What is SMART SCALE?
Virginia’s SMART SCALE (§33.2-214.1) is about picking the right transportation projects for funding and ensuring the best use of limited tax dollars. It is the method of scoring planned projects and funding projects that meet one or more transportation needs identified in Virginia’s Transportation Plan, VTrans. These needs are referred to as VTrans Mid-term Needs. Transportation projects are scored based on an objective, outcome-based process that is transparent to the public and allows decision-makers to be held accountable to taxpayers. Once projects are scored and prioritized, the Commonwealth Transportation Board (CTB) has the best information possible to select the right projects for funding.
SMART SCALE Process
Virginia’s SMART SCALE process includes five overarching steps, as identified below. The preliminary step requires project sponsors to determine their eligibility prior to beginning the SMART SCALE applications process. The final step in the prioritization process includes programming of selected projects. The responsible agency for each process step is identified in italics below.
The SMART SCALE Team
The SMART SCALE team is led by the Office of Intermodal Planning and Investment. It is composed of representatives of Virginia Department of Transportation and Virginia Department of Rail and Public Transportation. The team encourages strong key public engagement in developing and implementing the SMART SCALE prioritization process. Public engagement is an integral part of ensuring transparency and accountability.
The team works closely during an active round to screen and score incoming applications. All project applications are screened to determine if they meet an identified need in VTrans, the Commonwealth’s long-range transportation plan, and to determine if they meet eligibility requirements.
The team further evaluates projects through a prioritization process that evaluates each project’s merits using key factors, including improvements to safety, congestion reduction, accessibility, land use, economic development, and the environment. The evaluation focuses on how a project addresses a problem or need relative to the requested funding for the project. Once projects are evaluated, the information is presented to Commonwealth Transportation Board (CTB). The CTB has the best information possible to select the right projects for funding.
Between rounds, the team seeks feedback from various stakeholders to understand what went wrong and what went right from the previous rounds. Lessons learned are utilized to recommend adjustments to the CTB, and public comment is accepted. Lastly, the team prepares tools and updates policies and guidance for the next round.
Program Funding
Funding for project prioritization comes from two main pathways —the construction District Grants Program (DGP) and the High-Priority Projects Program (HPPP) – both established in 2015 under the Code of Virginia §33.2-358.
The DGP is open only to localities.
Projects applying for DGP funds compete with other projects from the same construction district.
Projects applying for HPPP funds compete with projects from across the commonwealth.
A project sponsor may request funding under both programs.
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|
High Priority Projects Program |
Construction District Grant Program* |
|
Improvement addresses need on Corridors of Statewide Significance |
Yes |
Yes |
|
Capacity need on regional networks |
Yes |
Yes |
|
Improvement to support Urban Development Areas |
No |
Yes |
|
Improvement addresses VTrans specified safety need |
No |
Yes |
*Only projects submitted by localities are eligible.
Certain fund types are not distributed through the project prioritization process, but may be used as a leveraged fund to the project, reducing the amount of SMART SCALE funds needed.
SMART SCALE ensures that projects are evaluated and scored based on an objective, outcome-based process that is transparent to the public and holds decision-makers accountable to taxpayers. This process includes four steps identified below:
Project and Applicant Eligibility
SMART SCALE projects may be submitted by regional entities including Metropolitan Planning Commissions (MPO), Planning District Commissions (PDC) and public transit agencies, and by counties, cities and towns that maintain their own infrastructure and qualify to receive maintenance payments, pursuant to §33.2-319.
Applications must be related to projects located within boundaries of the qualifying entity. However, localities and regional planning bodies may submit applications for projects that cross boundaries with a resolution of support from the affected neighboring locality(ies), or a town that is not eligible to submit may request the county to submit a project. By majority vote, the CTB may also choose to submit up to two projects for evaluation each application cycle.
Though all of these entities may submit projects, there are limitations on the grant program for which these entities can apply, the types of projects they can submit, and the number of projects they can apply for, detailed in the tables below.
* Projects within established MPO study areas that are identified in or consistent with the regionally adopted Constrained Long Range Plan (CLRP) do not require a resolution of support from the respective MPO Policy Board. For projects outside MPO areas a resolution of support is required only from the submitting locality.
Project Types Included within SMART SCALE (Capacity and operational improvements only):
Project Types Excluded from SMART SCALE
*Asset management projects excluded from SMART SCALE may be eligible for funding under the State of Good Repair program as required by the Code of Virginia §33.2-369.
Applicants are limited in the number of pre-applications and applications they may submit for evaluation and scoring, based on population thresholds as defined below.
Counties are responsible for transportation in towns that do not receive maintenance payments, and are encouraged to coordinate with towns and prioritize candidate projects for submission, similar to the Secondary Six-Year Plan process.
