Pennsylvania

Community
Transportation
Initiative (PCTI)
2010 Program Guide

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

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 TABLE OF CONTENT

What is the Pennsylvania Community Transportation Initiative 3

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

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WHAT IS THE PENNSYLVANIA COMMUNITY TRANSPORTATION
INITIATIVE?

The Pennsylvania Community Transportation Initiative (PCTI) is a program

designed to advance Smart Transportation by incentivizing collaborative
decision-making, emphasizing regional, multi-municipal, and multi-agency
cooperation, as well as advancing integrated land use and transportation
decisions. Linking transportation requires a strong partnership between the
Pennsylvania Department of Transportation (PennDOT), Metropolitan
Planning Organizations (MPO)/Rural Planning Organizations (RPO), counties
and municipalities. To support the second round of PCTI, PennDOT has set
aside $12 million in each of the first two years of the 2011 Transportation
Improvement Program (TIP). This program utilizes 100% federal
transportation funds. All projects must meet applicable state and federal
guidelines, eligibility, and regulations. Both planning and construction
proposals are eligible to receive the PCTI funds. Requests for planning
proposals may not exceed $300,000 and construction proposals may not
exceed $1,500,000, including construction inspection.

WHAT IS SMART TRANSPORTATION?

Smart Transportation is partnering to build great communities for future

generations of Pennsylvanians by linking transportation investments and
land use planning and decision making.

The Smart Transportation initiative emphasizes allocating money to high-

yield and high value projects, investing in existing communities and
infrastructure, mixed use and more compact development, and linking them
to a variety of transportation options. PennDOT aims to partner with local
governments in order to influence land use to complement these goals.

Transportation professionals have advanced innovative solutions to

transportation problems. Unfortunately, too many transportation projects in
the past were developed following very exacting criteria, which was
generally applied regardless of the community context. This produced many
textbook style engineering solutions, drastically altering the community
character, by affecting a larger footprint than necessary to address the
original problem. This view of transportation problems and solutions
represents the challenge that exists in how we think about transportation in
our communities.

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Smart Transportation solutions emphasize the tenets of Context Sensitive
Solutions (CSS). CSS is an antidote to the “one size fits all” approach. It
requires that all transportation projects be planned and designed with
careful consideration of the local land use, economic, environmental, and
social contexts. As such, CSS emphasizes a collaborative and multi-
disciplinary approach, early and continuous engagement of stakeholders,
flexibility in design, and minimizing the impacts of projects to the
community.

For more information visit the Smart Transportation Website:

http://www.smart-transportation.com/

WHO MAY APPLY?

The following are eligible to apply for the PCTI program:

• Municipalities
• Counties
• Metropolitan and Rural Planning Organizations (MPO/RPO)
• Transit Agencies
• Educational institutions (Universities, Colleges, School Districts)
• Transportation Management Associations
• Other Public Bodies

All applicants must have a Federal Tax ID# to receive PCTI funding. Federal
Tax ID # may be obtained from the IRS at
http://www.irs.gov/businesses/small/article/0,,id=102767,00.html

Although it is not a requirement, non-governmental sponsors are

encouraged to work through a municipal or county governmental entity.

ELIGIBLE ACTIVITIES

Plans including integrated transportation and land use for districts and
corridors, regulatory and policy development, feasibility studies, and all
phases of project delivery including Preliminary Engineering, Final Design,
Right-of-Way/Easement Acquisition, Utility, and Construction are eligible for
the PCTI funds provided they meet one or more of the Smart Transportation
Themes (Smart Transportation Website: http://www.smart-
transportation.com/ ) and are eligible for federal funding (CFR Title 23).

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Smart Transportation Themes

Money Counts: All DOTs are currently operating in a hugely challenging

financial environment. Cost inflation has been rampant, sharply eroding
PennDOT’s purchasing power. Meanwhile, high gas prices are resulting in
people driving less for the first time since the 1970s leading to lower gas tax
revenue, transportation’s primary funding source. Smart Transportation
provides us with an innovative approach to these challenges so that we can
continue providing great service to the Commonwealth’s residents.

Leverage and preserve existing investments: Previous generations of

Pennsylvanians have made enormous investments in infrastructure. Those
investments can be seen all over the Commonwealth, from old stone arch
bridges to the cobblestone streets surrounding Independence Hall. As one
of the oldest states in the nation, Pennsylvania has spent billions over the
past 300 years building roads and highways, rail lines and runways, canals
and ports. Smart Transportation asks us to place an emphasis on leveraging
and preserving these existing investments when creating our programs.

Choose projects with high value/price ratio: Big, complicated projects

are often considerably more expensive and have more damaging impacts,
but may offer only limited increases in value over the smaller-scale and less
expensive options. For instance, if a large potential solution costs $50
million more than a simpler alternative, but only results in 15 seconds less
travel time delay through a corridor, is it worth the added cost?

Safety always and maybe safety only: Safety for all users remains the
most important consideration in planning and building our transportation
system. Smart Transportation does not change this focus, but simply asks
us to look for more innovative ways to continue improving our safety record.

Look beyond level-of-service: Conventional traffic performance

measures, such as “level-of-service” (LOS), have dominated how we
evaluate transportation problems and solutions; we should also begin
considering other performance measures to evaluate project need and
potential alternatives. These measures may include things like travel time,
multi-modal access, or the economic development opportunities certain
alternative might bring (or inhibit).

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Accommodate all modes of travel: An efficient transportation system
should consider the infrastructure necessary to support all modes of travel,
including walking, bicycling, transit, and private automobiles. This is
especially important in an era when many of our families are spending 30%
or more of their income on transportation.

