene MPO 915-676-6243 email@example.com Dave Anderson Adams County 509-488-9441 Curt Andrews City of Othello 509-488-3302 Stan Arlt City of Richland 509-942-7460 firstname.lastname@example.com Carl S. Armbrister FHWA 503-326-3292 firstname.lastname@example.com David K. Baltz Skagit County 360-336-9406 email@example.com Cress Bates Lane COG 541-682-4391 firstname.lastname@example.com Janet Bell Jefferson County 303-271-8739 Steven Beningo FHWA 207-622-8350 email@example.com Alix Berg Washington State DOT 360-705-7950 email@example.com Terrance W. Beuthling Rust Lichliter/Jameson 713-953-5120 email@example.com Kristie M. Billiar Minnesota DOT 651-296-5269 firstname.lastname@example.com Doug Bilse Transportation Agency for Monterey County 831-755-8960 email@example.com Michael R. Birdsall Birdsall & Associates 425-392-7062 firstname.lastname@example.com Thera Black Thurston Regional Planning Council 360-786-5480 email@example.com Table of Contents Name Agency Telephone E-mail Stephanie Bondeson Arizona DOT 602-255-7865 email@example.com Joseph H. Bonga Bureau of Indian Affairs 503-231-6728 email@example.com Clair M. Bowman ADA Planning Association 208-345-5274 email@example.com Daniela Bremmer-Washington Washington State DOT 360-705-7953 email@example.com Rosemary Brinson-Siipola Cowlitz-Wahkiakum COG/SW RTPO 360-577-3041 firstname.lastname@example.com Katheryn Briscoe Minnesota DOT 651-296-1614 email@example.com Cass Brotherton Washington State DOT 360-357-2722 firstname.lastname@example.com Mori Byington Bannock Planning Organization 208-233-9322 email@example.com Brent Cain TModel Corporation 206-463-3768 firstname.lastname@example.com James Y. Campbell South Carolina DOT 803-737-1444 Todd Carlson Washington State DOT 360-705-7967 firstname.lastname@example.com Karl Chang University of Idaho 208-885-6240 firstname.lastname@example.com Todd Chase OTAK, Inc. 503-635-3618 firstname.lastname@example.com Arun Chatterjee University of Tennessee 423-974-7714 firstname.lastname@example.com Timothy G. Chelius South Jersey Transportation Planning Organization 609-794-1941 Andrew Chesley San Joaquin COG 209-468-3913 email@example.com Ron Chicka Arrowhead Regional Development Commission 218-722-5545 email@example.com David B. Clarke, PH.D., P.E. Clemson University 864-656-3313 email@example.com Table of Contents Name Agency Telephone E-mail Patricia Collmeyer Neil Goldschmidt, Inc. 503-221-2012 email@example.com Robert W. Cook, AICP Gaston MPO 704-866-6980 firstname.lastname@example.com Cory Crebbin City of Lacey 360-438-2648 email@example.com Roger Dahlby Kansas DOT 785-296-0345 firstname.lastname@example.com Kathleen Davis Washington State DOT 360-705-7377 email@example.com Mazen Dawoud Virginia DOT 703-383-2229 email@example.com Patrick DeCorla-Souza FHWA 202-366-4076 email@example.com Gabriel del Bosque City of Laredo 210-791-7441 email@example.com Bob DenOuden Thurston Regional Planning Council 360-786-5480 firstname.lastname@example.com John G. deTar Oregon DOT 503-986-2653 firstname.lastname@example.com Linda Dosse North Carolina DOT 919-715-5737 email@example.com Charles Durrenberger Grand Forks/E Grand Forks MPO 701-746-2660 Cindy Durrenberger FHWA 517-377-1880 email@example.com Evan Dust Clark County 360-699-2375 Sheldon Edner FHWA 202-366-4066 John D. Edwards The RBA Group 404-261-4929 email@example.com Donald W. Ehrich Oregon DOT 541-726-2552 firstname.lastname@example.com Jerry D. Everett FHWA 202-366-4079 email@example.com Christopher Evilia Waco MPO 254-750-5666 email@example.com Table of Contents Name Agency Telephone E-mail Jerry M. Faris Transportation Support Group, Inc. 850-893-7505 firstname.lastname@example.com Renee Farnum Michigan DOT 517-373-9054 email@example.com Scott Frey FHWA 208-334-9180 scott.frey@@fhwa.dot.gov Lawrence Frostad Washington State DOT 509-921-2402 firstname.lastname@example.com Lisa Gardner Lane Transit District 541-741-6100 email@example.com Kevin Gilchrist Des Moines Area MPO 515-237-1316 firstname.lastname@example.com David Godfrey City of Kirkland 425-828-1214 firstname.lastname@example.com Charles Goodman US DOT/FTA 202-366-1944 firstname.lastname@example.com Jolene Gosselin Washington State DOT 509-667-2906 firstname.lastname@example.com Michelle Graham HNTB Corporation 816-472-1201 firstname.lastname@example.com Cindy Gray Fargo Moorhead Metropolitan COG 701-232-3242 firstname.lastname@example.com William Grimes Studio Cascade 509-835-3770 email@example.com John Gross Yuma MPO 520-783-8911 firstname.lastname@example.com Joseph W. Guyton HNTB Corporation 816-472-1201 email@example.com Debbie Hale Santa Cruz County Regional Transportation Commission 831-460-3209 email@example.com Paul T. Hamilton Tri-County Regional Planning Commission 517-393-0342 firstname.lastname@example.com Earl Haugen Grand Forks/E Grand Forks MPO 701-746-2660 Jim Heilig Duluth Transit Authority 218-722-4426 firstname.lastname@example.com Table of Contents Name Agency Telephone E-mail Susan Hendricks KJS Associates, Inc. 425-746-6600 firstname.lastname@example.com Jim Henricksen Arrowhead Regional Development Commission 218-722-5545 email@example.com Samuel Herrera FHWA 708-283-3536 firstname.lastname@example.com Paul Hershkowitz Michigan DOT 517-373-9038 firstname.lastname@example.com Herman Hollins Virginia DOT 804-786-2973 Charles E. Howard, Jr. Washington State DOT 360-705-7958 email@example.com Del Huntington Oregon DOT 503-986-4216 email@example.com David W. Hyder North Carolina DOT 919-733-4705 firstname.lastname@example.com Ted Idlof CH2M Hill 509-466-9016 firstname.lastname@example.com Eric Irelan Skagit COG 360-416-7877 firstname.lastname@example.com Bob Jones Washington State DOT 360-357-2630 firstname.lastname@example.com David R. Jones, P.E. Idaho Transportation Department 208-799-4201 firstname.lastname@example.com Robert Josephson Washington State DOT 206-440-4711 firstname.lastname@example.com Timoted Juarez, Jr. Texas DOT 512-486-5026 firstname.lastname@example.com William Kappus FHWA 360-753-9485 firstname.lastname@example.com John Karnowski Street Smarts 770-813-0882 email@example.com William J. Kelley Eastern Washington University 509-358-2226 firstname.lastname@example.com Deanna Keltner BRW, Inc. 612-373-6805 email@example.com Table of Contents Name Agency Telephone E-mail Robert Kenerson BACTS 207-942-6389 email@example.com Helena Kennedy Smith Washington State DOT 360-705-7944 email@example.com Zaher Khatib University of Idaho 208-885-2957 email@example.com Joseph Kott Marin County Community Development Agency 415-499-3084 email@example.com Lorin B. Krueger II Florida DOT 850-922-0447 firstname.lastname@example.com Jill Kruse Surface Transportation Policy Project 202-974-5135 firstname.lastname@example.com Mark Kushner Benton-Franklin Regional Council 509-943-9185 firstname.lastname@example.com J. Scott Lane Capital Area MPO 919-831-6790 email@example.com Larry Larson Washington State DOT 509-324-6193 email@example.com Kevin Lilly Idaho Transportation Department 208-799-5090 Tom Litster OTAK, Inc. 503-635-3618 email@example.com Jim Longley Lewis County 360-740-2782 email@example.com Stephanie MacLachlan Parsons Brinckerhoff 206-382-5229 email@example.com William W. Mann Virginia DOT 703-383-2211 firstname.lastname@example.com Jon Manton, P.E. N.E.W. RTPO 509-935-8164 Richard Margiotta Cambridge Systematics 423-670-8516 firstname.lastname@example.com Gregory W. Massey Oklahoma DOT 405-521-2705 firstname.lastname@example.com Don Mathison Cowlitz-Wahkiakum COG 360-577-3041 email@example.com Table of Contents Name Agency Telephone E-mail Cameron McGough ADA Planning Association 208-345-5274 email@example.com Vicky McLane N Front Range Transportation & Air Quality Planning Council 970-224-6059 email@example.com Hugh McNeely Waco MPO 254-750-5655 firstname.lastname@example.com John Mikesell U.S. Coast Guard 206-220-7272 Dale Miller Clark County 360-699-2375 Masood Mirza City of Springfield 541-726-4585 firstname.lastname@example.com Ulysses Mitchell Georgia DOT 404-651-5326 firstname.lastname@example.com Susan L. Moe FHWA 651-291-6109 email@example.com Kathryn L. Moore TW Environmental, Inc. 503-235-9194 firstname.lastname@example.com Dan Moore, AICP Rogue Valley COG 541-664-6674 firstname.lastname@example.com Kenneth L. Mora Texas DOT 512-486-5135 email@example.com Kimberly Morley Washington State DOT 206-440-4716 firstname.lastname@example.com Mike Morrow FHWA 360-753-9411 firstname.lastname@example.com Theresa Morse Federal Transit Administration 206-220-7964 email@example.com Mike Morton Skagit/Island RTPO 360-679-7331 email@example.com Nina Nixon-Mendez City of Laredo 210-791-7441 email@example.com Thomas A. Noyes Washington State DOT 206-440-4715 email@example.com Table of Contents Name Agency Telephone E-mail Janet Oakley Association of MPOs 202-457-0710 firstname.lastname@example.com Rebecca Ocken City of Gresham 503-618-2756 email@example.com Carol O'Dowd Athena's Consulting Network 303-422-4981 firstname.lastname@example.com Robert M. O'Loughlin FHWA 415-744-3823 Bill Osterhout Washington State DOT 360-705-7963 email@example.com Yanmei Ou University of Idaho 208-885-4338 firstname.lastname@example.com Michael P. Partridge Washington State DOT 360-705-7964 firstname.lastname@example.com Gregory Pates Minnesota DOT 651-296-0295 email@example.com Dave Pesch Rochester COG 507-285-8232 firstname.lastname@example.com Stephen T. Pesci Seacoast MPO 603-742-2523 firstname.lastname@example.com Robin R. Phillips Oregon DOT 503-986-4004 firstname.lastname@example.com Chris R. Picard Washington State DOT 206-464-5420 email@example.com Meg Pirkle Georgia DOT 404-657-6699 firstname.lastname@example.com Marion R. Poole North Carolina DOT 919-733-4705 firstname.lastname@example.com Virginia H. Porta, P.E. Arkansas Highway and Transportation Department 501-569-2602 email@example.com Kenneth D. Ratcliff Bureau of Indian Affairs 503-872-2873 Paula Reeves Washington State DOT 360-705-7925 Andres Regueros Caliper Corporation 617-527-4900 firstname.lastname@example.com Table of Contents Name Agency Telephone E-mail Jin Ren Thurston Regional Planning Council 360-786-5480 email@example.com Elizabeth Robbins Washington State DOT 360-357-2729 email@example.com Dean Roberts Pennsylvania DOT 717-787-7413 Harold Robertson Thurston Regional Planning Council 360-786-5480 firstname.lastname@example.com Valerie Rodman Washington State DOT 360-705-7979 firstname.lastname@example.com Gordon Rogers Whatcom County COG 360-676-6974 firstname.lastname@example.com Ronald J. Rogers FHWA 816-276-2750 Mark Rohwer Washington State DOT 509-324-6195 Richard A. Rolland NW Tribal LTAP 509-358-2225 firstname.lastname@example.com Stephen Rolle City of Renton 425-430-7232 firstname.lastname@example.com Brian A. Roper St. Cloud APO 320-252-7568 email@example.com Martha Rose Island Transit 360-678-7771 firstname.lastname@example.com Elizabeth Rushley Ohio DOT 614-644-1204 Karen Savage KJS Associates, Inc. 425-746-6600 firstname.lastname@example.com Jerry Schutz Washington State DOT 206-440-4727 firstname.lastname@example.com Marcy Schwartz CH2M Hill 503-235-5000 email@example.com Tom Schwetz Lane COG 541-682-4044 firstname.lastname@example.com J. Page Scott Yakima Valley COG 509-574-1550 firstname.lastname@example.com Gregory Selstead Washington State DOT 360-705-7970 email@example.com Table of Contents Name Agency Telephone E-mail Lee Shoemaker Lane COG 541-682-4355 firstname.lastname@example.com Robert Shull TModel Corporation 206-463-3768 firstname.lastname@example.com Mark Sinden Washington State DOT 206-440-4714 email@example.com Howard Slavin Caliper 617-527-4700 firstname.lastname@example.com Lisa Smith City of Scappoose 503-543-7146 Scott M. Smith HNTB Corporation 816-472-1201 email@example.com Bob Sokol, AICP City of Auburn 253-931-3090 Lynn J. Soporowski, P.E. Multimodal Programs/Kentucky Transportation Cabinet 502-564-7433 firstname.lastname@example.com Steve Stairs Spokane County 509-456-3600 firstname.lastname@example.com Tom Steyaert Montana DOT 406-444-9211 firstname.lastname@example.com Albert T. Stoddard Leigh, Scott & Cleary, Inc. 719-633-2868 email@example.com Troy Suing Washington State DOT 509-454-7618 firstname.lastname@example.com Suzette Thieman Cheyenne Area Transportation Planning Process 307-637-6271 Melissa S. Tooley University of Arkansas 501-575-3203 email@example.com James Vaughn Virginia DOT 804-786-7713 email@example.com Montie G. Wade Texas Transportation Institute 817-277-5503 firstname.lastname@example.com Mary Ann Waldinger ADA Planning Association 208-345-5274 email@example.com Steven Watson City of Lewiston 208-746-1318 firstname.lastname@example.com Janet Weaver Idaho Transportation Department 208-334-8828 email@example.com Table of Contents Name Agency Telephone E-mail Wallace Webster Yakima Valley COG 509-574-1550 firstname.lastname@example.com Frederick J. Wegmann University of Tennessee 423-974-7706 Martin Weiss FHWA 202-366-5010 firstname.lastname@example.com David Wessel Flagstaff MPO 520-779-7685 firstname.lastname@example.com Darrell West Bonneville MPO 208-528-5530 email@example.com Teri Whitmore, AICP City of Springfield 417-864-1093 email@example.com William D. Wiebe Washington State DOT 360-705-7965 firstname.lastname@example.com Juanita S. Wieczoreck Dover/Kent County MPO 302-739-5359 firstname.lastname@example.com Charles J. Wiles Gaston MPO 704-854-6604 Jeff Wilkens Cowlitz-Wahkiakum COG 360-577-3041 firstname.lastname@example.com Jude Willcher Thurston Regional Planning Council 360-786-5480 email@example.com Linda J. Willnow Oregon DOT 503-986-4168 email@example.com Linda Wilshusen Santa Cruz County Regional Transportation Commission 831-460-3213 firstname.lastname@example.com Martin Wilson Washington State DOT 509-324-6197 Stearns J. Wood Lewis County 360-740-2614 firstname.lastname@example.com Lon D. Wyrick Yakima Valley COG 509-574-1550 firstname.lastname@example.com Shuming Yan Washington State DOT 360-357-2651 firstname.lastname@example.com Garry Young Idaho Transportation Department 208-334-8214 email@example.com Table of Contents Name Agency Telephone E-mail Jonathan Young FHWA 503-326-5544 email@example.com Ryan C. Zulauf Washington State DOT 360-705-7968 firstname.lastname@example.com Table of Contents SESSION 1 - MAKING TOUGH TRANSPORTATION DECISIONS EASIER Moderator: Debbie Hale Santa Cruz County Regional Transportation Commission, California Panelists: Jill Kruse, Surface Transportation Policy Project Cass Brotherton, Washington Department of Transportation Patrick DeCorla-Souza and James Hunt, Federal Highway Administration Martin Weiss, Federal Highway Administration Table of Contents Session #1 Remove It and They Will Disappear Jill Kruse Surface Transportation Policy Project (STPP) 1100 17th Street, NW, Tenth Floor Washington, DC. 20036 (202) 974.5135, (202) 466.2247-fax, firstname.lastname@example.com Abstract Remove It And They Will Disappear: New Evidence Why Building New Roads t Isn' Always the Answer While induced travel has countered the notion that cities can build themselves out of congestion, reduced travel has emerged to further challenge the way local officials think about road building. Flying in the face of conventional wisdom, new evidence shows that closing roads can eliminate traffic. A British study, released in March, 1998, is creating a buzz in transportation circles. The study found that closing roads actually cuts driving trips. The research team, led by Phil Goodwin s of University College London, one of the Blair government' key transport advisors, analyzed 60 cases worldwide where roads were closed, or their ability to carry traffic was reduced. On average, researchers found that 25 percent of the traffic vanished when a road was closed. And in some cases, the researchers found that an astonishing 60 percent of the driving trips disappeared. The question is, will it convince stalwart road supporters to curb the road building fervor and plan cities that serve its citizens? Evidence of reduced travel has surfaced in the U.S., but it has been met with skepticism, or ignored entirely. The main lessons from these studies, however, lend support to any city that desires a healthy transportation system. Accommodating a major change in traffic patterns like a s road closure, the study shows, appears to be the system' flexibility. Commuters in the British study had a variety of travel options to choose from, including public transit, walking, or working from home. This adaptability allowed for a smooth transition, demonstrating that a balanced approach to transportation planning not only better serves its citizens, but allows for improved traffic management. Many local officials have found that decreasing road capacity and expanding options for public transit, walking, and biking are rejuvenating their cities. New evidence from the UK supports these decisions, creating fresh opportunities for traffic management. By demonstrating that road closures can eliminate traffic and boost the economy, reduced travel further debunks the notion that building more roads will solve traffic problems. And as cities around the world wrestle with rising traffic congestion, evidence of reduced travel helps show that a balanced, equitable system is the most effective solution. Table of Contents Kruse Page 2 Remove It And They Will Disappear: New Evidence Why Building New Roads t isn' Always the Answer While induced travel has countered the notion that cities can build themselves out of congestion, reduced travel has emerged to further challenge the way local officials think about road building. Whereas induced travel is characterized as "build it and they will come," reduced travel takes this one step further with "remove it and they will disappear." Flying in the face of conventional wisdom, new evidence shows that closing roads can eliminate traffic. A British study released in March, 1998, entitled the Traffic Impact of Highway Capacity Reductions, is creating a buzz in transportation circles. The study found that closing roads actually cuts driving trips. The research team, led by Phil Goodwin of University College s London, one of the Blair government' key transport advisors, analyzed 60 cases worldwide where roads were closed, or their ability to carry traffic was reduced. On average, researchers found that 25 percent of the traffic vanished when a road was closed. And in some cases, the researchers found that an astonishing 60 percent of the driving trips disappeared. But where does the traffic go? While transportation planning models would assume that traffic will shift onto other roads and cause congestion elsewhere, experts now posit that in many cases, it actually disappears. Background Increasingly, suggestions have arisen that predictions of traffic chaos following road closures are overly simplistic and, as the authors discovered, may not be well founded. One of the foundations for this conclusion is the 1994 British Standing Advisory Committee on Trunk Road Assessment (SACTRA) study which concluded that "induced traffic does occur, probably quite extensively." The phenomenon of induced travel has been studied for years, but the strength of these findings s have led today' researchers to be less concerned with whether induced traffic exists, and more focused on determining the magnitude of its impacts. Typically, when drivers perceive an increase in either travel time or travel cost, they usually cope by altering their route, travelling at a different time of day, switching to a different mode, or traveling less. When road capacity is expanded, studies on induced travel found, the opposite happens. The Federal Highway Administration (FHWA) found evidence of induced travel in a study of Milwaukee, where researchers concluded that induced traffic accounted for 11 to 12 percent of s the area' traffic growth between 1963 and 1991 (Kevin Heanue, TRB 1997). Mark Hansen' s pivotal study at UC Berkeley examined 30 urban counties in California from 1973 to 1990 and found that at the metropolitan level, every one percent increase in new lane miles generates a 0.9 percent increase in traffic over four years. The study on reduced travel set out to determine whether the findings of induced traffic would lead researchers to conclude that, similarly, a reduction in capacity would result in an overall reduction in traffic volume. If this were true, the researchers posited, the displaced traffic would Table of Contents Kruse Page 3 cause less severe congestion than expected. The study examined traffic reduction under three different conditions: as a side effect of maintenance or repairs, in cases of natural disaster, or as a direct result of policy. Findings Due to structural problems, Tower Bridge in London was closed in 1994 and became a prime s example of "reduced travel." According to London' chief engineer, "[t]hree years later the traffic had still not returned to its original level." Researchers also found that when part of London' s notorious ring road, the "ring of steel," was closed in 1993, traffic fell 40 percent, and air s pollution dropped 15 percent. London' Hammersmith Bridge provided further evidence when it was determined incapable of carrying its load of 30,000 vehicles a day. The bridge was closed to s all traffic except buses and cyclists since last February. London' Transport department surveyed people who used the bridge a few days before it closed, and then contacted the same people in the weeks following the closure. Of the commuters who used the bridge to get to work, some switched to public transit and others chose to walk or bike. Overall, 21 percent no longer drove to work. And remarkably, congestion in the surrounding areas has not markedly increased. The researchers found similar patterns worldwide. In Japan, in the wake of the 1995 Kobe earthquake, the entire Hanshin Expressway network was impacted, resulting in a dramatic decline in traffic in the Osaka-Kobe area. Once the network was restored patterns of mode use re- established themselves, but with a 27 percent decline in car travel. The results of these studies led researchers to assert, "we conclude that measures which reduce or reallocate road capacity, when well-designed and favored by strong reasons of policy, need not automatically be rejected for fear that they must inevitably cause unacceptable congestion." Cities that have consciously changed their road allocation policies dispel the myth of traffic chaos. In Nürnberg, Germany (population 480,000) city policy called for the pedestrianization of the city center beginning in the 1970s, and closed the last through street in 1988. As local officials reported, "Nearly 80 percent of the car traffic simply disappeared and could not be accounted for in parallel streets." Overall, the study which was conducted from 1988 to 1992, found a traffic reduction of seven percent. In the city of Hamm, Germany, population 183,000, traffic calming measures reduced a major road from four to two lanes. Local officials reported a 16 percent reduction on most of the road, with the added benefit of a 54 percent reduction in traffic accidents. Here in the U.S., evidence of reduced travel has surfaced, but it has been met with skepticism, or ignored entirely. In fact, the U.S. equivalent of SACTRA, a committee of the Transportation Research Board, made the decision to exclude empirical evidence of road closures and traffic calming in their influential 1995 report, Expanding Metropolitan Highways. If they had considered such evidence they would have found stories such as the West Side Highway in New York City. In 1973, one section of the highway collapsed, resulting in the closure of most of the route. NYDOT did a study in 1976 of the remaining portion of highway, in which traffic counts taken three years before the closure and two years after revealed that, overall, 53 percent of the trips disappeared, and of those trips, 93 percent did not reappear elsewhere–only seven percent of Table of Contents Kruse Page 4 the lost traffic was diverted onto parallel roads. The West Side Highway was included in the British report, which found an overall traffic reduction of eight percent. Implications for Small and Medium-Sized Cities The findings of the British study are significant for any city, suburb or rural area. Having travel options not only affords citizens choices in how they get to work or go to the store, but ensures that the transportation system can absorb sudden changes in traffic flow and mode choice. However, as small and medium-sized cities continue to struggle with growth and increasing traffic, preserving quality of life becomes an important part of decision making. The study' s findings, therefore, may be most useful for smaller areas that are faced with difficult economic decisions about whether or not to build roads, particularly bypass projects. Bypasses are often touted as a catalyst for regional economies, offering advantages such as construction jobs, facility planning and operations, as well as indirect benefits from less delays and inter-industry effects. Actual research shows that mostly these projects mostly shift economic activity from one place to another. A study by Professor Marlon Boarnet of the University of California at Irvine showed that in counties where highway spending accelerated, they experienced increased economic activity, but also found that adjacent counties experienced reduced economic output (Boarnet, 1995). Other research echoes these findings: "By design, beltways and bypasses create large areas of highly accessible land outside the city, particularly at interchange sites, which are traditional magnets for development such as office parks or shopping areas." The new land availability attracts businesses to the suburbs where zoning is less restrictive, allowing large parking lots and subdivision lots. This feature of the beltway system has been a powerful force for moving people and jobs out of the central city, resulting in a shift in the business activity away from downtown (Anderson, et al., 1980). In 1980, a comprehensive study carried out by a consulting group for the U.S. Department of Transportation (DOT) and the U.S. Department of Urban Development (HUD) concluded, "because any net gains are likely to be small, potential adverse impacts of beltway construction probably cannot be balanced by beltway- induced regional economic growth." These findings agree with studies of rural bypasses. One study looked at bypasses in Minnesota and Iowa and found that economic benefits of highways were merely shifted from one location to another. Echoing these conclusions, an interim report by SACTRA that was released along with the reduced travel study, suggests that new roads can lead to job losses, and that closing roads in city centers can boost the local economy. SACTRA set out to investigate the age-old argument that new roads help to revitalize neglected areas. In rural areas, the study found that new highways expose local companies to outside competition, ultimately leading to job loss. The report' s overall findings suggest that roads designed to bring jobs into areas of high unemployment can instead result in fewer employment opportunities because of increased congestion. Furthermore, the study offers that closing roads can create downtown jobs because reduced congestion results in benefits to the overall economy. Table of Contents Kruse Page 5 Lessons The key to accommodating a major change in traffic patterns, like a road closure, appears to be the flexibility of the transportation system. The effects of projects to reduce capacity, the researchers assert, will be reinforced or undermined by the network conditions, policy incentives, and influenced by home, work and social activities. Commuters in the British study had a variety of travel options to choose from, including public transit, walking or working from home. This adaptability allowed for a smooth transition. The study demonstrates that a balanced approach to transportation planning not only better serves its citizens, but allows for improved traffic management and a healthy network. And many cities have found that while reducing capacity may not have a measurable traffic reduction, by reducing barriers, they have discovered a new life beyond roads. s In 1989, the Loma Prieta earthquake toppled San Francisco' Embarcadero Freeway, and the citizens and local officials decided not to rebuild it–despite the cries of impending doom. Although engineers around the Bay Area predicted a traffic disaster, the chaos never materialized, and ridership on the Bay Area Rapid Transit (BART) system went up 30,000 new passengers. s Seven years later, when the upper deck of San Francisco' unstable Central Freeway was torn down, local officials again predicted a grim picture for Bay Area traffic. But once more, gridlock never materialized, prompting citizens and local officials to call for its complete removal. A stark s lesson emerged from both incidents, namely the exaggeration of the freeway' importance in the transportation system. In the case of the Embarcadero Freeway, people also underestimated how the city would transform once it was liberated from the concrete barrier. Once shrouded in darkness and noise, s downtown San Francisco' now-exposed waterfront has enjoyed a revival ever since the concrete structure came down. Instead of the hostile, dead-end environment, the bayside now boasts an inviting promenade, bathed in light. Many improvements followed the freeway' demise, s including the placement of historical markers along the waterfront, an overhaul of the Ferry Building Depot to serve as an intermodal hub, installation of a light rail line, and a boom in residential and commercial activity. In Portland, Oregon, the citizens did not wait for a natural disaster to intervene, but made a conscious decision to reclaim the riverfront from Harbor Drive, a six-lane freeway abutting the river. The impact to the city was tremendous, sparking the revitalization of the downtown area. In place of the freeway, a 37-acre waterfront park was built and now hosts events throughout the s year, attracting citizens and tourists to what is proudly referred to as "Portland' backyard." Because of the hard work of the citizens and projects like Pioneer Square, a former parking lot- turned-public space in the middle of the city, downtown is a destination. The light rail system is a s testament to the success of downtown' attractions, as it serves a higher ridership on the weekends than during the weekday rush. Walking is also a celebrated mode of transportation. s Portland' thriving downtown proves that there are solutions other than building new roads, and in the process has attracted the praise of tourists and local officials worldwide. British officials, spanning the John Major and Tony Blair governments, are increasingly s disenchanted by the idea of building more roads. Goodwin' study played a significant role in the Table of Contents Kruse Page 6 s British government' White Paper on transport, along with the debate over the proposed 1999 Road Traffic Reduction Bill. The bill will require the Government to cut traffic levels up to 10 percent by 2010, get trucks off the roads, and boost public transport, cycling and walking. The findings also support the large-scale changes that many citizens and local officials are calling for, including the pedestrianization of Parliament Square and Trafalgar Square, and expanded public transit. The British government is poised to change its transport policy, as new studies continue to shake up transportation planning models. The question is, will it convince stalwart road supporters to curb the road building fervor and plan cities that serve its citizens? Opportunities with TEA-21 The newly-reauthorized transportation bill, the Transportation Equity Act for the 21st Century (TEA-21) offers many tools for local officials to put some of these ideas into action. The findings of the British study reinforce the need for an integrated transportation policy which recognizes the interaction between transportation and other activities, including different elements of the transportation system itself. TEA-21 retains the structure of its predecessor, ISTEA, offering opportunities to fund more integrated transportation systems and provide more options for travelers. Some of these programs are: • The Congestion Mitigation and Air Quality Program (CMAQ) provides funding to areas that are designated by the U.S. Environmental Protection Agency (EPA) as non-attainment or maintenance for ozone or carbon monoxide. CMAQ funds must be spent on projects that help reduce ozone, carbon monoxide or particulate matter pollution. • The enhancements program makes the critical link between communities and transportation. Enhancements funding encourages diverse modes of travel, fosters local economic development, and brings direct benefits to communities from transportation spending. Projects eligible for enhancements funding include improvements to bicycle and pedestrian infrastructure, and scenic and historic preservation. • The planning requirements in ISTEA have been consolidated in TEA-21 into a list of seven planning considerations for states and local Metropolitan Planning Organizations MPOs that encompass local control, fiscal constraint, and accountability. • TEA-21 also continues the commitment to system preservation. Too often the temptation is for states and localities to focus on building new roads without ensuring enough money to adequately maintain the current infrastructure. This "fix it first" strategy is funded through the Interstate Maintenance program, and the Highway Bridge Replacement and Rehabilitation program. TEA-21 also includes some promising additions such as: • Explicit language that recommends a better role for local officials in small metropolitan and rural planning, although it is not a requirement. Table of Contents Kruse Page 7 • The Transportation and Community and System Preservation (TCSP) pilot program provides funds for projects that integrate transportation and land use. • The Job Access and Reverse Commute Program is designed to connect unemployed people with jobs and ease the transition from welfare to work. Many local officials have found that decreasing road capacity and expanding options for public transit, walking, and biking are rejuvenating their cities. New evidence from the UK supports these decisions, creating new opportunities for traffic management. By demonstrating that road closures can eliminate traffic and boost the economy, reduced travel further debunks the notion that building more roads will solve traffic problems. As the British transport minister proclaimed, "the fact of the matter is that we cannot tackle our traffic problems by building new roads." And as cities around the world wrestle with rising traffic congestion, evidence of reduced travel helps demonstrate that a balanced, equitable system is not only the most effective solution to current traffic problems, but a sensible policy for the future. Table of Contents Kruse Page 8 RESOURCES Cohen, Harry, "Review of Empirical Studies of Induced Traffic," Appendix B Expanding Metropolitan Highways: Implications for Air Quality and Energy Use. Special Report 245. Transportation Research Board. 1995. Department of the Environment, Transport and the Regions, UK, http://www.detr.gov.uk s –The Government' Response to the Transport Debate, http://www.detr.gov.uk/gpaper/gpaper.htm –Transport Investment, Transport Intensity and Economic Growth: Interim Report, http://www.detr.gov.uk/heta/sactra98.htm –Road Traffic Reduction Act of 1997, http://www.detr.gov.uk/rtra/rtra02.htm#1 "Driving Britain off the Roads," The Economist. January 24, 1998. "Green Light for Traffic Plan," BBC News. January 30, 1998. [http://news.bbc.co.uk:80/hi/english/uk/newsid%5F52000/52079.htm] s Haikalis, George, "Garbage In - Garbage Out: NYC Dept. of Transportation' Flawed Analysis of Closing Central Park Drives to Traffic." Transportation Alternatives. August, 1992. Hamer, Mick, "Roadblocks Ahead," New Scientist. January 24, 1998. http://www.newscientist.com/ns/980124/news.html Hansen, Mark, "Do New Highways Generate Traffic?" Access, University of California Transportation Center. Fall 1995. Hansen, Mark and Yuanlin Huang, "Road Supply and Traffic in California Urban Areas," Transportation Research A, Vol.31, No. 3, pp. 205-218, 1997. Heanue, Kevin, "Highway Capacity and Induced Travel: Issues, Evidence and Implications." Presented at the Transportation Research Board Annual Meeting, January, 1997. Johnston, Robert and Raju Ceerla, "Travel Modeling with and without Feedback to Trip Distribution," Journal of Transportation Engineering, pp. 83-86, January/February 1996. "New Roads Kill Jobs, Government Told," BBC News. February 9, 1998. http://news.bbc.co.uk:80/hi/english/uk/newsid%5F54000/54876.stm Replogle, Michael, "Minority Statement," Appendix E in Expanding Metropolitan Highways: Implications for Air Quality and Energy Use. Special Report 245. Transportation Research Board. 1995. Standing Advisory Committee on Trunk Road Assessment, Trunk Roads and the Generation of Traffic, United Kingdom Department of Transport. December 1994. Table of Contents Kruse Page 9 Traffic Technical Report, West Side Highway Project , New York Department of Transportation. September, 1976. For information on the Traffic Impact of Highway Capacity Reductions report see: Department of the Environment, Transport and the Regions – http://www.detr.gov.uk s The Government' Response to the Transport Debate – http://www.detr.gov.uk/gpaper/gpaper.htm Transport Investment, Transport Intensity and Economic Growth: Interim Report – http://www.detr.gov.uk/rtra/rtra02.htm#1 Friends of the Earth, UK http://foe.co.uk http://foe.co.uk/camps/attran/rtrb/index.htm, and http://foe.co.uk/camps/attran/rtrb/latest.htm To order Traffic Impact of Highway Capacity Reductions: Assessment of the Evidence and Report on Modeling, contact: Landor Publishing Ltd. Books Department Quadrant House 250 Kennington Lane London SE11 5RD England 44(0)171 582.6626 44(0)171 735.1299 - Fax Table of Contents Session #1 Making Tough Transportation Decisions Easier STREAMLINING THE TRANSPORTATION DECISION-MAKING PROCESS Cass Brotherton P.E. Regional Development Engineer Washington State Department of Transportation, Olympic Region PO Box 47440 Olympia, WA 98504-7440 Phone (360) 357-2722 Fax (360) 357-2748 email: email@example.com ABSTRACT Washington State has entered into an agreement with Federal Highway Administration (FHWA) in Washington, D.C., to demonstrate a new way of doing business by starting the National Environmental Policy Act (NEPA) process in the earliest planning stage of a transportation s strategy. The Washington State Department of Transportation' (WSDOT) Olympic Region proposes to use the State Route (SR) 104 corridor for a demonstration project to test the new model that was developed by a state-wide process improvement team. This explanation of the process to be used includes information on how the state transportation department will work to develop the long-range vision for a corridor using the NEPA process, so that the decisions made will "stick" for the many years it will take to implement all of the recommended strategies for the corridor. The process includes formation of a Steering Committee of the affected jurisdictions, permit agencies, interested groups and affected citizens to determine the issues that will be addressed. There will be an extensive public outreach and involvement process to make sure that the vision is shared by the community. A Project Management Team (PMT) will manage the project, as well as coordinate the Steering Committee. The PMT will facilitate the gathering of information about the area, and the needs and wishes for the area, into a unified vision that may impact future zoning and development in the area as well as the actual transportation solutions identified for the corridor. The SR 104 corridor to be studied is approximately 25 miles of rural two-lane road through two counties. The roadway connects an urban area (metropolitan Seattle) and a currently rural area experiencing pressure to develop in order to support the urban area. The corridor is the major transportation link between these two areas, and its future design will be critical in establishing the way in which the rural area will develop. The route has a state scenic designation, ends at a ferry terminal, includes a bridge in need of major repair, passes near tribal land and has groups in favor Table of Contents Brotherton Page 2 of development as well as those that want to remain rural. Given this, the corridor study will offer challenges that many jurisdictions must face as they try to plan for the future. Currently, the perception is that decisions are made, and then the NEPA process is started and manipulated in order to come to the decisions that have already been made. This new process will bring the right people in at the right time to make the right decisions that will then guide the development of a corridor in the future. The process has the potential to become a nation-wide model for using the NEPA process in multi-modal transportation corridor planning. Table of Contents Brotherton Page 3 STREAMLINING THE TRANSPORTATION DECISION-MAKING PROCESS Process Development: WSDOT chartered a Process Improvement Team (PIT) to improve the inclusion of the National Environmental Policy Act (NEPA) into long range planning for transportation projects. The PIT consisted of representatives from various expertise areas within WSDOT and FHWA. It met for over a year and outlined an improved process. This process was then presented to a group of experts from the area and around the country at a three day conference. The PIT incorporated the comments gathered at the conference and continued to refine the process. Representatives from local resource agencies were added to the PIT, and its title was changed to the Joint Process Improvement Team (JPIT). The New Process Goals: • Provide for the best environmental decisions for transportation strategies by integrating planning and the NEPA process • Move NEPA decision-making into the planning process where many decisions are made (previously those decisions were made without benefit of application of NEPA principles) • Reduce duplication of effort by WSDOT and resource agencies • Reduce project cost • Reduce project time • Improve agency coordination • Improve public involvement • Improve the public' perception of WSDOT' efforts s s In summary: Make the right decisions the first time with the right people involved so that the decisions "stick". Fundamental Changes to the Process: 1. TIMING Timing Traditional Way: In the past the Planning Office of WSDOT has done planning studies by working with local jurisdictions to develop strategies to identify deficiencies. Additionally, planning offices have worked with local communities, governments, residents, and users of a roadway to develop long- range visions for a roadway. Project specific strategies might be suggested from these studies. These "projects" would then be listed in the 20 year plan— the Highway System Plan (HSP)— to await funding. After a major project was funded for environmental work, the NEPA process would be started and the "official decisions" would be made. This way of doing business has several potential disadvantages: • Perception that decisions were already made: "Something" was already written down as the strategy. Table of Contents Brotherton Page 4 • Perception that decisions were made prior to starting NEPA. • Duplication of work: Often the studies done by the planning office were repeated. • Waste of resources: The replication of work takes staff time, both at WSDOT and other agencies. • Confusion of the public: Repeated requests for input give the impression that WSDOT is not listening. • Consideration of environmental factors too late: The perception is that decisions were made before the NEPA process was started. • Too much focus on the details in the document and not enough on recording the decision- making process. This process can result in some serious consequences: • Delays in project delivery: Often resource agencies would not be involved in the planning studies, so they could not express their concerns about the decisions made and the process used. • Inadequate decisions: Because not all of the right interests were involved from the beginning, important issues might be overlooked. • Damaged relationships: The public and or resource agencies might decide that WSDOT was not considering issues of concern to them due to the process. This feeling might carry over to other projects and damage working relationships. • Agency resources stressed: Due to duplication or non-involvement at the critical time, too much staff time might be required. • Poor public perception: The public will be frustrated if they think they are ignored or asked to be involved in a process where the outcome is predetermined. • Impacts to natural resources: The natural resources might not be protected in the best possible way if some groups and interests, and therefore some information, are left out of the early decision-making process. • Increased costs: Duplication and re-evaluation add extra time and therefore extra money to the process. Timing New Way: NEPA will be applied during the corridor-level planning. By making the official decisions during planning, with input from all the involved agencies and with additional community involvement, WSDOT anticipates that problems will be greatly reduced. We anticipate that this process will deliver good decisions that can stick all the way through construction unless new regulations are passed or new information is discovered. Table of Contents Brotherton Page 5 2. PROJECT MANAGEMENT Project Management Traditional Way: Historically, the planning study would be managed by a planning office. The project would then be transferred to an environmental office for development of the environmental impact statement (EIS). Then the project would be transferred to a project development office for design. Occasionally, communication between these offices fails and some critical bit of information is not passed on. Commitments could be forgotten with staff changes. There could be duplication of efforts in re-evaluating an alternative that initially appeared to be viable, but on investigation proved to be unworkable. While traditionally there was an effort to involve all disciplines in each stage, most of them never felt ownership. Sometimes, the project lead might not even be aware that a question needed to be asked of another expertise at a particular time. Project Management New Way: A multi-discipline team will be established for each study to provide day-to-day management of the project throughout the design. This will be called the Project Management Team (PMT), and it will oversee the development of the study. Each team will have representatives selected for the specific corridor to be studied. Generally, from WSDOT there will be people with expertise in planning, environmental and design. There will be a representative from FHWA and/or Federal Transit Administration. Other representatives could be on the team as needed for the specific project area. These could include other WSDOT expertise such as traffic or maintenance. Local agencies or resource agencies could also have representatives on the PMT as appropriate. The PMT will not be the decision-making body but will make sure that the decision makers have all of the information they need at the correct time to make the decisions in a timely manner. The team will gather or supervise the gathering of all the information. A major function of the PMT will be to foster open communication between all the involved stakeholders including the Steering Committee, the public, transportation officials, local agencies, resource agencies, communities, traveling public, etc. 3. WORK PLANNING Work Planning Traditional Way: Each manager would manage the project in his or her own style. Work Planning New Way: A requirement of this new process is that the PMT draft a work plan that will outline the appropriate decision steps for the particular corridor under study. A public and community involvement plan will be included. This plan will make sure that key points are taken into consideration and that the right people are involved. A schedule will also be developed and updated. The work plan and schedule will both go through an iterative process as the study continues. The Steering Committee will have input into the work plan. Table of Contents Brotherton Page 6 4. VALUE ANALYSIS Value Analysis Traditional Way: Value Analysis (VA) or Value Engineering (VE) has been a week-long look at the major points of a project by a team made up of experts in the fields who are not familiar with the project. Additionally, there has been a team member familiar with the project who can provide background and continuity. The VA team looks for less expensive alternatives and more effective ways to meet the functional needs of a design project. These can include reducing environmental impacts. Traditionally, WSDOT conducted VE studies shortly before the design was completed on major projects. None were done during planning studies or for EISs. Value Analysis New Way: A new element of the planning study is to include this week-long cross-check look by "new eyes" at the decisions being made for the corridor. It will be included after the alternatives have been narrowed down to those most likely to be carried forward in the EIS, but before a preferred alternative has been selected. Changes made at the planning stage can have the most significant impacts on cost and effectiveness of the resulting projects. 5. AGENCY INVOLVEMENT Agency Involvement Traditional Way: The planning office has traditionally worked closely with the local agencies during planning studies. Often only a cursory environmental review was done by WSDOT in planning studies. The environmental office has worked with permit agencies during EIS preparation, although those agencies have often been in a review mode and not involved in the decisions being made. Local agencies have been sent the EIS for review, but are not generally involved in the development of strategies. WSDOT has worked very closely with the permit agencies during construction, since that is when the permits are acquired. Agency Involvement New Way: All of the affected local agencies and resource agencies will be invited to sit on the Steering Committee. They will be exposed to the views, issues and constraints of the others. All will be vested with the task of finding the "best" strategies for the study area. They will have the opportunity to influence the strategies developed at the earliest planning stages while working to find the best transportation strategy in the view of all the stakeholders. Table of Contents Brotherton Page 7 6. PUBLIC INVOLVEMENT Public Involvement Traditional Way: During planning studies, there have generally been public open houses, newsletters and notices. The public is invited to give input to the decision makers. During the EIS process the public is given the same public involvement opportunities. However, the process is more formalized under the NEPA principles. The public also has the recourse of asking for hearings, and there are legal obligations for comments to be considered in the decision making process. The public may become confused or frustrated with the duplicative nature of the planning-to- project-construction process. They may be asked the same questions by different people several times, years apart. They may feel the process is too long or that they were not heard the first time they gave input. Public Involvement New Way: The public will be involved in the one time decision-making process for the corridor. There will be representatives of the public on the Steering Committee. Additionally, there will be even greater outreach to the public for greater involvement in the data gathering and decision making for the corridor. This will be a challenge for the PMT and Steering Committee, since the plans developed will be for 20 or more years and the public is traditionally more interested when they "see the bulldozers coming." Therefore, the importance of the study will be emphasized. Outreach will be made to the various groups in the affected locations. Information about the study will be taken to homeowner groups, civic groups, seniors, or whatever groups can be contacted in the study area. The process for giving input will be customized to the area and made as customer-friendly as possible. There will be workshops, small meetings in local neighborhoods, etc., to get the affected population involved in the decision making. 7. DECISION MAKING Decision Making the Traditional Way: The WSDOT regional administration has given the final approval on planning studies. When WSDOT did a Route Development Plan (a specific type of planning study), there was also approval by the WSDOT State Design Engineer and the Olympic Service Center (OSC) Planning Manager. They generally acted on the advice given by the planning office which would inform the decision makers of the recommendations and issues of the steering committee or stakeholders. EISs have been approved by the Regional Administrator and the OSC Environmental Manager prior to going to FHWA for final approval and issuance of the Record of Decision (ROD). There generally has been an interdisciplinary team (IDT) and a technical advisory committee (TAC), each of which provided input into the decisions. Table of Contents Brotherton Page 8 Decision Making New Way: The Steering Committee will have representation from all stakeholder groups and will be the decision making body. There will be nine consensus points throughout the process. At each point the Steering Committee will give approval or not to move forward with the study. Consensus has been defined to "Be the process by which a group develops substantial agreement (not necessarily unanimity) about a decision. The agreement should be strong enough that the group will be willing to implement the decision. Minority opinions will be recorded and reported in the documentation." The Steering Committee will have to decide if the minority opinion warrants reevaluation back to the last consensus point. In addition to these nine consensus points which are recorded in the minutes of the meetings, there will be three formal points on concurrence by the agencies with jurisdiction. Each of the agencies will have been invited to have representation on the Steering Committee, and it is anticipated that in most cases each will serve on the committee. If staffing concerns preclude this, they still will be kept informed with meeting minutes and contacts as needed. The formal concurrence points will require letters stating that the project may continue. Usually this will be a simple step, since the consensus point will have preceded the concurrence and issues will have been resolved through that process. Any conflicts will be escalated to the Transportation Policy Group which consists of management from WSDOT, FHWA and FTA. 8. PROCESS: Process Traditional Way: The process of decision making has been much the same in planning studies and EISs: statement of purpose and need; development of screening criteria; existing condition data gathering; gathering of alternatives; reducing alternatives to practicable ones; data gathering about the alternatives; screening of alternatives; and selection of the preferred alternative. These steps are followed to different levels depending on the type of study. Process New Way: The process will remain the same. The timing, players and level of detail will differ. It is anticipated that considerable time will be spent on developing consensus on the purpose and need. However, it is essential that the Steering Committee does agree on the purpose and need, and once consensus is reached, the rest of the process should follow logically. WSDOT is re-focusing the way it approaches purpose and need development and moving away from statements like "Add a lane in each direction..." to "Moving people and goods from ...." It is anticipated that this evolutionary process will continue through this new process, since there are likely to be Steering Committee members who will question the need to move people and goods, Table of Contents Brotherton Page 9 and instead support strategies that discourage increased growth. Discussions about issues of land use and growth management will likely be very intense in the first few meetings while developing the purpose and need. This single forum for all the stakeholders to discuss the issues for a corridor is a challenging opportunity, but one that is long overdue. WHAT IS NEXT? The JPIT is continuing to meet to refine the new process. Two pilot projects have been selected and given the go ahead to start preliminary work, train the PMTs on the new process, select a Steering Committee and do the background data gathering. SR 104 is one of the pilots. The SR 104 corridor to be studied is approximately 25 miles of rural two lane road through two counties— Kitsap and Jefferson. The roadway connects an urban area (metropolitan Seattle) and a currently rural area that is experiencing pressure to develop in order to support the urban area. The corridor is the major transportation link between these two areas, and its future design will be critical in establishing the way in which the rural area will develop. The route has a state scenic designation, ends at a ferry terminal, includes a bridge in need of major repair, passes near tribal land and has groups in favor of development as well as those that want to remain rural, so the corridor study will offer challenges as we work with stakeholders to develop a long term vision for the roadway. Some issues that may be identified by the stakeholders as needing study include: Kingston Ferry Terminal: Currently, overflow ferry traffic waits on the main street through town which disrupts local traffic. Some studies have been done in this area and will have to be incorporated into this study. A Kingston circulation plan will have to be developed that is compatible with the total corridor vision. SR 104 and SR 307: SR 104 makes a sharp right where SR 307 ends. Traffic impacts of this may need to be studied. Port Gamble: This is a small historic town located on the section of the roadway with the lowest average daily traffic (ADT). There is no way to widen the roadway in the future since the it runs between the historic buildings and a bluff that drops off to the ocean and there is physically no room. There are several sharp turns approaching town. These issues may contribute to a need to study the appropriateness of a by-pass in order to preserve the town while providing for through traffic. SR 104 and SR 3 intersection: This "T" intersection may not function effectively in the future. Hood Canal Bridge: Table of Contents Brotherton Page 10 The east half will need to be replaced in 2004. A major issue in this study may be what should the bridge look like in 50 years. How many lanes, bike lanes, HOV lanes etc. may all be issues to the local residents. Currently, there were almost 20,000 trips on the bridge per weekend day, recorded in June, 1998. Intersection with SR 19: Jefferson and Clallam counties would like to see a "gateway" developed at this intersection. A large timber company owns the property and would be willing to donate 20 acres for the project. Currently WSDOT has no money for this project. A gateway might serve the whole Olympic Peninsula by encouraging and informing area visitors. This could have economic impacts in an area that is seeking ways to replace lost timber revenue. Intersection with SR 101: This intersection can be confusing and may need to be studied to maximize the functioning. Corridor Wide Issues: This roadway is an important link between the two peninsulas--Kitsap and Olympic--and the Seattle metropolitan area. The capacity vision for the roadway will need to reflect the areas' vision for growth. The roadway has a scenic designation and is used by freight carriers and tourists as well as for local work and pleasure related trips. There are several high accident s corridor locations on the route as well as areas that will fall below the county' level of service by 2020. Other issues that may affect the vision for the roadway include the existence of aquifer recharge areas, endangered species, areas with geological concern, prime agriculture soils, forest land, well head protect zones, landslide hazard areas, streams as well as proximity to the Hood Canal. The study is anticipated to take two years. If the reader would like to receive periodic updates, he or she should contact the author to be put on our mailing list. Table of Contents Session #1 EVALUATION OF ALTERNATIVES USING THE SURFACE TRANSPORTATION EFFICIENCY ANALYSIS MODEL (STEAM) Patrick DeCorla-Souza, AICP Federal Highway Administration 400 Seventh St SW, HEP-20, Washington DC 20590 Tel (202)-366-4076 Fax (202)-366-3713 firstname.lastname@example.com James Hunt Odetics 9237 Three Oaks Dr., Silver Spring, MD 20901 Tel (301)-589-5136 Fax (301)-589-4763 firstname.lastname@example.com ABSTRACT The Intermodal Surface Transportation Efficiency Act (ISTEA) and its successor the Transportation Equity Act for the 21st Century (TEA-21) both emphasize assessment of multimodal alternatives and demand management strategies. This emphasis has increased the need for planners to provide good comparative information to decisionmakers. Benefit-cost analysis is a useful tool to compare the economic worth of alternatives and evaluate trade-offs between economic benefits and non-monetizable social and environmental impacts. FHWA has developed a new tool for benefit-cost analysis called the Surface Transportation Efficiency Analysis Model (STEAM), available at: www.ota.fhwa.dot.gov/steam. The software allows development of impact estimates for a wide range of transportation investments and policies, including major capital projects, pricing and travel demand management (TDM). Impact measures are monetized to the extent feasible, but quantitative estimates of natural resource usage (i.e.,energy consumption) and environmental impact (e.g., emissions) are also provided. Net monetary benefits (or costs) of alternatives can then be used to evaluate trade-offs against non-monetizable benefits. This paper demonstrates a case study application of the software for a hypothetical medium-sized urban area in the U.S., called Any City. Table of Contents DeCorla-Souza Page 2 EVALUATION OF ALTERNATIVES USING THE SURFACE ( TRANSPORTATION EFFICIENCY ANALYSIS MODEL STEAM) 1.0 INTRODUCTION The Intermodal Surface Transportation Efficiency Act (ISTEA) and its successor the Transportation Equity Act for the 21st Century (TEA-21) both emphasize assessment of multimodal alternatives and demand management strategies. This emphasis has increased the need for planners to provide useful comparative information to decision makers with regard to proposed alternative transportation solutions. Benefit-cost analysis (also termed "economic efficiency analysis") is a useful tool to compare the economic worth of alternatives and evaluate trade-offs between economic benefits and non-monetizable social and environmental impacts. In January 1998, the Federal Highway Administration (FHWA) released the Surface Transportation Efficiency Analysis Model (STEAM) to assist in multi-modal benefit-cost analysis in metropolitan areas. STEAM is available at: www.ota.fhwa.dot.gov/tech/traffic/steam/steam.html. A real-world test of the software was performed using case study data from a medium-sized urban area in the U.S., called Any City in this paper to maintain its anonymity. An evaluation of transportation alternatives was performed for the Central Freeway corridor in Any City. Section 2 provides an overview of STEAM. In Section 3, the alternatives and procedures used to develop the needed input data for STEAM are described. In section 4, impact analysis procedures s embedded in the software are discussed, and results of STEAM' impact analysis are presented. s Section 5 presents STEAM' economic efficiency analysis procedures and results from the case study. 