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					                                                                                                                              Wednesday,
                                                                                                                              February 14, 2007




                                                                                                                              Part III

                                                                                                                              Department of
                                                                                                                              Transportation
                                                                                                                              Federal Highway Administration
                                                                                                                              23 CFR Parts 450 and 500

                                                                                                                              Federal Transit Administration
                                                                                                                              49 CFR Part 613

                                                                                                                              Statewide Transportation Planning;
                                                                                                                              Metropolitan Transportation Planning;
                                                                                                                              Final Rule
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                                        7224             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                        DEPARTMENT OF TRANSPORTATION                             Management System (DMS) at http://                    or conferences of national and regional
                                                                                                 dms.dot.gov. The DMS Web site is                      professional, industry or advocacy
                                        Federal Highway Administration                           available 24 hours each day, 365 days                 organizations during the comment
                                                                                                 each year. Follow the instructions                    period of the NPRM.
                                        23 CFR Parts 450 and 500                                 online. Additional assistance is
                                                                                                                                                       Discussion of Comments
                                                                                                 available at the help section of the Web
                                        Federal Transit Administration                           site.                                                    In response to the NPRM, we received
                                                                                                    An electronic copy of this final rule              over 150 documents (representing more
                                        49 CFR Part 613                                          may be downloaded using the Office of                 than 1,600 comments) submitted to the
                                                                                                 the Federal Register’s Web page at:                   docket as reflected in the summary
                                        [Docket No. FHWA–2005–22986]                                                                                   below (and spreadsheet on file in the
                                                                                                 http://www.archives.gov and the
                                        RIN 2125–AF09; FTA RIN 2132–AA82                         Government Printing Office’s Web page                 docket). The following discussion
                                                                                                 at: http://www.gpoaccess.gov/                         summarizes our response. We received
                                        Statewide Transportation Planning;                       index.html.                                           diverse and even opposing comments.
                                        Metropolitan Transportation Planning                                                                           General comments concerning the rule
                                                                                                 Background                                            are addressed initially, followed by
                                        AGENCIES: Federal Highway
                                                                                                    The regulations found at 23 CFR 450                specific responses to individual sections
                                        Administration (FHWA); Federal
                                                                                                 and 500 and 49 CFR 613 outline the                    of the regulatory proposals.
                                        Transit Administration (FTA), DOT.
                                                                                                 requirements for State Departments of                    We categorized the comments
                                        ACTION: Final rule.                                      Transportation (DOTs), Metropolitan                   received by the type of organization that
                                        SUMMARY: This final rule revises the                     Planning Organizations (MPOs) and                     submitted the comments. The following
                                        regulations governing the development                    public transportation operators to                    categories are used throughout this
                                        of metropolitan transportation plans and                 conduct a continuing, comprehensive                   discussion: State DOTs; MPOs, councils
                                        programs for urbanized areas, State                      and coordinated transportation planning               of government (COGs) and regional
                                        transportation plans and programs and                    and programming process in                            planning agencies; national and regional
                                        the regulations for Congestion                           metropolitan areas and States. These                  professional, industry or advocacy
                                        Management Systems. The revision                         regulations have not been                             organization (which includes
                                        results from the passage of the Safe,                    comprehensively updated or revised                    organizations representing State DOTs,
                                        Accountable, Flexible, Efficient                         since October 28, 1993. Since that time,              MPOs, COGs or other agencies whose
                                                                                                 Congress has enacted several laws that                individual comments may be included
                                        Transportation Equity Act: A Legacy for
                                                                                                 affect the requirements outlined in these             in a different category), local/regional
                                        Users (SAFETEA–LU) (Pub. L. 109–59,
                                                                                                 regulations (e.g. such as the TEA–21 and              transit agency; general public; city/
                                        August 10, 2005), which also
                                                                                                 the SAFETEA–LU). Therefore, the                       county (other sub-State government);
                                        incorporates changes initiated in its
                                                                                                 agencies needed to update these                       State (other agency, Governor,
                                        predecessor legislation, the
                                                                                                 regulations to be consistent with current             Legislator); Federal agency and other.
                                        Transportation Equity Act for the 21st                                                                            State DOTs submitted almost one-
                                        Century (TEA–21) (Pub. L. 105–178,                       statutory requirements.
                                                                                                                                                       quarter of the documents, which
                                        June 9, 1998) and generally will make                    Notice of Proposed Rulemaking:                        account for almost one-third of all
                                        the regulations consistent with current                     On June 9, 2006, the agencies                      comments. MPOs, COGs and regional
                                        statutory requirements.                                  published, in the Federal Register, a                 planning agencies submitted slightly
                                        EFFECTIVE DATE: March 16, 2007.                          notice of proposed rulemaking (NPRM)                  more than one-third of the documents,
                                        FOR FURTHER INFORMATION CONTACT: For                     proposing to revise the regulations                   also accounting for approximately one-
                                        the FHWA: Mr. Larry D. Anderson,                         governing the development of statewide                third of the comments. National and
                                        Planning Oversight and Stewardship                       and metropolitan transportation plans                 regional professional, industry or
                                        Team (HEPP–10), (202) 366–2374, Mr.                      and programs and the regulations for                  advocacy organizations submitted over
                                        Robert Ritter, Planning Capacity                         Congestion Management Systems (71 FR                  one-quarter of the documents and
                                        Building Team (HEPP–20), (202) 493–                      33510). The comment period remained                   approximately one-quarter of the
                                        2139, or Ms. Diane Liff, Office of the                   open until September 7, 2006. During                  comments. Local/regional transit
                                        Chief Counsel (HCC–10), (202) 366–                       the comment period on the proposed                    agencies submitted approximately 5
                                        6203. For the FTA: Mr. Charles                           rule, the FTA and the FHWA held six                   percent of the documents. Other
                                        Goodman, Office of Planning and                          public outreach workshops and a                       organizations or individuals submitted
                                        Environment, (202) 366–1944, Mr. Darin                   national telecast, also available on the              the remainder. Most State DOTs and
                                        Allan, Office of Planning and                            World Wide Web. Those meetings                        some other commenters wrote in
                                        Environment, (202) 366–6694, or Mr.                      provided an opportunity for FTA and                   support of the comments submitted by
                                        Christopher VanWyk, Office of Chief                      FHWA to provide an overview of the                    the American Association of State
                                        Counsel, (202) 366–1733. Both agencies                   NPRM and offer clarification of selected              Highway and Transportation Officials
                                        are located at 400 Seventh Street SW.,                   provisions. Comments were not                         (AASHTO). Many MPOs and COGs and
                                        Washington, DC 20590. Office hours are                   solicited at those meetings, and                      some other commenters wrote in
                                        from 7:45 a.m. to 4:15 p.m for FHWA,                     attendees were encouraged to submit all               support of the comments submitted by
                                        and 9 a.m. to 5:30 p.m. for FTA,                         comments to the official docket. A                    the Association of Metropolitan
                                        Monday through Friday, except Federal                    summary of the issues raised at the                   Planning Organizations (AMPO) and/or
                                        holidays.                                                meetings and the general response of the              the National Association of Regional
                                        SUPPLEMENTARY INFORMATION:                               FTA and the FHWA presenters, along                    Councils (NARC). Several public
                                                                                                 with copies of the materials presented at             transportation operators and others
                                        Electronic Access and Filing
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                                                                                                 the meeting, is included in the docket                wrote in support of the comments
                                          Interested parties may access all                      (item Number 27).                                     submitted by the American Public
                                        comments on the NPRM received by the                        In addition, the FHWA and the FTA                  Transportation Association (APTA).
                                        U.S. Department of Transportation                        responded to requests for presentations                  The FHWA and the FTA received
                                        (USDOT) online through the Docket                        at several regularly scheduled meetings               comments on almost all sections of the


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                                                         Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations                                                    7225

                                        rule. The largest number of individual                   expressed concern that non-                           including these documents with the
                                        comments we received were on fiscal                      metropolitan or non-elected officials                 regulation as appendices, the guidance
                                        constraint issues. Other sections with                   who serve as board chairs may have                    documents would have the force and
                                        more than five percent of the overall                    conflicts of interest that undermine                  effect of law and, as a result, would
                                        comments included: § 450.104                             local control of transportation funding.              ‘‘open up FHWA and FTA (and thus the
                                        (Definitions), § 450.216 (Development                    The FHWA and the FTA will consider                    States and MPOs) to litigation
                                        and content of the statewide                             conducting such a study as part of their              challenges based on a selective reading
                                        transportation improvement program                       discretionary research programs.                      of short passages in these lengthy
                                        (STIP)), § 450.322 (Development and                      Currently, we do not have enough                      documents.’’ Therefore, these
                                        content of the metropolitan                              information on this subject for                       commenters requested removal of the
                                        transportation plan), and § 450.324                      incorporation into this rule.                         appendices. Additionally, these
                                        (Development and content of the                             Several documents providing                        commenters were concerned that
                                        transportation improvement program).                     research, data, and analysis on various               including these guidance documents
                                           Several national and regional                         issues related to transportation,                     with the regulation would make it more
                                        advocacy organizations, a few State                      planning and environment were                         difficult to change these documents in
                                        DOTs and MPOs, some transit agencies                     submitted to the docket. The FHWA and                 response to evolving practices, as any
                                        and others suggested changes that go                     the FTA have reviewed these                           change would require a rulemaking
                                        beyond what is required by statute. The                  documents and considered the                          action.
                                        FHWA and the FTA have adhered                            information in developing this rule.                     The Office of the Federal Register,
                                        closely to the statutory language in                        The FHWA and the FTA were asked                    pursuant to the Federal Register Act (44
                                        drafting the regulation. Over time, and                  to recognize regional planning                        U.S.C. Chapter 15) has established
                                        as necessary, the FHWA and the FTA                       organizations/regional transportation                 criteria for publishing material in the
                                        will continue to issue additional                        planning organizations (RPOs/RTPOs)                   Federal Register and the Code of
                                        guidance and disseminate information                     throughout the rule as stakeholders and               Federal Regulations. Under these
                                        on noteworthy practices that may                         interested parties in the transportation              criteria, agencies may use an appendix
                                        address these suggestions.                               planning process in States where they                 to improve upon the quality or use of a
                                           In response to several comments,                      are established by law. Although the                  regulation, but not to impose
                                        specific regulatory reference to a                       rule is silent on RPOs/RTPOs,                         requirements or restrictions.
                                        Regional Transit Security Strategy                       § 450.208(a)(6) highlights that statewide             Additionally, agencies may not use an
                                        (RTSS), including its definition, was                    transportation planning needs to                      appendix as a substitute for regulatory
                                        removed due to the concern for possible                  coordinate with related planning                      text.1 The information the FHWA and
                                        disclosure of security-sensitive                         activities being conducted outside of                 the FTA proposed to include in
                                        information in the planning process.                     metropolitan planning areas. The                      appendices A and B is intended to be
                                        Further, an RTSS is not required                         FHWA and the FTA recognize that the                   non-binding guidance. Therefore, we
                                        universally of all metropolitan areas and                RPO/RTPO planning process and                         believe that State DOTs and MPOs
                                        States. Regulatory language in both the                  activities should be input into the                   would not be subject to increased
                                        metropolitan and statewide                               statewide transportation planning                     litigation based on inclusion of these
                                        transportation planning sections was                     process. Further, many of the RPOs/                   appendices.
                                        revised to make broad reference to the                   RTPOs are recognized as forms of local                   We believe that Appendix A, Linking
                                        need for coordination with                               government, and are addressed in                      the Transportation Planning and NEPA
                                        ‘‘appropriate’’ transit security-related                 § 420.210 (Interested parties, public                 Processes, provides explanatory
                                        plans, programs, and decision-making                     involvement and consultation).                        information that amplifies the rule and
                                        processes.                                                  A few commenters observed that                     does not add any additional
                                           One national and regional                             many small MPOs have very little                      requirements and would not be subject
                                        professional, industry or advocacy                       funding from USDOT or non-USDOT                       to many changes. Therefore, we have
                                        organization suggested the                               sources, have very limited staffs, and                decided to keep Appendix A, but are
                                        incorporation of the Real Time System                    limited consultant or technical support               adding a disclaimer to this effect in the
                                        Management Information Program                           resources of their own. The FHWA and                  introduction of Appendix A
                                        (required by § 1201 of the SAFETEA–                      the FTA were urged to find ways to                    highlighting its non-binding status. In
                                        LU) into the statewide transportation                    scale the regulatory requirements to fit              addition, we have made some minor
                                        planning process. While the FHWA and                     the size and scope of smaller MPOs. We                changes to the text of Appendix A to
                                        the FTA agree that current, good quality                 noted this comment and have tried to                  ensure that it is consistent with the
                                        data can improve effective                               provide as much flexibility in the rule               environmental streamlining
                                        transportation decisions and is key to                   as practicable. We have provided some                 requirements of § 6002 of the
                                        effective operation and management                       streamlined requirements for the non-                 SAFETEA–LU.
                                        strategies, we recognize each State’s                    transportation management area (TMA)                     As for Appendix B, Fiscal Constraint
                                        need to determine their appropriate                      MPOs, such as Simplified Statement of                 of Transportation Plans and Programs,
                                        statewide coordinated data collection                    Work and grouping of projects within                  the FHWA and the FTA agree with these
                                        program to support their individual                      the transportation improvement                        commenters that modifications to this
                                        planning process. We encourage the                       program (TIP). The MPO is responsible                 document may be more frequently
                                        States to consider including real-time                   for developing a planning process that                required to respond to evolving
                                        data, provided by the Real Time System                   is appropriate for its communities, given             practices. Therefore, the FHWA and the
                                        Management Information Program, but                      the resources and technical capability of             FTA have decided to remove Appendix
                                        have not included a requirement in this                  the MPO.
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                                        rule.                                                       Several State DOTs and a national and                1 Federal Register Document Drafting Handbook,

                                           The FHWA and the FTA were asked                       regional advocacy organization objected               October 1998 Revision. National Archives and
                                                                                                                                                       Records Administration, Office of the Federal
                                        to evaluate whether the leadership posts                 to including guidance documents with                  Register. It is available at the following URL: http://
                                        on MPO boards were acting in an                          the regulations as Appendices A and B.                www.archives.gov/federal-register/write/handbook/
                                        impartial manner. A few organizations                    These commenters noted that by                        ddh.pdf.



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                                        7226             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                        B from the rule. However, there are                      not make changes to the lists of                      Air Act.2 We also included in this
                                        three elements within that appendix                      examples.                                             definition a clarification that a
                                        that the agencies believe should be a                       Several definitions were revised based             ‘‘maintenance area’’ is not considered
                                        part of the regulatory text for clarity and              on comments received. These changes                   an attainment area for transportation
                                        completeness. These elements are: (1)                    are described below.                                  planning purposes.
                                        Treatment of highway and transit                            Many State DOTs and MPOs as well                      A few commenters expressed
                                        operations and maintenance costs and                     as several national and regional                      confusion about the definitions of
                                        revenues; (2) use of ‘‘year of expenditure               advocacy organizations were concerned                 ‘‘Available funds’’ and ‘‘Committed
                                        dollars’’ in developing cost and revenue                 about the definitions of ‘‘administrative             funds’’ as they relate to air quality
                                        estimates; and (3) use of ‘‘cost ranges/                 modification’’ and ‘‘amendment.’’                     conformity. We have simplified these
                                        cost bands’’ in the outer years of the                   Commenters requested greater                          definitions to remove the phrase ‘‘for
                                        metropolitan transportation plan. Please                 distinction between the two terms.                    projects or project phases in the first
                                        see the responses to the comments on                        Several of those that commented on                 two years of a TIP and/or STIP in air
                                        Appendix B for additional background                     this section requested that the words                 quality nonattainment and maintenance
                                        information and explanation.                             ‘‘minor revision’’ be included in the                 areas.’’ By deleting this phrase,
                                        Consequently, we have included                           definition of ‘‘administrative                        however, we have not removed the
                                        language in § 450.216 (Development and                   modification.’’ This change has been                  requirement that projects in the first two
                                        content of the statewide transportation                  made. The examples in this definition                 years of a STIP and/or TIP in air quality
                                        improvement program (STIP)), § 450.322                   have also been clarified, including                   nonattainment and maintenance areas
                                        (Development and content of the                          ‘‘minor changes to project/project phase              be available or committed. This is still
                                        metropolitan transportation plan), and                   initiation dates.’’ It is important to note           part of the definition under fiscal
                                        § 450.324 (Development and content of                    that while an ‘‘administrative                        constraint. The requirement that these
                                        the transportation improvement                           modification’’ can change the initiation              terms only apply to the first two years
                                        program (TIP)) to address these issues                   date, it cannot affect the completion                 is already embedded in the regulation
                                                                                                 date of the project as modeled in the                 and does not need to be repeated in the
                                        within the regulation. The material
                                                                                                 regional emissions analysis in                        definition of the terms ‘‘Available’’ and
                                        contained in the proposed Appendix B
                                                                                                 nonattainment or maintenance areas. A                 ‘‘Committed.’’
                                        will be made available as a guidance
                                                                                                 change in the project/project phase                      A national and regional advocacy
                                        document on the agencies’ Web sites.
                                                                                                 completion date in a nonattainment or                 organization and a few transit agencies
                                        Section-by-Section Discussion                            maintenance area would be considered                  suggested that ‘‘Full funding grant
                                          The discussion in this section                         an ‘‘amendment.’’ Finally, based on                   agreement’’ and ‘‘Project construction
                                        compares the NPRM with the final rule                    comments, the term ‘‘not significant’’                grant agreement’’ be added to the
                                        and discusses comments submitted on                      was removed.
                                                                                                                                                       examples of ‘‘Committed funds.’’ This
                                        each section along with an explanation                      Commenters suggested that the term
                                                                                                                                                       change has been made. We also received
                                        of any changes we made from the NPRM                     ‘‘amendment’’ include the words ‘‘major
                                                                                                 change’’ and use ‘‘major’’ in the                     a comment that the requirement for
                                        to the final rule. All references to                                                                           private funds to be in writing as part of
                                                                                                 examples. These changes have been
                                        revisions or changes are to changes in                                                                         ‘‘Committed funds’’ would limit private
                                                                                                 made. State DOTs and MPOs should
                                        language that we originally proposed in                                                                        participation in transportation projects.
                                                                                                 work with the FHWA and the FTA to
                                        the NPRM.                                                                                                      The FHWA and the FTA find that a
                                                                                                 identify thresholds for a ‘‘major’’ change
                                        23 CFR Part 450                                          in project cost. Examples of thresholds               written commitment is necessary to
                                                                                                 could include, but are not limited to,                ensure that the private funds ultimately
                                        Subpart A—Transportation Planning                                                                              are provided and is integral to the
                                        and Programming Definitions                              project cost increase that exceeds 20
                                                                                                 percent of the total project cost; or                 concept of ‘‘committed funds.’’ This
                                        Section 450.100 Purpose                                  project cost increase that exceeds a                  change was not made.
                                                                                                                                                          After consultation with the EPA, the
                                          No comments were received on this                      certain dollar amount, for example, the
                                                                                                                                                       definition of ‘‘conformity’’ was revised
                                        section and no changes were made.                        increase in costs exceeds the
                                                                                                                                                       based on language from the EPA’s
                                                                                                 programmed amount by $50,000 or
                                        Section 450.102 Applicability                                                                                  conformity Web page 3 and in the EPA’s
                                                                                                 $100,000.
                                                                                                    Further, some State DOTs and                       conformity rule (40 CFR 93.100).4
                                          No comments were received on this
                                                                                                 advocacy organizations wrote that                        Many MPOs wrote regarding the
                                        section and no changes were made.
                                                                                                 changes in illustrative projects should               definition of ‘‘congestion management
                                        Section 450.104 Definitions                              not require an amendment. We agree. A                 process’’ that the definition should
                                          There were more than 45 documents                      sentence has been added to the                        reference Transportation System
                                        with over 225 comments submitted on                      definition of ‘‘amendment’’ to clarify                Management and Operations (TSMO),
                                        this section, with half of the documents                 this point. Also, most State DOTs that                rather than ‘‘management and
                                        coming from MPOs and almost one-                         commented on this section noted that                  operation’’ to reinforce the principles of
                                        fourth each from State DOTs and                          ‘‘amendment’’ should apply differently                this emerging practice. The FHWA and
                                        national and regional advocacy groups.                   to long-range statewide transportation                the FTA do not believe this change
                                        Transit agencies, city/county agencies                   plans, since they are not subject to fiscal           would enhance the definition and note
                                        and the general public also commented                    constraint. A sentence was added to the                 2 This document, ‘‘Plain English Guide to the
                                        on this section. Some of those that                      definition to clarify the long-range                  Clean Air Act’’ is available via the Internet at the
                                        commented on this section                                statewide transportation plan context.                following URL: http://www.epa.gov/air/oaqps/
                                        recommended specific changes to                             After consultation with EPA, the                   peg_caa/pegcaain.html.
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                                        examples or lists included in various                    definition of ‘‘attainment area’’ was                   3 EPA’s conformity web page can be found at the

                                        definitions. It is important to note that                revised to be consistent with the                     following URL: http://www.epa.gov/otaq/
                                                                                                                                                       stateresources/transconf/index.htm.
                                        the recommended lists in these                           definition in the glossary of the                       4 This document is available via the Internet at
                                        definitions are intended to be advisory                  Environmental Protection Agency’s                     the following URL: http://www.fhwa.dot.gov/
                                        and not exhaustive; therefore, we did                    (EPA) Plain English Guide to the Clean                environment/conformity/rule.htm.



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                                                         Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations                                          7227

                                        that the term ‘‘operations and                           commenters proposed the addition of                   the rule. Finally, we have modified the
                                        management’’ is taken directly from                      guidelines for preparing the coordinated              definition to be clear that strategies may
                                        statute. No change was made.                             public transit-human services                         not necessarily address potential
                                           Many national and regional advocacy                   transportation plan, including                        project-level impacts.
                                        organizations and MPOs and COGs that                     geographic scope, approval authority,                    Several major concerns were
                                        commented on this section were                           and determination of lead agency. To                  expressed regarding the definition for
                                        concerned about the different uses of                    ensure maximum flexibility for                        ‘‘Financially constrained or Fiscal
                                        the term ‘‘consultation’’ in the                         localities to tailor the coordinated                  constraint.’’ Most commenters requested
                                        definitions section and in Sections                      public transit-human services                         that three portions of the definition be
                                        450.214 (Development and content of                      transportation plan preparation process               deleted: (1) The phrase ‘‘by source,’’ (2)
                                        the long-range statewide transportation                  to their areas, we will disseminate non-              the phrase ‘‘each program year,’’ and (3)
                                        plan) and 450.322 (Development and                       regulatory guidance on optional                       the phrase ‘‘while the existing system is
                                        content of the metropolitan                              approaches and examples of effective                  adequately maintained and operated.’’
                                        transportation plan). The definition of                  practice, along with training and                     The requirement for demonstrating
                                        consultation used in § 450.214                           technical assistance.                                 fiscal constraint by year and by source
                                        (Development and content of the long-                       Several MPOs and COGs expressed                    is consistent with, and carries forth
                                        range statewide transportation plan) and                 concern about the definition of                       language in, the planning rule adopted
                                        § 450.322 (Development and content of                    ‘‘coordination’’ because there is no                  in October 1993 (58 FR 5804). The
                                        the metropolitan transportation plan) is                 resolution mechanism if agencies                      FHWA and the FTA consider
                                        consistent with the definition in the                    cannot come to agreement. The FHWA                    demonstrating funding by year and by
                                        statute found at 23 U.S.C. 134(i)(4), 23                 and the FTA support the development                   source necessary for decision-makers
                                        U.S.C. 135(f)(2), 49 U.S.C. 5303(i)(4),                  of a dispute resolution process for                   and the public to have confidence in the
                                        and 49 U.S.C. 5304(f)(2) and is                          ‘‘coordination’’ and ‘‘consultation.’’                STIP and TIP as financially constrained.
                                        applicable for those sections. This                      However, such a process is not required               However, in response to concerns
                                        section presents a broad definition of                   by statute and is, therefore, not included            raised, we have changed the definition
                                        ‘‘consultation’’ for use throughout the                  in this rule. This does not preclude                  related to ‘‘by source’’ to be consistent
                                        rest of the rule. We have added a note                   State DOTs and/or MPOs from                           with the October 1993 planning rule.
                                        to the definition of ‘‘consultation’’ to                 developing their own dispute resolution               This change clarifies that fiscal
                                        recognize that this definition is not the                processes as part of the transportation               constraint documentation should
                                        one used in §§ 450.214 and 450.322.                      planning process.                                     include committed, available, or
                                           Many national and regional advocacy                      After further review, the FHWA and                 reasonably available revenue sources.
                                        organizations and several MPOs and                       the FTA have removed the term                            Additionally, as a result of the
                                        COGs that commented on this section                      ‘‘exclusive’’ from the list of examples in            extensive comments provided on
                                        also asked that ‘‘periodically’’ be                      the definition of ‘‘design concept.’’ We              Appendix B (Fiscal constraint of
                                        removed from the definition of                           do not want to imply that only                        transportation plans and programs) we
                                        ‘‘consultation’’ to better reflect that                  ‘‘exclusive busways’’ can be identified               have changed the phrase ‘‘while the
                                        consideration of the other party’s view                  as a type of project.                                 existing system is adequately
                                        and providing them with information                         A proposal was offered to define the               maintained and operated’’ to ‘‘with
                                        should occur on a regular and ongoing                    term ‘‘designated recipient’’ to clarify              reasonable assurance that the federally
                                        basis, not a periodic basis. This                        this term in the rule. This definition has            supported transportation system is
                                        definition is taken from the existing rule               been added to this section                            being adequately operated and
                                        developed in an extensive rulemaking                        Many State DOTs and some national                  maintained.’’ We believe this change
                                        process in January 2003 on the non-                      and regional advocacy organizations                   provides flexibility and addresses the
                                        metropolitan local official consultation                 that commented on the definition of                   commenters’ concerns that the FHWA
                                        process and agreed to by a number of                     ‘‘environmental mitigation activities’’               and the FTA were overreaching beyond
                                        stakeholders at that time (68 FR 7419).                  suggested deleting ‘‘rectify or reduce’’              the Federally supported transportation
                                        Further, the FHWA and the FTA                                                                                  system. Please see the responses to the
                                                                                                 from the definition because these terms
                                        consider ‘‘periodically’’ to mean                                                                              comments on Appendix B for additional
                                                                                                 are redundant. The FHWA and the FTA
                                        frequently, on regular intervals. This                                                                         background information and
                                                                                                 believe that the terms ‘‘rectify’’ and
                                        change was not made.                                                                                           explanation. Finally, we have also
                                                                                                 ‘‘reduce’’ are related more to the
                                           Many transit agencies and State DOTs                                                                        clarified the definition to explicitly refer
                                                                                                 discussion of specific projects, not the
                                        as well as several MPOs, COGs and                                                                              to ‘‘the metropolitan transportation
                                                                                                 broad planning context. We agree with
                                        others requested changes to the                                                                                plan, TIP and STIP.’’
                                                                                                 this comment and have deleted these                      Many State DOTs, a few national and
                                        definition of ‘‘coordinated public                       words. In addition, MPOs and COGs
                                        transit-human services transportation                                                                          regional advocacy organizations, and
                                                                                                 and a few State DOTs and others                       some MPOs and COGs wrote that the
                                        plan’’ to reduce the degree of procedural                suggested simplifying the definition by
                                        detail. Accordingly, the definition was                                                                        definition of ‘‘financial plans’’ should
                                                                                                 removing statements of regulatory                     be changed to note that financial plans
                                        changed to be consistent with that used                  action. We agree and have deleted the
                                        in the proposed FTA Circulars for                                                                              are not required for STIPs and are not
                                                                                                 last sentence of the definition which                 required for illustrative projects. The
                                        implementing the 49 U.S.C. 5310, 5316,                   reiterated requirements in the body of
                                        and 5317 programs (New Freedom                                                                                 FHWA and the FTA agree with both
                                        Program Guidance, The Job Access And                                                                           comments. We have added a note to the
                                                                                                 Reverse Commute,’’ and ‘‘New Freedom Programs:
                                        Reverse Commute (JARC) Program,                          Coordinated Planning Guidance for FY 2007 and
                                                                                                                                                       definition that financial plans are not
                                        Elderly Individuals And Individuals                      Proposed Circulars’’ were published September 6,      required for STIPs. We also agree that
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                                        With Disabilities Program) published in                  2006, and are available via the internet at the       financial plans are not required for
                                                                                                 following URLs: http://www.fta.dot.gov/               illustrative projects. § 450.216(m) states
                                        the September 2006.5 In addition,                        publications/
                                                                                                 publications_5607.html or http://
                                                                                                                                                       that ‘‘The financial plan may include,
                                          5 These documents, ‘‘Elderly Individuals and           a257.g.akamaitech.net/7/257/2422/01jan20061800/       for illustrative purposes, additional
                                        Individuals With Disabilities, Job Access and            edocket.access.gpo.gov/2006/pdf/E6–14733.pdf.         projects that would be included in the


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                                        adopted STIP if reasonable additional                    clarify what projects should be included                 A proposal was offered to define the
                                        resources beyond those identified in the                 in the list, since TIPs cover multiple                term ‘‘public transportation operator’’ to
                                        financial plan were available.’’ We do                   years. Therefore, this change was not                 clarify this term in the rule. This
                                        not believe it is necessary to add a note                made. However, we did change the                      definition has been added to this
                                        to the definition regarding illustrative                 definition to emphasize that funds need               section.
                                        projects.                                                to be ‘‘authorized by the FHWA or                        Several State DOTs and MPOs and
                                           Several State DOTs also wrote                         awarded as a grant by the FTA.’’                      COGs as well as some transit agencies
                                        requesting that the phrase ‘‘as well as                     Several State DOTs, MPOs and COGs                  and national and regional advocacy
                                        operating and maintaining the entire                     and some national and regional                        organizations noted that the definition
                                        transportation system’’ be removed from                  advocacy organizations and transit                    of ‘‘regionally significant project’’
                                        the definition of ‘‘financial plans.’’ This              agencies expressed confusion over the                 should not include a reference to ‘‘all
                                        change has been made                                     terms ‘‘management and operations’’                   capacity expanding projects.’’ After
                                           Proposals were offered to define the                  and ‘‘operations and management’’ as                  consultation with the EPA, the FHWA
                                        terms ‘‘full funding grant agreement’’ to                related to the term they propose be                   and the FTA have changed this
                                        clarify this term in the rule. This                      included in the rule, ‘‘Transportation                definition to be consistent with the
                                        definition has been added to this                        System Management and Operations                      EPA’s transportation conformity rule (40
                                        section.                                                 (TSMO).’’ The SAFETEA–LU defined                      CFR 93.101).
                                           In response to comments regarding                     ‘‘Operational and Management                             Several of the State DOTs, many
                                        financial plans and fiscal constraint                    Strategies’’ and its relationship to                  transit agencies, and a few of the
                                        requirements, we have modified the                       metropolitan long-range transportation                national advocacy organizations and
                                        definition of ‘‘illustrative project’’ to                plans. (Operational and management                    MPOs and COGs commented that the
                                        clarify that ‘‘illustrative projects’’ refer             strategies means actions and strategies               word ‘‘overarching’’ in the definition of
                                        to additional transportation projects that               aimed at improving the performance of                 ‘‘Regional Transit Security Strategies’’
                                        would be included in financially                         existing and planned transportation                   was ambiguous. Other MPOs and COGs,
                                        constrained transportation plans and                     facilities to relieve vehicular congestion            transit agencies and national and
                                        programs if ‘‘additional resources were                  and maximizing the safety and mobility                regional advocacy organizations wrote
                                        to become available.’’ This definition                   of people and goods (23 U.S.C.                        that the definition was overly specific
                                        also notes that illustrative projects may                134(i)(2)(D) and 49 U.S.C. 5303(i)(2)(D)).            without defining who would be held
                                        (but are not required to) be included in                 This definition is included in the rule               responsible to develop the strategy and
                                        the financial plan.                                      with one change. We have removed the                  also expressed concern about possible
                                           Representatives of a State DOT and a                  modifier ‘‘vehicular’’ to emphasize that              disclosure of security-sensitive
                                        national and regional advocacy                           operational and management strategies                 information in the planning process.
                                        organization requested the inclusion of                  should be considered for all modes. The               Subsequent to publication of the NPRM,
                                        detailed methodologies for engaging                      FHWA and the FTA find this term, for                  the FHWA and the FTA determined that
                                        private service providers in the                         practical purposes, to be the same as the             the Department of Homeland Security
                                        transportation planning process, as well                 term Transportation System                            does not require Regional Transit
                                        as standards for ascertaining compliance                 Management and Operations currently                   Security Strategies in all metropolitan
                                        with private enterprise provisions and a                 commonly in use by agencies involved                  areas, at all times. As a result, this term
                                        complaint process. To ensure maximum                     with transportation. We have chosen to                has been removed from this section and
                                        flexibility for localities to tailor                     continue using the term ‘‘operational                 references to the term in § 450.208(h),
                                        programs to the needs of private service                 and management strategies’’ as that is                § 450.214(e), and § 450.306(g) also have
                                        providers in their areas, we will rely                   the term used in SAFETEA–LU.                          been removed from the rule.
                                        upon non-regulatory guidance, training,                     Several State DOTs, MPOs and COGs                  Alternatively, this language has been
                                        and technical assistance for                             and some national and regional                        replaced, in these sections, with a
                                        disseminating information on optional                    advocacy organizations and transit                    reference to ‘‘other transit safety and
                                        approaches to private sector                             agencies also asked for clarification of              security planning and review processes,
                                        participation.                                           the term ‘‘operations and maintenance.’’              plans, and programs, as appropriate.’’
                                           The FHWA and the FTA noted that                       The terms ‘‘operations’’ and                             The docket included several
                                        the proposed rule used an incorrect                      ‘‘maintenance’’ are used in these                     comments regarding the definitions for
                                        Clean Air Act reference in the definition                regulations as defined in 23 U.S.C. 101.              ‘‘revision,’’ ‘‘amendment,’’
                                        of ‘‘Maintenance area.’’ This reference                  Therefore, we have not repeated the                   ‘‘administrative modification,’’ and
                                        has been corrected.                                      definitions here.                                     ‘‘update.’’ The definition of ‘‘revision’’
                                           After further review, the FHWA and                       A proposal was offered to define the               has been revised to use the terms
                                        the FTA have made slight changes to the                  term ‘‘project construction grant                     ‘‘major’’ and ‘‘minor’’ rather than
                                        definition of ‘‘management systems’’ to                  agreement’’ to clarify this term in the               ‘‘significant’’ and ‘‘non-significant,’’
                                        be more permissive. The phrase ‘‘and                     rule. This definition has been added to               consistent with the comments received
                                        safety’’ was changed to ‘‘or safety’’ and                this section.                                         and changes to the related terms.
                                        ‘‘includes’’ was changed to ‘‘can                           After further review, we have                         A State DOT commented on the
                                        include.’’                                               determined it is necessary to clarify the             definition of ‘‘State implementation
                                           Some State DOTs and national and                      definition of ‘‘project selection’’ to                plan (SIP).’’ After consultation with
                                        regional advocacy groups recommended                     emphasize these are procedures used by                EPA, this definition was revised to cite
                                        removing the phrase ‘‘in the preceding                   MPOs, States, and public transportation               applicable sections of the Clear Air Act
                                        program year’’ from the definition of                    operators.                                            and to be consistent with the definition
                                        ‘‘obligated projects.’’ The FHWA and                        Based on comments, we have changed                 in the Clean Air Act and EPA’s
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                                        the FTA find that the phrase ‘‘in the                    the term ‘‘business’’ in the definition of            conformity rule (40 CFR 93.101) for
                                        preceding program year’’ is important in                 ‘‘provider of freight transportation                  ‘‘applicable implementation plan.’’
                                        the context of the annual listing of                     services’’ to ‘‘entity.’’ Freight                        The docket included a comment
                                        obligated projects (See § 450.332                        transportation providers may include                  requesting clarification of the term
                                        (Annual listing of obligated projects)) to               other concerns besides businesses.                    ‘‘staged’’ in the definition for


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                                                         Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations                                        7229

                                        ‘‘Statewide transportation improvement                   Section 450.206 Scope of the                          State DOTs and MPOs in implementing
                                        program (STIP).’’ We have clarified this                 Statewide Transportation Planning                     the transportation planning process
                                        definition to describe the STIP as a                     Process                                               gives them wide latitude to develop a
                                        ‘‘prioritized listing/program’’ and to                      There were more than 20 separate                   process that is appropriate for their
                                        reiterate that it must cover a period of                 comments on this section with the most                jurisdiction. We believe this issue is
                                        four years. Similar changes were made                    coming from State DOTs, followed by                   best addressed in guidance and
                                        to the definition of ‘‘Transportation                    national and regional advocacy                        technical assistance.
                                        improvement program (TIP).’’                             organizations. A small number of                      Section 450.208 Coordination of
                                           Some State DOTs and a national and                    comments came from MPOs and COGs                      Planning Process Activities
                                        regional advocacy organization                           and providers of public transportation.
                                        suggested that the reference to ‘‘in order                                                                        There were almost 100 separate
                                                                                                    In comments on this section and                    comments on this section mostly from
                                        to meet the regular schedule as                          § 450.306 (Scope of the metropolitan
                                        prescribed by Federal statute’’ be                                                                             State DOTs, followed by national and
                                                                                                 transportation planning process), many                regional advocacy organizations. A
                                        removed from the definition of                           MPOs and COGs, some national and
                                        ‘‘Update.’’ A few MPOs and COGs                                                                                number of comments came from MPOs
                                                                                                 regional advocacy organizations and a                 and COGs with a small number from
                                        questioned what would constitute an                      few State DOTs noted that paragraph
                                        ‘‘update’’ and what was meant by                                                                               public transportation providers or
                                                                                                 (a)(3) embellished the statutory language             Federal agencies.
                                        ‘‘complete change.’’ We agree with these                 for the ‘‘security’’ planning factor.
                                        concerns, have removed these phrases                                                                              In some of the comments from
                                                                                                 Organizations that commented on this                  national and regional advocacy
                                        and revised and simplified this                          issue were concerned that the expanded
                                        definition to ‘‘Update means making                                                                            organizations, MPOs and COGs, and
                                                                                                 language would require State DOTs and                 others, the FHWA and the FTA were
                                        current a long-range statewide                           MPOs to go far beyond their traditional               asked to expand the scope of the
                                        transportation plan, metropolitan                        responsibilities in planning and                      transportation planning process to
                                        transportation plan, TIP, or STIP                        developing transportation projects,                   include a variety of other issues and
                                        through a comprehensive review.’’                        which was not intended by the                         concerns. In response to these
                                        Based on comments, we note in this                       SAFETEA-LU. The FHWA and the FTA                      comments, we have added ‘‘at a
                                        definition that an ‘‘update’’ requires a                 agree and have revised the language in                minimum’’ to paragraph (a) to
                                        20-year horizon year for metropolitan                    paragraph (a)(3) to match the language                emphasize the flexibility for State DOTs
                                        transportation plans and long-range                      in statute.                                           to include more in their statewide
                                        statewide transportation plans and a                        Most of the State DOTs and several of              transportation planning process than is
                                        four-year program period for TIPs and                    the national and regional advocacy                    listed in this section.
                                        STIPs.                                                   organizations that commented on this                     Several MPOs and COGs that had
                                           Several MPOs and other organizations                  section said that the text in paragraph               comments on this section suggested
                                        asked for clarification of the term                      (b) should be revised similar to the text             clarification of paragraph (a)(1)
                                        ‘‘visualization.’’ The FHWA and the                      in the October 1993 planning rule                     regarding the State’s use of information
                                        FTA have changed ‘‘employed’’ to                         acknowledging that the degree of                      and studies provided by MPOs. The text
                                        ‘‘used’’ in the ‘‘Visualization                          consideration will reflect the scale and              from this paragraph in part carries
                                        techniques’’ definition. Further, we                     complexity of issues within the State.                forward but simplifies text from 23 CFR
                                        agree that there is a need for more                      The FHWA and the FTA agree with                       450.210 of the October 1993 planning
                                        technical information on the use of                      these comments and have revised the                   rule. The FHWA and the FTA find that
                                        visualization techniques and we intend                   rule accordingly. We have adopted the                 the language provides reasonable
                                        to provide technical reports and                         October 1993 planning rule language                   flexibility to respond to different
                                        guidance subsequent to the publication                   with one change. The phrase                           circumstances while reinforcing the
                                        of this rule.                                            ‘‘transportation problems’’ was changed               importance of information and technical
                                           Proposals were offered to define the                  to ‘‘transportation systems                           studies as a foundation in transportation
                                        terms ‘‘advanced construction,’’                         development.’’                                        planning. No changes were made to this
                                        ‘‘encouraged to,’’ ‘‘intercity bus,’’                       After further review, we have clarified            paragraph.
                                        ‘‘interested parties,’’ ‘‘MPO staff,’’                   paragraph (c) to be more specific and to                 Many of the State DOTs that
                                        ‘‘public transportation provider,’’                      mirror the language in 23 U.S.C.                      commented on this section indicated
                                        ‘‘reasonable access,’’ ‘‘shall,’’ and                    135(d)(2) and 49 U.S.C. 5304(d)(2). The               that coordination referenced in
                                        ‘‘should.’’ The FHWA and the FTA                         paragraph now specifically refers to                  paragraph (a)(2) should not extend to
                                        believe these terms are generally well                   ‘‘any court under title 23 U.S.C., 49                 private businesses. At the same time,
                                        understood and do not require                            U.S.C. Chapter 53, subchapter II of title             many of the MPOs, COGs and national
                                        additional detail.                                       5 U.S.C. Chapter 5, or title 5 U.S.C.                 and regional advocacy organizations, as
                                        Subpart B—Statewide Transportation                       Chapter 7’’ and to the ‘‘statewide                    well as a public transportation provider
                                        Planning and Programming                                 transportation’’ planning process                     that commented on this section wrote in
                                                                                                 finding.                                              support of the section and some
                                        Section 450.200         Purpose                             A small number of national and                     requested that ‘‘consult’’ replace
                                          No comments were received on this                      regional advocacy organizations and                   ‘‘coordinate.’’
                                        section and no changes were made.                        State DOTs that commented on this                        The requirements in this paragraph
                                                                                                 section said they would like the FHWA                 come from the statutory language;
                                        Section 450.202         Applicability                    and the FTA to develop and/or                         therefore, no change was made. The
                                          No comments were received on this                      encourage the use of performance                      FHWA and the FTA want to provide
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                                        section and no changes were made.                        measures when State DOTs consider the                 State DOTs flexibility to determine how
                                                                                                 planning factors listed in this section.              to coordinate with statewide trade and
                                        Section 450.204         Definitions                      While the FHWA and the FTA                            economic planning activities and the
                                          No comments were received on this                      encourage the use of performance                      level or coordination that needs to take
                                        section and no changes were made.                        measures, the flexibility afforded the                place within the planning process. The