Enhance local network: Disconnected, sparse local street networks

inevitably lead to significant strains on state roads. A highly connected local
network, which provides residents a variety of route options for their daily
needs, is necessary for state facilities to function as designed.

Build towns not sprawl: Transportation strongly influences existing and

future land uses and the character of local communities. Smart
Transportation asks us to consider the impacts of our transportation
decisions. Will they help create great places for people to live, or will they
encourage sprawl? Will they help a municipality achieve their economic
development goals? Does the project fit into the vision of the community?

Understand the context; plan and design within the context: Context-
sensitive solutions (CSS) has been a part of the Department’s vernacular for
many years. CSS is an antidote to the “one size fits all” approach. It
requires that all transportation projects be planned and designed with
careful consideration of the local land use, economic, environmental, and
social contexts.

Develop local governments as strong land use partners: PennDOT

does not have the jurisdiction to make land use decisions: we must partner
with local governments to ensure that transportation solutions are consistent
with a community’s land use goals, and that municipalities make land use
decisions that take into account corresponding transportation needs and
realities.

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IMPLEMENTATION

One of the major goals of PCTI is to provide timely demonstration projects

for PennDOT, municipalities, and planning partners to learn about the Smart
Transportation themes and principles and how they can be creatively applied
to current and future projects. The program is therefore prioritizing
applications that can be implemented quickly and fully constructed within
reasonable time frame and at a reasonable cost.

The proposal should be ready to start or let within a year and have sufficient
financial support to be fully implemented as described. In order to meet this
criteria, funds should be obligated (form D-4232 has been authorized) by
6/30/2012 and be bid by 8/12/2012. If the 8/12/2012 bid date is not met,
applicants will not receive PCTI funds and may be responsible for
reimbursing federal funds expended on the project to date.

Obligation is the Federal government's legal commitment (promise) to pay

or reimburse the States or other entities for the Federal share of a project's
eligible costs. A bid is the offer of a bidder, using either a compact disc or
the internet, to construct the project, at the prices bid or predetermined.

BIDDING AND USE OF CONSULTANTS

Local Project Sponsors generally work with a variety of organizations and

individuals such as local planning organizations, county officials, PennDOT,
and elected officials to put forward projects for consideration. A good place
to start investigating the applicability of a project for consideration as a
PennDOT local project is the PennDOT District Office. The District Office has
project staff who will provide guidance and information about getting
started. PennDOT will make available a designated District Project
Coordinator or Project Manager to work with the Local Project Sponsor. See
Appendix C for PennDOT Engineering District Contacts. In addition, local
projects involving federal or state funding are established through inclusion
in PennDOT planning and programming mechanisms. Coordination with
your local Metropolitan/Rural Planning Organization is necessary for initial
steps to begin the process.

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All local projects are managed by the Local Project Sponsor, which often is
the governing municipality. The Local Project Sponsor is responsible for
securing a consultant, managing the design process, and addressing the
Utilities, Right-of-Way, and environmental requirements. PennDOT is
responsible for verifying that the Local Project Sponsor has complied with
federal and state regulations and that federal and state funds are available
and eligible for reimbursements. When PennDOT bids a local project on
behalf of the Local Project Sponsor, all contractual arrangements remain
between the sponsor and the low bidder. In all projects, PennDOT provides
a District Project Coordinator or Project Manager representing the
Department who will provide an oversight role and serve as the primary
Department contact.

All project sponsors MUST become ECMS business partners.

It is important to note that eligibility to receive federal funds depends upon

compliance with federal and state laws and regulations. The designated
District Project Coordinator or Project Manager can provide advice on the
necessary steps.

Close coordination with the PennDOT designated District Project Coordinator

or Project Manager is necessary throughout the life of the project and, in
particular, before the local sponsor takes any actions to start the project.
Failure to adhere to the required procedures may be a violation of both
federal and state laws and regulations, may jeopardize the eligibility of the
project for federal and state funding reimbursements, and will most likely
introduce unwanted delay.

Written federal authorization, in the form of an approved Form D-4232

(Request for Authorization of Federal Funds), must be secured prior to
starting any work for which federal funding is requested. Form D-4232 is
the mechanism by which the Federal Highway Administration (FHWA)
authorizes spending of the federal funds and establishes the date of
eligibility for funding project activities. PennDOT staff will prepare the
necessary fiscal documents to secure the federal authorization of funding.

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Before receipt of the federal authorization of a future phase, prior phase
approvals must be secured. The designated District Project Coordinator or
Project Manager will provide guidance to the Local Project Sponsor for
drafting the necessary legal agreements. Such agreements will detail
services that may be required from sources other than the sponsor and
include fiscal reimbursement terms and forms. Failure to comply with the
agreement terms will jeopardize the federal funds for the project.

For federally funded design projects, PennDOT will assist the Local Project
Sponsor in preparing an engineering agreement between the Local Project
Sponsor and its consultant. Typically, a third-party federal-aid agreement is
used. This agreement is a contract between a consultant and a Local Project
Sponsor receiving federal funds through a reimbursement agreement with
the Department.

In addition to the approval for federal funding, both an engineering

agreement with the engineering consultant and a reimbursement agreement
with PennDOT must be executed by the Local Project Sponsor.

A local project reimbursement agreement must be executed prior to

commencing any phase of the project (e.g., Preliminary Engineering, Final
Design, Right-of-Way Acquisition, Grade Crossing Coordination, Utility
Relocation, Construction activities) that is funded with federal and/or state
funds. This agreement is required to document the conditions for payment
of work completed on the project. The PennDOT District Office will prepare
the local project reimbursement agreement for the Preliminary Engineering,
Final Design, Right-of-Way, Grade Crossing, Utilities, and Construction
phases for both federal and non-federal projects.