The source of population data for localities, MPOs and PDCs is the most recent United States Census (2020). For transit agencies, the source is the 2020 National Transit Database (NTD) – or the Census if data was not available in the NTD.
Eligible applicants are invited to submit project applications according to the SMART SCALE Biennial Schedule.
For each SMART SCALE cycle, basic project information (pre-application) must be submitted by April 1 of the calendar year, and final applications must be submitted by August 1.
Once created, applicants can edit the application up to the deadline.
Once it has been determined that a project meets an identified need, is eligible, and is ready, the project is evaluated and scored.
SMART SCALE utilizes evaluation measures that quantify the benefits of each project for six factor areas, detailed below.
Factor areas |
Measure ID |
Measure name |
Measure weight |
|
Safety |
S.1 |
Equivalent property damage only (EPDO) of Fatal and Injury Crashes* |
70 percent |
|
S.2 |
EPDO Rate of Fatal and Injury Crashes |
30 percent |
|
|
Congestion mitigation |
C.1 |
Person Throughput |
50 percent |
|
C.2 |
Person Hours of Delay |
50 percent |
|
|
Accessibility |
A.1 |
Access to jobs |
60 percent |
|
A.2 |
Access to jobs for disadvantaged persons |
20 percent |
|
|
A.3 |
Access to multimodal choices |
20 percent |
|
|
Environmental quality |
E.1 |
Air quality and environmental effect |
100 percent |
|
E.2 |
Impact to natural and cultural resources |
0 percent - Subtract |
|
|
Economic development |
ED.1 |
Project support for economic development |
60 percent |
|
ED.2 |
Intermodal access and efficiency |
20 percent |
|
|
ED.3 |
Travel time reliability |
20 percent |
|
|
Land use |
L.1 |
Transportation-efficient land use |
50 percent |
|
L.2 |
Increase in transportation-efficient land use |
50 percent |
*100 Percent for transit and Transportation Demand Management projects
Four area weighting typologies were established based on an analysis of transportation, land use, demographic indicators, and public input to facilitate evaluation of each project’s benefit on a scale relative to the needs of that region as compared across the commonwealth. The weighting typologies are below.
A scoring evaluation team begins collecting additional data required for evaluating each of the six factor areas used for project evaluation: 1) Safety, 2) Congestion, 3) Accessibility, 4) Land-Use, 5) Economic Development and 6) Environment.
After data has been collected to evaluate each factor, values are calculated and weighted according to the area type where the project is located.
Factor totals are then weighted and summed, and the final score is determined by dividing the benefit score by the SMART SCALE cost.
Projects are then ranked and provided to the CTB for funding consideration.
To learn more about the VTrans needs in your area, click here.
|
Factor |
Congestion Mitigation |
Economic Development |
Accessibility |
Safety |
Environmental Quality |
|
Category A |
45 percent |
5 percent |
25 percent |
15 percent |
10 percent |
|
Category B |
25 percent |
20 percent |
25 percent |
20 percent |
10 percent |
|
Category C |
20 percent |
25 percent |
15 percent |
30 percent |
10 percent |
|
Category D |
10 percent |
30 percent |
10 percent |
40 percent |
10 percent |
For each SMART SCALE cycle, the screening and scoring results are presented to the CTB and the public.
The CTB then provides guidance on program development and the staff develops a draft Six-Year Improvement Plan (SYIP), based on CTB direction and SMART SCALE scoring results.
Next, the public has the opportunity to comment on the draft SYIP, including the scoring results for individual projects.
Finally, the CTB takes public comments into account regarding the draft SYIP, and approves the final SYIP for implementation in June.
In general, once a project has been screened, scored, and selected for funding by the CTB, it will remain in the SYIP as a funding priority. In addition, only the CTB can cancel a selected project.
Re-evaluation of a project score and funding decision may be needed if:
Once a project is selected for funding, it cannot be resubmitted to address cost increases or loss of other sources of funding. If revenue reductions decrease the amount of actual funding available for a particular SMART SCALE cohort, projects may be delayed and / or revenues from future rounds of SMART SCALE may be used.
If a submitted project is not selected for funding during a cycle, the CTB will allow eligible entities to re-submit the project the next cycle.
Total cost estimate |
Threshold |
|
Less than $5 million |
Up to a 20 percent increase in requested/approved SMART SCALE funding. |
|
$5 million to $10 million |
Up to a $1 million increase in requested/approved SMART SCALE funding. |
|
More than $10 million |
Up to a 10 percent increase in total allocations up to a maximum of $5 million increase in requested/approved SMART SCALE funding. |