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                                        7230             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                        FHWA has made available information                      U.S.C. 135(c)(2) and 49 U.S.C. 5304(c)(2)             2006.6 Additionally, provisions for
                                        related to Public-Private Partnership                    regarding multistate agreements and                   promoting consistency between the
                                        opportunities, including analyses of                     compacts.                                             planning processes were revised to
                                        contractual agreements formed between                       Many of the State DOTs and a few of                clarify that the coordinated public
                                        public agencies and private sector                       the national and regional advocacy                    transit-human services transportation
                                        entities, on its Web site at: http://                    organizations that provided comments                  plan should be prepared in full
                                        www.fhwa.dot.gov/ppp/. If necessary,                                                                           coordination and be consistent with the
                                                                                                 on this section said the text in
                                        we will provide guidance subsequent to                                                                         metropolitan transportation planning
                                                                                                 paragraphs (e) and (f) went beyond
                                        the rule if more clarity is needed                                                                             process. The revisions also are intended
                                                                                                 statutory requirements. The FHWA and
                                        regarding this coordination.                                                                                   to add flexibility in how the coordinated
                                           Many of the State DOTs that                           the FTA agree with these comments and
                                                                                                                                                       transportation plans would be prepared.
                                        commented on this section said that                      revised the rule accordingly by changing                 Many of the State DOTs, several
                                        coordination in paragraph (a)(3) exceeds                 ‘‘are encouraged to’’ to ‘‘may’’ in                   transit agencies, and a few of the
                                        the requirement in the statute. At the                   paragraph (e) and adding ‘‘to the                     national and regional advocacy
                                        same time, several of the national and                   maximum extent practicable’’ to                       organizations that provided comments
                                        regional advocacy organizations and a                    paragraph (f).                                        on this section, said the text in
                                        Federal agency commented in support                         Most transit agencies, several State               paragraph (h) went beyond statutory
                                        of the language in the proposed rule.                    DOTs, MPOs, COGs, and others that                     requirements. Several transit agencies
                                        The FHWA and the FTA find that the                       commented on this section expressed                   and a few State DOTs and others
                                        proposed language does exceed the                        concern or confusion about the                        suggested deleting paragraph (h) due to
                                        intent of the statute, and have revised                  requirement in paragraph (g) for the                  the confidential nature of Regional
                                        the rule to more closely reflect the                     statewide transportation planning                     Transit Security Strategies (RTSS). An
                                        statutory language, by changing                          process to be consistent with the                     RTSS is not required of all metropolitan
                                        ‘‘coordinate planning’’ to ‘‘consider the                development of coordinated public                     areas and States across the U.S.
                                        concerns of.’’                                           transit-human services transportation                 Reference to the RTSS was removed
                                           Many of the State DOTs that                                                                                 from paragraph (h). Instead, we have
                                                                                                 plans. Several commenters requested
                                        commented on this section suggested                                                                            added a reference to ‘‘other transit safety
                                                                                                 the addition of procedural detail on the
                                        placing the word ‘‘affected’’ before                                                                           and security planning and review
                                                                                                 coordinated public transit-human
                                        ‘‘local elected officials’’ in paragraph                                                                       processes, plans, and programs, as
                                        (a)(4). At the same time, some of the                    services transportation plan, including
                                                                                                 geographic scope, approval authority,                 appropriate.’’
                                        MPOs and COGs and national and
                                        regional advocacy organizations that                     and determination of lead agency. Some                Section 450.210 Interested Parties,
                                        provided comments on this section                        commenters recommended removing                       Public Involvement, and Consultation
                                        suggested changing ‘‘consider’’ to                       the requirement entirely. We also
                                                                                                                                                          The docket included 33 documents
                                        ‘‘consult,’’ which is used in § 450.210                  received a comment questioning
                                                                                                                                                       that contained about 60 comments on
                                        (Interested parties, public involvement,                 whether metropolitan and statewide
                                                                                                                                                       this section, with many from State
                                        and consultation). The text follows the                  transportation planning processes
                                                                                                                                                       DOTs, national and regional advocacy
                                        statutory language. The FHWA and the                     should be consistent with the
                                                                                                                                                       organizations and MPOs and COGs.
                                        FTA considered both groups of                            coordinated public transit-human                         Many of the State DOTs and some of
                                        comments and determined that using                       services transportation plan, or vice                 the national and regional advocacy
                                        the statutory language for this paragraph                versa.                                                organizations said that State DOTs
                                        without amplification best meets the                        To ensure maximum flexibility for                  should not be required to document the
                                        intent of the statute.                                   localities to undertake a coordinated                 public involvement process. The FHWA
                                           Many of the State DOTs that                           planning process that may be uniquely                 and the FTA find that an essential
                                        commented on this section said that the                  tailored to their area, we have not                   element of an effective public
                                        text in paragraph (a)(6) should follow                   included additional detailed                          involvement process is the opportunity
                                        the statutory language (23 U.S.C.                        requirements in the rule. The FHWA                    for the public to understand when, how,
                                        135(e)(1)(3) and 49 U.S.C. 5304(e)(1)(3)).               and the FTA will disseminate non-                     and where public comment can occur.
                                        The FHWA and the FTA agree and                           regulatory guidance, complemented by a                It is important to open, effective public
                                        revised the rule accordingly.                                                                                  involvement that the process be
                                                                                                 wide array of effective practice case
                                           Several of the State DOTs that                                                                              documented and available for public
                                                                                                 studies and supported by training and
                                        commented on this section objected to                                                                          review. Therefore, we have retained the
                                        the phrase ‘‘establish a forum’’ in                      technical assistance, on the coordinated
                                                                                                 public transit-human services                         requirement for a documented public
                                        paragraph (a)(7), while a smaller                                                                              involvement process.
                                        number supported the text. The FHWA                      transportation plan. The definition of
                                                                                                 the coordinated public transit-human                     Some of the MPOs and some of the
                                        and the FTA want to emphasize the                                                                              national and regional advocacy
                                        importance of information and technical                  services transportation plan was
                                                                                                 changed to be consistent with that used               organizations said they would like to
                                        studies as a foundation in transportation                                                                      expand the list of interested parties in
                                        planning. While there is no statutory                    in the proposed FTA Circulars for
                                                                                                 implementing the 49 U.S.C. 5310, 5316,                paragraph (a)(1)(i). Representatives of
                                        basis to require ‘‘establish[ing] a forum,’’                                                                   private bus operators requested specific
                                        this paragraph has been revised to more                  and 5317 programs (New Freedom
                                                                                                 Program Guidance And Application                      mention in the regulation.
                                        closely reflect the intent from
                                        § 450.210(a)(1) and (a)(3) of the October                Instructions, The Job Access And
                                                                                                                                                         6 These documents, ‘‘Elderly Individuals and
                                        1993 rule regarding coordination of data                 Reverse Commute (JARC) Program                        Individuals With Disabilities, Job Access and
                                                                                                 Guidance And Application Instructions,
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                                        collection and analyses with MPOs and                                                                          Reverse Commute,’’ and ‘‘New Freedom Programs:
                                        public transportation operators.                         Elderly Individuals And Individuals                   Coordinated Planning Guidance for FY 2007 and
                                                                                                 With Disabilities Program Guidance                    Proposed Circulars’’ were published September 6,
                                           After further review, the FHWA and                                                                          2006, and are available via the internet at the
                                        the FTA have modified the last sentence                  And Application Instructions)                         following URL: http://www.fta.dot.gov/
                                        of paragraph (c) to be consistent with 23                respectively, published on September 6,               publications/publications_5607.html.



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                                                         Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations                                        7231

                                           The list of interested parties in the                 involvement of Indian Tribal                             The FHWA and the FTA recognize
                                        regulation is consistent with 23 U.S.C.                  governments in the statewide                          commenters’ concerns about Appendix
                                        135(f)(3)(A) and 49 U.S.C. 5304(f)(3)(A),                transportation planning process, we                   A, including the recommendation that
                                        as amended by the SAFETEA-LU, and is                     have changed paragraph (c) from ‘‘States              this information be kept as guidance
                                        sufficiently broad to encompass and                      are encouraged to’’ to ‘‘States shall, to             rather than be made a part of the rule.
                                        have relevance to all of the suggested                   the extent practicable.’’                             First, information in an Appendix to a
                                        additional parties. The list illustrates                                                                       regulation does not carry regulatory
                                        groups that typically have an interest in                Section 450.212 Transportation                        authority in itself, but rather serves as
                                        statewide transportation planning, but                   Planning Studies and Project                          guidance to further explain the
                                        does not preclude States from providing                  Development                                           regulation. Secondly, as stated above,
                                        information about transportation                            Section 1308 of the TEA–21 required                Section 1308 of TEA–21 required the
                                        planning to other types of individuals or                the Secretary to eliminate the major                  Secretary to eliminate the MIS as a
                                        organizations. The FHWA and the FTA                      investment study (MIS) set forth in                   separate requirement, and promulgate
                                        note that 49 U.S.C. 5307(c) requires                     § 450.318 of title 23, Code of Federal                regulations to integrate such
                                        grant recipients to make available to the                Regulations, as a separate requirement,               requirement, as appropriate, as part of
                                        public information on the proposed                       and promulgate regulations to integrate               the transportation planning process.
                                        program of projects and associated                       such requirement, as appropriate, as                  Appendix A fulfills that Congressional
                                        funding.                                                 part of the analysis required to be                   direction by providing explanatory
                                           Specifically in regard to MPOs, States                undertaken pursuant to the planning                   information regarding how the MIS
                                        shall coordinate with MPOs under                         provisions of title 23 U.S.C. and title 49            requirement can be integrated into the
                                        § 450.208 (Coordination of planning                      U.S.C. Chapter 53 and the National                    transportation planning process.
                                        process activities). Therefore, a                        Environmental Policy Act of 1969                      Inclusion of this explanatory
                                        reference to MPOs here would be                          (NEPA) for Federal-aid highway and                    information as an Appendix to the
                                        redundant and potentially confusing                      transit projects. The purpose of this                 regulation will make the information
                                        since this section does not require                      section and § 450.318 (Transportation                 more readily available to users of the
                                        coordination with interested parties. No                 planning studies and project                          regulation, and will provide notice to all
                                        change was made to add MPOs to this                      development) is to implement this                     interested persons of the agencies’
                                        paragraph.                                               requirement of Section 1308 of the                    official guidance on MIS integration
                                           Many of the State DOTs and some of                    TEA–21 and eliminate the MIS as a                     with the planning process. Attachment
                                        the national and regional advocacy                       stand-alone requirement. A phrase has                 of Appendix A to this rule will provide
                                        organizations also said that State DOTs                  been added to paragraph (a) to clarify                convenient reference for State DOTs,
                                        should not be required to document the                   the purpose of this section.                          MPOs and public transportation
                                        non-metropolitan local official                                                                                operator(s) who choose to incorporate
                                        consultation process. The rule does not                     The docket included more than 20
                                                                                                 documents that contained more than 50                 planning results and decisions in the
                                        change the regulations published in the                                                                        NEPA process. It will also make the
                                        Federal Register on January 23 (68 FR                    comments on this section with about
                                                                                                                                                       information readily available to the
                                        3176) and February 14, 2003 (68 FR                       two-thirds from State DOTs and the rest
                                                                                                                                                       public. Additionally, the FHWA and the
                                        7418) regarding consultation with non-                   from MPOs or COGs, and national and
                                                                                                                                                       FTA will work with Federal
                                        metropolitan local officials. Those                      regional advocacy organizations. The
                                                                                                                                                       environmental, regulatory, and resource
                                        regulations were developed based on                      comments on this section were similar
                                                                                                                                                       agencies to incorporate the principles of
                                        significant review and comment by                        to, and often referenced, the comments
                                                                                                                                                       Appendix A in their day-to-day NEPA
                                        State DOTs and non-metropolitan local                    on § 450.318 (Transportation planning
                                                                                                                                                       policies and procedures related to their
                                        officials and their representatives. At                  studies and project development).
                                                                                                                                                       involvement in highway and transit
                                        that time most State DOTs and national                      Most of the comments received                      projects. For the reasons stated above,
                                        and regional advocacy organizations                      supported the concept of linking                      after careful consideration of all
                                        supported the regulations. Therefore,                    planning and NEPA but opposed                         comments, the FHWA and the FTA have
                                        the only change we have made to                          including Appendix A in the rule. The                 decided to attach Appendix A to the
                                        paragraph (b) is to change ‘‘revisions’’ to              purpose of an Appendix to a regulation                final rule as proposed in the NPRM.
                                        ‘‘changes,’’ since ‘‘revision’’ is now                   is to improve the quality or use of a rule,              Most State DOTs and several MPOs
                                        specifically defined in the rule and, by                 without imposing new requirements or                  and COGs, and national and regional
                                        that definition, is not an appropriate                   restrictions. Appendices provide                      advocacy organizations that commented
                                        term for this paragraph.                                 supplemental, background or                           on this section were concerned that the
                                           Some of the State DOTs and some                       explanatory information that illustrates              language in paragraph (a) is too
                                        national and regional advocacy                           or amplifies a rule. Because Appendix A               restrictive. The FHWA and the FTA
                                        organizations said that the text                         provides amplifying information about                 agree that planning studies need not
                                        encouraging State DOTs to document                       how State DOTs, MPOs and public                       ‘‘meet the requirements of NEPA’’ to be
                                        their process for consulting with Indian                 transportation operators can choose to                incorporated into NEPA documents.
                                        Tribal Governments should be                             conduct transportation planning-level                 Instead, we have changed the language
                                        eliminated. The commenters believe                       choices and analyses so they may be                   in paragraph (a) to ‘‘consistent with’’
                                        that documenting this consultation                       adopted or incorporated into the process              NEPA. In addition, we have added the
                                        process goes beyond requirements in                      required by NEPA, but does not impose                 phrase ‘‘multimodal, systems-level’’
                                        statute. We disagree. The FHWA and the                   new requirements, the FHWA and the                    before ‘‘corridor or subarea’’ to
                                        FTA support efforts to consult with                      FTA find that Appendix A is useful                    emphasize the ‘‘planning’’ venue for
                                        Indian Tribal governments and find that                  information to be included in support of              environmental consideration.
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                                        documentation of consultation                            this and other sections of the rule. A                   Commenters on this section also
                                        processes are essential to a party’s                     phrase has been added to paragraph (c)                requested that the rule clarify that the
                                        ability to understand when, how, and                     to clarify this point. Additionally, we               State DOT has the responsibility for
                                        where the party can be involved. Upon                    have added disclaimer language at the                 conducting corridor or subarea studies
                                        further consideration, to strengthen the                 introduction of Appendix A.                           in the statewide transportation planning


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                                        process. The FHWA and the FTA                            State DOTs are not expected to provide                permissive nature of this section and
                                        recognize that the State DOT is                          the same level of detail on impacts and               Appendix A strikes the appropriate
                                        responsible for the statewide                            mitigation as would be expected during                balance.
                                        transportation planning process.                         the NEPA process.                                       The docket also included a question
                                        However, we do not want to preclude                         Based on comments on Appendix A,                   asking what needs to be included in an
                                        MPOs or public transportation                            we added the phrase ‘‘directly or’’ in                agreement with the NEPA lead agencies
                                        operators, in consultation or jointly with               paragraph (b), to indicate the use of                 to accomplish this integration. The
                                        the State DOT, from conducting corridor                  publicly available planning documents                 FHWA and the FTA have determined
                                        or subarea studies. Therefore, we have                   for subsequent NEPA documents.                        that identification of what information
                                        changed paragraph (a) to add the                            Also based on comments on                          appropriately belongs in the agreement
                                        sentence ‘‘To the extent practicable,                    Appendix A, we added the phrase                       should be disseminated as non-
                                        development of these transportation                      ‘‘systems-level’’ in paragraph (b)(2), to             regulatory guidance, complemented by a
                                        planning studies shall involve                           emphasize that these corridor or subarea              wide array of effective practice case
                                        consultation with, or joint efforts                      studies are conducted during the                      studies and supported by training and
                                        among, the State(s), MPO(s), and/or                      planning process at a broader scale than              technical assistance. No change was
                                        public transportation operator(s).’’                     project specific studies under NEPA.                  made to the rule. We have not required
                                           Some State DOTs suggested                                Several State DOTs and many others                 that corridor or subarea studies be
                                        incorporating planning decisions rather                  who submitted comments on this                        included or incorporated into NEPA
                                        than documents into the NEPA process.                    section noted that the word ‘‘continual’’             studies.
                                        The FHWA and the FTA find that                           in paragraph (b)(2)(iii) provides the
                                                                                                 public with more opportunity to                       Section 450.214 Development and
                                        decisions made as part of the planning
                                                                                                 comment than is necessary. We agree                   Content of the Long-Range Statewide
                                        studies may be used as part of the
                                                                                                 and have replaced ‘‘continual’’ with                  Transportation Plan
                                        overall project development process and
                                        have changed paragraph (a) to include                    ‘‘reasonable’’ in this paragraph,                        The docket included approximately
                                        the word ‘‘decisions’’ as well as                        consistent with the terminology in                    50 documents that contained about 50
                                        ‘‘results.’’ It is important to note,                    § 450.316(a) (Interested parties,                     comments on this section with about
                                        however, that a decision made during                     participation and consultation). Also in              one-third from State DOTs, one-half
                                        the transportation planning process                      paragraph (b)(2)(iii) a number of                     from national and regional advocacy
                                        should be presented in a documented                      commenters noted that the paragraph                   organizations, and the rest from MPOs
                                        study or other source materials to be                    references the metropolitan                           and COGs, city/county/State agencies,
                                        included in the project development                      transportation planning process when it               general public and transit agencies.
                                        process. Documented studies or other                     should reference the statewide                           Many comments were received
                                        source materials may be incorporated                     transportation planning process. This                 regarding the comparison of
                                        directly or by reference into NEPA                       change has been made.                                 transportation plans with conservation
                                        documents, as noted in § 450.212(b). We                     Several State DOTs and a national and              plans. According to statute (23 U.S.C.
                                        have added ‘‘or other source material’’                  regional advocacy organization                        135(f)(2)(D) and 49 U.S.C. 5304(f)(2)(D)),
                                        to paragraph (b) to recognize source                     suggested adding a ‘‘savings clause’’ in              for long-range statewide transportation
                                        materials other than planning studies                    a new paragraph. A savings clause                     plans, comparison must be made to both
                                        may be used as part of the overall                       would lessen the likelihood that the                  conservation plans and inventories of
                                        project development process.                             new provisions regarding corridor or                  natural/historic resources; whereas
                                           It is important to note that this section             subarea studies would have unintended                 language relating to metropolitan
                                        does not require NEPA-level evaluation                   consequences. The specific elements                   transportation plans (23 U.S.C.
                                        in the transportation planning process.                  requested to be included in the ‘‘savings             134(i)(4)(B) and 49 U.S.C. 5303(i)(4)(B))
                                        Planning studies need to be of sufficient                clause’’ were statements that: (a) The                requires comparison to State
                                        disclosure and embrace the principles of                 corridor and subarea studies are                      conservation plans/maps or comparison
                                        NEPA so as to provide a strong                           voluntary; (b) corridor and subarea                   to inventories of natural or historic
                                        foundation for the inclusion of planning                 studies can be incorporated into the                  resources. The rule language is
                                        decisions in the NEPA process. The                       NEPA process even if they are not                     consistent with what is in statute.
                                        FHWA and the FTA also reiterate the                      specifically mentioned in the long-range              Therefore, no changes were made to the
                                        voluntary nature of this section and the                 statewide transportation plan; (c)                    rule language.
                                        amplifying information in Appendix A.                    corridor and subarea studies are not the                 A few comments were received
                                        States, transit operators and/or MPOs                    sole means for linking planning and                   pertaining to the lack of a required
                                        may choose to undertake studies which                    NEPA; and (d) reiterate the statutory                 financial plan for the long-range
                                        may be used in the NEPA process, but                     prohibition on applying NEPA                          statewide transportation plan. Most of
                                        are not required to do so.                               requirements to the transportation                    the MPOs and COGs and several of the
                                           Several State DOTs and national and                   planning process. The concepts                        national and regional advocacy
                                        regional advocacy organizations were                     recommended in the ‘‘savings clause’’                 organizations were in favor of adding
                                        concerned about the identification and                   all reiterate provisions found elsewhere              this requirement. One State DOT voiced
                                        discussion of environmental mitigation.                  in the rule or statute. The FHWA and                  opinion that this should remain an
                                        They did not believe that detail on                      the FTA do not agree that it is necessary             option, but not be mandated.
                                        environmental mitigation activities was                  to repeat those provisions in this                       The FHWA and the FTA agree that
                                        appropriate in the transportation                        section.                                              the long-range statewide transportation
                                        planning process. The FHWA and the                          The docket included a comment that                 plan may include a financial plan. This
                                        FTA agree. Paragraph (a)(5) calls for                    corridor or subarea studies should be                 optional financial plan is different from
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                                        ‘‘preliminary identification of                          required, not voluntary, to be included               the fiscal constraint requirement for the
                                        environmental impacts and                                in NEPA studies. Given the opposition                 STIP. This financial plan is a broad look
                                        environmental mitigation.’’ The FHWA                     to requiring NEPA-level analysis in the               at the future revenue forecast and
                                        and the FTA believe that the term                        transportation planning process, the                  strategies needed to fund future projects
                                        ‘‘preliminary’’ adequately indicates that                FHWA and the FTA find that the                        over a 20-year horizon. However, the


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                                        SAFETEA-LU made it clear that the                           Several comments were received                     Section 450.216 Development and
                                        financial plan should not be required for                stating that the security requirements of             Content of the Statewide Transportation
                                        a long-range statewide transportation                    paragraph (e) go beyond what was                      Improvement Program (STIP)
                                        plan. Therefore, no change was made to                   intended in the SAFETEA-LU. Based on                     The FHWA and the FTA received
                                        the rule.                                                these comments, the concern for                       over 100 separate comments on this
                                           A few comments were received                          possible disclosure of security-sensitive             section with the most from State DOTs
                                        stating that the 20-year horizon for the                 information in the planning process and               followed by national and regional
                                        long-range statewide transportation plan                 the determination that a Regional                     advocacy organizations. MPOs and
                                        should only be required as of the
                                                                                                 Transit Security Study is not required                COGs, local governments and public
                                        effective date of the plan adoption,
                                                                                                 universally of all metropolitan areas and             transportation providers also provided
                                        which would be similar to language
                                                                                                 States, this reference has been removed               comments on this section.
                                        used for the effective date of the
                                                                                                 from the rule and instead we have                        Several State DOTs and national and
                                        metropolitan transportation plan. The
                                                                                                 added a reference to ‘‘other transit safety           regional advocacy organizations and a
                                        FWHA and the FTA agree with this
                                                                                                 and security planning and review                      few MPOs and COGs said in regards to
                                        comment and have added ‘‘at the time
                                                                                                 processes, plans, and programs, as                    paragraph (a) that State DOTs should be
                                        of adoption’’ to paragraph (a).
                                           DOT Congestion Initiative: On May                     appropriate.’’ Several commenters also                allowed to have a statewide
                                        16, 2006, the U.S. Secretary of                          were concerned about the distinction                  transportation improvement program
                                        Transportation announced a national                      between ‘‘homeland’’ and ‘‘personal’’                 (STIP) of more than four years where the
                                        initiative to address congestion related                 security in the planning factors found at             additional year(s) are not illustrative.
                                        to highway, freight and aviation. The                                                                             The four-year scope is consistent with
                                                                                                 § 450.206 (Scope of the statewide
                                        intent of the ‘‘National Strategy to                                                                           the time period required by the
                                                                                                 transportation planning process). This
                                        Reduce Congestion on America’s                                                                                 SAFETEA-LU. While State DOTs are not
                                                                                                 distinction has been removed from                     prohibited from developing STIPs
                                        Transportation Network’’ 7 is to provide                 § 450.206 (Scope of the statewide
                                        a blueprint for Federal, State and local                                                                       covering a longer time period, in
                                                                                                 transportation planning process) and                  accordance with statute, the FHWA and
                                        officials to tackle congestion. The States               § 450.306 (Scope of the metropolitan
                                        and MPO(s) are encouraged to seek                                                                              the FTA can only recognize and take
                                                                                                 transportation planning process).                     subsequent action on projects included
                                        Urban Partnership Agreements with a
                                        handful of communities willing to                           Some State DOTs and a few advocacy                 in the first four years of the STIP. State
                                        demonstrate new congestion relief                        organizations commented that ‘‘types                  DOTs may show projects as illustrative
                                        strategies and encourages States to pass                 of’’ should be added to the discussion                after the first four years, as well as in the
                                        legislation giving the private sector a                  of potential environmental mitigation                 long-range statewide transportation
                                        broader opportunity to invest in                         activities requirement in paragraph (j) to            plan. Therefore, no change was made to
                                        transportation. It calls for more                        emphasize the policy or strategic nature              this section of the rule.
                                        widespread deployment of new                             of these discussions. The rule language                  After consultation with EPA and in
                                        operational technologies and practices                   is consistent with statute (23 U.S.C.                 response to comments from a few
                                        that end traffic tie ups, designates new                 135(f)(4) and 49 U.S.C. 5304(f)(4)),                  national and regional advocacy
                                        interstate ‘‘corridors of the future,’’                  therefore this change was not made.                   organizations, the language in paragraph
                                        targets port and border congestion, and                                                                        (b) has been changed to clarify that
                                                                                                 However, we have added a sentence to
                                        expands aviation capacity.                                                                                     projects in the ‘‘donut areas’’ of a
                                                                                                 this paragraph recognizing that long-
                                           U.S. DOT encourages the State DOTs                                                                          nonattainment or maintenance area
                                                                                                 range statewide transportation plans
                                        and MPOs to consider and implement                                                                             must be included in the regional
                                                                                                 may focus on ‘‘policies, programs, or                 emissions analysis that supported the
                                        strategies, specifically related to
                                                                                                 strategies, rather than at the project                conformity determination of the
                                        highway and transit operations and
                                        expansion, freight, transportation                       level.’’ The last sentence of this                    associated metropolitan TIP before they
                                        pricing, other vehicle-based charges                     paragraph was also deleted because                    are added to the STIP. The
                                        techniques, etc. The mechanism that the                  Appendix A does not provide additional                transportation conformity rule (40 CFR
                                        State DOTs and MPOs employ to                            information relevant to the subject of                part 93) covers the requirements for
                                        explore these strategies is within their                 this paragraph.                                       including projects in the ‘‘donut area’’
                                        discretion. The U.S. DOT will focus its                     In paragraph (l), in response to                   in the regional emissions analysis.
                                        resources, funding, staff and technology                 comments from State DOTs, national                       A public transportation provider said
                                        to cut traffic jams and relieve freight                  and regional advocacy organizations                   in regard to paragraph (g) that security
                                        bottlenecks.                                             and several others, we have added the                 projects should be added to the list of
                                           To encourage States to address                        phrase ‘‘but is not required to.’’ The                projects exempted from listing in the
                                        congestion in the long-range statewide                   purpose of this addition is to reinforce              STIP. Because security projects are often
                                        transportation plan, the following                       that the financial plan is not required to            funded with title 49 U.S.C. Chapter 53
                                        sentence was added to paragraph (b):                     include illustrative projects. We also                or title 23 U.S.C. funds, they must be
                                        ‘‘The long-range statewide                                                                                     included in the STIP. No change was
                                                                                                 corrected the language in the last
                                        transportation plan may consider                                                                               made to this paragraph.
                                                                                                 sentence: ‘‘were available’’ was changed
                                        projects and strategies that address areas                                                                        However, after further review, the
                                        or corridors where current or projected                  to ‘‘were to become available.’’
                                                                                                                                                       FHWA and the FTA have determined it
                                        congestion threatens the efficient                          Several State DOTs and a few national              is appropriate to remove the phrase
                                        functioning of key elements of the                       and regional advocacy organizations                   ‘‘federally supported’’ from the
                                        State’s transportation system.’’                         requested in regard to paragraph (p) that             beginning of paragraph (g) because it is
                                                                                                 long-range statewide transportation
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                                                                                                                                                       redundant. The paragraph already
                                          7 This document, ‘‘An Overview of the National
                                                                                                 plans be provided to the FHWA and the                 requires projects to be included if they
                                        Strategy to Reduce Congestion on America’s               FTA only when ‘‘amended’’ not
                                        Transportation Network’’ dated May, 2006, is
                                                                                                                                                       are funded under title 23 U.S.C. and
                                        available via the internet at the following URL:         ‘‘revised.’’ We agree and have made this              title 49 U.S.C. Chapter 53. We have also
                                        http://www.fightgridlocknow.gov.                         change.                                               changed paragraph (g) to allow the


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                                        inclusion of the exempted projects, but                     One of the features of Appendix B                   revenue sources reasonably expected to
                                        do not require that they be included.                    that the FHWA and the FTA find merits                  be available to adequately operate and
                                        Further, we have added ‘‘Safety projects                 inclusion in the rule is ‘‘year of                     maintain Federal-aid highways (as
                                        funded under 23 U.S.C. 402’’ to                          expenditure dollars.’’ The following has               defined by 23 U.S.C. 101(a)(5)) and
                                        paragraph (g)(1) to be consistent with                   been added to paragraph (l): ‘‘Revenue                 public transportation (as defined by title
                                        the October 1993 planning rule.                          and cost estimates for the STIP must use               49 U.S.C. Chapter 53).’’
                                           When proposing Appendix B to the                      an inflation rate(s) to reflect ‘year of                  Many State DOTs and several national
                                        rule, the FHWA and the FTA intended                      expenditure dollars,’ based on                         and regional advocacy organizations
                                        to raise the level of awareness and                      reasonable financial principles and                    said regarding paragraph (m) that State
                                        importance in developing fiscally                        information, developed cooperatively by                DOTs should not have to demonstrate
                                        constrained transportation plans, TIPs,                  the State, MPOs, and public                            financial constraint in the STIP by year
                                        and STIPs to States, MPOs, and public                    transportation operators.’’ This language              or by source of funding. Based on nearly
                                        transportation operators. Since its                      expresses the desire of the FHWA and                   13 years of implementing this
                                        introduction under the Intermodal                        the FTA for revenue and cost estimates                 requirement, the FHWA and the FTA
                                        Surface Transportation Efficiency Act of                 to be reflected in ‘‘year of expenditure               consider demonstrating funding by year
                                        1991 (ISTEA) (Pub. L. 102–240), fiscal                   dollars.’’ We recognize that it might take             necessary for decision-makers and the
                                        constraint has remained a prominent                      some time for State DOTs and MPOs to                   public to have confidence in the STIP as
                                        aspect of transportation plan and                        convert their metropolitan                             financially constrained. This change
                                        program development, carrying through                    transportation plans, STIPs and TIPs to                was not made. The specific reference to
                                        to the TEA–21 and now to the                             reflect this requirement. Therefore, we                ‘‘by source’’ has been removed.
                                        SAFETEA–LU. The FHWA and the FTA                         will allow a grace period until                        However, the requirement for State
                                        acknowledge that Appendix B contains                     December 11, 2007, during which time                   DOTs to identify strategies for ensuring
                                        a combination of guidance, amplifying                    State DOTs and MPOs may reflect                        the availability of any proposed funding
                                        information and additional criteria.                     revenue and cost estimates in ‘‘constant               sources is retained. Please see the
                                        Given the level of controversy regarding                 dollars.’’ After December 11, 2007,                    responses to the comments on
                                        Appendix B, it has been removed from                     revenues and cost estimates must use                   Appendix B for additional background
                                        the rule. Therefore, the sentence                        ‘‘year of expenditure’’ dollars. This                  information and explanation as to why
                                        referencing Appendix B in paragraph (l)                  requirement is consistent with the                     we have included this language in
                                        has been deleted.                                        January 27, 2006, document ‘‘Interim                   § 450.216.
                                           Many State DOTs and several national                  FHWA Major Project Guidance.’’ 8                          After further review, the FHWA and
                                        and regional advocacy organizations                      Please see the responses to the                        the FTA determined that paragraph (n)
                                        commented in regard to paragraph (h),                    comments on Appendix B to the NPRM
                                                                                                                                                        is redundant. The same information is
                                        that they should not have to                                                                                    included in paragraph (b). Therefore,
                                                                                                 for additional background information
                                        demonstrate financial constraint for                                                                            paragraph (n) was removed.
                                                                                                 and explanation. In addition, to                          One State DOT and one local agency
                                        projects included in the STIP funded
                                                                                                 reinforce that the financial plan is not               said that the regulation should include
                                        with non-FHWA and non-FTA funds.
                                                                                                 required to include illustrative projects,             language emphasizing and expanding
                                        However, this requirement is consistent
                                                                                                 we have added the phrase ‘‘but is not                  bicycle and pedestrian program
                                        with and carries forward the
                                                                                                 required to’’ to this paragraph. Finally,              guidance. The FHWA and the FTA find
                                        requirement that was implemented with
                                                                                                 we have deleted the reference to                       that the language in the guidance
                                        the October 1993 planning rule. In
                                                                                                 Appendix B in this paragraph because                   documents issued by the FHWA and the
                                        addition, for informational purposes
                                                                                                 Appendix B is not included as part of                  FTA on February 6, 2006,9 is sufficient
                                        and air quality analysis in
                                        nonattainment and maintenance areas,                     this rule.                                             to address bicycle and pedestrian needs
                                        regionally significant non-Federal                          Regarding paragraph (m), many State                 without being raised to the level of
                                        projects shall be included in the STIP.                  DOTs, national and regional advocacy                   regulatory language.
                                        Therefore, the FHWA and the FTA have                     organizations and a few MPOs and                          Many State DOTs and national and
                                        retained this portion of paragraph (h).                  COGs questioned having to demonstrate                  regional advocacy organizations that
                                        We have, however, simplified the                         their ability to adequately operate and                provided comments on this section said
                                        paragraph slightly to combine the last                   maintain the entire transportation                     in regards to paragraph (o) (now
                                        two sentences.                                           system. The FHWA and the FTA have                      paragraph (n)), that all changes that
                                           Most State DOTs and national and                      revised paragraph (m) to delete the                    affect fiscal constraint should not
                                        regional advocacy organizations that                     phrase ‘‘while the entire transportation               require an amendment. We have slightly
                                        commented on this section,                               system is being adequately operated and                modified the paragraph to remove ‘‘all’’
                                        recommended in regards to paragraph                      maintained.’’ Instead, we have added                   from the last sentence, but note that this
                                        (i) that after the first year of the STIP,               ‘‘while federally-supported facilities are             change does not remove the requirement
                                        only the ‘‘likely’’ or ‘‘possible’’ (rather              being adequately operated and                          that any change that affects fiscal
                                        than ‘‘proposed’’) categories of funds                   maintained.’’ Further, as discussed in                 constraint requires an amendment. By
                                        should be identified by source and year.                 the response to the comments on                        definition, an amendment is ‘‘a revision
                                        The FHWA and the FTA agree with this                     Appendix B, we have added to this                      that requires public review and
                                        suggestion, with the exception of                        paragraph: ‘‘For purposes of                           comment, redemonstration of fiscal
                                        projects in nonattainment and                            transportation operations and                          constraint, or a conformity
                                        maintenance areas for which funding in                   maintenance, the STIP shall include                    determination (for ‘non-exempt’ projects
                                        the first two years must be available or                 financial information containing                       in nonattainment and maintenance
                                        committed. Paragraph (i)(3) has been                     system-level estimates of costs and                    areas). (See § 450.104 (Definitions)).
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                                        changed to specifically reference the
                                                                                                   8 This document, ‘‘Interim FHWA Major Project           9 The guidance memo entitled ‘‘Flexible Funding
                                        amount of ‘‘Federal funds’’ proposed to
                                                                                                 Guidance,’’ dated January 27, 2006, is available via   for Highway and Transit and Funding for Bicycle
                                        be obligated and to identify separate                    the internet at the following URL: http://             and Pedestrian Programs,’’ dated February 6, 2006,
                                        standards for the first year and for the                 www.fhwa.dot.gov/programadmin/mega/                    is available via the internet at the following URL:
                                        subsequent years of the STIP.                            012706.cfm.                                            http://www.fhwa.dot.gov/hep/flexfund.htm.



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                                           The FHWA and the FTA note that                           Several comments were made under                   have added a new paragraph (a)(3) ‘‘49
                                        nearly all comments on § 450.324                         this section that should have referenced              U.S.C. 5332, prohibiting discrimination
                                        (Development and content of the                          450.220(e) and the question posed in the              on the basis of race, color, creed,
                                        transportation improvement program                       preamble to the NPRM ‘‘whether States                 national origin, sex, or age in
                                        (TIP)) regarding the question posed in                   should be required to prepare an ‘agreed              employment or business opportunity.’’
                                        the preamble of the NPRM ‘‘whether the                   to’ list of projects at the beginning of              Upon further review of this section, the
                                        FHWA and the FTA should require                          each of the four years in the STIP, rather            FHWA and the FTA determined that 49
                                        MPOs submitting TIP amendments to                        than only the first year and whether a                U.S.C. 5332 should be included in this
                                        demonstrate that funds are ‘available or                 STIP amendment should be required to                  list of requirements.
                                        committed’ for projects identified in the                move projects between years in the STIP                  Several comments to the docket
                                        TIP in the year the TIP amendment is                     if an ‘agreed to’ list is required for each           expressed concern regarding the need
                                        submitted and the following year’’                       year.’’ These comments have been                      for approval of the STIP when
                                        opposed a change. Almost all                             reflected in the discussion of and final              submitted to the FHWA and the FTA.
                                        commenters mentioned that such a                         language for § 450.220(e).                            While we still require joint approval, we
                                        change would require reviewing the                          Many commenters, including almost                  have revised paragraph (b) to delete the
                                        financial assumptions for the entire                     all State DOTs, in regards to paragraph               proposed time frames of ‘‘every four
                                        program, thereby causing an undue                        (a), asserted their belief that the October           years’’ or ‘‘at the time the amended STIP
                                        burden. Commenters suggested showing                     1993 planning rule requires joint FHWA                is submitted.’’ We will also make a joint
                                        financial constraint only for the                        and FTA approval of STIP amendments                   finding on the ‘‘STIP,’’ rather than ‘‘the
                                        incremental change. The same question                    only ‘‘as necessary’’ so that, in most                projects in the STIP.’’
                                        was posed in this section of the NPRM.                   cases, either the FHWA or the FTA                        Some commenters raised questions
                                        Although commenters did not respond                      could approve the amendment. This is                  regarding the authority in paragraph (c)
                                        to the question in comments on this                      not the case. The October 1993 planning               for the FHWA and the FTA approval of
                                        section, based on the comments on                        rule at 23 CFR 450.220(a) did require                 a STIP to continue for up to 180 days
                                        § 450.324 no change was made to the                      joint approval for all new STIPs and                  under extenuating circumstances even
                                        rule. However, the FHWA and the FTA                      STIP amendments ‘‘as necessary.’’ The                 though a State has missed the deadline
                                        are concerned for the potential impact                   FHWA and the FTA have reviewed this                   for its four-year update. Several
                                        of individual amendments on the                          requirement and determined that joint                 comments suggested that the 180
                                        funding commitments and schedules for                    approval remains necessary. However,                  calendar day limit for STIP extensions
                                        the other projects in the STIP. For this                 we note that through the internal                     should be expanded and most
                                        reason, the financial constraint                         Planning Collaboration Initiative, the                supported not putting any time limit on
                                                                                                 FHWA and the FTA have developed a                     the STIP extension period. At the same
                                        determination occasioned by the STIP
                                                                                                 number of streamlined internal                        time, some national and regional
                                        amendment will necessitate review of
                                                                                                 processes and agreements to expedite                  advocacy organizations opposed
                                        all projects and revenue sources in the
                                                                                                 review and approval of STIP                           allowing any STIP extensions. This
                                        STIP. The FHWA and the FTA will
                                                                                                 amendments. Based on these                            provision has been in the planning
                                        address any concerns on this issue
                                                                                                 agreements and experience with the                    regulations since the original rule
                                        through subsequent guidance.
                                                                                                 current regulation, we do not believe                 relating to STIPs was adopted in
                                           Many State DOTs, MPOs and COGs as                     requiring joint approval will slow down               October 1993, following the enactment
                                        well as some national and regional                       the approval process or impose new                    of the ISTEA. Although the statute
                                        advocacy organizations and a few public                  workloads on the FHWA and the FTA.                    specifies that STIPs shall be updated
                                        transportation providers and local                       Joint approval of STIP amendments is                  every four years, Congress did not
                                        government agencies asked for                            necessary as part of our stewardship and              specify any consequences of missing
                                        clarification on fiscal constraint if the                oversight responsibility.                             this deadline by failing to complete the
                                        financial situation in the State or                         We have clarified paragraph (a) to                 update within the specified period.
                                        metropolitan region changes. The                         specifically state that ‘‘STIP                        Because Congress was silent on the
                                        FHWA and the FTA have added a new                        amendments shall also be submitted to                 consequences of the failure to update
                                        paragraph (o) to clarify that where a                    the FHWA and the FTA for joint                        the STIP within the four-year period,
                                        revenue source is removed or                             approval’’ and that ‘‘at the time the                 the FHWA and the FTA have some
                                        substantially reduced after the FHWA                     entire STIP or STIP amendment is                      latitude in interpreting Congress’ intent.
                                        and the FTA find a STIP to be fiscally                   submitted,’’ the State shall certify the              This discretion is further manifested in
                                        constrained, the FHWA and the FTA                        planning process is being carried out in              the statute by the fact that the FHWA
                                        will not withdraw its determination of                   accordance with requirements.                         and the FTA are given responsibility to
                                        fiscal constraint but that the FHWA and                     After further review of this section,              approve the STIP (23 U.S.C. 135(g)(6)
                                        the FTA will not act on an updated or                    the FHWA and the FTA have updated                     and 49 U.S.C. 5304(g)(6)). Since the
                                        amended STIP which does not reflect                      the list of applicable requirements in                October 1993 planning rule, the FHWA
                                        the changed revenue situation.                           paragraph (a). Reference to ‘‘23 CFR                  and the FTA have interpreted the
                                        Section 450.218 Self-Certification,                      parts 200 and 300 have been removed’’                 update requirement strictly, believing
                                        Federal Findings, and Federal                            from paragraph (a)(2). Instead, a more                that Congress intended the process to
                                                                                                 specific reference to ‘‘23 CFR part 230,              work on a regular cycle, and that regular
                                        Approvals
                                                                                                 regarding implementation of an equal                  updates were essential to the viability of
                                          The docket included about 20                           employment opportunity program on                     the transportation planning process.
                                        documents that contained                                 Federal and Federal-aid highway                       Therefore, we have concluded that
                                        approximately 30 comments on this                        construction contracts’’ was added as                 approval of the STIP should only
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                                        section with about one-half from State                   paragraph (a)(5). This is the specific                continue past the update time period
                                        DOTs, one-quarter from national and                      portion of 23 CFR parts 200 and 300 that              specified in statute when there are
                                        regional advocacy organizations, and                     needs to be reviewed and is not related               extenuating circumstances beyond the
                                        the rest from MPOs and COGs, and city/                   to Title VI of the Civil Rights Act of                control of the State DOT that causes it
                                        county governments.                                      1964 in paragraph (a)(2). In addition, we             to miss its update deadline.