The designated District Project Coordinator or Project Manager has

Department approved reimbursement agreement templates that will be used
in the development of all new reimbursement agreements. The approved
templates facilitate a more efficient review process.

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The following guidelines may be used in preparing the agreement:
• Only those phases included in the current TIP will be covered.
• The standard reimbursement agreement template will be used for this
agreement.
• Disadvantaged Business Enterprise (DBE) participation requirements
must be consistent with Publication 93, Procedures for the
Administration of Consultant Agreements, Chapter 6, Administering
Third Party Federal-Aid Agreements.
• As appropriate, consult Publication 541, Local Bridge Program Delivery
Guide.
• Costs for each phase will be limited to the amount approved in the TIP.
• The project reimbursement agreement must be prepared, fully
executed and approved prior to initiating any reimbursable (federal-
aid) activities. Discuss the timing for execution and approval with the
designated District Project Coordinator or Project Manager.

The PennDOT District Office will obtain the appropriate sponsor’s signatures
on the project reimbursement agreement and then submit the agreement to
the Department’s Central Office (Office of Chief Counsel) for PennDOT
execution and legal and fiscal approvals. A resolution from the Local Project
Sponsor is also required for the Department to execute the reimbursement
agreement. The resolution must authorize the appropriate officials to sign
and attest the reimbursement agreement. Current policy requires that
agreements be forwarded to the Central Office within 60 days after the Local
Project Sponsor signs the agreement. The processing time for this
agreement may take from 2 to 6 months and typically requires 90 days for
execution.

If applicants are requesting funds for Preliminary Engineering and

Construction all funds for each project phase need to be obligated (form D-
4232 has been authorized) by 6/30/2012 and be bid by 8/12/2012 to meet
the criteria.

In accordance with Commonwealth Management Directive 310.30, issued

May 24, 2007, relating to the Pennsylvania Electronic Payment Program and
the establishment of the Automated Clearing House Network (“ACH”) as the
Commonwealth’s preferred method of payment, the following provisions are
hereby added to the Agreement:

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The Department will make payments to the Sponsor through ACH. Within
10 days of executing this Agreement, the Sponsor must submit or must have
already submitted its ACH information on a ACH enrollment form (obtained
at www.vendorregistration.state.pa.us/cvmu/paper/Forms/ACH-
EFTenrollmentform.pdf) to the Commonwealth’s Central Vendor
Management Unit at 717-214-0140 (FAX) or by mail to the Central Vendor
Management Unit, Bureau of Financial Management, Verizon Tower—6th
Floor, 303 Walnut Street, Harrisburg, PA 17101-1830.

The Sponsor must submit a unique invoice number with each invoice
submitted. The unique invoice number will be listed on the Commonwealth
of Pennsylvania’s ACH remittance advice to enable the Sponsor to properly
apply the state agency’s payment to the respective invoice or program.

It is the responsibility of the Sponsor to ensure that the ACH information

contained in the Commonwealth’s Central Vendor Master File is accurate and
complete. Failure to maintain accurate and complete information may result
in delays in payments.

Because federal funding will be used for all or a portion of federal/local or

federal/state/local projects, it will be the responsibility of the Local Project
Sponsor, its professional consultant(s), and contractor(s) to maintain all
appropriate records for possible review by state or federal auditors. These
records will include, but are not limited to:
• Project plans
• Financial documents
• Meeting minutes
• Consultant selection documents
• Project scoping notes
• Environmental clearance document (CEE)
• Right-of-way and utility clearances
• Construction bidding documentation
• Project-related correspondence
• Accounting records
• Supporting cost proposals
• Employee time records
• Payroll records
• Invoice documentation support for all work in all project phases

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These records must be retained for a period of three years from the date of
submission of the final voucher to the FHWA. The Local Project Sponsor
agrees to satisfy the audit requirements contained in the federal Single Audit
Act of 1984 (31U.S.C.Section 7501 et seq.). Failure to comply with federal
procedures could result in loss or repayment of federal funds.

However, the retention requirements for right-of-way records differ. Right-

of-way records for claims in litigation must be maintained as long as the
litigation is pending. They then must be retained for 20 years after the
litigation is closed.

In accordance with the reimbursement agreements the Sponsor shall

maintain, and it shall require its consultants and contractors to maintain, all
books, documents, papers, records, supporting cost proposals, accounting
records, employees' time cards, payroll records and other evidence
pertaining to costs incurred in the Project and shall make such materials
available at all reasonable times during the contract period and for three (3)
years from the date of submission of the final voucher to FHWA, for
inspection and/or audit by the Department, the FHWA or any other
authorized representatives of the state or federal government; and copies
shall be furnished, if requested. Time records for personnel performing any
work shall account for direct labor performed on the Project as well as the
time of any personnel included in the computation of overhead costs. In
addition, a complete record of time shall be kept for personnel assigned
part-time to the Project. A record of time limited to only their work on this
Project will not be acceptable.

All projects on the program are split into phases that are listed below. Not
all phases are required for each project. For example, Right-of-Way activity
may not be needed on maintenance type projects. Federal funding requires
that project phases be done in order; for instance, a project needs
environmental clearance (an element of Preliminary Engineering) before it
may proceed to Final Design. The Local Project Sponsor should discuss the
order for accomplishing the project development phases and their elements
with the designated District Project Coordinator or Project Manager. In
addition, project cost estimates need to be as accurate as possible,
associated with the year of expenditure, and reflect all project phases.
• Preliminary Engineering
• Final Design
• Right-of-Way
• Grade Crossing
• Utilities
• Construction

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A more detail explanation of project bidding and consultant selection is
available in the Overview of PennDOT Local Project Processes: A Guide to
Getting Started on a Local Project with PennDOT and Procedures for the
Administration
of Consultant Agreements (Consultant Version).