2.0 OVERVIEW OF STEAM STEAM accepts input directly from the four-step travel demand modeling process or from off- s model software such as FHWA' Travel Demand Management (TDM) software (1). It post- processes traffic assignment outputs from conventional four-step travel demand models in order to more accurately estimate highway travel speeds under congested conditions. STEAM then produces estimates of systemwide impact; i.e, impact estimation is not limited to the improvement corridor. STEAM is highly flexible in terms of the transportation modes, trip purposes, and time periods analyzed. It provides default analysis parameters for seven modes (auto, truck, carpool, local bus, express bus, light rail, and heavy rail) and allows the user to accomodate special circumstances or new modes by modifying these parameters. The software develops impact estimates for a wide range of transportation investments and policies, including major capital projects, pricing, and travel demand management (TDM). Impact measures are monetized to the extent feasible, and quantitative estimates of natural resource usage (e.g., energy consumption) and environmental impacts (e.g., pollutant emissions) are also provided. Decision makers can then use net monetary benefits (or costs) of alternatives as computed by STEAM to evaluate trade-offs against non-monetizable impacts. As shown on the right side of Figure 1, STEAM consists of four modules: Table of Contents DeCorla-Souza Page 3 Figure 1. Overview of Analysis Procedures Socio- User Interface Default Alternative economic Networks Module Parameters data Trip generation, User Transit Time Parameters distribution & & Dist. Mode Choice Skims models Network Analysis Person trip Module tables by purpose, mode Hwy Time & STEAM Dist. Skims Auto occupancy model Trip Table Analysis Module Vehicle trip tables by purpose Market Sector Output Congested Traffic Assignment network Evaluation Evaluation Summary Module Summaries 1. A User Interface Module, which includes on-line help files. 2. A Network Analysis Module, which reads a file containing highway link data and produces zone-to-zone travel times and distances based on minimum time paths. 3. A Trip Table Analysis Module, which produces estimates of user benefits based on a comparison of Base Case and Improvement Case travel times and out-of-pocket costs for each zone-to-zone trip interchange for a given forecast year. It also produces estimates of pollutant emissions, noise costs, accident costs, energy consumption, and other external costs associated with highway use. 4. An Evaluation Summary Module, which calculates net present worth and a benefit-cost ratio for the improvement under consideration. It also provides summary information on individual benefit and cost items, and probability distributions of several performance measures based on a risk analysis. Table of Contents DeCorla-Souza Page 4 3.0 CASE STUDY ALTERNATIVES AND STEAM INPUTS 3.1 Corridor Alternatives The Central Freeway in Any City is a north-south 6-lane facility. The limits of the case study corridor were defined by the interchanges of Central Freeway with the beltway loop north and south of the city. The corridor is about 12 miles in length. Currently, traffic in the corridor exceeds capacities in many locations, causing significant peak period delays. Significant growth is expected in the Any City region, and in the corridor in particular. Population in the corridor is anticipated to increase by more than 100% while employment is estimated to increase by more than 140% over the next 20 years. Traffic on Central Freeway in the southern portion of the corridor is expected to double. For the purpose of demonstrating the application of the software, three corridor alternatives were analyzed: • "No-Build" alternative: This alternative included all new capacity projects in the region' s Long Range Transportation Plan, except for Central Freeway improvements. A planned light rail line in the Central Freeway corridor was included. • "Build" alternative: This alternative involved the widening of Central Freeway to include two additional mixed-flow travel lanes in each direction. • "TDM/Tolls" alternative: This alternative primarily involved introduction of a $1.00 toll to be collected on Central Freeway through automated collection techniques at both ends of the corridor (i.e., at each of the two beltway interchanges), and at all entrance ramps within the corridor. No highway capacity improvements were included. A 25% increase in both bus and light rail service was included, to handle increases in transit demand due to auto users "tolled off" the freeway. 3.2 Developing STEAM Inputs from Demand Models STEAM accepts as input the following output from the four-step travel demand modeling process: (1) person trip tables for passenger travel and vehicle trip tables for truck travel; (2) travel time and cost matrices skimmed from transit networks and (optionally) from highway networks; and (3) loaded highway network output from traffic assignment. Note that urban areas that do not model transit networks can still estimate benefits to transit riders using procedures s described in the participant notebook for FHWA' multi-modal evaluation course (2). STEAM can then be used to estimate the highway impacts using loaded highway networks. For the case study, travel demand model outputs for the two action alternatives and the No-Build alternative were obtained from runs of the four-step travel demand models. The models were run s using Any City' 2015 Transportation Plan and its 2015 socio-economic forecasts for the region. For the TDM alternative, the No-Build highway network was re-coded to reflect an in-vehicle time penalty equivalent to the toll. The demand modeling procedures are presented graphically on the left side of Figure 1. Both trip table and loaded highway network outputs were obtained for a 24-hour time period. The transit time and cost skims reflected peak period service. Table of Contents DeCorla-Souza Page 5 3.3 Defining Market Sectors Market sectors for use in STEAM analysis may be defined by trip mode, purpose, and time of day. Since the Any City models produced daily demand estimates, market sectors were defined only by trip mode and purpose. The travel demand models provided person trip tables by mode (auto, bus, walk-accessed light rail and drive-accessed light rail) for the following four internal trip purposes: Home-based (HB) work, HB non-work, HB college, and Non-HB. For HB work person trips, an additional mode, i.e. "Carpool" was estimated by the models. Additionally, vehicle trip tables were provided by the models for the following three trip purposes: internal truck, internal-external, and through. Since internal-external and through trips include both passenger and truck travel, the first step would be to break down trip tables for each of these two purposes into auto and truck modes. For Any City, the truck share of these trips was unknown, so all trips were assumed to be auto mode trips. Executing STEAM using Any City trip tables could potentially require running (for the "daily" time period) each of 22 purpose/mode market sectors identified by an "X" in Table 1-A. To reduce the number of market sectors to be analyzed, the seven trip purposes (shown in the first column of the table) were collapsed into two: (1) a passenger travel purpose and (2) a commercial (truck) purpose; i.e., all non-truck trip purposes were combined into a single "passenger travel" category, for which the same values of time and other STEAM parameters could be applied irrespective of the actual trip purpose. The resulting market sectors are indicated by an "X" in Table 1-B. TABLE 1-A Potential Market Sectors for Any City Trip Purpose Auto mode Carpool Bus Walk-to- Drive-to- Truck Light Rail Light Rail HB work X X X X X HB college X X X X HB non-work X X X X NHB X X X X Internal truck X Internal-external X potential Through X potential TABLE 1-B Combined Market Sectors Trip Category Auto Carpool Bus Walk-to- Drive-to- Truck mode Light Rail Light Rail Personal travel X X X X X Internal truck X Table of Contents DeCorla-Souza Page 6 3.4 Developing Market Sector Inputs Highway Mode Inputs: Auto-occupancies needed as input into STEAM for the passenger travel auto and carpool modes were obtained by dividing the sum of regionwide person trips by the sum of vehicle trips for each mode (using output from the four-step demand models). While STEAM can estimate vehicle operating costs based on internally generated zone-to-zone highway distance skims, the user must provide "out-of-pocket cost" skims reflecting tolls for zone-to-zone travel. For the TDM alternative, toll skims were obtained using the demand modeling software. First, a select-link analysis was done to identify zone-to-zone vehicle trip interchanges subjected to tolls, and the number of vehicle trips for each zone-to-zone interchange actually choosing the toll route. For each trip interchange, these trips were divided by trips from the total vehicle trip table to get the proportion of zone-to-zone vehicle trips actually paying tolls. Average out-of-pocket cost per vehicle for each zone-to-zone interchange was obtained by multiplying the vehicle toll by the proportion of vehicle trips paying the toll. The average out-of-pocket cost per vehicle was then divided by auto-occupancy in order to generate a skim table of average out-of-pocket cost per person for input into STEAM. Non-Highway Mode Inputs: For the non-highway passenger travel modes (bus and rail), STEAM inputs for average occupancies were estimated from passenger count data. STEAM cannot generate travel time skims for non-highway modes. Travel time "skim" tables as well as out-of- pocket cost tables must be obtained for input into STEAM using output from the demand models. For Any City, the in-vehicle travel time skims generated by the demand models were used directly as input into STEAM. The Any City models also generated walk time skims and wait time skims. These were summed by origin-destination pair to get "out-of-vehicle" travel time skims needed for input into STEAM. Additionally, the Any City models generated out-of-pocket cost skims (in cents) based on transit fares. These were directly input into STEAM. 4.0 CASE STUDY IMPACT ANALYSIS 4.1 STEAM Procedures for Estimating Travel Speed, Emissions and Energy Use Speed: Users can format input network files to include "congested" link speeds which STEAM can use directly. As an option, STEAM can estimate travel speeds based on procedures which relate average weekday traffic-to-capacity ratios (AWDT/C) to average hourly delay and speed (3). The procedures incorporate the dynamic effects of queuing and peak-spreading which are not considered when conventional Highway Capacity Manual procedures are used with assigned traffic volumes. Additionally, the procedures account for day-to-day variations in traffic and incident delays. Emissions: The conventional link-based emissions analysis approach cannot easily be used to estimate the changes in cold start emissions that may result from demand management actions. STEAM therefore uses a trip based approach to estimate emissions (4). In STEAM, emissions for autos, trucks and carpools are calculated as the sum of: (1) emissions due to vehicle miles of travel (VMT), calculated under the assumption that vehicles are already warmed up, i.e., in either the hot-start mode or hot-stabilized mode; and (2) added emissions due to cold starts. Non-cold start emissions are calculated using emission rates as a function of speed. The added emissions due to cold starts are calculated on a per vehicle trip basis. STEAM allows the user to specify the fraction of vehicle trips starting cold; national defaults are provided from recent research (5). Fuel Consumption and Greenhouse Gas Emissions: Increases or decreases in use of motor fuel are estimated by STEAM by vehicle type (auto and truck) as a function of average speed for each Table of Contents DeCorla-Souza Page 7 trip interchange, using fleet average fuel consumption rates (6). STEAM calculates changes in greenhouse gas emissions using carbon dioxide (CO2) emission rates per gallon of motor fuel consumed (7). 4.2 Impacts of Case Study Alternatives Table 2 summarizes travel demand estimates by mode for the entire region, obtained from Any City travel demand models. Auto person trips include both solo-driver and carpool trips; and transit person trips include both bus and light rail trips. The analysis used STEAM-estimated speeds rather than travel model output speeds. Table 2 provides estimates from STEAM of resulting average regionwide vehicular travel speeds, and total regionwide emissions and fuel consumption. Note that average speeds estimated by STEAM are lower than those typically estimated by travel demand models or even by HCM procedures. This is because, as discussed in s Section 4.1, STEAM' speed relationships take into account delays due to queues carried over from one hour to the next, as well as delays due to incidents and the effects of day-to-day variations in traffic when volume-to-capacity ratios are close to 1.0. TABLE 2 Impacts Of Alternatives: Year 2015 No-Build Build TDM/Tolls Weekday Person Trips (in millions) Auto 5.719 5.721 5.708 Transit 0.091 0.090 0.102 Truck 0.018 0.018 0.018 Total 5.828 5.828 5.828 Weekday Vehicle Trips (in millions) Auto 4.231 4.231 4.224 Truck 0.018 0.018 0.018 Total 4.249 4.248 4.242 Weekday Vehicle Miles (in millions) Total 27.767 27.958 27.452 Avg. Auto Speed (mph) 18.24 18.98 18.32 Annual Emissions (tons) Hydrocarbons (HC) 7,723 7,622 7,578 Carbon Monoxide (CO) 166,075 162,417 162,662 Nitrogen Oxides (NOx) 8,853 8,913 8,743 PM 10 310.0 312.0 305.6 Annual Fuel Use (million gallons) 246.06 241.72 241.29 CO2 Emissions (million tons) 2.11 2.07 2.07 Table of Contents DeCorla-Souza Page 8 5.0 CASE STUDY ECONOMIC EFFICIENCY ANALYSIS 5.1 STEAM Procedures to Estimate Benefits and Costs s All benefits are computed by STEAM' Trip Table Analysis Module based on weekday travel estimates by market sector for a specific analysis year. Weekday benefits for each market sector are annualized assuming a default value of 250 working days per year. This annualization factor may be modified by the user. The analysis year may be selected by the user to be representative of benefits over the analysis period, which is normally the life of the investment. Alternatively, the user may run STEAM separately with data for several different analysis years, and estimate the stream of benefits over the analysis period. User Benefits: User benefits are calculated for each zone-to-zone trip interchange. Benefits include savings in user costs such as travel time costs, vehicle operating costs and out-of-pocket costs for fares, parking (if paid by the user), fuel taxes, and tolls. User benefits also include the portion of accident costs that are perceived by the traveler and taken into account in travel decisions. STEAM uses defaults for variable vehicle operating cost (excluding fuel costs) amounting to 3.4 cents per mile for autos (8) and 10 cents per mile for trucks. It is assumed that fixed costs such as vehicle depreciation or garaging costs will not vary by alternative, but if they do, the differences with respect to the No-Build can be provided as an input to STEAM in the "non-mileage costs" category discussed later. The defaults for fuel cost are $1.21 per gallon of auto fuel and $1.15 per gallon of truck fuel inclusive of fuel taxes. Travel time savings for personal travel (i.e., autos, HOV and transit) are monetized by STEAM using a default value of $8.90 per person hour for in-vehicle time (9). The default value for out-of-vehicle travel time is s $17.00 (7). For commercial truck traffic, STEAM' default is $16.50 per hour for in-vehicle time (9), and $17.00 for out-of-vehicle travel time. For new users of a mode (for each trip interchange), savings are valued by STEAM at one-half the rate used for former users, as suggested by consumer surplus theory (2). Revenue Transfers: Fares, tolls and taxes are transfers from users to the government, and are not normally relevant in evaluation of economic costs and benefits for society as a whole, even though they are extremely important in demand estimation. However, since the imposition of fares, tolls and taxes causes a reduction in the user-perceived benefit estimates computed by STEAM, any changes in these revenues to public agencies must be added back into the computation of total benefits to society. For fuel taxes, STEAM calculates the amount of revenue transfer based on an average combined State and Federal fuel tax rate of 37.48 cents/gallon for gasoline and 42.6 cents/gallon for diesel. STEAM also calculates changes in revenues occurring as a result of changes in faresand tolls paid by transportation system users. The transfers are calculated at the zonal interchange level. Revenue increases due to increased transit ridership or revenue losses due to a decrease in ridership must be computed by the user off-line, and combined appropriately with estimates of changes in revenues estimated by STEAM. External Cost Changes: Many social and environmental impacts (i.e., both benefits and costs) cannot be monetized or even quantified, and must be described qualitatively for consideration by decision makers. Four types of external costs which can be quantified by STEAM are: accident costs, noise damage, pollution, and greenhouse gas emissions. For accidents, STEAM provides default estimates of the breakdown between "internal" (i.e., user-perceived) and "external" accident costs per accident (10), based on the assumption that all costs borne by the highway user are taken into consideration in the decision to drive. STEAM permits the user to specify emission costs per ton of pollutant and per ton of CO2, and noise costs per VMT. STEAM provides default Table of Contents DeCorla-Souza Page 9 monetary values for HC, NOx and CO emission costs per ton based on Denver (11), PM 10 costs per ton based on nationwide estimates (12), and noise damage cost per VMT and global warming cost per ton of CO2 based on an FHWA study (13). The user may provide STEAM with estimates of other external costs which are not specifically computed by STEAM. The user may provide estimates of these costs per VMT by facility class and mode for mileage-based external costs (e.g., indirectly borne highway patrol and safety costs). Annual non-mileage based external costs (e.g., indirectly borne parking cost changes) can be provided by mode as a lump-sum user input. Any changes in vehicle fixed costs may be included here. External costs during construction (such as travel delay and environmental impacts) may also be provided separately as a user input. Public Agency Costs: Included in this category are all costs borne by highway and transit agencies. Capital costs and annual highway operation and maintenance (O&M) costs must be input directly by the user. For construction costs, STEAM projects out to the year of opening of the facility the value of capital costs assumed to be incurred at the mid-point of construction, and then annualizes this cost based on the facility life. A default discount rate of 7%, as recommended by the Federal Office of Management & Budget (OMB) is used to annualize capital costs (14). STEAM permits the use of alternative discount rates. Transit operating costs are calculated by STEAM by applying cost per vehicle mile, cost per vehicle hour and cost per peak vehicle (input by the user) to the changes in transit vehicle miles, vehicle hours and peak vehicles, which the user provides as input to STEAM. Net Annual Worth: Net annual worth is calculated by STEAM by subtracting annualized costs to public agencies from the total annual benefits (i.e., the sum of user benefits, revenue transfers, and changes in external costs). Benefit/cost ratios are also calculated. The numerator of this ratio is the total benefits. The denominator is annualized costs to public agencies. Net worth and benefit- cost ratios are indicators of the economic efficiency of the alternatives. 5.2 Case Study Benefits and Costs User Benefits: Table 3 summarizes the annualized costs and benefits of the two action alternatives. User cost savings of $191 million make up most of the benefits for the Build alternative. For the TDM alternative, the large user disbenefits perceived -- $31 million -- reflect a combination of the monetary "losses" to users who continue to use Central Freeway and pay tolls, travel time benefits to these users due to reduced congestion, the consumer surplus losses of former Central Freeway users who are disinduced from using Central Freeway, and the travel time disbenefits to other travelers who are faced with increased congestion when former Central Freeway users who are disinduced from using Central Freeway divert to other facilities. Table of Contents DeCorla-Souza Page 10 TABLE 3 Annualized Benefits And Costs Build TDM Annual Benefits User Benefits: 191.40 (30.92) Revenues to Public Agency (change): Fuel taxes (1.64) (1.80) Fares (0.25) 2.75 Tolls 0.00 75.50 Sub-total (1.89) 76.45 External Benefits/Disbenefits: Accidents (0.22) (0.58) Noise (0.06) 0.06 Emissions 14.16 13.85 Global warming 0.15 0.01 Other non-mileage (0.16) 2.01 Sub-total 13.87 15.35 TOTAL ANNUAL BENEFITS 203.38 60.88 Total Annual Public Agency Costs Capital 73.74 0.04 Operating 0.89 14.53 TOTAL ANNUALIZED COSTS 74.63 14.57 Economic Efficiency Measures Net Annual Worth 128.76 46.31 Benefit/Cost Ratio 2.73 4.18 Transfers: STEAM estimated the fuel tax revenue reductions (due to reduced fuel consumption as a result of average speed improvements) at $1.6 million for the Build and $1.8 million for the TDM alternative. STEAM does not currently estimate fare revenue changes due to changes in transit ridership. Fare revenue changes were estimated "off-line" as a $0.25 million loss for the Build and a $2.75 million gain for the TDM alternative, based on transit ridership changes. Toll revenues for the TDM alternative were estimated at $75.5 million by STEAM based on input out- of-pocket cost changes for auto, carpool and truck trips as discussed in Section 3.4. The tolls paid are more than total losses suffered by users because of the monetary value of travel time savings due to faster speeds on Central Freeway. External costs and benefits: The increase in VMT in the Build alternative causes external accident and noise disbenefits. In the case of the TDM alternative, reductions in VMT reduce noise costs, but not accident costs, because a significant amount of VMT shifts to arterials, which have higher Table of Contents DeCorla-Souza Page 11 accident rates. For the Build alternative, higher speeds result in net cost reductions of $14 million in emissions costs and $0.15 million in global warming costs. For the TDM alternative, cost reductions are similar, but result from both speed improvements as well as VMT reductions. For the Build alternative, an increase in other non-mileage based external costs amounting to $0.16 was estimated (off-line) and was provided as an input to STEAM. The cost changes were based on parking cost increases as a result of the higher number of vehicle trips. For the TDM alternative, there are parking cost savings (i.e., non-mileage based cost savings) due to reductions in vehicle trips. Public agency costs: Agency cost estimates are presented in Table 3 as differences with respect to the No-Build alternative. Capital costs include costs borne by transportation agencies for construction, engineering and rights-of-way (R-O-W). A discount rate of 7% was used to annualize capital costs. Costs for operation and maintenance of added freeway mixed-flow lanes were estimated based on national data (8). Transit operating cost increases (above the No-Build) were also estimated based on average costs per vehicle mile from national data (10). Economic Efficiency: Table 3 also presents estimates of net annual worth (i.e., benefits minus costs) and benefit/cost (B/C) ratios. The Build alternative shows a net annual worth of $129 million, while the TDM alternative shows a net annual worth of only $46 million. The Build alternative is therefore superior when only monetized benefits are considered. These net worth estimates provide the decision maker with useful measures for comparative evaluation of alternatives, along with measures or clear descriptions of non-monetized social and environmental impacts,such as community livability and pride, neighborhood cohesion, aesthetics, energy security, social equity and environmental justice. The net worth of an alternative can be used by decision makers to assess whether other non-monetized disbenefits (or benefits) are worth the estimated net monetized gain (or loss) to society for the alternative under consideration. If net worth is negative, it provides "scale" as to how large non-monetized benefits should be in order to move a project alternative into the acceptable range. 6.0 CONCLUSIONS This paper has demonstrated a benefit-cost assessment at a detailed level of analysis for two s action alternatives in a major travel corridor of a case study urban area, using FHWA' new software STEAM. The case study demonstration shows that STEAM can be a useful tool for system planning and corridor planning in metropolitan areas. Acknowledgements: James Hunt performed the work for this paper while employed with FHWA. The STEAM software was developed under contract by Cambridge Systematics, Inc., by Harry Cohen, Transportation Planning and Policy Analyst, Ellicott City, MD, and Dan Haling, President of TRANSDATA, Arlington, VA. The views expressed in this paper are those of the authors alone, and do not necessarily represent the views or policies of the FHWA or the US DOT. Table of Contents DeCorla-Souza Page 12 REFERENCES 1. Comsis. Users'Guide: Travel Demand Management Evaluation Model. FHWA. 1993. 2. National Highway Institute (NHI). Estimating the Impacts of Urban Transportation s Alternatives. Course No. 15257. Participant' Notebook. December 1995. 3. Margiotta, Richard and Harry Cohen. "Improved Speed Estimation Procedures for the STEAM Model". Metropolitan Planning Technical Report No. 11. FHWA Metropolitan Planning Division. In process of publication. 4. DeCorla-Souza, Patrick et al. "Trip-Based Approach to Estimate Emissions with s Environmental Protection Agency' MOBILE Model". TRR No.1444. TRB. 1994. 5. Venigalla, Mohan, Terry Miller and Arun Chatterjee, "Start Modes of Trips for Mobile Source Emissions Modeling". Transportation Research Record No. 1432. Transportation Research Board. 1995. 6. Cohn, Louis, Roger Wayson and Roswell, "Environmental and Energy Considerations". Transportation Planning Handbook. Institute of Transportation Engineers. 1992. 7. Federal Transit Administration. Technical Guidance on Section 5309 New Starts Criteria. September 1997. 8. Cambridge Systematics, Inc.et al. Characteristics of Urban Transportation Systems. US DOT publication no. DOT-T-93-07. September 1992. 9. USDOT. Memorandum on Departmental Guidance for Valuation of Travel Time in Economic Analysis. April 9, 1997 10. U.S. DOT. 1997 Federal Highway Cost Allocation Study. August 1997. 11. Wang, M. and Santini, D. Monetary Values of Air Pollution Emissions in Various U.S. Areas. TRB TRR 1475. 1995. 12. Delucchi, Mark. The Annualized Social Costs of Motor Vehicle Use in the U.S, 1990- 1991: Summary of Theory, Data, Methods and Results. Institute of Transportation Studies, Davis, CA. June 1997. 13. U.S. DOT. 1997 Federal Highway Cost Allocation Study. Appendix E. Feb. 24, 1997. 14. OMB. Benefit-Cost Analysis of Federal Programs: Guidelines and Discounts Circular A- 94 revised. In Federal Register, Nov 10, 1992. Table of Contents Session #1 Economic Growth from Transportation Improvements t Does it or Doesn' it Martin Weiss, Transportation Specialist, FHWA HEP-10, 400 7th St. S.W. Washington D.C. 20590 202 366 5010 (v) 202 493 2198 (f) firstname.lastname@example.com Ironic - An Introduction In antiquity, commerce thrived along the royal roads of the great Empires. In our own day, technology growth corridors are identified by the highway that provides them access. Strange then, that there would be controversy on the proposition that transportation improvement has potential for economic growth. Yet controversy exists. Indeed, the controversy is so extensive that the 'transportation improvement brings economic growth'proposition, especially where 'transportation improvement'means ' highway improvement' has been contested on many different, sometimes mutually incompatible, grounds. These challenges are sometimes stated as fact, sometimes as conjecture, sometimes as stories and to some extent have been the basis of statute (e.g., physical capacity increases not being eligible for CMAQ funding). A sample of such anti challenges, which have been taken from ' build'themes of newsletters, seminars and conferences of various groups, follows: *Sure transportation improvement brings economic growth, but if it is highway improvements, it is the fast food job growth, suburban sprawl growth, bad growth* *Highway improvements make it easier to have economic growth in Mexico and cost jobs in this country* *Highway improvements near business centers destroy property values and thus destroy business centers* *Highway improvements connecting business just induce travel while destroying business centers* * Highway improvements just induce businesses to move and shop for low labor cost thus leaving unemployed workers behind* *Highway improvements just induce more travel and ultimately cost jobs* Along with this, another trend is underway. Many economic development policy interests are finding that other prospective economic development tools, such as preferential taxation mechanisms and regional education initiatives are becoming more problematical. These interests are turning to transportation, usually highway, improvements as a tool to bring commerce to depressed or low job growth regions. One manifestation of this latter trend is the number of highway corridor advocacy groups, some of whom use the interstate shield in their group name as a symbol of their vision for a corridor. To some extent, these visions have also been given a basis in statute (e.g. future Interstate status to certain high priority corridors). t A little too ironic, don' you think. Table of Contents Weiss Page 2 Jagged Little Pill- A Brief History of Methodology Since the Interstate era, considerable research has been done to try to understand the relationship between transportation improvements and economic growth. In the 60s, an HRB publication addressed this issue as, "Will Model Building and the Computer Solve Our Economic Forecasting Problems"1. Through the 70s, it was partly model development and partly empirical analysis of a regional nature. From the 80s on, the use of econometrics and other economic modeling, especially on a national scale has been increasing, sometimes supplemented with interviews to establish cost and utility functions within the modeling. Regional empirical studies became less common. During this later period, individual research efforts, with various degrees of clarity and success, tackled the problems of data availability and accuracy, defining ' , economic growth' defining ' , transportation improvement' identifying hidden or deeply buried analysis assumptions and data interpretation conventions, separating causes from coincidences and explaining results in an understandable way. Along the way, some of these efforts attracted considerable attention by seeming to predict: counter intuitive results; inexplicable outcomes; or, outcomes, which while using seemingly reasonable assumptions, were inconsistent with other outcomes. Substantial numbers of conferences, seminars and so forth resulted. Researchers and policy practitioners sometimes supported, sometimes criticized each other over data, analysis techniques, interpretation and so on. Of course, one crucial group of issues is inherently difficult in such modeling, namely job growth, job quality and related matters. You Oughta Know - The Need t At this point we don' know enough to make quick and confident judgements regarding economic development outcomes for use in developing TIPs, STIPs, Transportation Plans or environmental documents. Completing these documents requires decision brokering trade offs between improvements in different jurisdictions, between different types of transportation improvements, between maintenance type projects and increased capacity type projects and between projects that support different, sometimes contradictory regional goals. Not the Doctor - Some Old Factoids and Their Applicability In an effort to, at the very least, ground ourselves in information that is broadly understandable and closer to the ' , taste, touch and smell' FHWA has made some efforts to renew the regional empirical element. To begin with, it will be instructive to review some of the work of the 70s. In 1970, FHWA submitted a report to Congress2 in which a wide variety of impacts were discussed. Two are worth reviewing at this time. One significant effect of the Interstate System was on employment. During a five year period (1958-1963), job growth in high density urban areas with topographic barriers of some kind Table of Contents Weiss Page 3 (rivers, hill) served by freeways was compared to job growth in similar urban areas without freeway service. Benefits of the Interstate Program Job Growth Per Thousand Population With Freeway Without Access Freeway Access Fast Growing Cities in SE, 43 23 Midwest, NW Other Cities 27 2 Deeper into this early report, it seems apparent that improved access had increased land values and the ability of local business to market products. A follow-up report3 noted that population had migrated to those high job growth areas, and, in some cases, the population migration was faster than the job growth. By 1980, a report on the impact of the Interstate System on non metropolitan areas4 had been released which included analysis of 1960-1975 data. The effects were similar to those noted earlier for densely populated cities. Of course, the positive relationship was not universal. For example, some counties, that contained an Interstate highway, had no interchanges and thus were not served by the Interstate. It would be unsurprising if in some of these counties, employment dropped when the Interstate was constructed. Of course, even by the 70s, much of the highway program funds were being expended to improve non Interstate highways and, in the 80s, the highway program funds began to be used for improving transit, and in the 90s for such uses as transportation enhancements. Thus, by the 90s, relatively little of the highway program was being expended on new Interstate highway construction. Furthermore, the domestic economy has evolved steadily and is now less oriented to manufacturing and mining and more oriented to information technology. Hence, the degree to which 70s research still applied is open to some question. You Know - Some 90s Factoids and Their Applicability Four studies done in the 90s seem to shed some light on the relationship of transportation improvement and economic development. Two studies concentrated on the Appalachian region, which includes portions of 13 States and two concentrated on the Lower Mississippi Delta region, which includes portions of 7 States. The first of the Appalachian region studies5 looked at income. This was considered appropriate because the goal of the Appalachian Development program was to promote economic development and decrease poverty in the region. The study examined which low income counties Table of Contents Weiss Page 4 (defined as having per capita income less than two thirds the national average) were successful in climbing out of that situation. Some examples of success and non success were: Poverty Alleviation in Appalachian Region State # of counties low # of counties low income in 1965 income in 1990 Pennsylvania 7 1 North Carolina 16 6 Georgia 23 4 West Virginia 35 26 Kentucky 46 42 The study notes a number of reasons for the relative success of Pennsylvania, North Carolina and Georgia and the relative lack of success of West Virginia and Kentucky. One reason is that the 80s was the decade in which the mining industry restructured and retrenched. Indeed, West Virginia had only 16 counties in the low income status in 1980 and Kentucky had 35. However, two other reasons were noted. The first was that the low income counties in those two States were more distant from metropolitan areas. The second was that, in these two States, substantial portions of the highway corridors to be improved as part of the Appalachian Regional program were not yet improved. The second of the Appalachian region studies6 compared 391 of the counties in the Appalachian region to 391 nearby counties and parishes outside the region which were demographically similar (no matches were sought for the two counties added to the Appalachian region in the early 90s and no match was found for 6 counties in the region). The comparison included changes in demographics and earnings by major economic sector. Relative Income Growth Sectors in Appalachian Region Percentage by which the Appalachian county income increased more than its counterpart Services 137% Finance, insurance and real 135% estate Manufacturing 87% Retail Trade 67% The effect of the Appalachian highway program may be partially understood by examining the differences between the growth rate of subsets of these counties. One comparison shows the relative success of counties which had at least 3 miles of Appalachian highways and those which had an interstate highway or who had growth center funding (the latter was a program that provided substantial funding in the 60s and early 70s). It is useful to note that the counties with interstates include those with no interchanges or with only a diamond interchange and the growth t center counties include those containing centers which didn' grow. Table of Contents Weiss Page 5 Benefits of the Appalachian Highway Program Percentage by which the Number of Appalachian county County increased more than its Pairs counterpart in Per Capita Income All pairs 17% 391 Appalachian Highway 32% 110 Counties Appalachian Growth 14% 90 Center Counties Appalachian Interstate 15% 152 Hwy Counties The first Lower Mississippi Delta region study7 concentrated on employment because of a 1990 CNN video report. In this report, the virtually unanimous opinion in on-camera interviews was the first priority of the region should be more jobs. This, despite the well documented problems in education, health, etc. The study itself was undertaken as a follow up to a Commission established in the late 80s which had resulted in 55 transportation improvement recommendations (the vast majority of which were highway related). Two participants in the Commission are worth noting. The chairman of the Commission was then Arkansas Governor Clinton, who at the time of the update was President Clinton. A prominent advisor to the Commission was then Arkansas Highway Commissioner Slater, who at the time of the update was FHWA Administrator Slater and shortly thereafter was DOT Secretary Slater. In the course of doing the study, FHWA found that counties and parishes with job growth at better than the national average, or with average job growth in spite of the loss of a military base, had made substantial highway improvements. Although FHWA was unable to obtain detailed and comprehensive information about improvements in non transportation areas, some such information was obtained. Some examples of these success stories showing both transportation and non transportation influences were: Table of Contents Weiss Page 6 Some Success Stories in the Delta County/Parish State Job growth Factors 1990-1995 Caldwell, Lyon, and Trigg KY +22% • major highway improvements • industry incentives Rapides LA + 8% • major highway improvements • airport access improvement • local promotions • loss of England AFB Howell MO +16% • some highway improvements • more improvements programmed • employee/local govt programs Madison TN +25% • many highway improvements • improved airport access • improved education facilities • Massac IL +25% • highway improvements* expansion of gaming industry • Mississippi AR + 7% • many highway improvements* local self help efforts* loss of Eaker AFB Tunica MS +80% • major highway improvements • expansion of gaming industry The second Lower Mississippi Delta region study8 was a follow up to the update. The objective was to estimate how much of the increase in employment in seven non metropolitan counties and parishes (Avoyelles Parish, LA, Crockett County, TN, Drew County, AR, Howell County, MO, St. Francis County, AR, Trigg County, KY and Tunica County, MS) with rapid job growth could be attributed to transportation improvements. Since, among other problems, there is no way to obtain this information directly, the methodology was to use focused interviews, which is an indirect, rather than direct empirical method and, which is also subject to various possible errors (for example interviewees may subconsciously or consciously tell interviewers what they think the interviewer wants to be told). However, focused interviews do have the advantage of aggregating opinions of people who do have substantial direct evidence, and to do so at a reasonable cost. The principle investigators, subsequent to review of interview information plus other information publicly available, made the following estimate: Table of Contents Weiss Page 7 Component of Job Growth Attributable to Transportation (mostly highway) Improvements Counties/Parishes without gaming 40% to 65% Counties/Parishes with gaming 25% to 40% In the course of the interviews, the officials being interviewed provided numerous direct links between improved highways and job growth. In the counties without gaming, these, typically, were observations such as, "... and the XYZ company moved in here to take advantage of 4 lane highway ... and...". In the other Counties, a typical observation was, "... we knew the casino would need a 4 lane highway but would generate tax revenue in return, so we....". These responses to interviews also show two general causal sides to the transportation and economic development relationship, that is, the 'who caused what'issue. All I Really Want - Some Concluding Thoughts anti What can we make of all this? Well, for one thing, it seems irrational to hold that the ' build' themes cited at the beginning of this paper are, as a general rule, true. Furthermore, one can qualitatively argue that: transportation and trade jobs do tend to be reasonably high in salary; productivity improvements do result from certain transportation improvements; transportation, especially Interstate highway, access features prominently in the advertising that economic development professionals do to attract high paying industry; and, industry centers are frequently named for the highway that serves them, etc. However, it is fairly easy to document or, at least imagine, situations where: freeway construction (or heavy rail line) was followed by decay of certain neighborhoods; or, a highway improvement was quickly followed by the movement of near by low wage manufacturing to Mexico; or, a highway improvement was followed by the establishment of numerous fast food businesses: or when a highway (or rail or bus or other t transportation) improvement didn' bring an increase in manufacuring jobs. Thus, there are times when TIP, STIP and plan developers will be less than confident of their projections. It does not seem that we will ever be sure under what conditions highway/transportation improvements lead to a growth in ' . good jobs' It is not even certain whether or not research can answer this question as fast as the economy changes the meaning of the phrase ' . good jobs' However, FHWA does intend to promote an expansion of the scope of economic development before/after type studies to other parts of the country and to improvements other than new access or capacity expansion. These efforts would at the very least deepen our understanding of the transportation improvement and economic development relationship. In the most optimistic case, they would result in some sort of 'rules-of-thumb'to support economic development considerations in projects, programs and plans. Table of Contents Weiss Page 8 1 . Highway Research Record 149; Forecasting Models and Economic Impact of Highways; National Research Council; 1967 2. Benefits of Interstate Highways; FHWA, USDOT; 1970 3 . Social and Economic Effects of Highways; USDOT; 1974 4 . The Impact of Interstate Highway System on Non-Metropolitan Growth; University of Texas for RSPA/USDOT; 1980 5 . Core-Periphery Models, Regional Planning Theory, and Appalachian Development; Tyrel G. Moore of the University of North Carolina at Charlotte; Professional Geographer: Vol 46, no 3, August 1994. 6 . The Economic Effects of the Appalachian Regional Commission: An Empirical Assessment of 26 Years of Regional Development Planning; Andrew Isserman and Terance Rephann of the University of West Virginia and the Regional Research Institute; Journal of the American Planning Association, Vol 61, No 3, Summer 1995. 7 . Linking the Delta Region with the Nation and the World, An Update by the Federal Highway Administration on Progress Achieved in Transportation and Employment in the Lower Mississippi Delta Region; FHWA with assistance from numerous Federal, State, local and quasi governmental agencies and other individuals and agencies; December 1995. 8 . Lower Mississippi Delta Development Center, Inc. (LMDDC) Final Contract Report; LMDDC and the University of Memphis for FHWA; Sept. 1996. Table of Contents SESSION 2 - INTEGRATED TRANSIT: STATE, REGIONAL AND LOCAL PERSPECTIVES Moderator: Tom Schwetz Lane Council of Governments, Oregon Panelists: Valerie Rodman, Washington Department of Transportation, and Karen Jones-Savage, KJS Associates Lisa Gardner, Lane Transit District, Oregon Rebecca Ocken, City of Gresham, Oregon Table of Contents Session #2 The Intercity Network A New Approach For Statewide Mobility Project Manager Consultant Washington State Department of Transportation KJS Associates, Inc. Public Transportation and Rail Division Karen Jones Savage Valerie Rodman: P.O. Box 47387, Olympia, WA 98504-7387 914-140th Ave. NE, # 2100, Bellevue, WA 98005 (360)705-7979; fax (360) 705-6820; email@example.com (425) 746-6600; fax (425) 746-6611 Abstract The Intercity Network − A New Approach For Statewide Mobility How can passenger travel between communities be enhanced to enable people statewide access? What criteria should be used to identify which communities need to be linked and what minimum level of service is desired? Throughout the nation transportation planners have struggled with the issue of how to provide a minimum level of passenge r intercity service. Furthermore, how should the service be funded? This abstract presents an overview of the Washington State Intercity Public Transportation Network Project. The project provides a practical model for a statewide network to guide the development of intercity travel between rural communities and urban hubs. This paper identifies the important stake holders and their potential roles. Current providers of intercity passenger transportation are described (private bus carriers, ferries, Amtrak, airport shuttles, and local transit providing corridor type service) along with a summary of their services and facilities. The survey and data collection techniques used (e.g., GIS) to develop the inventory are presented. This is followed by a description of how the designated Intercity Network was developed, starting with the primary building blocks of the communities or "places" that should be served. Criteria to select the places will be discussed and include population size and important destinations, such as county seats, universities, military bases and regional medical facilities. The designated places are linked by corridors along interstate, state, and local highways and rail lines. Standards are presented for service along the network. For the intercity traveler, access within communities is also important . Entry points identify where the linkage is made within the communities to enhance traveler access to regional and local transportation choices. These transfer points are identified, some of which already serve as existing transportation facilities (e.g., Spokane Intermodal Station). Current intercity service is then measured against the designated Intercity Public Transportation Network standards to determine if there are any gaps. Population growth over the next 20 years is analyzed to anticipate its effect on the network. Identified deficiencies are analyzed to determine solutions that are then translated into projects. Project examples include adding a bus shelter and bus turnouts in a rural community and improving electronic signage and traveler information in small urban areas. Table of Contents Rodman and Savage Page 2 The goal of the Intercity Network Project is to provide guidance to local, regional, and state transportation providers about where service and facility improvements can be made to enhance statewide mobility. It is not a mandate on local government regarding their resource allocation decisions. By creating a state significant intercity network and identifying associated projects the state plays an advocacy role for the development of statewide mobility. Project implementation is achieved through state, regional, and local partnerships. Table of Contents Rodman and Savage Page 3 The Intercity Network – A New Approach For Statewide Mobility PURPOSE OF THE PAPER This paper presents a practical approach to defining a passenger transportation intercity network of statewide significance and identify improvements needed for intercity public transportation. The paper describes the methodology used to set standards for service and connecting facilities, measure whether the standards are being met, identify current and future facility and service deficiencies, and develop a program of improvements to address the deficiencies. S INTERCITY MOBILITY IS IN THE STATE' INTEREST The Washington Transportation Plan (WTP) was developed in compliance with the requirements of the federal ISTEA (Intermodal Surface Transportation Efficiency Act). Issues of "state interest" and "state responsibility" were important considerations in the development of the WTP, especially for the Public Transportation and Intercity Rail Passenger Plan, a more detailed element of the WTP. The Washington State Department of Transportation (WSDOT) has an interest in private and public transit systems even though the state does not have direct ownership and control of these systems. s WTP' "objectives" (developed through a collaborative stakeholder process) defined the "state' s interest" for the system plan; "action strategies" (stating how the objectives would be met) s defined the "state' responsibility" for WSDOT. Intercity mobility is addressed in the objective, "Integrate public transportation services into a coordinated system linked by intermodal facilities". s The proposed report represents the state' initial action strategy to meet this plan objective. Washington State recognizes that there should be multimodal opportunities for travel between communities. Many of the riders on the intercity public transportation system depend on these services as their only means of travel. Data from intercity bus rider surveys indicate that the majority of bus riders either do not own a car, or do not have access to a reliable vehicle. Typically, their annual incomes are very low, often below the poverty level. Surveys done for Greyhound (national) and for the states of Minnesota and Florida indicated that a high percentage of riders are young, unmarried females. In contrast, the Washington Olympic Connection Survey indicated that a significant majority (67%) of their riders is male. Trip purposes of riders also were quite different in these surveys. Female riders (in the national survey) traveled primarily for social/recreational purposes. The majority of the men surveyed for the Olympic Connection service were traveling to/from work. Seniors, who represent a significant number of intercity bus travelers, may have additional reasons for using the bus, such as safety and convenience. Seniors often use the bus, rather than driving personal vehicles, to reduce the stress of driving in unfamiliar places. Table of Contents Rodman and Savage Page 4 PROJECT DEFINITION OF INTERCITY PUBLIC TRANSPORTATION "Intercity transportation" has been defined in numerous ways depending upon the purpose and agency developing the definition. The definition for Washington State was developed with the assistance of an Advisory Committee established for this project. The definition sets parameters for the types of public transportation services and facilities to be included on the " Intercity Public Transportation Network of Statewide Significance". In Washington State, intercity public transportation is defined as: Regularly scheduled transportation services available to the general public that operate across jurisdictional lines and connect rural areas and urban centers along corridors; and enhance the intermodal linkage to other modes that are part of a local and/or regional transportation system. Intercity bus service operates between two or more cities and offers connecting services to other buses and more distant points. Nationwide, intercity bus services are provided primarily by private, for-profit firms. Greyhound Bus Lines, which provides the most extensive service in Washington, is the only nationwide provider of regularly scheduled intercity bus service currently operating in Washington. Several smaller operators provide intercity passenger service; however, their operations usually are limited to a single region or a single route. Some public transit agencies in Washington provide intercity public transportation, as defined above. Specific providers include Sound Transit, formerly known as the Regional Transportation Authority (RTA). The RTA was created to design and build a system of light rail, commuter rail and transit service for regional travel in the Puget Sound area. Planned commuter rail and express bus service will provide service across jurisdictional boundaries between cities in Snohomish, s King and Pierce Counties. In addition, a number of PTBA' (Public Transit Benefit Authorities) provide intercity public transportation, including Pierce Transit, Community Transit, Island Transit, and Benton-Franklin Transit. Charter buses, bus tours, and demand-responsive transit services are not considered to be intercity public transportation since these services may require advance reservations, may be limited to specific types of riders (rather than the general public) and/or may be restricted to certain types of trips. DEFINING THE INTERCITY NETWORK The intercity public transportation network includes four major elements: • Travel modes used for intercity travel, • Places (communities) that should be served by the intercity network, • Links (corridors) that connect places on the network, and • The points of entry (facilities) travelers use to access the intercity public transportation network. Short descriptions of the different components that comprise the intercity network are provided below. Table of Contents Rodman and Savage Page 5 Travel Modes Travel modes included in the intercity network of statewide significance must meet the definition of intercity public transportation adopted for this plan, and must have stable, on-going funding. For this project, travel modes were limited to surface transportation. Air transportation is addressed in a separate element of the Washington Transportation Plan. Specific travel modes/services included for this project include: • Private sector, non-profit and for-profit