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                                           Examples of extenuating                               comments were from State DOTs. MPOs                   to the docket addressed issues that were
                                        circumstances include (but are not                       and COGs, as well as transit agencies,                clarified in our May 2, 2006, guidance.
                                        limited to): (a) late action by the                      city/county governments, and national                 The provisions of the guidance have
                                        Governor or State legislature on revenue                 and regional advocacy groups, also                    been incorporated into the regulation.
                                        that was reasonably expected to be                       provided comments.                                    Specifically, we have clarified that long-
                                        available for transportation projects in                    All of the comments pertained to the               range statewide transportation plans
                                        the STIP, whereby instances have                         two questions posed in the preamble to                and STIPs adopted and approved prior
                                        occurred when the STIP was nearing the                   the NPRM: ‘‘whether States should be                  to July 1, 2007, may be developed using
                                        completion of the update process                         required to prepare an ‘agreed to’ list of            the TEA–21 requirements or the
                                        (public review and comments had been                     projects at the beginning of each of the              provisions and requirements of this
                                        received), but just before adoption the                  four years in the STIP, rather than only              part.
                                        funding was severely restricted, thus a                  the first year’’ and ‘‘whether a STIP                    We have also clarified, in paragraph
                                        new update process (based on new                         amendment should be required to move                  (a), what actions may be taken prior to
                                        fiscal constraint reality) needed to be                  projects between years in the STIP, if an             July 1, 2007, on long-range statewide
                                        commenced; or (b) disasters, both                        ‘agreed to’ list is required for each year.’’         transportation plans and STIPs.
                                        natural and man-made, have caused                        Predominantly, comments asserted that                    One MPO, half of the national and
                                        States to divert both funding and staff                  requiring a State DOT or MPO to submit                regional advocacy organizations and a
                                        resources away from the STIP update                      an agreed-to list at the beginning of each            quarter of the State DOTs commented
                                        process.                                                 of the four years of the TIP/STIP or                  that the regulations should clearly state
                                           Further, the FHWA and the FTA                         requiring an amendment to move                        that partial STIP approvals are
                                        believe that such an approval cannot                     projects between years in the STIP                    allowable if one MPO or region is not
                                        extend indefinitely, but only be of                      unnecessarily limited flexibility and                 SAFETEA–LU compliant. Because the
                                        limited duration (i.e., 180 calendar                     thus should not be a requirement. The                 regulation already allows for approval of
                                        days). Therefore, we have retained the                   FHWA and the FTA agree with the                       partial STIPs (see § 450.218(b)(1)(iii)),
                                        provision in paragraph (c) for an                        majority of the comments. Therefore, no               no change was made to the regulation.
                                        extension of the STIP update under                       change was made to the rule language.                 Approval of partial STIPs is acceptable,
                                        extenuating circumstances. However,                         We have clarified paragraph (b) to                 primarily when difficulties are
                                        paragraph (c) has been slightly modified                 indicate that project selection shall be              encountered in cooperatively
                                        to clarify that, while the FHWA and the                  made according to procedures provided                 developing the STIP portion for a
                                        FTA approval may continue for a                          in § 450.330 (Project Selection From the              particular metropolitan area or for a
                                        limited period of time based on                          TIP).                                                 Federal Lands agency. If an MPO is able
                                        extenuating circumstances, the statutory                                                                       to produce a TIP that is SAFETEA–LU
                                        deadline for the update has not been                     Section 450.222 Applicability of NEPA                 compliant, the Federal action would be
                                        changed. We have also clarified that the                 to Statewide Transportation Plans and                 to amend that TIP into the STIP, making
                                        180-day period refers to ‘‘calendar                      Programs                                              the portion of the STIP that covers that
                                        days.’’                                                    The docket includes very few                        region SAFETEA–LU compliant.
                                           Many comments were received                           comments on this section. One concern                    Most of the national and regional
                                        questioning why the existing flexibility                 expressed is that this section or                     advocacy organizations and most of the
                                        to maintain or establish operations for                  Appendix A would make planning                        State DOTs commented that the
                                        highway operating assistance was                         reviewable under NEPA. The purpose of                 deadline for transportation plan, STIP
                                        eliminated here and in § 450.328 (TIP                    this section, however, is to reiterate the            and TIP action should apply to State/
                                        actions by the FHWA and the FTA).                        statutory provisions that clearly say that            MPO approval action rather than the
                                        This was an erroneous omission in the                    the statewide transportation planning                 FHWA/FTA conformity finding. The
                                        NPRM and the language has been                           process decisions are not subject to                  FHWA and the FTA issued guidance on
                                        restored to correct this error.                          review under NEPA. We have changed                    ‘‘Clarification of Plan Requirements in
                                           A small number of national and                        this section to mirror the language in 23             Nonattainment and Maintenance Areas’’
                                        regional advocacy organizations                          U.S.C. 135(j) and 49 U.S.C. 5304(j).                  on May 25, 2001.11 Since the FHWA
                                        expressed concern that the rule does not                                                                       and the FTA do not determine
                                        provide enough detail on the standards                   Section 450.224 Phase-In of New                       conformity of STIPs, we are revising this
                                        that the FHWA, the FTA and State                         Requirements                                          section to eliminate conformity
                                        DOTs should apply in making a                               The docket included 30 documents                   determinations. However, the rest of the
                                        statewide planning finding. We believe                   that contained almost 100 comments on                 rule language is consistent with current
                                        that the entire context of the rule and of               this section with about half from State               practice, and therefore, no other change
                                        the statute sufficiently identify the                    DOTs, one-fifth from national and                     was made.
                                        criteria to be used in making a finding                  regional advocacy organizations, one-                    Most of the commenters stated that 23
                                        that the transportation planning process                 fifth from MPOs and COGs, and the rest                U.S.C. 135(b) requires only ‘‘updates’’ to
                                        meets or substantially meets these                       from city/county/State agencies.                      reflect changes required by SAFETEA–
                                        requirements. We do not believe                             All comments received indicated that               LU after July 1, 2007, not
                                        additional detail is required in the rule.               it will be difficult to meet the                      ‘‘amendments.’’ The comments noted
                                        However, if necessary, the FHWA and                      SAFETEA–LU July 1, 2007, deadline.                    that requiring a STIP re-adoption for
                                        the FTA will provide non-regulatory                      Subsequent to the preparation of the                  minor amendments would be a
                                        guidance, training and technical                         proposed rule, but prior to its
                                        assistance.                                              publication, the FHWA and the FTA                     May 2, 2006, is available on the following URL:
                                                                                                 disseminated additional guidance                      http://www.fhwa.dot.gov/hep/plandeadline.htm.
                                        Section 450.220 Project Selection
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                                                                                                                                                         11 This guidance document, ‘‘Clarification of Plan
                                        From the STIP                                            regarding the phase-in requirements on
                                                                                                                                                       Requirements in Nonattainment and Maintenance
                                                                                                 May 2, 2006.10 Many of the comments                   Areas,’’ dated May 25, 2001, can be found via the
                                          The docket included 20 documents                                                                             internet at the following URL: http://
                                        that contained about 20 comments on                        10 This guidance document, ‘‘SAFETEA–LU             www.fhwa.dot.gov/environment/conformity/
                                        this section. The majority of the                        Deadline for New Planning Requirements’’, dated       planup_m.htm.



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                                        substantial burden and is a stricter                        In comments on this section and                       Many of the State DOTs and a few of
                                        interpretation of the statute than                       § 450.206 (Scope of the statewide                     the national and regional advocacy
                                        Congress intended. Prior to the adoption                 transportation planning process), many                organizations that provided comments
                                        of this rule, there has not been an                      MPOs and COGs, some national and                      on this topic said the text in paragraph
                                        accepted definition of or distinction                    regional advocacy organizations and a                 (f) went beyond statutory requirements.
                                        between the terms ‘‘update’’ or                          few State DOTs noted that paragraph                   The FHWA and the FTA agree with
                                        ‘‘amendment.’’ As established in                         (a)(3) embellished the statutory language             these comments and revised the rule
                                        Section 450.104 (Definitions) of this                    for the ‘‘security’’ planning factor.                 accordingly by adding ‘‘to the maximum
                                        rule, the FHWA and the FTA consider                      Organizations that commented on this                  extent practicable’’ in paragraph (f).
                                        an amendment to the STIP to be a major                   issue were concerned that the expanded                   Most transit agencies, several State
                                        change to the transportation plan or                     language would require State DOTs and                 DOTs, MPOs and COGs, and others
                                        program. The FHWA and the FTA                            MPOs to go far beyond their traditional               provided comments on the requirement
                                        believe that any major change to the                     responsibilities in planning and                      in paragraph (g) for the metropolitan
                                        transportation plan or program, whether                  developing transportation projects,                   transportation planning process to be
                                        called an ‘‘amendment’’ or an ‘‘update’’                 which was not intended by the                         consistent with the development of
                                        under this regulation, is considered for                 SAFETEA–LU. The FHWA and the FTA                      coordinated public transit-human
                                        this purpose an ‘‘update’’ as referenced                 agree and have revised the language in                services transportation plans. In general,
                                        in 23 U.S.C. 135(b). However, an                         paragraph (a)(3) to match the language                commenters requested additional
                                        ‘‘administrative modification’’ would                    in the statute.                                       information on the plans, who was
                                        not be covered by this requirement. This                    After further review, the FHWA and                 responsible for developing the plans
                                        rule clarifies the definition of these                   the FTA have changed the word                         and how they were to be consistent.
                                        terms for the future.                                    ‘‘should’’ to ‘‘shall’’ in paragraph (b) to           Some commenters recommended
                                           One national and regional advocacy                    be consistent with statutory language in              removing the requirement entirely.
                                        organization stated that Congress                        23 U.S.C. 134(h)(1) and 49 U.S.C.                        Communities have broad flexibility in
                                        specified that the SAFETEA–LU phase-                     5303(h)(1).                                           determining the roles and
                                        in period should begin on July 1, 2007,                     Most of the State DOTs and several of              responsibilities in this area, including
                                        not be completed by that date. The                       the national and regional advocacy                    selecting the organization charged with
                                        FHWA and the FTA believe that this is                    organizations that commented on                       developing the coordinated public
                                        an incorrect interpretation of the statute.              similar text in § 450.206 (Scope of the               transit-human services transportation
                                        The FHWA and the FTA agree that                          statewide transportation planning                     plan. The FHWA and the FTA
                                        administrative modifications can be                      process) said that the text in paragraph              encourage review of the proposed FTA
                                        made to STIPs after July 1, 2007, but                    (b) of that section should be revised to              Circulars for implementing the 49
                                        amendments or revisions that would                       be similar to the text in the October                 U.S.C. 5310, 5316, and 5317 programs
                                        add or delete a major new project to a                   1993 planning rule acknowledging that                 (New Freedom Program Guidance, The
                                        TIP, STIP, or transportation plan would                  the degree of consideration will reflect              Job Access And Reverse Commute
                                        not be acceptable after July 1, 2007, in                 the scales and complexity of issues                   (JARC) Program, Elderly Individuals and
                                        the absence of meeting the provisions                    within the State. The FHWA and the                    Individuals With Disabilities Program),
                                        and requirements of this part. This                      FTA agree with those comments and                     published on September 6, 2006.12
                                        information has been included in                         revised this section, as well, to be                  Consistency between public transit-
                                        paragraph (c).                                           consistent. We have included the                      human services planning and the
                                                                                                 language from the October 1993                        metropolitan transportation planning
                                        Subpart C—Metropolitan                                   planning rule with one change. The                    process is required. The provisions for
                                        Transportation Planning and                              phrase ‘‘transportation problems’’ was                promoting consistency between the
                                        Programming                                              changed to ‘‘transportation system                    planning processes were revised to
                                        Section 450.300 Purpose                                  development.’’                                        clarify and add flexibility. In order to
                                                                                                    After further review, we have clarified            receive funding in title 49 U.S.C.
                                          No comments were received on this
                                                                                                 paragraph (c) to mirror the language in               Chapter 53, projects from the
                                        section and no changes were made.
                                                                                                 23 U.S.C. 134(h)(2) and 49 U.S.C.                     coordinated public transit-human
                                        Section 450.302 Applicability                            5303(h)(2). The paragraph now                         services transportation plans must be
                                          No comments were received on this                      specifically refers to ‘‘any court under              incorporated into the metropolitan
                                        section and no changes were made.                        title 23 U.S.C., 49 U.S.C. Chapter 53,                transportation plan, TIP and STIP. And,
                                                                                                 subchapter II of title 5 U.S.C. Chapter 5,            in areas with a population greater than
                                        Section 450.304 Definitions                              or title 5 U.S.C. Chapter 7.’’                        200,000, solicitation of projects for
                                          No comments were received on this                         Some MPOs and COGs and a few                       implementation from the public transit-
                                        section and no changes were made.                        national and regional advocacy                        human services transportation plan
                                                                                                 organizations asked for clarification on              must be done in cooperation with the
                                        Section 450.306 Scope of the                             the meaning of asset management                       MPO.
                                        Metropolitan Transportation Planning                     principles and information on how to                     Several transit agencies and a few
                                        Process                                                  link them to performance measures. The                State DOTs and others suggested
                                           The docket included about 80                          FHWA and the FTA have changed ‘‘are                   deleting the portion of paragraph (h)
                                        separate comments on this section with                   encouraged to’’ to ‘‘may’’ in paragraph
                                        almost half from MPOs and COGs.                          (e) to provide additional flexibility for               12 These documents, ‘‘Elderly Individuals and

                                        Several national and regional advocacy                   MPOs, State DOTs, and public                          Individuals With Disabilities, Job Access and
                                                                                                                                                       Reverse Commute, and New Freedom Programs:
                                        organizations also commented on this                     transportation operators to apply asset               Coordinated Planning Guidance for FY 2007 and
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                                        section. Most of the remaining                           management principles appropriate to                  Proposed Circulars’’ was published September 6,
                                        comments came from State DOTs and                        their individual context. If necessary,               2006, and are available via the internet at the
                                                                                                                                                       following URLs: http://www.fta.dot.gov/
                                        transit agencies. City/county                            the FHWA and the FTA will provide                     publications/publications_5607.html or http://a257.
                                        governments and others also                              additional non-regulatory guidance,                   g.akamaitech.net/7/257/2422/01jan20061800/
                                        commented on this section.                               training and technical assistance.                    edocket.access.gpo.gov/2006/pdf/E6–14733.pdf.



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                                        related to Regional Transit Security                     designation as an MPO or TMA. While                   agree that it is no longer necessary and
                                        Strategies (RTSS) due to the confidential                this has been done infrequently in the                have removed it from the rule. Most
                                        nature of these plans. Reference to the                  past, the FHWA and the FTA do not                     agencies covered by the provisions of 23
                                        RTSS was removed from paragraph (h).                     want to prohibit this option. Therefore,              U.S.C. 134(d)(3) and 49 U.S.C.
                                        Instead, we have added a reference to                    no change was made to this paragraph.                 5303(d)(3) have already been officially
                                        ‘‘other transit safety and security                         A few national and regional advocacy               designated as an MPO, and this option
                                        planning and review processes, plans,                    organizations and State DOTs had                      still will have the force of law in the
                                        and programs, as appropriate.’’                          comments on paragraph (c), ranging                    statute.
                                                                                                 from deleting language that they said                    Some commenters suggested that
                                        Section 450.308 Funding for                              went beyond statute to clarifying the
                                        Transportation Planning and Unified                                                                            paragraph (g) (now paragraph (f)) should
                                                                                                 phrase ‘‘to the extent possible’’ to                  allow MPOs to use non-profit
                                        Planning Work Programs                                   including the public in designation. The              organizations for staff work. This
                                          There were a few comments on this                      language in this paragraph was carried                paragraph brings forward the language
                                        section from MPOs and COGs. Those                        forward from the October 1993 planning                from the October 1993 planning rule.
                                        that commented on this section                           rule. However, the FHWA and the FTA                   Nothing in this paragraph prohibits an
                                        supported the flexibility provided in                    agree that the implied regulatory                     MPO from using the staff resources of
                                        paragraph (d) and several requested                      standing was unclear. This paragraph                  other agencies, non-profit organizations,
                                        clarification on issues such as the                      has been changed to mirror the language               or contractors to carry out selected
                                        definition of ‘‘MPO staff,’’ and different               in 23 U.S.C. 134(f)(2) and 49 U.S.C.                  elements of the metropolitan planning
                                        processes expected of non-TMA and                        5303(f)(2). The intent of this paragraph              process. However, to clarify this issue,
                                        TMA MPOs. If necessary, the FHWA                         is to encourage States to enact                       we have added ‘‘non-profit
                                        and the FTA will provide additional                      legislation that gives MPOs specific                  organizations, or contractors’’ to this
                                        clarification through development of                     authority to carry out transportation                 paragraph.
                                        technical reports or guidance; however                   planning for the entire metropolitan                     A few MPOs recommended deleting
                                        we did not make any changes to this                      planning area they serve. Without such                ‘‘current MPO board members’’ as one
                                        section.                                                 enabling legislation, MPOs may lack the               definition for units of general purpose
                                        Section 450.310 Metropolitan                             necessary leverage to effectively                     local government from paragraph (k)
                                        Planning Organization Designation and                    coordinate transportation projects across             (now paragraph (j)). The FHWA and the
                                        Redesignation                                            local jurisdictions.                                  FTA agree that allowing the option of
                                                                                                    A national and regional advocacy
                                          The docket included about 30                                                                                 ‘‘local elected officials currently serving
                                                                                                 organization suggested language be
                                        separate comments on this section with                                                                         on the MPO’’ to represent all units of
                                                                                                 added to paragraph (d) to encourage
                                        the most coming from national and                        broad representation, especially from                 general purpose local government for
                                        regional advocacy organizations. Most                    public transportation operators, on MPO               the purposes of redesignation could
                                        of the remaining comments came from                      policy boards. The statute (23 U.S.C.                 result in unintended problems. The
                                        State DOTs, MPOs and COGs. Local                         134(d)(2)(B) and 49 U.S.C.                            FHWA and the FTA have deleted ‘‘local
                                        agencies also commented on this                          5303(d)(2)(B)) explicitly provides for                elected officials currently serving on the
                                        section.                                                 public transportation agencies to be                  MPO’’ from this paragraph and moved
                                          Several of the MPOs and COGs and                       included on policy boards. To clarify                 the remaining text into the body of
                                        national and regional advocacy                           this issue, paragraph (d) has been                    paragraph (j).
                                        organizations that provided comments                     changed to better reflect the language in                Many of the State DOTs and a few of
                                        on this section worried that the Census’                 the statute. Further, we have added                   the national and regional advocacy
                                        continuous sample American                               language to the rule to encourage MPOs                organizations and MPOs and COGs that
                                        Community Survey (ACS) would change                      to increase the representation of local               commented on this section had specific
                                        the official populations in urbanized                    elected officials and public                          comments on paragraph (l) (now
                                        areas more often than once a decade,                     transportation agencies on their policy               paragraph (k)) saying that the paragraph
                                        and recommended that paragraph (a)                       boards, subject to the requirements of                goes beyond statutory requirements and
                                        should specifically state that urbanized                 paragraph (k) of this section.                        should be deleted and requesting
                                        area populations be based only on each                      After further review, we have changed              clarification and minor word changes.
                                        decennial Census. The Census Bureau                      the language in paragraph (e) from                    The intent of this paragraph is that
                                        historically has identified and defined                  ‘‘should’’ to ‘‘shall’’ to be consistent              while an MPO may identify the need for
                                        the boundaries and official population                   with statute (23 U.S.C. 134(d)(1) and 49              redesignation, actual redesignation must
                                        of urbanized areas only in conjunction                   U.S.C. 5303(d)(1)).                                   be carried out in accordance with
                                        with each decennial Census. This                            A question was asked about the                     statutory redesignation procedures. The
                                        practice will not change as a result of                  purpose of paragraph (f). This is not a               FHWA and the FTA have added
                                        the ACS. The ACS is collected in a                       new paragraph. In fact, it first appears              language to this paragraph to clarify that
                                        nationwide sample of households, and                     in Federal statute (23 U.S.C. 134(d)(3)               redesignation is in accordance with the
                                        does not constitute a full enumeration of                and 49 U.S.C. 5303(d)(3)) as a means of               provisions of this section (§ 450.310).
                                        the U. S. population. Consequently, it                   ‘‘grandfathering’’ in those multimodal                We have also modified paragraph (m)
                                        does not provide the necessary basis for                 transportation agencies that were in                  (now paragraph (l)) to reference the
                                        adjusting the boundaries of an                           existence at the time of enactment of                 substantial change discussion in
                                        urbanized area or revising its total                     ISTEA, which were serving many of the                 paragraph (k).
                                        population. Moreover, changing this                      functions of an MPO. This paragraph                      The docket contained a comment in
                                        paragraph would preclude the option                      continues to appear in the SAFETEA–                   regards to paragraph (l) (now paragraph
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                                        for a fast growing urban area to request                 LU (23 U.S.C. 134(d)(3) and 49 U.S.C.                 (k)) that § 4404 of the SAFETEA–LU
                                        (and pay for conducting) a special mid-                  5303(d)(3), but was not explicitly                    provides specific designation and
                                        decade Census for the purpose of                         included in past versions of the                      redesignation authority for the States of
                                        determining whether its population                       metropolitan transportation planning                  Alaska and Hawaii. Because § 4404 of
                                        increased beyond the threshold for                       regulations. The FHWA and the FTA                     the SAFETEA–LU does not apply


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                                        universally to all MPOs, it is not                       agencies and public transportation                    serving part of a TMA shall address
                                        included in the rule.                                    providers.                                            specific TMA requirements, such as the
                                                                                                    Most of the State DOTs and MPOs,                   suballocation of Surface Transportation
                                        Section 450.312 Metropolitan                             many of the national and regional                     Program (STP) funds. The FHWA and
                                        Planning Area Boundaries                                 advocacy organizations, and a few of the              the FTA revised the final rule to clarify
                                           The docket included a few comments                    public transportation providers and                   that the entire adjacent urbanized area
                                        on this section with the most coming                     local agencies that commented on                      does not need to be treated as a TMA.
                                        from MPOs and COGs and the                               paragraph (a) expressed concern about                 However, a written agreement shall be
                                        remaining comments from State DOTs                       an unintended burden resulting from                   established between the MPOs with
                                        and national and regional advocacy                       the requirements outlined in this                     MPA boundaries including a portion of
                                        organizations. Several of the comments                   paragraph and requested clarification.                the TMA, which clearly identifies the
                                        provided general support for this                        Some suggested text changes such as                   roles and responsibilities of each MPO
                                        section of the planning rule as written.                 using the term ‘‘memorandum of                        in meeting specific TMA requirements
                                           A few of the comments related to                      understanding’’ in place of                           (e.g. congestion management process,
                                        paragraph (b) and asked for minor text                   ‘‘agreement.’’ The MPO agreements are                 STP funds suballocated to the urbanized
                                        changes or clarification on how the                      intended to document the cooperative                  area over 200,000 population, and
                                        section may limit flexibility. The FHWA                  arrangements among the various agency                 project selection).
                                        and the FTA revised the paragraph to                     participants that participate in the                     Representatives of State DOTs and
                                        make it more consistent with statutory                   metropolitan transportation planning                  private bus operators requested the
                                        text and, thus, it should not limit                      process. The FHWA and the FTA                         inclusion of detailed methodologies for
                                        flexibility beyond statutory                             encourage a single agreement. However,                engaging private service providers in the
                                        requirements. We also added a reference                  the rule language has been changed to                 transportation planning process, as well
                                        to the requirements in § 450.310(b) to                   reflect the option for multiple                       as standards for ascertaining compliance
                                        reiterate that the MPA boundary may be                   agreements. Removing the implied                      with private enterprise provisions and a
                                        established to coincide only if there is                 requirement for a single written                      complaint process. To ensure maximum
                                        agreement of the Governor and the                        agreement should allow many current                   flexibility for localities to tailor
                                        affected MPO in the same manner as is                    planning agreements to satisfy the                    programs to the needs of private service
                                        required for designating an MPO in the                   provisions of this paragraph provided                 providers in their areas, the FHWA and
                                        first place.                                             they are written documents.                           the FTA will use non-regulatory
                                                                                                    Many of the State DOTs that                        guidance, training, and technical
                                           One of the comments regarding                         commented on this section said they                   assistance, as necessary, for
                                        paragraph (d) asked for clarification for                find paragraph (a)(1) too prescriptive                disseminating information on optional
                                        requiring that the metropolitan planning                 and redundant with requirements in                    approaches to private sector
                                        area (MPA) boundary coincide with                        other sections of the planning rule. On               participation.
                                        regional economic development or                         the other hand, several MPOs and COGs
                                        growth forecasting areas, in particular,                 and national and regional advocacy                    Section 450.316 Interested Parties,
                                        for complex areas having multiple, non-                  organizations that provided comments                  Participation, and Consultation
                                        coincident boundaries. This paragraph                    on this section wrote to support the                     The FHWA and the FTA received
                                        says that metropolitan planning                          proposed rule language in this                        more than 80 comments on this section
                                        boundaries ‘‘may’’ be established to                     paragraph. The FHWA and the FTA                       with the most coming from MPOs and
                                        coincide with regional economic and                      believe the information in this                       COGs, followed by national and regional
                                        growth forecasting areas. This paragraph                 paragraph is helpful to identify what                 advocacy organizations. Public
                                        is permissive, not mandatory. Instead,                   shall be included in the written                      transportation providers, State DOTs
                                        this paragraph provides MPOs with the                    agreement(s). No change was made to                   and local agencies also provided
                                        flexibility to allow their planning                      this language, but it has been moved                  comments on this section. In general,
                                        boundaries to coincide with other,                       into the body of paragraph (a).                       many of the MPOs and some of the
                                        established boundaries, but does not                        Many of the State DOTs that                        others who provided comments on this
                                        require them to do so. For clarification                 commented on this section said they                   section said that they supported the rule
                                        and simplicity, the word ‘‘the’’ was                     found paragraph (a)(2) too prescriptive               as written or with minor changes.
                                        deleted from the beginning of this                       and redundant with requirements in                       A few MPOs in regards to paragraph
                                        paragraph.                                               other sections of the planning rule.                  (a) asked about the difference between
                                           In response to comments on this                       Several MPOs and COGs and national                    the participation plan identified in this
                                        section, we have also clarified                          and regional advocacy organizations                   rule and the public involvement plan
                                        paragraph (h) to indicate that all                       said they would like clarification or                 under the prior two authorizations, the
                                        boundary adjustments that change the                     minor text changes in this paragraph. A               ISTEA and the TEA–21. The
                                        composition of the MPO may require                       small number of MPOs and COGs and                     participation plan in this section has
                                        redesignation of one or more such                        national and regional advocacy                        several elements not required of the
                                        MPOs, rather than only boundary                          organizations that provided comments                  public involvement plan: the
                                        changes that ‘‘significantly’’ change the                on this section wrote to support the                  participation plan shall be developed in
                                        composition of the MPO.                                  proposed rule language in this                        consultation with all interested parties;
                                        Section 450.314 Metropolitan                             paragraph. The FHWA and the FTA                       and the participation plan shall include
                                        Planning Agreements                                      removed this paragraph from the final                 procedures for employing visualization
                                                                                                 rule since the issues are adequately                  techniques and making public
                                          The docket included more than 70                       addressed in § 450.316 (Interested                    information available in electronically
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                                        comments on this section, with the most                  parties, participation, and consultation).            accessible formats and means.
                                        coming from State DOTs, followed by                         The docket includes a comment on                      There were a variety of comments
                                        MPOs and COGs. The remaining                             this section objecting to the requirement             regarding the list of interested parties in
                                        comments were from national and                          in paragraph (f) that a planning                      paragraph (a) from several MPOs and
                                        regional advocacy organizations, local                   agreement between two or more MPOs                    COGs, national and regional advocacy


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                                        organizations and public transportation                  continue to have that flexibility with the            reasonably have foreseen from the
                                        providers. The comments ranged from                      requirements for a participation plan.                public involvement efforts.’’
                                        specifically including additional groups                 This definition was not added to the                     A few of the MPOs and COGs and a
                                        by reference to adding ‘‘non-citizens’’ or               rule.                                                 few of the national and regional
                                        ‘‘the public’’ and ‘‘limited English                        Many MPOs and COGs and some of                     advocacy organizations were concerned
                                        proficiency’’ to adding definitions for                  the other organizations that commented                in paragraph (b) about their ability to
                                        the groups that are in the list to making                on this section wrote to support the                  consult with resource agencies. Upon
                                        the list optional. The FHWA and the                      requirement for employing visualization               further review of this paragraph, the
                                        FTA find that, with a general reference                  in paragraph (a)(1)(iii). Several MPOs                FHWA and the FTA have revised
                                        to ‘‘other interested parties,’’ MPOs have               and COGs asked for clarification or                   paragraph (b). The originally proposed
                                        adequate flexibility to develop and                      subsequent guidance on effective and                  paragraph (b) ‘‘mixed and matched’’
                                        implement a participation plan that                      appropriate use of visualization                      consultation requirements from the
                                        provides an appropriate list of                          techniques. The FHWA and the FTA                      SAFETEA–LU. We have removed the
                                        interested parties for their individual                  agree that there is a need for more                   consultation discussion related to land
                                        metropolitan area. MPOs are encouraged                   technical information on the use of                   management, resource, and
                                        to broaden the list of interested parties                visualization techniques and will                     environmental agencies from this
                                        beyond those listed in statute, as                       provide technical reports and non-                    paragraph. That information is included
                                        appropriate. The list in the rule has                    regulatory guidance, as necessary,                    in § 450.322 (Development and content
                                        been modified to match the language in                   subsequent to the publication of this                 of the metropolitan transportation plan).
                                        the statute (23 U.S.C. 134(i)(5) and 49                  rule.                                                 The sentences that read ‘‘To coordinate
                                        U.S.C. 5303(i)(5)). No additional groups                    A few MPOs and COGs said in                        the planning functions to the maximum
                                        were added. The FHWA and the FTA                         reference to paragraph (a)(1)(iv) that                extent practicable, such consultation
                                        note that 49 U.S.C. 5307(c) requires                     making technical information available                shall compare metropolitan
                                        grant recipients to make available to the                could be overly burdensome. This                      transportation plans and TIPs, as they
                                        public information on the proposed                       requirement conforms to the                           are developed, with the plans, maps,
                                        program of projects and associated                       requirement in statute (23 U.S.C. 134                 inventories, and planning documents
                                        funding.                                                 (i)(5) and 49 U.S.C. 5303(i)(5)). MPOs                developed by other agencies. This
                                           Representatives of a State DOT and                    have flexibility to define specific                   consultation shall include, as
                                        private bus operators requested the                      techniques for making information                     appropriate, contacts with State, local,
                                        inclusion of detailed methodologies for                  available when they develop and revise                Indian Tribal, and private agencies
                                        engaging private service providers in the                their public participation plan.                      responsible for planned growth,
                                        transportation planning process, as well                    Several MPOs and COGs and a public                 economic development, environmental
                                        as standards for ascertaining compliance                 transportation provider wrote in                      protection, airport operations, freight
                                        with private enterprise provisions and a                 reference to paragraph (a)(1)(vi) that the            movements, land use management,
                                        complaint process. These commenters                      term ‘‘explicit consideration’’ could be              natural resources, conservation, and
                                        also requested that the private bus                      burdensome and needs clarification.                   historic preservation.’’ were deleted.
                                        operators be specifically included in the                This language was similar to a                        Instead, the phrase ‘‘(including State
                                        list of interested parties. To ensure                    requirement under the public                          and local planned growth, economic
                                        maximum flexibility for localities to                    involvement plan and based on that                    development, environmental protection,
                                        tailor programs to the needs of private                  experience, the FHWA and the FTA                      airport operations, or freight
                                        service providers in their areas, we will                believe that MPOs have adequate                       movements) or coordinate its planning
                                        rely upon non-regulatory guidance,                       flexibility to define specific techniques             process (to the maximum extent
                                        training, and technical assistance for                   when they develop and revise their                    practicable) with such planning
                                        disseminating information on optional                    public participation plan. If needed, the             activities’’ was added. This phrase is
                                        approaches to private sector                             FHWA and the FTA will provide                         consistent with the requirements in the
                                        participation.                                           subsequent information on accepted                    SAFETEA–LU that apply to
                                           A Federal agency commented that the                   practices in technical reports or                     consultation in metropolitan
                                        public or an agency should be able to                    guidance.                                             transportation plan and TIP
                                        identify itself to the MPO as an                            Several MPOs and COGs wrote in                     coordination (23 U.S.C. 134(i)(4)(A) and
                                        appropriate contact without having to                    regards to paragraph (a)(1)(viii) that the            49 U.S.C. 5303(i)(4)(A)). Also to be
                                        be identified to participate by the MPO.                 section could result in unintended                    consistent with statute, the term ‘‘shall’’
                                        The FHWA and the FTA agree. If an                        burdens on MPOs. In reviewing the                     was changed to ‘‘should.’’
                                        MPO is approached, the MPO should                        statutory requirement (23 U.S.C. 134                     A few of the MPOs and COGs, a few
                                        consider the request and determine                       (j)(4) and 49 U.S.C. 5303(j)(4)) and the              of the national and regional advocacy
                                        whether the consultation is appropriate.                 October 1993 planning rules, the FHWA                 organizations, a State DOT and a local
                                        We believe that this flexibility is                      and the FTA agree that the current                    agency that provided comments on this
                                        allowed within the existing rule                         wording, which was intended to                        section said regarding paragraph (b),
                                        language. No change has been made to                     simplify requirements, could lead to                  that natural resource agencies are not
                                        this section of the rule.                                unintended burdens. The language in                   required to respond when consulted and
                                           A few MPOs and COGs that                              this paragraph has been revised to                    that this places an unreasonable burden
                                        commented on this section asked for a                    follow more closely the language in the               on MPOs. However, several MPOs wrote
                                        definition of ‘‘reasonable access’’ under                October 1993 planning rule and now                    in support of this specific paragraph.
                                        paragraph (a)(1)(ii). This requirement                   reads: ‘‘Providing an additional                      The language regarding consultation has
                                        carries forward what was in the October                  opportunity for public comment, if the                been modified to reflect the statutory
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                                        1993 planning rule. The FHWA and the                     final transportation plan or TIP differs              requirement (23 U.S.C. 134(i)(4) and 49
                                        FTA find that MPOs have had adequate                     significantly from the version that was               U.S.C. 5303(i)(4)). The FHWA and the
                                        flexibility to define ‘‘reasonable access’’              made available for public comment by                  FTA believe that clarification of what
                                        when they developed and revised their                    the MPO and raises new material issues                constitutes a reasonable attempt at
                                        public involvement plan and will                         which interested parties could not                    consultation is better placed in guidance


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                                        and illustrations of practice where there                consultation process with other                       information to be included in support of
                                        is greater flexibility to address regional               governments and agencies referenced in                this and other sections of the rule. A
                                        differences and the evolution of                         paragraph (e) does not need to be                     phrase has been added and this
                                        practice.                                                documented. The FHWA and the FTA                      information has been included as
                                           Also regarding paragraph (b), a local                 find that documentation of consultation               paragraph (e). Additionally, we have
                                        agency said that MPOs should not be                      processes is essential to a party’s ability           added disclaimer language at the
                                        required to consult with private                         to understand when, how, and where                    introduction of Appendix A.
                                        agencies responsible for planned                         the party can be involved. This                          The FHWA and the FTA recognize
                                        growth. The FHWA and the FTA believe                     paragraph has been changed to require                 commenters’ concerns about Appendix
                                        there may be a need to consult with                      that MPOs, to the extent practicable,                 A, including the recommendation that
                                        such organizations given the increase in                 develop a documented process(es) that                 this information be kept as guidance
                                        public-private partnerships. However,                    outlines roles, responsibilities, and key             rather than be made a part of the rule.
                                        the specific phrase ‘‘private agencies                   decision points for consulting with                   First, information in an Appendix to a
                                        responsible for growth’’ is not in the                   other governments and agencies.                       regulation does not carry regulatory
                                        statute or the October 1993 planning                                                                           authority in itself, but rather serves as
                                        regulations and has the potential to                     Section 450.318 Transportation                        guidance to further explain the
                                        cause confusion in the implementation                    Planning Studies and Project                          regulation. Secondly, as stated above,
                                        of this rule. Accordingly, the FHWA and                  Development                                           Section 1308 of TEA–21 required the
                                        the FTA removed the phrase ‘‘private                        Section 1308 of the TEA–21 required                Secretary to eliminate the MIS as a
                                        agencies responsible for planned                         the Secretary to eliminate the MIS set                separate requirement, and promulgate
                                        growth.’’                                                forth in § 450.318 of title 23, Code of               regulations to integrate such
                                           A few MPOs and COGs that                              Federal Regulations, as a separate                    requirement, as appropriate, as part of
                                        commented on this section said in                        requirement, and promulgate                           the transportation planning process.
                                        regards to paragraph (b) that MPO                        regulations to integrate such                         Appendix A fulfills that Congressional
                                        requirements to consult should be                        requirement, as appropriate, as part of               direction by providing explanatory
                                        limited to the metropolitan                              the analysis required to be undertaken                information regarding how the MIS
                                        transportation plan, and not the TIP. No                 pursuant to the planning provisions of                requirement can be integrated into the
                                        change was made to the rule because the                  title 23 U.S.C. and title 49 U.S.C.                   transportation planning process.
                                        requirement reflects language in the                     Chapter 53 and the National                           Inclusion of this explanatory
                                        statute (23 U.S.C. 134(i)(4) and 49 U.S.C.               Environmental Policy Act of 1969                      information as an Appendix to the
                                        5303(i)(4)).                                             (NEPA) for Federal-Aid highway and                    regulation will make the information
                                           A small number of national and                        transit projects. The purpose of this                 more readily available to users of the
                                        regional advocacy organizations                          section is to implement this requirement              regulation, and will provide notice to all
                                        expressed concern that the rule does not                 of Section 1308 of the TEA–21 and                     interested persons of the agencies’
                                        explicitly require that all information                  eliminate the MIS requirement as a                    official guidance on MIS integration
                                        used in making a conformity                              stand-alone requirement. A phrase has                 with the planning process. Attachment
                                        determination be made available for                      been added to paragraph (a) to clarify                of Appendix A to this rule will provide
                                        public comment. The transportation                       the intent of this section.                           convenient reference for State DOTs,
                                        conformity rule (40 CFR 93.105(e))                          The docket included almost 20                      MPOs and public transportation
                                        requires that agencies establish a                       documents that contained more than 50                 operator(s) who choose to incorporate
                                        proactive public involvement process                     comments on this section with about                   planning results and decisions in the
                                        and that requirements of § 450.316(a) be                 two-thirds from State DOTs and the rest               NEPA process. It will also make the
                                        followed and met before conformity                       from MPOs or COGs, as well as national                information readily available to the
                                        may be determined. The FHWA and the                      and regional advocacy organizations.                  public. Additionally, the FHWA and the
                                        FTA find that the public involvement                     The comments on this section were                     FTA will work with Federal
                                        requirements of this section and the                     similar to, and often referenced, the                 environmental, regulatory, and resource
                                        conformity rule are sufficient to provide                comments on § 450.212 (Transportation                 agencies to incorporate the principles of
                                        the public with appropriate access to                    planning studies and project                          Appendix A in their day-to-day NEPA
                                        the information developed during a                       development).                                         policies and procedures related to their
                                        conformity determination.                                   Most of the comments received                      involvement in highway and transit
                                           Representatives of a State DOT and                    supported the concept of linking                      projects. For the reasons stated above,
                                        private bus operators requested the                      planning and NEPA but opposed                         after careful consideration of all
                                        inclusion of detailed methodologies for                  including Appendix A in the rule. The                 comments, the FHWA and the FTA have
                                        engaging private service providers in the                purpose of an Appendix to a regulation                decided to attach Appendix A to the
                                        transportation planning process, as well                 is to improve the quality or use of a rule,           final rule as proposed in the NPRM.
                                        as standards for ascertaining compliance                 without imposing new requirements or                     Most State DOTs and several MPOs
                                        with private enterprise provisions and a                 restrictions. Appendices provide                      and COGs, and national and regional
                                        complaint process. To ensure maximum                     supplemental, background or                           advocacy organizations that commented
                                        flexibility for localities to tailor                     explanatory information that illustrates              on this section were concerned that the
                                        programs to the needs of private service                 or amplifies a rule. Because Appendix A               language in paragraph (a) is too
                                        providers in their areas, we will rely                   provides amplifying information about                 restrictive. The FHWA and the FTA
                                        upon non-regulatory guidance, training,                  how State DOTs, MPOs and public                       agree that planning studies need not
                                        and technical assistance for                             transportation operators can choose to                ‘‘meet the requirements of NEPA’’ to be
                                        disseminating information on optional                    conduct transportation planning-level                 incorporated into NEPA documents.
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                                        approaches to private sector                             choices and analyses so they may be                   Instead, we have changed the language
                                        participation.                                           adopted or incorporated into the process              in paragraph (a) to ‘‘consistent with’’
                                           Some MPOs and COGs and a few                          required by NEPA, but does not impose                 NEPA. In addition, we have added the
                                        national and regional advocacy                           new requirements, the FHWA and the                    phrase ‘‘multimodal, systems-level’’
                                        organizations wrote that the                             FTA find that Appendix A is useful                    before ‘‘corridor or subarea’’ to