APPLICATION INSTRUCTIONS

ALL APPLICATIONS MUST BE RECEIVED BY THE PennDOT CENTER

FOR PROGRAM DEVELOPMENT AND MANAGEMENT PRIOR TO 5PM ON
WEDNESDAY, SEPTEMBER 15th, 2010.

General Application Instructions

This form is designed for use in the Adobe Reader application. If you do not
have Adobe Reader you can download this software from
http://get.adobe.com/reader/.

Within the Pennsylvania Community Transportation Initiative (PCTI)

Application Form, additional instructions have been built into the form to
provide descriptions and help to users while filling out the application. Hover
your cursor over the field and a help pop-up box will be displayed. The field
titles that have a red double asterisk (**) are required information. If all
required fields are not completed, the application cannot be submitted.
There are numerous fields that are not required. If data is not available for
these fields, leave them blank; however, be sure to concisely and accurately
complete all fields to the best of your ability so that the Review Committee
will have a clear picture of the current conditions and needs surrounding a
potential project.

Applicants are encouraged to download the PCTI Application to their

personal computer prior to entering the requested information. This allows
applicants to save information, should they require more than one session to
complete the form.

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The application is divided into eight distinct sections:
1. Project Summary
2. Project Sponsor
3. Project Overview
4. Project Support
5. Planning Proposal
6. Construction Proposal
7. Additional Funding
8. Terms and Conditions

Step-by-step instructions for each section of the application are provided on

the following pages.

Project sponsors without access to the internet may contact the

PennDOT Center for Program Development and Management for assistance
in completing an application. Internet access will be required if the proposal
is selected.

Section I: Project Summary

Project Title: Enter the official name that will be used to reference the
project from this point forward. Simple names are best. Consider the
primary project location and intent. (For example, Maple Street Station TOD
or Anytown Streetscape.)

Project Type: From the drop down select whether the project is a plan,
construction, or both.

Total Project Cost: Enter the total project cost including the project
components implemented to date, the amount of the PCTI request, and all
known future expenditures necessary to fully implement the project.

Amount Requested: Enter the total amount requested from the currently
available PCTI funds. Requests for planning proposals may not exceed
$300.000 and construction proposals may not exceed $1,500,000, including
construction inspection. If both planning and construction funds are
requested, proposals may not exceed $1,500,000. However, separate
applications may be submitted for planning and construction provided they
can meet all implementation requirements.

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 If the request is for a Construction Phase, please ensure that
Construction Management and inspection costs are included unless sponsor
is willing to bear them.

County: From the drop down select the county where the plan or
construction project is proposed or “Multiple” if the project affects a region.
Selecting the county will automatically populate the MPO/RPO and the
PennDOT District fields. If the plan or construction project impacts multiple
counties the application will prompt you to provide more detail. The detail
should include the appropriate counties, MPO(s)/RPO(s) and PennDOT
District(s) at a minimum.

Municipality: From the drop down select the municipality where the plan
or construction project is proposed. If the plan or project benefits more than
one municipality select “Countywide”.

The drop down will automatically list all of the municipalities within
the selected county.

Project Summary: Provide a concise overview of the proposed project. At

a minimum, describe where and what improvements are being requested
(i.e. sidewalks along 1st Street near Elm Elementary). Specific project
details will be requested later in the application.

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Section II: Project Sponsor

Project Sponsor: Enter the name of the Agency responsible for

implementation of the project.

The Project Sponsor is required to reasonably maintain any

infrastructure improvements that are funded through the PCTI program. In
most cases the education institution, transit agency, or municipality will
maintain ownership when the improvements fall within their right-of-way.
In cases where a county government or MPO/RPO is the sponsor, they may
wish to transfer ownership to the corresponding municipality. The Sponsor
shall have the right to transfer ownership and maintenance responsibilities
for the improvements constructed pursuant to this Agreement, subject to
prior approval by the Department. The Sponsor shall submit a letter to the
Department’s local Engineering District Office requesting approval to transfer
ownership and maintenance and stating the name and address of the entity
that will assume these responsibilities, which shall also sign the letter. The
Department shall signify its approval, which it shall not unreasonably
withhold, with the signature of its duly authorized representative on the
letter.

Sponsor Type: From the drop down select the most appropriate applicant
type based on the identified project sponsor. Applicants may select one of
the following: Municipality, Counties, Metropolitan and Rural Planning
Organization, Transit Agency, Educational institution (Universities, Colleges,
School Districts), Transportation Management Associations, or Other Public
Bodies.

SAP ID Number: Enter the project sponsor’s SAP ID Number if applicable.

It is not necessary to register as a business partner or obtain a SAP

vendor number at the time of the application; however it is required that a
sponsor become registered at their earliest convenience to facilitate the
reimbursement process, should their project be selected. Each project
sponsor must be a registered vendor in mySAP in order to receive funding.
mySAP is the accounting system and payment mechanism for PCTI projects.
Some sponsors may already be a registered business partner and have a
SAP number. To register as a vendor, log on to
www.vendorregistration.state.pa.us and register as a non-procurement
vendor. Questions about registering as a non-procurement vendor should
be directed to the Central Vendor Management Unit at 717-214-2868
(Harrisburg area) or 866-775-2868 (toll free).