intercity bus providers (e.g. Greyhound, Trailways Northwest and Wheatland Express), • Passenger rail (Amtrak), • Public and private ferries, • Public transit agencies that provide intercity service, and • Airport shuttles available to the general public without advance reservations (e.g., Quick Coach Lines, San Juan Transit, and Gray Line of Seattle). Network Places "Places" on the intercity network include communities, or clusters of communities, with a population of more than 2,500 people, and specific destinations that provide services to a large geographic area. Places identified for the intercity network include: • Population centers with at least 2,500 population, • Clusters of communities within five miles of each other with a combined population of 2,500 or more • County seats, • Communities with state universities and community colleges, • Communities with WSF ferry terminals, • Communities with hospitals of at least 100 beds, and • Military bases with on-site populations of 2,500 or more. In many parts of the state, connections to these destinations are provided by local transit service that in turn is linked with an intercity provider. In fact, local transit providers work as feeders in rural areas linking many small towns to the larger city in the region. GIS was used as a tool to map different levels of population concentrations throughout the state. Maps were produced that displayed cities with population at: greater than 50,000; 20,000 to 50,000; 5,000 to 19,999; 2,500 to 4,999; and under 2,500. The advisory committee used the maps as a efficient way to determine what population level to use as a standard for the statewide network. A population standard of 2,500 and above was selected because it highlighted access needs for rural communities in Eastern Washington; a standard of 5,000 and above would have eliminated many rural communities from consideration in the intercity network. Table of Contents Rodman and Savage Page 6 Network Corridors (Transportation Links) "Links," or corridors, connect the "places" on the intercity network. Links on the intercity network include interstate and state highways, some county or local roads (providing connections between designated "places" and "entry points" to the intercity transportation network), active passenger rail lines, and ferry routes. These links connect individual "places" on the designated intercity network, and serve state and interstate travel movements. These links are described in detail in the following paragraphs. Interstate, State Routes, and Local Connectors The National Highway System (NHS) in Washington includes highways and ferry routes that are s "… determined to be essential to the health and vitality of the state' economy." In 1991, Congress created the National Highway System (NHS) Program. The NHS is defined as "an interconnected system of principle arterial routes" that serves nationally important functions. To be included on the NHS, a transportation route must be: an interstate route, a strategic highway network serving military installations, a route that provides intermodal connectivity, a route that promotes rural urban connectivity, or a route that includes an international border crossing. s Whether rural or urban, NHS routes are critical connections between the state' population centers, economic centers, military bases and intermodal centers (e.g., ferry terminals, shipping ports, and airports.) The National Highway System provided the starting point to identify highway links to be included on the intercity public transportation network of statewide significance. NHS roads connect the majority of the "places" on the network. Links to designated "places" that are not on the NHS were added to the NHS facilities on the designated intercity network. NHS routes to freight-only marine ports or military bases with populations of less than 2,500 were deleted. This collection of interstate freeways, state highways and county/local roads became the intercity network of statewide significance. Rail Lines Rail lines used by Amtrak passenger trains are the only rail lines included in the designated intercity network. Tracks currently used for freight trains provide a potential resource for additional passenger rail service. However, these facilities are not included in the designated network since passenger transportation is not provided on them currently. Table of Contents Rodman and Savage Page 7 Ferry Routes All ferry routes served by the Washington State Ferries, WSDOT, county ferries, and private ferry companies that provide service between different jurisdictions are included in the designated intercity network. Network Entry Points "Entry points" are the locations where travelers gain access to th e intercity public transportation network of statewide significance. These entry points include ferry terminals, Amtrak stations, Greyhound bus stations and stops, airports, transit centers served b y intercity bus routes, airporter stops at hotels, and park-and-ride lots with intercity transportation services. At least one "entry point" to the intercity network was identified for each "place" on the designated intercity network. Some "entry points" serve a single travel mode; other entry points serve several intercity transportation modes at one multi-modal location. Intercity Network Map The designated Intercity Public Transportation Network of Statewide Significance for Washington is shown in Map 1. Network "corridors" on the map link the designated "places" on the intercity network. Public transportation services in these corridors allow people to travel between communities in Washington, and reach major medical facilities, public colleges and universities, county seats, and major military installations. Larger cities may have multiple travel modes and services, and multiple entry points to th e intercity network. Smaller towns may have a single bus stop along the roadside or at a local restaurant. INTERCITY NETWORK SERVICE CRITERIA AND STANDARDS Following the designation of the Intercity Transportation Network of Statewide Significance, specific standards were developed to evaluate the existin g intercity public transportation network, and to identify deficiencies that should be addressed. Standards were developed for transportation service and for the entry points (or facilities) where travelers gain access to the network. Service standards for the intercity network vary in relation to community size, and the s community' location in relation to cities with 50,000 or more people. Standards were developed for each of the five types of communities described below. • "Hubs" - cities greater than 50,000 population, • Communities with a population between 20,000 and 50,000, located within 20 miles of a "Hub", • Communities with less than 20,000 population, located within 20 miles of a "Hub", • Communities with a population between 20,000 and 50,000, located more than 20 miles from a "Hub", and • Communities with less than 20,000 population located more than 20 miles from a "Hub". Table of Contents Rodman and Savage Page 8 Service Standards for Intercity Transportation Network Table 1 presents the LOS (Level of Service) standards for the intercity network. Standards were developed for three different measures of service: (1) Availability of service (measured by the number of trips provided each day by an intercity transportation provider), (2) Quality of service (measured by the proportion of trips that occur between 6:00 AM and 9:00 PM), and (3) Connections between intercity service and local transportation service (measured by the frequency of local transit service to the intercity network entry point(s)). Hubs have the highest standards for service. The minimum standard for intercity service for hubs is service every two hours during the period between 6:00 AM and 9:00 PM (eight trips per day). The standard for communities between 20,000 and 50,000 is four trips/day; and the standard for communities with less than 20,000 people is two trips/day. The minimum standard for intercity service quality is the same for all communities – 75 percent of the intercity service for the community should arrive/depart between 6:00 AM and 9:00 PM. While these hours are typical for local transit providers, some intercity services, such as Amtrak and Greyhound, arrive/depart in the middle of the night. This occurs on long distance routes where schedules are established based on the arrival/departure times for major cities along the route. Connectivity standards are based on the convenience of connections between intercity transportation services and local public transportation services. Travelers using the intercity public transportation network need public transportation services within communities to reach the entry points to the intercity network, to transfer between different modal entry points on the intercity network, and to travel between intercity network terminals and local destinations. Standards for connections to local service range from hourly connections in hubs, to local service meeting intercity service arrivals in smaller communities. TABLE 1: Standards for Intercity Public Transportation Services Hubs Communities within Communities more than 20 LOS Criteria 20 miles of Hub miles from a Hub Community size > 50,000 < 20,000 > 20,000 < 20,000 > 20,000 Availability Frequency –number of trips per day 8 2 4 2 4 by intercity transportation providers Quality Proportion of trips between 6 AM and 75% 75% 75% 75% 75% 9 PM Connectivity Connections to local public transit Hourly Meets intercity 4 times Meets intercity Meets intercity service or other intercity modes, via service per day service service public transportation Table of Contents Rodman and Savage Page 9 Facility Standards for the Intercity Transportation Network Each "place" on the intercity network has at least one entry point to the network. Additional entry points may exist depending on the different types of intercity transportation services provided to a community, and whether multiple modes have separate or combined terminals. Standards for the different types of entry points were established based on community size (50,000+, 20,000 to 50,000, and less than 20,000 population), and the type of facility ( intercity multi-modal terminals, and intercity single mode terminals). • Multi Modal Intercity Facility --- two or more intercity transportation providers use this facility, e.g., intercity bus and rail; air service and intercity bus; ferry and intercity bus; ferry and rail; • Single Mode Intercity Facility--- only one intercity provider uses this facility, e.g., a rural intercity bus stop. Setting facility standards began with the identification of amenities associated with transportation facilities, e.g.. seating, parking, phones, shelters, food and information about connecting transportation services. Different potential levels were identified for each of the identified amenities. Specific standards for these amenities were assigned depending on the size of the community in which the facility is located and whether the facility serves multiple intercity travel modes or a single mode. Facility amenities are shown in Table 2 and the facility standards for intercity public transportation facilities are shown in Table 3. In addition to these standards, facilities must meet local community zoning regulations, local transit design codes, and federal requirements including ADA (Americans with Disabilities Act) requirements. TABLE 2: Potential Amenities for Facilities on the Intercity Network AMENITIES CHARACTERISTICS Parking Improved (paved) Gravel with ADA Requirements Sidewalks Improved Shelters Enclosed Covered Seating Inside Outside Covered Public Restrooms Available for Service none Ticket Sales Ticket for sale on site or on mode Information Real Person Electronic or Real Person Bulletin Board Bicycle Storage * Bike Lockers Bike Racks Luggage Storage Locked Storage Lockers No Storage Food Service 1 – Hot / Menu 2 – Food and Drink Vending Machines 3 – Drink Vending Machines Table of Contents Rodman and Savage Page 10 Security 1 – Police/Security Monitored 2 – Lighting Public Phones Yes No Passenger Loading/Unloading Off Street On Street Local Transportation Frequent Service (hourly) Frequent Service (4x/day) On Call Service * Not suggested for airports TABLE 3: Standards for Facilities Amenity Intercity Multi Modes Intercity Single Modes 50,000+ 20-50,000 <20,000 50,000+ 20-50,000 <20,000 Parking Improved Improved Improved Improved Improved Gravel w/ADA req.' s Sidewalks Improved Improved Improved Improved Improved Improved Shelters Enclosed Covered Covered Enclosed Covered Covered Seating Inside Covered Covered Inside Covered Covered Public Restroom Yes Yes Yes Yes No No Ticket Sales Ticket Sale on site or mode Ticket Sale Ticket Sale Ticket Sale Ticket Sale Ticket Sale on site or on site or on site or on site or on site or mode mode mode mode mode Information about Real Person Electronic or Bulletin Electronic or Electronic or Bulletin schedule and real person Board bulletin bulletin board Board connections board Bicycle Storage * Bike Lockers Bike Racks Bike Lockers Bike Racks Bike Lockers Bike Racks Bike Racks Bike Racks Bike Racks Luggage Storage Yes No No No No No Food Service Hot Food Food and Food and Food and Drink Vending Drink Drink Drink Drink Vending Vending Vending Vending Security Police/ Lighted Lighted Lighted Lighted Lighted Security Monitor Public Phones Yes Yes Yes Yes Yes No Passenger Off Off On Off On On Loading/Unloading Local Transportation* Frequent Service (hourly) Frequent Service or Frequent Frequent Service or Service on call Service Service on call (4/day) service (hourly) (4/day) service * Not suggested for airports. IDENTIFYING DEFICIENCIES FOR THE INTERCITY TRANSPORTATION SYSTEM Public Transportation Services and Facilities Database WSDOT assembled a large database describing public transportation services and facilities in Washington. The database includes information gathered from a survey of transportation providers and a field survey of transportation facilities throughout Washington. Information is Table of Contents Rodman and Savage Page 11 coded in a standard format, and all facilities are located using global positioning system (GPS) coordinates. The database is used with GIS (Geographic Information Systems) software to produce maps showing the location of facilities and other types of information. In addition the database can be "overlaid" on GIS maps of population and other demographic information to allow for analyses of different kinds. The initial WSDOT database was supplemented through an inventory of intercity transportation services and facilities conducted for this project. Service providers were contacted to complete and update information about their services; additional information was gathered about additional facilities to be included in the WSDOT database, and to add information about the specific amenities at each facility. Identifying Current Deficiencies in the Intercity Network For each "place" on the intercity network, existing services and facilities were measured against the standards to identify deficiencies in the intercity public transportation network. Daily trips to/from each community on the network were totaled for all intercity modes serving that community. If a city was part of a cluster of cities, services to all the cities in the cluster were counted. For cities within a 20-mile radius of a hub (50,000+ population) with local public transit service to "hubs", service was evaluated in relation to the connectivity service standards. For each place on the network, at least one "entry point" was selected; in addition, all intercity entry points (e.g., airports, ferry terminals, rail stations , intercity bus terminals and stops and park and ride lots served by intercity service providers) were identified. These entry points were grouped by type (multi-modal or single mode for intercity service) and by the size of community in which they were located. Amenities at each of these facilities were compared to the standards to identify deficiencies in the facilities, or entry points, for the intercity public transportation system. Current service deficiencies are shown in Map 2. Identifying Future Deficiencies The identification of future deficiencies for the intercity network was based on analyzing population projections for 2020 in relation to th e intercity transportation network expected to be in place at that time. Some communities that are not large enough to be on the current network were added because they are projected to grow to 2,500 or more. Other communities changed categories due to projected growth; consequently, different standards were applied to assess future deficiencies. This analysis resulted in the identification of additional deficiencies for the intercity network. RECOMMENDED IMPROVEMENTS TO ADDRESS SYSTEM DEFICIENCIES Improvements were identified to address four types of deficiencies in intercity public transportation services. These deficiencies include: Table of Contents Rodman and Savage Page 12 • Service gaps – areas without any service, • Vulnerable routes – locations where service is available but long term funding is uncertain, • Underserved corridors – where service is available but it does not meet the state standards, and • Inconvenient service – areas where service doe not meet the standard for convenience. The report describes service and facility improvements to address these deficiencies. Specific recommendations include: • WSDOT taking the lead in assisting in the establishment (or re-establishment) of service in deficient corridors, • Establishing a permanent funding mechanism to support services in vulnerable corridors/locations, and • Coordination between WSDOT and current intercity service providers to improve intercity services throughout the state. Recommended improvements for facilities are also included in the report. Based on the deficiencies analysis, over 1,000 specific improvements were identified for more than 250 individual facilities. Recommended improvements range from adding minor deficiencies (pay telephones and inside seating) to substantial improvements (off-street parking and secured waiting areas). CONCLUSIONS The approach used for this project provides a logical and consistent way to identify deficiencies in intercity public transportation. Through the designation of an intercity public transportation network of statewide significance, WSDOT can guide the provision of intercity transportation facilities and services to achieve an acceptable level of statewide mobility for those travelers who rely on public transportation to travel between communities. The project report is intended to provide guidance to local, regional and state transportation providers (public sector and private sector) about where service and facility improvements for intercity public transportation should be made. It does not mandate local governments to allocate their funds to these projects. However, it does provide a "blueprint" for improvements that can be achieved through state, regional, local, and private sector partnerships. The project improvement list and the associated costs will be included in the next iteration of Washington Transportation Plan. Table of Contents Intercity Public Transportation Network Study N To Vancou S # ve r, BC Intercity Network of Statewide Significance .# Blaine -S Lynden 5 S # Ferndale # S#Nooksack S Everson To Osoyoos, BC To Trail, BC W E # S Bellingham ( /97 # S ( / S # S # Sidney, BC S # 21 25 S 395 . - 31 5 # S ( S #Friday Harbor / 20 S #Anacortes # S Sedro Wooley # S 97 S #Republic S # # S 20 Victoria, BC 20 # S #Burlington S # S 20 # S Mount Vernon # S21 #Colville S 20 # S # S Whidbey Is. Naval Base # S # S 25 #Oak Harbor S S #Omak ( / 20 .# # S -S 20 # SCoupeville S # Stanwood Okanogan 395 5 ( / S #Port Angeles #Port Townsend S Arlington See Puget Sound Inset ( / 101 S #Sequim S # ( / Everett Naval Station S # Forks 101 Marysville S # 97 Newport S # Everett# # S (S ( /# / S 2 # S #Snohomish S S #Elmer City ( / S #Coulee Dam 395 # S Mukilteo # S ( S # / Deer Park # # S S Edmonds SS ##Grand Coulee ## #Bothell SS S 2 To Coeur d'Alene, ID Chelan Electric City S # S S # # S # ( / 101 # S ( Bangor Naval Base S S # #Redmond # S 2 / # S ( / Map 1 97 # S Seattle Bainbridge Island Bellevue 17 # # S S S # 2 SS ## S S # # .. -- ( / - . Bremerton ( / S #Waterville ( / S # ( Puget Sound Naval Shipyard / # S 5 405 2 # Davenport S 90 # # S S # # S S Spokane Issaquah Airway Heights (S /# 2 2 Port Orchard Fairchild Air Force Base S #Renton 97 # # S S 101 #North Bend S 2 Cashmere Medical Lake # S . Burien #S ( / - 97 # #Kent S S S # ( / 90 101 Wenatchee SS # #East Wenatchee #Cheney S 27 Gig Harbor S # Tacoma S S # #Auburn # S . - 195 ( / 90 S #Milton# # #Shelton S #S S 28 # S S ( / S # Fircrest # # S S # S S #Enumclaw . 97 S # Ephrata - 101 Quincy # S Puyallup # S # S # S 90 # S S # ( / Olympia 7 S # # #Aberdeen S S #Elma S S # Lacey # # S S . Hoquiam # S Ocean Shores 12 Montesano McChord Air Force Base - 90 S # Moses Lake . - # Ritzville S ( / 90 ( Tumwater / Fort Lewis Military Reservation . - S #Ellensburg 12 . 195 ( /101 5 - 90 S # To Moscow, ID 26 Colfax S # S S # # . S # Raymond - Centralia #Othello S # S 27 # Chehalis S 82 S # South Bend ( / 26 S # ( / ( / 12 Yakima #Selah S S # ( / 101 #Connell S 127 Pullman S # Union Gap 12 # S 12 ( / To Le (S # S Wapato /# 395 ( / S #Pomeroy ( / . 97 - 12 S # Richland wis Toppenish S #Cathlamet 12 82 # S Sunnyside Clarkston . # Pasco # S -S # S S # ton, ID Dayton To Astoria, OR # S S # # S Kelso Grandview # S West Richland 182 Asotin ( / Prosser Longview S # # S . - 97 5 Kennewick ( / . - Rodman and Savage (SS 12 LEGEND / ## Walla Walla # S ( 82 / Woodland 12 S # Places On The Intercity Network College Place ( 395 INTERCITY NETWORK Amtrak Corridor #Battleground S S / 97 #Goldendale Highway Corridor Vancouver S # Stevenson #Bingen S# S 20 0 20 40 Miles k 2 2 k Ferry Corridor S # White Salmon # #Washougal S S Camas To State Route Not On The Network Page 6 Po rtl an d, OR County Boundary Transit District Table of Contents Intercity Public Transportation Network Study N To Vancou S # ver, BC Current Service Defiencies .# Blaine -S Lynden 5 S # Ferndale # S # S # S S # Nooksack Everson To Osoyoos, BC To Trail, BC W E # S Bellingham ( /97 S # ( / S # # S Sidney, BC S # 21 25 S 395 . - 31 5 # S #Friday Harbor S ( / # S 20 # S # S # S Republic Sedro Wooley S #Anacortes # S 97 # S 20 Victoria, BC 20 # S S #Burlington # S 20 # S Mount Vernon # S21 S #Colville 20 # S # S Whidbey Is. Naval Base # S ## SS # S S # 25 #Oak Harbor S Omak ( / 20 .# # S -S 20 # SCoupeville # S Stanwood Okanogan 395 5 ( / S #Port Angeles #Port Townsend S Arlington ( / 101 S #Sequim S # ( / # S Everett Naval Station #Forks S 101 Marysville # S 97 Newport S # Everett# S # (S ( /# / S 2 S # S #Snohomish S #Elmer City ( / 395 # S # S Mukilteo #Coulee Dam S ( / ## SS Edmonds # S ##Grand Coulee SS Deer Park ## #Bothell SS S 2 To Coeur d'Alene, ID Chelan Electric City S # # # S S S # ( / 101 S # ( Bangor Naval Base Bainbridge Island S # Seattle # #Redmond S S S # 2 / 97 S # ( / Bellevue 17 # # S S # S 2 # # S S .. -- ( / - . Map 2 Bremerton SS ## ( / S # Waterville ( / # S ( Puget Sound Naval Shipyard / S # 5 405 2 # S Davenport 90 # # S S S S # # Spokane Issaquah Airway Heights (S /# 2 2 Port Orchard Fairchild Air Force Base S S # #Renton 101 97 # S S #North Bend 2 Cashmere Medical Lake # S . Burien #S ( / - 97 S S # #Kent S # ( / 90 S #Cheney 101 27 Gig Harbor # S Wenatchee # #East Wenatchee SS Tacoma S S # #Auburn # S . - 195 ( / 90 S #Milton# # S #Shelton #S S 28 S # S ( / S # Fircrest # # S S S # S #Enumclaw . 97 #Ephrata S - 101 Quincy # S Puyallup S # S # S # 90 # S S # ( / Olympia 7 # S # #Aberdeen S S #Elma S # Lacey S S S # # . Hoquiam # S Ocean Shores 12 Montesano McChord Air Force Base - 90 # Moses Lake S . - S # Ritzville ( / 90 ( Tumwater / Fort Lewis Military Reservation . - S #Ellensburg 12 . 195 ( /101 5 - 90 S # To Moscow, ID 26 Colfax S # S S # # . # S Raymond - Centralia #Othello S S # 27 # Chehalis S 82 # S South Bend ( / 26 Yakima # S S # ( / ( / 12 #Selah S S # ( / 101 #Connell S 127 Pullman # S 12 12 # S S # Union Gap ( / To Le # S (S /# # S S # Pomeroy ( / ( Wapato / # S 395 . 97 - 12 # S # S Richland wis Toppenish S #Cathlamet 12 # S 82 S # Clarkston # S Sunnyside . # Pasco # S -S # S # S ton, ID To Astoria, OR # S S # # SDayton S # Kelso Grandview S # West Richland 182 Asotin ( / Prosser LEGEND Longview S # # S . - 97 # S Places On The Network Without Service 5 Kennewick ( / Rodman and Savage . - (SS 12 # S / ## Walla Walla S # ( 82 / Deficient Corridors Woodland 12 College Place ( 395 / # S Places On The Intercity Network S #Battleground 97 INTERCITY NETWORK #Goldendale S Amtrak Corridor Vancouver # S Stevenson S # #Bingen SS # 20 0 20 40 Miles 2 k 2 k Highway Corridor # S White Salmon Page 11 Ferry Corridor S S # #Washougal Camas To Po State Route Not On The Network rtl an d, OR County Boundary Transit District Table of Contents Session #2 BUS RAPID TRANSIT: AN INNOVATIVE TRANSIT STRATEGY FOR MEDIUM-SIZED CITIES Lisa Gardner, Transit Planner Lane Transit District P.O. Box 7070 Eugene, Oregon 97401 (541) 682-6100 (phone) (541) 682-6111 (fax) email@example.com (e-mail) ABSTRACT This paper describes an innovative transit strategy for small and medium-sized cities that provides a cost-effective alternative to rail-based rapid transit systems. Bus rapid transit is a strategy that s is being developed in Eugene, Oregon to meet the community' need for an enhanced transit system, without making the capital investment required for a rail-based system. Small- and medium-sized communities struggle with the challenge of providing efficient transit service that can attract choice riders by being competitive with the automobile. While many larger communities have turned to light-rail systems as the solution to getting people out of their cars, smaller communities have neither the population base nor the financial resources to support these systems. Lane Transit District has identified a bus rapid transit (BRT) system as the most cost-effective s means of achieving the community' goals to increase the use of transit. BRT is most easily envisioned as using buses to emulate the speed, comfort, and convenience of rail systems. The proposed BRT system is composed of high-frequency, fast transit service along major corridors, with smaller buses providing access from neighborhoods to the BRT lines, as well as to nearby shopping and employment. System features include exclusive bus lanes, transit signal priority systems, barrier-free fare collection and limited stops with improved facilities. BRT is well suited to medium-sized communities because it can be implemented incrementally, as funding becomes available. BRT also uses existing technology that may be easier for smaller communities to implement in the absence of planning funds. Because it emulates rail in terms of exclusive right-of-way and land use patterns that develop along the transit corridor, it can be a precursor to an eventual rail system as population continues to grow. This paper describes the benefits of BRT to medium-sized communities, focusing on the ability to implement this system easily without huge planning or capital investments. In addition, the paper describes some of the challenges to overcome in the planning process, including political issues and inter-jurisdictional coordination. Table of Contents Gardner Page 2 BUS RAPID TRANSIT: AN INNOVATIVE TRANSIT STRATEGY FOR MEDIUM-SIZED CITIES Introduction Many medium-sized cities experience the big city problem of traffic congestion, yet few cities have the financial resources to solve the problem. Although larger cities have turned to rapid transit solutions such as light rail transit (LRT), smaller cities do not have the population base nor the funding support to build LRT. In spite of staggering costs, LRT is seen as an attractive transit s solution because of its broad appeal to riders and its contribution to a city' urban character. While out of the financial reach of smaller cities, recent debate suggests that even larger U.S. cities should not be building LRT, but should be pursuing less costly solutions. The extraordinary per mile cost is difficult to justify considering the marginal increase in transit use, and federal funding projections fall far short of meeting the needs of LRT projects currently in development. Given the lack of viable solutions, medium-sized cities have struggled with the challenge of improving transit service in order to increase ridership and better compete with the automobile. Lane Transit District (LTD) in Eugene, Oregon, has been working on the development of a bus rapid transit (BRT) project. BRT has been identified as an innovative, low-cost transit strategy that can meet the needs of the Eugene-Springfield metropolitan area. BRT is envisioned most easily as using buses to emulate the speed, comfort, and convenience of rail systems. The proposed BRT system is composed of high-frequency, fast transit service along major corridors, with smaller buses providing access from neighborhoods to the BRT lines, as well as to nearby shopping and employment. A much lower per-mile cost than rail-based systems, BRT is being proposed as an appropriate and cost-effective solution for medium-sized cities that offers elements of the appeal of its LRT counterpart. About Lane Transit District Lane Transit District (LTD) is a public transportation agency that operates 110 buses and provides other alternative transportation services in metropolitan Eugene-Springfield, as well as portions of rural Lane County. LTD currently provides approximately 6,000,000 trips per year. The past decade has been marked by consistent growth in ridership and in the demand for the s District' services, resulting in corresponding additions to routes, facilities, and the fleet. The s District' goal is to provide a safe, convenient, and efficient transit service that is competitive with the automobile through quick travel time and direct routing. s LTD has had a history of innovation and forward-thinking. LTD' fixed-route bus system has been 100 percent wheelchair accessible since 1985, well before the passage of the Americans with Disabilities Act. LTD currently provides over 6,000 lift rides per month and has developed a reputation for creating a positive partnership with the disabled community. LTD has received State of Oregon and Federal Department of Energy awards for its successful Group Pass Program Table of Contents Gardner Page 3 partnership with the University of Oregon. Two years ago, LTD put bike racks on 100 percent of the bus fleet and now provides over 7,000 bike rides per month. s LTD consistently has been ranked among the nation' top public transit systems. A national study conducted by the University of North Carolina at Charlotte has ranked LTD third in the nation s among its peer group of transit systems and twenty-first among all of the nation' transit systems s that were represented in the study. LTD' recognition in the transit industry is largely due to its innovation in developing new programs and its efforts to provide better service. BRT represents s LTD' newest strategy for innovative transit service. Why BRT? s In response to the community' growth and the increasing demand for faster, more convenient transit service that provides an effective alternative to the single-occupant automobile, Lane Transit District has begun preliminary engineering work for the implementation of a BRT system. The BRT system is based on light-rail transit principles, but instead of the required capital investment in trains and track, it utilizes buses in service that is integrated with key components of the existing automobile transportation infrastructure, such as roads and rights-of-way, intersections, and traffic signals. Therefore, BRT is more affordable, flexible, and appropriate in scale than light rail for a medium-sized area such as Eugene-Springfield. In addition, it allows for incremental construction and implementation and can be easily tailored to meet the specific transportation needs and opportunities within individual neighborhoods and transportation corridors. BRT offers many advantages to regular bus service, including greater reliability, improved image, increased capacity, and speed. The following service features will increase travel speed and service capacity, and will reduce passenger travel time on the BRT corridor: • Bus lanes, including guided busways • Fewer stops than traditional transit service • Signal prioritization technology to reduce delays • Increased service frequency • Smaller, neighborhood-friendly buses that can improve service coverage • Easy access, low-floor, multiple-door buses • Prepaid fare instruments s LTD' application of bus rapid transit is a "systems" concept that addresses all elements of service. As a systems approach, the objectives of BRT in the Eugene-Springfield area are very different from the BRT systems that were adopted by several North American cities in the 1970s. These focused primarily on exclusive rights-of-way with no attention given to other service elements. Table of Contents Gardner Page 4 The introduction of a BRT system in Eugene-Springfield represents a realistic and responsible s approach to meeting the area' transportation needs. The protection of rights-of-way for transit use helps to position the system for the introduction of higher technology modes, such as LRT, if s they become appropriate in the future as a result of the community' growth and population density. Pilot Corridor Selection Planning and development of the Eugene-Springfield BRT system includes the implementation of a pilot corridor within the next three to four years. The pilot corridor has been identified as a 10- mile, east-west alignment from east Springfield to west Eugene (see Figure 1). Four BRT alignments were analyzed for the selection of the pilot corridor (see Figure 2). Specific criteria considered as part of the selection process include population and employment density, existing ridership, corridor length, major destinations, and bus speed relative to automobile speed. Table 1 shows a summary of the corridor analysis. A nonquantitative factor in selecting the corridor was the inclusion of both cities in the corridor. While including two cities in the planning process would involve more work in terms of public involvement and inter-jurisdictional coordination, the benefits of including both communities was seen as politically significant. An inter-jurisdictional Technical Advisory Committee (TAC) was convened to provide input into the corridor selection process. The TAC was comprised of planning and engineering staff from the following agencies: City of Springfield, City of Eugene, Lane County, Oregon Department of Transportation, Lane Council of Governments, and Federal Highway Administration. The selection of the east-west corridor was endorsed by the TAC and was supported by the LTD Board of Directors. Upon implementation, BRT service in the pilot corridor will consist of a main trunk route along the east-west corridor, with connector routes to provide neighborhood service connections. The implementation of the pilot corridor will not preclude the operation of regular "local" bus service and some associated neighborhood service within that same corridor, as a supplement to the "express" BRT line and neighborhood connector services. BRT service improvements will be complemented by appropriate support facilities such as boarding stations, Park & Ride lots, and ticket machines. Table of Contents Gardner Page 5 Figure 1 - Bus Rapid Transit Pilot Corridor Map Figure 2 - 2015 Bus Rapid Transit System Map Table of Contents Gardner Page 6 Table 1 Pilot Corridor Selection Summary Table ROUTE PROS CONS COBURG ROAD TO Ÿ Ferry Street Bridge Corridor Ÿ Bridge Construction Delays CRESCENT Ÿ ROW Potential Ÿ Relatively Low Ridership Ÿ Developing Area HARLOW ROAD TO Ÿ Ferry Street Bridge Corridor Ÿ Congestion Not a Problem GATEWAY Ÿ Springfield Connection Ÿ Bridge Construction Delays Ÿ ROW Potential Ÿ Low LUM Nodes Ÿ New Gateway Area Ÿ Relatively Low Ridership Development SPRINGFIELD STATION Ÿ High Ridership Ÿ Requires Relocation of Ÿ High LUM Nodes Springfield Station Ÿ High Number of Existing Ÿ Low Development in Lanes Glenwood Area Ÿ High Population Ÿ High Potential for Decreasing Travel Times Ÿ Springfield Connection Ÿ Signalization Possibilities Ÿ Serves UO WILLAMETTE TO 29TH Ÿ High Ridership Ÿ Short Route Ÿ High Population Ÿ Constrained ROW Ÿ High Employment Ÿ Low Potential for Ÿ Historical Center of Eugene Decreasing Travel Times Ÿ Low LUM Nodes Ÿ Minimal signal improvement potential WEST 11TH Ÿ High LUM Nodes Ÿ May Require Parking Ÿ High Number of Existing Removal Lanes Ÿ May Require Contraflow Ÿ High Potential for Lanes Decreasing Travel Times Ÿ High Ridership Ÿ ROW Potential Table of Contents Gardner Page 7 Service Components: Guided Bus As stated previously, BRT combines a number of proven transit strategies into an innovative service package. A key component of this service package is the application of guided bus technology. Guided busways have been implemented in other countries but, to date, have not been applied in North American transit service. Cities that have successfully implemented guided bus technology are Leeds and Ipswich, England; Essen and Mannheim, Germany; and Adelaide, Australia. Guided bus is a technology designed to efficiently provide exclusive bus lanes. The idea is simply to operate the bus between two curbs using guide wheels mounted to the side of the bus. Figure 3 illustrates the guide wheel technology. Figure 3. Mechanical Guidance System The main advantage of guided bus is that the required lane width is reduced from 12 feet to 8.5 feet, which is the width of a standard bus. This greatly reduces the total amount of right-of-way required to implement an exclusive busway. In addition, only the wheel track requires paving, which allows the center of the track to remain unpaved, providing opportunity to add green space back into the roadway and enhance the appearance of the corridor. See Figure 4 for an example of the guideway. Table of Contents Gardner Page 8 Figure 4. Guided busway, Essen, Germany. Because of the wheel tracks and median strip, automobiles cannot easily operate in the guideway, providing self-enforcement of the exclusive busway. The guideway also provides separation of buses from mixed traffic, allowing for improved traffic flow for both buses and automobiles, which will no longer be "stuck" behind buses at bus stops. Guided bus wheels can be retrofitted to virtually any standard bus at a minimal cost of $1,000 per bus. Local Planning Efforts s Eugene-Springfield is in the process of updating the region' transportation system plan, TransPlan. LTD has participated as one of many regional public agencies providing input into the planning process. As part of the TransPlan planning process, a range of transit options was considered. The base case (or existing system), an enhanced bus system (base case plus 10- minute frequencies on all major corridors), and BRT were modeled to evaluate their impact on future congestion. This modeling indicated that the BRT system would result in the highest transit ridership. The modeling also indicated that supporting land use designs would significantly improve transit ridership. The three transit options were presented to the public along with other transportation strategies, through a series of public workshops, stakeholder symposia, and various other public involvement tools. At the final stakeholder symposium, BRT was selected as the preferred transit strategy to put forward in the draft TransPlan. Table of Contents Gardner Page 9 The draft TransPlan is currently undergoing a public review and comment period, and it is anticipated that it will be adopted by local elected officials in the spring of 1999. In anticipation of TransPlan being adopted, LTD is proceeding with corridor planning and preliminary engineering for the pilot corridor. Political Considerations Throughout the development of the draft TransPlan, LTD worked with local agency staff to gain support for the BRT concept. In addition, the LTD Board of Directors and staff met with local elected and appointed officials to introduce the BRT concept and get feedback about the project. In order to ease concern regarding the implementation of BRT, such as the operation of signal priority and exclusive busways on local streets, LTD proposed language in the TransPlan that placed conditions on the implementation of BRT. The proposed policy is as follows: Establish a Bus Rapid Transit (BRT) system that provides frequent, fast transit service along major corridors and neighborhood services that connects with the corridor service and with activity centers, if the system is shown to materially reduce existing or projected traffic congestion, if local governments demonstrate support, and if financing for the system is feasible. While the proposed language provided a level of comfort with the strategy to generate conditional support for BRT in the draft TransPlan, it also places the burden of meeting conditions on LTD if BRT is to be implemented. It should be noted that no other strategy in the TransPlan document had conditions placed upon their inclusion in the plan. Concerns have emerged since the development of the revised BRT strategy language regarding the feasibility of meeting the specific conditions and the appropriateness of the measure chosen to determine success of the BRT project. Specifically, the phrase "materially reduce existing or projected traffic congestion" may be impossible to gauge and is not necessarily a good indicator of the success or failure of the BRT system. As currently written, if this condition is not met, BRT may be difficult to implement. LTD is considering proposing alternate language that meets the intent of the wording and more accurately reflects the goal of BRT, such as "if shown to increase transit ridership." s LTD' primary interest in developing acceptable language in the draft TransPlan is to assure community members and elected officials that the project will only proceed with the support of both communities, and the effected road jurisdictions. Public Involvement In addition to public involvement efforts made as part of the TransPlan process, LTD has launched a broad-based public involvement plan. Since 1995, LTD has made significant efforts to introduce the BRT concept to the community. This has been done through regular mailings to Table of Contents Gardner Page 10 more than 1,000 community residents, three community open houses, and periodic updates and presentations with local organizations. In addition, LTD has held four focus groups with residents, businesses, and travelers along the proposed BRT pilot corridor. LTD staff have met one-on-one with hundreds of individual community members and business owners to discuss and get feedback about the project. A BRT video has been produced and widely circulated to agency staff, elected officials, and interested parties. LTD has advertised BRT through a variety of mediums, including TV and radio spots. LTD has been working with a BRT Technical Advisory Committee (TAC) comprised of transportation engineering and planning staff from the cities of Eugene and Springfield, Lane County, Oregon Department of Transportation, Federal Highway Administration, and Lane Council of Governments. The TAC has been informed about preliminary engineering and public involvement efforts. In addition, a BRT Steering Committee was formed and is comprised of a city councilor from Eugene and Springfield, a member of the Lane County Board of Commissioners, three LTD Board Members, a regional manager from the Oregon Department of Transportation, and two at-large members. The BRT Steering Committee has an advisory role in engineering, planning, and public involvement activities and will forward recommendations regarding BRT to the LTD Board of Directors. A BRT public involvement plan has been developed to address public involvement for corridor planning. The goal of the plan is to provide the public with information on all aspects of the project. Additionally, the goal is to provide an opportunity to express concerns about the alignment and to present additional ideas to improve alternatives or mitigate their impacts. As part of the plan, LTD staff will meet individually with all property owners along the pilot corridor. For planning and engineering purposes, the corridor has been divided into eight segments. The public involvement plan is also organized by corridor segment and focuses on neighborhood input into the segment design process. A series of open houses and design workshops is scheduled and will be accompanied by newsletters and direct mailings to residents. Although planning and public involvement for each corridor segment will be similar, the process will also be flexible to respond to specific issues along each segment. The BRT public involvement process will be refined as the corridor study is developed for the various segments. A complete process review and refinement will occur in December 1998. Federal Support The Federal Transit Administration (FTA) is very enthusiastic about the BRT concept. LTD has met with the FTA Administrator Gordon Linton to discuss conceptual ideas for implementing a BRT system in Eugene. The FTA has demonstrated support for the concept, both for the Eugene- Springfield project and for developing a national BRT prototype. Given the funding climate for transit projects, the FTA is concerned about the availability of federal funds to finance LRT projects that are currently in development. The FTA sees BRT as a viable transit option for cities of any size, including larger cities that would otherwise consider LRT. In addition to FTA s support, Congress has also been extremely supportive of LTD' BRT project, as evident by the s full funding of LTD' request for planning and preliminary engineering funds. As part of the TEA Table of Contents Gardner Page 11 21 transportation bill, Congress authorized 9.8 million dollars to plan and implement the BRT pilot corridor. Congress is attracted to the BRT project for similar reasons as FTA, primarily because BRT can be implemented at a fraction of the per mile cost of LRT. Conclusions BRT is unique because it combines a range of low-cost transit technologies that can be implemented incrementally. Depending on funding and local planning constraints, different combinations of technologies can be applied with good results. LTD is endeavoring to implement the full range of BRT components to maximize the potential of this system to effectively compete with the automobile in terms of travel time. LTD has packaged "BRT" as an integrated transit system. However, any of the components implemented individually can realize transit service improvements. If political or funding constraints prohibit the full implementation of BRT as described, LTD intends to implement many of the other components, including low-floor buses, prepaid fare mechanisms, increased service frequency, and signal priority. BRT provides the opportunity to significantly improve transit service at a cost that is affordable for a medium-sized city. If desirable, and if population and employment levels support it, BRT can be seen as a precursor to a rail-based system. By preserving right-of-way now, and establishing exclusive busways, the conversion to a rail system would be significantly less expensive in the future. BRT is a flexible system to implement. Unlike a rail system, BRT can be implemented incrementally as funding and right-of-way acquisition allows. If funding or political support is limited, it is possible to construct exclusive busways in only the most congested segments initially. As funding becomes available, or the system gains wider community support, the busways can be extended to other segments. Finally, BRT provides an appropriate technological solution for a medium-sized city. For many years, medium-sized cities have settled for lower levels of transit service than their population and land uses would support. BRT provides an affordable and attractive transit solution for these communities. Table of Contents Session #2 IMPROVING PEDESTRIAN ACCESS TO TRANSIT: s City of Gresham' Ped-to-MAX Program Rebecca Ocken 1333 NW Eastman Parkway Gresham, Oregon 97030 503-618-2756 503-669-1376 fax firstname.lastname@example.com ABSTRACT Accommodating multi-modal travel on high speed arterials is a challenge, particularly in Gresham where numerous arterials transect the city, creating barriers to pedestrians, bicyclists, and transit users. The "Ped-to-MAX" program was created to ease these s barriers and improve the pedestrian environment around Gresham' eight light rail stations and town centers, where pedestrian activity is high, even though traffic volumes are heavy and moving at fast speeds. The Ped-to-MAX program redesigns existing street right-of-way and constructs facilities for pedestrians which will improve safety yet accommodate traffic. The s program' objective is to create safe pedestrian areas where traffic speeds are slowed and the streetscape is aesthetically appealing, thereby encouraging more pedestrian activity and increase transit ridership. Improvements include texturized crosswalks, widened sidewalks, off-street pathways, mid-block crosswalks, intersection improvements, medians, curb extensions, street lighting, pedestrian plazas and other amenities. s The City of Gresham' Transportation Planning, Streets, and Parks Divisions teamed with Tri-Met, the regional transit provider, Multnomah County, and various citizen committees in developing this much needed program. Phase I of Ped-to-MAX will be constructed in summer 1998. ISTEA is the primary source of funding for Phase I along with state and local funding. Phase II, funded s through Oregon State' Transportation Growth Management Program, will begin design Fall 1998. Table of Contents Ocken Page 2 IMPROVING PEDESTRIAN ACCESS TO TRANSIT: s City of Gresham' Ped-to-MAX Program INTRODUCTION Like much of the Northwest, Gresham is growing at an overwhelming rate. In the last s 10 years Gresham' population has doubled to more than 81,000 and is now the fourth largest city in Oregon. Although Gresham is served by light rail (MAX), the s automobile continues to be the primary mode of travel and the City' development pattern reflects this preference. The arterial street system forms a super-grid providing great mobility for autos but a dangerous and unappealing environment for pedestrians. To encourage walking and promote light rail use, Gresham developed Ped-to-MAX, an s on-going program to improve pedestrian access to Gresham' eight light rail stations. Because the project is federally funding with Congestion Mitigation Air Quality (CMAQ) monies, the primary objective had to be to reduce vehicle miles traveled. However, this objective again focused on automobile use. The City wanted to make a commitment to better the pedestrian environment, first by improving safety with slower traffic speeds and basic pedestrian infrastructure improvements; and then go a step farther, by creating a more aesthetically appealing streetscape. If successful, pedestrian accidents rates would be reduced and more people would walk. The city believed in the theory "if you build it, they will come." The City had eight months to design Phase I of Ped-to-MAX or risk losing CMAQ funding. The project team had little idea of what to build other than sidewalks, but quickly created a vision and continually reiterated the objective of building for people not for greater car efficiencies. This was a surprisingly difficult task. BACKGROUND Gresham is located 15 miles east of Portland. In 1986 light rail service between Gresham and Portland opened. During the development phase, the proposed light rail service met with great opposition by Gresham residents. As a result the light rail alignment is poorly located and was not supportive of existing land uses. Despite the poor alignment, Gresham residents account for almost 30 percent of MAX' s peak hour ridership. With such high use under truly inadequate conditions, City staff theorized that ridership could improve if the conditions around the station areas improved. The issues facing Ped-to-MAX were many. The light rail line occupies the center median of a major arterial (Burnside) on its trip into Gresham. This creates a huge s barrier for pedestrians. Because of Gresham' super grid arterial pattern, the block lengths are very long with limited safe pedestrian crossings. Also, traffic speeds are generally faster than posted speeds because of the super grid layout. The arterials have Table of Contents Ocken Page 3 numerous driveways and continuous center turn lanes that make left turn access to cross streets and adjoining properties readily available, but results in undesirable and unsafe conditions for pedestrians and bicyclists. In 1994 City staff conducted a study Accommodating Pedestrians to "MAX" Light Rail stations in Gresham, and found that many Gresham citizens are discouraged from using transit because of both real and perceived barriers to pedestrian travel. The study identified more than 30 project areas where better pedestrian connections to MAX were needed and made design recommendations to encourage more walking throughout the City. The study also recognized the potential for enhancing community identity and prompting private investment through a public financial commitment to pedestrian infrastructure improvements. The project team knew existing conditions in Gresham were in a sorry state. The basic infrastructure was inadequate and the walking experience was poor. Primary walking routes lacked any pedestrian amenities. However, based on the Highway Capacity Manual' measure of pedestrian level of service, Gresham pedestrians currently s experience level of service A at most times of the day at most locations, but the City found this measure did not take into account all the factors that encourage walking and s referred to 1000 Friends of Oregon' Pedestrian Factors as a standard measure. s Noting 1000 Friends of Oregon' Pedestrian Factors research, Ped-to-MAX took into account the influence convenience factors may have to encourage more walking, such as; the ease of street crossing, sidewalk continuity, street connectivity and topography. Other factors considered were the facilities themselves such as; ability to select walking speeds and avoid conflicts with others, degrees of crowding in queuing areas such as sidewalk corners and transit platforms and obstructions such as poles, and trees and street furniture that restrict the amount of pedestrian space. The streetscape improvements proposed by Ped-to-MAX have the benefit of transit supportive land use policies now in place at the City. As required in Oregon' s Transportation Planning Rule, new buildings on transit streets must have a primary entrance oriented to the street, no more than a 20-ft setback with landscaping and frontage improvements. This tool has immeasurable benefits to the pedestrian environment. OBJECTIVE Beyond encouraging greater transit use, the main project objective is to strengthen the pedestrian environment with safe, convenient, and aesthetically appealing streetscapes. Ultimately the project would create great pedestrian environments by developing exciting urban public spaces, which in turn enhance community identity and livability. PED-TO-MAX PROJECTS Table of Contents Ocken Page 4 s Of Gresham' eight light rail stations, three were prioritized for Ped-to-MAX Phase One design; Rockwood, City Hall, and Central Stations. These are the three most highly used stations in Gresham. These areas also experience high pedestrian activity even though traffic volumes are heavy and travel speeds fast. Of the 38 projects identified in the Ped-to-MAX study, the top ten were selected for design. Because of funding constraints, only four were taken to construction. Rockwood Station Area: Rockwood was recently annexed by the City of Gresham and lacks basic infrastructure improvements needed to support the high density zoning recently enacted and the great pedestrian activity it currently experiences. It has a surprising number of pedestrians given the ugly, dangerous, and car-oriented environment. This conflict is made clear given that Rockwood has the highest number of pedestrian accidents in the City. At the Rockwood Station, all of the retail buildings near the station are set back from the street and are fronted by large parking lots. Traffic moves very fast on the arterials and the pedestrian environment is difficult as well as extremely dangerous. There are also problems with real and perceived safety in Rockwood. The negative behavior of many of the teenagers who loiter in and around the stores and transit stop detract significantly from the image of the area. Project staff met with Gresham Police asking for their insight on the area. The Police felt it essential to add pedestrian-scale street lighting with a more horizontal cast than the typical street light. This type of lighting will decrease the shadow cast of vertical lighting and illuminate pedestrians more clearly. In the opinion of the Police Department, if nothing but proper lighting were added to the area, the project would be a success. The Ped-to-MAX study identified two project sites in the Rockwood Station Area: the Rockwood Urban Plaza and the 188th Street Transit Center. The proposed plaza site is on private property and links bus travel with light rail. The plaza site is located across the street from the light rail station in a high activity area in the center of the Rockwood Town Center. The site is currently vacant with two fast food restaurants as neighbors. The site is an gravel lot serving only as an eyesore to the neighborhood and is notorious for gang and drug activity. The proposed plaza is a small 8,600 square foot area. The space is intended and designed as a respite from the busy surroundings, as well as a transit transfer station between light rail and bus. At issue was developing a pedestrian space that had an unknown development future, no physical boundaries, and would continue to be Table of Contents Ocken Page 5 surrounded by auto-dominated uses. Color and vertical space were the two characteristics staff wanted to include in the final design to achieve the project objective of developing energetic urban spaces. From aerial photos, it was clear that the primary color in the neighborhood was concrete gray. After many rounds of discussion and considering the financial restrictions, it was concluded that clay bricks in red and blue tones would be the dominate material of the plaza. Phase I would add a intricate pattern in the center of the plaza until additional funds could be found to replace the central brick pattern with a fountain or other water feature. The vertical issues were resolved in numerous ways. Grassy berms and Cherry Trees that flowered twice annually were used to shape the edge of the plaza and provide some definition. At the front of the plaza, an elevated, concrete, circular seat was designed that in the center could hold a Christmas tree. This accent was added to accommodate community gatherings. Other seasonal events could be promoted for the plaza by Rockwood neighborhoods. Negotiations for the plaza property were drawn out for over a year, but were s unsuccessful and led to the need for condemnation. Unfortunately, Gresham' City Council denied action and the plaza construction is now on hold. With the delay of the plaza construction, the City is working to establish uses and generate activity in the area to improve image and generate more "eyes on the street." Some more short term uses being considered in the proposed plaza space and on 188th include weekend markets , which can also help to incubate new businesses for the area, and a game cart that would loan out board games in the summer months. Vending carts with espresso or flowers are also to be encouraged in the area. The transit center on 188th is a block- long section of street improvements including sidewalk widening, mid-block crosswalk, texturized crossings, street trees, street lighting, and new covered bus stops. The only issue to arise with the transit center was placement of the mid-block crossing. To improve pedestrian safety when crossing Stark Street, a five-lane, high speed, high volume arterial, a mid-block pedestrian crosswalk and refuge was proposed. Field observations indicate substantial pedestrian traffic crossing Stark Street to reach not only the transit station, but the many retailers in the area. Marked and unmarked pedestrian crossings across Stark Street are available, but, many, if not most pedestrians, cross at mid-block locations. Several locations along Stark Street were evaluated as possible crosswalks. The location recommended for improvement with a marked crosswalk and pedestrian refuge island is on the east side of the Stark Street and 188th Avenue intersection. Improvements also include widened sidewalks and street trees and pedestrian scale lighting. This will not Table of Contents Ocken Page 6 only reduce the crossing distance for pedestrians, but change the visual environment for drivers and slow travel speeds. The pedestrian refuge island proposed on Stark Street near 188th Avenue meets the minimum size of about 50 square feet. The refuge site does prohibit left turns into two businesses. Through one-on-one meetings they were resolved. In the long term, the City is proposing major improvements to the arterials to slow traffic in the Rockwood Town Center by creating tree lined boulevards with on street parking, medians and other pedestrian amenities from the now five-lane arterials. City Hall Station Area: s City Hall station is the second most highly used station of Gresham' eight stations. Most riders use the park and ride lot associated with the station. For those who walk, they must navigate a series of high speed, high volume, five lane arterials. The major of those being Division Street. The pedestrian environment in this location is bleak and visitors who may be using transit to reach downtown Gresham would have no clue how to find their destination. s The Ped-to-MAX projects will link Gresham' historic downtown and the new Gresham Civic Neighborhood, a transit-oriented development and the major destinations in between: Gresham City Hall, Gresham High School, and a major shopping center. The major street running between the two areas is Division, a five-lane, well traveled arterial with curb-to-curb widths of approximately 75-feet. One option to improving pedestrian access is to reduce pedestrian crossing distances. The existing lane width on Division Street is 11-feet with a continuous 12-foot turning lane. City Staff wanted to reduce the 75-foot crossings to a more manageable distance of 60-feet. One possible street configuration included 10-foot travel lanes, 12-foot turn lanes and 6-foot bike lanes. Another option would be a 14-foot wide outside or curb lane that would be shared by motor vehicles and bicyclists. This option is described in the Oregon Bicycle and Pedestrian Plan for use where right-of-way or topographic constraints prevent striped bike lanes. With a shared motor vehicle-bike lane, the total curb-to-curb width would be approximately 4 to 6 feet less than with designated bike lanes. This reduction in curb-to-curb width would reduce the time it takes for pedestrians to cross by 1 ½ to 2 seconds. However, City Staff eliminated this alternative given the volumes of traffic and projected speeds lowered to 35 mph would not be enough to support a shared bike lane. The proposed project area on Division was a four block section of street calling for major changes to both the automobile and pedestrian environments. Because of this, Multnomah County, who owns and maintains the road, called for a more in-depth Table of Contents Ocken Page 7 study of the project and expanding the project boundaries to accommodate a better transition into downtown Gresham. Because of this, project construction was delayed and the project boundaries were expanded. The new project area is now under design s through grant award from Oregon' Transportation Growth Management program. Construction funding has been earmarked in TEA 21 as a demonstration project and is scheduled for construction in 2001. Central Station Area: Central Station is a major bus center with links to a light rail station and the only structured park-and-ride garage in Gresham. It is near the end of the light rail line and is the closest stop to historic downtown Gresham (four blocks away). The Gresham Downtown Development Association has been eager to improve the link between the core business community and light rail and saw Ped-to-MAX as a prime opportunity to do this. In 1990 the City redesigned Main Street through downtown by widening the sidewalks and curb extensions and narrowing travel lanes. Street trees and historic street lighting were added to the streetscape greatly improving the business district and re-energizing retail activity. With additional funding a second downtown street was improved. The business community felt that the brick work associated with the sidewalks downtown functioned as a "yellow brick road" in that visitors would not stray from the improved streets without the brick. Through observation, city staff found this to be true. Visitors would park in downtown and follow only the streets with brick work. Once the bricks stopped so did the visitor. To extend the "yellow brick road" and better link downtown to Gresham, Hood Street was chosen as a project for construction. Hood Street is classified as a neighborhood collector. It is one of the few through streets through town, but travel speeds and volumes were not high. The street has a mix of commercial and residential with both single family homes and multi-family apartments. High school students use the street to gather and use transit. The focus of the Hood Street improvements was aesthetic. Travel lanes were narrowed to physically control travel speeds and provide pedestrian amenities within the given right of way. To reduce construction costs only one curb was moved. Street trees, street lights and texturized crosswalks were added to increase the awareness of pedestrian activity. 