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                                        emphasize the ‘‘planning’’ venue for                     The FHWA and the FTA find that                           The docket included a comment that
                                        environmental consideration.                             decisions made as part of the planning                corridor or subarea studies should be
                                           Commenters on this section also                       studies may be used as part of the                    required, not voluntary, to be included
                                        requested that the rule clarify that the                 overall project development process and               in NEPA studies. Given the opposition
                                        MPO has the responsibility for                           have changed paragraph (a) to include                 to requiring NEPA-level analysis in the
                                        conducting corridor or subarea studies                   the word ‘‘decisions’’ as well as                     transportation planning process, the
                                        in the metropolitan transportation                       ‘‘results.’’ It is important to note,                 FHWA and the FTA find that the
                                        planning process. The FHWA and the                       however, that a decision made during                  permissive nature of this section and the
                                        FTA recognize that the MPO is                            the transportation planning process                   guidance provided in Appendix A strike
                                        responsible for the metropolitan                         should be presented in a documented                   the appropriate balance.
                                        transportation planning process.                         study or other source materials to be                    The docket also included a question
                                        However, we do not want to preclude                      included in the project development                   asking what needs to be included in an
                                        State DOTs or public transportation                      process. Documented studies or other                  agreement with the NEPA lead agencies
                                        operators, in consultation or jointly with               source materials may be incorporated                  to accomplish the integration of the
                                        the MPO, from conducting corridor or                     directly or by reference into NEPA                    planning and NEPA processes. The
                                        subarea studies. Therefore, we have                      documents, as noted in § 450.318(b). We               FHWA and the FTA have determined
                                        changed paragraph (a) to add the                         have added ‘‘or other source material’’               that identification of what information
                                        sentence ‘‘To the extent practicable,                    to paragraph (b) to recognize source                  appropriately belongs in the agreement
                                        development of these transportation                      materials other than planning studies                 should be disseminated as non-
                                        planning studies shall involve                           may be used as part of the overall                    regulatory guidance, complemented by a
                                        consultation with, or joint efforts                      project development process.                          wide array of effective practice case
                                        among, the MPO(s), State(s), and/or                         Based on comments on Appendix A,                   studies and supported by training and
                                        public transportation operator(s).’’                     we added the phrase ‘‘directly or’’ in                technical assistance. Consequently, no
                                           It is important to note that this section             paragraph (b), to indicate the use of                 change was made to the rule. We have
                                        does not require NEPA-level evaluation                   publicly available planning documents                 not required that corridor or subarea
                                        in the transportation planning process.                  from subsequent NEPA documents.                       studies be included or incorporated into
                                        Planning studies need to be of sufficient                                                                      NEPA studies.
                                                                                                    Also based on comments on
                                        disclosure and embrace the principles of                                                                          A national and regional advocacy
                                                                                                 Appendix A, we added the phrase
                                        NEPA so as to provide a strong                                                                                 organization raised a number of issues
                                                                                                 ‘‘systems-level’’ in paragraph (b)(2), to
                                        foundation for the inclusion of planning                                                                       and asked a number of questions
                                                                                                 emphasize that these corridor or subarea
                                        decisions in the NEPA process. The                                                                             regarding this section. Many of these
                                                                                                 studies are conducted during the
                                        FHWA and the FTA also reiterate the                                                                            concerns were also expressed by some
                                        voluntary nature of this section and the                 planning process at a broader scale than              transit agencies and a small number of
                                        amplifying information in Appendix A.                    project specific studies under NEPA.                  MPOs and COGs. Most of these
                                        States, public transportation operators                     Several State DOTs and many others                 questions related to more detailed
                                        and/or MPOs may choose to undertake                      who submitted comments on this                        information on this section with regard
                                        studies which may be used in the NEPA                    section noted that the word ‘‘continual’’             to the Alternative Analysis requirements
                                        process, but are not required to do so.                  in paragraph (b)(2)(iii) provides more                for major transit projects. The general
                                           Several State DOTs and national and                   opportunity to comment than is                        concern related to the integration of the
                                        regional advocacy organizations were                     necessary. We agree and have replaced                 planning provisions in Sections 3005,
                                        concerned about the identification and                   ‘‘continual’’ with ‘‘reasonable’’ in this             3006 and 6001 of the SAFETEA–LU and
                                        discussion of environmental mitigation.                  paragraph.                                            the environmental provisions in Section
                                        They did not believe that detail on                         Several State DOTs and a national and              6002 of the SAFETEA–LU, coupled with
                                        environmental mitigation activities was                  regional advocacy organization                        the historical Alternative Analysis
                                        appropriate in the transportation                        suggested adding a ‘‘savings clause’’ in              process conducted as part of the
                                        planning process. The FHWA and the                       a new paragraph. A savings clause                     eligibility requirements for transit
                                        FTA agree. Paragraph (a)(5) calls for                    would ensure that the new provisions                  proposals. These environment and
                                        ‘‘preliminary identification of                          regarding corridor or subarea studies do              planning provisions of the SAFETEA–
                                        environmental impacts and                                not have unintended consequences. The                 LU are designed to add efficiencies to
                                        environmental mitigation.’’ The FHWA                     specific elements requested to be                     the project development process by
                                        and the FTA believe that the term                        included in the ‘‘savings clause’’ were               facilitating a smooth transition from
                                        ‘‘preliminary’’ adequately indicates that                statements that: (a) The corridor and                 planning into the NEPA/project
                                        State DOTs are not expected to provide                   subarea studies are voluntary; (b)                    development process. To address these
                                        the same level of detail on impacts and                  corridor and subarea studies can be                   concerns and the specific questions
                                        mitigation as would be expected during                   incorporated into the NEPA process                    related to the Alternatives Analysis
                                        the NEPA process. Furthermore,                           even if they are not specifically                     process, the FHWA and the FTA have
                                        SAFETEA–LU requires a discussion of                      mentioned in the metropolitan                         added paragraph (d) to the rule.
                                        types of potential environmental                         transportation plan; (c) corridor and                    A specific concern was that this
                                        mitigation activities and potential areas                subarea studies are not the sole means                section eliminated the option of
                                        to carry out these activities. § 450.322                 for linking planning and NEPA; and (d)                conducting a NEPA study as part of the
                                        (Development and content of the                          reiterate the statutory prohibition on                Alternative Analysis/corridor study
                                        metropolitan transportation plan)                        applying NEPA requirements to the                     process. The FHWA and the FTA
                                        specifically provides that ‘‘The                         transportation planning process. The                  believe this is a misinterpretation of this
                                        discussion may focus on policies,                        concepts recommended in the ‘‘savings                 section. We have been and continue to
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                                        programs, or strategies, rather than at                  clause’’ all reiterate provisions found               be staunch advocates of addressing
                                        the project level.’’                                     elsewhere in the rule or statute. The                 NEPA issues and initiating the formal
                                           Some State DOTs suggested                             FHWA and the FTA do not agree that                    project level environmental analyses as
                                        incorporating planning decisions rather                  it is necessary to repeat those provisions            early as practicable in the overall project
                                        than documents into the NEPA process.                    in this section.                                      development framework, including the


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                                        transportation planning process. This                    decisions are generally made on a broad               targets port and border congestion, and
                                        section continues to allow NEPA studies                  corridor basis and will be refined as the             expands aviation capacity.
                                        to be initiated, even during the                         project advances towards                                 U.S. DOT encourages State DOTs and
                                        Alternative Analysis/corridor study                      implementation. The commenter                         MPOs to consider and implement
                                        process.                                                 appears to favor this section of the rule             strategies, specifically related to
                                           Another concern was that this section                 being mandatory rather than permissive                highway and transit operations and
                                        permits the elimination of alternatives                  in an attempt to further the state of the             expansion, freight, transportation
                                        but does not provide for the selection of                practice of planning. Encouragement                   pricing, other vehicle-based charges
                                        a preferred alternative. Additionally, a                 and incentives for good transportation                techniques, congestion pricing,
                                        subsequent comment indicated that this                   planning were proffered by the                        electronic toll collection, quick crash
                                        section does not require the                             commenter as tools to be used to                      removal, etc. The mechanism that the
                                        consideration of all reasonable                          increase the desirability of conducting               State DOTs and MPOs employ to
                                        alternatives. As is permitted by the                     corridor studies. The FHWA and the                    explore these strategies is within their
                                        Council on Environmental Quality’s                       FTA believe Appendix A provides this                  discretion. The USDOT will focus its
                                        regulations, a project sponsor can select                encouragement and incentives for good                 resources, funding, staff and technology
                                        a preferred alternative at any time in the               transportation planning in identifying                to cut traffic jams and relieve freight
                                        project development process but the                      ways to utilize planning corridor studies             bottlenecks.
                                        overall environmental analysis cannot                                                                             A few commenters reiterated that the
                                                                                                 and thereby reduce the amount of
                                        be slanted to support the preferred                                                                            congestion management process (CMP)
                                                                                                 repetitive work in the NEPA process.
                                        alternative nor does the identification of                                                                     should result in multimodal system
                                                                                                 We appreciate the support for the
                                        a preferred alternative eliminate the                                                                          performance measures and strategies.
                                                                                                 concepts in this section, but, based on
                                        requirement to study all reasonable                                                                            The FHWA and the FTA note that
                                                                                                 all the comments received, find that it               existing language reflects the
                                        alternatives as part of the environmental
                                                                                                 is most appropriate for this section to               multimodal nature of the CMP. Existing
                                        analysis. The FHWA and the FTA
                                                                                                 remain voluntary and permissive.                      language (§ 450.320(a)(2)) specifically
                                        believe that the rule allows for State
                                        DOTs, MPOs and public transportation                     Section 450.320 Congestion                            allows for the appropriate performance
                                        operators who choose to use planning                     Management Process in Transportation                  measures for the CMP to be determined
                                        studies as part of the overall project                   Management Areas                                      cooperatively by the State(s), affected
                                        development process to eliminate                                                                               MPO(s), and local officials in
                                        alternatives as well as select preferred                    The docket included more than 25                   consultation with the operators of major
                                        alternatives, as appropriate. Therefore,                 documents that contained almost 30                    modes of transportation in the coverage
                                        no change was made to the rule.                          comments on this section with about                   area.
                                           These comments also pointed out that                  one-third from State DOTs, one-fifth                     Most of the comments pointed out
                                        the FTA requires alternatives analysis                   from national and regional advocacy                   that the provisions of § 450.320(e)
                                        for New Starts project, but no                           organizations, half from MPOs and                     pertaining to projects that add
                                        comparable requirement is specified for                  COGs, and the rest from transit                       significant new carrying capacity for
                                        highway projects. Unlike FTA’s formula                   operators.                                            Single Occupant Vehicles (SOVs)
                                        funded programs, New Starts has a                                                                              applies in ‘‘Carbon Monoxide (CO) and
                                                                                                    On May 16, 2006, the U.S. Secretary
                                        competition based eligibility                                                                                  Ozone Nonattainment TMAs,’’ but does
                                                                                                 of Transportation announced a national
                                        requirement and, as such, the FTA                                                                              not apply to TMAs in air quality
                                                                                                 initiative to address congestion related              maintenance areas. The FHWA and the
                                        requires a level of evaluation and
                                                                                                 to highway, freight and aviation.13 The               FTA agree and have clarified the
                                        analysis to screen the potential myriad
                                                                                                 intent of the ‘‘National Strategy to                  language in paragraph (e). We also
                                        requests they receive for limited funds.
                                        Traditionally, applicants select                         Reduce Congestion on America’s                        clarified that this provision applies to
                                        proposed highway projects as part of                     Transportation Network’’ is to provide a              projects ‘‘to be advanced with Federal
                                        FHWA’s formula funded programs.                          blueprint for Federal, State and local                funds.’’
                                        When Congress authorizes a                               officials to tackle congestion. USDOT                    Several commenters asked for a
                                        competition-based highway program                        encourages the States and MPO(s) to                   clarification regarding what CMP
                                        similar to New Starts, the FHWA has                      seek Urban Partnership Agreements                     requirements apply in air quality
                                        established criteria to evaluate and                     with a handful of communities willing                 maintenance and attainment areas, as
                                        select projects that are eligible for those              to demonstrate new congestion relief                  opposed to the requirements in air
                                        funds.                                                   strategies and encourages states to pass              quality nonattainment areas. The CMP
                                           It was also noted that § 450.322                      legislation giving the private sector a               requirements for all TMA areas
                                        (Development and content of the                          broader opportunity to invest in                      (attainment, maintenance and
                                        metropolitan transportation plan)                        transportation. It calls for more                     nonattainment) are identified in
                                        requires (in nonattainment and                           widespread deployment of new                          § 450.320(a), § 450.320(b), § 450.320(c),
                                        maintenance areas) design concept and                    operational technologies and practices                and § 450.320(f). Additional CMP
                                        scope be identified for projects. This                   that end traffic tie-ups, designates new              requirements that apply only to non-
                                        comment raises several issues relative to                interstate ‘‘corridors of the future,’’               attainment TMA areas (for ozone and
                                        actual application of the transportation                                                                       carbon monoxide) are identified in
                                        planning process more than the                              13 Speaking before the National Retail
                                                                                                                                                       § 450.320(d) and § 450.320(e).
                                        regulation itself. For transportation                    Federation’s annual conference on May 16, 2006, in       Another commenter asked for
                                                                                                 Washington, DC, former U.S. Transportation
                                        demand modeling purposes and to meet                     Secretary Norman Mineta unveiled a new plan to
                                                                                                                                                       clarification regarding the exact
                                        the requirements of this part, the MPO                   reduce congestion plaguing America’s roads, rails     requirements for a CMP and how the
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                                        and/or State DOT uses basic tools (e.g.                  and airports. The National Strategy to Reduce         CMP is integrated with the metropolitan
                                        engineering, capacity, past history, etc.)               Congestion on America’s Transportation Network        transportation plan. As noted above, the
                                                                                                 includes a number of initiatives designed to reduce
                                        to identify the design concept and scope                 transportation congestion. The transcript of these
                                                                                                                                                       specific CMP requirements for all
                                        of a project, without conducting a                       remarks is available at the following URL: http://    TMAs, regardless of air quality status,
                                        formal corridor study. These early                       www.dot.gov/affairs/minetasp051606.htm.               are identified in this section. The CMP


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                                        in this section is not described as, nor                 ‘‘revision’’ may be considered a full                 in paragraph (d) that specified that the
                                        intended to be, a stand-alone process,                   ‘‘update’’ could result in limiting                   MPO, State air quality agency and the
                                        but an integral element of the                           flexibility. For more information on this             EPA must concur on the equivalency of
                                        transportation planning process. To                      topic, refer to the ‘‘Definitions’’ section           any substitute TCM before an existing
                                        reinforce the integration of the CMP and                 of this rule.                                         SIP TCM is replaced under section
                                        the metropolitan transportation plan,                       A small number of MPOs and COGs                    176(c)(8) of the Clean Air Act (42 U.S.C.
                                        § 450.322(f)(4) requires that the                        and national and regional advocacy                    7506(c)(8)). After consultation with the
                                        metropolitan transportation plan shall                   organizations that commented on this                  EPA, this language was deemed
                                        include ‘‘consideration of the results of                section asked for clarification in                    unnecessary for the final planning
                                        the congestion management process in                     paragraph (b) between long-range and                  regulations. The EPA has determined
                                        TMAs that meet the requirements of this                  short-range strategies. The FHWA and                  that revising the transportation
                                        subpart, including the identification of                 the FTA carried forward the language                  conformity regulations is not necessary
                                        SOV projects that result from a                          regarding short and long-range strategies             to implement the TCM substitution
                                        congestion management process in                         from the October 1993 planning rule.                  provision in Section 6011(d) of the
                                        TMAs that are nonattainment for carbon                   Generally, long-range are those                       SAFETEA–LU. The EPA believes that
                                        monoxide or ozone.’’                                     strategies and actions expected to be                 the new Clean Air Act provision
                                           One commenter asked for examples of                   implemented beyond 10 years.                          contains sufficient detail to allow the
                                        the reasonable travel demand reduction                      A small number of national and                     provision to be implemented without
                                        and operational management strategies                    regional advocacy organizations also                  further regulation. The EPA, the FHWA,
                                        as required in § 450.320(e). Examples of                 commented that the transportation                     and the FTA issued joint guidance on
                                        such strategies include, but are not                     demand referenced in paragraph (b)                    February 14, 2006, that describes how
                                        limited to: Transportation demand                        should be balanced with the                           TCM substitutions can occur under the
                                        management measures such as car and                      environment and other factors. The                    statute.14
                                        vanpooling, flexible work hours                          FHWA and the FTA find that the                           A small number of State DOTs and a
                                        compressed work weeks and                                balance with environmental concerns is                few MPOs and COGs that commented
                                        telecommuting; Roadway system                            adequately raised in other parts of the               on this section said in regards to
                                        operational improvements, such as                        rule both in this section and in                      paragraph (e) that the requirement for
                                        improved traffic signal coordination,                    § 450.306 (Scope of the metropolitan                  ‘‘agreement’’ is too stringent. The
                                        pavement markings and intersection                       transportation planning process).                     FHWA and the FTA find that a
                                        improvements, and incident                                  A small number of MPOs that                        ‘‘cooperative’’ planning process requires
                                        management programs; Public transit                      commented on this section wrote in                    agreement among the major planning
                                        system capital and operational                           support of paragraph (c) relating to the              partners on what assumptions to adopt
                                        improvements; Access management                          cycles for reviews and updates. The                   and what data and analyses to employ
                                        program; New or improved sidewalks                       FHWA and the FTA note that this                       to forecast future travel demand. If a
                                        and designated bicycle lanes; and Land                   paragraph revises and supercedes the                  State or transit operator conducts a
                                        use policies/regulations to encourage                    April 12, 2005, guidance on ‘‘Plan                    major planning study within the MPO
                                        more efficient patterns of commercial or                 Horizons’’ allowing MPOs to ‘‘revise the              planning boundaries, it is critical that
                                        residential development in defined                       metropolitan transportation plan at any               the assumptions and data used in that
                                        growth areas.                                            time using the procedures in this                     planning study be considered valid by
                                                                                                 section without a requirement to extend               other planning partners and be
                                        Section 450.322 Development and                          the horizon year.’’
                                        Content of the Metropolitan                                                                                    consistent with data the MPO will
                                                                                                    A small number of State DOTs and                   employ to develop its travel models or
                                        Transportation Plan                                      national and regional advocacy                        otherwise develop growth projections in
                                           There were over 160 separate                          organizations that commented on this                  population, employment, land use, and
                                        comments on this section, mostly from                    section said in regard to paragraph (d)               other key factors that affect future travel
                                        MPOs and COGs, followed by national                      that the proposed language limits                     demand. Both consultation and
                                        and regional advocacy organizations                      consultation between State air quality                agreement on those assumptions/data
                                        and State DOTs. A number of comments                     agencies and MPOs in ozone and carbon                 are crucial to this process. However, the
                                        also came from public transportation                     monoxide (CO) nonattainment and                       FHWA and the FTA also understand
                                        providers with the remainder coming                      maintenance areas. Transportation                     that the proposed text may be
                                        from local government agencies, the                      control measures (TCMs) can apply to                  considered overly restrictive. We
                                        general public or other sources.                         all pollutants so this section should                 eliminated the phrase ‘‘the
                                           Several MPOs and COGs and national                    refer to all types of nonattainment and               transportation plan update process shall
                                        and regional advocacy organizations                      maintenance areas.                                    include a mechanism for ensuring that
                                        that commented on this section asked                        Paragraph (d) addresses the MPO’s
                                                                                                                                                       * * * agree * * *’’ and replaced it with
                                        for clarification regarding the 20-year                  coordination in the development of the
                                                                                                                                                       ‘‘the MPO, the State(s), and the public
                                        planning horizon in paragraph (a). The                   TCMs in a SIP in ozone and CO
                                                                                                                                                       transportation operator(s) shall validate
                                        FHWA and the FTA want to provide                         nonattainment areas, pursuant to 49
                                                                                                                                                       * * *’’ The FHWA and the FTA believe
                                        MPOs flexibility on how to treat the                     U.S.C 5303(i)(3). The FHWA and the
                                                                                                                                                       that the requirement ‘‘validate data’’
                                        metropolitan transportation plan at the                  FTA are clarifying in the final rule the
                                                                                                                                                       provides more flexibility than
                                        time of a revision. The actual effective                 role of the MPO in the development of
                                                                                                                                                       ‘‘including a mechanism.’’
                                        date of a metropolitan transportation                    SIP TCMs, to be more consistent with
                                        plan update may be dependent upon                        the statute. Similar coordination is                    14 This joint guidance entitled, ‘‘Interim Guidance
                                        several factors, including the intent of                 encouraged in the development of SIP                  for Implementing the Transportation Conformity
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                                        the MPO, the magnitude of the                            TCMs in ozone and CO maintenance                      Provisions in the Safe, Accountable, Flexible,
                                        metropolitan transportation plan                         areas, as well as particulate matter and              Efficient Transportation Equity Act: A Legacy for
                                                                                                                                                       Users,’’ dated February 14, 2006, is available via the
                                        revision and whether conformity needs                    nitrogen dioxide nonattainment and                    Internet at the following URL: http://
                                        to be determined. To specifically                        maintenance areas. The FHWA and the                   www.fhwa.dot.gov/environment/conformity/
                                        indicate in the final rule when a                        FTA had proposed additional language                  sec6011guidmemo.htm.



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                                           A number of MPOs and COGs that                           To encourage MPOs to address                       plan. MPOs have the flexibility to
                                        commented on this section asked for                      congestion in the metropolitan                        develop and implement evaluation
                                        clarification in paragraph (f)(3) of the                 transportation plan, the following                    mechanisms that reflect the needs and
                                        operational and management strategies.                   sentence was added to paragraph (f)(5):               complexity of the metropolitan area.
                                        A small number of State DOTs support                     ‘‘The metropolitan transportation plan                While statute (23 U.S.C. 134(k)(3) and
                                        the proposed rule. Effective regional                    may consider projects and strategies that             49 U.S.C. 5303(k)(3)) identifies
                                        transportation systems management and                    address areas or corridors where current              evaluation in specific areas such as
                                        operations requires deliberate and                       or projected congestion threatens the                 congestion, the FHWA and the FTA do
                                        sustained collaboration and                              efficient functioning of key elements of              not believe there is justification to
                                        coordination between planners and                        the metropolitan area’s transportation                develop a regulatory process that
                                        managers of day-to-day operations                        system.’’                                             requires a systematic evaluation in other
                                        across jurisdictions and between                            Some MPOs and COGs and a small                     areas.
                                        transportation and public safety                         number of State DOTs and the public                      Also in regards to paragraph (f)(7), a
                                        agencies in order to improve the                         that commented on this section had a                  Federal agency recommended requiring
                                        security, safety, and reliability of the                 variety of comments on paragraph (f)(6),              the consideration of avoidance measures
                                        transportation system. Coordination                      ranging from requesting that it be                    to protect nationally significant
                                        between transportation planning and                      eliminated to questioning the need for                resources. The FHWA and the FTA
                                        operations helps ensure that regional                    including existing facilities to the ability          agree that consultation with appropriate
                                        transportation investment decisions                      to provide sufficient detail to develop               Federal land and resource management
                                        reflect full consideration of all available              cost estimates in out years. This text is             agencies is essential during the
                                        strategies and approaches to meet                        identical to the October 1993 planning                development of metropolitan
                                        regional transportation goals and                        rule. The FHWA and the FTA have                       transportation plans to make the most
                                        objectives. Strengthening the                            found that providing the information                  efficient use of resources, since these
                                        coordination between these two                           required by this paragraph in the                     agencies would need to be involved in
                                        processes and activities—planning and                    metropolitan transportation plan                      the discussions of mitigation throughout
                                        operations—can enhance both activities.                  provides valuable information to system               the project development process. We
                                                                                                 operators, decision-makers and the                    believe that the regulatory language is
                                           Because transportation systems
                                                                                                 general public, while not causing undue               sufficient to encourage such
                                        management and operations is emerging                    burden on the MPOs.                                   consultation and to foster discussions
                                        as an important aspect of regional                          There were a large number and                      between the MPO and the Federal
                                        transportation planning, it is strongly                  variety of comments on paragraph (f)(7).              agencies to identify nationally
                                        encouraged that a set (or sets) of                       Some MPOs and COGs questioned the                     significant resources and to consider
                                        objectives be set forth in the                           value of this paragraph or the ability to             actions and strategies to avoid and
                                        metropolitan transportation plan for                     implement this provision, while a small               protect them. Therefore, no additional
                                        operational and management strategies                    number of national and regional                       changes have been made to this
                                        that will lead to regional approaches,                   advocacy organizations wrote in support               paragraph.
                                        collaborative relationships, and funding                 of the paragraph. Some MPOs and                          There were a large number and
                                        arrangements for projects. Examples of                   COGs, national and regional advocacy                  variety of comments on paragraph
                                        operational and management strategies                    organizations, and State DOTs, as well                (f)(10). Most of the State DOTs and
                                        may include traffic signal coordination,                 as a small number of public comments                  many of the MPOs and COGs and
                                        traveler information services, traffic                   had questions or asked for clarification.             national and regional advocacy
                                        incident management, emergency                           Some MPOs and COGs, along with some                   organizations that commented on this
                                        response and homeland security, work                     State DOTs, suggested a text change to                section were against including
                                        zone management, freeway/arterial                        clarify the intent of the paragraph.                  operations and maintenance in the
                                        management, electronic payment                           Finally, a small number of comments                   financial plan. Most of the State DOTs,
                                        services, road weather management, and                   came from national and regional                       many of the national and regional
                                        congestion management. More specific                     advocacy organizations and Federal                    advocacy organizations, and some of the
                                        examples on strategies related to                        agencies recommending including an                    MPOs and COGs commented that the
                                        congested locations can be found on the                  evaluation mechanism.                                 financial plan should not be extended to
                                        following Web site: http://                                 The FHWA and the FTA concur with                   include ‘‘the entire transportation
                                        ops.fhwa.dot.gov/congestionmitigation/                   the recommendation to change the text,                system’’ but should be limited to
                                        congestionmitigation.htm, and                            to more closely mirror the intent of the              projects funded by the FHWA and the
                                        additional information on freight                        statute (23 U.S.C. 134(i)(2)(B) and 49                FTA. On the other hand, a small number
                                        bottlenecks is available at the following                U.S.C. 5303(i)(2)(B)). We also concur                 of national and regional advocacy
                                        Web site: http://www.fhwa.dot.gov/                       that discussions of types of potential                organizations supported requiring all
                                        policy/otps/bottlenecks/index.htm. The                   environment mitigation strategies need                projects be included. Finally, most of
                                        FHWA and the FTA intend to prepare                       not be project specific, but should be at             the State DOTs, MPOs and COGs, and
                                        guidance on operational and                              the policy or strategic level. We have                many of the national and regional
                                        management strategies in the long-range                  made these changes to be consistent                   advocacy organizations suggested
                                        statewide transportation plan and                        with the intent of the statute. A similar             removing the reference to Appendix B.
                                        metropolitan transportation plan,                        change has been made in § 450.214(j).                    When proposing Appendix B to the
                                        including the development and use of                     The FHWA and the FTA have provided                    rule, the FHWA and the FTA intended
                                        objectives. The FHWA and the FTA                         guidance, training, and technical                     to raise the level of awareness and
                                        have provided, and will continue to                      assistance in this area and, if necessary,            importance in developing fiscally
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                                        provide, technical information and                       will provide additional efforts as needed             constrained transportation plans, TIPs,
                                        guidance regarding operational and                       so MPOs understand both how to                        and STIPs to States, MPOs, and public
                                        management strategies, if needed.                        address and the value of discussing                   transportation operators. Since its
                                        However, we did not make any changes                     types of potential mitigation activities as           introduction under the ISTEA, fiscal
                                        to this paragraph.                                       part of the metropolitan transportation               constraint has remained a prominent


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                                        aspect of transportation plan and                        language expresses the desire of the                   provided comments on paragraph (g)
                                        program development, carrying through                    FHWA and the FTA for revenue and                       regarding changing the ‘‘or’’ between
                                        to the TEA–21 and now to the                             cost estimates to be reflected in ‘‘year of            paragraphs (g)(1) and (g)(2) to ‘‘and’’. A
                                        SAFETEA–LU. The FHWA and the FTA                         expenditure dollars.’’ We recognize that               small number of the comments,
                                        acknowledge that Appendix B contains                     it might take some time for State DOTs                 including some by a Federal agency,
                                        a combination of guidance, amplifying                    and MPOs to convert their metropolitan                 also related to adding specific agencies
                                        information and additional criteria.                     transportation plans, STIPs and TIPs to                or processes to the text. The FHWA and
                                        Given the level of controversy regarding                 reflect this requirement. Therefore, we                the FTA acknowledge that the text is
                                        Appendix B, it has been removed from                     will allow a grace period until                        different from similar text for statewide
                                        the rule. Therefore, the sentence                        December 11, 2007, during which time                   planning in § 450.214(i). However, both
                                        referencing Appendix B in paragraph                      State DOTs and MPOs may reflect                        sections are consistent with statute. (See
                                        (f)(10) has been deleted.                                revenue and cost estimates in ‘‘constant               (23 U.S.C. 134(i)(4)(B) and 49 U.S.C.
                                           The FHWA and the FTA have divided                     dollars.’’ After December 11, 2007,                    5303(i)(4)(B)) and (23 U.S.C. 135(f)(2)(D)
                                        paragraph (f)(10) into subparagraphs (i)                 revenues and cost estimates must use                   and 49 U.S.C. 5304(f)(2)(D)). The FHWA
                                        through (viii) to make each provision                    ‘‘year of expenditure’’ dollars. This                  and the FTA also note that there is
                                        easier to identify.                                      requirement is consistent with the                     flexibility in the rule language. The ‘‘or’’
                                           Many commenters questioned the                        January 27, 2006, document ‘‘Interim                   does not prevent an MPO from carrying
                                        requirement in new paragraph (f)(10)(i)                  FHWA Major Project Guidance.’’ 15                      out (g)(1) and (g)(2). At the same time,
                                        that the financial plan must demonstrate                 Please see the responses to the                        the term ‘‘as appropriate’’ allows an
                                        the ability to adequately operate and                    comments on Appendix B for additional                  MPO to carry out only (g)(1) or (g)(2) in
                                        maintain the entire transportation                       background information and                             certain circumstances. No changes were
                                        system. The FHWA and the FTA have                        explanation.                                           made to this paragraph to remain
                                        revised § 450.322(f)(10) to delete the                      A new paragraph (f)(10)(v) presents                 consistent with statutory language.
                                        phrase ‘‘while operating and                             additional information from Appendix                      Most of the MPOs and COGs provided
                                        maintaining existing facilities and                      B. The FHWA and the FTA believe that                   comments on paragraph (h) ranging
                                        services.’’ Instead, a new sentence was                  this optional provision will give MPOs                 from removing any reference to security
                                        added to paragraph (f)(10) (now                          maximum flexibility to broadly define a                to clarifying the MPO role in security to
                                        paragraph (f)(10)(i)) that reads: ‘‘For                  large-scale transportation issue or                    text changes. A few State DOTs and
                                        purposes of transportation system                        problem to be addressed in the future                  public transportation providers
                                        operations and maintenance, the                          that does not predispose a NEPA                        provided a range of comments as well.
                                        financial plan shall contain system-level                decision, while, at the same time,                     The FHWA and the FTA acknowledge
                                        estimates of costs and revenue sources                   calling for the definition of a future                 the potential for concern and confusion
                                        that are reasonably expected to be                       funding source(s) that encompasses the                 in an emerging area such as
                                        available to adequately operate and                      planning-level ‘‘cost range/cost band.’’               transportation security. We have added
                                        maintain Federal-aid highways (as                        Please see the responses to the                        the phrase ‘‘(as appropriate)’’ to this
                                        defined by 23 U.S.C. 101(a)(5)) and                      comments on Appendix B for additional                  paragraph to provide additional
                                        public transportation (as defined by title               background information and                             flexibility in this emerging area and to
                                        49 U.S.C. Chapter 53).’’ Please see the                  explanation.                                           respect the sensitive nature of homeland
                                        responses to the comments on                                A new paragraph (f)(10)(vi) addresses               security issues. We also want to reiterate
                                        Appendix B for additional background                     nonattainment and maintenance areas.                   that placing the inclusion of policies
                                        information and explanation.                                A new paragraph (f)(10)(vii) reinforces             that support homeland and personal
                                           A new paragraph (f)(10)(ii) discusses                 that the financial plan is not required to             security in the same sentence with
                                        cooperative development of estimates of                  include illustrative projects.                         safety should in no way detract from the
                                        funds. No change was made to this                           Many State DOTs, MPOs and COGs as                   recognition that safety and security are
                                        discussion.                                              well as some national and regional                     separate considerations in the planning
                                           A new paragraph (f)(10)(iii) discusses                advocacy organizations and a few public                process. If necessary, the FHWA and the
                                        additional financing strategies in the                   transportation providers and local                     FTA will provide subsequent guidance
                                        metropolitan transportation plan. No                     government agencies asked for                          and technical resources on
                                        change was made to this discussion.                      clarification on fiscal constraint if the              incorporating policies supporting
                                           A new paragraph (f)(10)(iv) discusses                 financial situation in the State or                    homeland and personal security.
                                        the projects and strategies to be                        metropolitan region changes. The                          Several commenters noted that the
                                        included in the financial plan. The                      FHWA and the FTA have added                            reference in paragraph (k) was incorrect.
                                        FHWA and the FTA find that certain                       paragraph (f)(10)(viii) to clarify                     This reference has been changed to
                                        features of Appendix B merit inclusion                   situations where a revenue source is                   accurately refer to paragraph (f)(10).
                                        in the rule. One of these features is the                removed or substantially reduced after                    The FHWA and the FTA note, based
                                        requirement for revenue and cost                         the FHWA and the FTA find a                            on coordination with the EPA, that the
                                        estimates to use an inflation rate(s) to                 metropolitan transportation plan to be                 interim metropolitan transportation
                                        reflect year of expenditure dollars (to                  fiscally constrained.                                  plan and TIP referenced in paragraph (1)
                                        the extent practicable). We have added                      All references to Appendix B have                   and in § 450.324(m) respectively allows
                                        a sentence to paragraph (f)(10)(iv) that                 been removed from this section because                 the use of interim metropolitan
                                        reads: ‘‘Starting December 11, 2007,                     Appendix B is not a part of this rule.                 transportation plans and TIPs during a
                                        revenue and cost estimates that support                     Some national and regional advocacy                 conformity lapse so that exempt
                                        the metropolitan transportation plan                     organizations and a small number of                    projects, transportation control
                                        must use an inflation rate(s) to reflect                 MPOs and COGs and Federal agencies                     measures in approved State
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                                        ‘‘year of expenditure dollars,’’ based on                                                                       implementation plans, and previously
                                                                                                   15 This document, ‘‘Interim FHWA Major Project
                                        reasonable financial principles and                                                                             approved projects and/or project phases
                                                                                                 Guidance,’’ dated January 27, 2006, is available via
                                        information, developed cooperatively by                  the internet at the following URL: http://
                                                                                                                                                        can be funded when a conformity
                                        the MPO, State(s), and public                            www.fhwa.dot.gov/programadmin/mega/                    determination lapses. In addition, we
                                        transportation operator(s).’’ This                       012706.cfm.                                            have clarified that the ‘‘interagency


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                                        consultation’’ referenced in paragraph                   referencing Appendix B in paragraph (i)               changed to specifically reference the
                                        (1) is ‘‘defined in 40 CFR part 93.’’                    has been deleted.                                     amount of ‘‘Federal funds’’ proposed to
                                           After further review, the FHWA and                       We have changed paragraph (c) to                   be obligated and to identify separate
                                        the FTA have determined it is necessary                  allow the inclusion of the exempted                   standards for the first year and for the
                                        to clarify paragraph (l) regarding eligible              projects, but not requiring that they be              subsequent years of the TIP.
                                        projects that may proceed without                        included. We removed the phrase                          Most of the comments on paragraph
                                        revisiting the requirements of this                      ‘‘federally supported’’ from the                      (h) pertained to the question posed in
                                        section. We have added ‘‘or consistent                   beginning of this paragraph because it is             the preamble of the NPRM regarding
                                        with’’ to this paragraph to clarify that                 redundant. The paragraph already                      whether the FHWA and the FTA should
                                        eligible projects (e.g., exempt projects                 requires projects to be included if they              require MPOs submitting TIP
                                        under 40 CFR 93.126) do not need to be                   are funded under title 23 U.S.C., and                 amendments to demonstrate that funds
                                        explicitly listed in the conforming                      title 49 U.S.C. Chapter 53. Further, we               are ‘‘available or committed’’ for
                                        transportation plan and TIP to proceed.                  have added ‘‘Safety projects funded                   projects identified in the TIP in the year
                                                                                                 under 23 U.S.C. 402’’ to paragraph                    the TIP amendment is submitted and
                                        Section 450.324 Development and                          (c)(1). This change is consistent with the            the following year. Almost all opposed
                                        Content of the Transportation                            October 1993 planning rule.                           this suggestion believing that it would
                                        Improvement Program (TIP)                                   Many State DOTs and several national               require reviewing the financial
                                           The docket included more than 50                      and regional advocacy organizations                   assumptions for the entire program,
                                        documents that contained more than                       commented in regard to paragraph (d)                  thereby causing an undue burden.
                                        125 comments on this section with                        (now paragraph (e)), that they should                 Commenters suggested showing
                                        about one-quarter from State DOTs, one-                  not have to demonstrate financial                     financial constraint only for the
                                        quarter from national and regional                       constraint for projects included in the               incremental change. The FHWA and the
                                        advocacy organizations, one-half from                    TIP funded with non-FHWA and non-                     FTA are concerned for the potential
                                        MPOs and COGs, and the rest from city/                   FTA funds. However, the proposed                      impact of individual amendments on
                                        county/State agencies and transit                        requirement is consistent with and                    the funding commitments and
                                                                                                 carries forward the requirement that was              schedules for the other projects in the
                                        agencies. A few MPOs and COGs, many
                                                                                                 implemented with the October 1993                     TIP. For this reason, the financial
                                        State DOTs and a few national and
                                                                                                 planning rule. In addition, for                       constraint determination occasioned by
                                        regional advocacy organizations said in
                                                                                                 informational purposes and air quality                the TIP amendment will necessitate
                                        regards to paragraph (a) that MPOs
                                                                                                 analysis in nonattainment and                         review of all projects and revenue
                                        should be allowed to have a TIP of more
                                                                                                 maintenance areas, regionally                         sources in the TIP. The FHWA and the
                                        than four years where the additional
                                                                                                 significant non-Federal projects shall be             FTA will address any concerns on this
                                        year(s) are not illustrative.
                                                                                                 included in the TIP. Therefore, the                   issue through subsequent guidance.
                                           The four-year scope is consistent with                FHWA and the FTA have retained this                   Further, the FHWA and the FTA are
                                        the time period required by the                          portion of paragraph (d). We have,                    concerned that amendments that do not
                                        SAFETEA–LU. MPOs may show                                however, simplified the paragraph                     include available and committed funds
                                        projects as illustrative after the first four            slightly to combine the last two                      for the year of the amendment and the
                                        years as well as in the metropolitan                     sentences.                                            following year will reduce the
                                        transportation plan. While MPOs are not                     A few comments were received from                  credibility with decision-makers and the
                                        prohibited from developing TIPs                          national and regional advocacy                        public that projects will be able to move
                                        covering a longer time period, the                       organizations and MPOs stating that                   forward in a timely manner. Given the
                                        FHWA and the FTA can only recognize                      paragraph (e)(1) would be enhanced by                 comments on this issue, we have not
                                        and take subsequent action on projects                   adding language that the information                  made a change to the rule. The FHWA
                                        included in the first four years of the                  included in the TIP for each project                  and the FTA will address any concerns
                                        TIP. Therefore, no change was made to                    needs to be understandable by the                     on this issue through subsequent
                                        this paragraph of the rule in response to                general public. This requirement                      guidance.
                                        these comments. However, paragraph (a)                   remains unchanged from the October                       As discussed in the response to the
                                        was modified to be consistent with                       1993 planning rule. Since that time, we               comments on Appendix B, we have
                                        clarifications to the definitions of                     have noted little public confusion over               added to paragraph (h), ‘‘for purposes of
                                        ‘‘revision’’ and ‘‘amendment.’’                          the information included in TIPs                      transportation operations and
                                           When proposing Appendix B to the                      identifying projects or phases. We                    maintenance, the financial plan shall
                                        rule, the FHWA and the FTA intended                      believe the MPO participation plan                    contain system-level estimates of costs
                                        to raise the level of awareness and                      process offers opportunities for the                  and revenue sources that are reasonably
                                        importance in developing fiscally                        public to clarify confusion in specific               expected to be available to adequately
                                        constrained transportation plans, TIPs,                  cases. No change was made to the rule.                operate and maintain Federal-aid
                                        and STIPs to States, MPOs, and public                       Most State DOTs, MPOs and COGs                     highways (as defined by 23 U.S.C.
                                        transportation operators. Since its                      and national and regional advocacy                    101(a)(5)) and public transportation (as
                                        introduction under the ISTEA, fiscal                     organizations that commented on this                  defined by title 49 U.S.C. Chapter 53).’’
                                        constraint has remained a prominent                      section, recommended in regards to                    In addition, to reinforce that the
                                        aspect of transportation plan and                        paragraph (e), that after the first year of           financial plan is not required to include
                                        program development, carrying through                    the TIP, only ‘‘likely’’ or ‘‘possible’’              illustrative projects, we have added the
                                        to the TEA–21 and now to the                             (rather than ‘‘proposed’’) categories of              phrase ‘‘but is not required to’’ to this
                                        SAFETEA–LU. The FHWA and the FTA                         funds should be identified by source                  discussion. We have added one
                                        acknowledge that Appendix B contains                     and year. The FHWA and the FTA agree                  additional feature from Appendix B:
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                                        a combination of guidance, amplifying                    with this suggestion, with the exception              ‘‘year of expenditure dollars.’’ We have
                                        information and additional criteria.                     of projects in nonattainment and                      added the following sentence to
                                        Given the level of controversy regarding                 maintenance areas for which funding in                paragraph (h): Starting December 11,
                                        Appendix B, it has been removed from                     the first two years must be available or              2007, revenue and cost estimates for the
                                        the rule. Therefore, the sentence                        committed. Paragraph (e)(3) has been                  TIP must use an inflation rate(s) to


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                                        7248             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                        reflect ‘‘year of expenditure dollars,’’                 it used to select projects, it will be even              Several comments asked for
                                        based on reasonable financial principles                 more difficult for the general public to              clarification between the phrases
                                        and information, developed                               understand the rationale behind                       ‘‘operation and maintenance’’ and
                                        cooperatively by the MPO, State(s), and                  selecting one element from the                        ‘‘operation and management.’’ See the
                                        public transportation operator(s). This                  transportation plan over another.                     discussion of § 450.104 (Definitions) for
                                        language expresses the desire of the                     Therefore, we retained the language in                an explanation of these terms.
                                        FHWA and the FTA for revenue and                         paragraph (l)(1). However, in reviewing                  The FHWA and the FTA received a
                                        cost estimates to be reflected in ‘‘year of              this comment, we identified two                       proposal identifying additional
                                        expenditure dollars.’’ We recognize that                 paragraphs from the October 1993                      procedures for engaging private
                                        it might take some time for State DOTs                   planning rule (23 CFR 450.324(l) and                  transportation operators in planning and
                                        and MPOs to convert their metropolitan                   (m)) that were not included in the                    program delivery. We recognize the
                                        transportation plans, STIPs and TIPs to                  NPRM, related to this issue. To clarify               importance of private operator
                                        reflect this requirement. Therefore, we                  and emphasize that MPOs should                        participation and, if necessary, will
                                        will allow a grace period until                          identify criteria and a process for                   provide technical assistance to MPOs to
                                        December 11, 2007, during which time                     prioritizing transportation plan                      promote effective practice, but do not
                                        State DOTs and MPOs may reflect                          elements for inclusion in the TIP, we                 believe any changes to the rule are
                                        revenue and cost estimates in ‘‘constant                 have added these two paragraphs to the                necessary.
                                        dollars.’’ After December 11, 2007,                      rule as new paragraphs (j) and (k),                   Section 450.326 TIP Revisions and
                                        revenues and cost estimates must use                     respectively. These paragraphs identify               Relationship to the STIP
                                        ‘‘year of expenditure’’ dollars. This                    the need for allocation of funds based
                                        requirement is consistent with the                       on prioritization and explicitly prohibit                The docket included 21 documents
                                        January 27, 2006, document ‘‘Interim                                                                           that contained more than 25 comments
                                                                                                 suballocation based on pre-determined
                                        FHWA Major Project Guidance.’’16 The                                                                           on this section with about one-third
                                                                                                 percentages of formulas.
                                        reference to Appendix B has been                                                                               from State DOTs, half from MPOs and
                                                                                                    The FHWA and the FTA note, based                   COGs, and the rest from city/county/
                                        deleted since Appendix B is not                          on coordination with the EPA, that the
                                        included with this rule. Please see the                                                                        State agencies, as well as national and
                                                                                                 interim metropolitan transportation                   regional advocacy organizations.
                                        responses to the comments on                             plan and TIP referenced in § 450.322(1)
                                        Appendix B for additional background                                                                              One county, many of the MPOs and
                                                                                                 and in paragraph (k) (now paragraph                   COGs and State DOTs, and most of the
                                        information and explanation.                             (m)) of this section respectively allows
                                           Many State DOTs, national and                                                                               national and regional advocacy
                                                                                                 the use of interim plans and TIPs during              organizations submitted opposition to
                                        regional advocacy organizations and a                    a conformity lapse so that exempt
                                        few MPOs and COGs questioned having                                                                            the statement in paragraph (a) that
                                                                                                 projects, transportation control                      public participation procedures
                                        to demonstrate their ability to
                                                                                                 measures in approved State                            consistent with § 450.316(a) shall be
                                        adequately operate and maintain the
                                                                                                 implementation plans, and previously                  utilized in revising the TIP, except that
                                        entire transportation system. They were
                                                                                                 approved projects and/or project phases               these procedures are not required for
                                        concerned that State DOTs, MPOs, and
                                                                                                 can be funded when a conformity                       administrative modifications that only
                                        public transportation operators should
                                                                                                 determination lapses. We have added                   involve projects of the type covered in
                                        not be responsible for demonstrating
                                                                                                 ‘‘conformity’’ to the first sentence to               § 450.324(f). Because the rule does not
                                        available funds for projects outside of
                                                                                                 specify the ‘‘lapse’’ referenced and                  require an MPO to undertake any
                                        federally supported facilities. The
                                                                                                 removed the phrase ‘‘(as defined in 40                particular public involvement process
                                        FHWA and the FTA have revised
                                                                                                 CFR part 93)’’ because it is no longer                for an administrative modification, an
                                        paragraph (i) to change the phrase
                                        ‘‘while the entire transportation system                 necessary.                                            MPO may delineate its own public
                                        is being adequately operated and                            After further review, the FHWA and                 involvement process for administrative
                                        maintained’’ to ‘‘while federally                        the FTA have determined it is necessary               modifications within the public
                                        supported facilities are being adequately                to clarify paragraph (k) (now paragraph               participation plan. In order to clarify
                                        operated and maintained.’’ We have also                  (m)) regarding eligible projects that may             these issues, the FHWA and the FTA
                                        removed the reference to ‘‘by source’’                   proceed without revisiting the                        have removed the phrase ‘‘projects of
                                        and the reference to additional                          requirements of this section. We have                 the type covered in § 450.324(f)’’ from
                                        information in Appendix B, since                         added the phrase ‘‘or consistent with’’               paragraph (a).
                                        Appendix B has been removed from this                    to this paragraph to clarify that eligible               Many of the MPOs and COGs and
                                        rule. Please see the responses to the                    projects (e.g., exempt projects under 40              most of the State DOTs opposed the
                                        comments on Appendix B to the NPRM                       CFR 93.126) do not need to be explicitly              statement in paragraph (a) that ‘‘in all
                                        for additional background information                    listed in the conforming transportation               areas, changes that affect fiscal
                                        and explanation.                                         plan and TIP to proceed.                              constraint must take place by
                                           A few comments were received                             Many State DOTs, MPOs and COGs as                  amendment of the TIP.’’ The FHWA and
                                        opposing the requirement in paragraph                    well as some national and regional                    the FTA realize that there are minor
                                        (j)(1) (now paragraph (l)(1)) for the TIP                advocacy organizations and a few public               funding changes to projects that a region
                                        to identify the criteria and process for                 transportation providers and local                    could determine would fall under the
                                        prioritizing implementation of                           government agencies asked for                         definition of ‘‘administrative
                                        transportation plan elements for                         clarification on fiscal constraint if the             modifications,’’ and these would not
                                        inclusion in the TIP. The FHWA and the                   financial situation in the State or                   need to go through the full TIP
                                        FTA find that if it is difficult for the                 metropolitan region changes. The                      amendment process. However, the
                                        MPO to identify or capture the criteria                  FHWA and the FTA have added a new                     FHWA and the FTA include this
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                                                                                                 paragraph (o) to clarify situations where             requirement because any change which
                                          16 This document, ‘‘Interim FHWA Major Project
                                                                                                 a revenue source is removed or                        requires an amendment has ripple
                                        Guidance,’’ date January 27, 2006, is available via      substantially reduced after the FHWA                  effects throughout the program and thus
                                        the internet at the following URL: http://
                                        www.fhwa.dot.gov/programadmin/mega/                      and the FTA find a STIP to be fiscally                should be subjected to the full
                                        012706.cfm.                                              constrained.                                          disclosure of a TIP amendment.