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Additionally, the sponsor and the design engineer must be a registered
business partner in the Engineering and Construction Management System
(ECMS). The sponsor must log onto www.dot2.state.pa.us and then go to
“registered business partner” and register as a “municipality” regardless if
the sponsor is a municipality or not. If a sponsor needs assistance, please
call (717) 772-0566. This information is not requested on this application.

Federal ID Number: Enter the Project Sponsor’s Federal Tax ID #.

Street Address, City, & Zip Code: Provide the street address, city, and
zip code of the project sponsor. NOTE: If official correspondence is to be
sent to a post office box, please make sure to provide the nine digit zip code
associated with the post office box in addition to the physical street address.

Responsible Party: Provide the prefix, first name, last name, job title,
phone number, and email address of the person responsible for the PCTI
application. This person should be equipped to answer all questions relating
to the application and project.

Website: Identify the project website if available. If there is not a project

website, identify the website of the project sponsor.

Section III: Project Overview

Project Intent: Select from the drop down list the type of project that
most closely matches the intent of this proposal. The project types include:
• Bicycle/Pedestrian
• Corridor Management/Congestion Reduction/Signalization
Improvements
• Intermodal/Transit Oriented Development
• Land Use and Transportation Linkage
• Planning and Redevelopment
• Trails/Recreation
• Regional Planning
• Road/Intersection/Network Improvements
• Streetscapes/Traffic Calming
• Other
If “Other” is selected please provide the primary project type associated with
this proposed as prompted in the application.

Is This Proposal Consistent with an Existing Plan(s)?: Select Yes, No,

or Unknown from the drop down list. If “Yes” is selected please provide a
list of all relevant existing plans as prompted.

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Location Description: Provide a description of the project location. Be a
specific as possible. For example, trail connecting Anytown center to
University of Anytown, or traffic calming on Main Street between Elm Street
and Maple Street.

Is This Proposal Eligible for Federal Funding?: Select Yes, No, or

Unknown from the drop down. All projects must be eligible for Federal
funding and be consistent with CFR Title 23.

Is This Proposal Located on the Federal Aid Highway System?:

Select Yes, No, or Unknown from the drop down. If the project is an
improvement to an existing roadway it must be identified on the Federal-Aid
Highway System to be eligible for funding.

Applicants may contact the Highway Performance Monitoring System

(HPMS) Coordinator in their PennDOT District to determine if a roadway is on
the Federal Aid Highway System. (See Appendix C for contact information.)

Statement of the Problem: The statement of the problem should not

exceed 500 characters. The statement should concisely document the need
and indicate why PCTI is the appropriate funding source.

Proposed Solutions and Actions: The proposed solution and actions

should concisely demonstrate how the project addresses the statement of
the problem and show the process from which the desired approach was
selected. It should also describe the scope of work and how the project can
be successfully implemented within the requirements of PCTI.

How does this proposal support smart transportation, a stronger

land use and transportation connection, more transportation
choices, social equity, economic competitiveness, and community
values?: One of the major purposes for advancing PCTI is to promote a
better understanding of how transportation projects impact the surrounding
environment (natural, societal, and cultural). The answers to these
questions should demonstrate how the project ties the quality and location
of transportation facilities to broader opportunities such as access to good
jobs, affordable housing, quality schools, and safe streets. This includes
addressing safety and capacity issues on all roads through better planning
and design, maximizing and expanding new technologies, and using Travel
Demand Management approaches to system planning and operations. The
desired outcome is a better and more sustainable transportation system for
all of Pennsylvania.

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List any pending or potential public or private development activities
that are known at the time and how they will impact the project:
Outline any known development activities and explain the stakeholder
coordination and communication effort, as well as, any known opposition.

Describe how any planned or scheduled projects (Federal, State,

Local, Private) may impact this proposal: Outline any known projects
and explain the stakeholder coordination and communication effort, as well
as, any know opposition.

Describe any potential impact on environmental features or public

controversy on environmental grounds: Outline any known impact on
the environment and explain any avoidance or mitigation opportunities.
Explain any stakeholder coordination and communication used to determine
avoidance or mitigation opportunities, as well as, any known opposition.

Describe any needed or acquired temporary or permanent

easements of Right-of-Way: Outline any known temporary or permanent
easement of Right-of-Way required to complete the project and explain the
status of the Right-of-Way acquisition, as well as, any known opposition.

Section IV: Project Support

Project Support: Enter any project supporters, the organization they

represent, and the role they play in project development.

Section V: Plan Proposal

Plan Proposal Information: This section of the application should only be

filled out if there is a planning element in the proposal. Elaborate on the
scope of work presented in the proposed solutions and actions portion of the
application. Identify any major milestones, the start and end date of that
particular milestone and any funding secured to date and the source. If you
are requesting PCTI funds for the milestone, please indicate the amount
requested. When all milestones have been identified please provide totals
for funding secured and amount requested. Additionally, from the drop
down, select the most appropriate project status. The selections include:
Still in the initial planning stage, Finalized Plan Seeking Funding, or Ready to
begin pre-construction work.

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Section VI: Construction Proposal

Construction Proposal Information: This section of the application

should only be filled out if there is a construction element in the proposal.
Elaborate on the scope of work presented in the proposed solutions and
actions portion of the application. Provide as much detail as possible for the
following project milestones, Preliminary Engineering, Final Design, Right-of-
Way, Utility, Construction, and Inspection. Details should include the start
and end date of that particular milestone and any funding secured to date
and the source. If you are requesting PCTI funds for the milestone please
indicate the amount requested. When the appropriate milestones have been
identified, please provide totals for funding secured and amount requested.
Additionally, from the drop down, select the most appropriate project status.
The selections include: Finalized Plan Seeking Funding, Ready to begin pre-
construction work, Some pre-construction work begun, Final planning,
design finished and awaiting on municipal or local approval, or All pre-
construction activities completed and approved, only need funds for
construction.