10th Street: Mature street trees were added to 10th Street, a street perpendicular to Hood which links Main Street and Gresham High School to the Central Transit Center. The project area is noted as a top ten priority in the Ped-to- MAX study. 10th Street is a new concrete street parallel to the light rail tracks, but very bland and unfriendly. At a low Table of Contents Ocken Page 8 cost, ($5,000) the city found mature 40-foot Armstrong Maple trees and planted them at the back-of-curb. This inexpensive simple improvement has made a significant difference in the pedestrian environment. It adds a much needed vertical element which better defines the pedestrian space. Powell Main Intersection: Also identified as a priority project in the Ped-to-MAX study is improving the link s between historic downtown, Gresham' Main City Park, and the Springwater Trail, an off-street, multi-use path. This entailed improving the intersection of Main Street with State Highway 26, or Powell Boulevard. Curb extensions, bike lanes, and on-street parking were added to slow traffic, sidewalks were widened and texture was added to the crosswalks, street trees and street lighting were added to improve the pedestrian environment. PUBLIC INVOLVEMENT A great deal of coordination was needed for Ped-to-MAX. Not only were three City divisions involved, but Multnomah County and the Oregon Department of Transportation, because projects were located on their roads, TriMet, the transit service provider, and numerous neighborhood associations, the downtown business association, and private businesses. The two public workshops held in each project area were so poorly attended, it became a much needed staff retreat. Project for Public Spaces (PPS), a private consulting firm, was integral in developing the project vision. PPS made project staff aware of the need to expand the project boundaries beyond sidewalk infill and create livable, enjoyable space. PPS also enforced the need to slow travel speeds if the pedestrian environment is to be improved. PROJECT FUNDING The City requested and received $1 million in Federal ISTEA grant funds for project s design and construction. The City' Transportation Planning Division teamed with the s City' Streets and Parks Divisions to compile all necessary funding. Because gas tax monies can not be used outside of the public right of way, Parks funding (from System Development Charges) was essential. Money designated for a bike project in the State Transportation Improvement Plan was transferred to Ped-to-MAX. The City was also awarded an Oregon Department of Transportation Local Assistance Grant. The overall project construction budget is $1.6 million or approximately $360 a linear foot. CONCLUSION At issue throughout the project was how to prioritize pedestrians over automobiles. It was a reversal of thinking for the City that came slowly and painfully. It is a new way of thinking that needed constant reaffirmation. Table of Contents Ocken Page 9 The City lacked the initial vision of what Ped-to-MAX would be and what purpose it t would serve. It wasn' until the public involvement phase that the real project began to develop. Ped-to-MAX became more than just sidewalk infill, but a comprehensive pedestrian program that included traffic calming and creating neighborhood identity. Political support is vital to the on-going success of the project, particularly when sensitive issues such as condemnation arise. Gresham City Council and Planning Commission were well briefed on the progress of the project. To the point of one d Councilor saying he' "heard enough already." What would have been more effective is one-on-one meetings. The project team should have prepared to take condemnation action early in project development. Providing a balanced environment of cars and people is essential. Many of the t successful pedestrian improvement projects don' isolate pedestrians but effectively mix them with an active streetscape, of which cars are a part. Construct a "show job" to show funding sources and decision makers that pedestrian projects are successful and needed. This will make continuing the program a greater reality. Table of Contents SESSION 3 - SHOW ME THE MONEY Moderator: Joe Guyton Howard, Needles, Tammen & Bergendoff, Missouri Panelists: Cory J. Crebbin and Martin Hoppe, City of Lacey, Washington William F. Grimes, Studio Cascade, Washington Elizabeth Rushley, Ohio Department of Transportation Scott M. Smith, Howard, Needles, Tammen & Bergendoff, Missouri Table of Contents Session #3 Streamlining Traffic Mitigation Fees Cory Crebbin, P.E., City Engineer, City of Lacey Martin Hoppe, P.E., Transportation Manager, City of Lacey P.O. Box 3400, Lacey, WA 98509-3400 (360) 438-2648 fax (360) 456-7799 email email@example.com Abstract The City of Lacey rewrote the ordinance governing collection of fees to mitigate development impacts on the transportation system. Previously developers submitted traffic generation and distribution reports prepared by qualified traffic engineers. The impacts were reviewed and the mitigation required at each site in the City were iteratively negotiated. This process required substantial investment by the developer and the City. Funds collected could only be used on the specific project for which they were collected. In developing a new ordinance, the City requested public input. Roundtable discussions included builders and developers. The application of mitigation fee formulas to commercial and residential projects, as well as trip generation and distribution methodology, were discussed in these sessions. The final ordinance included trip generation reductions for commercial property and a per trip mitigation fee cap for residential properties. The ordinance also allows the City to pool money from various projects for a single project under certain circumstances, and mitigation fees can be collected for projects already built until the project costs are fully amortized. An additional result of the roundtable discussions is that the City developed a trip distribution map for each Traffic Analysis Zone (TAZ). A proposed development can use this distribution, or in the alternative may hire a traffic engineer to develop an alternative distribution to be negotiated as was done under the previous ordinance. All of these tools are based on existing information. Trip distributions were plotted using s the City' transportation model assembled as part of the Transportation Comprehensive s Plan. All projects to be mitigated are listed in the City' Six-Year Transportation Improvement Plan. Table of Contents Crebbin & Hoppe Page 2 Streamlining Traffic Mitigation Fees Background Lacey is located at the southern end of Puget Sound between the City of Olympia and the Nisqually River. It is the second largest city in Thurston County with a population of s 27,570. An additional 29,575 people live within Lacey' Urban Growth Boundary. Interstate 5 runs through Lacey and two freeway interchanges are within the City limits. The busiest arterial is Martin Way with average daily traffic of 36,449 vehicles. s Lacey devotes $300,000 per year from the City' general fund toward transportation capacity improvement projects. The six-year Transportation Improvement Plan (TIP) identifies $62M in required projects. The $60M difference must be funded by grants, private financing, or debt. Approximately $26.5M of the TIP projects are currently funded. The Old Way Lacey developed and passed a traffic mitigation fee and transportation infrastructure ordinance (Lacey Municipal Code 14.21) as required by the Growth Management Act in the Revised Code of Washington (RCW) 36.70A. The City required any development generating more than 20 peak hour vehicle trips or sending 10 additional trips through a potential project to submit a traffic impact analysis prepared by a qualified traffic engineer. This analysis was reviewed and critiqued by City staff and returned for incorporation of comments. Eventually, through a series of meetings, phone calls, and correspondence, the impacts were agreed to. The time required to reach agreement varied widely; from several days to two months or more. Each "project site" through which more than 10 trips passed required mitigation to be paid based on the following formula: (Trips - 10) * (Project cost/projected capacity(1)) (1) "Projected Capacity" was a consistent denominator based on the roadway classification and typical ultimate configuration after future improvements. The first 10 trips through each project were essentially free. This provision was included to ensure that large developers would receive the same discount provided to smaller developments which did not generate sufficient trips to require a traffic impact analysis. In addition to traffic mitigation fees, the Washington Growth Management Act requires the City to establish the acceptable Level of Service (LOS) and to certify that the infrastructure necessary to maintain the established LOS is in place at the same time as growth generates new volumes/users. The common term for this requirement is "concurrency", indicating that infrastructure must be concurrent with growth. The City and the Regional Transportation Planning Organization (RTPO) established Level of Service (LOS) standards for the transportation system. In Lacey, a LOS of ' is E' Table of Contents Crebbin & Hoppe Page 3 acceptable for urban core areas (typically consisting of dense retail and commercial) and D' LOS ' is required for all other areas. Any degradation to the LOS is identified during the traffic analyses. If the TIA for a development indicates that the LOS will be degraded below the established standard, triggering the concurrency requirement, the development will not be approved unless the developer agrees to construct adequate improvements to restore an acceptable LOS as a condition of approval. The result is a disproportionate burden on any property which delays development until existing transportation capacity is depleted. Additional constraints on the City under the previous ordinance were that mitigation fees paid for a project could only be applied to that specific project and after project construction mitigation fees could no longer be collected. Under these constraints, a facility could be expected to fail to meet the established LOS long before adequate funding was available to construct additional capacity. No developments could be approved unless the proponent agreed to fund the entire remaining project shortfall, and no additional mitigation fees for a failed project site could be collected because the concurrency provisions of the GMA precluded the City from approving additional developments. The Change Process The concurrency provision of the Washington Growth Management Act was cited by the Lacey Hearing Examiner upon examination of the Traffic Impact Analysis (TIA) for a development which routed more than ten trips to the intersection of Marvin Road and Interstate 5 (I-5). This freeway interchange includes a city street on the north leg (Marvin Road), a state highway on the south leg (State Route 510), and the interstate highway running east-west. The TIA for this development indicated that any additional trips lowered the LOS E, and the LOS established by ordinance for this interchange was D. In essence, the hearing examiner found that no development routing more than 10 trips to this freeway interchange could proceed until capacity improvements were financially guaranteed. At that time it was anticipated that the needed improvements would cost approximately $12 million. No federal or state funds were available to expand this interchange (ca 1995). This de facto development moratorium affected several hundred acres and several large developments which had already paid approximately $15M to extend water and sewer service to their parcels. The inability to continue to collect fees after a project is built created an extreme financing problem for the interchange improvements at Interstate 5 and Marvin Road (State Route 510). One option was to debt finanance the construction, but the City had no way to generate revenue for loan repayment since mitigation fees were not collected after project completion. Another option was to lower the LOS. This was undesirable because large areas served by the needed project is zoned industrial and commercial, and includes a free trade zone. Lowering the LOS would reduce freight mobility and hinder the City' effortss to attract development to these areas. Table of Contents Crebbin & Hoppe Page 4 A third option was private financing for the project. The City was asked by several property owners to establish a Local Improvement District (LID) to fund the transportation improvements required to provide an adequate LOS and allow them to develop their land. A LID is a mechanism by which the City finances the project with municipal bonds and the benefiting property owners repay the bonds via property assessments over 15 years. Washington state law is quite specific regarding assessment of s property owners for improvements. A property' value must increase by more than the costs of improvements as a result of constructing such improvements. This increase in appraised value is termed "special benefit". This requirement applies to each parcel individually. In addition, if for any reason a property is not required to reimburse the full proportionate share (based on proportionate special benefit) of costs, the shortfall must be specifically paid by another entity. The initial analysis of the benefit district revealed that the area would be large; even huge. The freeway interchange serves all of eastern Thurston County as far as the City of Yelm, which is 13 miles from the freeway. It was impractical to form a LID that large, but to except parcels which received benefit is not fair nor is it allowed by state law. An additional concern was the inequity of assessing all properties within the LID boundary, even if they generate fewer than 10 trips, while exempting similarly benefited properties outside of the boundary which generate fewer than 10 trips. The "crisis" which the City faced in developing a financial plan for construction of a new freeway interchange within all of the constraints of state law and the existing transportation mitigation fee ordinance was the impetus behind the complete revision of the transportation mitigation fee ordinance. There were two other areas of the City in which LOS had failed, also. The City Council passed resolutions to guarantee that these areas will be mitigated in accordance with GMA requirements, but it was becoming apparent that the existing process would probably not generate the funds required to meet the 6-year deadline which the GMA imposed. Other areas of the City were also experiencing LOS and concurrency concerns. Many large developments were submitted with phases structured such that Phase I did not send more than 10 trips through any area where LOS was a concern or per trip mitigation fees were high. The result was that the City was not collecting adequate mitigation fees to improve the transportation system and many parcels were unable to develop because all capacity had been allocated. Development was still occuring and additional trips were continuing to degrade the LOS of the transportation system. The City recognized that this was an opportunity to improve customer service while revising the process for computing and collecting transportation mitigation fees. Major s complaints from the development community regarding the City' traffic mitigation process included: projects took too much time to be approved, they were paying too much money for traffic engineering, and they could not determine what the traffic mitigation Table of Contents Crebbin & Hoppe Page 5 costs would be prior to buying land. All of these complaints were compounded by the iterative negotiation process to settle on traffic impacts. Informal discussions between City staff and developers revealed that most developers were willing to pay their fair share for necessary transportation projects. It was agreed to s initiate a formal process for revision of the City' ordinance which included input from developers, builders, and traffic engineers. The New Way After a series of roundtable discussions which included parties who computed and paid traffic mitigation fees, the City proposed a new traffic mitigation fee ordinance. The 10- trips "free" threshold was eliminated after research revealed that only 4 short plats had been reviewed in the previous 4 years. A short plat is any development creating 9 or fewer residential lots. Other terms of the new ordinance included: a) A residential per trip cap of $1,040 was established. This cap is escalated each July 1 based on the Construction Cost Index as reported by "Engineering News Record". b) Commercial development pays mitigation on 50% of their trips. This was justified by: 1) considering that most of these trips have been paid for "at the other end" by residential development, 2) GMA and RCW 39.92 require that the City consider the future tax revenues generated by new development when analyzing impacts. It is also consistent with how neighboring jurisdictions assess traffic mitigation on commercial development. c) A $500 trip mitigation fee for the Interstate 5 interchange at Marvin Road is established and this fee is not included under the residential cap or commercial discount. In other words, every trip going to the interchange pays $500. d) The mitigated project list is the 6-year Transportation Improvement Plan. In addition, the City agreed to provide a simplified alternative for establishing traffic mitigation. The City created a "traffic atlas" in which trips are generated from each Traffic Analysis Zone (TAZ) and a traffic distribution map is created for each TAZ. The distribution is based on the existing transportation model. The resulting percentages are applied to the traffic generation of any new development within that TAZ. Any project within a TAZ may apply this pre-distribution to their traffic generation. The City computes traffic generation for a project on request and a table is generated showing how many trips impact each project. No consultant is required and the proponent receives the tabulation of project traffic mitigation fees in one week or less. Any project generating fewer than 50 trips is eligible to use the simplified procedure. Table of Contents Crebbin & Hoppe Page 6 The new formula to compute traffic mitigation fees for a project is: (# trips / projected capacity) * project cost • # trips = the number of adjusted trips (50% for commercial) impacting project • projected capacity = vehicle capacity at project completion based on typical configuration for street classification (minor collector, etc.) • project cost = the planning estimate for the project included in the City Transportation Improvement Plan (TIP) The residential cost cap is applied to the total trips generated. For example, if the total mitigation for a residential development generating 40 trips were $50,000, the cap would result in a total mitigation of $41,600. The fees collected are prorated to each project. For example, a project for which full mitigation would be $10,000 is allocated (41,600/50,000)*$10,000 equals $8,320 using the previous figures. The new process also allows the City to pool project funds in order to construct improvements. If a development pays to mitigate 6 different projects, the development' s total fees may be applied to 1, or fewer than 6, of those projects. Mitigation fees can also be collected after the project is completed because the new ordinance is pursuant to RCW Chapter 39.92, "The Local Transportation Act". This allows future mitigation fees for completed projects to be used to "repay" the incomplete projects from which construction funds were pooled or "borrowed". Concurrencey still applies and the potential that a development will have to construct significant off-site transportation improvements exceeding a fair share remains. Under the new ordinance, a developer can recoup a portion of excess expenses from mitigation fees paid by others for the necessary improvements after the project is completed. For s example; if a developer' fair share of a project is 20% and 80% of the project costs are required to be contributed due to concurrencey, the developer will receive 60% of future mitigation fees collected for that project (80% contribution - 20% fair share = 60% excess contribution). How is it Working? The new procedures have a high level of acceptance because it is simpler, quicker, and more predictable. This increased level of acceptance has occurred in spite of the fact that the City actually collects more in traffic mitigation fees than under the previous methodology. One of the major complaints about the old system was that a developer would not know how much traffic mitigation would cost until they had purchased the land and were far into the Site Plan Review process. The new system, with pre-distributed traffic volumes and known per trip mitigation costs, allows a developer to generate a close estimate of traffic mitigation fees for proposals prior to obligating themselves to property purchases. Table of Contents Crebbin & Hoppe Page 7 A major advantage to the City is the ability to pool money amongst projects, thus creating adequate capital to actually complete projects within the 6-year time frame in which the collected funds must be spent. Also, future mitigation fees can be estimated and used as local match on grant applications. Staff time devoted to review and negotiation of traffic impact analyses has been significantly reduced; an important benefit to a personnel-limited agency. (The City of Lacey Engineering Division Transportation Section consists of two full-time employees and as many interns as we can get.) The end result has been a win-win process in which the collection of traffic mitigation fees has improved the predictability of costs for developers and enhanced financial flexibility for the City. Table of Contents Session #3 Allocating Fair Share costs in a Rural Community: A Home-Grown Approach William F. Grimes, AICP, President Studio Cascade Community Planning & Design 1325 W. First Ave, Suite 309 Spokane, WA 99201 (509) 835-3770 (voice) (509) 835-3763 (fax) email@example.com Abstract Smaller communities, like their larger cousins, must modify their transportation networks to suit changes in demand. However, unlike larger communities, smaller communities may lack the ability to pay for these improvements, either through developer contributions or through an effective capital projects budget. With the availability of capital projects grants decreasing over time, small, rural communities are becoming even less able to perform necessary system improvements to keep pace with increasing demand. This presentation discusses the constraints facing small, rural communities and how two cities and a county worked together with the assistance of local citizens, integrating land use planning, transportation planning and a geographic information system and fair using a simple model to begin to allocate " share." Table of Contents Grimes Page 2 Allocating Fair Share costs in a Rural Community: A Home-Grown Approach The Issue Funding transportation system improvements is a real challenge for any agency. For small, rural agencies, however, it can be nearly impossible. Rural communities have few resources upon which to draw to make the necessary improvements for handling even modest increases in traffic levels. When the communities experience sharp increases in growth, as has been the case with s Washington' Central Okanogan Valley, transportation improvements may either lag far behind demand or never occur at all. The communities experience increased congestion and yet have limited means with which to address it. This is not a new phenomenon, but effective mechanisms to deal with it are scarce. Some communities exact development impact fees or environmentally based mitigation fees to help compensate for individual projects'impacts on the existing transportation networks. In some cases, however, such as in Moreno Valley, California, development impact fees include amounts to s remediate deficiencies in the existing roadway system. The development community' willingness to pay burdensome exactions to supplant local transportation improvements may be dwindling, as fair the increasingly loud call for " share" assessments would indicate. In areas where development has historically been allowed to occur without the assessment of impact fees, the creation of new impact fees may be especially difficult. Also, planning enabling laws in various states continue to be modified to narrow the scope for which development impact fees can be charged and often impose strict time limits for the expenditure of revenues raised by those fees. As communities grow, the need for transportation improvements increases, but the capability of local communities to adequately fund new improvements and fix old problems is decreasing. This paper examines the efforts of a rural Washington community to develop a program identifying and designing needed transportation improvements while creating a system to fairly assess impact costs to new development projects. The Setting North-central Washington State is rural and mostly arid, leeward of the Cascade Mountains and protected from the marine weather inflicted on the west side of the state. This area stretches northward from Wenatchee to the Canadian border, encompassing much of the Columbia River and the Okanogan Valley. Chelan County, Douglas County and Okanogan County comprise the North-Central Regional Transportation Planning Organization (RTPO), a little sister of metropolitan planning organizations (MPO). Though the land area, at roughly 83,000 square miles, s is about 15% of the State' total, the three counties'combined population is only 120,000, or about s 2% of the State' total. The vast majority of that population resides in the metropolitan area surrounding Wenatchee and in the larger towns in Chelan County. Much of the land is undeveloped, publicly held or devoted to agriculture. Those people residing s outside of the region' larger cities generally are clustered in smaller towns in the Okanogan and Methow river valleys. These towns, the largest of which is Omak with a population of 4,600, have Table of Contents Grimes Page 3 historically been the commercial centers for the surrounding agricultural, timber or mining industry. In Okanogan County, where overall population density is just over one resident per square mile, the US Government and the State of Washington own over 27% of all land. The Colville Indian Reservation covers an additional 7,000 square miles of the southeastern county. This is a typical Western picture where small towns have grown up to serve the commercial needs of resource- based industry and where governmental land ownership in the shape of Indian reservations, national parks or national or state forests is significant. State Route 97 runs south from the Canadian border through Okanogan County and along the Columbia River to Wenatchee. It continues south to the Oregon state line, passing through Ellensburg and Yakima along the way. Over time, this highway has become an attractive, less congested, international transportation alternative to Interstate 5 which runs along the western side of the Cascades. Okanogan County towns have begun to cater to the increasing highway traffic, locating commercial, medical, recreational and residential land uses along the highway corridor. s Most of the county' new commercial and residential activity has centered around the City of Omak, home of the annual Omak Stampede and Suicide race and the large lumber mill that has been the historic economic heart of the central Okanogan Valley. To the immediate south, the City of Okanogan, with just slightly over half the population of Omak, is the seat of county government s with a commercial and industrial sector geared more toward the area' farming community. Omak and Okanogan are connected by SR 97 and by SR 215, a highway paralleling SR 97 along the western side of the Okanogan River. While SR 97 runs through a predominantly rural portion of the community on the Colville Indian Reservation, SR 215 runs through the downtowns of each city, functioning as " Main Street" and carrying the highest traffic volume of any urban road segment in the County. In fact, the first traffic signal installed in Okanogan County, and the only one existing until 1995, was installed at the intersection of SR 97 and Central Avenue in downtown Omak. As these two cities have evolved and become ever more interdependent, SR 215 has become an increasingly important and heavily traveled link. Commercial properties along the highway fetch premium prices and peak-hour traffic provides a show few expected to see in Okanogan County. As property values and traffic flows have increased, building has intensified and delays at road intersections have become prolonged. SR 215 is a new urban corridor in the middle of a rural community. The Problem As development and traffic congestion increased, the need for significant improvements to SR 215 and to the roads feeding into it increased as well. The cities of Omak and Okanogan identified problem areas in their comprehensive and capital facilities plans, but neither town could afford to construct the improvements on its own. Additionally, much of the impact to the urban corridor appeared to be generated by development in unincorporated Okanogan County. New residential construction in Okanogan County added daily trips to the corridor, increasing congestion at intersections located in the two cities. State Route 215 is a State highway, and all improvements within the right of way must be coordinated with or performed by the Washington State Department of Transportation (WSDOT). Table of Contents Grimes Page 4 Though the State tries to keep up with highway maintenance, it cannot afford to make the major improvements the current growth demands. The cities of Omak and Okanogan, the County of Okanogan and the Colville Confederated Tribe of Indians, in conjunction with WSDOT, the North-Central RTPO and a collection of private citizens, property owners and local developers, met to try to identify and resolve the transportation problems SR 215 presents. This group, known as the Central Okanogan Valley Transportation Team, convened initially to study the traffic impact to the northern section of SR 215 as the result of upcoming commercial and residential development in North Omak and the nearby portions of unincorporated Okanogan County. This first study was to identify specific improvements, estimate costs and determine how to allocate those costs fairly across the community. s The initial study' recommendations, however, derived from traffic engineering methodology and standards, seemed to be skewed toward more urbanized solutions out of character with the s community' rural nature. The recommendations also tended to address only those areas included within the initial project boundaries, leaving out otherwise attractive alternatives and complementary improvements to other parts of the neighboring circulation system. For example, this study recommended extremely costly right of way acquisition and widening for the SR 215 segment within the study area and ignored other alternative solutions just outside the study boundary that would achieve the same results without devastating a fully developed neighborhood. The model used to determine the needed improvements was " , capacity-driven" indicating specific capacity improvements needed to serve the expected increase in demand within a tightly-defined study area. This led to a series of recommended road and intersection improvements, but took into account no revisions to land use policy and no sharing of the projected traffic load outside the study area. It also did not consider the affordability of the individual improvements given the s community' size, rate of development and capability to raise revenue. As this initial study neared completion, it became apparent that other portions of the SR 215 corridor facing similar pressures needed to be included in a more comprehensive corridor study, s and that the study' final recommendations needed to be more affordable, less capacity intensive, s and more sensitive to the community' needs. The Challenges The State of Washington has laws that guide the exaction and disposition of development impact fees by local agencies. There are two basic ways by which local agencies can collect payment from developers to offset impacts caused by their projects. The underlying theme for each method is that the exaction needs to represent a fair assessment of the fee based on the relative proportion of anticipated impact. Additionally, once an impact fee is collected, it must be dedicated to a specific public works improvement and then expended within a short time, usually within five years. s The two methods revolve around the state' Growth Management Act (GMA) and its State Environmental Policy Act (SEPA). In the case of GMA, only those agencies planning under GMA are allowed to charge impact fees. The philosophy is that only those agencies either large enough or growing fast enough to be concerned with funding needed public facilities are also those agencies required to plan under growth management statutes. The GMA also states that any collected Table of Contents Grimes Page 5 impact fees must be either expended on a specified project or returned to the developer with interest. Impact fees collected under SEPA must be tied to the mitigation of a recognized environmental impact anticipated as a direct result of the project. The impact fees must be collected and used exclusively to mitigate the identified impact. If the funds are not used, they must be returned to the payer with interest. Okanogan County is one of seven Washington counties not planning under Washington' GMA. s Though its growth rate is slightly higher than 20% over ten years, its small population exempts it from the full GMA provisions. Because it is not planning under GMA, Okanogan County and the incorporated communities within Okanogan County cannot charge development impact fees. SEPA could provide some ability to charge mitigation-related fees, but the actual amount of development would not be enough to ensure that any money could be expended on targeted improvements before that money would need to be returned to project sponsors. Though the growth rate in Okanogan County may have been 20% over the past ten years, it is still a small county. The real number of subdivisions and building permits is relatively low. Any significant public works improvement would require a high level of continuous development to amass an adequate amount derived from mitigation fees. Neither the GMA nor the SEPA based impact fees would be appropriate for use in Okanogan County. Any successful program to fund public works improvements would need to be voluntary, where developers were assured that their contributions toward facility improvement were based on a fair share allocation based on the demand anticipated from their projects. The Approach The two cities, the County and the Tribe joined with WSDOT and the RTPO to more closely study the roadway improvements along the entire SR 215 corridor. The group also included one of the s community' most prolific developers and several representatives from local businesses. This team identified eight potential trouble spots where regional traffic was having the most significant impact. s The underlying philosophy of this group' activity was to produce, at the least possible cost, a reasonable design alternative for each trouble spot and a method for the assessment of fair share costs to developers whose projects would likely impact those trouble spots. The creation of schematic designs for the trouble spots was intended to allow adjacent land owners with immediate development plans to proceed with their projects as long as they reserved right of way for the eventual improvement of the roadway according to the schematics. The assessment method, given the constraints on the imposition of development impact fees, was designed to foster voluntary contribution by developers of projects of regional significance and to demonstrate to what extent the existing development was responsible for improving the transportation network. The Cost Allocation Model T During the NWOTS, the COVTT used the " model 2" to project traffic flows and to identify necessary improvements as traffic increased. As the SR 215 corridor study progressed, it became T" apparent to the team members that the " model would be an expensive one to maintain and that Table of Contents Grimes Page 6 its modeling approach might not identify the best or the most cost effective transportation system improvements. Additionally, with the completion of the schematic designs for the specific trouble spots, some aspects of the model, particularly regarding roadway capacity increase, became less important. s The community needed to develop a simpler model it could use at less expense. That model' main function would be to allocate fair share costs of the proposed schematic improvements to the development impacting those trouble spots. As the type or scope of the improvement would change over time, the model would be re-run to assess current fair share contributions. This new cost allocation model borrows the traffic analysis zone (TAZ) concept from the " T" model to help forecast demand. Instead of using that forecast to determine necessary capacity improvements, however, it uses the forecast to allocate proportional cost responsibility based on the expected impact each TAZ will have on that specific improvement. T" This approach circumvents one of the more costly and controversial components of the " model by assuming that the roadway design has already been established. By making this assumption, it places some of the responsibility of congestion management on the local land use authorities, encouraging trip reduction and system management over system capacity increases. As evidenced in the COVTT meetings, the community does not want to see wholesale increases in roadway capacity to meet forecasted traffic demand. It would much rather see techniques to spread future traffic across the existing network and to explore ways to reduce the impact of regional development on the local network. To make this model succeed, to keep fair share costs reasonable, and to reduce necessary capacity increases, the local land use authorities will need to consider trip reduction methods and to plan future land uses to rely less on the congested local network. The Case Study The trouble spot examined in this paper is the intersections of Oak Street and Pine Street with SR 215 (Second Avenue) in downtown Okanogan. As the intersection is currently configured, a four- way stop exists at the intersection of Oak and Second, and a two-way stop, with Second having the right of way, exists at Pine. Oak Street brings traffic into downtown across the Oak Street bridge to the east, while Pine Street brings traffic into downtown from the hillside residential areas to the west. Second Avenue traffic waiting for the four-way stop at Oak causes traffic entering from Pine s to queue until there' adequate separation on Second. At peak times, the wait at Pine can be up to one minute per car. Much of the traffic using Pine Street originates from unincorporated county land west of the city s and within Okanogan' proposed urban growth area. Pine Street is the terminus of a series of county roads providing access to thousands of acres of orchards and new large-lot residential development. It also provides primary access to the County Courthouse. Pine Street' traffics consists of a mix of private autos and a variety of farm vehicles, including full-size semi-haulers bearing apple bins or other agricultural supplies. As traffic on Second has increased, the inconvenience of turning movements from Pine onto Second has increased as well, motivating drivers to divert away from that intersection and use residential streets nearby. Table of Contents Grimes Page 7 The City of Okanogan recently approved a preliminary plat map approximately 1/2 mile west of this intersection, allowing the construction of up to 35 single-family homes. Though this trouble- s spot intersection lies at the heart of Okanogan' downtown, the City and the developer agreed that the new subdivision would have some impact on the intersection and on the arterials (Pine Street and Orchard Grade) leading to it from the west. Though the developer agreed his project would have some impact on future conditions, he was not inclined to fund a " reachback" to help remediate the existing problems. To help determine a fair share allocation for this particular project, the City of Okanogan borrowed the TAZ concept and made several assumptions in the creation and application of the new model. Those assumptions were: • The TAZs represented areas of relatively homogenous traffic generation characteristics. Each individual TAZ was defined by an aggregation of census blocks and then differentiated by the type of development expected within each and the specific transportation network in place to serve each. This differentiation made it possible to assign total build-out trip generation for each TAZ, to identify which arterials would serve each TAZ and how the total trips generated within the TAZ would likely be distributed among the various arterials. • Land development would occur in a manner, at the level of intensity and at a rate consistent with the comprehensive plan. • The City of Okanogan, in conjunction with WSDOT, was responsible for remediating the current problems and that future developers would be responsible only for the accrued impacts expected to be caused by their projects. • Project cost estimates would increase at a rate consistent with national inflation and fair share cost allocations for each project would be based on the prevailing costs to accomplish the improvement. • Fair share allocations would be voluntary in nature, agreed to by the future developers as part of a " mitigation" agreement or other instrument not specifically tied to the State' growths management or environmental protection laws. • Funds received by the City would be collected at the time of map recording and would be deposited in a reserve account dedicated to accomplishing the proposed improvements. • Land use and transportation policies would complement the proposed improvement design, ensuring that the design used for estimating costs would not become functionally obsolete because of increased traffic flows. The first step was figuring the proportion of future development in each TAZ conceivably linked to the trouble spot. To do this, the City used its desktop GIS program to calculate the total developable acres within each land use designation and to multiply that by each land use s designation' expected development density. Once that was complete, the City estimated the proportion of future development to existing development within each TAZ and the relative Table of Contents Grimes Page 8 distribution from each TAZ to the trouble spot. Without haggling over the number of trips generated by each individual project, this method assigned proportional responsibility between already established uses within the TAZ and those that have yet to materialize. When the City had reached this point, it needed to assign a proportion of the responsibility to fund the proposed improvements on areas within the TAZs and those outside the TAZ boundaries, mostly within already developed city limits. As a result, the City could assign relative responsibility for sharing the costs between the future developers and the City, presuming the City should bear responsibility for traffic generated by established land uses. The next element of the cost allocation model was the estimation of the project costs. The estimates were based on 1998 dollars and would be accelerated annually to ensure that developer contributions remained equitable over time. Finally, the prorated responsibility of each TAZ was multiplied by the project cost, resulting in an aggregate responsibility in dollars to be borne by each TAZ. Dividing that aggregated responsibility by the total anticipated future development within the TAZ provided an allocation per individual unit. Working It with the Numbers Step One - Determining levels of development in each TAZ: This step calculates the projected growth within each TAZ and then subtracts existing development from that total growth figure. It then expresses the extent of future growth as a percentage of total future development. TAZ 1 40 acres @ 4 du/ac = 160 units 80 acres @ 2 du/ac = 160 units 400 acres @ 1 du/ac =400 units Units now existing = (8 units) Growth projection 712 units Growth proportion (712/720) 99% TAZ 2 160 acres @ 2 du/ac =320 units 80 acres @ 1 du/ac = 80 units Units now existing = (18 units) Growth projection 388 units Growth proportion (382/400) 97% Step 2 - Determining existing and future development responsibility This step differentiates between what is a regional impact whose costs to remediate should be borne by a regional transportation authority and the local impact whose costs should be borne by a local authority, in this case the City of Okanogan. It then goes on to differentiate how that local share should be split between existing development and that growth expected in the future. The 80% and 20% figures for TAZ 1 and TAZ 2, respectively, represent their proportional Table of Contents Grimes Page 9 contributions to the trouble spot. In other words, 80% of all traffic originating from or traveling to TAZ 1 will pass through the trouble spot intersections. Overall responsibility (based on trip counts) Regional share = 25% Local share = 75% Current/future responsibility (based on levels of development) City (developed) share 50% Vacant share 50% Prorated impact by TAZ (percentage of " vacant" share) TAZ 1 80% TAZ 2 20% Step 3 - Project Costs This step includes the cost estimates for each of the three elements of this particular project. Part One - Consolidating curves $195,000 Part Two - Intersection realignment $216,000 Part Three - Street enhancement $158,000 Total Cost $569,000 Step 4 - Cost allocation This step brings it all together, allocating proportional costs for each TAZ, reducing that cost slightly to adjust for existing development within each TAZ, and then figuring the final cost for each new unit developed within each TAZ. Total project cost $569,000 Local share (75%) $426,750 Vacant share (50% of local) $213,375 TAZ 1 80% of vacant $170,700 99% for new growth $168,993 Unit share (712 du) $237/unit TAZ 2 20% of vacant $42,675 97% for new growth $41,395 Unit share (388 du) $107/unit Concluding Thoughts This model was developed to provide a simple method for calculating a voluntary contribution toward solving local transportation problems. It was designed to be employed by a City Clerk, Permit Official, Planner, City Engineer or other official whose responsibilities are vast and whose time is limited. It was designed to eliminate the need to run a complex and costly model each time a new development was proposed. It was designed to follow a direct course in determining Table of Contents Grimes Page 10 allocations to help developers understand its methodology and be more willing to voluntarily contribute to the cause. s This model' drawbacks are that it presumes build out will occur as described in the current comprehensive plan, though revising the allocation would be a relatively simple matter if those land use designations were to change over time. It also requires long-term accrual of developer contributions before any improvement is made, providing those funds are the only revenue source for the project. It also requires, if the local agency is committed to improve facilities concurrent with development, that the local agency leverage itself to get the job done regardless of the level of developer contributions to date. However, any level of contribution would help if the local agency is required to establish a match portion before project funds could be either lent or granted. The advantages are that it involves the development community in a voluntary program to fund a perpetual improvement reserve account. This frees it from the time limits imposed on the collection and expenditure of impact fees or mandatory mitigation payments. The model is easy to manage and, once run, is easy to use by any agency staffer for allocating individual unit contributions. Additionally, the concept has almost universal applicability to other infrastructure projects where a mix of established and future interests would be served by the improvement. Table of Contents Session #3 s Funding Large Projects in Ohio' Small and Medium Sized Metropolitan Planning Organizations Elizabeth B. Rushley Ohio Department of Transportation Office of Planning 1980 West Broad Street, 2nd Floor Columbus, Ohio 43223 (614) 644-1204 (614) 728-9358 ABSTRACT This abstract addresses how the state of Ohio assists the smaller MPO areas in funding larger transportation projects. The amount of funds and corresponding obligation ceiling available to an individual smaller MPO in a particular year make the funding of a large transportation project (>$1,000,000) virtually impossible. The intent of this paper is to describe the options the Ohio Department of Transportation and the Ohio MPOs employ in assisting the smaller areas in funding a larger project. These options would be useable by any other Department of Transportation or MPO. The Ohio Department of Transportation (ODOT) suballocates STP funds to all sixteen MPO areas. The allocation formula for an area with less than 200,000 population is based on a per capita amount derived from the distribution formula in TEA-21 for the over 200,000 MPOs. s ODOT also distributes obligation limits based upon the same percentage as the state' ceiling. In large MPO areas, the amount of funds available allow the agencies to fund a number of project in any given year. However, a smaller area receives an average of $435,000 each year and can commit roughly $400,000 to fund projects. ODOT and the MPOs have developed several options to assist these areas in funding larger transportation projects while allowing the Transportation Improvement Program to remain fiscally constrained. These options include State Infrastructure Bank loans, borrowing/using funds and obligation limits allocated to other MPO areas. Table of Contents Rushley Page 2 s Funding Large Projects in Ohio' Small and Medium Sized Metropolitan Planning Organizations Background With a 1990 census population of over 10.8 million, Ohio has twenty urbanized areas with a total population of approximately 6.7 million. These urbanized areas are served by sixteen Metropolitan Planning Organizations (MPOs). Eight of the MPOs have populations of over 200,000 population, and are classified as Transportation Management Areas (TMAs). Of these, three have populations between 1.5 and 2 million and the remainder have populations ranging between 300-700,000. Of the eight smaller MPOs, the largest has a population of 90,000. Five Ohio MPOs are multi-state and four of these are classified as small MPO areas. In accordance with state regulations, Ohio MPO boundaries must incorporate at least one entire county and as s applicable, whole townships in surrounding counties. Four of Ohio' MPOs serve one county, with the largest MPO serving seven counties in two states. The number of MPOs, and the varying population ranges pose a formidable challenge for transportation funding distribution within the state. Distribution of Funds to Ohio MPOs In 1991, Congress passed the Intermodal Surface Transportation Efficiency Act (ISTEA). The Act created several new transportation funding categories. One new category was the Surface Transportation Program (STP). The distribution formula for the newly designated STP funds specifically allocated these funds to MPOs with populations exceeding 200,000. The new transportation authorization legislation, the Transportation Equity Act for the 21st Century (TEA- 21), continues this funding category and the distribution formula. The Ohio Department of Transportation (ODOT) has chosen to allocate STP funds to its eight smaller MPOs, with populations under the ISTEA/TEA-21 threshold of 200,000, as well as, to cities with populations between 5,000 and 49,999. This additional allocation is based on a per capita amount derived from the previous distribution formula. The federal legislation establishes the fund allocation for each state. Subsequent legislation appropriates the funding amounts by fund type which the state may actually obligate or authorize. This obligation limit or ceiling is the maximum amount for each funding category which a state may use in any one year. This ceiling is usually expressed in terms of a percentage of the allocation. Beginning in Fiscal Year (FY) 1996, ODOT elected to hold the MPOs to the same obligation limits as had been established for the state as a whole. These obligation limits are based on the federal appropriation level for the State of Ohio for each federal fund type which the MPO s receives. For example, if the federal obligation limit for Ohio' federal funds is ninety percent of Table of Contents Rushley Page 3 allocations, then ODOT holds each MPO to ninety percent of the STP funds allocated to them. In s layman' terms, an MPO can only spend ninety percent of their annual allocation in any one year. If MPO-A is allocated $711,844 in