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                                        Therefore, no change has been made to                    and if the TIP meets the TIP update                   Therefore, no change was made to the
                                        the paragraph in response to this                        requirements of § 450.324(a).                         rule language.
                                        comment.                                                    Many comments were received
                                           Half of the MPOs and COGs and half                    questioning why the existing flexibility              Section 450.332 Annual Listing of
                                        of the national and regional advocacy                    to allow highway operating funds to be                Obligated Projects
                                        organizations oppose the language in                     approved even if not in the TIP was                      The docket included more than 20
                                        paragraph (a) that states: ‘‘In                          eliminated from paragraph (f) and in                  documents that contained about 40
                                        nonattainment or maintenance areas for                   § 450.218 (Self certification, Federal                comments on this section with about
                                        transportation-related pollutants, if the                findings and Federal approvals). This                 one-eighth from State DOTs, one-fifth
                                        TIP is amended by adding or deleting                     was an erroneous omission in the NPRM                 from national and regional advocacy
                                        non-exempt projects (per 40 CFR part                     and the language has been changed to                  organizations, half from MPOs and
                                        93), or is replaced with an updated TIP,                 correct this error.                                   COGs, and the rest from city/county/
                                        the MPO, and the FHWA and the FTA                                                                              State agencies and transit operators.
                                                                                                 Section 450.330 Project Selection                        Half of the comments on this section
                                        must make a new conformity
                                                                                                 From the TIP                                          pertained to the language that requires
                                        determination.’’ The sentence has been
                                        revised to clarify that the transportation                  The docket included 33 documents                   the annual listing needs to be published
                                        conformity rule (40 CFR 93.104(c)(2))                    that contained more than 35 comments                  no later than 90 calendar days following
                                        requires a transportation conformity                     on this section with about one-third                  the end of the State program year. All
                                        determination be made if a TIP                           from State DOTs, one-eighth from                      of the responses suggested that using the
                                        amendment involves non-exempt                            national and regional advocacy                        end of the Federal fiscal year would
                                        projects. If a non-exempt project has                    organizations, half from MPOs and                     make more sense. The FHWA and the
                                        already been incorporated into a                         COGs, and the rest from city/county/                  FTA appreciate the suggestion. We have
                                        regional emissions analysis and is                       State agencies and transit operators.                 changed the language to not specify
                                        merely moving from the currently                            Most of the comments pertained to                  ‘‘State program year’’ or ‘‘Federal fiscal
                                        conforming metropolitan transportation                   the two questions posed in the preamble               year.’’ Instead, the MPO, State, public
                                        plan to the TIP (and is not crossing an                  to the NPRM: (1) Whether MPOs should                  transportation operator(s) shall
                                        analysis year) we agree that the                         be required to prepare an ‘‘agreed to’’               determine the ‘‘program year.’’ The
                                        conformity determination on the TIP                      list of projects at the beginning of each             annual listing of obligated projects shall
                                        can be based on a previous regional                      of the four years in the TIP, rather than             be developed no later than 90 calendar
                                        emissions analysis if the requirements                   only the first year; and (2) whether a TIP            days following the end of the program
                                        of 40 CFR 93.122(g) are met. No                          amendment should be required to move                  year.
                                        additional changes were made to this                     a project between years in the TIP, if an                Critical information needed for this
                                        paragraph.                                               ‘‘agreed to’’ list is required for each year.         report is available in FHWA’s Fiscal
                                                                                                 The predominant opinion was that                      Management Information System
                                        Section 450.328 TIP Action by the                        requiring a State DOT or MPO to submit                (FMIS) 17 and FTA’s Transportation
                                        FHWA and the FTA                                         an agreed to list at the beginning of each            Electronic Award and Management
                                           The docket included approximately                     of the four years of the TIP/STIP or                  (TEAM) 18 System databases. Many of
                                        20 documents that contained more than                    requiring an amendment to move                        the MPOs and many of the national and
                                        20 comments on this section with about                   projects between years in the TIP/STIP                regional advocacy organizations
                                        three-fifths from State DOTs, one-fourth                 unnecessarily limits flexibility, and thus            requested that they be provided access
                                        from national and regional advocacy                      should not be a requirement. The                      to these databases, or provided timely
                                        organizations, and the rest from city/                   FHWA and the FTA agree with the                       reports of the data from the FHWA and
                                        county/State agencies and MPOs and                       majority of the comments. Therefore, no               the FTA. The FHWA and the FTA will
                                        COGs.                                                    change was made to the rule language.                 work closely with the States, public
                                           An MPO expressed concern that                            A few MPOs requested guidance on                   transportation operators and the MPOs
                                        paragraph (a) was too vague and open-                    why a distinction is made between
                                        ended. In addition, several commenters                   projects that are selected by the State in              17 The FHWA administers a nationwide highway

                                        expressed concern regarding the need                     cooperation with the MPO and those                    project reporting system, the Fiscal Management
                                        for approval of the TIP when submitted                   that are selected by the MPO in                       Information System (FMIS), that is used to provide
                                                                                                                                                       oversight of over $30 billion in disbursements to
                                        to the FHWA and the FTA. The FHWA                        consultation with the State and public                States for Federal-aid highway projects. FMIS
                                        and the FTA do not approve the TIP.                      transportation operators. This language               prescribes project reporting policy and procedures
                                        The language in this paragraph is                        is consistent with the October 1993                   and maintains the official project obligation records
                                        consistent with the language in the                      planning rule and is based on language                and statistical data for the various highway
                                                                                                                                                       programs, including the planning and
                                        October 1993 planning rule. Over nearly                  in the statute (23 U.S.C. 135(b) and 49               administration of a nationwide highway project
                                        13 years, we have not found significant                  U.S.C. 5304(b) and 23 U.S.C. 134(c) and               reporting system on the progressive stages of
                                        confusion regarding this language.                       49 U.S.C. 5303(c), respectively).                     individual highway projects. The system provides
                                        However, we did remove ‘‘including                       Therefore, no change was made to the                  information to the FHWA and U.S. DOT
                                                                                                                                                       management, State transportation officials, other
                                        amendments thereto’’ from this                           rule language.                                        Federal agencies, and the Congress.
                                        paragraph since we the FHWA and the                         A few MPOs noted that paragraph (b)                  18 In an effort to help manage funds that support
                                        FTA do not make findings on                              uses ‘‘consultation’’ to describe the                 some of the FTA collaborative activities, the FTA
                                        amendments.                                              MPO/TMA’s action with the State and                   has developed the Transportation Electronic Award
                                          After consultation with the EPA, we                    transit agency, whereas, ‘‘cooperation’’              and Management (TEAM) system. TEAM is a
                                                                                                                                                       system designed to manage and track the grant
                                        have revised paragraph (c) to be                         is used to describe the State’s action                process. FTA staff use TEAM to assess grant
                                        consistent with Clean Air Act                            with the MPO. This language is                        availability, assess and approve projects, assign
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                                        requirements and clarify that projects                   consistent with the October 1993                      project numbers, allocate and approve funding, and
                                        may only be advanced once the plan                       planning rule and is based on language                view approved grantee projects and associate
                                                                                                                                                       reports. FTA staff members also use TEAM to track
                                        expires if the TIP was approved and                      in the statute ((23 U.S.C. 135(b) and 49              the processes associated with these activities. In
                                        found to conform prior to the expiration                 U.S.C. 5304(b) and 23 U.S.C. 134(c) and               addition, grantees and potential grantees use TEAM
                                        of the metropolitan transportation plan                  49 U.S.C. 5303(c), respectively).                     to request grants and track grant progress.



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                                        7250             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                        to ensure all of the critical data is                    ensure that their responsibilities are                color, creed, national origin, sex, or age
                                        available to successfully meet this                      actually being met. This self-                        in employment or business
                                        reporting requirement. However, the                      certification must affirm that the                    opportunity.’’ Upon further review of
                                        FHWA and the FTA do not believe that                     transportation planning process is                    this section, the FHWA and the FTA
                                        the rule needs to be changed to address                  conducted in accordance with all                      determined that 49 U.S.C. 5332 should
                                        this comment.                                            applicable requirements.                              be included in this list of requirements.
                                           Some MPOs and several State DOTs                         The MPO self-certifications and the                  A small number of national and
                                        expressed support for including bicycle                  FHWA/FTA Federal certification                        regional advocacy organizations
                                        and pedestrian projects in the annual                    reviews of TMAs are related, yet distinct             expressed concern that the rule does not
                                        listing. However, many commenters did                    requirements. The Federal certification               provide enough detail on the standards
                                        not want to include a listing of all                     of TMAs is a statutory requirement,                   that the FHWA, the FTA, State DOTs
                                        bicycle and pedestrian ‘‘investments’’ in                while MPO self-certifications are a                   and MPOs should apply in certification
                                        the report because many bicycle and                      regulatory requirement that apply to all              reviews. We believe that the entire
                                        pedestrian investments are included                      MPOs and State DOTs. Both the FHWA/                   context of the rule and of the statute
                                        within larger transit or highway                         FTA (for the Federal certification) and               sufficiently identify the criteria to be
                                        projects. No changes were made to the                    the MPO (for the self-certification) must             used in certifying that the transportation
                                        rule because the language reflects what                  meet their individual requirements.                   planning process meets or substantially
                                        is included in the statute (23 U.S.C.                    While both may occur in the same year,                meets these requirements. We do not
                                        134(j)(7)(B) and 49 U.S.C. 5303(j)(7)(B))                the FHWA and the FTA note that some                   believe additional detail is required in
                                        The FHWA and the FTA expect the                          of the information pulled together by                 the rule. However, the FHWA and the
                                        projects included in the Annual Listing                  the MPO(s), State(s), and public                      FTA will provide non-regulatory
                                        of Obligated Projects to be consistent                   transportation operator(s) in advance of              guidance, training and technical
                                        with the projects that are listed in the                 the TMA certification review could be                 assistance, if necessary.
                                        TIP. It was suggested that the annual                    ‘‘re-used’’ in making the self-
                                                                                                                                                       Section 450.336 Applicability of NEPA
                                        listing of obligated projects contain only               certification. Therefore, no change has
                                                                                                                                                       to Metropolitan Transportation Plans
                                        fund obligations and not provide                         been made to the rule.
                                                                                                    One commenter requested that the                   and Programs
                                        information duplicative of that
                                        published in the TIP. Because the                        FHWA and the FTA include a specific                      The docket included very few
                                        annual listing of obligated projects is                  standard for compliance with private                  comments on this section. One concern
                                        intended to improve the transparency of                  enterprise provisions, which now are                  expressed that this section or Appendix
                                        transportation spending decisions to the                 excluded from consideration in TMA                    A would make planning reviewable
                                        public, and because providing TIP                        certification, and improve a private                  under NEPA. The purpose of this
                                        information enhances the user-                           provider’s ability to operate in                      section, however, is to reiterate the
                                        friendliness of the document, the FHWA                   metropolitan areas. Several commenters                statutory authority that the metropolitan
                                        and FTA have decided not to change the                   requested the inclusion of detailed                   transportation planning process
                                        content requirements. On February 24,                    methodologies for engaging private                    decisions are not subject to review
                                        2006, the FHWA and the FTA jointly                       service providers in the transportation               under NEPA. We have changed this
                                        issued preliminary guidance on the                       planning process, as well as standards                section to mirror the language in 23
                                        annual list of obligated projects.19                     for ascertaining compliance with private              U.S.C. 134(p) and 49 U.S.C. 5303(p).
                                                                                                 enterprise provisions and a complaint                 Section 450.338 Phase-In of New
                                        Section 450.334 Self-Certifications and                  process.
                                        Federal Certifications                                                                                         Requirements
                                                                                                    To ensure maximum flexibility for
                                           The docket included about 10                          localities to tailor private sector                      The docket included about 40
                                        documents that contained about 10                        involvement procedures to the service                 documents that contained about 110
                                        comments on this section with about                      providers and needs of their areas, we                comments on this section with about
                                        one-half from national and regional                      have determined that this information                 one-third from State DOTs, one-fifth
                                        advocacy organizations, one-half from                    should be disseminated as non-                        from national and regional advocacy
                                        MPOs and COGs, and the rest from city/                   regulatory guidance, complemented by a                organizations, half from MPOs and
                                        county governments.                                      wide array of effective practice case                 COGs, and the rest from city/county/
                                           Several comments pertained to the                     studies and supported by training and                 State agencies.
                                        four-year cycle for Federal certification                technical assistance.                                    All comments received indicated that
                                        reviews of TMAs compared to the                             The FHWA and the FTA have                          it will be difficult to meet the
                                        annual self-certification required by all                updated the list of applicable                        SAFETEA–LU July 1, 2007, deadline.
                                        MPOs and State DOTs. There was some                      requirements in paragraph (a). Reference              Subsequent to the preparation of the
                                        concern that the annual self-                            to ‘‘23 CFR parts 200 and 300’’ has been              proposed rule, but prior to its
                                        certifications should not be required if                 removed from paragraph (a)(3). Instead,               publication, the FHWA and the FTA
                                        the FHWA and the FTA have just                           a more specific reference to ‘‘23 CFR                 disseminated additional guidance
                                        performed their Federal certification                    part 230, regarding implementation of                 regarding the phase-in requirements on
                                        review. The regulations require the State                an equal employment opportunity                       May 2, 2006.20 Many of the comments
                                        and all MPOs to certify annually that                    program on Federal and Federal-aid                    to the docket addressed issues that were
                                        they are carrying out the transportation                 highway construction contracts’’ was                  clarified in our May 2, 2006, guidance.
                                        planning process to ensure that the State                added as paragraph (a)(6). This is the                The provisions of the guidance have
                                        and MPOs understand their                                specific portion of 23 CFR parts 200 and              been incorporated in the regulation.
                                        transportation responsibilities and to                   300 that needs to be reviewed and is not              Specifically, we have clarified that
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                                                                                                 related to Title VI of the Civil Rights Act
                                          19 This document, ‘‘Preliminary SAFETEA–LU                                                                     20 This guidance, ‘‘SAFETEA–LU Deadline for
                                                                                                 of 1964 in paragraph (a)(3). In addition,
                                        Guidance—Annual List of Obligated Projects, dated                                                              New Planning Requirements (July 1, 2007),’’ dated
                                        February 24, 2006, is available via the internet at
                                                                                                 we have added a new paragraph (a)(4):                 May 2, 2006, is available via the internet at the
                                        the following URL: http://www.fhwa.dot.gov/hep/          ‘‘49 U.S.C. 5332, prohibiting                         following URL: http://www.fhwa.dot.gov/hep/
                                        annuallistemail.htm.                                     discrimination on the basis of race,                  plandeadline.htm.



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                                        transportation plans and TIPs adopted                    program. The FHWA and the FTA                         NEPA to statewide transportation plans
                                        and approved prior to July 1, 2007, may                  believe that any major change to the                  and programs), 450.318 (Transportation
                                        be developed under TEA–21                                transportation plan or program, whether               planning studies and project
                                        requirements of the provisions and                       called an ‘‘amendment’’ or an ‘‘update’’              development) and 450.336
                                        requirements of this part.                               under this regulation, is considered for              (Applicability of NEPA to metropolitan
                                           We have also clarified, in paragraph                  this purpose an ‘‘update’’ as referenced              transportation plans and programs).
                                        (a), what actions may be taken prior to                  in 23 U.S.C. 135(b). However, an                         The FHWA and the FTA recognize
                                        July 1, 2007, on long-range statewide                    ‘‘administrative modification’’ would                 commenters’ concerns about Appendix
                                        transportation plans and STIPs.                          not be covered by this requirement. This              A, including the recommendation that
                                           One MPO, half of the national and                     rule will clarify the definition of these             this information be kept as guidance
                                        regional advocacy organizations, and a                   terms for the future.                                 rather than be made a part of the rule.
                                        quarter of the State DOTs commented                         One national and regional advocacy                 First, information in an Appendix to a
                                        that the regulations should clearly state                organization stated that Congress                     regulation does not carry regulatory
                                        that partial STIP approvals are                          specified that the SAFETEA–LU phase-                  authority in itself, but rather serves as
                                        allowable if one MPO or region is not                    in period should begin on July 1, 2007,               guidance to further explain the
                                        SAFETEA–LU compliant, the other                          not be completed by that date. The                    regulation. Secondly, as stated above,
                                        regions could produce a partial STIP                     FHWA and the FTA believe that this is                 Section 1308 of TEA–21 required the
                                        that is compliant. Because the                           an incorrect interpretation of the statute.           Secretary to eliminate the MIS as a
                                        regulation allows for approval of partial                The FHWA and the FTA agree that                       separate requirement, and promulgate
                                        STIPs (see § 450.218(b)(1)(iii)), no                     administrative modifications can be                   regulations to integrate such
                                        change was made to the regulation.                       made to TIPs after July 1, 2007, but                  requirement, as appropriate, as part of
                                        Approval of partial STIPs are                            amendments or revisions that would                    the transportation planning process.
                                        acceptable, primarily when difficulties                  add or delete a major new project to a                Appendix A fulfills that Congressional
                                        are encountered in cooperatively                         TIP, STIP, or transportation plan would               direction by providing explanatory
                                        developing the STIP portion for a                        not be acceptable after July 1, 2007 in               information regarding how the MIS
                                        particular metropolitan area or for a                    the absence of meeting the provisions                 requirement can be integrated into the
                                        Federal Lands agency. If an MPO is able                  and requirements of this part. This                   transportation planning process.
                                        to produce a TIP that is SAFETEA–LU                      information has been included in                      Inclusion of this explanatory
                                        compliant, the Federal action would be                   paragraph (d). In addition, we have                   information as an Appendix to the
                                        to amend that TIP into the STIP, making                  clarified in paragraph (d) that, on or                regulation will make the information
                                        the portion of the STIP that covers that                 after July 1, 2007, both amendments and               more readily available to users of the
                                        region SAFETEA–LU compliant.                             updates must be based on the provisions
                                           Most of the national and regional                                                                           regulation, and will provide notice to all
                                                                                                 and requirements of this part.                        interested persons of the agencies’
                                        advocacy organizations and several
                                        State DOTs commented that the                            Appendix A—Linking the                                official guidance on MIS integration
                                        deadline for transportation plan, STIP                   Transportation Planning and NEPA                      with the planning process. Attachment
                                        and TIP action should apply to State/                    Processes                                             of Appendix A to this rule will provide
                                        MPO approval action rather than the                        As mentioned, the FHWA and the                      convenient reference for State DOTs,
                                        FHWA/FTA conformity finding. The                         FTA received more than 60 comments                    MPOs and public transportation
                                        FHWA and the FTA issued guidance                         on this section with about one-third                  operator(s) who choose to incorporate
                                        ‘‘Clarification of Plan Requirements in                  from MPOs and COGs and one-third                      planning results and decisions in the
                                        Nonattainment and Maintenance Areas’’                    from State DOTs. National and regional                NEPA process. It will also make the
                                        on this issue on May 25, 2001.21 The                     advocacy organizations, transit agencies              information readily available to the
                                        language in the rule is consistent with                  and others provided the remaining third               public. Additionally, the FHWA and the
                                        the conformity rule and current                          of the comments on this section. In                   FTA will work with Federal
                                        practice. Therefore, no change was                       general, most of the comments received                environmental, regulatory, and resource
                                        made.                                                    supported the concept of linking                      agencies to incorporate the principles of
                                           Most of the commenters stated that 23                 planning and NEPA but opposed                         Appendix A in their day-to-day NEPA
                                        U.S.C. 135(b) requires only ‘‘updates’’ to               including Appendix A in the rule.                     policies and procedures related to their
                                        reflect changes required by the                            The purpose of an Appendix to a                     involvement in highway and transit
                                        SAFETEA–LU, not ‘‘amendments.’’ The                      regulation is to improve the quality or               projects. For the reasons stated above,
                                        comments noted that requiring a STIP                     use of a rule, without imposing new                   after careful consideration of all
                                        re-adoption for minor amendments                         requirements or restrictions.                         comments, the FHWA and the FTA have
                                        would be a substantial burden and is a                   Appendices provide supplemental,                      decided to attach Appendix A to the
                                        stricter interpretation of the statute than              background or explanatory information                 final rule as proposed in the NPRM.
                                        Congress intended. Prior to the adoption                 that illustrates or amplifies a rule.                    Based on the comments, the FHWA
                                        of this rule, there has not been an                      Because Appendix A provides                           and the FTA thoroughly reviewed
                                        accepted definition of or distinction                    amplifying information about how State                Appendix A and have made several
                                        between the terms ‘‘update’’ or                          DOTs, MPOs, and public transportation                 changes discussed below.
                                        ‘‘amendment.’’ As established in this                    operators can choose to conduct                          A note was added to the beginning of
                                        rule, the FHWA and the FTA consider                      planning level choices and analyses so                the discussion to emphasize that the
                                        an amendment to the STIP to be a major                   they may be adopted or incorporated                   Appendix provides additional
                                        change to the transportation plan or                     into the process required by NEPA, but                information, is non-binding and should
                                                                                                 does not impose new requirements, the                 not be construed as a rule of general
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                                          21 This document, ‘‘Clarification of Plan              FHWA and the FTA find that Appendix                   applicability.
                                        Requirements in Nonattainment and Maintenance            A is useful information to be included                   For clarification, we made small
                                        Areas,’’ dated May 25, 2004, is available via the
                                        internet at the following URL: http://
                                                                                                 in support of §§ 450.212 (Transportation              changes to some of the subheadings.
                                        www.fhwa.dot.gov/environment/conformity/                 planning studies and project                          Section I ‘‘Procedural’’ was changed to
                                        planup_m.htm.                                            development), 450.222 (Applicability of               ‘‘Procedural Issues’’ and Section II


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                                        ‘‘Substantive’’ was changed to                              In the response to Question 11, we                 explanatory information that illustrates
                                        ‘‘Substantive Issues.’’                                  simplified the language in the first                  or amplifies a rule. The FHWA and the
                                           We expanded the agencies listed in                    paragraph.                                            FTA received a significant number of
                                        the response to Question 1. The                             In the response to Question 12, the                comments on Appendix B. State DOTs,
                                        response now references ‘‘MPO, State                     reference to ‘‘affected agencies’’ was                MPOs and COGs, national and regional
                                        DOT, or public transportation operator.’’                changed to ‘‘participating agencies’’ to              advocacy organizations, transit agencies
                                           No changes were made to Question 2.                   be specific regarding which agencies                  and others expressed concern about
                                           In the second paragraph of the                        should have access to the analyses or                 imposing new requirements in the
                                        response to Question 3, we clarified the                 studies.                                              Appendix.
                                                                                                    In the response to Question 13,                       The docket included about 80
                                        term ‘‘lead agency.’’ The sentence now
                                                                                                 ‘‘special area management plans’’ was                 documents that contained about 170
                                        reads ‘‘For example, the term ‘lead
                                                                                                 added to paragraph (f). In addition, ‘‘or             comments on Appendix B. Most of the
                                        agency’ collectively means the U.S.                                                                            comments came from State DOTs and
                                                                                                 current’’ was added to the phrase ‘‘the
                                        Department of Transportation and a                                                                             from MPOs and COGs in about equal
                                                                                                 assessment of affected environment and
                                        State or local governmental entity                                                                             numbers. Many national and regional
                                                                                                 environmental consequences conducted
                                        serving as a joint lead agency for the                                                                         advocacy organizations also provided
                                                                                                 during the transportation planning
                                        NEPA process.’’                                                                                                comments on this section. A few public
                                                                                                 process will not be detailed or current
                                           In the response to Question 4, we                     enough to meet NEPA standards’’ to                    transportation providers and local
                                        clarified that the lead agencies, rather                 emphasize that these assessments may                  government agencies provided the
                                        than the FHWA and the FTA, are                           need to be revisited during NEPA if time              remainder of the comments.
                                        responsible for making decisions. Also,                  has passed between the time when the                     Many of the State DOTs, almost all of
                                        in the first sentence, we emphasize that                 planning study was completed and the                  the MPOs and COGs, many of the
                                        the lead agencies ‘‘jointly decide, and                  NEPA study.                                           national and regional advocacy
                                        must agree * * *’’                                          No change was made to Question 14.                 organizations, and a few of the public
                                           No changes were made to Question 5.                      In Question 15, we added                           transportation providers that
                                           In the response to Question 6, a small                ‘‘mitigation’’ before ‘‘banking’’ to be               commented on this section objected to
                                        change to add the phrase ‘‘those of’’ was                more specific.                                        the Appendix being included in
                                        made to the examples listed in the first                    No change was made to Question 16.                 regulation, were generally supportive of
                                        paragraph.                                                  No change was made to Question 17.                 the guidance information but many had
                                           We changed the order of the phrases                      In the response to Question 18, we                 comments on individual elements of the
                                        in the second bullet of the response to                  added ‘‘and its successor in SAFETEA-                 text as described below. Many of the
                                        Question 7 to emphasize that the                         LU Section 6002’’ to update the                       State DOTs and a few of the national
                                        transportation planning process (and the                 discussion in the first paragraph.                    and regional advocacy organizations
                                        future policy year assumptions used)                        No change was made to Question 19.                 objected strongly to the text on fiscal
                                        would occur before the NEPA process.                        We updated the Website addresses in                constraint being included in regulation
                                        We also added ‘‘and the public’’ to the                  the ‘‘Additional Information on this                  or as guidance though some would
                                        eighth bullet. The public and other                      Topic’’ section.                                      accept guidance with significant
                                                                                                    A small number of national and                     revisions.
                                        agencies should have access to the
                                                                                                 regional advocacy organizations                          When proposing Appendix B to the
                                        planning products during NEPA
                                                                                                 objected to Appendix A because it does                rule, the FHWA and the FTA intended
                                        scoping.
                                                                                                 not require consideration of mitigation               to raise the level of awareness and
                                           In Question 8, we added ‘‘during                      to the level, extent and detail required              importance in developing fiscally
                                        NEPA scoping and’’ to the sentence                       for NEPA. This comment seems to                       constrained transportation plans, TIPs,
                                        ‘‘The use of these planning-level goals                  reflect a misunderstanding of the intent              and STIPs to States, MPOs, and public
                                        and choices must be appropriately                        of Appendix A. Although Appendix A                    transportation operators. Since its
                                        explained during NEPA scoping and in                     is designed to provide clarifying                     introduction under the ISTEA, fiscal
                                        the NEPA document’’ to clarify that                      information on how the transportation                 constraint has remained a prominent
                                        agencies must identify during the NEPA                   planning process could produce                        aspect of transportation plan and
                                        scoping process their intent to use                      products that can be more readily used                program development, carrying through
                                        planning-level decisions.                                in the NEPA process, transportation                   to the TEA–21 and now to the
                                           We clarified in Question 9 what                       planning process studies do not require               SAFETEA–LU. The FHWA and the FTA
                                        happens during the first-tier EIS                        the specificity or analysis required by               acknowledge that Appendix B contains
                                        process. The second-tier NEPA                            NEPA. In all likelihood, the studies                  a combination of guidance, amplifying
                                        review(s) would be performed in the                      produced as part of the transportation                information, and additional criteria.
                                        usual way. We also added ‘‘planning’’ to                 planning process will only be                         Given the level of controversy regarding
                                        ‘‘subarea planning study’’ to emphasize                  foundational to subsequent NEPA                       this Appendix, it has been removed
                                        that information in this Appendix refers                 studies and will need to be                           from the rule.
                                        to planning level studies. Finally, we                   supplemented with additional analysis                    Instead, the FHWA and the FTA will
                                        clarified that we are referencing the                    and detail before fully meeting the                   be developing and issuing revised
                                        ‘‘mandatory’’ Alternatives Analysis                      rigorous requirements of NEPA.                        guidance on fiscal constraint and
                                        process for transit projects.                                                                                  financial planning for transportation
                                           We have deleted the second                            Appendix B—Fiscal Constraint of                       plans and programs soon after this rule
                                        paragraph in the response to Question                    Transportation Plans and Programs                     is published.
                                        10. This paragraph suggested even more                     The purpose of an Appendix to a                        The FHWA and the FTA find that
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                                        detailed decisions could be developed                    regulation is to improve the quality or               three key features of Appendix B merit
                                        and considered during the planning                       use of a rule, without imposing new                   inclusion in the rule, as noted in the
                                        process. Based on the comments we                        requirements or restrictions. As was                  section-by-section discussions for
                                        received, we want the Appendix to                        stated, appendices provide                            § 450.216 (Development and content of
                                        focus on planning-level decisions.                       supplemental, background or                           the statewide transportation


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                                        improvement program (STIP), § 450.322                       However, for purposes of clarity and               organizations and some MPOs and
                                        (Development and content of the                          consistency, § 450.216(n),                            COGs, commented that they should not
                                        metropolitan transportation plan), and                   § 450.322(f)(10), and § 450.324(i) have               be required to use ‘‘year of expenditure
                                        § 450.324 (Development and content of                    been revised to better describe ‘‘the                 dollars.’’
                                        the transportation improvement                           system’’ as Federal-aid highways (as                     The FHWA and the FTA considered
                                        program). These key features are: (1)                    defined by 23 U.S.C. 101(a)(5)) and                   these comments and included in
                                        Treatment of highway and transit                         public transportation (as defined by title            § 450.216(h), § 450.322(f)(10), and
                                        operations and maintenance costs and                     49 U.S.C. Chapter 53). As background,                 § 450.324(d) that ‘‘year of expenditure
                                        revenues; (2) use of ‘‘year of expenditure               23 U.S.C. 101(a)(5) defines ‘‘Federal-aid             dollars’’ shall be used ‘‘to the extent
                                        dollars’’ in developing cost and revenue                 highways’’ as ‘‘a highway eligible for                practicable.’’ While this language
                                        estimates; and (3) use of ‘‘cost ranges/                 assistance other than a highway                       expresses the desire of the FHWA and
                                        cost bands’’ in the outer years of the                   classified as a local road or rural minor             the FTA for revenue and cost estimates
                                        metropolitan transportation plan.                        collector.’’ Additionally, these sections             to be reflected in ‘‘year of expenditure
                                           Regarding the treatment of highway                    clarify that the financial plans                      dollars,’’ an opportunity to use
                                        and transit operations and maintenance                   supporting the metropolitan                           ‘‘constant dollars’’ has been retained.
                                        costs and revenues, the FHWA and the                     transportation plan and TIP and the                      Regarding the use of ‘‘cost ranges/cost
                                        FTA realize that the 1993 planning rule                  financial information supporting the                  bands’’ in the outer years of the
                                        and the NPRM interchangeably referred                    STIP are to be based on systems-level                 metropolitan transportation plan, the
                                        to the transportation system as either                   estimates of costs and revenue sources                FHWA and the FTA jointly issued
                                        ‘‘existing,’’ ‘‘total,’’ or ‘‘entire.’’                  reasonably expected to be available to                ‘‘Interim Guidance on Fiscal Constraint
                                           Several State DOTs, MPOs and COGs,                    adequately operate and maintain                       for STIPs, TIPs, and Metropolitan
                                        national and regional advocacy                           Federal-aid highways (as defined by 23                Plans’’ on June 30, 2005. The FHWA
                                        organizations, and others expressed                      U.S.C. 101(a)(5)) and public                          and the FTA will be developing and
                                        concern and confusion over these terms.                  transportation (as defined by title 49                issuing revised guidance on fiscal
                                        Many commenters called into question                     U.S.C. Chapter 53).                                   constraint and financial planning for
                                        the statutory authority for the FHWA                        Regarding the use of ‘‘year of                     transportation plans and programs soon
                                        and the FTA to focus on State and local                  expenditure dollars’’ in developing cost              after this rule is published. The Interim
                                        government investments to operate and                    and revenue estimates, the FHWA and                   Guidance indicated that for the outer
                                        maintain the ‘‘system’’ as part of fiscal                the FTA jointly issued ‘‘Interim FHWA/                years of the metropolitan transportation
                                        constraint and financial plans                           FTA Guidance on Fiscal Constraint for                 plan (i.e., beyond the first 10 years), the
                                        supporting transportation plans and                      STIPs, TIPs, and Metropolitan Plans’’ on              financial plan may reflect aggregate cost
                                        programs. However, the statute, as                       June 30, 2005.22 This Interim Guidance                ranges/cost bands, as long as the future
                                        amended by the SAFETEA–LU (23                            indicated that financial forecasts (for               funding source(s) is reasonably expected
                                        U.S.C. 134(i)(2)(C) and 49 U.S.C.                        costs and revenues) to support the                    to be available to support the projected
                                        5303(i)(2)(C)), requires that the financial              metropolitan transportation plan, TIP,                cost ranges/cost bands. In the NPRM,
                                        element of a metropolitan transportation                 and STIP may: (a) Rely on a ‘‘constant                the FHWA and the FTA proposed to
                                        plan ‘‘demonstrates how the adopted                      dollar’’ base year or (b) utilize an                  provide this option to MPOs in
                                        transportation plan can be                               inflation rate(s) to reflect ‘‘year                   developing fiscally-constrained
                                        implemented’’ and ‘‘indicates resources                  expenditure.’’ The FHWA and the FTA                   metropolitan transportation plans. We
                                        from public and private sources’’ that                   will be developing and issuing revised                have included this option in this rule
                                        can be ‘‘reasonably anticipated to                       guidance on fiscal constraint and                     because we believe it gives MPOs
                                        implement the plan.’’ A metropolitan                     financial planning for transportation                 maximum flexibility to broadly define a
                                        transportation plan, as it is developed,                 plans and programs soon after this rule               large-scale transportation issue or
                                        must include consideration and                           is published. In Appendix B, the FHWA                 problem to be addressed in the future
                                        recognition of how all the pieces of the                 and the FTA proposed to exclusively                   that does not predispose a NEPA
                                        regional transportation system will                      require the use of ‘‘year of expenditure              decision, while, at the same time,
                                        integrate, function and operate, not just                dollars’’ to better reflect the time-based            calling for the definition of a future
                                        those facilities which are or could be                   value of money. This is particularly                  funding source(s) that encompasses the
                                        funded with Federal resources. To focus                  crucial for large-scale projects with                 planning-level ‘‘cost range/cost band.’’
                                        solely on the Federally-funded portion                   construction/implementation dates                     23 CFR Part 500
                                        of the transportation system could                       stretching into the future. Because the
                                        create greater demands on limited                        transportation planning process serves                Section 500.109 Congestion
                                        Federal resources or jeopardize the                      as the beginning point of the larger                  Management Systems
                                        value of the Federal investments made                    ‘‘project continuum’’ (i.e., moving from                 Few docket documents specifically
                                        within that metropolitan area.                           concept through construction, and later               referenced this section. However, the
                                        Furthermore, outside the transportation                  operations and maintenance), the                      docket included more than 25
                                        planning process, there is a                             FHWA and the FTA strongly believe                     documents that contained almost 30
                                        longstanding Federal requirement that                    that early disclosure of revenue and cost             comments on § 450.320 (Congestion
                                        States properly maintain, or cause to be                 estimates reflecting time and inflation               management process in transportation
                                        maintained, any projects constructed                     provides a truer set of expectations and              management areas) which is relevant to
                                        under the Federal-aid Highway Program                    future ‘‘reality’’ to the public. However,            this section.
                                        (23 U.S.C. 116).                                         most of the State DOTs, a few of the                     As was mentioned, on May 16, 2006,
                                           Additionally, the FHWA and the FTA                    national and regional advocacy                        the U.S. Secretary of Transportation
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                                        believe that the fundamental premise                                                                           announced a national initiative to
                                                                                                   22 This joint guidance, ‘‘Interim FHWA/FTA
                                        behind the wording in the October 28,                                                                          address congestion related to highway,
                                                                                                 Guidance on Fiscal Constraint for STIPs, TIPs and
                                        1993 planning rule regarding highway                     Metropolitan Plans,’’ dated June 27, 2005, is
                                                                                                                                                       freight and aviation. The intent of the
                                        and transit operations and maintenance                   available via the Internet at the following URL:      ‘‘National Strategy to Reduce
                                        (58 FR 58040) remains sound.                             http://www.fhwa.dot.gov/planning/fcindex.htm.         Congestion on America’s Transportation


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                                        Network’’ is to provide a blueprint for                                    A few comments were received                               49 CFR Part 613
                                        Federal, State and local officials to                                   reiterating that the CMP should result in                       The NPRM proposed to simplify
                                        tackle congestion. The States and                                       multimodal system performance                                 FTA’s cross-reference in 49 CFR Part
                                        MPO(s) are encouraged to seek Urban                                     measures and strategies. The FHWA and                         613 to 23 CFR Part 450. Because there
                                        Partnership Agreements with a handful                                   the FTA note that existing language                           may be references to the three subparts
                                        of communities willing to demonstrate                                   reflects the multimodal nature of the                         in 49 CFR Part 613 in various other
                                        new congestion relief strategies and                                    CMP. Specifically, § 450.320(a)(2)                            regulatory and guidance documents,
                                        encourages States to pass legislation                                   allows for the appropriate performance                        FTA has made technical changes to
                                        giving the private sector a broader                                     measures for the CMP to be determined                         what was proposed in the NPRM to
                                        opportunity to invest in transportation.                                cooperatively by the State(s), affected                       retain the names of the subparts in this
                                        It calls for more widespread deployment                                 MPO(s), and local officials in                                part the same as they were prior to this
                                        of new operational technologies and                                     consultation with the operators of major                      rule. This will reduce confusion by
                                        practices that end traffic tie ups,                                                                                                   keeping the names of the subparts the
                                                                                                                modes of transportation in the coverage
                                        designates new interstate ‘‘corridors of                                                                                              same, but still allowing for the cross-
                                                                                                                area.
                                        the future,’’ targets port and border                                                                                                 reference simplification and alignment
                                        congestion, and expands aviation                                           Several commenters asked for a
                                                                                                                                                                              of identical regulatory requirements that
                                        capacity.                                                               clarification with regards to what CMP
                                                                                                                                                                              FTA had proposed.
                                           U.S. DOT encourages the State DOTs                                   requirements apply in air quality
                                        and MPOs to consider and implement                                      attainment areas, as opposed to the                           Distribution Tables
                                        strategies, specifically related to                                     requirements in air quality                                     The NPRM proposed to clarify and
                                        highway and transit operations and                                      nonattainment areas. The CMP                                  revise the regulation’s section headings
                                        expansion, freight, transportation                                      requirements for all TMA areas                                to use plainer language. These changes
                                        pricing, other vehicle-based charges                                    (attainment and nonattainment) are                            have been made. For ease of reference,
                                        techniques, etc. The mechanism that the                                 identified in §§ 450.320(a), 450.320(b),                      two distribution tables are provided for
                                        State DOTs and MPOs employ to                                           450.320(c), and 450.320(f). Additional                        the current sections and the proposed
                                        explore these strategies is within their                                CMP requirements that apply only to                           sections as follows. The first
                                        discretion. The U.S. DOT will focus its                                 nonattainment TMA areas (for CO and                           distribution table indicates changes in
                                        resources, funding, staff and technology                                ozone) are identified in § 450.320(d) and                     section numbering and titles. The
                                        to cut traffic jams and relieve freight                                 § 450.320(e).                                                 second provides details within each
                                        bottlenecks.                                                                                                                          section.
                                                                                                                         SECTION TITLE AND NUMBER
                                                                                   Old section                                                                                     New section

                                                                                Subpart A                                                                                              Subpart A
                                        450.100       Purpose ....................................................................................   450.100 Purpose.
                                        450.102       Applicability ..............................................................................   450.102 Applicability.
                                        450.104       Definitions ................................................................................   450.104 Definitions.
                                                                                Subpart B                                                                                        Subpart B
                                        450.200       Purpose ....................................................................................   450.200 Purpose.
                                        450.202       Applicability ..............................................................................   450.202 Applicability.
                                        450.204       Definitions ................................................................................   450.204 Definitions.
                                        450.206       Statewide transportation planning process: General require-                                    450.206 Scope of the statewide transportation planning process.
                                          ments.
                                        450.208 Statewide transportation planning process: Factors ...............                                   450.208 Coordination of planning process activities.
                                        450.210 Coordination .............................................................................           450.210 Interested parties, public involvement, and consultation.
                                                                                                                                                     450.212 Transportation planning studies and project development.
                                        450.212       Public involvement ...................................................................         450.214 Development and content of the long-range statewide trans-
                                                                                                                                                       portation plan.
                                        450.214       Statewide transportation plan ..................................................               450.216 Development and content of the statewide transportation im-
                                                                                                                                                       provement program (STIP).
                                        450.216       Statewide transportation ..........................................................            450.218 Self-certifications, Federal improvement program (STIP).
                                                                                                                                                       findings, and Federal approvals.
                                        450.218       Funding ....................................................................................   450.220 Project selection from the STIP.
                                        450.220       Approvals .................................................................................    450.222 Applicability of NEPA to statewide transportation plans and
                                                                                                                                                       programs.
                                        450.222   Project selection for implementation ........................................                      450.224 Phase-in of new requirements.
                                                                          Subpart C                                                                                                Subpart C
                                        450.300 Purpose ....................................................................................         450.300 Purpose.
                                        450.302 Applicability ..............................................................................         450.302 Applicability.
                                        450.304 Definitions ................................................................................         450.304 Definitions.
                                        450.306 Metropolitan planning organizations: Designation and redes-                                          450.306 Scope of the metropolitan transportation planning process.
                                          ignation.
                                        450.308 Metropolitan planning organization: Metropolitan planning                                            450.308 Funding for transportation planning and unified planning
                                          boundary.                                                                                                    work programs.
                                        450.310 Metropolitan planning organization: planning agreements ......                                       450.310 Metropolitan planning organization designation and redesigna-
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                                                                                                                                                       tion.
                                        450.312 Metropolitan transportation planning: Responsibilities, co-                                          450.312 Metropolitan planning area boundaries.
                                          operation, and coordination.
                                        450.314 Metropolitan transportation planning process: Unified plan-                                          450.314     Metropolitan planning agreements.
                                          ning work programs.