Section VII: Additional Funding

Additional Funding Sources: Identify any funding received, applied for,

or anticipated, the amount, the phase of the project that funding will be
used, the year, and the status (i.e. Utilized, Secured, or Requested). Once
all funding sources have been identified total the amount.

Section VIII: Terms and Conditions

Terms and Conditions Checklist: Applicants should read each item on the
checklist and select the corresponding box to indicate that they read and
understand each of the items. The responsible party should then enter their
name into the Signature Field. The Current Date will be auto populated.

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

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Application Submission:
 
If you use the Outlook E-mail System, the application sponsors should click
the green button to the right of the date reading “Click to email application
to PennDOT”. The button should generate an automatic e-mail to
RA-PDPennDOTPDFPCTI@state.pa.us with a subject line: “PCTI Application
for” and the project title as identified in the application.
• This e-mail will have an attached .xml file that contains the application
information.
• If you have additional material related to your application you may
attach it to this e-mail. Sponsors should attach any map(s) of the
project area at the largest appropriate scale and any project
rendering(s) that have been produced. Please limit the number of
attachments to five.
• Send the e-mail.
• Within two business days, the email sender will receive an email
confirming receipt of the application and a unique application
identification number. Please use this identification number on all
future correspondence regarding the application.

If you use another E-mail System the “Click to email application to

PennDOT” button may not generate an automatic e-mail, you will need to
submit the application by email.
• Save the abstract adobe file to your PC. Please rename the file to
reflect the project being submitted.
• Open your standard e-mail application and create an e-mail.
• In the To: field enter RA-PDPennDOTPDFPCTI@state.pa.us
• In the Subject: field enter “PCTI Application for” and the project title
as identified in the application.
• Attach the saved adobe file and any additional material related to your
application to this e-mail. Sponsors should attach any map(s) of the
project area at the largest appropriate scale and any project
rendering(s) that have been produced. Please limit the number of
attachments to five.
• Send the e-mail.
• Within two business days, the email sender will receive an email
confirming receipt of the application and a unique application
identification number. Please use this identification number on all
future correspondence regarding the application.

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APPENDIX A: PCTI APPLICATION

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 24
 
APPENDIX B: PENNSYVANIA COMMUNITY TRANSPORTATION
INITIATIVE – FREQENTLY ASKED QUESTIONS

1. Who can apply for Pennsylvania Community Transportation

Initiative (PCTI) funding?

Municipalities, Counties, Metropolitan and Rural Planning Organizations,

Transit Agencies, Educational Institutions (Universities, Colleges, School
Districts), Transportation Management Associations, and Other Public
Bodies may apply.

2. What projects will receive priority in the application review

process?

Projects will be selected based on the completeness of data on the

application, ability to meet the implementation criteria, and if the
application addresses the themes of smart transportation.

3. How will the applications be reviewed and selected?

Project selection will be made through an executive level committee

comprised of PennDOT staff. It is also considered beneficial to have input
from the Departments local Engineering District(s), as well as, the MPO or
RPO identified in the application. Coordination with other state agencies
should be also be considered if appropriate.

4. When is the deadline to submit applications?

Applications will be accepted no later than September 15, 2010.

Applications should be submitted via email to RA-
PDPennDOTPDFPCTI@state.pa.us.

5. What can be included on the applications?

Please consult the Pennsylvania Community Transportation Initiative

(PCTI) 2010 Program Guide for guidance information to be included in the
applications.

6. How many applications can be submitted?

Only one application should be submitted per project. Applicants may

submit any number of applications for consideration.

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 7. Will there be another phase in the application process?

No, not at this time. However, you may be contacted to answer

questions or discuss certain aspects of the application during the review
process.

8. Is this a loan program?

No, this is a reimbursement program. The sponsor will pay for the work
as it is completed and an invoice(s) is submitted to PennDOT for
reimbursement. All state and federal guidelines, eligibility, and
regulations apply.

9. Is a local match required for these funds?

No, but any local funds that would be available for the project would be
considered beneficial and would show local support for the project.
Available funding from other state agency sources already committed to a
proposed PCTI project should be highlighted on the application and would
be considered beneficial, too.

10. Is there a timeframe for when the funds need to be expended?

Yes, the funds need to be obligated (form D-4232 has been authorized)
by 6/30/2012 and be bid by 8/12/2012 to meet the criteria. Obligation is
the Federal government's legal commitment (promise) to pay or
reimburse the States or other entities for the Federal share of a project's
eligible costs. A bid is the offer of a bidder, using either a compact disk
or the internet, to construct the project, at the prices bid or
predetermined.

11. Are the projects being submitted required to be new?

No, but proposals must fit the parameters of the program and should be
reasonably expected to meet the implementation criteria.

12. If a project is currently not on the 2009 Transportation

Improvement Program (TIP), can this initiative be applied to get
the project on the TIP?

Yes, provided the project application demonstrates that it can reasonably

meet the implementation criteria.

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 13. Is the program restricted specifically to projects that are
currently on the TIP?

No, the municipality may nominate a new project that is not on the TIP
and if the project fits the criteria it can be added to the 2011 TIP.

14. Can the municipality nominate new projects for local roads?

It can only be used on a local road if the road is on the federal-aid system
or it’s a safety project. Keep in mind that the project must meet the
implementation criteria.