STP funds, it can only actually obligate $640,660. STP funds may be carried over for a limited number of years, however, the obligation authority given by Congress is for one year. The obligation authority may not be carried over. The state may take advantage of whatever authority is left over late in the fiscal year to advance other transportation projects. Small Ohio MPOs Before reviewing the actual population and funding distributions for the eight small MPOs, it must be understood that the four (small) bi-state MPOs only receive STP funds from Ohio for the actual portion of the urbanized area population which resides in Ohio. Table 1 below shows the Ohio population range for the small Ohio MPOs is 6,840 to 89,943. Table 1 Ohio Small MPO Funding Distribution MPO 1990 1998 STP 1998 CMAQ 1998 Total 1998 Population Allocation Allocation Allocation Obligation Limit MPO1 33,791 $346,937 $346,937 $302,703 MPO2 68,621 $704,541 $704,541 $614,712 MPO3 76,521 $785,652 $785,652 $685,481 MPO4 54,063 $555,072 $489,157 $1,044,229 $911,090 MPO5 6,840 $70,227 $70,227 $61,273 MPO6 89,943 $910,172 $618,797 $1,528,969 $1,334,025 MPO7 38,855 $398,930 $398,930 $348,066 MPO8 25,255 $259,297 $259,297 $226,237 Based on the distribution formula the STP funding per year ranges from $70,000 to $900,000. Currently, a medium sized transportation project averages around $500,000, while a large project is generally over $1,000,000. Considering the average STP allocation for each small MPO is approximately $430,000 per fiscal year, this leaves a gap in the total funds needed for transportation projects. Each area sponsors different types of projects based on local needs and priorities. This varies from collector street resurfacing projects, to safety upgrades on the National Highway System (NHS), to regional ozone action programs. Some of these projects may be on state highways inside cities or villages, and by regulation the state is only responsible Table of Contents Rushley Page 4 for state highways outside of cities. While the MPOs may act as sponsors for transportation projects, they are not project implementors. Another complicating factor in funding projects for the small MPOs is the lapsing of funds. Under Title 23 of United States Code, federal funds not obligated within four years of allocation, revert to the U.S. Department of Transportation (USDOT). Large MPOs, generally expend a majority of their allocations each year. If some funds are carried over into the next fiscal year, the funds are obligated in that year. However, a small MPO may try to "save" several years worth of allocations for one project, and the four year lapse can pose another difficulty. The lapsing of funds has become less of a difficulty since ODOT began passing down the obligation limitations to the MPOs, since the obligation ceiling may not be carried over. Funding Small MPO Projects ODOT has recognized that the smaller MPOs have unique problems which demand creative and flexible funding scenarios. Several alternatives have been employed by the state of Ohio and the MPOs as transportation partners to bring project construction to reality. Some practices have been discontinued and other have evolved over time. The ability to fund projects varies with the size of the small MPO. MPO5 receives under $71,000 per year to spend in Ohio, while MPO7 receives over $900,000. Because of the wide range of available funds, and the high costs of some transportation projects, some MPOs have become creative in how they make use of their available funds. In the past ODOT allowed the smaller MPOs to advance projects outside of their obligation limits s by using some to the state' obligation authority. This practice was discontinued after several large projects required assistance in the same year. Each MPO had been promised that their project would be allowed to advance using state obligation authority. The state however, did not have control over when those projects would be ready for construction and the projects were not tracked well enough to foresee this difficulty prior to authorization. Innovative funding techniques were needed to avoid these problems in the future. Several examples follow which illustrate these innovative funding practices. Example 1 Situation: MPO3 had saved a total of $1,000,000 in STP allocations (over several years), to fund a large project. However, the total construction funding required by this project was $5,000,000. Solution: Under informal agreement with ODOT, the MPO sold the project in two phases (over two years) using the accumulated funds. The balance of the needed funds was loaned to the MPO from the state in order to authorize the entire project. The two phases of the project were sold in Table of Contents Rushley Page 5 Fiscal Years 1995 and 1996. The MPO is in the process of repaying the state for the advanced funds using subsequent annual STP allocations through FY 2002. In addition, the obligation authority associated with their allocation is made available to ODOT. In this scenario, TIP fiscal constraint must be viewed in the broader statewide context or multi-year MPO context. Example 2 Situation: MPO2 wanted to fund a project with total costs beyond its annual allocation and obligation ceiling. s Solution: The MPO borrowed funds from Ohio' State Infrastructure Bank (SIB). Ohio' SIB s s was initialized by the U. S. DOT as the nation' first pilot SIB. Using second generation funds from the SIB, the MPO borrowed the necessary funds through bonds issued by the SIB. The revenue stream (funds which would be available to repay the loan), required to qualify for the SIB loan, was the future STP allocations to MPO2. This option includes initializing costs and interest payments which raise the overall cost of the funds. In this case, local priorities placed on the project justified the additional costs. Example 3 Situation: MPO6 had already funded several projects early in the fiscal year when the plans for a regionally significant signalization project were ready for construction earlier than expected. Solution: The ODOT District within which the MPO is located, loaned them the necessary funds and obligation authority to advance the signalization project. The MPO did not have sufficient funds remaining to advance the project and the District had a vested interest in this project because it involved a state highway. In order to expedite this project, the District (informally) loaned the MPO funds from their pavement allocation program. The loan was repaid using the s MPO' next annual allocation. Example 4 Situation: MPO1 did not have a project scheduled within the year which could use the $300,000 in annual obligation authority, but they did have a larger $500,000 project in the early stages of development. At the same time, a large MPO was facing having to use most of its remaining s Minimum Allocation Funds by year' end to accommodate several projects. Solution: The two MPOs exchanged obligation authority, giving MPO1 sufficient obligation ceiling to authorize their project later and also allowed the large MPO to accommodate their projects but preserve some of their Minimum Allocation Funds for later use. Minimum Allocation Funds are not subject to the obligation limits. Table of Contents Rushley Page 6 Example 5 Situation: MPO4 had plans to obligate funds for a project which would use most of a prior year' s allocation and were subject to lapse. When allocated funds lapse, the MPO loses the funds entirely and forfeits the corresponding obligation authority. The project was scheduled for sale late in the fiscal year, but the project plans were delayed in begin completed and it appeared that the project would not be ready for sale before the close of the fiscal year. Solution: The MPO researched options to avoid loss of the funds that were subject to lapse. MPO4 loaned these funds, and the corresponding authority to another large Ohio MPO. The large MPO had several active construction projects with expensive change orders (amounting to approximately $1 million) but only $600,000 remaining in obligation authority. The two MPOs drew up an agreement between them outlining the process and schedule of repayment so that when, MPO4's delayed project was ready for sale early in the next fiscal year, the funds would be available to accommodate the project. Example 6 Situation: MPO6 had not resolved the fiscal constraint issue associated with funding several large projects in the necessary timeframe when developing its Transportation Improvement Program (TIP). Solution: The MPO applied for and received a SIB loan for the acquisition of right-of-way for one of the major projects in one year (totaling $2 million). The MPO was promised a second loan (approximately $8 million) in the following year to be used for the construction of that project and another major project. The revenue stream for these loans is again the MPO' STP s allocations for the next eight years. The SIB loan has allowed two critical local projects to advance within the allocation and obligation limits. CONCLUSION These are examples of how small Ohio MPOs have developed innovative solutions to funding larger projects within the fiscal constraints of annual allocations and obligation ceilings. At the same time the MPOs retained control over the decision making process. Each solution incorporated features which may be useful to other MPOs. These options may be combined with each other to create new options. The problems were unique and the solutions were tailored to each individual situation, but these examples have value in being reviewed by others. This paper is prepared with the intent to provide other MPOs with innovative concepts for more effective use of limited federal funds. It is anticipated that additional options will be developed as transportation funding is continually evolving. Table of Contents Session #3 THE GRASSROOTS PUBLIC/PRIVATE TOLL MOVEMENT - THE LAKE OF THE OZARKS COMMUNITY BRIDGE Scott M. Smith, Vice President, HNTB Corporation 1201 Walnut, Suite 700 Kansas City, Missouri 64106 Phone: (816) 472-1201 Fax: (816) 472-4062 E-Mail: email@example.com ABSTRACT s s, From the 1930' through the 1960' most of the toll-financed transportation facilities in the U.S. were large, statewide initiatives, such as the New Jersey, Massachusetts, and Kansas Turnpikes. When the toll movement was reborn in the form of innovative financing in the late 1980' ands s, early 1990' many of the proposed projects were mega-projects, such as the Orange County Tollroads and Denver' E-470. From the mid-1990' into the 21st century, a new type of toll s s project has emerged – the relatively small, regional project which integrates the strengths of private and public financing to meet community and regional transportation needs. The Lake of the Ozarks Community Bridge, in the State of Missouri, is a successful prototype of this new grassroots public/private toll project. Construction of the 2,695-foot (821 m), $18.2 million toll bridge began in March, 1996. Opened in May, 1998, the bridge connects the east and west sides of the Lake of the Ozarks, a popular recreation and resort attraction in central Missouri. The bridge is owned and operated by a private, not-for-profit corporation — the Lake of the Ozarks Community Bridge Corporation (LOCBC). The project was financed through the sale of $40.1 million in tax-exempt, toll revenue bonds by the LOCBC. s The LOCBC was Missouri' first transportation corporation, formed under the 1990 Missouri Transportation Corporation Act, which authorized the formation of non-profit corporations to develop and advance transportation projects. The bridge project is a joint effort of the LOCBC and the Missouri Department of Transportation, which funded and constructed the $5.5 million approach roadways to the bridge and provided technical assistance to the LOCBC for the bridge project. For these grassroots projects to be successful, they must address a public need, be driven by private-sector opportunity, be authorized by enabling legislation, represent a viable project concept, and be implemented through a public/private partnership. The Lake of the Ozarks Bridge project will be described through each of these factors, and lessons learned which apply to other project opportunities will be discussed. The author believes that, although such projects may not represent the leading edge of transportation privatization, these small to mid-size projects are more within the "institutional s, comfort zone" of state DOT' regulators, designers, contractors, and investors. Therefore, they Table of Contents Scott M. Smith Page 2 are more implementable and may offer more real opportunities to improve our transportation systems. Table of Contents Scott M. Smith Page 3 The Public/Private Toll Movement -- The Lake of the Ozarks Community Bridge From the 1930s through the 1960s, most of the toll-financed transportation facilities in the U.S. were large, statewide initiatives, such as the New Jersey, Massachusetts, and Kansas Turnpikes. When the toll movement was reborn in the form of innovative financing in the late 1980s and early 1990s, many of the proposed projects were mega-projects, such as the Orange County, California s Tollroads and Denver' E-470. In the mid-1990s, a new type of toll project has emerged -- the relatively small, regional project which integrates the strengths of private and public financing to meet community and regional transportation needs. The Lake of the Ozarks Community Bridge, in the state of Missouri, U.S.A., is a successful prototype of this new grassroots public/private toll project. It represents the innovation that will move toll projects well into the 21st century. PROJECT BACKGROUND The Lake of the Ozarks is a popular recreation and resort area in the central portion of Missouri. The lake was formed by the construction of Bagnell Dam for power generation, from 1929 through 1932, by the Union Electric utility company, headquartered in St. Louis, Missouri. In addition to its function of power generation, the Lake of the Ozarks became a major regional recreation and tourism attraction. For over 50 years, the lake has drawn visitors, primarily from Missouri, Illinois, Iowa, Kansas, and other midwestern states, for boating, fishing, and golf. Over the last few decades, the lake has become a popular retirement area for midwesterners, as well. Although the lake has provided significant economic opportunity for central Missouri, it also has been a barrier to travel. Compared to the other major lakes in Missouri, the Lake of the Ozarks has significantly fewer bridges crossing it. Table 1 shows that the Lake of the Ozarks has far fewer bridges per mile of shoreline than the other major Missouri lakes. As a result, highway routes around the lake are circuitous. Routes from the east side to the west side of the lake average about 30 miles around the south and about 54 miles around the north. During the busy summer tourist season, traffic on portions of these routes is often stop-and-go, resulting in lengthy travel times and frustrating delays. Due to the inconvenient travel from one side of the lake to the other, the lake area has developed into what is often viewed as two, separate tourist areas -- the "St. Louis side" on the east and the "Kansas City side" on the west. There is less economic and social interaction between the two sides of the lake than one would expect based on their proximity. Area business leaders feel that this has impeded the realization of the full economic potential of the Lake of the Ozarks. Table of Contents Scott M. Smith Page 4 Table 1 - Bridges Over Major Missouri Lakes Lake Miles Of Shoreline Bridges Ratio (Shoreline-To-Bridges) Stockton 298 9 33 Bull Shoals 740 16 46 Table Rock 745 8 93 Truman 958 17 56 Lake of the Ozarks 1150 4 288 KEYS TO SUCCESS OF PUBLIC/PRIVATE PARTNERSHIPS IN TRANSPORTATION The Lake of the Ozarks Community Bridge (LOCB), which opened May 1, 1998, will help overcome these problems. The project is a public/private partnership of a private, not-for-profit corporation — the Lake of the Ozarks Community Bridge Corporation (LOCBC) and the Missouri Department of Transportation (MoDOT). This relatively small, regional project, which integrates the strengths of private and public financing tools and meets community and regional transportation needs, can be viewed as a successful prototype of a new era of grassroots public/private toll projects. For these grassroots projects to be successful, they must: • address a public need, • be driven by private-sector opportunity, • be authorized by enabling legislation, • represent a viable project concept, and • be implemented through a public/private partnership. The LOCB project, which has each of these key ingredients, provides several lessons applicable to other public/private project opportunities. Public Need Figure 1 – Project Area Map For 30 years, residents and business leaders at the Bridge Site Lake of the Ozarks pushed for a bridge across the main channel of the lake. The LOCB provides a 10- mile route from the east side to the west side of the lake, in contrast to the 30- to 50-mile existing routes (Figure 1). The bridge provides a much-needed transportation system linkage, improving route continuity and reducing out-of-direction travel. Traffic models estimate that in its first year of service, the LOCB will save motorists over six million vehicle-miles of travel (VMT) in the lake area. This new link in the Table of Contents Scott M. Smith Page 5 highway network will improve overall transportation system efficiency. It is estimated that the bridge will result in over $60 million in highway user costs over the next 20 years. (This estimate includes only vehicle operating costs and delay savings and does not include the significant reduction in accident costs which is anticipated due to the reduction in VMT.) One of the major problems resulting from the circuitous nature of the lake area highway system is the long response time for emergency services such as law enforcement, fire protection, and emergency medical services. There have been many cases in which the lengthy response times for these services have had tragic results. The bridge will improve public safety by reducing the access times for these services. The LOCB will facilitate economic development of the lake area by increasing the economic and social interaction of all parts of the region. The isolated pockets of economic development around the lake will be combined into a three-county, lake area economy. It is believed that this will have a synergistic effect on local economies -- creating greater economic opportunity and activity for the region as a whole than for the sum of its current parts. For these and other reasons, the LOCB clearly meets a public need in the Lake of the Ozarks region. Private-Sector Opportunity Although the Lake of the Ozarks area has enjoyed significant land development over the last half- century, there is still vast development potential in the region. Among the least developed areas is Shawnee Bend. The eastern end of Shawnee Bend includes approximately 3,000 acres of undeveloped land. Most of this undeveloped land is owned by one company -- the owners of the Lodge of the Four Seasons -- one of the major resorts at the Lake of the Ozarks. The owners of the Lodge of the Four Seasons long have recognized that improving the access to Shawnee Bend, particularly from the east side of the lake, would greatly improve the development potential of this holding. A master plan has been prepared to guide the development of Shawnee Bend. This master plan gives a quantitative indication of the magnitude of the private sector opportunity which the LOCBC will open up. The master plan includes, in part: • 6,000 residential units • Several golf courses • Retail village and other commercial facilities • Marina • 700+ acres of open space of the Ozarks environment The master plan continues to evolve over time as market conditions vary. Because of this private sector opportunity, the landowners have been the prime movers of the bridge project from its inception. They provided the initiative and tenacity to overcome uncertainties and difficult bottlenecks during the development of the project. Business leaders Table of Contents Scott M. Smith Page 6 supported and actively lobbied for passage of the authorizing legislation. The owners of Shawnee Bend funded the application for and formation of the private, not-for-profit implementing corporation. They also guaranteed a portion of the costs of performing the preliminary and final feasibility studies for the bridge project and of final design and plans. Finally, Four Seasons Lakesites has contributed approximately 90 percent of the land required for right-of-way for the bridge and its approach roadways. Enabling Legislation In 1990, the Missouri legislature passed the Missouri Transportation Corporation Act. The preamble of the act states: "The . . . traffic congestion and limited roadways, . . . And the limited availability of state funds, require as a public purpose the promotion and development of public transportation facilities . . by new and alternative means." The act provides for the formation of private, not-for-profit "transportation corporations" to fund, promote, plan, design, construct, maintain, and operate eligible transportation projects. Each transportation corporation must be authorized by the Missouri Highway and Transportation Commission (MHTC) -- the governing body of MoDOT. The projects advanced by transportation corporations must serve a public purpose. The LOCBC, the first transportation corporation in Missouri, was formed in May, 1992, following the required application, hearing, and reviews. The application and review process was accomplished through the volunteer efforts of local supporters, with out-of-pocket expenses borne by the previously mentioned landowners. In November, 1992, the foundation of the public/private partnership was laid when the LOCBC and MHTC entered into a feasibility study agreement. Each partner agreed to pay half of the cost of the comprehensive feasibility study; this study would be needed to advance the project to the financing stage. Viable Project Concept In December, 1992, the LOCBC selected HNTB Corporation to conduct the comprehensive feasibility study for the project. HNTB subcontracted the traffic and revenue studies to Wilbur Smith Associates. The engineering and environmental studies by HNTB included location alternatives analyses, roadway and bridge engineering studies, an environmental assessment, cost estimates, financing alternatives, and implementation planning. The bridge design consists of 11 constant-depth, welded steel plate girder spans, each 245 feet long, for a total bridge length of 2,695 feet. The substructure of the bridge consists of large-diameter (8-foot) drilled shafts socketed into bedrock. The piers vary in height from 75 feet to 235 feet from the bottom of the lake. Approximately 3.6 miles of approach roadways connect the bridge to the state highway system. The traffic and economic studies by Wilbur Smith Associates included corridor growth studies, Table of Contents Scott M. Smith Page 7 analyses of existing and projected traffic and travel characteristics, origin-destination surveys, and estimates of bridge traffic and toll revenue. The traffic and revenue estimates are summarized in Table 2. Table 2 - Summary of Traffic and Toll Revenue Estimates Opening Year Design Year 1998 2018 Average Daily Traffic Summer 3,100 13,500 Winter 1,900 9,200 Annual Toll Revenue $ 1.59 million $ 8.85 million The traffic volume forecasts indicated that a two-lane bridge will provide sufficient capacity for the initial years' operation, but that a four-lane bridge will be needed sometime in the second decade of bridge operations. Figure 2 – "Two-on-Four" Bridge Section The draft feasibility study report was published in August, 1993. The feasibility analysis indicated that toll revenues would be sufficient to finance the construction of a two-lane bridge and approach roadway. However, since a four- lane facility would be needed to handle 20-year volumes, both the LOCBC and MoDOT believed that it was important to provide for the ultimate four-lane structure, to be constructed when traffic volumes demanded and toll revenues permitted. The report recommended a staged implementation of the bridge to match the capital cost requirements with the toll revenue potential. The initial bridge would be a "two- on-four" structure with a two-lane deck constructed on a four-lane substructure (Figure 2). Likewise, the approach roadways would be constructed initially as two lanes on a four-lane right-of-way. The financing analysis indicated that a "two-on-four" concept would not be feasible as a strictly private project. The concept would be feasible as a public/private partnership under either of two approaches. In the first approach, the state would contribute approximately $10 million, to be combined with revenue bond financing for a single, bridge/approach roadway project. In the second approach, the state would construct the approach roadways as a separate project, at a cost Table of Contents Scott M. Smith Page 8 of approximately $10 million, leaving the LOCBC to finance and construct only the bridge and toll plaza as a revenue bond project. Public/Private Partnership The Missouri Transportation Corporation Act gives transportation corporations broad authority to contract with public and private entities for a number of purposes. Therefore, the feasibility study explored a number of project delivery options for the LOCB. Among the options considered were: • Private project developer -- Build-Transfer-Operate or Build-Operate-Transfer • Design/build • Conventional design/construction bid It was concluded that the LOCBC could achieve the most economical project implementation under a conventional design/construction bid delivery option. Since this was the first private project in the state of Missouri under this act, project developers or contractors might have demand a premium to assume a higher-than-normal implementation risk in a first-time institutional environment. Therefore, the bridge project was bid conventionally in a manner as similar as possible to MoDOT projects. Once the feasibility study findings were presented to the LOCBC and the MHTC, the public/private partnership evolved further. Two separate projects were established (Figure 6) -- a toll-financed bridge/toll plaza project by the LOCBC (the "Corporation project") and a state highway-funded approach roadway project by MHTC, with a maximum contribution by the state of $10 million (the "Commission project"). Each project was to be advertised for conventional competitive construction bids. Cost estimates for the two projects are summarized in Table 3. Table 3 - Cost Estimate Summary Corporation Project Commission Project Total Construction $ 21.7 million $ 6.9 million $ 28.6 million Right-of-Way $ 0.7 million $ 0.5 million $ 1.2 million --------------- --------------- --------------- Total $ 22.4 million $ 7.4 million $ 29.8 million To provide the necessary close coordination between the two separate projects, with two separate owners, the projects were bid as a required combination. Contractors had to bid on both projects; the low bid would be the low sum of the two project bids; and both projects would be awarded to the lowest responsive bidder. In addition, other tools were used, including coordinated liquidated damages in both project contracts -- both projects must be completed by a certain date to avoid the assessment of liquidated damages. The public/private partnership was formalized in a Cooperative Agreement between the LOCBC Table of Contents Scott M. Smith Page 9 and MHTC. MODOT agreed to provide right-of-way acquisition services, such as appraisals and negotiations, with its right-of-way staff for not only the Commission project but also for the Corporation project. The LOCBC reimbursed MODOT for the cost of these services attributable to the Corporation project. The LOCBC would be responsible for toll collection and operations and maintenance of the toll plaza. MODOT agreed to provide roadway and bridge maintenance with its forces for the Corporation project, with the cost of these services reimbursed by the LOCBC. PROJECT IMPLEMENTATION Throughout the feasibility study phase of the project, a number of optional financing plans and funding sources were being considered. Federal-aid highway funds from the Intermodal Surface Transportation Efficiency Act (ISTEA) were one potential funding source. Therefore, the project team decided to meet all federal project development and environmental clearance requirements so that the project would remain eligible for federal funding. The following clearances and permits were obtained for the project, in full conformance with state and federal laws and regulations: •Environmental Assessment (EA)/Finding of No Significant Impact (FONSI) •U.S. Coast Guard - Rivers and Harbors Act - Section 9 Permit •U.S. Army Corps of Engineers - Clean Water Act - Section 404 Permit •Federal Energy Regulatory Commission (FERC) Permit Construction Contracting The two projects were advertised for construction bids by MODOT in November, 1995. Consistent with the project delivery strategy, the invitations for bids were virtually identical to standard MODOT bid packages, with the exception of the liquidated damages mentioned earlier and some specific insurance provisions for the Corporation project. Five bids were received -- bids for the Corporation project ranged from $18.2 million to $21.7 million; bids for the Commission project ranged from $5.5 million to $6.2 million; and the total bids ranged from $23.7 million to $28.0 million. The successful bidder was Edward Kraemer & Sons, Inc., of s Plain, Wisconsin. The low bid was 11.6 percent below the engineer' estimate. Project Financing In late 1993, the LOCBC selected Smith Barney Inc., as the project underwriter, to develop a structure for the financing based on the issuance of uninsured, unrated toll revenue bonds. The s basic marketing strategy focused on institutional investors. Smith Barney' experience with this investor group on similar projects guided the development of the financing structure, with reserve and contingency funds serving as safety nets in those areas of known investor concern. Substantial construction contingency funds and debt service reserve funds were structured to reduce investor concerns about the start-up nature of the project and the non-recourse financing. Once a firm construction bid price was received, the financing plan was finalized. The bond Table of Contents Scott M. Smith Page 10 pricing occurred in mid-January, 1996. The size of the bond issue was $40.085 million, and the net interest cost was 6.59 percent. This rate was only about 110 basis points above what insured, rated Missouri municipal bonds were priced at the same time. The bond issue was oversubscribed by more than 100%, with offers to purchase the bonds totaling more than $100 million. Smith Barney allocated the bonds to 11 investors. The bond sale was closed on February 7, 1996. In response to favorable market conditions, the LOCBC refinanced its bonds in February, 1998. The new bonds were issued at a net interest cost of 5.41 percent. Construction With project financing in-hand, the LOCBC awarded construction contracts in mid-February, 1996. Construction began in March, 1996 and was substantially completed by May 1, 1998. The project was completed on time and within budget. Operations and Maintenance s From early on, the LOCBC' operational philosophy was to minimize the number of staff on the Corporation. An Executive Director (part-time) and a secretary are the only employees of the Corporation. Toll collection and toll plaza maintenance have been contracted to a private contractor – All-Tech, Inc. The toll operations contract is a five-year contract with payment on a cost plus fixed fee basis. Bridge and roadway maintenance are provided by MoDOT, reimbursed by the LOCBC. STATUS OF THE PROJECT A ribbon-cutting ceremony was held on May 1, 1998, and the bridge opened for revenue service on May 2, 1998. Traffic and Toll Revenue Toll Revenue Performance The monthly toll revenues to date are shown in Figure 300 3 along with the budget projections for each month. 250 For the first four months, toll revenues have exceeded 200 $K 150 the projections by about 75 percent. The winter, off- 100 Projected season travel patterns have not yet occurred with the 50 Actual 0 bridge in operation. Therefore, it is too early to assess June July May August the long-term, year-round traffic and toll revenue outlook. 1998 Table of Contents Scott M. Smith Page 11 Economic and Development Impacts It is too early to assess the long-term economic development impacts of the LOCB as well. Land sales on Shawnee Bend and adjacent areas have been brisk since construction of the bridge began, and housing starts are up. In its 2nd Quarter, 1998, U. S. Housing Market Conditions, the U.S. Department of Housing and Urban Development reported, "The area is currently experiencing an economic surge related to the recent opening of the Lake Community Bridge… " "With the new accessibility of these properties to services and the general attractiveness of the Lake of the Ozarks, strong growth is likely to continue." CONCLUSIONS AND LESSONS LEARNED The model of public/private partnership established for the Lake of the Ozarks Community Bridge was quite successful. The partnership resulted in the implementation of a project which had gone unbuilt for 30 years. In addition, the public/private team developed the LOCB project on a very fast track. The period from the formation of the Corporation until the ribbon-cutting opening the bridge for service was only six years! Similar public sector projects could easily take from ten to fifteen years. Projects like the LOCB may not represent the leading edge of transportation privatization. However, these small to mid-size projects are more within the "institutional comfort zone" of s, state DOT' regulators, designers, contractors, and investors. • Public/private projects need the foundation of specific authorizing legislation. It is not enough to have just permissive legislation. Investors, business leaders, and public officials need the legal umbrella of specific authorizing legislation to provide a level of comfort in supporting, approving, and investing in a project. • Small- to medium-size projects do not have overwhelming capital requirements and, therefore, simply are not as onerous to investors as mega-projects. • Effective public/private models allocate to the private and public sectors the things which these sectors do best. For the LOCB, the MODOT undertook tasks such as right-of-way acquisition, bid letting, and bridge maintenance, functions in which it has long-standing experience and excellent staff capabilities. The LOCBC and its project team took the lead in upfront project development support, fast-track planning and design, and knowledgeable securities marketing -- tasks which benefited from private sector participation. • The LOCB project benefited from establishing a credible project team with extensive experience in innovative transportation projects. Well-qualified firms were retained for all aspects of the project, including traffic and revenue studies, feasibility studies, design, financial underwriting, bond counsel, and corporate counsel. For a first-of-a-kind project in Missouri, no one knew in advance exactly how the project development, financing, and implementation Table of Contents Scott M. Smith Page 12 would fall into place. However, the experienced team helped create innovative, credible solutions when roadblocks were encountered. • Using familiar construction documents and bid procedures resulted in obtaining very competitive construction bids. A number of contractors indicated after the bid that they were somewhat uncertain about bidding on a project for a private, not-for-profit client but that the familiar nature and appearance of the plans and bid documents improved their confidence in the project and reduced their bid prices. The contractors were not asked to assume unreasonable risks and, therefore, did not need to bid premium prices to cover such risks. Grassroots, public/private projects like the Lake of the Ozarks Community Bridge can stay within this "institutional comfort zone." There are many transportation projects which are suitable for this implementation model. Therefore, these projects are more implementable than private mega- projects and, in the long-run, may offer more real opportunities to improve our transportation systems. Table of Contents SESSION 4 - PRACTICAL MODELING METHODS Moderator: Bob Alguire University of Arkansas Panelists: Brian A. Roper, St. Cloud Planning Organization, Minnesota, and Deanna M. Keltner, BRW William W. Mann and Mazen Dawoud, Virginia Department of Transportation Shuming Yan, Washington Department of Transportation Jerry Faris, Transportation Support Group, Florida, and Dane Ismart, Louis Berger & Associates, Florida Table of Contents Session # 4 - Practical Modeling Methods USER BENEFITS OF RAILROAD GRADE SEPARATION IN A SMALL COMMUNITY: PRACTICAL TECHNIQUES FOR APPLYING MICROBENCOST Brian A. Roper, P.E. Deanna M. Keltner (Presenter) Traffic Engineer Transportation Planner St. Cloud Area Planning Organization BRW, Inc. 1040 County Road 4 700 Third Street South St. Cloud, MN 56303 Minneapolis, MN 55415 Phone: 320-252-7568 Phone: 612-373-6805 Fax: 320-252-6557 Fax: 612-370-1378 E-mail: firstname.lastname@example.com E-mail: email@example.com ABSTRACT As transportation system elements of this country continue to evolve, issues that may have seemed foregone to a prior generation have crystallized into topics requiring substantive review. Witness, for example, the growth in both freight railroad and vehicular traffic throughout the United States over the past 15 years. The product of their interaction at grade crossings is a mixture of congestion and safety concerns. The challenge for today's transportation professionals is how to monetize these concerns when reviewing project-specific issues. One tool for assessing economic impacts during the project development process is benefit-cost analysis. This paper presents a framework for estimating roadway user benefits and costs associated with railroad grade separation in a small community by applying the software and methodology of MicroBENCOST. In addition, a specific application of this approach in the St. Cloud, Minnesota metropolitan area (population 100,000) has been included. MicroBENCOST was released by the Texas Transportation Institute in 1993 to conduct benefit-cost analysis for highway improvements. A brief discussion of the software's current release and status has been included. Like most computer software, MicroBENCOST provides the user with a number of default values. This paper identifies defaults and other data that require the use of project-specific inputs. It also discusses practical techniques to focus productive, yet low cost, data collection prior to analysis. Of greatest importance when considering railroad grade crossing issues are railroad operation values such as train distribution, length, and speed. A methodology for collecting and summarizing this data is described in order to assist others with this task. Once the necessary data has been collected, MicroBENCOST can be used to develop an input file and test a variety of alternatives. To demonstrate application of this framework, a case study involving a potential grade separation is described. Since there was some uncertainty associated with the forecasted data, a sensitivity analysis was conducted. Tips and traps associated with the use of this software are also presented. Table of Contents Roper and Keltner Page 2 USER BENEFITS OF RAILROAD GRADE SEPARATION IN A SMALL COMMUNITY: PRACTICAL TECHNIQUES FOR APPLYING MICROBENCOST INTRODUCTION As transportation system elements of this country continue to evolve, issues that may have seemed foregone to a prior generation have crystallized into topics requiring substantive review. Witness, for example, the growth in both freight railroad and vehicular traffic throughout the United States over the past 15 years. The product of their interaction at grade crossings is a mixture of congestion and safety concerns. The challenge for today's transportation professionals is how to monetize these concerns when reviewing project-specific issues. One tool for assessing economic impacts during the project development process is benefit-cost analysis. This paper presents a framework for estimating roadway user benefits and costs associated with railroad grade separation in a small community by applying the software and methodology of MicroBENCOST. In addition, a specific application of this approach in the St. Cloud, Minnesota metropolitan area (population 100,000) has been included. RECENT PRACTICE Other than MicroBENCOST, few methods have been available over the past 15 years to quantify user benefits and costs associated with converting a railroad-highway grade crossing to a grade separation. To provide a perspective on recent practice, this section identifies the strengths and weaknesses of these approaches. Guidebook for Planning to Alleviate Urban Railroad Problems - 1974 This joint FHWA/FRA document outlines analytical processes to support the evaluation of railroad relocation activities. Using a number of nomographs and linked worksheets, construction and highway user benefits and costs are calculated in a manner which could also be applied to grade separation analyses. This method's ease of use led to its wide-spread acceptance during the 1970s and 1980s. But, advances in research and updating Consumer Price and Producer Price Indices from 25 years ago can introduce unintended consequences into the results. Manual on User Benefit Analysis of Highway and Bus-Transit Improvements - 1977 Although not identified explicitly, this AASHTO document contains the data, figures, and methodology for estimating benefits and costs of grade separation. Construction and maintenance costs, motor vehicle costs, accident costs, and the value of travel time can all be taken into account. Unfortunately, the quantity of hand calculations necessary to accurately apply this methodology has hampered its use for problems of this nature. The caveats noted from the 1974 FHWA/FRA report are applicable to this one as well. Table of Contents Roper and Keltner Page 3 Railroad-Highway Grade Crossing Handbook - 1986 This FHWA document describes an economic framework for evaluating improvements to railroad- highway grade crossings. Similar to the AASHTO document, all anticipated costs and values are referenced. No guidance is provided for actually calculating the benefits and the costs. Thus, it is not possible to apply this document directly. Evaluating Grade-Separated Rail & Highway Crossing Alternatives - 1987 This NCHRP report provides a framework and procedures for determining whether or not grade separated structures should be replaced. In 1995, AASHTO's Standing Committee on Railways cited this approach as an appropriate way to address grade separation issues. The decision-making framework encompasses three levels of analyses to perform on project alternatives. Using diurnal traffic distribution and detailed train information, all relevant benefits and costs can be determined. Caution must be exercised in using the formulas, since a few of the defaults should be revised using field data. Roadway Vehicle Delay Costs at Rail-Highway Grade Crossings - 1990 In Transportation Research Record 1262, a methodology is explained for computing the length and cost of delays at railroad-highway grade crossings. Since the intent of the application was to perform a broad assessment of over 1000 crossings, many simplifying assumptions based on data collected early in the study were applied to railroad and roadway traffic characteristics. The computation of user costs is based on a procedure developed by FHWA in 1980. Although this approach should not be used as the basis for decision-making, it is an appropriate screening tool in homogeneous rail corridors. RAILDEC: Public Rail Investment Decision Support Software - 1996 The Federal Railroad Administration (FRA) developed this software for intermodal investment decision support for rail and rail-related investments, including grade separations. RAILDEC incorporated a risk analysis framework to account for uncertainty in model inputs. In addition, the underlying methodology is consistent with the current benefit-cost methodologies employed by USDOT agencies. This project level model contains an extensive default database that can be replaced with more project specific or localized data. Although this approach may be too complex to be used as a screening tool in rail corridors, it is an appropriate basis for decision-making in project level analysis. Development of Evaluation Tools for Road-Rail Crossing Consideration for Grade Separation - 1997 In Transportation Research Record 1605, simplified tools for evaluating the economic losses caused by at-grade crossings are presented. If the product of daily vehicle traffic and the number of hours per day when the crossing is closed for road traffic is over 13,000, then the crossing is a candidate for grade separation. Since the intent of the application was to perform a broad assessment of over 200 crossings in Israel, a sample was used to develop a multiple linear regression formula for approximating Table of Contents Roper and Keltner Page 4 vehicle delay costs (in Israeli currency). Since the potential user is unable to revise the value of travel time (which is not disclosed), its usefulness for sketch planning in the U.S. is limited. GETTING TO KNOW MicroBENCOST MicroBENCOST was developed by the Texas Transportation Institute (TTI) in 1993 for the National Cooperative Highway Research Program (NCHRP) to conduct benefit-cost analysis for highway improvements. This section provides an introduction to the overall methodology and how it is applied to railroad grade crossings. Basics MicroBENCOST is a computer program for conducting highway user benefit-cost analysis on a personal computer. The objective of benefit-cost analysis is to put all of the direct effects of a transportation improvement into dollar terms so the effects can be compared using a common measure. Benefit-cost analysis looks at the benefits generated by a project and compares them to the cost incurred over a certain analysis period. A project is considered economically feasible if the benefits are greater than the costs. MicroBENCOST calculates user benefits and costs of an improvement and outputs several economic measures that can be used by decision makers in their planning decisions. It can also allocate corridor traffic and calculate forecasted traffic volumes. The focus of the analysis is directed at the project level and its immediate area impacts rather than at the highway system level. There are seven project types that MicroBENCOST can analyze: (1) added-capacity; (2) bypass; (3) intersection/interchange; (4) pavement rehabilitation; (5) bridge; (6) safety; and (7) highway-railroad grade crossing. The program compares the motorist (user) costs in the existing situation to the user costs if the improvement is completed. User costs include measures that are easily monetized: the time cost of delay, vehicle operating costs and accident costs. Three economic measures are generated to judge the desirability of a project: the benefit-cost ratio, the net present value, and the internal rate of return. MicroBENCOST also provides the change in fuel consumption and carbon monoxide emissions generated by the improvement. Environmental effects such as these are not easily monetized and are therefore not included in the quantitative economic measures. Railroad Grade Crossing Module A project in the highway-railroad grade crossing category is an upgrade to a higher control. There are seven items related to railroad grade crossing that the user can enter and edit. (1) The type of train warning device: crossbuck, flashing lights, and automatic gates. (2) The number of trains at the crossing per day. (3) The percent reduction in speed of a vehicle crossing the tracks when the crossing is open and traffic can cross without interruption. (4) The time, in seconds, to lower and raise gates while the crossing is occupied. (5) The average train speed, in mph, when occupying the crossing. (6) The average train length, in feet, of the trains occupying the crossing. (7) The train distribution, i.e. the percent of trains during each of the 24 hours. Table of Contents Roper and Keltner Page 5 The delay at railroad grade crossings is comprised of three components. A simple queuing model is used to calculate the delay of the train occupying the crossing and the delay of opening and closing the warning gates. In addition, a formula is used to calculate the delay of slowing down to cross the railroad tracks. The User's Manual provides guidance on speed reduction, based on the roughness and grade of the crossing. Current Status In July 1998, the updated manual for the next version of MicroBENCOST was submitted to the NCHRP. A demonstration of the new software to the NCHRP review committee is scheduled for the fall. According to TTI, the railroad grade crossing module is improved in the new version providing more choices to the user. MicroBENCOST DATA NEEDS A MicroBENCOST problem data set consists of certain data input by the user and certain data provided by default. As the user enters project specific data, the program automatically pulls in default data. This section describes several of the project specific data needs of MicroBENCOST as well as practical techniques to focus productive, yet low cost, data collection prior to analysis. Project Specific Data At the beginning of any improvement project, there is one fundamental question to be answered: What is in place and what should replace it? To use MicroBENCOST, an answer to this question (but not necessarily the final one) must be in place. The following subsections describe how the answer is woven into the application of the software. Initial Assumptions The first items required by MicroBENCOST are the initial assumptions about the project. The user must input the following project specific items: current year; area type, either urban or rural; project type, choosing one of seven stated earlier; presence or absence of an alternate route switch; discount rate; analysis period in number of years; and year when the improvement will be completed. Construction Costs MicroBENCOST has default values by area type and project type to distribute construction costs across the following six different components: preliminary engineering; right-of-way; major structures; grading and drainage; sub-base and base; and surface. By default, the program assumes that all of these components will be completed in one year. If the user knows the costs of the construction components and the year they will be completed, these values should be updated. For this project, two categories were added for the grade separation alternatives: the temporary railroad structure (shoo fly) and the replacement railroad work. The other construction cost components and the completion years were also updated to be project specific. Table of Contents Roper and Keltner Page 6 Route Segment Data Project specific inputs are also required for the route segments (for both existing and proposed). The user must input the following: access control, either full, partial or none; segment length in miles; type and number of intersection/interchange/structure, choosing from 11 types; number of lanes in the inbound and outbound directions; and whether to edit data by roadbed or direction. For this study, data was edited by "roadbed = bi-directional". Geometric data is required for every route segment including the lane width in feet, shoulder width or lateral clearance in feet, percent grade, and degree curvature. Defaults are provided for lane width and shoulder with, but project specific data for these items are easily obtained and should be utilized. Traffic operation data required includes: additional local AADT; design speed; speed limit; and capacity per lane per hour. Defaults are provided for design speed, speed limit and capacity, but project specific data for these items are easily obtained and should be utilized. Default values are provided for the average running speed of the segment given the hourly demand/capacity ratio. The user is advised to check this data. During this study, the program produced a top average running speed of 60 miles per hour despite a speed limit of 35 miles per hour. For bridge segments, the user must enter the following: type of bridge structure; whether traffic can be diverted around the bridge; bridge deck width in feet; whether the approach width is greater than the bridge width; and the bridge length in feet. In addition, for bridge segments, the user has the option to enter bridge rehabilitation costs, otherwise, the defaults are zero. For this study, a rough cost estimate for keeping the bridge open for the duration analysis period was entered. Roadway User Data Reduced delay, reduction in accidents, and vehicle operating cost savings are three major benefits associated with roadway improvements. A method for updating the MicroBENCOST default values of travel time, vehicle operating costs, and accident costs to current dollars is presented. Value of Travel Time The MicroBENCOST default values of time for passenger cars are from a 1986 TTI study and updated to 1990 dollars using the Consumer Price Index (CPI). The Final Report recommends using about 80 percent of the wage rate as the value of time for all adult drivers and passengers of the state (or other geographic area) that is being considered if the user wants to develop their own values based on income levels. The default values of time were updated to current dollars using the CPI. Travel time savings for trucks represent savings in market costs for transporting commodities. The default values of time for trucks are from a 1975 TTI study (which updated values from an earlier study) and updated to 1990 dollars using the Producer Price Index (PPI). In turn, the values were updated to current dollars using the PPI. Table of Contents Roper and Keltner Page 7 Vehicle Operating Costs MicroBENCOST has default values for five cost components in operating a vehicle including: fuel consumption, oil consumption, tire wear, vehicle depreciation, and maintenance and repair. The default values are from a 1982 study and updated to 1990 dollars using appropriate price indexes. The MicroBENCOST default vehicle operating costs were updated to current dollars using the CPI for transportation. Accident Costs MicroBENCOST calculates accident costs separately for highway segments, intersections and interchanges, bridges, and railroad grade crossings. The default values are from a 1986 study based on a willingness to pay approach and updated to 1990 using the CPI. The MicroBENCOST default accident costs were updated to current dollars using the CPI. Roadway Traffic Data Collection The use of project-specific traffic information where possible lends additional credibility to the outcome of the analysis. The collection of existing traffic data and development of forecasted traffic volumes is not particularly complex, but does merit a brief discussion. Traffic Volumes Three forecast methods are available in MicroBENCOST to input or generate traffic volumes over the analysis period. The user may input volumes for each year, or use the program to generate traffic volumes with either the annual growth rate method or the intermediate and forecast volumes method. In the annual growth method, traffic volume for the base year and the annual growth rate are used to calculate future traffic volume over the analysis period. For the intermediate and forecast volumes method, the volumes for the base year, intermediate year and forecast year are used to fit a curve between those points for each year over the analysis period. For this study, traffic volumes were forecasted by factoring the results of the MPO's travel demand model. An annual growth rate was then chosen to produce these volumes within MicroBENCOST. Traffic Distribution MicroBENCOST provides two methods to distribute AADT: the first is by hours of the day, the second is by hours of the year. Default distributions are provided for both methods, but they can be changed by the user. Project specific traffic distributions by hours of the day were collected during a 48-hour traffic count. Types of Vehicles MicroBENCOST provides default percent distributions for vehicle types typically found on highways from the Highway Performance Monitoring System (HPMS). Project specific percent distributions can be obtained through a volume by vehicle type report, though passenger cars are all counted as one Table of Contents Roper and Keltner Page 8 type. Default values for the percentage of trucks were derived from FHWA's document Highway Statistics. For this study, a project specific value for the percentage of trucks was obtained during the 48-hour traffic count. Railroad Data Of greatest importance when considering railroad grade crossing issues are railroad operation values such as train distribution, length, and speed. A methodology for collecting and summarizing this data is described to assist others with this task. MicroBENCOST requires as user input the average train length and average train speed. In addition, a uniform train distribution is the default for the percent of trains crossing during each of the 24 hours. A uniform distribution does not reflect the typical weekday operations of trains. Also, the daily train distribution combined with average speed and length does not capture the delay caused by trains crossing. Therefore, for this study, project-specific railroad operations data was collected and summarized. The BNSF railroad pulled data from HPX recorder modules over a two-week period. Train direction, date and time, train speed, warning time, and total time of crossing occupation were collected. To be consistent with roadway traffic, only movements from noon Monday to noon Friday were used in further data analysis. Distributions of train speed, length, and closure time were developed to determine median and mean values. To review how closely they correlated, the hourly distribution of trains was compared to the hourly distribution of crossing occupation time. Although the values were similar, it was determined that just using trains alone was not enough. Using the data summaries, a train of typical length and speed was derived to apply with the hourly distribution based on crossing time. MicroBENCOST does not allow changes in the daily train volumes over the analysis period. Given the uncertainties associated with long range forecasting of daily train volumes, this limitation did not hamper the methodology. In addition, the public did not feel that forecasting s trains in excess of today' values was credible. Additional Data Options There are several other data items that can be changed but were not considered important to do so for this study. Default values for the following discomfort cost factors were left unchanged: stopped time discomfort; congestion discomfort; rough pavement discomfort and its associated speed adjustment factor. Other data items left unchanged in this study include: pavement condition data; overlay and pavement rehabilitation costs; routine maintenance costs; accident rates and emissions data. APPLICATION OF FRAMEWORK TO CASE STUDY Once the necessary data has been collected, MicroBENCOST can be used to develop an input file and test a variety of alternatives. To demonstrate where this has been done, a specific application Table of Contents Roper and Keltner Page 9 of this approach in the St. Cloud, Minnesota metropolitan area (population 100,000) has been included. The