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                                                             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations                                                                   7255

                                                                                                                 SECTION TITLE AND NUMBER—Continued
                                                                                      Old section                                                                                       New section

                                        450.316 Metropolitan transportation planning process: Elements ........                                          450.316 Interested parties, participation and consultation.
                                        450.318 Metropolitan transportation planning process: Major metro-                                               450.318 Transportation planning studies and project development.
                                          politan transportation investments.
                                        450.320 Metropolitan transportation planning process: Relation to                                                450.320 Congestion management process in transportation manage-
                                          management systems.                                                                                              ment areas.
                                        450.322 Metropolitan transportation planning process: Transportation                                             450.322 Development and content of the metropolitan transportation
                                          plan.                                                                                                            plan.
                                        450.324 Transportation improvement program: General ......................                                       450.324 Development and content of the transportation improvement
                                                                                                                                                           program (TIP).
                                        450.326 Transportation improvement program: modification ................                                        450.326 TIP revisions and relationship to the STIP.
                                        450.328 Transportation improvement program: Relationship to state-                                               450.328 TIP action by the FHWA and the FTA.
                                          wide TIP.
                                        450.330 Transportation improvement program: Action required by                                                   450.330     Project selection from the TIP.
                                          FHWA/FTA.
                                        450.332 Project selection for implementation ........................................                            450.332 Annual listing of obligated projects.
                                        450.334 Metropolitan transportation planning process: Certification ....                                         450.334 Self-certifications and Federal certifications.
                                        450.336 Phase-in of new requirements .................................................                           450.336 Applicability of NEPA to metropolitan transportation plans
                                                                                                                                                           and programs.
                                        None .........................................................................................................   450.338 Phase-in of new requirements.
                                                                                   Section 500
                                        500.109 CMS .........................................................................................            500.109     CMS.



                                          The following distribution table
                                        identifies details for each existing
                                        section and proposed section:

                                                                                      Old section                                                                                       New section

                                                                                    Subpart A                                                                                            Subpart A
                                        450.100 .....................................................................................................    450.100 [Revised].
                                        450.102 .....................................................................................................    450.102.
                                        450.104 .....................................................................................................    450.104.
                                        Definitions .................................................................................................    Definitions.
                                        None .........................................................................................................   Administrative modification [New].
                                        None .........................................................................................................   Alternatives analysis [New].
                                        None .........................................................................................................   Amendment [New].
                                        None .........................................................................................................   Attainment area [New].
                                        None .........................................................................................................   Available funds [New].
                                        None .........................................................................................................   Committed funds [New].
                                        None .........................................................................................................   Conformity [New].
                                        None .........................................................................................................   Conformity lapse [New].
                                        None .........................................................................................................   Congestion management process [New].
                                        None .........................................................................................................   Consideration [New].
                                        Consultation ..............................................................................................      Consultation [Revised].
                                        Cooperation ..............................................................................................       Cooperation [Revised].
                                        None .........................................................................................................   Coordinated public transit-human services transportation plan [New].
                                        Coordination .............................................................................................       Coordination [Revised].
                                        None .........................................................................................................   Design concept [New].
                                        None .........................................................................................................   Design scope [New].
                                        None .........................................................................................................   Designated recipient [New].
                                        None .........................................................................................................   Environmental mitigation activities [New].
                                        None .........................................................................................................   Federal land management agency [New].
                                        None .........................................................................................................   Federally funded non-emergency transportation services [New].
                                        None .........................................................................................................   Financially constrained or Fiscal constraint [New].
                                        None .........................................................................................................   Financial plan [New].
                                        None .........................................................................................................   Freight shippers [New].
                                        None .........................................................................................................   Full funding grant agreement [New].
                                        Governor ...................................................................................................     Governor.
                                        None .........................................................................................................   Illustrative project [New].
                                        None .........................................................................................................   Indian Tribal government [New].
                                        None .........................................................................................................   Intelligent transportation system (ITS) [New].
                                        None .........................................................................................................   Interim metropolitan transportation plan [New].
                                        None .........................................................................................................   Interim transportation improvement program (TIP) [New].
                                        Maintenance area .....................................................................................           Maintenance area [Revised].
                                        Major metropolitan transportation investment ..........................................                          Removed.
rwilkins on PROD1PC63 with RULES




                                        Management system ................................................................................               Management system [Revised].
                                        Metropolitan planning area .......................................................................               Metropolitan planning area (MPA) [Revised].
                                        Metropolitan planning organization ..........................................................                    Metropolitan planning organization.
                                        (MPO) .......................................................................................................    (MPO) [Revised].
                                        Metropolitan transportation plan ...............................................................                 Metropolitan transportation plan.



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                                        7256                 Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                                                                      Old section                                                                                       New section

                                        None .........................................................................................................    National ambient air quality standards (NAAQS) [New].
                                        Nonattainment area ..................................................................................             Nonattainment area.
                                        Non-metropolitan area ..............................................................................              Non-metropolitan area.
                                        Non-metropolitan local official ..................................................................                Non-metropolitan local official.
                                        None .........................................................................................................    Obligated projects [New].
                                        None .........................................................................................................    Operational and management strategies [New].
                                        None .........................................................................................................    Project construction grant agreement [New].
                                        None .........................................................................................................    Project selection [New].
                                        None .........................................................................................................    Provider of freight transportation services [New].
                                        None .........................................................................................................    Public transportation operator [New].
                                        None .........................................................................................................    Regional ITS architecture [New].
                                        Regionally significant project ....................................................................               Regionally significant project [Revised].
                                        None .........................................................................................................    Revision [New].
                                        State .........................................................................................................   State.
                                        State implementation plan (SIP) ..............................................................                    State implementation plan (SIP) [Revised].
                                        Statewide transportation improvement program (STIP) ...........................                                   Statewide transportation improvement program (STIP) [Revised].
                                        Statewide transportation plan ...................................................................                 Long-range statewide transportation plan [Revised].
                                        None .........................................................................................................    Strategic highway safety plan [New].
                                        None .........................................................................................................    Transportation control measures (TCMs) [New].
                                        Transportation improvement program (TIP) .............................................                            Transportation improvement program (TIP) [Revised].
                                        Transportation management area (TMA) .................................................                            Transportation management area (TMA) [Revised].
                                        None .........................................................................................................    Unified planning work program (UPWP) [New].
                                        None .........................................................................................................    Update [New].
                                        None .........................................................................................................    Urbanized area [New].
                                        None .........................................................................................................    Users of public transportation [New].
                                        None .........................................................................................................    Visualization techniques [New].
                                                                                     Subpart B                                                                                             Subpart B
                                        450.200 .....................................................................................................     450.200 [Revised].
                                        450.202 .....................................................................................................     450.202 [Revised].
                                        450.204 .....................................................................................................     450.204 [Revised].
                                        450.206(a)(1) through (a)(5) .....................................................................                Removed.
                                        450.206(b) ................................................................................................       450.208(a)(1) [Revised].
                                        450.206(c) .................................................................................................      450.208(a)(4).
                                        450.208(a)(1) ............................................................................................        450.208(d) [Revised].
                                        450.208(a)(2) through (a)(23) ...................................................................                 450.206(a)(1) through (a)(8) [Revised].
                                        450.208(b) ................................................................................................       450.206(b) [Revised].
                                        None .........................................................................................................    450.206(c) [New].
                                        450.210(a)(1) through (a)(13) ...................................................................                 450.208(a)(1) through (a)(7) [Revised].
                                        450.210(b) ................................................................................................       Removed.
                                        None .........................................................................................................    450.208(b) [New].
                                        None .........................................................................................................    450.208(c) [New].
                                        None .........................................................................................................    450.208(e) [New].
                                        None .........................................................................................................    450.208(f) [New].
                                        None .........................................................................................................    450.208(g) [New].
                                        None .........................................................................................................    450.208(h) [New].
                                        450.212(a) through (g) .............................................................................              450.210(a) [Revised].
                                        450.212(h) through (i) ...............................................................................            450.210(b)(1) through (b)(2) [Revised].
                                        None .........................................................................................................    450.210(c) [New].
                                        None .........................................................................................................    450.212(a) through (c) [New].
                                        450.214(a) through (b)(3) .........................................................................               450.214(a) [Revised].
                                        None .........................................................................................................    450.214(b) [New].
                                        450.214(b)(4) ............................................................................................        450.214(f) [Revised].
                                        450.214(b)(5) ............................................................................................        450.214(c) [Revised].
                                        450.214(b)(6) ............................................................................................        450.214(l) [Revised].
                                        None .........................................................................................................    450.214(d) [New].
                                        None .........................................................................................................    450.214(e) [New].
                                        450.214(c)(1) through (c)(5) .....................................................................                450.214(g) and (h) [Revised].
                                        450.214(d) ................................................................................................       Removed.
                                        None .........................................................................................................    450.214(i) [New].
                                        None .........................................................................................................    450.214(j) [New].
                                        None .........................................................................................................    450.214(m) [New].
                                        None .........................................................................................................    450.214(n) [New].
                                        450.214(e) ................................................................................................       450.214(o).
                                        None .........................................................................................................    450.214(p) [New].
                                        450.214(f) .................................................................................................      450.214(g) [Revised].
                                        450.216(a) last sentence ..........................................................................               450.216(f) [Revised].
                                        450.216(a)(1) through (a)(2) .....................................................................                450.216(a) through (b) [Revised].
                                        450.216(a)(3) ............................................................................................        450.216(k).
                                        None .........................................................................................................    450.216(l) [New].
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                                        450.216(a)(4) ............................................................................................        450.216(b) [Revised].
                                        None .........................................................................................................    450.216(d) [New].
                                        None .........................................................................................................    450.216(e) [New].
                                        450.216(a)(5) ............................................................................................        450.216(m) [Revised].
                                        450.216(a)(6) ............................................................................................        450.216(g) [Revised].



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                                                             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations                                                     7257

                                                                                      Old section                                                                                      New section

                                        450.216(a)(7) ............................................................................................       450.216(h) [Revised].
                                        450.216(a)(8) ............................................................................................       450.216(i) [Revised].
                                        450.216(a)(9) ............................................................................................       Removed.
                                        450.216(b) ................................................................................................      450.216(j) [Revised.]
                                        450.216(b) last sentence ..........................................................................              450.216(f).
                                        450.216(c) through (d) ..............................................................................            450.216(n) [Revised].
                                        None .........................................................................................................   450.216(o) [New].
                                        450.216(e) ................................................................................................      450.216(c) [Revised].
                                        450.218 .....................................................................................................    450.206(d) [Revised].
                                        450.220(a) through (g) .............................................................................             450.218(a) through (d) [Revised].
                                        450.222(a) through (d) .............................................................................             450.220(a) through (e) [Revised].
                                        None .........................................................................................................   450.222 [New].
                                        450.224(a) through (b) .............................................................................             450.224(a) through (c) [Revised].
                                                                                    Subpart C                                                                                            Subpart C
                                        450.300 .....................................................................................................    450.300 [Revised].
                                        450.302 .....................................................................................................    450.302 [Revised].
                                        450.304 .....................................................................................................    450.304 [Revised].
                                        450.306(a) through (d) .............................................................................             450.310(a) through (h) [Revised].
                                        450.306(e) ................................................................................................      450.310(f) [Revised].
                                        None .........................................................................................................   450.310(g) [New].
                                        450.306(f) .................................................................................................     Removed.
                                        450.306(g) ................................................................................................      450.310(i) [Revised].
                                        450.306(h) ................................................................................................      450.310(j) [Revised].
                                        450.306(i) through (j) ................................................................................          Removed.
                                        450.306(k) .................................................................................................     450.310(k) through (l) [Revised].
                                        None .........................................................................................................   450.310(k) [New].
                                        450.308(a) through (c) ..............................................................................            450.312(a), (b), and (i) [Revised].
                                        None .........................................................................................................   450.312(c) [New].
                                        None .........................................................................................................   450.312(d) [New].
                                        None .........................................................................................................   450.312(e) [New].
                                        None .........................................................................................................   450.312(f) [New].
                                        None .........................................................................................................   450.312(g) [New].
                                        None .........................................................................................................   450.312(h) [New].
                                        450.308(d) ................................................................................................      450.312(j) [Revised].
                                        450.310(a), (b), and (d) ............................................................................            450.314(a) [Revised].
                                        450.310(c) .................................................................................................     450.314(c).
                                        450.310(e) ................................................................................................      Removed.
                                        450.310(f) .................................................................................................     450.314(b) [Revised].
                                        450.310(g) ................................................................................................      450.314(d) [Revised].
                                        450.310(h) ................................................................................................      Removed.
                                        None .........................................................................................................   450.314(f) [New].
                                        450.312(a) ................................................................................................      450.314(a) [Revised].
                                        450.312(b) ................................................................................................      450.322(c) [Revised].
                                        450.312(c) .................................................................................................     450.322(d) [Revised].
                                        450.312(d) ................................................................................................      Removed.
                                        450.312(e) ................................................................................................      450.314(b), (d), and (e) [Revised].
                                        450.312(f) .................................................................................................     450.306(i).
                                        450.312(g) ................................................................................................      Removed.
                                        450.312(h) ................................................................................................      Removed.
                                        450.312(i) ..................................................................................................    450.316(c) through (d) [Revised].
                                        None .........................................................................................................   450.316(e) [New].
                                        None .........................................................................................................   450.308(a) [New].
                                        450.314(a) through (d) .............................................................................             450.308(b) through (e) [Revised].
                                        None .........................................................................................................   450.308(f) [New].
                                        450.316(a)(1) through (a)(16) ...................................................................                450.306(a)(1) through (a)(8) [Revised].
                                        None .........................................................................................................   450.306(b) [New].
                                        None .........................................................................................................   450.306(c) [New].
                                        None .........................................................................................................   450.306(d) [New].
                                        None .........................................................................................................   450.306(e) [New].
                                        None .........................................................................................................   450.306(f) [New].
                                        None .........................................................................................................   450.306(g) [New].
                                        None .........................................................................................................   450.306(h) [New].
                                        None .........................................................................................................   450.316(a) [New].
                                        450.316(b)(1)(i) .........................................................................................       450.316(a)(3) [Revised].
                                        450.316(b)(1)(ii) through (b)(1)(vi) ............................................................                450.316(a)(1)(i) through (a)(1)(vi) [Revised].
                                        450.316(b)(1)(vii) ......................................................................................        450.316(a)(2) [Revised].
                                        450.316(b)(1)(viii) through (b)(1)(xi) .........................................................                 450.316(a)(1)(vii) through (a)(1)(x) [Revised].
                                        450.316(b)(2) ............................................................................................       Removed.
                                        450.316(b)(3) ............................................................................................       Removed.
rwilkins on PROD1PC63 with RULES




                                        450.316(b)(4) ............................................................................................       Removed.
                                        None .........................................................................................................   450.316(b) [New].
                                        450.312(i) ..................................................................................................    450.316(c).
                                        None .........................................................................................................   450.316(d) [New].
                                        450.316(c) .................................................................................................     450.306(j) [Revised].



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                                        7258                 Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                                                                      Old section                                                                                      New section

                                        450.316(d) ................................................................................................      Removed.
                                        450.318(a) through (f) ..............................................................................            450.318(a) through (e) [Revised].
                                        450.320(a) ................................................................................................      450.320(a) [Revised].
                                        450.320(b) ................................................................................................      450.320(d) and (e) [Revised].
                                        450.320(c) .................................................................................................     450.320(b) [Revised].
                                        450.320(d) ................................................................................................      450.320(b) [Revised].
                                        500.109(a) second, fourth, and fifth sentences .......................................                           450.320(b) [Revised].
                                        500.109(b) ................................................................................................      450.320(c) [Revised].
                                        500.109(b)(1) through (b)(6) .....................................................................               450.320(c)(1) through (c)(6) [Revised].
                                        None .........................................................................................................   450.320(f) [New].
                                        450.322(a) and (e) ....................................................................................          450.322(a) through (c) [Revised].
                                        None .........................................................................................................   450.322(e) [New].
                                        450.322(b)(1) through (b)(2) .....................................................................               450.322(f)(1) through (f)(2) [Revised].
                                        450.322(b)(3) ............................................................................................       450.322(f)(8) [Revised].
                                        450.322(b)(4) through (b)(7) .....................................................................               450.322(f)(3) through (f)(6) [Revised].
                                        450.322(b)(8) ............................................................................................       Removed.
                                        450.322(b)(9) ............................................................................................       450.322(f)(7) and (g)(1) through (g)(2) [Revised].
                                        450.322(b)(10) ..........................................................................................        450.324(f)(9) [Revised].
                                        450.322(b)(11) ..........................................................................................        450.322(f)(10) [Revised].
                                        None .........................................................................................................   450.322(h) [New].
                                        450.322(c) .................................................................................................     450.322(i) [Revised].
                                        None .........................................................................................................   450.322(j) [New].
                                        None .........................................................................................................   450.322(k) [New].
                                        450.322(d) ................................................................................................      450.322(l) [Revised].
                                        450.324(a) through (i) ...............................................................................           450.324(a) through (i) [Revised].
                                        450.324(j) through (k) ...............................................................................           Removed.
                                        450.324(l) through (m) ..............................................................................            450.324(j) through (k) [Revised].
                                        450.324(n) ................................................................................................      450.324(l).
                                        None .........................................................................................................   450.324(m) [New].
                                        None .........................................................................................................   450.324(n) [New].
                                        None .........................................................................................................   450.324(o) [New].
                                        450.326 .....................................................................................................    450.326(a) [Revised].
                                        450.328(a) through (b) .............................................................................             450.326(b) through (c) [Revised].
                                        450.330(a) through (b) .............................................................................             450.328(a) through (b) [Revised].
                                        None .........................................................................................................   450.328(c) through (e) [New].
                                        450.324(o) ................................................................................................      450.328(f) [Revised].
                                        450.332(a) through (e) .............................................................................             450.330(a) through (e) [Revised].
                                        None .........................................................................................................   450.332(a) through (c) [New].
                                        450.334(a) through (h) .............................................................................             450.334(a) through (b) [Revised].
                                        None .........................................................................................................   450.336 [New].
                                        450.336 .....................................................................................................    450.338(a) through (e) [Revised].
                                        500.109 first and third sentences .............................................................                  500.109(a) [Revised].
                                        500.109(a) second, fourth, and fifth sentences .......................................                           500.109(b) [Revised].



                                        Rulemaking Analyses and Notices                                            and environmental goals. This rule will                        analysis was posted on the docket as a
                                          The FHWA and the FTA received and                                        add new coordination and                                       separate document, entitled ‘‘Regulatory
                                        considered more than 1,600 comments                                        documentation requirements (e.g.,                              Cost Analysis of Proposed Rulemaking.’’
                                        by the comment closing date of                                             greater public outreach and consultation                       We did not receive any comments on
                                        September 7, 2006. In addition, we                                         with State and local planning and                              the cost analysis. We have not made
                                        considered all comments received after                                     resource agencies, annual listing of                           changes that substantively affect the
                                        the closing date to the extent                                             obligated projects, etc.), but will reduce                     cost or benefits calculations used in the
                                        practicable.                                                               the frequency of some existing                                 analysis. Therefore, no changes are
                                                                                                                   regulatory reporting requirements (e.g.,                       made to the cost analysis and we believe
                                        Executive Order 12866 (Regulatory                                          metropolitan transportation plan, STIP/                        that the economic impact of this
                                        Planning and Review) and DOT                                               TIP, and certification reviews). The                           rulemaking will be minimal.
                                        Regulatory Policies and Procedures                                         FHWA and the FTA have sought to
                                                                                                                                                                                  Regulatory Flexibility Act
                                           The FHWA and the FTA have                                               maintain previous flexibility of
                                        determined that this rulemaking is a                                       operation wherever possible for State                            In compliance with the Regulatory
                                        significant regulatory action within the                                   DOTs, MPOs, and other affected                                 Flexibility Act (Pub. L. 96–354; 5 U.S.C.
                                        meaning of Executive Order 12866, and                                      organizations, and to utilize existing                         601–612), the FHWA and the FTA have
                                        is significant under Department of                                         processes to accomplish any new tasks                          determined that States and MPOs are
                                        Transportation regulatory policies and                                     or activities. We did not receive any                          not included in the definition of small
                                        procedures because of substantial State,                                   comments on this analysis.                                     entity set forth in 5 U.S.C. 601. Small
                                        local government, congressional, and                                         The FHWA and the FTA conducted a                             governmental jurisdictions are limited
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                                        public interest. These interests involve                                   cost analysis identifying each of the                          to representations of populations of less
                                        receipt of Federal financial support for                                   proposed regulatory changes that would                         than 50,000. MPOs, by definition,
                                        transportation investments, appropriate                                    have a significant cost impact for MPOs                        represent urbanized areas having a
                                        compliance with statutory requirements,                                    or State DOTs, and have estimated those                        minimum population of 50,000.
                                        and balancing of transportation mobility                                   costs on an annual basis. This cost                            Therefore the Regulatory Flexibility Act


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                                        does not apply. We did not receive any                     the National Congress of American                     in the frequency of collection, the
                                        comments on the Regulatory Flexibility                     Indians (NCAI).                                       burden hours for this final rule are
                                        Act determination.                                           In response to this letter, AMPO and                estimated to be only 250,295 hours.
                                                                                                   NARC requested a meeting to discuss                   That is a reduction of 64,605 burden
                                        Unfunded Mandates Reform Act of                            their Federalism concerns. On                         hours. This collection has been
                                        1995                                                       December 21, 2005, we met with                        approved by OMB with an expiration
                                           This rule will not impose unfunded                      representatives from AMPO and NARC.                   date of August 31, 2009. The
                                        mandates as defined by the Unfunded                        A summary of this meeting is available                information reporting requirements for
                                        Mandates Reform Act of 1995 (Pub. L.                       in the docket. Briefly, both AMPO and                 State planning work programs were
                                        104–4, March 22, 1995, 109 Stat. 48).                      NARC expressed concern with the                       approved by the OMB under control
                                        This rule will not result in the                           potential burdens that new                            number 2125–0039 (expiration date:
                                        expenditure of non-Federal funds by                        requirements might have on MPOs,                      November 30, 2007). However, we have
                                        State, local, and Indian Tribal                            especially the smaller MPOs. In                       combined these collections into one
                                        governments, in the aggregate, or by the                   particular, AMPO and NARC were                        OMB control number (2132–0529). The
                                        private sector, of $128.1 million in any                   concerned with our implementation of                  FTA conducted the analysis supporting
                                                                                                   the SAFETEA–LU provisions relating to                 this approval on behalf of both the FTA
                                        one year (2 U.S.C. 1532).
                                                                                                   public participation, congestion                      and the FHWA, since the regulations are
                                           Additionally, the definition of                         management process, and                               jointly issued by both agencies. The
                                        ‘‘Federal mandate’’ in the Unfunded                        implementation of planning update                     reporting requirements for statewide
                                        Mandates Reform Act excludes financial                     cycles. We did consider these concerns                transportation plans and programs are
                                        assistance of the type in which State,                     when drafting the final rule. We did not              also approved under this same OMB
                                        local, or Indian Tribal governments have                   receive additional comments on                        control number. The information
                                        authority to adjust their participation in                 Federalism issues.                                    collection requirements addressed
                                        the program in accordance with changes                                                                           under the current OMB approval
                                        made in the program by the Federal                         Executive Order 12372
                                                                                                   (Intergovernmental Review)                            number (2132–0529) impose a total
                                        government. The Federal-aid highway                                                                              burden of 250,295 hours on the
                                        program and Federal Transit Act permit                       Catalog of Federal Domestic                         planning agencies that must comply
                                        this type of flexibility to the States. We                 Assistance Program Numbers 20.205,                    with the requirements in the new
                                        did not receive any comments on the                        Highway Planning and Construction (or                 regulation. The FHWA and the FTA
                                        Unfunded Mandates Reform Act.                              20.217); 20.500, Federal Transit Capital              conducted an analysis of the change in
                                                                                                   Improvement Grants; 20.505, Federal                   burden hours attributed to the
                                        Executive Order 13132 (Federalism)                         Transit Technical Studies Grants;                     rulemaking, based on estimates used in
                                          This action has been analyzed in                         20.507, Federal Transit Capital and                   the submission for OMB approval. This
                                        accordance with the principles and                         Operating Assistance Formula Grants.                  analysis is included on the docket as a
                                        criteria contained in Executive Order                      The regulations implementing Executive                separate document entitled ‘‘Estimated
                                        13132, and the FHWA and the FTA                            Order 12372 regarding                                 Change in Reporting Burden Hours
                                        have determined that this action will                      intergovernmental consultation in                     Attributable to the final rule.’’
                                        not have sufficient federalism                             Federal programs and activities apply to                 The docket contained a comment on
                                        implications to warrant the preparation                    these programs. The FHWA and the                      the estimated change in reporting
                                        of a Federalism assessment. The FHWA                       FTA did not receive any comments on                   burden hours. The commenter stated
                                        and the FTA have also determined that                      these programs.                                       that the analysis was unrealistically low
                                        this action will not preempt any State                     Paperwork Reduction Act                               because it failed to account for the costs
                                        law or regulation or affect the States’                                                                          of implementing the proposed fiscal
                                                                                                      Under the Paperwork Reduction Act                  constraint and STIP amendment
                                        ability to discharge traditional State
                                                                                                   of 1995 (PRA) (44 U.S.C. 3501 et. seq.),              provisions. The FHWA and the FTA
                                        governmental functions.
                                                                                                   Federal agencies must obtain approval                 disagree with this comment. The fiscal
                                          By letter dated November 29, 2005,                       from the Office of Management and                     constraint requirements are not new
                                        the FHWA and the FTA solicited                             Budget (OMB) for each collection of                   with this rulemaking; they were
                                        comments from the National Governors’                      information they conduct, sponsor, or                 introduced under the ISTEA, and
                                        Association (NGA) as representatives for                   require through regulations. The FHWA                 subsequently reaffirmed under the
                                        the elected State officials on the                         and the FTA have determined that this                 SAFETEA–LU (23 U.S.C. 134 (i)(2)(C),
                                        Federalism implications of this                            regulation contains collection of                     23 U.S.C. 134 (j)(1)(C), 49 U.S.C. 5301
                                        proposed rule.23 An identical letter was                   information requirements for the                      (a)(1), and 49 U.S.C. 5303 (j)(2)(C)).
                                        sent on the same date to several other                     purposes of the Paperwork Reduction                   Appendix B (Fiscal Constraint of
                                        organizations representing elected                         Act. However, the FHWA and the FTA                    Transportation Plans and Programs) has
                                        officials and Indian Tribal governments.                   believe that any increases in burden                  been removed from the rule, although
                                        These organizations were: The National                     hours per submission are more than                    three key features were included in
                                        Conference of State Legislators (NCSL),                    offset by decreases in the frequency of               appropriate sections. Please see the
                                        the American Public Works Association                      collection for these information                      responses to the comments on
                                        (APWA), the Association of                                 requirements.                                         Appendix B for additional background
                                        Metropolitan Planning Organizations                           The reporting requirements for                     information and explanation.
                                        (AMPO), the National Association of                        metropolitan planning unified planning                   Consequently, the FHWA and the
                                        Regional Councils (NARC), the National                     work programs (UPWPs), transportation                 FTA find that the fiscal constraint
                                        Association of Counties (NACO), the                        plans, and transportation improvement                 provision does not add new burden on
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                                        Conference of Mayors (COM), the                            programs (TIPs) are approved under                    State DOTs and MPOs, and therefore is
                                        National Association of City                               OMB control number 2132–0529. Under                   not subject to a cost analysis.
                                        Transportation Officials (NACTO), and                      the previous planning regulations, the                Furthermore the FHWA and the FTA
                                                                                                   burden hours were estimated to be                     believe that the changes in definitions
                                          23 A   copy of this letter is included in the docket.    314,900; however, due to the reduction                regarding TIP/STIP amendments


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                                        actually reduce the administrative                       documents include 4 years of projects;                Executive Order 12988 (Civil Justice
                                        burden by introducing the concept of an                  an increase from 3 years of projects                  Reform)
                                        ‘‘administrative modification,’’ which                   required under the previous regulations.                 This action meets applicable
                                        allows minor changes to be made                          The inclusion of an additional year of                standards in sections 3(a) and 3(b)(2) of
                                        without requiring public review and                      projects will increase the reporting                  Executive Order 12988, Civil Justice
                                        comment, redemonstration of fiscal                       burden associated with TIP                            Reform, to minimize litigation,
                                        constraint, or a conformity                              development by 10 percent over current                eliminate ambiguity, and reduce
                                        determination. Finally, the cost analysis                levels. However, the final rule also                  burden. The FHWA and the FTA did
                                        does specifically recognize that some                    reduces the required frequency of TIP                 not receive any comment on this
                                        additional costs may be incurred to                      submission from 2 years to 4 years for                determination.
                                        address new coordination provisions,                     all States and MPOs. Based on the
                                        and estimates an average cost increase                   burden hours used in the FTA analysis                 Executive Order 13045 (Protection of
                                        for State DOTs of approximately                          submitted for OMB approval, the                       Children)
                                        $54,000 per year. Some States may incur                  decrease in burden hours associated                     We have analyzed this action under
                                        higher costs, while others may incur                     with the reduced frequency of                         Executive Order 13045, protection of
                                        lower costs. However, these additional                   submission more than offsets the                      Children from Environmental Health
                                        costs for transportation plan                            increase in burden hours associated                   Risks and Safety Risks. This rule is not
                                        development are partially offset by                      with including an additional year of                  an economically significant rule and
                                        estimated cost savings due to other                      projects in the TIP. The FHWA and the                 does not concern an environmental risk
                                        provisions (e.g., reduction in the                       FTA have not made changes to the rule                 to health or safety that may
                                        required frequency of STIP updates). No                  that would substantively affect this                  disproportionately affect children. The
                                        substantial change was made to the                       analysis. None of the changes made to                 FHWA and the FTA did not receive any
                                        ‘‘Estimated Change in Reporting Burden                   the regulatory language between the                   comment on this determination.
                                        Hours Attributable to the final rule’’ as
                                                                                                 NPRM and the final rule alter                         Executive Order 12630 (Taking of
                                        a result of these comments.
                                                                                                 information collection requirements.                  Private Property)
                                        Additionally, there has been no change
                                        since the approval of the most recent                    National Environmental Policy Act                       This rule will not effect a taking of
                                        information collection request (ICR) and                                                                       private property or otherwise have
                                        no change between the NPRM and final                        The FHWA and the FTA have                          taking implications under Executive
                                        rule.                                                    analyzed this action for the purpose of               order 12630, Governmental Actions and
                                           The analysis results are summarized                   the National Environmental Policy Act                 Interference with Constitutionally
                                        below.                                                   of 1969 (42 U.S.C. 4321), and have                    Protected Property Rights. The FHWA
                                           The creation and submission of                        determined that this action would not                 and the FTA did not receive any
                                        required reports and documents have                      have any effect on the quality of the                 comment on this determination.
                                        been limited to those specifically                       environment. A small number of
                                        required by 23 U.S.C. 134 and 135 and                                                                          Executive Order 13175 (Tribal
                                                                                                 national and regional advocacy
                                        in 49 U.S.C. 5303 and 5304 or essential                                                                        Consultation)
                                                                                                 organizations wrote that this rulemaking
                                        to the performance of our findings,                      process should be subject to NEPA                        The FHWA and the FTA have
                                        certifications and/or approvals. The                     because certain regulatory provisions                 analyzed this action under Executive
                                        final rule will have no significant                      (e.g., Appendix A (Linking the                        Order 13175, dated November 6, 2000,
                                        change in the submission requirements                    transportation planning and NEPA                      and believe that the action will not have
                                        for UPWPs or State planning work                         processes), § 450.212 (Transportation                 substantial direct effects on one or more
                                        programs; therefore there is no change                   planning studies and project                          Indian tribes; will not impose
                                        in the annual reporting burden for this                  development), and § 450.318                           substantial direct compliance costs on
                                        element. The final rule will require that                (Transportation planning studies and                  Indian Tribal governments; and will not
                                        additional sections be added to the                      project development)) will impact how                 preempt Tribal laws. The planning
                                        metropolitan and statewide                               environmental considerations are                      regulations contain requirements for
                                        transportation plans, which we estimate                  addressed by State DOTs and MPOs.                     States to consult with Indian Tribal
                                        would increase the required level of                     The FHWA and the FTA disagree. The                    governments in the planning process.
                                        effort by 20 percent over current plan                   proposed rule defines a process for                   Tribes are required under 25 CFR part
                                        development. However, the final rule                     carrying out the transportation planning              170 to develop long range plans and
                                        also reduces the required frequency of                   provisions as specified in the                        develop an Indian Reservation Roads
                                        plan submission from 3 to 4 years for                    SAFETEA–LU. It does not rescind or                    (IRR) TIP for programming IRR projects.
                                        MPOs located in nonattainment or                                                                               However, the requirements in 25 CFR
                                                                                                 alter any of the requirements specified
                                        maintenance areas. One half of all MPOs                                                                        part 170 and would not be changed by
                                                                                                 under NEPA with respect to overall long
                                        are located in nonattainment or                                                                                this rulemaking. Therefore, a Tribal
                                                                                                 range transportation planning or project
                                        maintenance areas and would realize a                                                                          summary impact statement is not
                                                                                                 evaluation. Individual plans and
                                        reduction in their annual reporting                                                                            required. The FHWA and the FTA did
                                                                                                 projects submitted by State DOTs and
                                        burden. Based on the burden hours used                                                                         not receive any comment on this
                                        in the FTA analysis submitted for OMB                    MPOs would continue to be subject to
                                                                                                                                                       analysis or determination.
                                        approval, the decrease in burden hours                   NEPA requirements.
                                        for MPOs located in nonattainment and                       Furthermore, the SAFETEA–LU                        Executive Order 13211 (Energy Effects)
                                        maintenance areas more than offsets the                  clearly states in 23 U.S.C. 135(j) and 49               We have analyzed this action under
                                        increase in burden hours associated                      U.S.C. 5304(j) that ‘‘any decision by the             Executive Order 13211, Actions
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                                        with the new sections required in the                    Secretary concerning a metropolitan or                Concerning Regulations That
                                        plans.                                                   statewide transportation plan or the                  Significantly Affect Energy Supply,
                                           The final rule requires that State and                transportation improvement program                    Distribution, or Use dated May 18, 2001.
                                        metropolitan transportation                              shall not be considered to be a Federal               We have determined that it is not a
                                        improvement program (STIP and TIP)                       action subject to review under [NEPA].’’              significant energy action under that


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                                        order because although it is a significant               450.212 Transportation planning studies               § 450.104    Definitions.
                                        regulatory action under Executive Order                      and project development.                             Unless otherwise specified, the
                                        12866, it is not likely to have a                        450.214 Development and content of the                definitions in 23 U.S.C. 101(a) and 49
                                        significant adverse effect on the supply,                    long-range statewide transportation plan.         U.S.C. 5302 are applicable to this part.
                                        distribution, or use of energy. Therefore,               450.216 Development and content of the                   Administrative modification means a
                                                                                                     statewide transportation improvement              minor revision to a long-range statewide
                                        a Statement of Energy Effects is not
                                                                                                     program (STIP).
                                        required. The FHWA and the FTA did                                                                             or metropolitan transportation plan,
                                                                                                 450.218 Self-certifications, Federal
                                        not receive any comment on this                              findings, and Federal approvals.
                                                                                                                                                       Transportation Improvement Program
                                        determination.                                           450.220 Project selection from the STIP.              (TIP), or Statewide Transportation
                                                                                                 450.222 Applicability of NEPA to statewide            Improvement Program (STIP) that
                                        Regulation Identification Number                                                                               includes minor changes to project/
                                                                                                     transportation plans and programs.
                                          A regulation identification number                     450.224 Phase-in of new requirements.                 project phase costs, minor changes to
                                        (RIN) is assigned to each regulatory                                                                           funding sources of previously-included
                                        action listed in the Unified Agenda of                   Subpart C—Metropolitan Transportation                 projects, and minor changes to project/
                                                                                                 Planning and Programming
                                        Federal Regulations. The Regulatory                                                                            project phase initiation dates. An
                                        Information Service Center publishes                     Sec.                                                  administrative modification is a revision
                                        the Unified Agenda in April and                          450.300 Purpose.                                      that does not require public review and
                                        October of each year. The RIN contained                  450.302 Applicability.                                comment, redemonstration of fiscal
                                        in the heading of this document can be                   450.304 Definitions.                                  constraint, or a conformity
                                                                                                 450.306 Scope of the metropolitan
                                        used to cross-reference this action with                                                                       determination (in nonattainment and
                                                                                                      transportation planning process.
                                        the Unified Agenda.                                      450.308 Funding for transportation
                                                                                                                                                       maintenance areas).
                                                                                                                                                          Alternatives analysis (AA) means a
                                        List of Subjects                                              planning and unified planning work
                                                                                                      programs.                                        study required for eligibility of funding
                                        23 CFR Parts 450 and 500                                 450.310 Metropolitan planning organization            under the Federal Transit
                                           Grant Programs—transportation,                             designation and redesignation.                   Administration’s (FTA’s) Capital
                                        Highway and roads, Mass                                  450.312 Metropolitan planning area                    Investment Grant program (49 U.S.C.
                                        transportation, Reporting and record                          boundaries.                                      5309), which includes an assessment of
                                                                                                 450.314 Metropolitan planning agreements.             a range of alternatives designed to
                                        keeping requirements.
                                                                                                 450.316 Interested parties, participation,            address a transportation problem in a
                                        49 CFR Part 613                                               and consultation.                                corridor or subarea, resulting in
                                           Grant Programs—transportation,                        450.318 Transportation planning studies               sufficient information to support
                                                                                                      and project development.                         selection by State and local officials of
                                        Highway and roads, Mass
                                                                                                 450.320 Congestion management process in              a locally preferred alternative for
                                        transportation, Reporting and record                          transportation management areas.
                                        keeping requirements.                                                                                          adoption into a metropolitan
                                                                                                 450.322 Development and content of the                transportation plan, and for the
                                           Issued on: January 29, 2007.                               metropolitan transportation plan.                Secretary to make decisions to advance
                                        J. Richard Capka,                                        450.324 Development and content of the
                                                                                                                                                       the locally preferred alternative through
                                        Federal Highway Administrator.                                transportation improvement program
                                                                                                      (TIP).
                                                                                                                                                       the project development process, as set
                                           Issued on: January 31, 2007.                                                                                forth in 49 CFR part 611 (Major Capital
                                                                                                 450.326 TIP revisions and relationship to
                                        James S. Simpson,                                             the STIP.                                        Investment Projects).
                                        Federal Transit Administrator.                           450.328 TIP action by the FHWA and the                   Amendment means a revision to a
                                        I  For the reasons discussed in the                           FTA.                                             long-range statewide or metropolitan
                                        preamble, the FHWA and the FTA                           450.330 Project selection from the TIP.               transportation plan, TIP, or STIP that
                                        amend title 23, parts 450 and 500, and                   450.332 Annual listing of obligated                   involves a major change to a project
                                        title 49, part 613, Code of Federal                           projects.                                        included in a metropolitan
                                        Regulations as follows:                                  450.334 Self-certifications and Federal               transportation plan, TIP, or STIP,
                                                                                                      certifications.                                  including the addition or deletion of a
                                        Title 23—Highways                                        450.336 Applicability of NEPA to                      project or a major change in project cost,
                                                                                                      metropolitan transportation plans and            project/project phase initiation dates, or
                                        I 1. Revise Part 450 to read as follows:
                                                                                                      programs.                                        a major change in design concept or
                                        PART 450—PLANNING ASSISTANCE                             450.338 Phase-in of new requirements.                 design scope (e.g., changing project
                                                                                                    Appendix A to part 450—Linking the                 termini or the number of through traffic
                                        AND STANDARDS
                                                                                                 transportation planning and NEPA processes.
                                                                                                                                                       lanes). Changes to projects that are
                                        Subpart A—Transportation Planning and                      Authority: 23 U.S.C. 134 and 135; 42                included only for illustrative purposes
                                        Programming Definitions                                  U.S.C. 7410 et seq.; 49 U.S.C. 5303 and 5304;         do not require an amendment. An
                                        Sec.                                                     49 CFR 1.48 and 1.51.                                 amendment is a revision that requires
                                        450.100 Purpose.                                                                                               public review and comment,
                                        450.102 Applicability.                                   Subpart A—Transportation Planning
                                        450.104 Definitions.                                                                                           redemonstration of fiscal constraint, or
                                                                                                 and Programming Definitions                           a conformity determination (for
                                        Subpart B—Statewide Transportation                                                                             metropolitan transportation plans and
                                        Planning and Programming                                 § 450.100    Purpose.
                                                                                                                                                       TIPs involving ‘‘non-exempt’’ projects
                                        450.200 Purpose.                                           The purpose of this subpart is to                   in nonattainment and maintenance
                                        450.202 Applicability.                                   provide definitions for terms used in                 areas). In the context of a long-range
                                        450.204 Definitions.                                     this part.                                            statewide transportation plan, an
                                        450.206 Scope of the statewide
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                                            transportation planning process.                     § 450.102    Applicability.
                                                                                                                                                       amendment is a revision approved by
                                        450.208 Coordination of planning process                                                                       the State in accordance with its public
                                            activities.                                            The definitions in this subpart are                 involvement process.
                                        450.210 Interested parties, public                       applicable to this part, except as                       Attainment area means any
                                            involvement, and consultation.                       otherwise provided.                                   geographic area in which levels of a