15. Does the PCTI program cover engineering costs?

Yes, but the funds need to be obligated by 6/30/2012 (form D-4232 has
been authorized).

16. Can a project receive design and construction funding?

Yes, the funding is available for all phases (Design through Construction).
It can be utilized for all phases, provided construction of a project clearly
meets the implementation criteria. Also, there would need to be a
commitment to fund any remaining phases to give an application
appropriate consideration.

17. What does the $300,000 for planning activities include?

This funding can only be used on a study. Pre-construction funds can be

included as part of the application. However, a plan should be obligated
by 6/30/2012 (form D-4232 has been authorized).

18. Can the funds be used for Right-of-Way or easement

acquisition?

Yes, provided the project can be bid by 8/12/2012 and the total request
does not exceed $1.5 million.

19. Can the funds be used for existing PennDOT projects if they
meet the PCTI requirements?

Yes.

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 20. Is construction inspection required and can the funding cover
inspection?

Yes. Sponsor can use up to 15% of the awarded funding to pay for
construction inspection, if necessary.

21. Will PennDOT’s project development process and

environmental approval process be used for these projects?

Yes, and projects must meet federal/state requirements since they will be
funded by federal/state funding.

22. Will there be a PennDOT or MPO/RPO project manager for

each project?

Yes, there will be a PennDOT and MPO/RPO project manager for each
project. Coordination among the MPO/RPO, the PennDOT District and
Central Office will be required during the implementation of the project.

23. Will the projects be bid on through PennDOT’s ECMS?

Yes, all projects must be bid through PennDOT. PennDOT will advertise
for bids, open bids and award the construction contract in the name of
the Sponsor, in accordance with applicable state and federal law
requirements.

24. When will projects be awarded?

The applications will be reviewed and approved as quickly as possible by

the committee and notifications will be sent out in December 2010.

25. For applicable TE projects with TE funds, can PCTI funds be

mixed in to cover part of or the entire amount of the project?

The funds can be mixed or the applicant may ask for the entire TE project
to be funded with PCTI funds if applicable.

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 26. Will the MPO/RPO be given ample time to review all submitted
project forms for projects with the MPO’s/RPO’s area of
responsibility?

The MPO/RPO will be provided time to review the projects before they are
awarded and the sponsors have been encouraged to work through their
respective MPO/RPO during the development of the initial application
phase.

27. Where can I find out more information?

PA Department of Transportation
Center for Program Development and Management (HJM)
400 North Street - 6th Floor | Harrisburg PA 17120
Phone: 717.787.2862 | Fax: 717.787.5247
PennDOT Website: www.dot.state.pa.us
Smart Transportation Website: http://www.smart-transportation.com/

APPENDIX C: PennDOT DISTRICT, METROPOLITAN PLANNING

ORGANIZATION (MPO), AND RURAL PLANNING ORGANIZATION
(RPO) DIRECTORY

PennDOT Districts
 
PennDOT District 1-0
PCTI Contact: E. Mariah Hanson – (814) 678-7078
Email: emhanson@state.pa.us 
HPMS Contact: Troy Cyphert – (814) 678-5038
Email: tcyphert@state.pa.us
HPMS Contact: Ken Brannon – (814) 678-7049
Email: kbrannon@state.pa.us
Counties: Crawford, Erie, Forest Mercer, Venango, Warren

PennDOT District 2-0

PCTI Contact: Vicki Rusnak – (814) 765-0441
Email: virusnak@state.pa.us 
HPMS Contact: John Schneider – (814) 765-0466
Email: johschneid@state.pa.us
Counties: Cameron, Centre, Clearfield, Clinton, Elk, Juniata, McKean,
Mifflin, Potter

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PennDOT District 3-0
PCTI Contact: Mike Mausteller, P.E. – (570) 368-4225
Email: mmaustelle@state.pa.us 
HPMS Contact: Jamie Dietrich – (570) 368-4340
Email: jdietrich@state.pa.us
Counties: Bradford, Columbia, Lycoming, Montour, Northumberland,
Snyder, Sullivan, Tioga, Union

PennDOT District 4-0

PCTI Contact: Marie Bishop – (570) 963-3141
Email: mabishop@state.pa.us 
HPMS Contact: Joe Strok – (570) 963-4995
Email: jstrok@state.pa.us
HPMS Contact: Joe Popple – (570) 963-3312
Email: jpopple@state.pa.us
Counties: Lackawanna, Luzerne, Pike, Susquehanna, Wayne, Wyoming

PennDOT District 5-0

PCTI Contact: Amanda Leindecker – (610) 871-4552
Email: aleindecke@state.pa.us 
HPMS Contact: Jeff Williams – (610) 871-4521
Email: jeffwillia@state.pa.us
HPMS Contact: Steve Caruano, P.E. – (610) 871-4520
Email: scaruano@state.pa.us
Counties: Berks, Carbon, Lehigh, Monroe, Northampton, Schuylkill

PennDOT District 6-0

PCTI Contact: Linda Guarini – (610) 205-6950
Email: lguarini@state.pa.us 
HPMS Contact: Caroline Kiondo – (610) 205-6822
Email: ckiondo@state.pa.us
HPMS Contact: Vicente Morales – (610) 205-6842
Email: vmorales@state.pa.us
HPMS Contact: Adam Mouser – (610) 205-6853
Email: amouser@state.pa.us
Counties: Bucks, Chester, Delaware, Montgomery, Philadelphia