case study involves the replacement of a river crossing with or without railroad- highway grade separation. Background The St. Cloud Metropolitan Area straddles the Mississippi River in Central Minnesota. Over the past 120 years, river crossings have been constructed to accommodate the increases in population and travel demand. In addition to the river, the mainline corridor of the Burlington Northern Santa Fe railroad also traverses the metro area. This line, which is the highest speed and highest volume rail corridor in Minnesota, serves as a national conduit for intermodal and other freight movement. Carrying up to sixty trains per day (including AMTRAK) at speeds approaching sixty miles per hour, the rail corridor has a significant impact on the St. Cloud area's vehicular traffic. Since the Mississippi River and the BNSF mainline are parallel in the metro area, river crossings are often accompanied by railroad crossing issues. A study of the oldest Mississippi River crossing in the area has demonstrated this clearly. At the intersection of the roadway and railroad, located on the easterly bridge approach, the highest vehicle/rail conflicts of Minnesota's 5,000 grade crossings can be observed. As a part of the environmental assessment, economic analysis using MicroBENCOST was performed to evaluate the level of benefits and costs associated with grade-separated alternatives compared to the at-grade option and no-build. Alternatives The environmental assessment included these four alternatives for further review of social, environmental, and economic impacts: No-Build (existing two-lane bridge, as required by federal law); Alternative 1-A (four-lane bridge, at-grade crossing); Alternative 2-B (four-lane bridge in existing location, underpass of raised railroad); and Alternative 3-E (four-lane bridge in new location, overpass of lowered railroad). Scenarios The Year 2020 traffic forecast for the Sauk Rapids Bridge was 40,000 vehicles per day; the railroad reported up to 60 trains per day through the crossing. Some of the stakeholders believed that these values were overstated. In an attempt to address these concerns, reduced vehicular and railroad traffic values were developed for use in a sensitivity analysis. With this information, four scenarios were analyzed for each of the three alternatives. This sensitivity analysis is used to learn how dependent the results are on any one input. The following four scenarios were run: Traffic = 40,000; Trains = 60 Traffic = 40,000; Trains = 40 Traffic = 30,000; Trains = 60 Traffic = 30,000; Trains = 40 Results Table of Contents Roper and Keltner Page 10 The MicroBENCOST program was run for alternatives 1A, 2B and 3E, comparing all back to the no-build alternative. As stated above, four scenarios were calculated for each alternative to test sensitivity. The results of this analysis are described in general terms in this section. In addition to the benefit-cost (b/c) ratios and net present values for the four scenarios of each alternative, the incremental benefit-cost ratios and net present values are also discussed. The benefit-cost ratios for the three alternatives, all scenarios, are over one. The b/c ratios for alternative 1A are the highest for two scenarios; alternative 2B had the highest b/c ratios for the other two alternatives. Alternative 3E never had the highest b/c ratio, but did have net present values essentially equal to 2B for all scenarios. The results are summarized below: 30,000 vehicles/40 trains B/C ratio for 1A is the highest (less than 2.0) Net present values are essentially equal for all three (approximately $4 million) 30,000 vehicles/60 trains B/C ratio for 2B is the highest (approximately 3.0) Net present values essentially equal for 2B and 3E (approximately $20 million greater than 1A) 40,000 vehicles/40 trains B/C ratio for 1A is the highest (approximately 3.0) Net present values are essentially equal for 2B and 3E (approximately $7 million greater than 1A) 40,000 vehicles/60 trains B/C ratio for 2B is the highest (greater than 4.0) Net present values are essentially equal for 2B and 3E (approximately $30 million greater than 1A) Incremental benefit-cost ratios and net present values were calculated for going from 1A to 2B, from 1A to 3E, and from 2B to 3E. All of the incremental benefit-cost ratios are approximately one for the 30,000 vehicles/40 trains scenario. The incremental B/C ratios for going from 1A to 2B and from 1A to 3E for the other three scenarios are over one, with 1A to 2B consistently higher than 1A to 3E. The incremental B/C ratio of going from 2B to 3E is approximately one for all four vehicle/train scenarios. The incremental net present values for going from 1A to 2B and from 1A to 3E are essentially equal for each vehicle/train scenario. The incremental net present value for going from 2B to 3E is between -$600,000 and $1,000,000 for all four vehicle/train scenarios. LESSONS LEARNED Software Table of Contents Roper and Keltner Page 11 The current version of MicroBENCOST has several problems that will hopefully be corrected in the next release. Various difficulties/design flaws that were encountered while using the software for this study are described below. The user must enter all of the required user input data before the file can be saved. The data input can be very time consuming and therefore this presents obvious difficulties. Another problem has to do with the default values. The default values called up by the program based on user input are not necessarily updated when the user makes a change to the input. For example, the author encountered accident rates that were not updated after changing a segment from a two lane to a four lane road. The program has a command that allows the user to retrieve the default values, but this replaces values that the user has changed that he wants different from the defaults, such as traffic distribution. The program sometimes generated specious results. The program presents detailed results by segment and a summary of the discounted benefits. In certain cases, the detailed results and the summary results were not consistent. The problem appeared in an early scenario with a differing number of segments in the existing and proposed routes. In this case, there were four segments in the existing route and seven in the proposed route. This problem was not encountered again after further refinement of the alternative resulted in five segments in the existing route and seven in the proposed. A difficulty/design flaw mentioned earlier is that certain default values called up by the program based on user input do not appear to vary based on user input. This problem was found with the speed-volume data when MicroBENCOST produced a top running speed of 60 mph when the speed limit for the segment was 35 mph. The user should be aware that the default capacities in MicroBENCOST are actually adjusted capacities, already multiplied by factors from the 1985 Highway Capacity Manual. If the user overrides the defaults by entering a different value, the program will not calculate an adjusted capacity and the results will be faulty. Assumptions Certain difficulties were also encountered with some of the assumptions in MicroBENCOST. The program assumes that the existing condition will remain intact for the entire analysis period. This was a problem for this study because the existing bridge is expected to be unusable in 8 years. To solve the problem, a rough bridge rehabilitation cost was assumed to keep the bridge open for the 20 year analysis period. Another difficulty/design flaw mentioned earlier has to do with the railroad data. s MicroBENCOST' default uniform train distribution combined with an average speed and length of trains does not capture the delay caused by trains crossing. Therefore, a train of typical length and speed were derived based on the hourly distribution of delay. Table of Contents Roper and Keltner Page 12 Recommendations Despite the criticisms discussed above, the authors found that MicroBENCOST is a useful tool for project level analysis. Most users will find that it is not appropriate as a sketch planning/screening tool due to the level of effort required. The user is advised to review all of the input and output (i.e. open the black box) which should avoid faulty results. Finally, the learning curve is relatively quick, especially if the user has an understanding of transportation and benefit- cost analysis. ACKNOWLEDGMENTS The authors wish to acknowledge the contributions of BRW, Inc. as the consultant of record for the economic analysis described in this paper. Table of Contents Session #4 SIMPLIFIED 4 - STEP TRANSPORTATION PLANNING PROCESS FOR ANY SIZED AREA William W. Mann, P.E., Senior Transportation Engineer Mazen Dawoud, Transportation Engineer Virginia DOT, Transportation Planning Section 3975 Fair Ridge Drive, Fairfax, VA 22033 (703) 383-2211 Fax: (703) 383-2230 email@example.com ABSTRACT s This paper presents a streamlined version of the Washington D.C. region' 4-step travel demand forecasting model. The purpose for streamlining the model was to have a model that could: • Replicate the regional model, and • Be run in a new software, TP/4in1, that executes the entire 4-step process in one execution on a PC. The streamlined model is similar to, but more simplified than, the regional MPO model, with one major difference. The trip generation and mode split steps result in a trip generation rate of 10.0 vehicle trips per detached household for the suburban/rural trip rate. This is more in line with that of smaller communities and yet much higher than the traditional MPO trip rate for larger areas. The model is now being used for travel forecasting for rural and small communities, such as Fauquier County, Virginia, (55,000 population in 1995) on the urban fringe. This model can be adjusted to local area surveys or used "as is" for any sized area, large or small. Using this model makes executing the traditional 4-step modeling process quite easy, even for the novice model practitioner. This article also describes, very briefly, the new software developed to execute this model and is available for free to any public agency. Table of Contents Mann and Dawoud Page 2 INTRODUCTION Since the passage of the Clean Air Act Amendments (CAAA) of 1990 and the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991, the travel forecasting process has evolved into a very comprehensive and complex process. Prior to 1990, many travel forecasting models were s run on IBM mainframe platforms that required about 20% of one' study budget just for the data processing charges. Because they were so expensive to run and because of the lack of funds to improve them, these models were simple and straight- forward. As a result, they could be executed by just about any transportation modeler having access to a mainframe computer. One serious flaw with these models was their inability to address peak hour conditions and speed feed back; e.g., having congested speeds used in trip distribution and mode split. With the passage of ISTEA, the pendulum has swung in the other direction. Money flowed to Metropolitan Planning Organizations (MPOs) to increase staff and hire consultants to improve these models to address many policy sensitive variables, air quality issues, for use in major investment studies (MIS) and other regional studies. As a result, these new models can now address almost any transportation forecasting issue including forecasting usage for heavy rail, light rail, rail access, express bus, priority bus, fare changes, parking cost changes, HOV-2 facilities, HOV-3 facilities, and HOT (high-occupancy lanes plus toll) lanes. While these models can now perform all these great and wonderful functions, they are so complex that very few regional modelers in any one region can run them. They are also very time consuming making them infeasible to use for smaller subarea studies requiring turn-around times of only a few weeks. What has been ignored over the past few years during the development of these comprehensive MIS-type models, is the need for quick turn-around models that can replicate the MIS models without all the "bells and whistles". A model that can be executed by local jurisdictions for numerous subarea studies in a quick turn-around time frame is needed now, or will be soon, by just about every MPO in the country. A few years ago, the Northern Virginia District office of the Virginia Department of Transportation (VDOT) saw the need for this type of subarea model for the Northern Virginia subregion of the Metropolitan Washington Council of Governments (MWCOG) region and began model formulation and calibration. Since its development about one year ago, it has been used extensively. The new subarea model is called the VDOT model and is a streamlined version of the MPO/MIS model. New software was developed to run the VDOT model. It is called TP/4in1. This is a DOS based (soon to be Windows 95-based) stand alone software. The software executes the 4-step process in one execution on the computer and does it using network and zonal data from the Washington DC regional model, with 2211 zones and 17,000 nodes. For the Washington region the model executes the entire 4-step process in about two hours on a Pentium 133 Mhz PC. It is these authors'opinion that every MPO in the country, large and small, currently needs two types of models: Table of Contents Mann and Dawoud Page 3 ⇒ a regional/MIS type model, to address numerous policy sensitive variables. ⇒ a subarea/suburban type model, calibrated to the same highway network as the regional model, that produces results similar to the regional model and can be run in one execution on a PC computer with minimal set-up time. This article describes the VDOT model (a streamlined 4-step process) which can be used as a default model for any sized metropolitan area anywhere in the US. It is currently being used for several counties in Northern Virginia studies and other jurisdictions in Virginia. In addition, it is being used as the modeling tool for the development of the 2020 Northern Virginia Transportation Plan (a long- range plan for the region to guide VDOT and local comprehensive planning). This model could be used, as is, in other areas around the country or modified to s replicate any region' MPO/MIS model. TP/4in1 Software Traditional 4-step travel demand models execute each of the steps sequentially but independently using specific driver files or control files. In most calibrations, validations and area studies, all of the steps must be run with many auxiliary computer runs in each step. TP/4in1 is software designed to execute a streamlined four-step model chain in one execution on an IBM compatible PC computer. It can also be stopped and restarted after each of the steps if desired. Full documentation of the software is provided in the report TP/4in1, Volume II, Users Manual, March 1997. TP/4in1 is software that was developed by William W. Mann, P.E., for use by VDOT and any local jurisdiction in the Washington, DC region. The software will be made available to public agencies at no cost once the software has been completely de-bugged. Hardware requirements are Pentium with 16 MB RAM minimum. TRAVEL DEMAND MODELING PROCESS FOR VDOT MODEL The Subregional VDOT model executes essentially the same 4-step process as the MPO model and is calibrated to the same area (Maryland, D.C. and Virginia) as the MPO model. The modeled area is shown in Figure 1. The complete modeling process is shown in Figure 2. This figure also shows the INPUTS and OUTPUTS. The four basic model steps in this process are as follows: • Trip Generation Model • Trip Distribution Model • Mode Split Model • Trip Assignment Model Each of these submodels is described below: Table of Contents Mann and Dawoud Page 4 Trip Generation Model The development of the trip generation model began with modifying the MWCOG trip generation model. Over the years, numerous traffic counts have been taken in the suburbs, which showed average trip rates for these areas to be 10 vehicle trips per household per day for single family detached homes. These trip rates were measured by counting traffic on roadways with only one access/egress point from the arterial roadway to/from the residential area. In some cases; e.g., in Loudoun County, these rates were as much as 14 vehicle trips per household per day. Thus, one of the stipulations of this new model for subarea applications was to calibrate the model to 10 vehicle trips per detached household in the suburbs, with a descending trip rate for areas with higher densities. This rate is considerably more than the regional MWCOG models. The VDOT Model applies the trip rates at the 2211- zone-level based on an Area type (density) system, rather than at the 293 District level, currently employed by MWCOG. However, the same four trip purposes presently used by MWCOG are employed, namely: 1) Home Based Work (HBW) production and attraction person trips based on households, group quarters and total employment by zone by Area Type (density). 2) Home Based Shopping (HBS) production and attraction auto trips based on households, group quarters and retail employment by zone by Area Type (density). 3) Home Based Other (HBO) production and attraction auto trips based on households, group quarters and office, retail, and other employment types by zone by Area Type (density). 4) Non-Home Based (NHB) production and attraction auto trips based on office, retail, and other employment types by zone by Area Type (density). Note that only the HBW trip rates are defined for person trips requiring application of a Mode Choice Model. The other trip purposes are defined as auto driver trips. This is the same process used by MWCOG. The final trip generation rates are shown in Table 1. Table of Contents Mann and Dawoud Page 5 Table 1 Weekday Trip Generation Rates Productions Attractions HBW-Person Reg. Core Urban Fringe Suburb Exurb Reg. Core Urban Fringe Suburb HH 1.70 1.75 1.93 2.45 2.15 Total E 1.70 1.40 1.40 1.40 GQ 0.26 0.15 0.15 0.15 0.15 HBS-Auto Reg. Core Urban Fringe Suburb Reg. Core Urban Fringe Suburb HH 0.09 0.43 1.33 1.67 Retail E 0.30 2.12 5.41 6.88 GQ 0.04 0.26 0.29 0.34 HBO-Auto Reg. Core Urban Fringe Suburb Reg. Core Urban Fringe Suburb HH 0.35 0.87 3.41 3.80 Office E 0.14 0.28 0.27 0.57 GQ 0.26 0.70 1.27 1.22 Retail E 1.49 1.90 3.71 3.30 Other E 0.74 1.18 2.90 3.20 HH 0.36 0.46 0.69 0.63 NHB-Auto + Light Trucks . Reg. Core Urban Fringe Suburb Office 0.12 0.16 0.31 0.52 Retail 1.03 2.36 5.13 4.76 Same as productions Other 0.23 0.29 0.64 0.63 HH 0.19 0.14 0.21 0.23 Notes: HH : Households E : Employment GQ : Persons in group quarters Exurb : Any rural portion of the suburb for HBW only Trip Distribution Model The spatial trip distribution gravity model was calibrated using separate procedures for work and non-work trips. Work person trips were calibrated to match Census jurisdiction-to-jurisdiction trip tables. Non-work trips were calibrated to match ground counts iterating the process shown in Figure 2. Trip generation rates were fixed while the F-curves were adjusted to alter trip lengths to ultimately match ground counts. This approach was used because of more confidence in the measured household trip generation rates than in either the home-interview trip generation rates or the home-interview trip length frequency distributions. And, more specifically, the authors believe that interviewees in travel surveys under-report short trips to a greater extent than long trips and may even inflate the long trips reported for a typical "yesterday". Total travel times used in the gravity model trip distribution model are the sum of highway terminal times, vehicle access times, highway network travel times and intrazonal travel times. s Vehicle terminal times were derived from MWCOG' destination times. Network travel times, as processed by TP/4in1, are based on link distances and a look-up table for speeds by facility type s and area type. Link speeds are then modified based on each link' capacity and user specified Table of Contents Mann and Dawoud Page 6 Speed Delay Functions calibrated to the region. Intrazonal speeds are determined using a nearest neighbor technique available in TP/4in1. For the nearest neighbor technique an 80 percent factor was used for both intrazonal distances and times. The derived intrazonal distances in TP/4in1 are used in estimating average trip lengths by trip purpose but are not accumulated in estimating network VMT. The gravity model estimates travel between internal-to-internal zones, internal-to-external zones, and external-to-internal zones in one gravity model execution by trip purpose. In calibrating this model for the Washington, D.C. region, very steep friction factors were needed for the external stations along the Baltimore fringe. Figure 1 shows the cordon line adjacent to the City of Baltimore. In typical regions where the cordon line is located in the rural areas, the model can be s calibrated with one regional F-curve. With the Washington D.C. region' cordon line following s the City of Baltimore' fringe, trips crossing the Baltimore external station required special (short trip length) F-curves to calibrate. Mode Split Model The third step in the travel forecasting process is the mode split model and is presently applied to work trips only in the Washington region. The mode split factors for all forecast years were taken from MWCOG and are not explicitly modeled by TP/4in1. For this reason, they are referred to as "Freeze Dried Mode Split Factors". A regional factor is used to calculate the auto driver trips from the HBW person trips derived in Trip Generation. These factors can be modified to reflect the impact of express bus, light rail, heavy rail or HOV lanes. Techniques to model these freeze- dried modal split factors are currently being developed and refined as part of a study to develop a multi-modal transportation plan for all of Northern Virginia. Trips Not Modeled Trips not modeled were taken from MWCOG for all forecast years and added to the VDOT model results to obtain total vehicle trips. The categories of trips not modeled are: 1) Total truck trips in the Region 2) Miscellaneous trips in the Region including taxi, visitor and school type trips 3) Through trips that travel from external station to external station; that is, trips with neither an origin nor a destination within the cordon line. Vehicle Trip Assignment Model Following the trip distribution and mode split steps; the resultant production and attraction format trip tables for each trip purpose are added together by TP/4in1 and balanced using the MWCOG procedure. A single factor is applied to internal attractions to make total productions (internal plus external) equal total attractions. Next, this table is converted to true origin and destination of individual trips based on a 50 percent split in both directions. This approach is suitable for two- way trips in a 24-hour model. For the trip assignment process, TP/4in1 uses four iterations of the incremental capacity restraint loading of the trips onto the highway network. Each incremental loading adds 25 percent of the Table of Contents Mann and Dawoud Page 7 total trips to the network. The 24-hour capacity constraint on individual links is based on the 2KD factors and peak hour LOS-C speeds and capacities. Speed Flow Relationships Reductions or increases in link speeds, calculated for each successive iteration, are estimated for each path by relating congestion, defined by the volume-to-capacity ratio (V/C), to changes in speeds. The VDOT Model applies a modified Bureau of Public Roads (BPR) equation to relate speeds at LOS-C to restrained speeds based on changes in V/C ratios. Figure 3 shows the standard form of the BPR equation and the calibrated curve used in the VDOT Model. The modified BPR curve uses a typical fourth power function up to V/C of 2.0 and a second power function for V/C ratios s above 2.0. Calibration revealed that this flatter curve is more appropriate when V/C' exceed 2.0. The flatter curve for V/C ratios exceeding 2.0 not only produced better traffic assignments, but the final speeds matched the input gravity model speeds, which was one of the objectives for the model calibration. Federal rules require that gravity model input and traffic assignment output speeds in non-attainment areas be similar or a speed feedback procedure must be used. Thus, the typical speed feedback for the Washington region was not necessary. Simulated VMT versus ground count VMT were compared across several screenlines and by jurisdiction, facility type and area type. The results showed no model biases in these comparisons after many iterations of model adjustments. At this point, the model was considered calibrated. Table of Contents Mann and Dawoud Page 8 Figure 3 Speed Flow Relationship 1.00 65 mph 0.90 0.80 Threshold 0.70 45 mph 0.60 Sr/Sc 0.50 0.40 BPR 0.30 VDOT 25 mph 0.20 0.10 0.00 0.25 0.50 0.75 1.00 1.25 1.50 1.75 2.00 2.25 2.50 2.75 3.00 3.25 3.50 3.75 4.00 V/C BPR CURVE V/C < 2.0 : Sr = Sc*1.15 / [1.0 + 0.15(V/C)**4] VDOT CURVE V/C > 2.0 : Sr = Sc*1.15 / [1.0 + 0.60(V/C)**2] Where: Sr = Restrained Speed (Congested Speed) SC = Speed at Practical Capacity (Level of Service "C") V = Volume C = Practical Capacity (Level of Service "C") SUMMARY In brief, some of the features and advantages of the VDOT Model are as follows: 1. Designed as a detailed regional model with up to 2250 zones, 17,000 nodes and multiple trip purposes. 2. Based on the new MIS model network link attributes. 3. Develops trip generation, mode choice and trip distribution on a zonal basis. 4. Capacity to run speed feedback loops, select link analysis, screen line summaries and VMT summaries. 5. Ability to implement link and node delay capacity restraints as well as turn volumes for traffic assignment. 6. Numerous formatted outputs; e.g., trip ends by purpose; trip length frequency distributions by purpose; formatted squeezed trip tables by purpose; and VMT by area, jurisdiction, V/C ratio, and speed ranges. More importantly, TP/4in1, can run the entire standard 4-step transportation planning process (such as the VDOT model) in one execution on a PC computer, or it can be used to run each step separately. Table of Contents SESSION # 4 A PRACTICAL APPROACH TO TRAVEL DEMAND MODELING IN SMALL AND MEDIUM SIZED AREAS Shuming Yan, PE Washington State DOT, Olympic Region 5720 Capitol Blvd. Tumwater, WA 98501 Tel: (360)357-2651, Email: firstname.lastname@example.com ABSTRACT Travel demand forecasting is the foundation of many transportation planning activities such as; 1) long term system planning; 2) sub-area/corridor study; 3) air quality conformity analysis; 4) transportation concurrency analysis; and 5) assessment of development impact fees. Many large urban area transportation planning agencies invest a significant portion of their staff time and resources in developing and maintaining their traffic models. However, small and medium-sized urban area planning agencies have fewer resources to dedicate to traffic model development. These communities can develop and maintain adequate traffic models, but they will have to use some practical and cost-effective approaches. Through developing, updating, calibrating and applying several large and small urban area travel demand forecasting models, the author has accumulated some practical approaches for travel demand modeling. These practical approaches include roadway network and traffic analysis zone definition, network data collection and processing, socioeconomic variables and trip purpose categories selection for trip generations, gravity model coefficients fine tuning for trip distribution, and model calibration. Table of Contents Yan Page 2 Introduction: Small to medium sized urban areas differ from large metropolitan areas in many ways. For example, in small to medium sized urban areas: 1) household incomes tend to be more homogeneous; 2) transit plays a smaller role in the transportation system; and 3) any single industry or institute may be a significant trip producer or attraction that warrants special consideration when modeling traffic. In terms of urban form, smaller urban areas are relatively newer and tend to have a less structured street network and census geography. In terms of applications, small urban area models are expected to provide long range travel demand projections, and assist in short range traffic operations analysis --- similar to a subarea model of a large regional model. These differences require that travel demand modeling in small urban areas be handled differently. This paper describes some practical approaches in developing travel demand forecast models for small to medium sized urban areas. The first part of the paper is a general discussion of these techniques. The second part demonstrates how some of these techniques were applied in developing the Rogue Valley MPO Travel Demand Forecast Model as a case study. 1. Some Practical Approaches Model development generally includes the following steps: traffic analysis zone (TAZ) and network definitions, the traditional four-step modeling process (trip generation, trip distribution, model split, trip assignment), model calibration/validation, and post model processing. This section describes some practical techniques for carrying out these steps. 1.1 TAZ Definitions Traffic Analysis Zones (TAZ) are the building blocks of a model. A well-defined TAZ structure will contribute to accurate model trip distribution and traffic assignment. The smaller the zones, the better the model replicates the real world situation. In small to medium sized areas, it is more manageable to define traffic zones relatively small to improve model accuracy. s TAZ' are traditionally defined based on factors such as census and political boundaries, topographical barriers, homogeneous land use and roadway access. Many transportation planners prefer to follow census geography so that data collected in the decennial census can be used with minimal manipulation. This approach is especially applicable for areas with regular census geography and grid street patterns. However, in many small to medium sized urban areas, census boundaries tend to be more irregular and are sometimes too big to be used as a unit for defining s. TAZ' Therefore, it is more desirable to reflect traffic access patterns rather than rigidly follow the census geography (see Figure 1). In this case, the relationship between TAZ and the census block can be established to facilitate the retrieval of census data. s In areas with grid street patterns, TAZ' have been traditionally defined with major arterials as their boundaries. To improve model performance, it may be more preferable to have TAZ straddle arterials, especially when transit services are present on the arterials (see Figure 2). Table of Contents Yan Page 3 1.2 Trip Generation Trip generation is the first step of the traditional four-step modeling process. In the trip general model, trips are divided into different categories by trip purposes. Examples of the trip purposes include Home-Based Work (HBW), Home-Based Shopping (HBS), Home-Based Other (HBO), and Non-Home Based (NHB). Generally, the more detailed the trip purpose categories, the more accurate the model. Small to medium sized urban areas can sometimes be very different from large urban areas in terms of trip types composition. For example, a small city with a large university campus may have a high percentage of Home-Based College (HBC) trips. In this case, to more accurately represent college travels, it is a good idea to establish a HBC trip type. Similarly, small urban areas with a focus on tourism will have a large proportion of recreational trips that may warrant a special trip type called Home-Based Recreational trips (HBR). Table of Contents Yan Page 4 (See hard copy for Figures 1 and 2) Table of Contents Yan Page 5 Trip generation consists of two sub-models including the trip production model and trip attraction model. Typically, trip production models deal with the trip ends associated with the traveler' s home, and trip attraction models deal with the trip ends associated with activities at places other s than the traveler' home. Lodging places such as hotels and motels are frequently defined as trip attractions. For urban areas with a heavy emphasis on tourism, however, it makes more sense to capture lodging places in both trip production and trip attraction models. That is, hotel and motel employees commuting to work should be accounted for in the trip attraction model, while tourists leaving lodging places to visit recreational sites and other places should be accounted for in the trip production model. Consequently, it is a good idea to define an additional trip type called Lodging-Based Recreation (LBR) to more realistically simulate recreational trip distribution patterns. Accounting LBR trips in the trip production model is especially important if trip production is to be held "constant" in the trip balancing process. This is because recreational trips leaving lodging places are made mostly by residents from outside of the modeling areas. Generally speaking, trip production models deal with travel patterns related to demographic and socio-economic characteristics of households in the TAZ. The single most important variable used to forecast household travel is the household size. Other important variables include home type, income level or auto ownership, number of workers, etc. The more variables used, the more extensive the data required for the model. For trip production, most large urban areas use some type of cross-classification model that range from simple cross-classification of number of trips and household size to more complicated multivariable cross-classifications. Cross-classification modeling is especially suited to large urban areas where household socio-economic characteristics are more diverse. Household socio-economic characteristics in small to medium sized urban areas are usually more homogeneous than those found in large urban areas, the need for developing multivariable cross- classification is somewhat less significant to the modeling effort. Furthermore, many small urban areas planners have limited resources (in terms of time, funding, tools and local data) to develop refined cross-classification models for base-year conditions, not to mention the resources needed to forecast these variables for horizon year conditions. A basic rule of thumb for determining what variables should be included in the cross-classification model is that the variable must be forecastable and will be forecasted. Small urban areas may find it to be more cost effective to develop a set of trip rate adjustment factors to account for variations in travel patterns as an alternative to developing a more complicated cross-classification model. For example, household income has significant impact on household travel, but if it cannot or will not be forecasted, then the income levels can be represented in the model by generalizing the information by geographic areas and their underlying property values. 1.3 Trip Distribution Trip distribution and trip assignment are the second and fourth steps in the four-step travel Table of Contents Yan Page 6 demand modeling process. In the trip distribution step, the trip productions and the attractions are converted to trip origins and destinations; trip origin zones and destination zones are paired. The Gravity model is the most commonly used model for trip distribution. The gravity model coefficient, called the friction factor, is a measurement of spatial separation between trip origin and destination zone pairs. Some modeling packages, such as QRS-II and Tmodel2, use a set of default functions called the gamma function to calculate friction factors. The gamma function is stated as the following: b c*tij Fij = a* tij * e Where: Fij = the friction factor relating the spatial separation between zones i and j a, b, c = gamma coefficients tij = travel time between zone i and zone j e = the base of natural logarithms The coefficients in the gamma function vary according to the size and accessibility of a region. Modeling packages with gravity models built-in usually provide sets of default coefficients for areas of different sizes. Some modeling packages, such as EMME/2, do not come with default formula and coefficients. Users of those modeling packages will need to supply the model with their own functions and coefficients. The coefficients used in the initial model runs need to be examined and fine tuned in the later model calibration process to achieve desirable trip length for each of the trip purpose types defined in the trip generation step. Since each trip purpose type requires a unique set of coefficients and each gamma function needs three different coefficients, to find several suitable sets of gamma coefficients for different trip purpose types can be very time consuming. Alternatively, modelers can use a simpler exponential function to determine friction factors: Fij = exp(-ßTij) Where: Fij: friction factor between zones i and j Tij: travel time between zones i and j ß: distribution parameter Since this function only has one coefficient, it is much easier to test and find an acceptable value than the gamma function. 1.4 Mode Choice Mode choice is the third and probably most complicated step in the four-step modeling process. It estimates the modal shares of the travel market when given two sets of data: 1) the time and cost characteristics of the various competing modes (typically transit and private vehicles) and 2) the demographic and socio-economic characteristics of area residents. The mode choice model requires extensive local data to develop. Since the transit mode share in many small urban areas is Table of Contents Yan Page 7 less than one or two percent of all trips, small urban area modelers should evaluate the objectives of the mode choice model and the cost-effectiveness of achieving the objectives before committing their resources. 1.5 Traffic Assignment: Traffic assignment is the fourth step of the four-step process. The traffic assignment process is driven by the relationship of the assigned volume and the resulting speed caused by congestion. This relationship is defined by volume-delay functions. Theoretically, volume delay functions do not vary with urban area sizes. Traffic assignment is an iterative process. Modeling packages geared toward small to medium sized areas, such as QRS-II and Tmodel2, have a built-in feedback loop between trip distribution and trip assignment for each iteration of the model run to more realistically simulate traffic conditions. However, other modeling packages, such as EMME/2, do not have the automatic feedback loop. It is up to the users to implement this feedback loop in the modeling process. The feedback loop is extremely important in the testing of road improvement alternatives and of road closures. 1.6 Model Calibration Model calibration/validation represents the final step in the model development process. In this step, base year model outputs, primarily traffic assignments, are compared to observed base year conditions to ensure that the model can reasonably replicate real world situations. The comparisons are usually done at the following levels: • Link specific volumes • Screenlines (check trip distribution and assignment) • Cordon lines (checks both trip generation and distribution) • Regional statistics such as RMSE (root mean square error) by facility type and volume groups In the initial model test runs it is very likely that observed and estimated screenline volumes will not be within an acceptable range of values. An analysis of the source of the error will show where adjustments to one or more of the upper level models may be required. These adjustments may include land use inputs, trip generation rates, roadway network and link attributes, traffic counts, gravity model coefficients, volume delay functions, etc. Model calibration methodologies and procedures are well documented in various literature and research papers. Since small urban areas rarely have local traffic survey data, trip generation rates are frequently borrowed from other areas or adopted from national averages. This practice makes validation of trip generation rates very important. Residential trip production rates should be evaluated first by comparing screenline total assigned trips to actual total ground counts. If the total assignment is higher than the total ground count, it Table of Contents Yan Page 8 is very likely that trip production rates are too high and should be adjusted down, provided that trip production is held constant in the trip balancing. On the other hand, if total assignment is lower than total ground counts, trip production rates may be too low and thus should be adjusted up. Once total assignments and total counts are within a reasonable range, trip generation rates for other land use types can be validated. To validate trip generation rates for individual land use types, cordon lines can be developed around various areas with homogeneous land uses, such as single family residential areas, shopping centers, office complexes, and industrial parks. For example, if observed total base-year traffic counts along a cordon line around a shopping center are significantly higher than the model assignment, two possibilities exist: the trip rates used for the retail category is too low and/or the number of retail businesses/employees is under counted. This would require the validation of the number of businesses and employees first, then the adjustment of the trip attraction rates for the business types within the shopping center. 2. A Case Study – the Rogue Valley MPO Model Rogue Valley Council of Governments (RVCOG), the federal designated Metropolitan Planning Organization (MPO) for the greater Medford urbanized area, is located in Jefferson County, Southern Oregon. It encompasses the cities of Medford, Central Point, Phoenix and White City and part of Jackson County with a population of approximately 100,000. Using the EMME/2 software, the regional model was developed in late 1995 to support the development of the MPO Long Range Transportation Plan. In addition to supporting the regional transportation system analysis and planning efforts, the local jurisdictions also expected the model to simulate traffic flow in relative detail to assist short-range traffic operations analysis. 2.1 TAZ and Network Definition s To meet the long range planning needs and local jurisdictions' expectations, TAZ' were defined as fairly small zones and network attributes were defined based on detailed roadway attributes. Like many small urban areas, the Rogue Valley MPO has very irregular census geography. This is especially the case in its outlying areas. If TAZs are defined by following census boundaries, the TAZ in outlying areas would be too large to produce model results for evaluating specific roadway capacity deficiencies and improvement alternatives. Because the area has GIS based property parcel mapping, it was determined that census boundaries would be followed in the areas with grid street patterns. TAZs in outlying areas were defined by following property parcel boundaries and by considering how traffic accessed the roadway network. To increase work efficiency, the roadway network was created in the spreadsheet file with detailed roadway geometrics and intersection traffic control types inventoried. Link capacities were calculated based on general per lane capacity adjusted by area types (CBD or urban peripherals, for example), lane width, median types, shoulder presence, down stream intersection traffic control types and the classification of cross street relative to the street under study. Other network data were also processed in a similar manner. The spreadsheet then generated a network Table of Contents Yan Page 9 file in the EMME/2 format, which was directly imported into the EMME/2 for model runs. 2.2 Trip Production Model and Jackson County Household Activity Survey The trip production model was developed based on the 1995 Jackson County Household Activity Survey (JCHAS). Household activity surveys were rarely conducted for medium to small urban areas because of the cost involved. In 1995, with the help of the Oregon Department of Transportation and Portland Metro, the Rogue Valley MPO joined the other three MPOs in the state and conducted the survey. The Sample households were recruited from a random listing of telephone exchanges within the study area. Each household in the sample was assigned a specific two-day period for which detailed data on all activities (even if travel was not involved) was collected. Household data collected included income, auto ownership, household size, dwelling type and personal data pertained to gender, age, ethnicity, employment background, and student status. The survey collected data from 1,781 valid sample households. The survey revealed that household size was the single most important variable in explaining household travel patterns. Table1 shows the relationship between household size and number of average weekday trips. Also shown in this table is the result of the 1990 NATIONWIDE PERSONAL TRANSPORTATION SURVEY (NPTS) for comparison. Table 1 - Household Trip Rates by Household Size JCHAS vs. NPTS Household Person Trips Vehicle Trips Size JCHAS NPTS JCHAS NPTS One 3.7 3.7 2.9 3.2 Two 6.9 7.5 5.2 6.6 Three 12.3 10.6 8.1 9.4 Four & + 17.2 14.5* 8.6 12.4* * Note: Estimated due to different number of categories between the two data sets. As shown in the above table, compared to the national average, person trip rates for different household sizes in Jackson County are consistent with or close to the national averages, however, vehicle trip rates appeared to be lower across the board. Other key findings of the household activity survey are summarized in Tables 2, 3 and 4. Table 2 - Household Income and Trip Rates Household Income Person trips Vehicle trips $0 - $19,999 6.3 3.6 $20,000 - $34,999 8.8 5.7 $35,000 - $49,999 11.3 7.0 $50,000 or More 11.1 7.5 Table of Contents Yan Page 10 Table 3 - Vehicle Trip Rates Cross-classification Household Size and Household Income Household Household Size One Two Three Four Avg. $0 - $19,999 2.44 3.51 6.29 5.60 3.60 $20,000 - $34,999 3.66 5.10 7.86 8.16 5.72 $35,000 - $49,999 3.17 5.51 8.40 9.09 7.00 $50,000 or More 4.06 6.25 8.91 10.25 7.54 Unreported 2.52 5.31 8.44 8.39 5.57 Weighted Average 2.93 5.18 8.08 8.55 5.78 Based on the household activity survey, trip purposes were divided into Home-Based Work (HBW), Home-Based Shopping (HBShp), Home Based School (HBSch), Home-Based Other (HBO), Non Home Based Work (NHBW) and Non-Home Based Other (NHBO). The percentages of trip type composition are shown in Table 4. Table 4 - Distribution of Weekday Trips by Trip Purposes Trip Purpose Person Trips Vehicle Trips HBW 4040 16.72% 3582 22.62% HBShp 2906 12.03% 1968 12.43% HBSch 1961 8.12% 302 1.91% HBO 8679 35.92% 5562 35.12% NHBW 1187 4.91% 1007 6.36% NHBO 5391 22.31% 3416 21.57% Total 24164 100.00% 15837 100.00% 2.2 Trip Attraction Model In the travel demand modeling process, employment data was used to measure the attraction side of travel demand. Employment data was obtained from the State Employment Office (SEO). The data were compiled for the State Unemployment Insurance Program at the county level. The data were cross-checked against employment data contained in the County Business Patterns and was then geo-coded and field validated. To improve the estimation of trip rates and trip distributions, employment data was divided into detailed categories based on their trip attraction levels as shown in Table 5. The trip generation model was implemented in a spreadsheet program to increase efficiency. The output of the spread sheet program was in an origin and destination format and could be directly imported into the EMME/2 program for trip distribution and assignment. Table of Contents Yan Page 11 Table 5 - Trip Attraction Rates Employment Type HBW Trips Non Work Trips High Retail (i.e., super markets) 2.2 /employee 20.0 /employee General Retail 2.2 /employee 13.0 /employee Low Retail 2.2 /employee 4.0 /employee Restaurant and High Services 2.2 /employee 8.0 /employee General Services/Recreation 2.2 /employee 5.0 /employee Lodge 2.2 /employee 1.0 /employee Whole Sale, Trade and Construction 2.2 /employee 1.0 /employee Industrial 2.2 /employee 0.5 /employee Government/Education 2.2 /employee 4.0 /employee Parks N/A 6.0 /acre Households N/A 1.2 /household 2.3 Trip Distribution and Assignment The gravity model was used for trip distribution and the exponential function Fij = exp(-ßTij) as described earlier was used to derive friction factors. The distribution parameter ß for different trip purposes is shown in Table 6. Table 6 -Trip Distribution Parameters by Trip Purposes Trip Purpose HBW HBShp HBSch HBO NHBW NHBO ß 0.09 0.11 0.11 0.11 0.20 0.20 Since EMME/2 does not have an automatic feedback loop to link trip assignment and trip distribution, a macro feedback loop was implemented in the model as follows: • The initial (first iteration) traffic assignment was performed using free flow speeds; • The resultant zone to zone impedance metrics was then looped back into the trip distribution step and trips were redistributed and reassigned (second iteration); • The second iteration impedance metrics were averaged with the first iteration impedance metrics which were then used as input into the third iteration; • The feedback loop was repeated in the subsequent iteration runs until traffic assignments reached equilibrium (which usually takes about four to five iterations). 2.4. Model Calibration Results Because of these detailed approaches, model calibration was very successful (see Table 7 and Figure 3). All indicators met or exceeded the targets set in the Oregon Statewide Travel Demand Modeling Guidelines. Table of Contents Yan Page 12 Table 7. Trip Length Distribution Frequency by Trip Type* (in minutes, exclude terminal times) Trip Type Model Survey Difference HBW 10.62 12.33 86.1% HBShop 10.11 9.25 109.3% HBSchl 7.67 9.35 82.0% HBO 8.20 9.46 86.7% NHBW 7.41 8.75 84.7% NHBO 6.47 8.40 77.0% All 9.04 9.67 93.5% * Note: It is acceptable that model results are slightly lower than the survey due to the fact that survey respondents tended to round up their travel times instead of reporting the actual times. (See hard copy for Figure 3. Link Scattergram) Table of Contents Yan Page 13 Conclusions: Smaller urban areas differ from large metropolitan areas in many ways. Many small urban areas do not have sufficient resources to conduct expensive travel surveys, nor to recruit and retain a team of very specialized technical staff. Smaller communities have smaller geographic areas and fewer streets to model. Small urban area household income tends to be a more homogeneous socio-economic factor; transit plays a smaller role in transportation systems than in larger urban areas; any single industry or institute may be a significant trip producer or attraction that warrants special consideration. Smaller urban areas have a relatively newer urban form and tend to have a less structured street network and census geography. These differences make it necessary to handle travel demand modeling in small urban areas differently than it is handled in larger urban areas. As demonstrated in the case study, with appropriate care, transportation planners working in small urban areas can turn disadvantages into advantages while developing and maintaining an adequate model to support short and long-range transportation planning activities. References: 1. Calibration and Adjustment of System Planning Models, by Dane Ismart, Federal Highway Administration, 1990. 2. Using a City Master Property File in Trip Generation Estimation, by Shuming Yan and Alan Horowitz, Compendium of Technical Papers, Institute of Transportation Engineers, 1991. 3. Travel Demand Model Development and Application Guidelines, by Parsons Brinckerhoff Quade & Douglas, Inc. and Kettelson & Associates, for Oregon Department of Transportation, 1995. 4. Using Travel Impedance Feedback Loop In EMME/2 Model, by Shuming Yan, paper presented at the 10th Annual International EMME/2 Users Conference, Portland, Oregon, 1995. Table of Contents Session #4 FREIGHT MODELING TECHNIQUES FOR SMALL AND MEDIUM-SIZED AREAS Jerry M. Faris Transportation Support Group, Inc. 1400 Village Square Blvd., Unit 3-337 Tallahassee, Florida 32312 Voice 850.893.7505, Fax 850.893.3541, e-mail - email@example.com Dane Ismart Louis Berger & Associates, Inc 811 South Orlando Avenue, Suite E Winter Park, Florida 32389 Voice 407.644.8231, Fax 407.6446457, e-mail - email@example.com ABSTRACT This paper presents a practical and low cost modeling technique to include freight demand and truck movements in the development of long range transportation plans. The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) and the new Transportation Equity Act for the 21st Century (TEA 21) requires that States and Metropolitan Planning Organization (MPOs) consider urban freight in their long-range plans, transportation improvement programs, and annual work elements. However, in the last rounds of MPO long- range plan update certification reviews by the Federal Highway Administration (FHWA), one of the negative themes was the lack of freight and goods movement analysis within the current plans. s This lack of analysis has occurred because most States and MPO' have little experience in freight planning, current and historical data on truck movements are limited, and most of the old freight models are extremely complicated. In September 1996 the U.S. Department of Transportation released the final report on the Quick Response Freight Manual through the Travel Model Improvement Program. This manual provides the transportation modeler with simple techniques and transferable parameters which can be used to develop commercial truck movements within a conventional four-step planning model. This paper combines the techniques presented in the Quick Response Freight Manual and a simple four-step TranPlan travel demand model to develop, assign and analyze commercial truck trips in a small to medium urban area. Using the simple techniques and transferable parameters, the model could be developed with a limited amount of actual truck data. In this model, truck trips are broken into three types: four-tire; single unit; and, combination. By keeping the truck trips and the auto driver trips in separate purposes, the modeler can preassign or assign the truck trips (all, four-tire, single unit, and combination) to a regular network or special truck network under a full equilibrium process. FREIGHT MODELING TECHNIQUES FOR SMALL AND MEDIUM-SIZED AREAS Table of Contents Jerry M. Faris Page 2 INTRODUCTION In September 1996 the U.S. Department of Transportation released the final report on the Quick Response Freight Manual through the Travel Model Improvement Program. This manual provides the transportation modeler with simple techniques and transferable parameters which can be used to develop commercial truck movements within a conventional four-step planning model. This paper combines the techniques presented in the Quick Response Freight Manual and a simple four-step TranPlan 2 travel demand model to develop, assign and analyze commercial truck trips in a small to medium sized urban area. The goal of this technique is to allow the planner to: 1. Estimate truck trip generation using default rates 2. Prepare a truck network from existing highway network 3. Split truck trips into light, medium and heavy trucks 4. Distribute the trips purposes with a Gravity Model 5. Assign and analyze truck trips to a truck network 6. Assign and analyze truck trips, along with passenger car trips, to the entire network . Commercial vehicles under the quick response technique are broken down into three categories or purposes: Four-Tire Vehicles, Single Unit Trucks (6+ Tires) and Combination Trucks. Existing Model Structure This process assumes the urban area has a conventional four-step planning model with/or without a transit model or with/or without a separate truck purpose. For this discussion, let us assume that the area has a four-step planning model (using TranPlan), without transit, and with separate purposes for home-based work, home-based non-work, non home-based, truck, internal-external, and external-external. One of the goals of determining the number of commercial vehicles is to be able to assign the medium and heavy trucks to a truck network. One simple approach is to develop a medium/heavy truck network from the existing highway network by removing most of the minor arterials and collectors from the network. Sufficient detail must be retained to allow access to each zone to be connected to the network for vehicles involved in local distribution. Another approach in establishing a truck network is to look at weight limits, truck restrictions and signed truck routes in the urban area. By creating the network with selected link identifiers, restrictions could be identified through a special lookup table. Table of Contents Jerry M. Faris Page 3 Zonal Data Files A typical urban area normally organizes its demographic data into employment categories by the Standard Industrial Classification (SIC)4 code for each traffic analysis zone. The existing employment categories will continue to be used to develop the initial productions and attractions for the internal purposes. An employment breakdown is shown below: Industrial Employment (SIC 01-39) Commercial Employment (SIC 50-59) Service Employment (SIC 40-49, 60-99) Total Employment (SIC 01-99) In the quick-response trip generation for commercial vehicles, the recommended procedure breaks employment categories into four categories using the noted SIC codes for each traffic analysis zone. This set of employment data will be used to develop the internal-internal commercial trips. Agriculture, Mining and Construction (SIC 1-19) Manufacturing, Transportation/Communications/Utilities and Wholesale Trade (SIC 20-51) Retail Trade (SIC 52-59) Office and Services (SIC 60-88) Trip generation rates, shown in Table 1, will be applied to employment and dwelling unit by traffic analysis zone. These rates were taken from a survey in Phoenix, Arizona as detailed in the Quick Response Freight Manual. Although there are many freight trip generation studies that were reviewed as part of the effort to develop the QRF Manual, the Phoenix rates were selected as the default generation rates. The Phoenix rates were found to be close to the median value for all of the available generation studies. Additional values can be reviewed in the FHWA manual, "Characteristics of Urban Freight Systems." In order to compute truck productions and attractions simple spreadsheets can be utilized. It is recommended that production and attraction be created for all three truck categories. This step is critical because as will be shown later in the paper the trip length frequency for the three truck categories are significantly different and must be distributed separately. During the trip generation balancing process the trip destinations or attractions will be set equal to origin or productions. Shown in Table 1 are the recommended truck trip generation rates. If more current rates are available from local or state studies those rates should be used. Table of Contents Jerry M. Faris Page 4 TABLE 1 2 TRIP GENERATION RATES Commercial Vehicle Trips Per Day Generator Four- Single Unit Tire Employment Vehicle (6+ Tires) Combinations Total Agriculture, Mining, Construction 1.110 0.289 0.174 1.573 Manuf, Comm, Util, Wholesale 0.938 0.242 0.104 1.284 Retail 0.888 0.253 0.065 1.206 Office & Service 0.437 0.068 0.009 0.514 Households 0.251 0.099 0.038 0.388 External-Internal The external-internal productions can be determined by using the existing external-internal purposes and applying the default values in Table 2 - Percent Distribution of Traffic by Vehicle Class, Surveys: HPMS Defaults, Quick Response Freight Manual, the vehicle types can be assessed at each station. If external station surveys or classification studies near the external stations are conducted, they should be used rather than Table 2. TABLE 2 Percent Distribution of Traffic by Vehicle Class Non- Commercial Vehicle Functional Commercial Four-Tire Single Unit Class Vehicles Vehicle (6+ Tires) Combinations Total Rural Interstate 87.20% 3.3% 2.9% 12.2% 100.0% Other Principal Arterials 88.50% 4.7% 3.2% 4.9% 100.0% Minor Arterial, Collector, Local 86.60% 5.3% 3.6% 2.6% 100.0% Average - Rural 86.60% 4.7% 3.4% 5.3% 100.0% Urban Interstate 88.20% 5.5% 1.8% 4.5% 100.0% Other Freeways/Expressways 90.50% 5.5% 1.7% 2.3% 100.0% Other Principal Arterials 89.50% 6.6% 1.7% 2.2% 100.0% Minor Arterials 90.40% 6.4% 1.7% 1.5% 100.0% Collectors 90.30% 6.4% 1.8% 1.5% 100.0% Locals 91.00% 6.4% 1.8% 0.8% 100.0% Average - Urban 89.80% 6.2% 1.7% 2.3% 100.0% 2 Source: Vehicle Classification Data of FHWA and Census' Truck Inventory User Survey Table of Contents Jerry M. Faris Page 5 External to internal productions are normally established from existing counts and percent splits between external-external and external-internal for each station. The resulting external-internal number at the external station becomes the total vehicle production for the station. The external- internal productions are then split by non-commercial and commercial vehicles as noted in Table 2. The total internal-internal attractions computed during the internal-internal generation step can be utilized to scale the internal-external attractions to the internal-internal productions by each purpose. External-External The existing trip table can be factored using Table 2 Percent Distribution of Traffic by Vehicle Class as noted above to develop a new set of external-external trip tables for four-tired, single unit, and combinations. MODEL PREPARATION The existing trip purposes have been expanded to accommodate the commercial truck breakdown. From the existing six purposes, trucks is the only purpose not used in creating the eleven new purposes as noted below: Existing Purposes Purpose 1 - HB Work No Change Purpose 2 - HB Non Work No Change Purpose 3 - Non HB No Change Purpose 4 - Truck Not Used - New purposes Purpose 5 - External-Internal Non Commercial - New purpose Purpose 6 - External-External Non Commercial - New purpose New Purposes (Trucks Internal-Internal) Purpose 7 - Int-Int Four-Tired Trucks New Purpose 8 - Int-Int Six-Tired Trucks New Purpose 9 - Int-Int Combination Trucks New New Purposes (Trucks External-Internal) Purpose 10 - Ext-Int Four-Tired Trucks New Purpose 11 - Ext-Int Six-Tired Trucks New Purpose 12 - Ext-Int Combination Trucks New New Purposes (Trucks External-External) Purpose 13 - Ext-Ext Four-Tired Trucks New Purpose 14 - Ext-Ext Six-Tired Trucks New Purpose 15 - Ext-Ext Combination Trucks New Simple spread sheets can be utilized to compute the internal-internal and external-internal truck purposes. By using the Matrix utility program in TranPlan the external-external trip table was split into the commercial and non commercial vehicle trips. Table of Contents Jerry M. Faris Page 6 Since the new purposes created by this procedure are all auto driver trips and assumed to have one person per vehicle, this procedure will work for both transit and highway only models. The trip purposes may be referenced by a different number. However, the process is the same. MODEL APPLICATION The model application includes the following additional steps in the process: Truck Network Building the truck network Building minimum time paths Skimming the truck minimum paths Distribution The distribution process uses the Gravity Model to distribute the productions and attractions. This process is divided into three passes as noted below: Pass 1 - Non-Commercial: Computes standard distribution for HB Work (1), HB Non-Work (2) and Non Home-Based (3). Pass 2 - Light Truck: Computes distribution for external-internal and internal- internal trip purposes using the normal updated free-flow skim paths. This pass will compute trip tables for int-int four-tired trucks (7), ext-int non-commercial vehicles (5) and ext-int four-tired trucks (10). Pass 3 - Medium and Heavy Trucks: Computes distribution for external-internal and internal-internal trip purposes using the special updated free-flow truck skim paths. This pass will compute trip tables for int-int six-tired trucks (8), int-int combination trucks (9), ext-int six-tired trucks (11) and ext-int combination trucks (12). Friction factors may need to be adjusted to account for the heavy trucks. When applying the gravity model, separate friction factors will have to be used for the three truck classifications (four-tire commercial, single unit-six tired, and combination) due to their different trip length characteristics. If local friction factors are not available default values from the QRF manual are available. Table 3 lists the default values. Table of Contents Jerry M. Faris Page 7 Table 3 Friction Factor Default Values Four-tire Commercial Vehicles - Fij = e-0.08*tij Single Unit Trucks - Fij= e-0.1*tij Combination Trucks - Fij= e-0.03*tij The important characteristic of Table 3's friction factors is that combination vehicles will have a longer average trip length than four-tire and combination trucks. Mode Each of the trip tables are converted to auto driver trips (purposes 1-3), split into origin and destinations and saved as individual trip tables. This allows the trip tables to be combined in different ways during the assignment process. A simple matrix utility is utilized to combine the individual trip tables. A vehicle occupancy conversion is not necessary for truck trips since they are considered to single occupant vehicles. Assignment Three assignment processes are setup for this analysis. The first process assigns medium/heavy trucks to a special truck network. The second process preloads medium/heavy truck trips and assigns the remaining light trucks, non-commercial vehicle trips to the full network using the equilibrium assignment techniques. The third process preloads medium/heavy truck trips and assigns remaining light trucks to the full network using an all-or-nothing assignment technique. The preload technique is part of TranPlan Modeling Package. This technique can be utilized with the equilibrium assignment technique. CONCLUSIONS This quick response process of developing truck trips using the default generation rates and external truck classification can be successfully implemented in TranPlan or any other planning model as a first step in the evaluation of truck trips. Later, as existing truck counts are obtained and internal and external surveys are completed, the default values could be replaced with local updated parameters. This procedure is valid for small to medium sized urban areas. Application of this procedure has also been done in larger urbanized areas such as Detroit. In the Detroit application overall truck vehicle miles travel (vmt) simulated from the truck model was Table of Contents Jerry M. Faris Page 8 consistent with vmt truck estimates from field surveys. There was a tendency for truck forecasts to be high or low by 20% when stratifying the results by highway functional classification. REFERENCES: 1) U.S. Department of Transportation, Travel Model Improvement Program, Quick Response Freight Manual, Final Report, September 1996, Washington, D.C. 20590 2) The Urban Analysis Group, URBAN/SYS User Manual for TranPlan, Version 9.0, Hayward, CA 94541 3) Earl Ruiter, Cambridge Systematics, Inc, Development of an Urban Truck Travel Model for the Phoenix Metropolitan Area, February 1992, Report Number FHWA-AZ92-314, prepared for the Arizona Department of Transportation and the Federal Highway Administration. 