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                                        given criteria air pollutant (e.g., ozone,               has expired and thus there is no                      vehicle or person carrying capacity and
                                        carbon monoxide, PM10, PM2.5, and                        currently conforming metropolitan                     control (e.g., number of lanes or tracks
                                        nitrogen dioxide) meet the health-based                  transportation plan or TIP.                           to be constructed or added, length of
                                        National Ambient Air Quality Standards                      Congestion management process                      project, signalization, safety features,
                                        (NAAQS) for that pollutant. An area                      means a systematic approach required                  access control including approximate
                                        may be an attainment area for one                        in transportation management areas                    number and location of interchanges, or
                                        pollutant and a nonattainment area for                   (TMAs) that provides for effective                    preferential treatment for high-
                                        others. A ‘‘maintenance area’’ (see                      management and operation, based on a                  occupancy vehicles).
                                        definition below) is not considered an                   cooperatively developed and                              Designated recipient means an entity
                                        attainment area for transportation                       implemented metropolitan-wide                         designated, in accordance with the
                                        planning purposes.                                       strategy, of new and existing                         planning process under 49 U.S.C. 5303,
                                           Available funds means funds derived                   transportation facilities eligible for                5304, and 5306, by the chief executive
                                        from an existing source dedicated to or                  funding under title 23 U.S.C., and title              officer of a State, responsible local
                                        historically used for transportation                     49 U.S.C., through the use of operational             officials, and publicly-owned operators
                                        purposes. For Federal funds, authorized                  management strategies.                                of public transportation, to receive and
                                        and/or appropriated funds and the                           Consideration means that one or more               apportion amounts under 49 U.S.C.
                                        extrapolation of formula and                             parties takes into account the opinions,              5336 that are attributable to
                                        discretionary funds at historic rates of                 action, and relevant information from                 transportation management areas
                                        increase are considered ‘‘available.’’ A                 other parties in making a decision or                 (TMAs) identified under 49 U.S.C. 5303,
                                        similar approach may be used for State                   determining a course of action.                       or a State regional authority if the
                                        and local funds that are dedicated to or                    Consultation means that one or more                authority is responsible under the laws
                                        historically used for transportation                     parties confer with other identified                  of a State for a capital project and for
                                        purposes.                                                parties in accordance with an                         financing and directly providing public
                                           Committed funds means funds that                      established process and, prior to taking              transportation.
                                        have been dedicated or obligated for                     action(s), considers the views of the                    Environmental mitigation activities
                                        transportation purposes. For State funds                 other parties and periodically informs                means strategies, policies, programs,
                                        that are not dedicated to transportation                 them about action(s) taken. This                      actions, and activities that, over time,
                                        purposes, only those funds over which                    definition does not apply to the                      will serve to avoid, minimize, or
                                        the Governor has control may be                          ‘‘consultation’’ performed by the States              compensate for (by replacing or
                                        considered ‘‘committed.’’ Approval of a                  and the MPOs in comparing the long-                   providing substitute resources) the
                                        TIP by the Governor is considered a                      range statewide transportation plan and               impacts to or disruption of elements of
                                        commitment of those funds over which                     the metropolitan transportation plan,                 the human and natural environment
                                        the Governor has control. For local or                   respectively, to State and Tribal                     associated with the implementation of a
                                        private sources of funds not dedicated                   conservation plans or maps or                         long-range statewide transportation plan
                                        to or historically used for transportation               inventories of natural or historic                    or metropolitan transportation plan. The
                                        purposes (including donations of                         resources (see § 450.214(i) and                       human and natural environment
                                        property), a commitment in writing                       § 450.322(g)(1) and (g)(2)).                          includes, for example, neighborhoods
                                        (e.g., letter of intent) by the responsible                 Cooperation means that the parties                 and communities, homes and
                                        official or body having control of the                   involved in carrying out the                          businesses, cultural resources, parks
                                        funds may be considered a commitment.                    transportation planning and                           and recreation areas, wetlands and
                                        For projects involving 49 U.S.C. 5309                    programming processes work together to                water sources, forested and other
                                        funding, execution of a Full Funding                     achieve a common goal or objective.                   natural areas, agricultural areas,
                                        Grant Agreement (or equivalent) or a                        Coordinated public transit-human                   endangered and threatened species, and
                                        Project Construction Grant Agreement                     services transportation plan means a                  the ambient air. The environmental
                                        with the USDOT shall be considered a                     locally developed, coordinated                        mitigation strategies and activities are
                                        multi-year commitment of Federal                         transportation plan that identifies the               intended to be regional in scope, and
                                        funds.                                                   transportation needs of individuals with              may not necessarily address potential
                                           Conformity means a Clean Air Act (42                  disabilities, older adults, and people                project-level impacts.
                                        U.S.C. 7506(c)) requirement that ensures                 with low incomes, provides strategies                    Federal land management agency
                                        that Federal funding and approval are                    for meeting those local needs, and                    means units of the Federal Government
                                        given to transportation plans, programs                  prioritizes transportation services for               currently responsible for the
                                        and projects that are consistent with the                funding and implementation.                           administration of public lands (e.g., U.S.
                                        air quality goals established by a State                    Coordination means the cooperative                 Forest Service, U.S. Fish and Wildlife
                                        Implementation Plan (SIP). Conformity,                   development of plans, programs, and                   Service, Bureau of Land Management,
                                        to the purpose of the SIP, means that                    schedules among agencies and entities                 and the National Park Service).
                                        transportation activities will not cause                 with legal standing and adjustment of                    Federally funded non-emergency
                                        new air quality violations, worsen                       such plans, programs, and schedules to                transportation services means
                                        existing violations, or delay timely                     achieve general consistency, as                       transportation services provided to the
                                        attainment of the NAAQS. The                             appropriate.                                          general public, including those with
                                        transportation conformity rule (40 CFR                      Design concept means the type of                   special transport needs, by public
                                        part 93) sets forth policy, criteria, and                facility identified for a transportation              transit, private non-profit service
                                        procedures for demonstrating and                         improvement project (e.g., freeway,                   providers, and private third-party
                                        assuring conformity of transportation                    expressway, arterial highway, grade-                  contractors to public agencies.
                                        activities.                                              separated highway, toll road, reserved                   Financial plan means documentation
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                                           Conformity lapse means, pursuant to                   right-of-way rail transit, mixed-traffic              required to be included with a
                                        section 176(c) of the Clean Air Act (42                  rail transit, or busway).                             metropolitan transportation plan and
                                        U.S.C. 7506(c)), as amended, that the                       Design scope means the aspects that                TIP (and optional for the long-range
                                        conformity determination for a                           will affect the proposed facility’s impact            statewide transportation plan and STIP)
                                        metropolitan transportation plan or TIP                  on the region, usually as they relate to              that demonstrates the consistency


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                                        between reasonably available and                         of this part, including approval by the                  Non-metropolitan area means a
                                        projected sources of Federal, State,                     MPO.                                                  geographic area outside a designated
                                        local, and private revenues and the costs                   Interim transportation improvement                 metropolitan planning area.
                                        of implementing proposed                                 program (TIP) means a TIP composed of                    Non-metropolitan local officials
                                        transportation system improvements.                      projects eligible to proceed under a                  means elected and appointed officials of
                                           Financially constrained or Fiscal                     conformity lapse and otherwise meeting                general purpose local government in a
                                        constraint means that the metropolitan                   all other applicable provisions of this               non-metropolitan area with
                                        transportation plan, TIP, and STIP                       part, including approval by the MPO                   responsibility for transportation.
                                        includes sufficient financial information                and the Governor.                                        Obligated projects means strategies
                                        for demonstrating that projects in the                      Long-range statewide transportation                and projects funded under title 23
                                        metropolitan transportation plan, TIP,                   plan means the official, statewide,                   U.S.C. and title 49 U.S.C. Chapter 53 for
                                        and STIP can be implemented using                        multimodal, transportation plan                       which the supporting Federal funds
                                        committed, available, or reasonably                      covering a period of no less than 20                  were authorized and committed by the
                                        available revenue sources, with                          years developed through the statewide                 State or designated recipient in the
                                        reasonable assurance that the federally                  transportation planning process.                      preceding program year, and authorized
                                        supported transportation system is                          Maintenance area means any                         by the FHWA or awarded as a grant by
                                        being adequately operated and                            geographic region of the United States                the FTA.
                                        maintained. For the TIP and the STIP,                    that the EPA previously designated as a                  Operational and management
                                        financial constraint/fiscal constraint                   nonattainment area for one or more                    strategies means actions and strategies
                                        applies to each program year.                            pollutants pursuant to the Clean Air Act              aimed at improving the performance of
                                        Additionally, projects in air quality                    Amendments of 1990, and subsequently                  existing and planned transportation
                                        nonattainment and maintenance areas                      redesignated as an attainment area                    facilities to relieve congestion and
                                        can be included in the first two years of                subject to the requirement to develop a               maximizing the safety and mobility of
                                        the TIP and STIP only if funds are                       maintenance plan under section 175A of                people and goods.
                                        ‘‘available’’ or ‘‘committed.’’                                                                                   Project construction grant agreement
                                                                                                 the Clean Air Act, as amended.
                                           Freight shippers means any business                                                                         means an instrument that defines the
                                                                                                    Management system means a
                                        that routinely transports its products                                                                         scope of a project, the Federal financial
                                                                                                 systematic process, designed to assist
                                        from one location to another by                                                                                contribution, and other terms and
                                                                                                 decisionmakers in selecting cost
                                        providers of freight transportation                                                                            conditions for funding Small Starts
                                                                                                 effective strategies/actions to improve
                                        services or by its own vehicle fleet.                                                                          projects as required by 49 U.S.C.
                                                                                                 the efficiency or safety of, and protect
                                           Full funding grant agreement means                                                                          5309(e)(7).
                                                                                                 the investment in the nation’s                           Project selection means the
                                        an instrument that defines the scope of
                                                                                                 infrastructure. A management system                   procedures followed by MPOs, States,
                                        a project, the Federal financial
                                                                                                 can include: Identification of                        and public transportation operators to
                                        contribution, and other terms and
                                                                                                 performance measures; data collection                 advance projects from the first four
                                        conditions for funding New Starts
                                                                                                 and analysis; determination of needs;                 years of an approved TIP and/or STIP to
                                        projects as required by 49 U.S.C.
                                                                                                 evaluation and selection of appropriate               implementation, in accordance with
                                        5309(d)(1).
                                           Governor means the Governor of any                    strategies/actions to address the needs;              agreed upon procedures.
                                        of the 50 States or the Commonwealth                     and evaluation of the effectiveness of                   Provider of freight transportation
                                        of Puerto Rico or the Mayor of the                       the implemented strategies/actions.                   services means any entity that transports
                                        District of Columbia.                                       Metropolitan planning area (MPA)                   or otherwise facilitates the movement of
                                           Illustrative project means an                         means the geographic area determined                  goods from one location to another for
                                        additional transportation project that                   by agreement between the metropolitan                 others or for itself.
                                        may (but is not required to) be included                 planning organization (MPO) for the                      Public transportation operator means
                                        in a financial plan for a metropolitan                   area and the Governor, in which the                   the public entity which participates in
                                        transportation plan, TIP, or STIP if                     metropolitan transportation planning                  the continuing, cooperative, and
                                        reasonable additional resources were to                  process is carried out.                               comprehensive transportation planning
                                        become available.                                           Metropolitan planning organization                 process in accordance with 23 U.S.C.
                                           Indian Tribal government means a                      (MPO) means the policy board of an                    134 and 135 and 49 U.S.C. 5303 and
                                        duly formed governing body for an                        organization created and designated to                5304, and is the designated recipient of
                                        Indian or Alaska Native tribe, band,                     carry out the metropolitan                            Federal funds under title 49 U.S.C.
                                        nation, pueblo, village, or community                    transportation planning process.                      Chapter 53 for transportation by a
                                        that the Secretary of the Interior                          Metropolitan transportation plan                   conveyance that provides regular and
                                        acknowledges to exist as an Indian Tribe                 means the official multimodal                         continuing general or special
                                        pursuant to the Federally Recognized                     transportation plan addressing no less                transportation to the public, but does
                                        Indian Tribe List Act of 1994, Public                    than a 20-year planning horizon that is               not include school bus, charter, or
                                        Law 103–454.                                             developed, adopted, and updated by the                intercity bus transportation or intercity
                                           Intelligent transportation system (ITS)               MPO through the metropolitan                          passenger rail transportation provided
                                        means electronics, photonics,                            transportation planning process.                      by Amtrak.
                                        communications, or information                              National ambient air quality standard                 Regional ITS architecture means a
                                        processing used singly or in                             (NAAQS) means those standards                         regional framework for ensuring
                                        combination to improve the efficiency                    established pursuant to section 109 of                institutional agreement and technical
                                        or safety of a surface transportation                    the Clean Air Act.                                    integration for the implementation of
                                        system.                                                     Nonattainment area means any                       ITS projects or groups of projects.
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                                           Interim metropolitan transportation                   geographic region of the United States                   Regionally significant project means a
                                        plan means a transportation plan                         that has been designated by the EPA as                transportation project (other than
                                        composed of projects eligible to proceed                 a nonattainment area under section 107                projects that may be grouped in the TIP
                                        under a conformity lapse and otherwise                   of the Clean Air Act for any pollutants               and/or STIP or exempt projects as
                                        meeting all other applicable provisions                  for which an NAAQS exists.                            defined in EPA’s transportation


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                                        conformity regulation (40 CFR part 93))                     Transportation improvement program                 Subpart B—Statewide Transportation
                                        that is on a facility which serves                       (TIP) means a prioritized listing/                    Planning and Programming
                                        regional transportation needs (such as                   program of transportation projects
                                        access to and from the area outside the                  covering a period of four years that is               § 450.200    Purpose.
                                        region; major activity centers in the                    developed and formally adopted by an                     The purpose of this subpart is to
                                        region; major planned developments                       MPO as part of the metropolitan                       implement the provisions of 23 U.S.C.
                                        such as new retail malls, sports                         transportation planning process,                      135 and 49 U.S.C. 5304, as amended,
                                        complexes, or employment centers; or                     consistent with the metropolitan                      which require each State to carry out a
                                        transportation terminals) and would                      transportation plan, and required for                 continuing, cooperative, and
                                        normally be included in the modeling of                  projects to be eligible for funding under             comprehensive statewide multimodal
                                        the metropolitan area’s transportation                   title 23 U.S.C. and title 49 U.S.C.                   transportation planning process,
                                        network. At a minimum, this includes                     Chapter 53.                                           including the development of a long-
                                        all principal arterial highways and all                     Transportation management area                     range statewide transportation plan and
                                        fixed guideway transit facilities that                   (TMA) means an urbanized area with a                  statewide transportation improvement
                                        offer a significant alternative to regional              population over 200,000, as defined by                program (STIP), that facilitates the safe
                                        highway travel.                                          the Bureau of the Census and designated               and efficient management, operation,
                                           Revision means a change to a long-                    by the Secretary of Transportation, or                and development of surface
                                        range statewide or metropolitan                          any additional area where TMA                         transportation systems that will serve
                                        transportation plan, TIP, or STIP that                   designation is requested by the                       the mobility needs of people and freight
                                        occurs between scheduled periodic                        Governor and the MPO and designated                   (including accessible pedestrian
                                        updates. A major revision is an                          by the Secretary of Transportation.                   walkways and bicycle transportation
                                        ‘‘amendment,’’ while a minor revision is                    Unified planning work program                      facilities) and that fosters economic
                                        an ‘‘administrative modification.’’                      (UPWP) means a statement of work                      growth and development within and
                                                                                                 identifying the planning priorities and               between States and urbanized areas,
                                           State means any one of the fifty
                                                                                                 activities to be carried out within a                 while minimizing transportation-related
                                        States, the District of Columbia, or
                                                                                                 metropolitan planning area. At a                      fuel consumption and air pollution in
                                        Puerto Rico.
                                                                                                 minimum, a UPWP includes a                            all areas of the State, including those
                                           State implementation plan (SIP)
                                                                                                 description of the planning work and                  areas subject to the metropolitan
                                        means, as defined in section 302(q) of                                                                         transportation planning requirements of
                                                                                                 resulting products, who will perform
                                        the Clean Air Act (CAA), the portion (or                                                                       23 U.S.C. 134 and 49 U.S.C. 5303.
                                                                                                 the work, time frames for completing
                                        portions) of the implementation plan, or                 the work, the cost of the work, and the
                                        most recent revision thereof, which has                  source(s) of funds.                                   § 450.202    Applicability.
                                        been approved under section 110 of the                      Update means making current a long-                   The provisions of this subpart are
                                        CAA, or promulgated under section                        range statewide transportation plan,                  applicable to States and any other
                                        110(c) of the CAA, or promulgated or                     metropolitan transportation plan, TIP,                organizations or entities (e.g.,
                                        approved pursuant to regulations                         or STIP through a comprehensive                       metropolitan planning organizations
                                        promulgated under section 301(d) of the                  review. Updates require public review                 (MPOs) and public transportation
                                        CAA and which implements the                             and comment, a 20-year horizon year for               operators) that are responsible for
                                        relevant requirements of the CAA.                        metropolitan transportation plans and                 satisfying the requirements for
                                           Statewide transportation                              long-range statewide transportation                   transportation plans and programs
                                        improvement program (STIP) means a                       plans, a four-year program period for                 throughout the State pursuant to 23
                                        statewide prioritized listing/program of                 TIPs and STIPs, demonstration of fiscal               U.S.C. 135 and 49 U.S.C. 5304.
                                        transportation projects covering a period                constraint (except for long-range                     § 450.204    Definitions.
                                        of four years that is consistent with the                statewide transportation plans), and a
                                        long-range statewide transportation                                                                              Except as otherwise provided in
                                                                                                 conformity determination (for                         subpart A of this part, terms defined in
                                        plan, metropolitan transportation plans,                 metropolitan transportation plans and
                                        and TIPs, and required for projects to be                                                                      23 U.S.C. 101(a) and 49 U.S.C. 5302 are
                                                                                                 TIPs in nonattainment and maintenance                 used in this subpart as so defined.
                                        eligible for funding under title 23 U.S.C.               areas).
                                        and title 49 U.S.C. Chapter 53.                             Urbanized area means a geographic                  § 450.206 Scope of the statewide
                                           Strategic highway safety plan means a                 area with a population of 50,000 or                   transportation planning process.
                                        plan developed by the State DOT in                       more, as designated by the Bureau of the                 (a) Each State shall carry out a
                                        accordance with the requirements of 23                   Census.                                               continuing, cooperative, and
                                        U.S.C. 148(a)(6).                                           Users of public transportation means               comprehensive statewide transportation
                                           Transportation control measure                        any person, or groups representing such               planning process that provides for
                                        (TCM) means any measure that is                          persons, who use transportation open to               consideration and implementation of
                                        specifically identified and committed to                 the general public, other than taxis and              projects, strategies, and services that
                                        in the applicable SIP that is either one                 other privately funded and operated                   will address the following factors:
                                        of the types listed in section 108 of the                vehicles.                                                (1) Support the economic vitality of
                                        Clean Air Act or any other measure for                      Visualization techniques means                     the United States, the States,
                                        the purpose of reducing emissions or                     methods used by States and MPOs in                    metropolitan areas, and non-
                                        concentrations of air pollutants from                    the development of transportation plans               metropolitan areas, especially by
                                        transportation sources by reducing                       and programs with the public, elected                 enabling global competitiveness,
                                        vehicle use or changing traffic flow or                  and appointed officials, and other                    productivity, and efficiency;
                                        congestion conditions. Notwithstanding                   stakeholders in a clear and easily                       (2) Increase the safety of the
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                                        the above, vehicle technology-based,                     accessible format such as maps,                       transportation system for motorized and
                                        fuel-based, and maintenance-based                        pictures, and/or displays, to promote                 non-motorized users;
                                        measures that control the emissions                      improved understanding of existing or                    (3) Increase the security of the
                                        from vehicles under fixed traffic                        proposed transportation plans and                     transportation system for motorized and
                                        conditions are not TCMs.                                 programs.                                             non-motorized users;


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                                           (4) Increase accessibility and mobility               information, studies, or analyses                        (g) Preparation of the coordinated
                                        of people and freight;                                   provided by MPOs for portions of the                  public transit-human services
                                           (5) Protect and enhance the                           transportation system located in                      transportation plan, as required by 49
                                        environment, promote energy                              metropolitan planning areas;                          U.S.C. 5310, 5316, and 5317, should be
                                        conservation, improve the quality of                        (2) Coordinate planning carried out                coordinated and consistent with the
                                        life, and promote consistency between                    under this subpart with statewide trade               statewide transportation planning
                                        transportation improvements and State                    and economic development planning                     process.
                                        and local planned growth and economic                    activities and related multistate                        (h) The statewide transportation
                                        development patterns;                                    planning efforts;                                     planning process should be consistent
                                           (6) Enhance the integration and                          (3) Consider the concerns of Federal               with the Strategic Highway Safety Plan,
                                        connectivity of the transportation                       land management agencies that have                    as specified in 23 U.S.C. 148, and other
                                        system, across and between modes                         jurisdiction over land within the                     transit safety and security planning and
                                        throughout the State, for people and                     boundaries of the State;                              review processes, plans, and programs,
                                        freight;                                                    (4) Consider the concerns of local                 as appropriate.
                                           (7) Promote efficient system                          elected and appointed officials with
                                        management and operation; and                                                                                  § 450.210 Interested parties, public
                                                                                                 responsibilities for transportation in                involvement, and consultation.
                                           (8) Emphasize the preservation of the                 non-metropolitan areas;
                                        existing transportation system.                                                                                   (a) In carrying out the statewide
                                                                                                    (5) Consider the concerns of Indian
                                           (b) Consideration of the planning                                                                           transportation planning process,
                                                                                                 Tribal governments that have
                                        factors in paragraph (a) of this section                                                                       including development of the long-
                                                                                                 jurisdiction over land within the
                                        shall be reflected, as appropriate, in the                                                                     range statewide transportation plan and
                                                                                                 boundaries of the State;
                                        statewide transportation planning                                                                              the STIP, the State shall develop and
                                                                                                    (6) Consider related planning
                                        process. The degree of consideration                                                                           use a documented public involvement
                                                                                                 activities being conducted outside of
                                        and analysis of the factors should be                                                                          process that provides opportunities for
                                                                                                 metropolitan planning areas and
                                        based on the scale and complexity of                                                                           public review and comment at key
                                                                                                 between States; and
                                        many issues, including transportation                                                                          decision points.
                                                                                                    (7) Coordinate data collection and                    (1) The State’s public involvement
                                        systems development, land use,                           analyses with MPOs and public
                                        employment, economic development,                                                                              process at a minimum shall:
                                                                                                 transportation operators to support                      (i) Establish early and continuous
                                        human and natural environment, and                       statewide transportation planning and
                                        housing and community development.                                                                             public involvement opportunities that
                                                                                                 programming priorities and decisions.                 provide timely information about
                                           (c) The failure to consider any factor
                                                                                                    (b) The State air quality agency shall             transportation issues and
                                        specified in paragraph (a) of this section
                                                                                                 coordinate with the State department of               decisionmaking processes to citizens,
                                        shall not be reviewable by any court
                                                                                                 transportation (State DOT) to develop                 affected public agencies, representatives
                                        under title 23 U.S.C., 49 U.S.C. Chapter
                                                                                                 the transportation portion of the State               of public transportation employees,
                                        53, subchapter II of title 5 U.S.C.
                                                                                                 Implementation Plan (SIP) consistent                  freight shippers, private providers of
                                        Chapter 5, or title 5 U.S.C Chapter 7 in
                                                                                                 with the Clean Air Act (42 U.S.C. 7401                transportation, representatives of users
                                        any matter affecting a long-range
                                                                                                 et seq.).                                             of public transportation, representatives
                                        statewide transportation plan, STIP,
                                                                                                    (c) Two or more States may enter into              of users of pedestrian walkways and
                                        project or strategy, or the statewide
                                                                                                 agreements or compacts, not in conflict               bicycle transportation facilities,
                                        transportation planning process
                                                                                                 with any law of the United States, for                representatives of the disabled,
                                        findings.
                                           (d) Funds provided under 23 U.S.C.                    cooperative efforts and mutual                        providers of freight transportation
                                        505 and 49 U.S.C. 5305(e) are available                  assistance in support of activities under             services, and other interested parties;
                                        to the State to accomplish activities in                 this subpart related to interstate areas                 (ii) Provide reasonable public access
                                        this subpart. At the State’s option, funds               and localities in the States and                      to technical and policy information
                                        provided under 23 U.S.C. 104(b)(1) and                   establishing authorities the States                   used in the development of the long-
                                        (3) and 105 and 49 U.S.C. 5307 may also                  consider desirable for making the                     range statewide transportation plan and
                                        be used. Statewide transportation                        agreements and compacts effective. The                the STIP;
                                        planning activities performed with                       right to alter, amend, or repeal interstate              (iii) Provide adequate public notice of
                                        funds provided under title 23 U.S.C.                     compacts entered into under this part is              public involvement activities and time
                                        and title 49 U.S.C. Chapter 53 shall be                  expressly reserved.                                   for public review and comment at key
                                        documented in a statewide planning                          (d) States may use any one or more of              decision points, including but not
                                        work program in accordance with the                      the management systems (in whole or in                limited to a reasonable opportunity to
                                        provisions of 23 CFR part 420. The work                  part) described in 23 CFR part 500.                   comment on the proposed long-range
                                        program should include a discussion of                      (e) States may apply asset                         statewide transportation plan and STIP;
                                        the transportation planning priorities                   management principles and techniques                     (iv) To the maximum extent
                                        facing the State.                                        in establishing planning goals, defining              practicable, ensure that public meetings
                                                                                                 STIP priorities, and assessing                        are held at convenient and accessible
                                        § 450.208 Coordination of planning                       transportation investment decisions,                  locations and times;
                                        process activities.                                      including transportation system safety,                  (v) To the maximum extent
                                           (a) In carrying out the statewide                     operations, preservation, and                         practicable, use visualization techniques
                                        transportation planning process, each                    maintenance.                                          to describe the proposed long-range
                                        State shall, at a minimum:                                  (f) The statewide transportation                   statewide transportation plan and
                                           (1) Coordinate planning carried out                   planning process shall (to the maximum                supporting studies;
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                                        under this subpart with the                              extent practicable) be consistent with                   (vi) To the maximum extent
                                        metropolitan transportation planning                     the development of applicable regional                practicable, make public information
                                        activities carried out under subpart C of                intelligent transportation systems (ITS)              available in electronically accessible
                                        this part for metropolitan areas of the                  architectures, as defined in 23 CFR part              format and means, such as the World
                                        State. The State is encouraged to rely on                940.                                                  Wide Web, as appropriate to afford


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                                        reasonable opportunity for                                  (2) The State, at its discretion, shall be         support of, the transportation planning
                                        consideration of public information;                     responsible for determining whether to                process described in this subpart may be
                                           (vii) Demonstrate explicit                            adopt any proposed changes. If a                      incorporated directly or by reference
                                        consideration and response to public                     proposed change is not adopted, the                   into subsequent NEPA documents, in
                                        input during the development of the                      State shall make publicly available its               accordance with 40 CFR 1502.21, if:
                                        long-range statewide transportation plan                 reasons for not accepting the proposed                   (1) The NEPA lead agencies agree that
                                        and STIP;                                                change, including notification to non-                such incorporation will aid in
                                           (viii) Include a process for seeking out              metropolitan local officials or their                 establishing or evaluating the purpose
                                        and considering the needs of those                       associations.                                         and need for the Federal action,
                                        traditionally underserved by existing                       (c) For each area of the State under               reasonable alternatives, cumulative or
                                        transportation systems, such as low-                     the jurisdiction of an Indian Tribal                  other impacts on the human and natural
                                        income and minority households, who                      government, the State shall develop the               environment, or mitigation of these
                                        may face challenges accessing                            long-range statewide transportation plan              impacts; and
                                        employment and other services; and                       and STIP in consultation with the Tribal                 (2) The systems-level, corridor, or
                                           (ix) Provide for the periodic review of               government and the Secretary of                       subarea planning study is conducted
                                        the effectiveness of the public                          Interior. States shall, to the extent                 with:
                                        involvement process to ensure that the                   practicable, develop a documented                        (i) Involvement of interested State,
                                        process provides full and open access to                 process(es) that outlines roles,                      local, Tribal, and Federal agencies;
                                        all interested parties and revise the                    responsibilities, and key decision points                (ii) Public review;
                                        process, as appropriate.                                 for consulting with Indian Tribal                        (iii) Reasonable opportunity to
                                           (2) The State shall provide for public                governments and Federal land                          comment during the statewide
                                        comment on existing and proposed                         management agencies in the                            transportation planning process and
                                        processes for public involvement in the                  development of the long-range statewide               development of the corridor or subarea
                                        development of the long-range statewide                  transportation plan and the STIP.                     planning study;
                                        transportation plan and the STIP. At a                                                                            (iv) Documentation of relevant
                                                                                                 § 450.212 Transportation planning studies             decisions in a form that is identifiable
                                        minimum, the State shall allow 45                        and project development.
                                        calendar days for public review and                                                                            and available for review during the
                                                                                                    (a) Pursuant to section 1308 of the                NEPA scoping process and can be
                                        written comment before the procedures                    Transportation Equity Act for the 21st
                                        and any major revisions to existing                                                                            appended to or referenced in the NEPA
                                                                                                 Century, TEA–21 (Pub. L. 105–178), a                  document; and
                                        procedures are adopted. The State shall                  State(s), MPO(s), or public                              (v) The review of the FHWA and the
                                        provide copies of the approved public                    transportation operator(s) may                        FTA, as appropriate.
                                        involvement process document(s) to the                   undertake a multimodal, systems-level                    (c) By agreement of the NEPA lead
                                        FHWA and the FTA for informational                       corridor or subarea planning study as                 agencies, the above integration may be
                                        purposes.                                                part of the statewide transportation                  accomplished through tiering (as
                                           (b) The State shall provide for non-                  planning process. To the extent                       described in 40 CFR 1502.20),
                                        metropolitan local official participation                practicable, development of these                     incorporating the subarea or corridor
                                        in the development of the long-range                     transportation planning studies shall                 planning study into the draft
                                        statewide transportation plan and the                    involve consultation with, or joint                   Environmental Impact Statement or
                                        STIP. The State shall have a                             efforts among, the State(s), MPO(s), and/             Environmental Assessment, or other
                                        documented process(es) for consulting                    or public transportation operator(s). The             means that the NEPA lead agencies
                                        with non-metropolitan local officials                    results or decisions of these                         deem appropriate. Additional
                                        representing units of general purpose                    transportation planning studies may be                information to further explain the
                                        local government and/or local officials                  used as part of the overall project                   linkages between the transportation
                                        with responsibility for transportation                   development process consistent with                   planning and project development/
                                        that is separate and discrete from the                   the National Environmental Policy Act                 NEPA processes is contained in
                                        public involvement process and                           (NEPA) of 1969 (42 U.S.C. 4321 et seq.)               Appendix A to this part, including an
                                        provides an opportunity for their                        and associated implementing                           explanation that is non-binding
                                        participation in the development of the                  regulations (23 CFR part 771 and 40                   guidance material.
                                        long-range statewide transportation plan                 CFR parts 1500–1508). Specifically,
                                        and the STIP. Although the FHWA and                      these corridor or subarea studies may                 § 450.214 Development and content of the
                                        the FTA shall not review or approve this                 result in producing any of the following
                                                                                                                                                       long-range statewide transportation plan.
                                        consultation process(es), copies of the                  for a proposed transportation project:                   (a) The State shall develop a long-
                                        process document(s) shall be provided                       (1) Purpose and need or goals and                  range statewide transportation plan,
                                        to the FHWA and the FTA for                              objective statement(s);                               with a minimum 20-year forecast period
                                        informational purposes.                                     (2) General travel corridor and/or                 at the time of adoption, that provides for
                                           (1) At least once every five years (as                general mode(s) definition (e.g.,                     the development and implementation of
                                        of February 24, 2006), the State shall                   highway, transit, or a highway/transit                the multimodal transportation system
                                        review and solicit comments from non-                    combination);                                         for the State. The long-range statewide
                                        metropolitan local officials and other                      (3) Preliminary screening of                       transportation plan shall consider and
                                        interested parties for a period of not less              alternatives and elimination of                       include, as applicable, elements and
                                        than 60 calendar days regarding the                      unreasonable alternatives;                            connections between public
                                        effectiveness of the consultation process                   (4) Basic description of the                       transportation, non-motorized modes,
                                        and any proposed changes. A specific                     environmental setting; and/or                         rail, commercial motor vehicle,
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                                        request for comments shall be directed                      (5) Preliminary identification of                  waterway, and aviation facilities,
                                        to the State association of counties,                    environmental impacts and                             particularly with respect to intercity
                                        State municipal league, regional                         environmental mitigation.                             travel.
                                        planning agencies, or directly to non-                      (b) Publicly available documents or                   (b) The long-range statewide
                                        metropolitan local officials.                            other source material produced by, or in              transportation plan should include


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                                        capital, operations and management                       plans to State and Tribal conservation                   (n) The long-range statewide
                                        strategies, investments, procedures, and                 plans or maps, if available, and                      transportation plan shall be published
                                        other measures to ensure the                             comparison of transportation plans to                 or otherwise made available, including
                                        preservation and most efficient use of                   inventories of natural or historic                    (to the maximum extent practicable) in
                                        the existing transportation system. The                  resources, if available.                              electronically accessible formats and
                                        long-range statewide transportation plan                    (j) A long-range statewide                         means, such as the World Wide Web, as
                                        may consider projects and strategies that                transportation plan shall include a                   described in § 450.210(a).
                                        address areas or corridors where current                 discussion of potential environmental                    (o) The State shall continually
                                        or projected congestion threatens the                    mitigation activities and potential areas             evaluate, revise, and periodically update
                                        efficient functioning of key elements of                 to carry out these activities, including              the long-range statewide transportation
                                        the State’s transportation system.                       activities that may have the greatest                 plan, as appropriate, using the
                                           (c) The long-range statewide                          potential to restore and maintain the                 procedures in this section for
                                        transportation plan shall reference,                     environmental functions affected by the               development and establishment of the
                                        summarize, or contain any applicable                     long-range statewide transportation                   long-range statewide transportation
                                        short-range planning studies; strategic                  plan. The discussion may focus on                     plan.
                                        planning and/or policy studies;                          policies, programs, or strategies, rather                (p) Copies of any new or amended
                                        transportation needs studies;                            than at the project level. The discussion             long-range statewide transportation plan
                                        management systems reports;                              shall be developed in consultation with               documents shall be provided to the
                                        emergency relief and disaster                            Federal, State, and Tribal land                       FHWA and the FTA for informational
                                        preparedness plans; and any statements                   management, wildlife, and regulatory                  purposes.
                                        of policies, goals, and objectives on                    agencies. The State may establish
                                        issues (e.g., transportation, safety,                                                                          § 450.216 Development and content of the
                                                                                                 reasonable timeframes for performing                  statewide transportation improvement
                                        economic development, social and                         this consultation.                                    program (STIP).
                                        environmental effects, or energy) that                      (k) In developing and updating the
                                        were relevant to the development of the                                                                           (a) The State shall develop a statewide
                                                                                                 long-range statewide transportation                   transportation improvement program
                                        long-range statewide transportation                      plan, the State shall provide citizens,
                                        plan.                                                                                                          (STIP) for all areas of the State. The
                                                                                                 affected public agencies, representatives             STIP shall cover a period of no less than
                                           (d) The long-range statewide
                                                                                                 of public transportation employees,                   four years and be updated at least every
                                        transportation plan should include a
                                                                                                 freight shippers, private providers of                four years, or more frequently if the
                                        safety element that incorporates or
                                                                                                 transportation, representatives of users              Governor elects a more frequent update
                                        summarizes the priorities, goals,
                                                                                                 of public transportation, representatives             cycle. However, if the STIP covers more
                                        countermeasures, or projects contained
                                                                                                 of users of pedestrian walkways and                   than four years, the FHWA and the FTA
                                        in the Strategic Highway Safety Plan
                                                                                                 bicycle transportation facilities,                    will consider the projects in the
                                        required by 23 U.S.C. 148.
                                           (e) The long-range statewide                          representatives of the disabled,                      additional years as informational. In
                                        transportation plan should include a                     providers of freight transportation                   case of difficulties developing a portion
                                        security element that incorporates or                    services, and other interested parties                of the STIP for a particular area (e.g.,
                                        summarizes the priorities, goals, or                     with a reasonable opportunity to                      metropolitan planning area,
                                        projects set forth in other transit safety               comment on the proposed long-range                    nonattainment or maintenance area, or
                                        and security planning and review                         statewide transportation plan. In                     Indian Tribal lands), a partial STIP
                                        processes, plans, and programs, as                       carrying out these requirements, the                  covering the rest of the State may be
                                        appropriate.                                             State shall, to the maximum extent                    developed.
                                           (f) Within each metropolitan area of                  practicable, utilize the public                          (b) For each metropolitan area in the
                                        the State, the long-range statewide                      involvement process described under                   State, the STIP shall be developed in
                                        transportation plan shall be developed                   § 450.210(a).                                         cooperation with the MPO designated
                                        in cooperation with the affected MPOs.                      (l) The long-range statewide                       for the metropolitan area. Each
                                           (g) For non-metropolitan areas, the                   transportation plan may (but is not                   metropolitan transportation
                                        long-range statewide transportation plan                 required to) include a financial plan that            improvement program (TIP) shall be
                                        shall be developed in consultation with                  demonstrates how the adopted long-                    included without change in the STIP,
                                        affected non-metropolitan officials with                 range statewide transportation plan can               directly or by reference, after approval
                                        responsibility for transportation using                  be implemented, indicates resources                   of the TIP by the MPO and the
                                        the State’s consultation process(es)                     from public and private sources that are              Governor. A metropolitan TIP in a
                                        established under § 450.210(b).                          reasonably expected to be made                        nonattainment or maintenance area is
                                           (h) For each area of the State under                  available to carry out the plan, and                  subject to a FHWA/FTA conformity
                                        the jurisdiction of an Indian Tribal                     recommends any additional financing                   finding before inclusion in the STIP. In
                                        government, the long-range statewide                     strategies for needed projects and                    areas outside a metropolitan planning
                                        transportation plan shall be developed                   programs. In addition, for illustrative               area but within an air quality
                                        in consultation with the Tribal                          purposes, the financial plan may (but is              nonattainment or maintenance area
                                        government and the Secretary of the                      not required to) include additional                   containing any part of a metropolitan
                                        Interior consistent with § 450.210(c).                   projects that would be included in the                area, projects must be included in the
                                           (i) The long-range statewide                          adopted long-range statewide                          regional emissions analysis that
                                        transportation plan shall be developed,                  transportation plan if additional                     supported the conformity determination
                                        as appropriate, in consultation with                     resources beyond those identified in the              of the associated metropolitan TIP
                                        State, Tribal, and local agencies                        financial plan were to become available.              before they are added to the STIP.
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                                        responsible for land use management,                        (m) The State shall not be required to                (c) For each non-metropolitan area in
                                        natural resources, environmental                         select any project from the illustrative              the State, the STIP shall be developed
                                        protection, conservation, and historic                   list of additional projects included in               in consultation with affected non-
                                        preservation. This consultation shall                    the financial plan described in                       metropolitan local officials with
                                        involve comparison of transportation                     paragraph (l) of this section.                        responsibility for transportation using