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PennDOT District 8-0
PCTI Contact: Dennis Sloand – (717) 787-7144
Email:  desloand@state.pa.us 
HPMS Contact: Ben Singer – (717) 787-6690
Email: besinger@state.pa.us
HPMS Contact: Jim Beatty – (717) 783-0174
Email: jabeatty@state.pa.us
Counties: Adams, Dauphin, Cumberland, Franklin, Lancaster, Lebanon,
Perry, York

PennDOT District 9-0

PCTI Contact: Dave Lybarger – (814) 696-7178
Email: dlybarger@state.pa.us 
HPMS Contact: Kevin Boslet – (814) 696-7115
Email: kboslet@state.pa.us
Counties: Bedford, Blair, Cambria, Fulton, Huntingdon, Somerset

PennDOT District 10-0

PCTI Contact: Dave Cook – (724) 357-2082
Email: davcook@state.pa.us 
HPMS Contact: Zac Cross – (724) 357-4012
Email: zcross@state.pa.us
Counties: Armstrong, Butler, Clarion, Indiana, Jefferson

PennDOT District 11-0

PCTI Contact: Rob Miskanic – (412) 429-4822
Email: rmiskanic@state.pa.us 
HPMS Contact: William Dipner – (412) 429-3814
Email: wdipner@state.pa.us
HPMS Contact: Beth Bertino – (412) 429-4939
Email: ebertino@state.pa.us
Counties: Allegheny, Beaver, Lawrence

PennDOT District 12-0

PCTI Contact: Stacey Rabatin – (724) 437-3147
Email: srabatin@state.pa.us
HPMS Contact: Rich Jones – (724) 439-7181
Email: richajones@state.pa.us
HPMS Contact: Ken Shimko – (724) 439-7361
Email: kshimko@state.pa.us
Counties: Fayette, Greene, Washington, Westmoreland

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MPO and RPO

Adams County RPO

Contact: Andy Merkel – (717) 337-9824
Email: amerkel@adamscounty.us
Counties: Adams

Altoona MPO
Contact: Wes Burket – (814) 940-5980
Email: wlbbcpc@atlanticbbn.net
Counties: Blair

Centre Region MPO

Contact: Tom Zilla – (814) 231-3050
Email: tzilla@crcog.net
Counties: Centre

Delaware Valley Regional Planning Commission MPO

Contact: Ryan Gallagher – (215) 238-2881
Email: rgallagher@dvrpc.org
Counties: Bucks, Chester, Delaware, Montgomery, Philadelphia

Erie County MPO

Contact: John Morgan – (814) 451-6012
Email: jmorgan@eriecountygov.org
Counties: Erie

Franklin County Planning Commission

Contact: Phil Tarquino – (717) 261-3855
Email: ptarquino@co.franklin.pa.us
Counties: Franklin

HATS MPO
Contact: Diane Myers Krug – (717) 234-2639
Email: dkrug@tcrpc-pa.org
Counties: Cumberland, Dauphin, Perry

Johnstown MPO
Contact: Chris Allison – (814) 472-2108
Email: callison@co.cambria.pa.us
Counties: Cambria

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Lancaster County MPO
Contact: Lauri Ahlskog – (717) 299-8333
Email: ahlskogl@co.lancaster.pa.us
Counties: Lancaster

Lebanon County MPO

Contact: Jonathan Fitzkee – 717-274-2801 x2325
Email: jfitzkee@lebcnty.org
Counties: Lebanon

Lehigh Valley MPO

Contact: Joseph Gurinko – (610) 264-4544
Email: jlg@lvpc.org
Counties: Lehigh, Northampton

North Eastern Pennsylvania Alliance RPO

Contact: Alan Baranski – (570) 655-5581
Email: abaranski@nepa-alliance.org
Counties: Carbon, Monroe, Pike, Schuylkill, Wayne

North Central PA RPO

Contact: Amy Kessler – (814) 773-3162
Email: amy@ncentral.com
Counties: Cameron, Clearfield, Elk, Jefferson, McKean

Northern Tier RPO

Contact: Rick Biery – (570) 265-9103
Email: biery@northerntier.org
Counties: Bradford, Sullivan, Susquehanna, Tioga, Wyoming

Northwest PA RPO
Contact: Sue Smith – (814) 677-4800
Email: susans@nwcommission.org
Counties: Clarion, Crawford, Forest, Venango, Warren

Reading MPO
Contact: Alan Piper – (610) 478-6300
Email: apiper@countyofberks.com
Counties: Berks

Southern Alleghenies RPO

Contact: Anne Stich – (814) 949-6511
Email: astich@sapdc.org
Counties: Bedford, Fulton, Huntingdon, Somerset

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Scranton/Wilkes-Barre MPO
Contact: Steve Pitoniak – (570) 963-6400
Email: spitoniak@lackawannacounty.org
Counties: Lackawanna, Luzerne

SEDA-COG RPO
Contact: Steve Herman – (570) 524-4491
Email: sherman@seda-cog.org
Counties: Clinton, Columbia, Juniata, Mifflin, Montour, Northumberland,
Snyder, Union

Shenango Valley MPO

Contact: Dan Gracenin – (724) 981-2412
Email: dgracenin@mcrpc.com
Contacts: Mercer

SPC MPO
Contact: Doug Smith – (412) 391-5590
Email: dsmith@spcregion.org
Counties: Allegheny, Armstrong, Beaver, Butler, Fayette, Greene, Indiana,
Lawrence, Washington, Westmoreland

Williamsport MPO
Contact: Mark Murawski – (570) 320-2138
Email: mark.murawski@lyco.org
Counties: Lycoming

York County MPO

Contact: Will Clark – (717) 771-9870
Email: wclark@ycpc.org
Counties: York

34