4) U.S. Department of Transportation, Travel Model Improvement Program, Quick Response Freight Manual, Appendix C, Standard Industrial Classification (SIC) Codes, Final Report, September 1996, Washington, D.C. 20590 Table of Contents SESSION 5 - COORDINATING TRANSPORTATION AND LAND USE PLANNING Moderator: Libby Rushley Ohio Department of Transportation Panelists: Cindy Gray, Fargo-Moorhead Metropolitan Council of Governments Terry R. Klim, TransCorp and Doug Bilse, Transportation Agency for Monterey County Dr. Frederick H. Wegmann and Dr. David Clarke, University of Tennessee Mike Partridge, Washington Department of Transportation Table of Contents Session #5 Fringe Land Use Guide and Street Plan Fargo-Moorhead Metropolitan Council of Governments Cindy Gray, Transportation Planner One N. 2nd Street, Suite 232 Fargo, ND 58102 701-232-3242 (telephone) 701-232-5043 (FAX) email@example.com ABSTRACT The Fringe Land Use Guide and Transportation Plan has been developed over the past two years by the F-M Metropolitan Council of Governments. One of the primary purposes of the project was to extend arterial and collector street planning beyond city limits, and even beyond the two mile extraterritorial area, to allow Cass County to more effectively plan for the future urban characteristics of the area. Another effort of the study was to identify and resolve issues of incompatible land uses in the areas where Fargo, North Dakota and West Fargo, North Dakota are growing together. The study included portions of Cass County, to address fringe areas outside the city limits where a significant amount of rural development is occurring. This study is also part of a larger effort to help policy makers understand that there is a strong relationship between transportation and land use planning. The combined population of Fargo and West Fargo, North Dakota is approximately 97,000. There is no physical separation between the two communities, such as a river or highway, so in many areas the two cities are growing together and only a city limit line separates them. This has caused problems between the two communities related to the approval of incompatible land uses across city limit lines and varying philosophies/policies regarding the function and location of arterial and collector streets. Further complicating these issues is the fact that the extraterritorial area of the two cities overlap, and there is some competition for new growth areas. Techniques which could be applied in other Metropolitan Areas n Formulation of recommendations for future ROW acquisition and access management along corridors identified as future arterial roadways - Adoption of the study provides a guideline for the County and townships with regard to ROW requirements and limited access policies that should be implemented, even if they are decades in advance of urban development in the area. n Formation of a review process for future land use and transportation changes in the area defined as the "fringe area" - Planners from all three jurisdictions and the MPO will convene to discuss the effects of proposed land use or roadway changes in the fringe areas, where they have the greatest potential to effect the other two jurisdictions. Input from the group will be provided to the Planning Commission considering the Table of Contents Gray Page 2 proposed change. A process for this was set up in the study. n Incorporated land use and transportation plans of all three jurisdictions onto a single map - The map then became a tool for review and discussion of incompatible land use combinations and transportation planning issues. As a result of the review process described above, the map will be updated and refined on a regular basis. n Development of a map showing likely first and second tier of future urban development -Projected annual acreage of urbanization was calculated, resulting in "moderate" and "high" development scenarios for the metropolitan area. The results will be used to guide the cities during decisions regarding infrastructure expansion, etc. and also provide good public information. Table of Contents Gray Page 3 Introduction The purpose of the Fringe Land Use Guide and Transportation Plan was to help local governments work together to plan for transportation facilities in their growth areas. In addition, it was to assist local governments to work together to plan compatible land uses in their growth areas. The intent was to focus on land use compatibility with future transportation facilities and land use compatibility with adjacent land uses. The project was initiated by two elected officials who believed that more cooperation with regard to land use and transportation planning between the three neighboring jurisdictions of Fargo, West Fargo, and Cass County would be beneficial. Most of the local planning staff agreed, but the project was not well defined. In one or two of the participating jurisdictions, staff and/or elected officials viewed the project as an attempt to usurp local approval authority for development proposals. They seemed to fear that the project would give adjacent jurisdictions too much authority in what was developed in their own jurisdiction. One of the interesting aspects of the project is that it was strongly supported by the Cass County planning and engineering staff. These individuals had concern over land use, right-of-way, and access decisions that would be incompatible in a future urban situation. Evolution of Project Goals: One Product Leads to the Desire for another Product The study review committee for the project was made up of planning staff from each of the three local jurisdictions participating in the project. Engineering staff was consulted throughout the project. At various points throughout the project, the Study Review Committee was expanded to include an elected official from each jurisdiction. This allowed the staff on the Committee to present our decisions about the direction of the project and the products to a small group of elected officials for early feedback. This direction often resulted in an expansion of the project goals. Some examples of how the direction of the project evolved are described below. Study Area The initial focus of the study was a high growth area south of Fargo and West Fargo, where the two cities were growing together and growing into the County. In addition, there is a significant amount of rural development taking place in this area. Upon consultation with the elected officials on the Study Review Committee after completing some of the initial products of the study, the study area was expanded to include all of the two mile extraterritorial zoning area of Fargo and one mile extraterritorial area of West Fargo. Land Use Planning Initially, the focus of the project was to compare land use plans that had already Table of Contents Gray Page 4 been prepared by the Cities, for the purpose of identifying any areas where land use planning adjacent to city boundaries was incompatible with land uses in the adjacent jurisdiction. This effort was carried out by compiling the land use plans of the two jurisdictions, and placing them on a single map. Several potentially incompatible situations were identified and discussed as to how the land use plans could be changed to eliminate the incompatibility. Since the City of Fargo did not have a comprehensive land use map that included all of their extraterritorial area and West Fargo had not updated its comprehensive plan since the mid 1980s, there was a significant amount of extraterritorial area in which no future land use planning had been carried out. In addition, Cass County does not carry out land use planning or zoning, and one of the six townships within the study area had a zoning ordinance which dealt with rural types of development. The lack of planning in the extraterritorial area became very obvious to the elected officials when the land use plans of the two cities were plotted on one map showing city boundary lines and extraterritorial limits. At this point, the Study Review Committee decided to develop land use "guidance" for the rest of the extraterritorial area. This resulted in a cooperatively developed land use map including the entire extraterritorial area of both jurisdictions. Functional Class Designations and Right-of-Way Requirements With regard to transportation planning, the project was originally intended to identify future urban roadway designations in the extraterritorial area and several miles beyond. Future arterial roadways were identified up to approximately five miles beyond existing city limits. Specific locations for collector streets were only identified in the first mile or two beyond existing city limits, since those were the areas in which more detailed planning had taken place. In the remainder of the study area, it was noted that at least one continuous north/south and east/west collector street was needed per section of land, to allow drivers to get from one arterial to another without significant diversion through neighborhoods. Upon further discussion by the Committee, it was determined that it would be important to determine the amount of right-of-way that exists in the location of the future arterial roadways. Most of these arterials will be located on existing section lines, where a minimum of 66 feet of right-of-way already exists. Some facilities have varying amounts of right-of-way, ranging from 66 feet to 150 feet. The Committee agreed to recommend that right-of-way of 150 feet be preserved for all future arterial roadways. This was based on three reasons: 1) a ROW of 150 feet is needed for a two lane paved rural roadway and road ditches, 2) a ROW of 150 would allow for a future four lane roadway with left and right turn lanes, a raised median, boulevards, a Table of Contents Gray Page 5 sidewalk on one side, and a bikeway on the other side, with adequate ROW for expansion to a six lane roadway if needed, and 3) the public had recently responded very positively to landscaping of wide boulevards on a corridor which was recently reconstructed, and the general feedback was that future corridors should be designed similarly. This compilation of ROW data and recommendation for ROW preservation of 150 feet went beyond the original scope of the project. Cooperative Review Process In the early stages of the project, it was thought that after the two land use maps had been compiled onto one map, a series of discussions would take place to address incompatible land use combinations, or land uses that were incompatible with future arterial roadways. However, as these discussions took place, it became obvious that although the committee could formulate a recommendation for correcting these situations, the elected leaders would not find it acceptable to modify existing land use plans through the adoption of this multi-jurisdictional study. Rather, they strongly viewed land use decisions as an area on which they would act independently, and would not easily change as a result of pressure from a neighboring jurisdiction. Therefore, any changes to address incompatible land use combinations would needed to be completed later, after local consideration of the recommendations of the fringe area study. The Committee considered what action could be taken through this study to prevent future incompatible situations. The outcome was the development of an on-going cooperative review process agreeable to all jurisdictions. This process will be described in further detail later in this paper. Map of Growth Tiers Initially, the Committee was asked to consider estimating the future growth rates for the purpose of developing maps which showed the extent of urban expansion in five year increments. These projections were to be based on acreage consumption data of development that occurred over the past 10 years. Completion of this task was undesirable to local staff, who encountered obstacles such as inconsistent methods of gathering acreage information, and uncertainty of the direction of development even in the next five years. Due to uncertainty of a new elementary school location and the potential for the City of Fargo to establish Table of Contents Gray Page 6 incentives for development in one area of the City, local planning staff was uncomfortable with mapping a five year growth ring which was so subject to change. Due to these concerns, this effort was dropped from the scope of the project. After consultation with the elected officials, they suggested a 20 year growth estimate based on acreage consumption data. This effort was not as subject to the decisions close-at-hand which could have greatly influenced development in the next five years, and was completed as part of the project. Different Approach The order in which the land use and transportation elements of this study were carried out was somewhat unusual. The transportation planning aspect of the project was the most agreeable aspect of the study, and was therefore completed first. This was due to the fact that Metro COG had traditionally been responsible for transportation planning in the metropolitan area. The Transportation Plan for the metropolitan area as well as other past studies provided valuable data to begin the process of extending arterial and collector roadway planning farther into the fringes of the urban area and beyond. Local staff was comfortable allowing Metro COG to lead the coordination effort and the staff input into the transportation element of the project. This was not necessarily the case with the land use planning efforts. Therefore, filling in the extraterritorial area with land use guidance was completed after the arterial roadways had been agreed upon. This is a different approach for planners who are accustomed to preparing traffic impact studies. Study Accomplishments Despite the difficulty in settling on a project scope, the Study Review Committee remained open to input from the elected officials throughout the project. The efforts of the Committee and the input from the policy makers yielded a study with several important products for the metropolitan area. They are listed below: Transportation • Cooperatively identified and agreed upon arterial roadways (most on section lines) - Continuity issues needed to be discussed and resolved in several cases; • Cooperatively developed a plan for collector streets in the first mile of fringe area development; • Agreed that at least one continuous collector street was needed per section; more than one in intense commercial areas or within the first mile of an interstate highway, where the dependence upon continuous collectors is more significant due to limited access onto and over/under the interstate; Table of Contents Gray Page 7 • Identified existing ROW and roadway surface; • Identified future ROW needs for fringe area arterials (150 feet) and collectors (80-100 feet plus 15 feet if a bikeway is planned); • Identified the need for future river and interstate bridge locations; • Familiarized elected officials with options for preserving and acquiring ROW; • Familiarized city, county, and township officials with the benefits of access management; Land Use • Prepared a map that combined the planned land uses of both jurisdictions in fringe areas - The map served to show the extent of extraterritorial area where land use planning was not carried out; • Cooperatively developed a land use "plan", or guidance for the entire extraterritorial area, accounting for existing and future features such as arterial roadways, sewage lagoons, airports, possible leasing and development of NDSU land, floodway data, etc. • Identified areas of potential land use incompatibility both across jurisdictional boundaries and across boundaries of the section-by-section s plans within the City of Fargo' study area; Early Steps of Growth Management • Identified a likely first "tier" of URBAN growth (urban versus the rural subdivisions currently allowed to occur in the area); • Developed a combined growth rate for the two cities (250 acres per year for the past 10 years, 525 acres per year for the past two years); (see Table 1 below) Table of Contents Gray Page 8 Table 1 Estimated Development within the Next 20 Years, 1997-2017 Fargo/West Fargo Urbanized Area Time Frame 20 Year Urban Development Tier 20 Year Urban Development Tier Plus for Planning Tier Development Acres Acres Total Acres Acres Total Acres Developed Developed Acres Developed Developed Inside Outside Inside Outside Existing City Existing City Existing City Existing City Limits Limits Limits Limits Percent/ Percent/ Percent/ Percent/ Acres Acres Acres Acres 1-5 Years 80% / 1000 20% / 250 1250 50% / 1375 50% / 1375 2750 Acres Acres Acres Acres Acres Acres 6-10 Years 50% / 625 Ac. 50% / 625 Ac. 1250 25% / 690 Ac. 75% / 2060 2750 Acres Acres Acres 11-20 Years 25% / 625 Ac. 75% / 1875 2500 10 % / 550 90% / 4950 5500 Acres Acres Acres Acres Acres Total Acreage 45% / 2250 55% / 2750* 5000 24% / 2615 76% / 8385** 11000 Acres Acres Acres Acres Acres Acres * Equivalent to 4.3 sections of land ** Equivalent to 13.1 sections of land • Used the lower growth rate to identify a 20 year growth tier, and the higher growth rate to identify a "planning tier" to demonstrate the need to increase planning efforts in these areas; and • Developed assumptions regarding the percentage of urban growth that would occur inside and outside existing (1997) city limits in 10 year increments. These were the accomplishments directly related to transportation, land use, and growth management. Perhaps the most important, on-going result of the study was the development of the Cooperative Review Process. It is discussed separately in the next section of the paper. Development of a Cooperative Review Process The most significant result of this project was the development of a Cooperative Review Process. The inclusion of this process in the recommendations of the study was also the most controversial aspect of the adoption of the project. The process was formed out of a desire to use the land use and transportation guidance developed in the study. It was also supported by staff as an opportunity to work with other local planners, and have increased opportunity to seek the input of Table of Contents Gray Page 9 other professionals during the planning process. On a less positive note, it was also formed as a result of a lack of trust between jurisdictions. The process is described below: Proposals of any kind that involve a land use or transportation issue are checked for consistency with the land use guidance in the fringe plan. If an inconsistency is noted, the Study Review Committee is reconvened. The Study Review Committee determines if it should support the change, based on whether or not the proposal appears consistent with the land use and transportation features agreed to in the Fringe Land Use Guide and Transportation Plan. It also determines what other changes might be needed to recreate a compatible situation if the proposal is approved. Written input is provided to the Planning Commission of the jurisdiction considering the project. This allows the Planning Commission to consider the point of view of the Committee who developed the Fringe Land Use Guide and Transportation Plan. Through this written input, the Planning Commission can consider the project from more of a "big picture" point of view, taking the joint recommendations of planners from neighboring jurisdictions into consideration. If a change is approved which creates an unharmonious land use or transportation combination, the Study Review Committee is reconvened to revise the land use guidance or transportation planning element. Another agreed upon feature of the process is that the land use guidance and transportation planning in the study are to be updated at least annually. Useful Applications in other Cities and MPOs Several lessons were learned throughout the development of this project that could be applied in other cities and metropolitan planning organizations. They are described below. Allow for the evolution of project goals - When local planners are asked to participate in a project that is not necessarily suggested by them or desired by them, patience is required to allow for the development of trust between the participants. During this time, the participants can begin to see possible benefits of carrying out a cooperative planning effort. Right-of-Way information for arterial and collector roadways - In situations where ROW information is not readily available and corridor preservation efforts are extremely important to the future of the transportation system, having a compilation of existing and future ROW information can help to prevent lost opportunities for obtaining the necessary future ROW. In addition, the inclusion of future ROW needs in this data base is equally as valuable as data regarding the existing ROW. Table of Contents Gray Page 10 Concept of establishing a land use "guide" combined with a transportation planning element - In a situation where an area is seriously lacking in land use planning, the establishment of a "guide" can serve as a first step. This step may help policy makers to become more comfortable with making future land use decisions in future growth areas rather than allowing the market to dictate future land use decisions. Use of Growth Rate Information - In situations where planners and policy makers are uncomfortable guiding or estimating short term growth, starting with a long range growth estimate is a good starting point. In this case a 20 year growth tier was established. A more recent, higher growth rate from past two years was used to establish another larger ring of growth, which was identified as a "planning tier". The establishment of the planning tier was helpful as it assists the public in understanding the purpose of future planning efforts being carried out miles from existing city boundaries. Cooperative Review Process - Establishment of a review process agreed to by all participating jurisdictions does not resolve existing land use inconsistencies, but it does set the stage for more cooperative planning and review of development proposals in the future. In addition, it provides the Planning Commissions and elected officials with a broader base of input both geographically and professionally. Educating Rural Townships - Through the public involvement process, property owners and elected officials were educated about how their decisions are related to future urban issues. Subdivision design, access management, results of increased traffic, and blending rural developments into urban settings were some of the subjects covered at these meetings, which were well received by property owners and township supervisors. Mapping Multi Jurisdictional Land Uses and Transportation Systems - The simple step of placing the future land use plans and transportation systems of all participating jurisdictions on one map provided an invaluable tool for furthering discussion of the land use and transportation issues. In addition, it helped participants in the project to move toward the goal of viewing the study area as one metropolitan growth area, versus individual jurisdictions pushing toward independent city boundary lines. Conclusion This project was an example of how a metropolitan planning organization can help bring about improved coordination and cooperation between jurisdictions within its study area. By consistently bringing this multi-jurisdictional Committee together to discuss the needs of the project, some of the resistance to working together was eliminated. Participation in the project also initiated discussions on several subjects that have become follow-up projects, such as a comparative study of subdivision regulations, a south side Red River bridge crossing corridor preservation study, and further efforts to establish growth management methods in the extraterritorial area. Table of Contents Session #5 Fort Ord Redevelopment: Coordinating Transportation and Land Use Planning Terry R. Klim, PE Doug Bilse, MS Principal Transportation Engineer Associate Transportation Planner SAIC Transportation Consulting Group Transportation Agency for Monterey County 2000 Powell Street, Suite 1090 312 East Alisal Emeryville, CA 94608 Salinas, Ca 93901 Phone: (510) 428-2550, Fax: (510) 655-5730 Phone: (408) 755-8960, Fax: (408) 755-4957 E-mail: firstname.lastname@example.com E-mail: email@example.com ABSTRACT The closure of military bases and conversion to civilian land uses is a challenging task faced by many small communities throughout the nation. Fort Ord is located in Monterey County, California and encompasses 28,000 acres of reprogrammed property. The twenty-year plan for the former military base involves replacement of 20,400 jobs and 12,800 barracks with 18,000 civilian jobs, over 13,500 residential units and a new state university for 25,000 students. The Fort Ord redevelopment plans were developed concurrently with a regional transportation study resulting in two important documents, the Fort Ord Reuse Plan/Environmental Impact Report and the Fort Ord Regional Transportation Study. This paper highlights how these two documents examined the transportation needs of the former base in context with the proposed regional transportation system. The planning process for Fort Ord redevelopment was generally considered a success in terms of forging a general consensus. The Fort Ord Reuse Plan received s the American Planning Association' 1997 Outstanding Planning Award for Comprehensive Planning in a Small Jurisdiction. These plans incorporated several multimodal elements that balanced optimistic mode shifts with historical auto use. Land use and development patterns were identified as important factors contributing to the use of alternative modes of transportation. By employing concurrent planning strategies, the base reuse plan was able to explore opportunities for coordinating land use and transportation planning. The concepts of jobs-housing balance, mixed-use development, and higher density land uses were successfully employed as a means of reducing potential impacts and minimizing infrastructure costs. To ensure coordination throughout the redevelopment process, the land use guidelines promoted transit and pedestrian oriented development while the roadway design standards incorporated pedestrian and bicycle facilities. The early phases of development on the former military base are centrally located along a corridor that can best utilize transit and s the existing infrastructure. This multimodal corridor serves the area' most pedestrian- and transit-oriented projects, the California State University of Monterey Bay and the University of s California' Monterey Bay Environmental, Science and Technology Center. Potential funding strategies for the proposed transportation improvements were also addressed. To support the possible implementation of a development-related financing mechanism, a nexus analysis of the proposed transportation improvements was conducted. The purpose of this analysis was to identify the "fair share" of each improvement that could be allocated to future development, both within the base and off-site. The resulting multimodal transportation plan and Table of Contents Bilse/Klim Page 2 financing strategies were designed to give local planners and policy makers the information needed to build a new community where development will not outpace the infrastructure. Table of Contents Bilse/Klim Page 3 Fort Ord Redevelopment: Coordinating Transportation and Land Use Planning 1. BACKGROUND Fort Ord is located in Monterey County, California adjacent to the Monterey Bay. It is in the County unincorporated area within the spheres of influence of the following cities: Marina, Seaside, Del Rey Oaks, and Monterey (see Figure 1). The effort was therefore multi-jurisdictional and involved several regional agencies creating a challenging political climate. For example, a simple relocation of a proposed shopping center to mitigate impacts meant transferring anticipated sales tax revenues and mitigation measures from one jurisdiction to another. The planning effort was further complicated because a national marine sanctuary to the west and prime agricultural land to the east border the former military base. Prior to closure, Fort Ord maintained 12,800 housing units and supported 20,400 military and civilian jobs. The Reuse Plan calls for 13,500 housing units and 18,000 new civilian jobs and a state university for 25,000 students. To put this planning effort into perspective, former Fort Ord represented approximately thirty percent of the combined population for the neighboring s Monterey Peninsula and over ten percent of the entire county' population. The economic impact Table of Contents Bilse/Klim Page 4 of the base, in terms of annual money spent (e.g., payrolls, construction, contracts and local purchases) was estimated at $538 million including a payroll over $447 million. This paper reports on the results of two planning efforts conducted simultaneously, the Fort Ord Reuse Plan undertaken by the Fort Ord Reuse Authority (FORA), and the Fort Ord Transportation Study managed by the Transportation Agency for Monterey County (TAMC). The FORA Reuse Plan includes a base-wide land-use plan, proposed General Plan amendments for each affected jurisdiction, business plan, public facilities improvement plan, and an environmental impact report (EIR). The traffic circulation element of the FORA Reuse Plan focussed on on-site transportation projects and land uses that best supported proposed development within the former military base. The Fort Ord Transportation Study forecasted regional transportation needs, designed a multi-modal transportation system for the Monterey County region, and quantified the financial burden of proposed development on and off the base. A critical aspect of these two reports was the need to assess traffic impacts without being critical of the plan or interfering with the jurisdictions' land use authority. It was important to use a regional perspective so that Fort Ord development was not singled out as the only development creating the need for the proposed transportation improvements. Several regional transportation facilities were critical to redeveloping the former military base, therefore the financial plan relied on a Fort Ord development fee and a regional traffic impact fee to produce a balanced and feasible financial plan that did not over-burden development on or off the base. The resulting developer fees were compared to anticipated land values, and revisions were made to the land uses, mitigation measures and phasing of the project until the plan was economical. The Fort Ord Reuse Plan had to use inventive measures that promoted alternative modes of transportation, while acknowledging that most of Monterey County residents currently drive in single-occupancy vehicles. The early phases of development are centrally located to best utilize s the existing infrastructure and a multimodal corridor designed to serve the area' most pedestrian and transit oriented projects, the California State University of Monterey Bay and the University s of California' Monterey Bay Environmental, Science and Technology Center. The local jurisdictions will greatly benefit if alternative modes are used by early development because the service life of the existing roadway system will be extended and costly capacity increasing roadway projects can be delayed or even eliminated. 2. A CONCURRENT, ITERATIVE PLANNING APPROACH Planning for the redevelopment of an area as large as Fort Ord involved a large number of stakeholders and a variety of technical considerations. Stakeholders involved in the process included jurisdictions/institutions expected to receive land on former Fort Ord, neighboring jurisdictions expected to be impacted by the redevelopment, regional/state agencies, and the general public. Technical considerations included environmental constraints related to coastal and agricultural concerns, water resources, and a limited existing infrastructure. In addition, over 70% of the base was conveyed to such agencies as the California State University, University of California, California State Parks District and numerous homeless shelters and social service agencies before either the land use or infrastructure plan were completed. Table of Contents Bilse/Klim Page 5 The comprehensive and concurrent method used in the Fort Ord planning process was an important reason for its success. This approach featured the simultaneous development of the Fort Ord Reuse Plan and the Regional Transportation Study as well as a new approach in using various technical and economic factors in the development of the land use plan. In the typical planning process, illustrated in Figure 2, land use or development proposals are primarily a desire recognized by the project sponsor. The development plan is almost finalized before the impacts and related mitigation measures are determined. The mitigation measures, including transportation improvements, are almost viewed simply as "a cost of doing business". This was largely the process used in the previous planning efforts for Fort Ord. These preliminary land use plans were a collection of long-range visions and reflected the individual expectations of the local jurisdictions. This initial plan included a disproportionate share of higher tax-generating uses with relatively few residential units. The impacts and related costs were considered late in the process and used to identify significant constraints to the optimistic initial plan and ultimately lead to the realization that a more reasonable plan was needed that minimized mitigation costs. Market Land Use Needs Market Assessment and Desires Assessment Regional Transportation Projections Considerations Technical Considera- Considera- tions Needs and Other Development Development Infrastructure Desires Considerations Proposal Proposal Traffic Water Air Geology Impact Analysis Reasonableness/ Quality Feasibility Check •Traffic •Water •Air Quality •Geology Mitigation Measures Mitigation and Costs Measures Figure 2 Figure 3 Typical "Cost-of-Doing-Business" Approach Concurrent / Iterative Process With this knowledge, the FORA Reuse Plan effort was initiated. This time a more comprehensive approach was undertaken. This approach, as illustrated in Figure 3, included the following features that contributed to the success of the Fort Ord effort: • Early consideration of technical factors - Land use planners worked with transportation, environmental, market analysis, economic, infrastructure and resource professionals to develop the reuse plan in an interactive and concurrent manner. This was achieved through a series of meetings at the outset of the project where all team members put forth their ideas, described constraints related to their technical filed, and commented on the initial proposals. From a transportation perspective, this provided an opportunity to incorporate several transportation-based strategies that could minimize the vehicular-travel impacts and to establish development patterns that were more conducive to non-auto modes of travel such as transit, bicycle and walking. Table of Contents Bilse/Klim Page 6 • Concurrent assessment of impacts – Once a preliminary land use element was established, each technical group assessed the impacts relative to their field of expertise and proposed the mitigation measures. Once again, several meetings were held to discuss intermediate results and potential revisions to the land use element that may reduce significant negative impacts. This ensured that all team members used the most current data and were properly informed of changes. • Iterative process - The FORA Reuse Plan incorporated a feedback between the mitigation assessment and the land use plan development. In this way alternative scenarios and refinements were tested to ensure that the resulting impacts fell within the constraints identified earlier. For example, the initial traffic impact analysis led to revisions in land use patterns to make better use of existing infrastructure and to reduce mitigation costs. Overall, this iterative process resulted in numerous revisions in the scale and/or pattern of land use, and especially the phasing of the redevelopment. As noted earlier, another important characteristic of the Fort Ord planning effort was the simultaneous performance of the Reuse Plan and Regional Transportation Study activities. This ensured that both local and regional concerns were addressed and that the analysis in both cases was based upon the same inputs and assumptions. Finally, this provided an opportunity for regional issues and impacts to be addressed not only through proposed mitigation measures but s also through refinements to the Reuse Plan' land use element. 3. KEY FEATURES OF THE REUSE PLAN The transportation system developed as part of the Reuse Plan and the Regional Transportation Study defines the long-term vision for a comprehensive circulation network within, through and around Fort Ord. This system includes freeway, arterial, bus and rail transit, and bicycle and pedestrian components brought together to provide the most effective design possible while enhancing the community and protecting the environment. It is important to note the strong relationship between land use and transportation, and the coordination that occurred in developing the land use and transportation plans for the former Fort Ord. The jobs/housing balance, land use densities, and urban form all played a significant role in the design of the transportation system. The transportation-land use relationship was used effectively with the objective of minimizing the impacts and costs related to the proposed development in two key ways: by encouraging the use of alternative modes and by maximizing the number of trips captured completely within the boundaries of the former fort. The following key concepts were employed in the preparation of the land use element of the Reuse Plan: • Jobs/Housing Balance: The Reuse Plan attempts to maximize the number of trips captured completely within the project boundaries by encouraging quality employers to locate near residential sites and add affordable housing near commercial employment centers. The initial land use plans had more jobs than the proposed housing could support, and this created a disproportional number of morning commuters entering Fort Ord from the surrounding areas. Table of Contents Bilse/Klim Page 7 The roadway system, in turn, had to be designed to serve a relatively large in-commute while traffic in the reverse direction was below capacity. The revised land use element improved the jobs/housing balance resulting in an even commute flow to and from the former military base, which in turn provided a better utilization of the roadway network. This reduced the average commute length, minimized the number of lanes on the major arterials, and potentially decreased transit costs by promoting equal ridership in each direction of service. • Mixed-Use "Villages:" In a mixed-use development, residents of the area can patronize the local commercial uses without using their auto and employees can eat lunch at the local eateries. The Reuse Plan includes two mixed-use villages adjacent to the CSUMB campus (see Figure 4) comprised of commercial, office and residential auxiliary uses. These villages are located near the proposed transit corridor and are primarily intended to provide services to the students and university employees. Table of Contents Bilse/Klim Page 8 • Higher Density Areas Adjacent to Major Corridors: It was recognized early on that there are few, natural major transportation corridors through Fort Ord. These were identified based upon topography, existing infrastructure, and current connections to the regional system. It was natural to make these corridors the focus of proposed transit services. In turn, to help support the effectiveness of transit, higher density development was prescribed for these corridors (see Figure 4). Having these higher density areas allows for achieving the desired levels of overall development, but helps to minimize the transportation impacts of that development. Higher densities in the mixed-use areas result in a decrease in the distances between uses, further encouraging walking and reducing vehicle travel. In single-use developments, higher densities can mean greater opportunities for carpooling and transit service. • Transit- and Pedestrian-Oriented Development (POD/TOD) Design: – In addition to land use patterns, the design of individual developments can impact the use of alternative modes. Providing convenient walkways and access to transit facilities can encourage use of these modes. The Reuse Plan includes guidelines that promote transit-oriented and pedestrian- oriented designs. To help support the effectiveness of transit, higher density development was prescribed along these corridors (see Figure 4). In single-use developments, higher densities can mean greater opportunities for carpooling and transit service. The next step was to develop a multi-modal transportation system that incorporated these land- use-based strategies. Streets and roads form the basic component of the transportation system, but the strategies discussed above were used to minimize traffic mitigation costs in the following transportation elements: • Roadway Element: The Fort Ord planning effort included the definition of an internal arterial network and the identification of regional roadway improvements needed to achieve acceptable levels of service. A total of $838 million in roadway improvements were identified, including $74 million for roadways within Fort Ord, $59 million for arterials outside the base, and $705 million for state highways. To support multimodal travel, the street cross-section design standards include right-of-way for bicycle and pedestrian facilities. • Transit Element: Although transit historically accounts for only a small percentage of all trips in Monterey County, it was felt that Fort Ord redevelopment provided an opportunity to establish more transit-friendly communities. A key to achieving this goal was developing land use patterns that are more likely to support transit use, are easier to serve, and provide ridership in each direction of service throughout the day. This, in turn reduces transit subsidies as more of the costs are recovered through the fairbox. The transit element includes expanded bus service, a long-term rail corridor to Salinas, construction of transit-related facilities (an Intermodal Center and two park-and-ride lots), and the purchase of new transit vehicles. Initially, the expanded transit service focuses on the higher density corridors near the CSUMB campus. • Pedestrian Element: A critical factor in promoting pedestrian activity is to have land uses that permit trips that can be easily and safely walked. Thus, the Reuse Plan includes requirements for sidewalks on all urban roadways, sidewalks and pedestrian walkways in major new developments and public facilities, and crosswalks at all signalized intersections and other Table of Contents Bilse/Klim Page 9 major intersections where warranted. The reuse plan includes several scenic paths near the campus where a high percentage of trips are expected by pedestrians and bicyclists. • Bicycle Element: To promote bicycle travel, the Reuse Plan includes the designation of a base- wide bicycle network that includes both commuter routes and recreational trails. The bicycle plan includes Class 1 bikeways on all urban arterials with lower class facilities on other roadways, and the provision of secure bicycle parking at centers of public and private activity. Once again, the land use pattern is critical in achieving a community that facilitates bicycle travel, especially near the college. 4. FINANCING STRATEGY A basic constraint to the implementation of the proposed system is the ability to fund these improvements. The financial plan required three steps: 1. Estimate the costs for each proposed project and summarize them into general funding categories; 2. Identify existing funds and estimate future local, state and federal funding allocations for each funding category; and 3. Propose potential funding sources for each funding category and determine if the expected shortfall can be reasonably financed. Table 1 breaks down the estimated transportation costs and indicates that the price tag to implement the proposed regional capital and operational improvements approached one billion dollars. Capital improvements account for nearly 88% of the total transportation costs associated with the proposed transportation system with the largest share needed for state highway improvements. Once the transportation system was defined and a cost estimate was completed, expected funding sources were identified to establish the estimated financial shortfall. Table 1 BREAKDOWN OF ESTIMATED COSTS BY IMPROVEMENT TYPE Improvement Type Estimated Cost Percent Share Total Capital Costs $857 million 88% Highway Capital Improvements $705 million 73% Regional Arterial Capital Improvements $59 million 6% On-Fort Ord Arterial Improvements $74 million 8% Transit Capital Improvements $19 million 2% Transit Service Expansion $112 million 12% (Operations and Maintenance) Service Expansion for Fort Ord $56 million 6% Service Expansion for Other Growth Areas $56 million 6% Total Transportation Costs $ 969 million 100% Table 2 highlights costs, expected funds, and anticipated shortfall by funding category. This table illustrates the key conclusion that existing sources are not expected to provide sufficient funding necessary for future improvements and new funding sources will therefore be essential to finance Table of Contents Bilse/Klim Page 10 the proposed improvements. In response to the anticipated funding shortfall, this study explored a number of options for funding the estimated $724 million shortfall in necessary transportation improvements. Because some funding sources are constrained with respect to the types of projects that may be funded, a main purpose of this report was to provide direction for financing the suggested improvements. One of the biggest challenges was to assign the costs without alienating the stakeholders. The potential funding sources focussed on development-related financing, but also included current state and federal funding allocations, tax increment financing, local-option taxes, and toll roads. Development-related financing is limited in that the amount contributed must be proportional to the impact of the new development, and in most cases developer fees are limited to capital costs only (i.e., transit operating costs are difficult to extract). To support the possible implementation of a development-related financing mechanism, a preliminary nexus analysis of the proposed improvements was conducted. The purpose of this analysis was to identify the "fair share" of each proposed improvement that could be allocated to future development. As part of this process, dedicated or expected funding for each improvement was identified, and the remaining balance distributed between Fort Ord development, non-Fort Ord development and public shares. These shares were determined based upon the projected relative contribution to the demand for an improvement. Table 2 ESTIMATED COSTS, EXPECTED FUNDING AND SHORTFALLS Improvement Type Costs/ Expected Funding ROADWAY CAPITAL Total Estimated Costs $838.0 million Expected Sources: $209.0 million Shortfall $629.0 million TRANSIT CAPITAL Total Estimated Costs $19.0 million Expected Sources: $ 0 million Shortfall $19.0 million TRANSIT OPERATIONS Total Estimated Costs $131.0 million Expected Sources: $ 36.0 million Shortfall $ 95.0 million ALL IMPROVEMENTS Total Estimated Costs $969.0 million Total Funding from Expected Sources $245.0 million Total Anticipated Shortfall $724.0 million For each roadway improvement, the nexus analysis involved the identification of the Fort Ord and non-Fort Ord contributions to the volume increase while the current congestion was assigned to the "public share" (to be financed by a proposed sales tax). For example, the former Fort Ord' s contribution to added trips is equal to the percent of growth (new trips) with one trip end in the Table of Contents Bilse/Klim Page 11 former Fort Ord. For financing purposes, a trip with only one end in the former Fort Ord was assigned 50 percent of the impact. Public shares were determined based on the need to correct existing deficiencies. Costs were also allocated to the public share where conditions suggested that a true nexus for development-related financing may not apply (e.g., a significant portion of trips on a segment having ends outside the study area). For transit service improvements and intermodal facilities, where numerical forecasts of use or demand were not available, the allocation of costs was based primarily on the geographic location of the proposed improvement. The results of the preliminary nexus analysis for individual projects are presented in Table 3. As indicated in Table 1, transit capital improvements represent a relatively small amount of the cost for new service while anticipated increases in operational and maintenance expenses represent the largest costs for providing transit service. With respect to transit operations and maintenance, expected funds for service improvements include those derived from the population- based Local Transit Fund (LTF) program, and from farebox revenues. It was assumed that the per capita transit funding from LTF will remain constant at $22. Therefore the LTF funds generated by Fort Ord population growth to the year 2015 is forecast to be $703,736, while that generated by off-site growth is $1,793,540. It was also assumed that a farebox recovery of 30% would be achieved and used to reduce funding needs for transit operating costs. At this level, farebox revenues are expected to cover $33.6 million of the estimated $112 million in service improvement costs. The estimated increase in operating funds still left a sizable shortfall that is expected to be funded by local contributions. Table 3 SUMMARY OF PRELIMINARY NEXUS ANALYSIS TOTAL COST SHARE ALLOCATION BY IMPROVEMENT TYPE Share Roadway and Transit Operation Total Transit Capital and Maintenance Improvements Improvements Dedicated or $209.0 $36.0 $245.0 Expected Funding Fort Ord $117.0 $38.5 $155.5 Development Non-Fort Ord $252.0 $37.5 $289.5 Development Unfunded Public $279.0 $0 $279.0 Share Total $857.0 $112.0 $969.0 The capital cost data from Table 3 is reorganized in Table 4 and used to estimate the developer fees on and off the base. All development was converted to "equivalent dwelling units", or s, EDU' based on the number of daily auto trips generated. That is, if a drug store generates 5 s. times as many daily trips as an average household, it is converted to 5 EDU' The proportion of traffic improvement costs allocated to Fort Ord development was divided by the forecasted s EDU' on the former military base to get a fee per equivalent dwelling unit. The Fort Ord Traffic Table of Contents Bilse/Klim Page 12 Fee was approximately $8,200 per EDU, while the Regional Traffic Fee approached $3,000 per EDU. The data from table 4 served as a reality check by identifying where the proposed funding sources will go in terms of projects. Current funding is primarily allocated to state highway projects, which remains significantly underfunded and will require traffic fees on and off the base and a proposed ½-cent sales tax to completely finance. The traffic fees on and off Fort Ord indicate the magnitude of the traffic impacts expected from proposed development. Of particular interest is the relatively balanced distribution of the proposed Fort Ord traffic fees. That is, the central location and land use plan on the former military base evenly distributes its impacts to the different transportation improvement categories and will require all types of transportation improvements to fully mitigate the assessed traffic impacts. Considering the magnitude of the Fort Ord Reuse Plan, it is important to note that its traffic impacts represent over half of the mitigation costs of all other development planned in Monterey County over the next twenty years. Table 4 SUMMARY OF PRELIMINARY NEXUS ANALYSIS CAPITAL COST SHARE ALLOCATION BY FUNDING SOURCE FACILITY Current Fort Ord Regional New Funds/ Funding Traffic Fees Traffic Fees Sales Tax State Highways ($704M) 143.0 60.0 210.5 291.1 Off-Site Arterial Improvements ($59M) 0.0 31.9 21.2 1.7 On-Base Road Improvements ($74M) 9.8 53.1 15.1 0.1 Transit Capital Improvements ($19M) 0 8.8 5.0 5.0 FUNDING SOURCE TOTAL 152.8 153.8 251.8 297.9 The team members from each discipline of this planning effort conducted a similar financial analysis for each type of mitigation. Preliminary results indicate that the mitigation costs for all types of environmental impacts on Fort Ord equate to approximately $60,000 per EDU. Unlike most development where the cost of land is negotiated before the mitigation measures are known, the land on former Fort Ord will be transferred from the Army to the Fort Ord Reuse Authority (FORA) and the price is currently being negotiated. The financial information generated from both reports was vital in these negotiations, as FORA can support its claim that the land value should be reduced by $60,000 per EDU. The financial analyst for this project concluded that the estimated fees should leave a residual land value after FORA pays the Army for the land. That is, the final base reuse plan resulted in reasonable land uses that are economically achievable and that a competitive market value for the land will remain to attract developers. 5. CONCLUSIONS A key feature of the Fort Ord Reuse Plan was the proposed phasing of development in terms of both density and location. This comprehensive phasing plan was developed to match development needs and impacts with the existing infrastructure and several near-term improvements. This approach allows time to secure the funding for major improvements that will Table of Contents Bilse/Klim Page 13 be needed as development spreads to areas lacking infrastructure and promotes increases in intensity creating greater demand to use existing facilities. One of the biggest benefits of this approach is that surburban sprawl is limited. Several bold assumptions were made as part of the financial plan used in both reports. The implementation of the regional impact fee and passage of a ½-cent sales tax appear to be overly optimistic. However, the overall effort led to a financially feasible FORA Reuse Plan that requires the implementation of an on-base traffic financing mechanism to insure mitigation measures are implemented. As some of the local jurisdictions begin to pay into the on-base fee program, which promotes more development, its benefits will hopefully spread and the regional impact will become a reality. The resulting regional impact fee is relatively small compared to existing fees in neighboring counties. This conclusion was expected to be well received by the policy makers and form the basis for the regional transportation plan over the next 20 years. However, several of the policy makers in Monterey County were not ready to support any regional traffic impact fee. The lack of support was mainly the result of the misinterpretation that traffic fees obstruct development and that the proposed projects over the 20-Year planning horizon were overly ambitious. Subsequent work will be required before the regional impact fee can be implemented. For example, policy makers should identify a subset of the transportation improvement projects s determined to be vital for the region' short-term economic development. This list could then be used to institute a short-term regional impact fee program that is more palatable. A primary goal of the TAMC Study was to assure that the general public would not have to finance development on the former military base. Most of the funds from the proposed sales tax would fund state highway improvements currently needed to ease existing congestion. As a reality check, the transportation costs allocated to the public sector is consistent with the funding expected to be generated from a countywide ½-cent sales tax over a ten-year period. The passage of any sales tax is difficult, and would be much more difficult had the public been given the impression that the tax would help finance development, or improve roads that aren' already t heavily congested. Although not without difficulties or disagreements, the Fort Ord reuse planning effort was largely a critical success. Indeed, the Fort Ord Reuse Plan received the American Planning Association' s 1997 Outstanding Planning Award for Comprehensive Planning in a Small Jurisdiction. From a transportation perspective, there were several keys to this success: • Ensure that transportation considerations are an input to the development of the land use element. Consideration of potential traffic impacts early in the development of the land use plan is valuable in minimizing their magnitude and the costs for mitigation. • Educate stakeholders about the potential impacts and costs of development early in the planning process. It was easier to promote the concepts of multi-modalism and land use/transportation integration once policy-makers were shown the cost savings of this approach. Table of Contents Bilse/Klim Page 14 • Interact with other professionals. Foster communication, let ideas and concerns flow between disciplines, address problems quickly, tailor strategies to the situation, and be creative. Table of Contents Session # 5 ABSTRACT Priority Technique for General Aviation Airport Investments in Tennessee Dr. David B. Clarke, P.E., Asst. Professor Department of Civil Engineering Clemson University Clemson, SC 29634-0911 864.656.3313 864.656.2670 (fax) email@example.com and Dr. Frederick J. Wegmann, Professor Department of Civil and Environmental Engineering University of Tennessee Knoxville, TN 37996-0700 423.974.5255 423.974.2889 (fax) One issue state departments of transportation must address is the allocation of funds among competing general aviation airport projects. For example, the Tennessee Aeronautics Division administers an annual program for funding projects at airports throughout the state. Although the annual funding available from state and federal funds for the program is currently almost $12 million, the demand for projects far exceeds the available monies. Further, continued reductions in the Federal Airport Improvement Program (AIP) funding for small airports has increased the competition for funding. For many years, general aviation airport projects in Tennessee were awarded on a first requested, first funded basis. With the increase in requests and the reductions in funding, a rational system for project selection was needed. Accordingly, the Division developed a scoring system to rank and prioritize projects. The system considers a variety of factors for each project, including safety, economic impact of the airport, and usage. The State Transportation Equity Fund, created in 1986 by act of the General Assembly, is the principal source of state funding for airport improvement. Taxes on the sale of aviation fuel are collected by the fund and allocated to the Department of Transportation for use in the airport program. The program received about $11.1 million from the Equity Fund during 1997. Using these funds, the Department makes statewide grants to Tennessee air carrier and general aviation airports to support safety, airport improvements, and landside improvements. The Department will cover up to 75 percent of the total cost, depending upon the type of project. The Aeronautics Division also serves as the administrator in Tennessee for grant applications to s the Federal Aviation Administration' (FAA) AIP for all airports except primary commercial s service. Since over 90 percent of the state' 78 general aviation airports are located in small or medium sized communities, the prioritization technique has extensive implications on the economic development associated with airport investments for these communities. Table of Contents Wegmann and Clarke Page 2 The paper describes the prioritization technique developed for the Tennessee Aeronautics Division. Point scores are awarded in relation to project objectives, type of improvement, airsides versus landside functions, airport usage, and sponsor responsibility. Discussed are the advantages and disadvantages of using a formal prioritization technique and how the benefits and costs of projects were considered along with issues of providing equity among airports of different sizes and economic development potential. Table of Contents Wegmann and Clarke Page 3 Priority Technique for General Aviation Airport Investments in Tennessee Overview s General aviation (GA) facilities comprise the vast majority of the nation' civilian airports. In contrast, commercial service airports having regularly scheduled passenger service are a relatively small percentage of the airport population; these primarily serve large and medium sized population centers. GA airports vary widely in terms of intended function, services, aircraft rating, intensity of usage, and support facilities. However, in common they exist to serve the non- commercial segment of the aviation industry. This includes a diversity of users, among them recreational aircraft owners, agricultural pesticide applicators, cargo and passenger charter operators, and corporate aircraft. Some airports cater to a single market segment, while others serve elements of several of these groups. Typically, GA airports are limited by runway characteristics to the smaller propeller driven and jet aircraft, although a few have the capability to handle the largest jets used in passenger and cargo service. General aviation airports are frequently associated with specific communities. While common, by no means is municipal ownership or control the norm. Ownership by county governments or independent airport authorities also occurs frequently, with state government and private sector GA airport ownership less common. Regardless of ownership, however, the primary markets for most GA airports are the urban areas within reasonable proximity, typically as measured in driving time. Most small and medium sized communities view their associated GA airports as important assets in the quest for economic development. This is especially true when the community either has no commercial service airport or is poorly served by one. Industrial recruiters consider the lack of a suitable GA airport to be a major detriment in enticing industries to locate in an area without commercial service. Many corporations use business aircraft to transport executives to remote plant sites. In addition, they may use charter air cargo operators or corporate business aircraft to bring high priority shipments of critical components or raw materials to a factory site or to make emergency deliveries from plants to key customers. Such companies are felt not to be likely to locate in areas without a suitable GA airport. Besides business uses, GA airports may also provide economic benefits from usage by the recreational aircraft community, including both based aircraft and itinerant operations. In some cases, tourism is an important segment of such usage. Many states have an agency charged with promoting aviation, setting aviation policy, ensuring coordination with federal funding agencies, and providing grants for airport construction and maintenance. Typically, the state department of transportation (DOT) performs these roles. One important issue state DOTs must address is the allocation of funds among competing GA airport projects. For example, the Tennessee Department of Transportation (TDOT) Aeronautics Division administers an annual program for funding projects at airports throughout the state. Although the annual funding available from state and federal funds for the program is currently almost $9 million, the demand for projects exceeds the available monies. Further, continued reductions in the Federal Aviation Administration (FAA) Airport Improvement Program (AIP) funding for small airports have increased the competition for funding. Many other states grapple Table of Contents Wegmann and Clarke Page 4 with similar problems. To address airport funding distribution, Tennessee and other states have developed project priority ranking systems which attempt to score projects based up a specified formula and set of criteria. A major issue with such systems is the balance between the state perspective and the interests of the local community served by the airport. As a state agency, a DOT must, of necessity, balance the statewide role of the airport system against the local issues associated with each individual facility. This paper describes the prioritization approach developed for the TDOT Aeronautics Division. For many years, GA airport projects in Tennessee were awarded on a first requested, first funded basis. With the increase in requests and the reductions in funding, a more formal system for project selection was needed. Accordingly, the Division developed a scoring system to rank and prioritize projects. The system considers a variety of factors for each project, including safety, economic impact of the airport, and usage. Point scores are awarded in relation to project objectives, type of improvement, airsides versus landside functions, airport usage, and sponsor responsibility. Discussed are the advantages and disadvantages of using a formal prioritization technique, how the benefits and costs of projects were considered, and issues of providing equity among airports of different sizes and economic development potential. Also discussed is how the prioritization technique is an element integrated with long-range planning and the capital improvement program. Background s The State of Tennessee has a long history of involvement in aviation. Tennessee' policy is that every community of 2,500 or more in population will be no farther than 30 minutes driving time s from an airport. With minor exceptions, this goal has been fulfilled. The state' approach has been to encourage the development of GA facilities by local interests, with state and federal grant monies made available to aid construction. Only one of the 78 GA airports in Tennessee is state owned— a rural facility serving Reelfoot Lake in the northwest corner of the state. Most of the remainder of the airports are owned by county or municipal governments, although eight are privately owned, public use facilities. Fixed base operators run the publicly owned airports. The Tennessee State Transportation Equity Fund, created in 1986 by act of the General Assembly, is the principal source of state funding for airport improvement. Vendors of aviation fuel in Tennessee report annual sales to TDOT, which then requests an appropriate share of the s collected taxes from the state' Department of Revenue. The Fund generated about $11.1 million during 1997. The annual total fluctuates because of variations in amount of aviation activity, though in general it has been on an upward trend. Because fuel tax revenues are generated by both commercial and GA aircraft operations, the Equity Fund is not devoted strictly to the GA airport system. The current disbursement program allocates 50% of the Fund revenues to commercial service airports for use as the required local match on FAA funded projects. Forty percent of the revenues are then earmarked for the GA airport program, with the remaining 10 percent available for discretionary purposes. In 1997, the Fund provided slightly in excess of $4.4 million for GA airport improvements in Tennessee. Table of Contents Wegmann and Clarke Page 5 Using Equity Fund monies, TDOT makes grants to GA airports statewide to support safety, airport improvements, and landside improvements. The Aeronautics Division is responsible for awarding and administering these grants. Grants will cover up to 75 percent of the total cost, depending upon the type of project. Airports are required to provide a local match for the remainder of the required project funds. For all except primary commercial service airports, the Aeronautics Division also serves as the state administrator for grant applications to the federal AIP. This program is awarded by the FAA to TDOT on a block grant basis. In 1997, $4.5 million was available, with no local match required. The AIP does have eligibility requirements, however, which must be met by applicants. In summary, Tennessee has available some $9 million annually for investment in the GA airport system. These monies provide the major funding base for all capital improvements to the publicly owned GA airports in Tennessee. Few of the cities and towns served by GA facilities would be able to bear the complete cost of such improvements. Thus, the state provided funding is essential to the system. However, the demand for funding greatly exceeds the available money. Since only a portion of the requested projects can be funded, the issue of equitable distribution of funds to meet both state and local goals has been of great concern. Planning Framework The TDOT Aeronautics Division plays an active role in helping to promote and maintain the GA system. As a state agency, TDOT must approach its activities with a statewide perspective. This introduces the potential for conflict between local interests and state interests, which of necessity are much broader. To minimize such problems, and to promote objectivity, the concept of s prioritization has been firmly integrated into TDOT' aviation planning process. Prioritization is supported by long range planning, functional classification, capital improvement planning, and by a formal project priority ranking procedure. Figure 1 shows the overall relationships of these elements. Policy and Oversight The Tennessee Aeronautics Commission consists of members appointed by the Governor to represent aviation interests across the state. Theoretically, the Commission ensures that the s state' aviation activities do reflect local issues and concerns. Commission members provide policy guidance to Division staff reviewing grant applications. The Commission also votes to approve all major grant applications, thus imposing an implicit prioritization on projects. However, Commission decisions are actually advisory recommendations to the TDOT Commissioner. Since the Commissioner is free to make the binding decision, ultimate approval resides within the DOT. In practice, the Commission is rarely overruled, but the possibility exists. Long Range Planning The Aeronautics Division performs the statewide planning process for aviation, with one product of this being the long range Tennessee Airport System Plan. Elements of the planning process are Table of Contents Wegmann and Clarke Page 6 done on a regional level within the state. Note that while these regions focus upon areas of the s state, they do overlap the state' boundaries to reflect actual aviation markets. For each region, planners consider regional economic forecasts, aircraft activity forecasts, the existing airport infrastructure, and the economic impacts of airports. In assembling the regional evaluations into a comprehensive plan, TDOT considers statewide goals for service availability, development strategies, growth expectations, and economic activity forecasts. A statewide systems analysis is performed to develop recommendations for improvement and funding programs to meet state goals and objectives. The final system plan is the result of an iterative process that, when complete, provides a budget, maintenance, and developmental programs to guide state aviation activities for a multi-year period. The plan is the first step in an overall prioritization process for aviation improvements. As part of the overall planning process, the Aeronautics Division has developed a functional classification system for GA airports. Each such airport in the state has been assigned to one of the following classes: GA Business Service; GA Community Service; GA Limited Service; GA Local Service; or Private, Public-use. The functional classification of each airport, updated as s part of the long-range plan, defines the role of that airport and thus the state' interest in its infrastructure investment. Higher functional classifications represent airports with greater levels of activity, potential for growth, and regional economic significance. Typically, higher classed airports have infrastructure to support larger aircraft and to handle higher volumes of operations. This is not always the case, however, because some airports have deficiencies to be remedied by capital investment. Short Range Planning s The second level in the TDOT' planning process is the airport Capital Improvement Plan (CIP). The purpose of the CIP is to help the Aeronautics Division budget for future needs while allowing owners to plan for airport maintenance and development. Owners are charged with evaluating pavements, facilities, and standards issues and annually submitting a list of potential projects to TDOT. Aeronautics Division staff select projects for inclusion in the CIP based upon goals in the long-range plan, budget projections, and scores generated by the priority ranking system described below. While the CIP is updated annually, it contains a three-year horizon of potential projects. Thus, the CIP is oriented towards the short term. A key aspect of the CIP process is that it requires airport owners to submit project proposals, other than for emergency repairs, on a periodic basis, rather than the ad hoc fashion of previous years. Thus, all project proposals arrive at the same time and can be evaluated together. If a project falls in a CIP out-year, a project grant proposal must be submitted during that year and the project re-evaluated. Note that projects not on the CIP can be requested, but they will receive a lower priority for consideration. The initial call for candidate projects to be considered in the CIP resulted in 540 projects, with a total value of $170 million. The difference between the requested amount and the $9 million available per year underscores the need for a prioritization process. Project Scoring and Ranking Table of Contents Wegmann and Clarke Page 7 The third level in the planning process is the Airport Project Ranking System (APRS), TDOT' s procedure for ranking proposed projects at GA airports. APRS is both a procedure for ranking airport projects and a computer software package which implements the procedure and allows groups of projects to be ranked. By evaluating the relative scores of projects, TDOT planners can determine which projects should receive priority in funding. Projects that do not score in the upper portion of the range for the current CIP cycle are unlikely to be selected. Since over 90 s percent of the state' GA airports are located in small or medium sized communities, the prioritization technique has extensive implications on the economic development associated with airport investments for these communities. The role of APRS in the project selection process is a focus of the next section of the paper. Project Ranking Procedure This section describes the implementation and structure of APRS. In APRS, projects are categorized by their location within the airport, e.g. runway, taxiway, terminal, etc. There is an implicit hierarchy of locations with airside locations (runway, taxiway) having an overall higher priority than landside locations (terminal, hangar, etc.). Each location has one or more project types that might be performed to improve the airport. Project types, for example, might include runway lengthening, navigational aid installation, hangar construction, or paving an access road. In general, the project types represent generic activities performed commonly among the airports within the system. The APRS software implementation is a Windows application for Intel-based personal computers. Like most Windows programs, APRS employs a graphic user interface employing menus and forms to control program execution. Using the computerized ranking procedure, a complete set of projects can be viewed or printed in order of descending score. APRS creates and/or maintains information in a number of databases. The main working data set is the project database, which contains a list of projects for which a ranking is to be established. Users may create one or more project databases, depending upon needs, project categories, etc. Project information includes airport, project type and location, estimated cost, request date, and disposition. The project rank is determined according to a set of criteria described further below. s APRS interfaces with the Aeronautics Division' Airport Information Management System (AIMS) to obtain necessary information on facility characteristics and operations levels. Table of Contents Wegmann and Clarke Page 8 Scoring Formula Project scores in APRS are computed according to the following formula: St = Spt + Saa + Ssr Where: St = Total project score Spt = Project type score (max. 50 pts.) Saa = Airport activity score (max. 30 pts.) Ssr = Sponsor score (max. 20 pts.) The scoring formula permits a maximum project score of 100 points. Project Type The project type score is assigned based upon the nature and location of the project within the airport. In general, project types having a pure safety function score highest, with maintenance next highest, then upgrading followed by capacity. For example, the system assigns 49 points to a project that corrects unsafe runway surface failures, but only 19 to a project to increase runway dimensions or strengthen pavement to handle larger critical aircraft. Airport Activity The airport activity score accounts for various factors relating to the amount of activity at the airport. Busier airports should receive a higher score than lightly used ones. All other things being equal, the scoring formula allots slightly higher scores to airports having high levels of activity. Airports with a higher functional classification also receive slightly higher scores to reflect their importance to the system. The composite score for airport activity is: Saa = Sio + Sba + Sfc Where: Saa = Total airport activity score Sio = Annual itinerant operations score (max. 15 pts.) Sba = Airport based aircraft score (max. 10 pts.) Sfc = Airport functional class score (max. 5 pts.) The formula allocates 30 total points for airport activity. APRS obtains data on the airport class and operational levels from files in AIMS. Current values are always used in scoring. Table of Contents Wegmann and Clarke Page 9 Sponsor Responsibility This scoring category reflects the degree to which the sponsor takes proactive measures to operate and maintain the facility in a highly professional manner and in compliance with applicable guidelines and licensing criteria. These categories include: • publication of an airport operations manual, • overall maintenance of facility, • implementation of a pavement management system, • implementation of hazard restriction zoning around the airport, • implementation of land use zoning around the airport, • compliance with state licensing requirements, and • participation in the capital improvement planning process. Compliance with all categories reflects a well-managed airport and gains increased points for projects for that airport. The CIP process gains airports points for participation and for submitting a request for a project in the current CIP. To help equitably distribute projects, however, airports with several ongoing projects may have points deducted from a project score. The composite score for sponsor compliance is: Ssr = Slc + Smt + Soo+ Som+ Shz+ Slz+ Scp+ Spm Where: Ssr = Total sponsor responsibility score Slc = Licensing compliance score (max. 5 pts.) Smt = Maintenance quality (max. 4 pts.) Soo = Outstanding obligations score (max. 0 pts., min. -5 pts.) Som = Operations manual score (max. 2 pts.) Shz = Hazard zoning score (max. 2 pts.) Slz = Land use control score (max. 2 pts.) Scp = Capital improvement plan score (max. 3 pts.) Spm = Pavement management system score (max. 2 pts.) The total number of points available for the composite score is 20. Implications of the Priority Ranking Approach The ranking procedure insures that all projects are put on a competitive basis. Objectivity is provided for by the allocation of scarce resources among communities. Projects are placed on a uniform funding cycle so that comparisons can be easily made. An essential aspect of APRS is the functional classification plan. The smallest airports with little use will have investment limited to essential safety improvements. Other facilities in the lower functional classes will not be likely to have capacity or upgrade projects selected. This may make the owners of these facilities uncomfortable, but from a statewide perspective, it makes sense Table of Contents Wegmann and Clarke Page 10 when resources are scarce. However, with the emergence of specific development proposals, functional classification can be altered. Despite the impact of functional classification on the score, airport owners have a chance to gain some offsetting points in the sponsor responsibility category. This rewards owners who protect their investment by complying with state guidelines and best industry practices. It also provides some equity in project distribution by deducting several points from the score of airports with multiple ongoing projects. The priority ranking score reflects existing conditions and provides no direct recognition for development. This was deliberate. GA airports can stimulate economic development and serve as a catalyst to attract industry. There are specific examples where airport improvements were necessary to attract a specific industry. However, this is not predictable and a good GA facility is a necessary, but not sufficient condition for industrial recruitment. Rather than projecting or predicting development, the priority ranking system focuses on existing goals— enhancing safety, emphasizing projects of regional or statewide significance, and providing a good return on investment by ensuring utilization. Certainly, however, a proposal related to a firm development opportunity will receive special considerations and may have the priority altered. Rather than considering economic development explicitly in the priority ranking system, TDOT considers economic development potential for an airport in the long-range planning process and the functional classification. Project scores do not consider the magnitude of funding required. The ranking process is strictly to determine the relative importance of projects according to benefit. Explicit tradeoffs between budget and project costs are made in the CIP. Project cost is really impractical to include in the formula because many projects are still in the conceptual state when submitted and lack detailed cost estimates. The ranking process does not mean that a project will never be funded. It is simply a means for s prioritizing a current year' proposed projects to determine which should receive limited funds. Projects with high scores will be placed in the CIP, for programming either in the current year or in an out year. Non-qualifying projects may always be revised and resubmitted in a later year. It should be noted that the ranking system is a tool, and, under extraordinary circumstances, a project may always be selected regardless of rank. A review of the prioritization formula used for 1998 projects indicates that critical (safety, maintenance) projects in airports with high utilization rank highest. However, good projects in airports with lower usage levels will be in the upper tier. The scoring formula has been calibrated to provide reasonable tradeoffs. The same is true for lower tier projects. Non-critical projects in high utilization airports do fall into the lower tier and are unlikely to be selected. Thus, the system seems to be performing as intended. It is fully expected that, as more experience is gained or circumstances change, the formula weights will need to be adjusted or new factors added. However, initial indications are that the ranking process is meeting state goals. An additional indication that the system is working is its acceptance by the airport owners. The priority ranking system provides a "level playing field" for airports seeking grants. An owner Table of Contents Wegmann and Clarke Page 11 s clearly knows how projects are ranked, and what the chance for a particular project' funding is. The feeling that politics are involved in the selection process— formerly a major concern— is largely alleviated. If a project can be demonstrated to have economic development implications, it may be approved regardless of the score, but such cases are expected to be extraordinary. Conclusions GA airports in Tennessee, while owned at the local level, depend upon federal and state grant money for needed capital improvements. Tennessee annually has about $9 million available to support such projects— an amount far less than that required. Accordingly, some method is required to prioritize projects so that the most critical ones receive funding. At issue with GA airport funding is the conflict between local and state interests. These airports are frequently viewed by their owners as critical assets for industrial recruitment. At the local level, frequently all projects are considered to be critical, since each owner sees its facility as the universe. The DOT, however, must consider regional or statewide interests, and the state s perception of an airport project' criticality may be far different than the local owner's. The development of a statewide planning process which is sensitive to the role of GA airports in promoting and sustaining economic development is essential to meeting both local and state goals. TDOT has implemented a comprehensive planning process that seems in spirit to meet these goals. This process involves the following elements: • An Aeronautics Commission representing local interests to provide policy guidance and approve projects; • Implementation of a long-range planning process which assembles regional analyses including aviation activity, economic forecasts, and economic impacts of airports into a plan that specifies budget, maintenance, and developmental programs to meet state goals and objectives; • Development of a functional classification system in which GA airports are classified according to their role in the statewide system; • Implementation of a short-term capital improvement planning process which, in compliance with the long-range plan, identifies specific high priority capital and maintenance projects and allocates budget resources to them; and • Development of a system for objectively scoring projects according to a specified set of criteria and ranking them by score. Prioritization is inherent in each step of this overall process. The prioritization process, which considers both state and local interests, brings objectivity to the programming of airport improvements. With a clearly defined set of priorities, TDOT can maximize the effectiveness of the airport grant program by funding those projects that make the greatest contribution to the system. Table of Contents Wegmann and Clarke Page 12 Functional classification is an important element of prioritization. By functionally classifying an airport, TDOT implicitly ranks that airport in terms of its importance to the state system. Classification is determined through the long-range planning process; the CIP and project ranking process explicitly consider the functional classification in ranking projects by importance and in programming them for implementation. To perform the initial ranking of candidate projects, TDOT uses APRS. Projects receive an objective score based upon project type, airport activity, and sponsor responsibility, with the airport and sponsor categories being composite totals that consider a number of factors. Airport owners have the opportunity to earn project points by complying with a set of best practices and state guidelines. The set of ranked projects can then be evaluated for inclusion in the capital program for the current or subsequent years. Thus far, APRS has been well received by both state and local aviation officials. The rational approach to investing in GA airports in Tennessee has put economic development on an objective basis. Rather than relying on vague references to economic development in the programming process, reliance will be placed on long-range planning and functional classification to adequately assess the economic development potential of an airport. Table of Contents Session #5 State/Tribal Transportation Planning Relations and Strategies Michael P. Partridge, AICP, Regional Planning Manager Washington State Department of Transportation Transportation Building PO Box 47370 Olympia, Washington 98504-7370 360-705-7964, 360-705-6813 (Fax) firstname.lastname@example.com Abstract Both ISTEA and the creation of Regional Transportation Organizations, growth management legislation, have resulted in a greatly increased need to coordinate transportation planning with Native American Tribes. Some of the problems encountered are lack of coordination between tribal transportation plans and state and regional transportation plans. This lack of coordination in many ways has hindered the ability to construct a seamless multimodal transportation network in some areas of the state. Washington State has responded to this challenge by joining with the tribal nations to hold an annual Tribal/WSDOT Transportation meeting. Since 1994, the two groups have met annually to discuss mutually agreed upon issues. At the conclusion of each meeting, advisory groups have been formed, with membership from both the tribes and WSDOT, to work on identified issues. Before the next annual meeting the advisory groups meet and formalize recommendations and solutions to the issues. These recommendations are then brought forward to the entire group at the next annual meeting.. Some of the issues that have been addressed so far: Issue Solution Tribal knowledge of ISTEA Transportation Guidebook for Tribal Governments Tribal Representation on RTPOs Many Tribes are now represented on RTPO advisory and policy boards Tribal Representation on Transportation Pending Commission Some of the lessons learned in this process are: that tribal nations are sovereign nations and each tribe deals with transportation issues differently; you must develop relationships with tribal nations before you can solve the problem; you must go slow--- the Tribal timeline is not the same as s WSDOT' timeline. Table of Contents Partridge Page 2 State/Tribal Transportation Planning Relations and Strategies In this paper I will to give the reader some background information on governance in Washington, identify some key transportation planning issues, describe how transportation planning is accomplished in Washington, describe some lessons learned in working with the tribal nations in Washington and outline some real successes. To begin, the state of Washington has 27 federally recognized tribes in the state. Each tribe is a unique sovereign nation. When I first began working with tribal governments it became obvious they take their sovereignty very serious. For example at a tribal conference a tribal chair explained his position as being equal to the President of the United States but he would "stoop as s low as the governor' office if he had to." In addition there are 39 counties, 277 incorporated cities and towns, 8 Metropolitan Planning Organizations (MPOs) and 14 Regional Transportation Planning Organizations (RTPOs) in the state. Each of these governments is unique and has specific transportation planning requirements and issues that they must deal with. Due to the variety of governments and issue's coordination is at best difficult. The importance of Tribal Sovereignty was strengthened when then Governor Booth Gardner signed the Governors Accord in 1989. The Accord is a document that reinforced the fact that each tribal government is an independent sovereign nation and each department within the state must initiate policies and strategies to work with each tribal government. In 1993 the Washington s State Department of Transportation (WSDOT) responded to the Governor' Accord by joining with the Tribal nations in a Tribal/State Transportation Meeting in Olympia. During this one day meeting the state tried to respond to transportation issues. During the meeting the Tribes indicated that they were not as familiar with ISTEA as the State. At the conclusion of this first meeting, WSDOT, with tribal assistance, agreed to write a manual to assist the tribal governments in working with the State in implementing ISTEA. The result is the Guide to Tribal Transportation Planning in Washington State. A copy of this document was provided to each tribal nation. Key Issues When dealing with tribal nations it is important to keep in mind that each one is unique. Each tribe has a separate council and each tribe only speaks for themselves. They are fiercely independent. Each tribe has different priorities, and may or may not have the resources to staff planning organizations within their structure. One thing that is universal throughout the state is that the transportation needs for tribes far exceeds the transportation revenues that are currently available in the state. In addition, planning funds that are available to tribes through the Bureau of Indian Affairs is insufficient. Although construction funds available to the tribes can also be used for developing transportation plans for their reservations few take advantage of it since those funds would be substituted for capital improvements which are also very much needed. Table of Contents Partridge Page 3 Transportation Planning in Washington State In 1990, Washington State passed the Growth Management Act (GMA). The law requires that the fastest growing communities in the state to develop comprehensive plans that link land use with transportation facilities. Twenty-nine of the 39 counties and their cities and towns are currently planning under the GMA. Tribal governments although impacted by growth, cannot be required to plan under GMA. s: The GMA can be characterized by the 4 C' Consistent, Coordinated, Comprehensive and Concurrency. Consistent-The GMA requires that each city or county required to plan under the act must develop a plan whose planning elements are internally consistent. This means that the data used for the land use assumptions must be the same that are used to develop the transportation, water, sewer, park, school and other municipal capital facilities' plans. The counties and cities are also required to develop development regulations that are consistent with the plan. Coordinated-The GMA requires that each adjacent jurisdiction coordinate with each other to insure coordinated development of capital facilities and land use patterns. At first this was a difficult task since many jurisdictions did not coordinate with their neighboring jurisdictions and unincorporated county areas. Comprehensive-The GMA requires that each jurisdiction cover the same areas such as land use, transportation, housing, environmentally sensitive areas, water, sewer, schools, parks and recreation to name a few. The comprehensive plan is to cover a 20 year planning horizon. Each jurisdiction must determine where they anticipate the growth will occur and where new capital facilities will be required to serve the growth. Concurrency-Providing the facilities as growth occurs is a cornerstone of the act. Specifically for transportation facilities there must be a funding mechanism to pay for new facilities within 6 years of the growth activity that needs it. The GMA allows for concurrency for other capital facilities to accommodate growth but it requires it for transportation impacts caused by growth. Unfortunately, tribal nations are not required to plan under the GMA. Coordination and cooperation between cities and counties are therefore hampered as a result. Regional Transportation Planning Organizations were also authorized by the GMA. RTPOs are made up of a county or counties and their cities and towns comprising a minimum population of 100,000. Jurisdictions comprising 75% of the population must agree to form an RTPO. The State Legislature funds the RTPOs. The major duties of the RTPOs are to: develop a Regional Transportation Plan (RTP); Develop a 6 Year Regional Transportation Improvement Plan to implement (RTIP) the RTP and to review the transportation element of local comprehensive plans and certify that they are consistent with the RTP. ISTEA enhancement projects were also prioritized through the RTPOs. Table of Contents Partridge Page 4 RTPOs are voluntary organizations. They are very similar to MPOs except that they look at both rural and urban transportation needs. All but one county belongs to an RTPO. San Juan county in the northwest corner of the state has no regional facilities other than the Washington State Ferry System that serves the islands. Although tribes are not required to belong to an RTPO many do voluntarily. In fact some RTPOs have included tribal membership on their policy boards. Many tribes have successfully competed for ISTEA enhancement funds through the RTPO process. In addition many transportation facilities that are important to tribal lands have been included in the RTPs and RTIPs. Prior to ISTEA Washington State began developing a 20 year Multimodal Transportation Plan. The plan identifies the current state owned and state interest transportation facilities. Those areas included in the state owned are aviation, state and interstate highway facilities and the ferry system. Bike, pedestrian transit, freight and intercity rail facilities are included in the state interest plan. The plan is fiscally constrained. The plan identifies funding sources and strategies to meet the identified service objectives for each mode. The Washington Transportation Commission prioritizes the state program and projects based on the plan. The Plan satisfies both state and federal law. The 14 RTPOs work in coordination with the state to develop the plan. A comprehensive s outreach and public involvement plan are used to insure that all of the state' stakeholders are included in the development of the plan. The RTPOs include tribal participation in this effort. Lessons Learned Tribal governments are very protective of their sovereignty and they are very independent. It is very important to develop a relationship with each tribe before proceeding with a plan or program that may impact them. Like local governments one tribal council does not speak for a successive one. Local agencies must be very patient when working with tribes. In some case a tribe has been working on the same issue for many years. Local and state agencies must involve tribes very early in the process to be successful. When addressing a tribal council, silence does not mean concurrence. In many cases councils will want to fully digest what it is that you are proposing. In summary to be successful in working with tribes, learn their culture and show respect for it and always keep in mind that Indian time is different than yours. Successes Since 1993 WSDOT and the tribes have met annually. At each meeting participants have focused on previously agreed issues. Formal joint committees have been formed each year to develop policies regarding these issues. For example, to meet the needs of the tribal governments in understanding how transportation planning was accomplished in Washington state, the Guide to Tribal Transportation Planning in Washington State developed by a joint committee. As a result of another annual meeting a group was formed to develop a model memorandum of understanding stating how WSDOT would coordinate with tribal governments on construction projects. Table of Contents Partridge Page 5 In addition, there has been an increase awareness of and respect for tribal sovereignty. As a result WSDOT/Tribal relations have improved in many areas. Prior to holding these annual meetings tribal participation in RTPOs was low. Today, approximately 75% of the tribes participate in the RTPO process. In closing, although Tribal/WSDOT relations are not perfect in Washington state, there is a process that is working to some degree. In Washington State we have a Governor and Secretary of Transportation that are committed to improving how state government agencies work with our tribal partners. Table of Contents Introduction Purpose of This Guidebook This guide is meant to serve as a tool to assist agencies and Indian tribal governments in understanding transportation related funding, planning, rules and regulations, and processes. This guide is especially oriented towards issues and concerns of Indian tribal governments as related to transportation. Scope and Limitations This guidebook is just that — a guide, no more or less. The reader should refer to materials referenced in this guide for more details on a specific subject. For example, the ISTEA Application Handbook for Local Governments dated March 1993 provides a more complete description of the funding programs and the processes to obtain them. Similarly, the report: Washington State STIP — ISTEA Handbook for the Statewide Transportation Improvement Program, dated August 1993, provides details on the Transportation Improvement Program and the State Transportation Improvement Program (STIP). Implementation of projects is only covered briefly as the TransAid document, the Local Agency Guidelines (LAG) manual, is the guide for this purpose for federally funded projects. Similarly, individual state programs each have their own procedural requirements which are cross-referenced in this application guide for Indian tribal governments. Additional Sources of Information For the reader, a reference source is provided of materials, agencies, and others that can help when questions arise on various aspects of transportation that are not covered in this brief guide. Acronyms and definitions in transportation are listed to assist the reader in understanding some of the terms commonly used by transportation planners, engineers, and by government officials in general. These are included in the appendix. Of particular note is a guide developed by the Association of Washington Cities entitled State Agency Assistance for Local Governments. This catalog of available funding sources for various state and federal funds also includes hints on writing proposals for funding projects and programs. The "catalog" covers more than transportation funding sources. Table of Contents Additional Sources for Help Following is a listing of people who can be contacted for particular questions on transportation: Washington State Indian Tribes.c. (Federally Recognized) Chehalis Tribe Tribal Planner Chehalis Business Council PO Box 536 Oakville, WA 98568 (360) 273-5911, Olympia 753-3213, Fax (360) 273-5914 Colville Confederated Tribes Tribal Planner Colville Business Council PO Box 150 Nespelem, WA 99155 (509) 634-4711, Fax (509) 634-4116 Lummi Tribe Tribal Planner Lummi Business Council 2616 Kwina Road Bellingham, WA 98226-9298 (360) 734-8180, Fax (360) 384-5521 Makah Tribe Tribal Planner Makah Tribal Council PO Box 115 Neah Bay, WA 98357 (360) 645-2205, Fax (360) 645-2323 Hoh Tribe Tribal Planner Hoh Tribal Business Committee HC 80, Box 917 Forks, WA 98331 (360) 374-6582, Fax (360) 374-6549 Jamestown S' Klallam Tribe Tribal Planner Jamestown S' Klallam Indian Tribes 1033 Old Blyn Highway Sequim, WA 98382 (360) 683-1109, Fax (360) 683-4366 Kalispel Tribe Tribal Planner Kalispel Business Committee PO Box 39 Usk, WA 99180 (509) 445-1147, Fax (509) 445-1705 Elwah S' Klallam Tribe Tribal Planner Elwah S' Klallam Business Council 2851 Lower Elwha Road Port Angeles, WA 98362-0298 (360) 452-8471, Fax (360) 452-3428 Puyallup Tribe Tribal Planner Puyallup Tribal Council 2002 East 28th Street Tacoma, WA 98404 (206) 597-6200, Fax (206) 272-9514 Quileute Tribe Tribal Planner Quileute Tribal Council PO Box 279 La Push, WA 98350 (360) 374-6163, Fax (360) 374-6311 Quinault Nation Tribal Planner Quinault Business Committee PO Box 189 Taholah, WA 98587 (360) 276-8211, SCAN 576-7284, Fax (360) 276-4191 Muckleshoot Tribe Tribal Planner Muckleshoot Tribal Council 39015 172nd Avenue SE Auburn, WA 98002 (206) 939-3311, SCAN 477-3997, Fax (206) 939- 5311 Nisqually Tribe Tribal Planner Nisqually Indian Community 4820 She-Nah-Num Drive SE Olympia, WA 98513 (360) 456-5221, SCAN 234-0332, Fax (360) 456-5280 Nooksack Tribe Tribal Planner Nooksack Indian Tribal Council PO Box 157 Deming, WA 98244 (360) 592-5176, Fax (360) 592-5721 Port Gamble S' Klallam Tribe Tribal Planner Port Gamble Business Committee 31912 Little Boston Road NE Kingston, WA 98346 (360) 297-2646, SCAN 356-4583, Fax (360) 297-7097 Squaxin Island Tribe Tribal Planner Squaxin Island Tribal Council SE 70 Squaxin Lane Shelton, WA 98584 (360) 426-9781, Fax (360) 426-6577 Stillaguamish Tribe Tribal Planner Stillaguamish Board of Directors 3439 Stoluckguamish Lane Arlington, WA 98223 (360) 652-7362, SCAN 464-7012, Fax (360) 435-2204 Suquamish Tribe Tribal Planner Suquamish Tribal Council PO Box 498 Suquamish, WA 98392 (206) 598-3311, Fax (206) 598-6295 Sauk-Suiattle Tribe Tribal Planner Sauk-Suiattle Indian Tribe 5318 Chief Brown Lane Darrington, WA 98241 (360) 436-0131, Fax (360) 436-1511 Shoalwater Bay Tribe Tribal Planner Shoalwater Bay Tribal Council PO Box 130 Tokeland, WA 98590 (360) 267-6766, Fax (360) 267-6778 Skokomish Tribe Tribal Planner Skokomish Tribal Council North 80 Tribal Center Road Shelton, WA 98584 (360) 426-4232, Fax (360) 877-5943 Spokane Tribe Tribal Planner Spokane Tribal Business Council PO Box 100 Wellpinit, WA 99040 (509) 258-4581, Fax (509) 258-9243 Swinomish Tribe Tribal Planner Swinomish Indian Senate PO Box 817 LaConner, WA 98257 (360) 466-3163, SCAN 576-7511, Fax (360) 466-5309 Tulalip Tribes Tribal Planner Tulalip Board of Directors 6700 Totem Beach Road Marysville, WA 98270-9694 (360) 653-4585, Fax (360) 653-0255 Upper Skagit Tribe Tribal Planner Upper Skagit Tribal Council 2284 Community Plaza Sedro Woolley, WA 98284 (360) 856-5501, SCAN 542-3175, Fax (360) 856-3175 Yakama Nation Tribal Planner Yakama Tribal Council PO Box 151 Toppenish WA 98948 (509) 865-5121, Fax (509) 865-5528 s WSDOT' Regional TransAid Contacts Additional assistance is available for your ISTEA funded projects. Contact s TransAid' Regional Engineers and their staff at one of the six WSDOT Regions in your area. Region Contact Telephone Northwest Terry Paananen (206) 440-4734 Sam Richard (206) 440-4736 Harry Haslam (206) 440-4737 North Central Stan Delzer (509) 663-9657 SCAN 565-9657 David Orange (509) 663-3147 SCAN 565-3147 Olympic Bob Holcomb (360) 357-2666 SCAN 357-2666 Jim Werle (360) 357-2609 SCAN 357-2609 Dick Egolf (360) 357-2631 SCAN 357-2631 Southwest Bob Elderkin (360) 905-2215 Tom Swafford (360) 905-2216 South Central Bill Linse (509) 575-2580 SCAN 558-2580 Dick Krouse (509) 575-2581 SCAN 558-2581 Eastern Brent Rasmussen (509) 456-3058 SCAN 545-3058 Jerry Kuntz (509) 456-3009 SCAN 545-3009 2:TA7 Chapter 1.c. Background Foreword The federal government recognizes 26 tribal governments in Washington State. Twenty-two of these are in Western Washington and four in the eastern part of the state. There are also 26 Indian reservations within Washington State as shown on the map. Many were formed following a series of treaties in the mid-1850s known as the "Stevens Treaties" after the Territorial Governor, Isaac Stevens. Subsequent to these treaties, reservations of a number of treaty tribes were modified or enlarged by statute or executive order. Together, the reservations comprise more than eight percent of Washington' s land base. The tribes also reserve certain rights to natural resources — specifically, the right to fish, to hunt, and to gather shellfish, roots, berries, and other foods. These are treaty-protected rights, under the U.S. Constitution. Tribal governments are not subdivisions of the state, but political entities, predating the U.S. Constitution and the colonization of this continent. Determined through early case law to be "domestic dependent nations," subject to the plenary powers of Congress, tribes have retained inherent sovereign powers and are recognized as distinct, independent, political communities. Sources of Tribal Government Authority The source of tribal government authority is different from that of state and local governments, which derive their power from the Constitution, state enabling legislation and administrative codes. In the case of tribes, each tribe derives its authority from its own internal laws. Virtually every one of these is the subject of one or more federal treaties or statutes that deal with it in individualized terms. Some tribes operate under their own constitutions, which are adopted by their membership and approved by the federal government pursuant to the Indian Reorganization Act of 1934. Other tribes operate under constitutions not related to the Act, and still others have no constitution at all. Functions of Tribal Governments Not only do tribal governments differ from state and local governments with regard to their source of power, they also differ with regard to their purpose. In addition to standard governmental functions as regulating, taxing and delivering services, tribal governments act to preserve and protect tribal culture, the tribal community and off-reservation treaty rights. As major landowners, tribal governments are also responsible for the development, management and operation of tribal economic enterprises. Tribal governments functions include: • Executive actions (similar to those taken by the governor of a state or the president of the United States). • Legislative actions (similar to those taken by the state legislature or the U.S. Congress). • General government administration (personnel management, budgeting, capital programming, intergovernmental affairs). • Public safety (police protection, tribal courts and prosecution, other legal services, fire suppression, emergency medical response). • Health care (mental health counseling, medical services, dental services, environmental health). • Public works/engineering/infrastructure development (roads, sewers, water, cable television, facilities management etc.). • Planning and community development (comprehensive planning, zoning, and land development regulation, environmental protection). • Education (Headstart, K-12 schooling, remedial schooling and GED testing, vocational schooling, college schooling, scholarship support). • Social service provision (daycare services, recreation services, youth and elderly services, child welfare and protective services). The Indian Tribes of Washington Confederated Tribes of the Chehalis Reservation Located in Grays Harbor County the reservation was created by executive order in 1864. Made up of the Chehalis and Kwaiailk tribes, the reservation population is 308 Indians with 183 non-Indian. Land area of the reservation is 4,225 acres made up of 2,067 Indian lands and 2,158 acres on non-Indian land. Enrolled membership in the Confederated tribes is 500 people. Constitution and bylaws were approved by the Commissioner of Indian s Affairs in 1939. The reservation' chief governing body, the Chehalis Community Council, is composed of all qualified voters on tribal rolls. The Council elects a five-member Business Council that manages the tribe' s property and assets, administers tribal funds and programs, and enforces ordinances. Each council member serves two-year terms. The Confederated Tribes of the Chehalis are a non-treaty tribe, but have water rights. Confederated Tribes of the Colville Reservation Located in Eastern Washington, this confederation includes the following tribes: Colville, Entiat, Methow, Nespelem, Nez Perce, Sinkaietk, Palouse, Sanpoil, Senijextee, Sinkiuse, and Wenatchee. Enrolled members are 7,400 in number. The reservation population is 6,957 (3,788 Indian and 3,169 non- Indian). Land area of the reservation is 1.4 million acres of which 1,120,000 is Indian land. The reservation was established by executive order in 1872. Constitution and bylaws of the Confederation were approved by referendum in 1938. The Colville Business Council, the chief governing body of the reservation, s manages the tribe' pro