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                                        the State’s consultation process(es)                     the FHWA or the FTA, as well as all                   State is not required to select any
                                        established under § 450.210.                             regionally significant projects to be                 project from the illustrative list for
                                           (d) For each area of the State under                  funded with non-Federal funds.                        implementation, and projects on the
                                        the jurisdiction of an Indian Tribal                        (i) The STIP shall include for each                illustrative list cannot be advanced to
                                        government, the STIP shall be                            project or phase (e.g., preliminary                   implementation without an action by
                                        developed in consultation with the                       engineering, environment/NEPA, right-                 the FHWA and the FTA on the STIP.
                                        Tribal government and the Secretary of                   of-way, design, or construction) the                  Starting December 11, 2007, revenue
                                        the Interior.                                            following:                                            and cost estimates for the STIP must use
                                           (e) Federal Lands Highway program                        (1) Sufficient descriptive material                an inflation rate(s) to reflect ‘‘year of
                                        TIPs shall be included without change                    (i.e., type of work, termini, and length)             expenditure dollars,’’ based on
                                        in the STIP, directly or by reference,                   to identify the project or phase;                     reasonable financial principles and
                                        once approved by the FHWA pursuant                          (2) Estimated total project cost, or a             information, developed cooperatively by
                                        to 23 U.S.C. 204(a) or (j).                              project cost range, which may extend                  the State, MPOs, and public
                                           (f) The Governor shall provide all                    beyond the four years of the STIP;                    transportation operators.
                                        interested parties with a reasonable                        (3) The amount of Federal funds                       (m) The STIP shall include a project,
                                        opportunity to comment on the                            proposed to be obligated during each                  or an identified phase of a project, only
                                        proposed STIP as required by                             program year (for the first year, this                if full funding can reasonably be
                                        § 450.210(a).                                            includes the proposed category of                     anticipated to be available for the
                                           (g) The STIP shall include capital and                Federal funds and source(s) of non-                   project within the time period
                                        non-capital surface transportation                       Federal funds. For the second, third,                 contemplated for completion of the
                                        projects (or phases of projects) within                  and fourth years, this includes the likely            project. In nonattainment and
                                        the boundaries of the State proposed for                 category or possible categories of                    maintenance areas, projects included in
                                        funding under title 23 U.S.C. and title                  Federal funds and sources of non-                     the first two years of the STIP shall be
                                        49 U.S.C. Chapter 53 (including                          Federal funds); and                                   limited to those for which funds are
                                        transportation enhancements; Federal                        (4) Identification of the agencies                 available or committed. Financial
                                        Lands Highway program projects; safety                   responsible for carrying out the project              constraint of the STIP shall be
                                        projects included in the State’s Strategic               or phase.                                             demonstrated and maintained by year
                                        Highway Safety Plan; trails projects;                       (j) Projects that are not considered to            and shall include sufficient financial
                                        pedestrian walkways; and bicycle                         be of appropriate scale for individual                information to demonstrate which
                                        facilities), except the following that may               identification in a given program year                projects are to be implemented using
                                        (but are not required to) be included:                   may be grouped by function, work type,                current and/or reasonably available
                                           (1) Safety projects funded under 23                   and/or geographic area using the                      revenues, while federally-supported
                                        U.S.C. 402 and 49 U.S.C. 31102;                          applicable classifications under 23 CFR               facilities are being adequately operated
                                           (2) Metropolitan planning projects                    771.117(c) and (d) and/or 40 CFR part                 and maintained. In the case of proposed
                                        funded under 23 U.S.C. 104(f), 49 U.S.C.                 93. In nonattainment and maintenance                  funding sources, strategies for ensuring
                                        5305(d), and 49 U.S.C. 5339;                             areas, project classifications must be                their availability shall be identified in
                                           (3) State planning and research                       consistent with the ‘‘exempt project’’                the financial plan consistent with
                                        projects funded under 23 U.S.C. 505 and                  classifications contained in the EPA’s                paragraph (l) of this section. For
                                        49 U.S.C. 5305(e);                                       transportation conformity regulation (40              purposes of transportation operations
                                           (4) At the State’s discretion, State                  CFR part 93). In addition, projects                   and maintenance, the STIP shall include
                                        planning and research projects funded                    proposed for funding under title 23                   financial information containing
                                        with National Highway System, Surface                    U.S.C. Chapter 2 that are not regionally              system-level estimates of costs and
                                        Transportation Program, and/or Equity                    significant may be grouped in one line                revenue sources that are reasonably
                                        Bonus funds;                                             item or identified individually in the                expected to be available to adequately
                                           (5) Emergency relief projects (except                 STIP.                                                 operate and maintain Federal-aid
                                        those involving substantial functional,                     (k) Each project or project phase                  highways (as defined by 23 U.S.C.
                                        locational, or capacity changes);                        included in the STIP shall be consistent              101(a)(5)) and public transportation (as
                                           (6) National planning and research                    with the long-range statewide                         defined by title 49 U.S.C. Chapter 53).
                                        projects funded under 49 U.S.C. 5314;                    transportation plan developed under                      (n) Projects in any of the first four
                                        and                                                      § 450.214 and, in metropolitan planning               years of the STIP may be advanced in
                                           (7) Project management oversight                      areas, consistent with an approved                    place of another project in the first four
                                        projects funded under 49 U.S.C. 5327.                    metropolitan transportation plan                      years of the STIP, subject to the project
                                           (h) The STIP shall contain all                        developed under § 450.322.                            selection requirements of § 450.220. In
                                        regionally significant projects requiring                   (l) The STIP may include a financial               addition, the STIP may be revised at any
                                        an action by the FHWA or the FTA                         plan that demonstrates how the                        time under procedures agreed to by the
                                        whether or not the projects are to be                    approved STIP can be implemented,                     State, MPO(s), and public transportation
                                        funded with 23 U.S.C. Chapters 1 and                     indicates resources from public and                   operator(s) consistent with the STIP
                                        2 or title 49 U.S.C. Chapter 53 funds                    private sources that are reasonably                   development procedures established in
                                        (e.g., addition of an interchange to the                 expected to be made available to carry                this section, as well as the procedures
                                        Interstate System with State, local, and/                out the STIP, and recommends any                      for participation by interested parties
                                        or private funds, and congressionally                    additional financing strategies for                   (see § 450.210(a)), subject to FHWA/
                                        designated projects not funded under                     needed projects and programs. In                      FTA approval (see § 450.218). Changes
                                        title 23 U.S.C. or title 49 U.S.C. Chapter               addition, for illustrative purposes, the              that affect fiscal constraint must take
                                        53). For informational and conformity                    financial plan may (but is not required               place by amendment of the STIP.
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                                        purposes, the STIP shall include (if                     to) include additional projects that                     (o) In cases that the FHWA and the
                                        appropriate and included in any TIPs)                    would be included in the adopted STIP                 FTA find a STIP to be fiscally
                                        all regionally significant projects                      if reasonable additional resources                    constrained and a revenue source is
                                        proposed to be funded with Federal                       beyond those identified in the financial              subsequently removed or substantially
                                        funds other than those administered by                   plan were to become available. The                    reduced (i.e., by legislative or


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                                        administrative actions), the FHWA and                    meets the requirements of 23 U.S.C. 134                  (b) In metropolitan planning areas,
                                        the FTA will not withdraw the original                   and 135, 49 U.S.C. 5303 and 5304, and                 transportation projects proposed for
                                        determination of fiscal constraint.                      subparts A, B, and C of this part.                    funds administered by the FHWA or the
                                        However, in such cases, the FHWA and                     Approval of the STIP by the FHWA and                  FTA shall be selected from the approved
                                        the FTA will not act on an updated or                    the FTA, in its entirety or in part, will             STIP in accordance with project
                                        amended STIP that does not reflect the                   be based upon the results of this joint               selection procedures provided in
                                        changed revenue situation.                               finding.                                              § 450.330.
                                                                                                    (1) If the FHWA and the FTA                           (c) In non-metropolitan areas,
                                        § 450.218 Self-certifications, Federal                                                                         transportation projects undertaken on
                                                                                                 determine that the STIP or amended
                                        findings, and Federal approvals.
                                                                                                 STIP is based on a statewide                          the National Highway System, under the
                                           (a) At least every four years, the State              transportation planning process that                  Bridge and Interstate Maintenance
                                        shall submit an updated STIP                             meets or substantially meets the                      programs in title 23 U.S.C. and under
                                        concurrently to the FHWA and the FTA                     requirements of 23 U.S.C. 135, 49 U.S.C.              sections 5310, 5311, 5316, and 5317 of
                                        for joint approval. STIP amendments                      5304, and this part, the FHWA and the                 title 49 U.S.C. Chapter 53 shall be
                                        shall also be submitted to the FHWA                      FTA may jointly:                                      selected from the approved STIP by the
                                        and the FTA for joint approval. At the                      (i) Approve the entire STIP;                       State in consultation with the affected
                                        time the entire proposed STIP or STIP                                                                          non-metropolitan local officials with
                                                                                                    (ii) Approve the STIP subject to
                                        amendments are submitted to the                                                                                responsibility for transportation.
                                                                                                 certain corrective actions being taken; or
                                        FHWA and the FTA for joint approval,                                                                              (d) Federal Lands Highway program
                                                                                                    (iii) Under special circumstances,
                                        the State shall certify that the                                                                               projects shall be selected from the
                                                                                                 approve a partial STIP covering only a
                                        transportation planning process is being                                                                       approved STIP in accordance with the
                                                                                                 portion of the State.
                                        carried out in accordance with all                                                                             procedures developed pursuant to 23
                                        applicable requirements of:                                 (2) If the FHWA and the FTA jointly
                                                                                                 determine and document in the                         U.S.C. 204.
                                           (1) 23 U.S.C. 134 and 135, 49 U.S.C.                                                                           (e) The projects in the first year of an
                                        5303 and 5304, and this part;                            planning finding that a submitted STIP
                                                                                                 or amended STIP does not substantially                approved STIP shall constitute an
                                           (2) Title VI of the Civil Rights Act of                                                                     ‘‘agreed to’’ list of projects for
                                        1964, as amended (42 U.S.C. 2000d–1)                     meet the requirements of 23 U.S.C. 135,
                                                                                                 49 U.S.C. 5304, and this part for any                 subsequent scheduling and
                                        and 49 CFR part 21;                                                                                            implementation. No further action
                                           (3) 49 U.S.C. 5332, prohibiting                       identified categories of projects, the
                                                                                                 FHWA and the FTA will not approve                     under paragraphs (b) through (d) of this
                                        discrimination on the basis of race,                                                                           section is required for the implementing
                                        color, creed, national origin, sex, or age               the STIP.
                                                                                                    (c) The approval period for a new or               agency to proceed with these projects. If
                                        in employment or business opportunity;                                                                         Federal funds available are significantly
                                           (4) Section 1101(b) of the SAFETEA–                   amended STIP shall not exceed four
                                                                                                 years. If a State demonstrates, in                    less than the authorized amounts, or
                                        LU (Pub. L. 109–59) and 49 CFR part 26                                                                         where there is significant shifting of
                                        regarding the involvement of                             writing, that extenuating circumstances
                                                                                                 will delay the submittal of a new or                  projects among years, § 450.330(a)
                                        disadvantaged business enterprises in                                                                          provides for a revised list of ‘‘agreed to’’
                                        USDOT funded projects;                                   amended STIP past its update deadline,
                                                                                                 the FHWA and the FTA will consider                    projects to be developed upon the
                                           (5) 23 CFR part 230, regarding                                                                              request of the State, MPO, or public
                                        implementation of an equal                               and take appropriate action on a request
                                                                                                 to extend the approval beyond four                    transportation operator(s). If an
                                        employment opportunity program on                                                                              implementing agency wishes to proceed
                                        Federal and Federal-aid highway                          years for all or part of the STIP for a
                                                                                                 period not to exceed 180 calendar days.               with a project in the second, third, or
                                        construction contracts;                                                                                        fourth year of the STIP, the procedures
                                           (6) The provisions of the Americans                   In these cases, priority consideration
                                                                                                 will be given to projects and strategies              in paragraphs (b) through (d) of this
                                        with Disabilities Act of 1990 (42 U.S.C.
                                                                                                 involving the operation and                           section or expedited procedures that
                                        12101 et seq.) and 49 CFR parts 27, 37,
                                                                                                 management of the multimodal                          provide for the advancement of projects
                                        and 38;
                                                                                                 transportation system. Where the                      from the second, third, or fourth years
                                           (7) In States containing nonattainment
                                                                                                 request involves projects in a                        of the STIP may be used, if agreed to by
                                        and maintenance areas, sections 174
                                                                                                 metropolitan planning area(s), the                    all parties involved in the selection
                                        and 176 (c) and (d) of the Clean Air Act,
                                                                                                 affected MPO(s) must concur in the                    process.
                                        as amended (42 U.S.C. 7504, 7506 (c)
                                        and (d)) and 40 CFR part 93;                             request. If the delay was due to the                  § 450.222 Applicability of NEPA to
                                           (8) The Older Americans Act, as                       development and approval of a                         statewide transportation plans and
                                        amended (42 U.S.C. 6101), prohibiting                    metropolitan TIP(s), the affected MPO(s)              programs.
                                        discrimination on the basis of age in                    must provide supporting information, in                  Any decision by the Secretary
                                        programs or activities receiving Federal                 writing, for the request.                             concerning a long-range statewide
                                        financial assistance;                                       (d) Where necessary in order to                    transportation plan or STIP developed
                                           (9) Section 324 of title 23 U.S.C.,                   maintain or establish highway and                     through the processes provided for in 23
                                        regarding the prohibition of                             transit operations, the FHWA and the                  U.S.C. 135, 49 U.S.C. 5304, and this
                                        discrimination based on gender; and                      FTA may approve operating assistance                  subpart shall not be considered to be a
                                           (10) Section 504 of the Rehabilitation                for specific projects or programs, even               Federal action subject to review under
                                        Act of 1973 (29 U.S.C. 794) and 49 CFR                   though the projects or programs may not               NEPA.
                                        part 27 regarding discrimination against                 be included in an approved STIP.
                                        individuals with disabilities.                                                                                 § 450.224    Phase-in of new requirements.
                                           (b) The FHWA and the FTA shall                        § 450.220    Project selection from the STIP.            (a) Long-range statewide
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                                        review the STIP or the amended STIP,                        (a) Except as provided in § 450.216(g)             transportation plans and STIPs adopted
                                        and make a joint finding on the extent                   and § 450.218(d), only projects in a                  or approved prior to July 1, 2007 may
                                        to which the STIP is based on a                          FHWA/FTA approved STIP shall be                       be developed using the TEA–21
                                        statewide transportation planning                        eligible for funds administered by the                requirements or the provisions and
                                        process that meets or substantially                      FHWA or the FTA.                                      requirements of this part.


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                                           (b) For STIPs that are developed                      § 450.304    Definitions.                             required by 23 U.S.C. 135 and 49 U.S.C.
                                        under TEA–21 requirements prior to                         Except as otherwise provided in                     5304.
                                        July 1, 2007, the FHWA/FTA action                        subpart A of this part, terms defined in                 (e) In carrying out the metropolitan
                                        (i.e., STIP approval) must be completed                  23 U.S.C. 101(a) and 49 U.S.C. 5302 are               transportation planning process, MPOs,
                                        no later than June 30, 2007. For long-                   used in this subpart as so defined.                   States, and public transportation
                                        range statewide transportation plans                                                                           operators may apply asset management
                                        that are completed under TEA–21                          § 450.306 Scope of the metropolitan
                                                                                                 transportation planning process.                      principles and techniques in
                                        requirements prior to July 1, 2007, the                                                                        establishing planning goals, defining
                                        State adoption action must be                               (a) The metropolitan transportation
                                                                                                 planning process shall be continuous,                 TIP priorities, and assessing
                                        completed no later than June 30, 2007.                                                                         transportation investment decisions,
                                        If these actions are completed on or after               cooperative, and comprehensive, and
                                                                                                 provide for consideration and                         including transportation system safety,
                                        July 1, 2007, the provisions and                                                                               operations, preservation, and
                                        requirements of this part shall take                     implementation of projects, strategies,
                                                                                                 and services that will address the                    maintenance, as well as strategies and
                                        effect, regardless of when the long-range                                                                      policies to support homeland security
                                        statewide transportation plan or the                     following factors:
                                                                                                    (1) Support the economic vitality of               and to safeguard the personal security of
                                        STIP were developed.
                                                                                                 the metropolitan area, especially by                  all motorized and non-motorized users.
                                           (c) The applicable action (see
                                        paragraph (b) of this section) on any                    enabling global competitiveness,                         (f) The metropolitan transportation
                                        amendments or updates to STIPs or                        productivity, and efficiency;                         planning process shall (to the maximum
                                        long-range statewide transportation                         (2) Increase the safety of the                     extent practicable) be consistent with
                                        plans on or after July 1, 2007, shall be                 transportation system for motorized and               the development of applicable regional
                                        based on the provisions and                              non-motorized users;                                  intelligent transportation systems (ITS)
                                        requirements of this part. However,                         (3) Increase the security of the                   architectures, as defined in 23 CFR part
                                        administrative modifications may be                      transportation system for motorized and               940.
                                        made to the STIP on or after July 1, 2007                non-motorized users;
                                                                                                    (4) Increase accessibility and mobility               (g) Preparation of the coordinated
                                        in the absence of meeting the provisions                                                                       public transit-human services
                                                                                                 of people and freight;
                                        and requirements of this part.                                                                                 transportation plan, as required by 49
                                                                                                    (5) Protect and enhance the
                                                                                                 environment, promote energy                           U.S.C. 5310, 5316, and 5317, should be
                                        Subpart C—Metropolitan                                                                                         coordinated and consistent with the
                                        Transportation Planning and                              conservation, improve the quality of
                                                                                                 life, and promote consistency between                 metropolitan transportation planning
                                        Programming
                                                                                                 transportation improvements and State                 process.
                                        § 450.300   Purpose.                                     and local planned growth and economic                    (h) The metropolitan transportation
                                           The purposes of this subpart are to                   development patterns;                                 planning process should be consistent
                                        implement the provisions of 23 U.S.C.                       (6) Enhance the integration and                    with the Strategic Highway Safety Plan,
                                        134 and 49 U.S.C. 5303, as amended,                      connectivity of the transportation                    as specified in 23 U.S.C. 148, and other
                                        which:                                                   system, across and between modes, for                 transit safety and security planning and
                                           (a) Sets forth the national policy that               people and freight;                                   review processes, plans, and programs,
                                        the MPO designated for each urbanized                       (7) Promote efficient system                       as appropriate.
                                        area is to carry out a continuing,                       management and operation; and
                                                                                                    (8) Emphasize the preservation of the                 (i) The FHWA and the FTA shall
                                        cooperative, and comprehensive                                                                                 designate as a transportation
                                        multimodal transportation planning                       existing transportation system.
                                                                                                    (b) Consideration of the planning                  management area (TMA) each urbanized
                                        process, including the development of a                                                                        area with a population of over 200,000
                                        metropolitan transportation plan and a                   factors in paragraph (a) of this section
                                                                                                 shall be reflected, as appropriate, in the            individuals, as defined by the Bureau of
                                        transportation improvement program                                                                             the Census. The FHWA and the FTA
                                        (TIP), that encourages and promotes the                  metropolitan transportation planning
                                                                                                 process. The degree of consideration                  shall also designate any additional
                                        safe and efficient development,                                                                                urbanized area as a TMA on the request
                                        management, and operation of surface                     and analysis of the factors should be
                                                                                                 based on the scale and complexity of                  of the Governor and the MPO
                                        transportation systems to serve the                                                                            designated for that area.
                                        mobility needs of people and freight                     many issues, including transportation
                                        (including accessible pedestrian                         system development, land use,                            (j) In an urbanized area not designated
                                        walkways and bicycle transportation                      employment, economic development,                     as a TMA that is an air quality
                                        facilities) and foster economic growth                   human and natural environment, and                    attainment area, the MPO(s) may
                                        and development, while minimizing                        housing and community development.                    propose and submit to the FHWA and
                                        transportation-related fuel consumption                     (c) The failure to consider any factor             the FTA for approval a procedure for
                                        and air pollution; and                                   specified in paragraph (a) of this section            developing an abbreviated metropolitan
                                           (b) Encourages continued                              shall not be reviewable by any court                  transportation plan and TIP. In
                                        development and improvement of                           under title 23 U.S.C., 49 U.S.C. Chapter              developing proposed simplified
                                        metropolitan transportation planning                     53, subchapter II of title 5, U.S.C.                  planning procedures, consideration
                                        processes guided by the planning factors                 Chapter 5, or title 5 U.S.C. Chapter 7 in             shall be given to whether the
                                        set forth in 23 U.S.C. 134(h) and 49                     any matter affecting a metropolitan                   abbreviated metropolitan transportation
                                        U.S.C. 5303(h).                                          transportation plan, TIP, a project or                plan and TIP will achieve the purposes
                                                                                                 strategy, or the certification of a                   of 23 U.S.C. 134, 49 U.S.C. 5303, and
                                        § 450.302   Applicability.                               metropolitan transportation planning                  these regulations, taking into account
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                                          The provisions of this subpart are                     process.                                              the complexity of the transportation
                                        applicable to organizations and entities                    (d) The metropolitan transportation                problems in the area. The simplified
                                        responsible for the transportation                       planning process shall be carried out in              procedures shall be developed by the
                                        planning and programming processes in                    coordination with the statewide                       MPO in cooperation with the State(s)
                                        metropolitan planning areas.                             transportation planning process                       and public transportation operator(s).


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                                        § 450.308 Funding for transportation                       (e) Arrangements may be made with                   to the requirements of paragraph (k) of
                                        planning and unified planning work                       the FHWA and the FTA to combine the                   this section.
                                        programs.                                                UPWP or simplified statement of work                     (e) To the extent possible, only one
                                           (a) Funds provided under 23 U.S.C.                    with the work program(s) for other                    MPO shall be designated for each
                                        104(f), 49 U.S.C. 5305(d), 49 U.S.C.                     Federal planning funds.                               urbanized area or group of contiguous
                                        5307, and 49 U.S.C. 5339 are available                     (f) Administrative requirements for                 urbanized areas. More than one MPO
                                        to MPOs to accomplish activities in this                 UPWPs and simplified statements of                    may be designated to serve an urbanized
                                        subpart. At the State’s option, funds                    work are contained in 23 CFR part 420                 area only if the Governor(s) and the
                                        provided under 23 U.S.C. 104(b)(1) and                   and FTA Circular C8100.1B (Program                    existing MPO, if applicable, determine
                                        (b)(3) and 23 U.S.C. 105 may also be                     Guidance and Application Instructions                 that the size and complexity of the
                                        provided to MPOs for metropolitan                        for Metropolitan Planning Grants).                    urbanized area make designation of
                                        transportation planning. In addition, an                                                                       more than one MPO appropriate. In
                                                                                                 § 450.310 Metropolitan planning                       those cases where two or more MPOs
                                        MPO serving an urbanized area with a                     organization designation and redesignation.
                                        population over 200,000, as designated                                                                         serve the same urbanized area, the
                                        by the Bureau of the Census, may at its                     (a) To carry out the metropolitan                  MPOs shall establish official, written
                                        discretion use funds sub-allocated                       transportation planning process under                 agreements that clearly identify areas of
                                        under 23 U.S.C. 133(d)(3)(E) for                         this subpart, a metropolitan planning                 coordination and the division of
                                        metropolitan transportation planning                     organization (MPO) shall be designated                transportation planning responsibilities
                                        activities.                                              for each urbanized area with a                        among the MPOs.
                                                                                                 population of more than 50,000                           (f) Nothing in this subpart shall be
                                           (b) Metropolitan transportation
                                                                                                 individuals (as determined by the                     deemed to prohibit an MPO from using
                                        planning activities performed with
                                                                                                 Bureau of the Census).                                the staff resources of other agencies,
                                        funds provided under title 23 U.S.C.                        (b) MPO designation shall be made by
                                        and title 49 U.S.C. Chapter 53 shall be                                                                        non-profit organizations, or contractors
                                                                                                 agreement between the Governor and                    to carry out selected elements of the
                                        documented in a unified planning work                    units of general purpose local
                                        program (UPWP) or simplified                                                                                   metropolitan transportation planning
                                                                                                 government that together represent at                 process.
                                        statement of work in accordance with                     least 75 percent of the affected
                                        the provisions of this section and 23                                                                             (g) An MPO designation shall remain
                                                                                                 population (including the largest                     in effect until an official redesignation
                                        CFR part 420.                                            incorporated city, based on population,               has been made in accordance with this
                                           (c) Except as provided in paragraph                   as named by the Bureau of the Census)                 section.
                                        (d) of this section, each MPO, in                        or in accordance with procedures                         (h) An existing MPO may be
                                        cooperation with the State(s) and public                 established by applicable State or local              redesignated only by agreement between
                                        transportation operator(s), shall develop                law.                                                  the Governor and units of general
                                        a UPWP that includes a discussion of                        (c) Each Governor with responsibility              purpose local government that together
                                        the planning priorities facing the MPA.                  for a portion of a multistate                         represent at least 75 percent of the
                                        The UPWP shall identify work proposed                    metropolitan area and the appropriate                 existing metropolitan planning area
                                        for the next one- or two-year period by                  MPOs shall, to the extent practicable,                population (including the largest
                                        major activity and task (including                       provide coordinated transportation                    incorporated city, based on population,
                                        activities that address the planning                     planning for the entire MPA. The                      as named by the Bureau of the Census).
                                        factors in § 450.306(a)), in sufficient                  consent of Congress is granted to any                    (i) Redesignation of an MPO serving a
                                        detail to indicate who (e.g., MPO, State,                two or more States to:                                multistate metropolitan planning area
                                        public transportation operator, local                       (1) Enter into agreements or compacts,             requires agreement between the
                                        government, or consultant) will perform                  not in conflict with any law of the                   Governors of each State served by the
                                        the work, the schedule for completing                    United States, for cooperative efforts                existing MPO and units of general
                                        the work, the resulting products, the                    and mutual assistance in support of                   purpose local government that together
                                        proposed funding by activity/task, and a                 activities authorized under 23 U.S.C.                 represent at least 75 percent of the
                                        summary of the total amounts and                         134 and 49 U.S.C. 5303 as the activities              existing metropolitan planning area
                                        sources of Federal and matching funds.                   pertain to interstate areas and localities            population (including the largest
                                           (d) With the prior approval of the                    within the States; and                                incorporated city, based on population,
                                        State and the FHWA and the FTA, an                          (2) Establish such agencies, joint or              as named by the Bureau of the Census).
                                        MPO in an area not designated as a                       otherwise, as the States may determine                   (j) For the purposes of redesignation,
                                        TMA may prepare a simplified                             desirable for making the agreements and               units of general purpose local
                                        statement of work, in cooperation with                   compacts effective.                                   government may be defined as elected
                                        the State(s) and the public                                 (d) Each MPO that serves a TMA,                    officials from each unit of general
                                        transportation operator(s), in lieu of a                 when designated or redesignated under                 purpose local government located
                                        UPWP. A simplified statement of work                     this section, shall consist of local                  within the metropolitan planning area
                                        would include a description of the                       elected officials, officials of public                served by the existing MPO.
                                        major activities to be performed during                  agencies that administer or operate                      (k) Redesignation of an MPO (in
                                        the next one- or two-year period, who                    major modes of transportation in the                  accordance with the provisions of this
                                        (e.g., State, MPO, public transportation                 metropolitan planning area, and                       section) is required whenever the
                                        operator, local government, or                           appropriate State transportation                      existing MPO proposes to make:
                                        consultant) will perform the work, the                   officials. Where appropriate, MPOs may                   (1) A substantial change in the
                                        resulting products, and a summary of                     increase the representation of local                  proportion of voting members on the
                                        the total amounts and sources of Federal                 elected officials, public transportation              existing MPO representing the largest
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                                        and matching funds. If a simplified                      agencies, or appropriate State officials              incorporated city, other units of general
                                        statement of work is used, it may be                     on their policy boards and other                      purpose local government served by the
                                        submitted as part of the State’s planning                committees as a means for encouraging                 MPO, and the State(s); or
                                        work program, in accordance with 23                      greater involvement in the metropolitan                  (2) A substantial change in the
                                        CFR part 420.                                            transportation planning process, subject              decisionmaking authority or


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                                        responsibility of the MPO, or in                         geography of regional economic                        clearly identified in written agreements
                                        decisionmaking procedures established                    development and growth forecasting                    among the MPO, the State(s), and the
                                        under MPO by-laws.                                       areas.                                                public transportation operator(s) serving
                                          (l) The following changes to an MPO                       (e) Identification of new urbanized                the MPA. To the extent possible, a
                                        do not require a redesignation (as long                  areas within an existing metropolitan                 single agreement between all
                                        as they do not trigger a substantial                     planning area by the Bureau of the                    responsible parties should be
                                        change as described in paragraph (k) of                  Census shall not require redesignation                developed. The written agreement(s)
                                        the section):                                            of the existing MPO.                                  shall include specific provisions for
                                          (1) The identification of a new                           (f) Where the boundaries of the                    cooperatively developing and sharing
                                        urbanized area (as determined by the                     urbanized area or MPA extend across                   information related to the development
                                        Bureau of the Census) within an existing                 two or more States, the Governors with                of financial plans that support the
                                        metropolitan planning area;                              responsibility for a portion of the                   metropolitan transportation plan (see
                                          (2) Adding members to the MPO that                     multistate area, MPO(s), and the public               § 450.322) and the metropolitan TIP (see
                                        represent new units of general purpose                   transportation operator(s) are strongly               § 450.324) and development of the
                                        local government resulting from                          encouraged to coordinate transportation               annual listing of obligated projects (see
                                        expansion of the metropolitan planning                   planning for the entire multistate area.              § 450.332).
                                        area;                                                       (g) The MPA boundaries shall not                      (b) If the MPA does not include the
                                          (3) Adding members to satisfy the                      overlap with each other.                              entire nonattainment or maintenance
                                        specific membership requirements for                        (h) Where part of an urbanized area                area, there shall be a written agreement
                                        an MPO that serves a TMA; or                             served by one MPO extends into an                     among the State department of
                                          (4) Periodic rotation of members                       adjacent MPA, the MPOs shall, at a                    transportation, State air quality agency,
                                        representing units of general-purpose                    minimum, establish written agreements                 affected local agencies, and the MPO
                                        local government, as established under                   that clearly identify areas of                        describing the process for cooperative
                                        MPO by-laws.                                             coordination and the division of                      planning and analysis of all projects
                                                                                                 transportation planning responsibilities              outside the MPA within the
                                        § 450.312 Metropolitan planning area                                                                           nonattainment or maintenance area. The
                                                                                                 among and between the MPOs.
                                        boundaries.
                                                                                                 Alternatively, the MPOs may adjust                    agreement must also indicate how the
                                           (a) The boundaries of a metropolitan                  their existing boundaries so that the                 total transportation-related emissions
                                        planning area (MPA) shall be                             entire urbanized area lies within only                for the nonattainment or maintenance
                                        determined by agreement between the                      one MPA. Boundary adjustments that                    area, including areas outside the MPA,
                                        MPO and the Governor. At a minimum,                      change the composition of the MPO may                 will be treated for the purposes of
                                        the MPA boundaries shall encompass                       require redesignation of one or more                  determining conformity in accordance
                                        the entire existing urbanized area (as                   such MPOs.                                            with the EPA’s transportation
                                        defined by the Bureau of the Census)                        (i) The MPA boundaries shall be                    conformity rule (40 CFR part 93). The
                                        plus the contiguous area expected to                     reviewed after each Census by the MPO                 agreement shall address policy
                                        become urbanized within a 20-year                        (in cooperation with the State and                    mechanisms for resolving conflicts
                                        forecast period for the metropolitan                     public transportation operator(s)) to                 concerning transportation-related
                                        transportation plan. The MPA                             determine if existing MPA boundaries                  emissions that may arise between the
                                        boundaries may be further expanded to                    meet the minimum statutory                            MPA and the portion of the
                                        encompass the entire metropolitan                        requirements for new and updated                      nonattainment or maintenance area
                                        statistical area or combined statistical                 urbanized area(s), and shall be adjusted              outside the MPA.
                                        area, as defined by the Office of                        as necessary. As appropriate, additional                 (c) In nonattainment or maintenance
                                        Management and Budget.                                   adjustments should be made to reflect                 areas, if the MPO is not the designated
                                           (b) An MPO that serves an urbanized                   the most comprehensive boundary to                    agency for air quality planning under
                                        area designated as a nonattainment area                  foster an effective planning process that             section 174 of the Clean Air Act (42
                                        for ozone or carbon monoxide under the                   ensures connectivity between modes,                   U.S.C. 7504), there shall be a written
                                        Clean Air Act (42 U.S.C. 7401 et seq.)                   reduces access disadvantages                          agreement between the MPO and the
                                        as of August 10, 2005, shall retain the                  experienced by modal systems, and                     designated air quality planning agency
                                        MPA boundary that existed on August                      promotes efficient overall transportation             describing their respective roles and
                                        10, 2005. The MPA boundaries for such                    investment strategies.                                responsibilities for air quality related
                                        MPOs may only be adjusted by                                (j) Following MPA boundary approval                transportation planning.
                                        agreement of the Governor and the                        by the MPO and the Governor, the MPA                     (d) If more than one MPO has been
                                        affected MPO in accordance with the                      boundary descriptions shall be provided               designated to serve an urbanized area,
                                        redesignation procedures described in                    for informational purposes to the FHWA                there shall be a written agreement
                                        § 450.310(h). The MPA boundary for an                    and the FTA. The MPA boundary                         among the MPOs, the State(s), and the
                                        MPO that serves an urbanized area                        descriptions shall be submitted either as             public transportation operator(s)
                                        designated as a nonattainment area for                   a geo-spatial database or described in                describing how the metropolitan
                                        ozone or carbon monoxide under the                       sufficient detail to enable the                       transportation planning processes will
                                        Clean Air Act (42 U.S.C. 7401 et seq.)                   boundaries to be accurately delineated                be coordinated to assure the
                                        after August 10, 2005 may be                             on a map.                                             development of consistent metropolitan
                                        established to coincide with the                                                                               transportation plans and TIPs across the
                                        designated boundaries of the ozone and/                  § 450.314 Metropolitan planning                       MPA boundaries, particularly in cases
                                        or carbon monoxide nonattainment area,                   agreements.                                           in which a proposed transportation
                                        in accordance with the requirements in                     (a) The MPO, the State(s), and the                  investment extends across the
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                                        § 450.310(b).                                            public transportation operator(s) shall               boundaries of more than one MPA. If
                                           (c) An MPA boundary may encompass                     cooperatively determine their mutual                  any part of the urbanized area is a
                                        more than one urbanized area.                            responsibilities in carrying out the                  nonattainment or maintenance area, the
                                           (d) MPA boundaries may be                             metropolitan transportation planning                  agreement also shall include State and
                                        established to coincide with the                         process. These responsibilities shall be              local air quality agencies. The


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                                        metropolitan transportation planning                     of pedestrian walkways and bicycle                    process required under the EPA
                                        processes for affected MPOs should, to                   transportation facilities, representatives            transportation conformity regulations
                                        the maximum extent possible, reflect                     of the disabled, and other interested                 (40 CFR part 93), a summary, analysis,
                                        coordinated data collection, analysis,                   parties with reasonable opportunities to              and report on the disposition of
                                        and planning assumptions across the                      be involved in the metropolitan                       comments shall be made as part of the
                                        MPAs. Alternatively, a single                            transportation planning process.                      final metropolitan transportation plan
                                        metropolitan transportation plan and/or                     (1) The participation plan shall be                and TIP.
                                        TIP for the entire urbanized area may be                 developed by the MPO in consultation                     (3) A minimum public comment
                                        developed jointly by the MPOs in                         with all interested parties and shall, at             period of 45 calendar days shall be
                                        cooperation with their respective                        a minimum, describe explicit                          provided before the initial or revised
                                        planning partners. Coordination efforts                  procedures, strategies, and desired                   participation plan is adopted by the
                                        and outcomes shall be documented in                      outcomes for:                                         MPO. Copies of the approved
                                        subsequent transmittals of the UPWP                         (i) Providing adequate public notice of            participation plan shall be provided to
                                        and other planning products, including                   public participation activities and time              the FHWA and the FTA for
                                        the metropolitan transportation plan                     for public review and comment at key                  informational purposes and shall be
                                        and TIP, to the State(s), the FHWA, and                  decision points, including but not                    posted on the World Wide Web, to the
                                        the FTA.                                                 limited to a reasonable opportunity to                maximum extent practicable.
                                           (e) Where the boundaries of the                       comment on the proposed metropolitan                     (b) In developing metropolitan
                                        urbanized area or MPA extend across                      transportation plan and the TIP;                      transportation plans and TIPs, the MPO
                                        two or more States, the Governors with                      (ii) Providing timely notice and                   should consult with agencies and
                                        responsibility for a portion of the                      reasonable access to information about                officials responsible for other planning
                                        multistate area, the appropriate MPO(s),                 transportation issues and processes;                  activities within the MPA that are
                                        and the public transportation operator(s)                   (iii) Employing visualization                      affected by transportation (including
                                        shall coordinate transportation planning                 techniques to describe metropolitan                   State and local planned growth,
                                        for the entire multistate area. States                   transportation plans and TIPs;                        economic development, environmental
                                        involved in such multistate                                 (iv) Making public information                     protection, airport operations, or freight
                                        transportation planning may:                             (technical information and meeting                    movements) or coordinate its planning
                                           (1) Enter into agreements or compacts,                notices) available in electronically                  process (to the maximum extent
                                        not in conflict with any law of the                      accessible formats and means, such as                 practicable) with such planning
                                        United States, for cooperative efforts                   the World Wide Web;                                   activities. In addition, metropolitan
                                        and mutual assistance in support of                         (v) Holding any public meetings at
                                                                                                                                                       transportation plans and TIPs shall be
                                        activities authorized under this section                 convenient and accessible locations and
                                                                                                                                                       developed with due consideration of
                                        as the activities pertain to interstate                  times;
                                                                                                                                                       other related planning activities within
                                        areas and localities within the States;                     (vi) Demonstrating explicit
                                                                                                                                                       the metropolitan area, and the process
                                        and                                                      consideration and response to public
                                                                                                                                                       shall provide for the design and delivery
                                           (2) Establish such agencies, joint or                 input received during the development
                                                                                                                                                       of transportation services within the
                                        otherwise, as the States may determine                   of the metropolitan transportation plan
                                                                                                                                                       area that are provided by:
                                        desirable for making the agreements and                  and the TIP;
                                                                                                    (vii) Seeking out and considering the                 (1) Recipients of assistance under title
                                        compacts effective.                                                                                            49 U.S.C. Chapter 53;
                                           (f) If part of an urbanized area that has             needs of those traditionally underserved
                                                                                                 by existing transportation systems, such                 (2) Governmental agencies and non-
                                        been designated as a TMA overlaps into
                                                                                                 as low-income and minority                            profit organizations (including
                                        an adjacent MPA serving an urbanized
                                                                                                 households, who may face challenges                   representatives of the agencies and
                                        area that is not designated as a TMA, the
                                                                                                 accessing employment and other                        organizations) that receive Federal
                                        adjacent urbanized area shall not be
                                                                                                 services;                                             assistance from a source other than the
                                        treated as a TMA. However, a written
                                                                                                    (viii) Providing an additional                     U.S. Department of Transportation to
                                        agreement shall be established between
                                                                                                 opportunity for public comment, if the                provide non-emergency transportation
                                        the MPOs with MPA boundaries
                                                                                                 final metropolitan transportation plan or             services; and
                                        including a portion of the TMA, which
                                                                                                 TIP differs significantly from the version               (3) Recipients of assistance under 23
                                        clearly identifies the roles and
                                                                                                 that was made available for public                    U.S.C. 204.
                                        responsibilities of each MPO in meeting
                                        specific TMA requirements (e.g.,                         comment by the MPO and raises new                        (c) When the MPA includes Indian
                                        congestion management process,                           material issues which interested parties              Tribal lands, the MPO shall
                                        Surface Transportation Program funds                     could not reasonably have foreseen from               appropriately involve the Indian Tribal
                                        suballocated to the urbanized area over                  the public involvement efforts;                       government(s) in the development of the
                                        200,000 population, and project                             (ix) Coordinating with the statewide               metropolitan transportation plan and
                                        selection).                                              transportation planning public                        the TIP.
                                                                                                 involvement and consultation processes                   (d) When the MPA includes Federal
                                        § 450.316 Interested parties, participation,             under subpart B of this part; and                     public lands, the MPO shall
                                        and consultation.                                           (x) Periodically reviewing the                     appropriately involve the Federal land
                                           (a) The MPO shall develop and use a                   effectiveness of the procedures and                   management agencies in the
                                        documented participation plan that                       strategies contained in the participation             development of the metropolitan
                                        defines a process for providing citizens,                plan to ensure a full and open                        transportation plan and the TIP.
                                        affected public agencies, representatives                participation process.                                   (e) MPOs shall, to the extent
                                        of public transportation employees,                         (2) When significant written and oral              practicable, develop a documented
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                                        freight shippers, providers of freight                   comments are received on the draft                    process(es) that outlines roles,
                                        transportation services, private                         metropolitan transportation plan and                  responsibilities, and key decision points
                                        providers of transportation,                             TIP (including the financial plans) as a              for consulting with other governments
                                        representatives of users of public                       result of the participation process in this           and agencies, as defined in paragraphs
                                        transportation, representatives of users                 section or the interagency consultation               (b), (c), and (d) of this section, which


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                                        may be included in the agreement(s)                      development of the corridor or subarea                acceptable by State and local
                                        developed under § 450.314.                               planning study;                                       transportation officials may vary by type
                                                                                                    (iv) Documentation of relevant                     of transportation facility, geographic
                                        § 450.318 Transportation planning studies                decisions in a form that is identifiable              location (metropolitan area or subarea),
                                        and project development.
                                                                                                 and available for review during the                   and/or time of day. In addition,
                                           (a) Pursuant to section 1308 of the                   NEPA scoping process and can be                       consideration should be given to
                                        Transportation Equity Act for the 21st                   appended to or referenced in the NEPA                 strategies that manage demand, reduce
                                        Century, TEA–21 (Pub. L. 105–178), an                    document; and                                         single occupant vehicle (SOV) travel,
                                        MPO(s), State(s), or public                                 (v) The review of the FHWA and the                 and improve transportation system
                                        transportation operator(s) may                           FTA, as appropriate.                                  management and operations. Where the
                                        undertake a multimodal, systems-level                       (c) By agreement of the NEPA lead                  addition of general purpose lanes is
                                        corridor or subarea planning study as                    agencies, the above integration may be                determined to be an appropriate
                                        part of the metropolitan transportation                  accomplished through tiering (as                      congestion management strategy,
                                        planning process. To the extent                          described in 40 CFR 1502.20),                         explicit consideration is to be given to
                                        practicable, development of these                        incorporating the subarea or corridor                 the incorporation of appropriate features
                                        transportation planning studies shall                    planning study into the draft                         into the SOV project to facilitate future
                                        involve consultation with, or joint                      Environmental Impact Statement (EIS)                  demand management strategies and
                                        efforts among, the MPO(s), State(s), and/                or Environmental Assessment, or other                 operational improvements that will
                                        or public transportation operator(s). The                means that the NEPA lead agencies                     maintain the functional integrity and
                                        results or decisions of these                            deem appropriate.                                     safety of those lanes.
                                        transportation planning studies may be                      (d) For transit fixed guideway projects               (c) The congestion management
                                        used as part of the overall project                      requiring an Alternatives Analysis (49                process shall be developed, established,
                                        development process consistent with                      U.S.C. 5309(d) and (e)), the Alternatives             and implemented as part of the
                                        the National Environmental Policy Act                    Analysis described in 49 CFR part 611                 metropolitan transportation planning
                                        (NEPA) of 1969 (42 U.S.C. 4321 et seq.)                  constitutes the planning required by                  process that includes coordination with
                                        and associated implementing                              section 1308 of the TEA–21. The                       transportation system management and
                                        regulations (23 CFR part 771 and 40                      Alternatives Analysis may or may not be               operations activities. The congestion
                                        CFR parts 1500–1508). Specifically,                      combined with the preparation of a                    management process shall include:
                                        these corridor or subarea studies may                    NEPA document (e.g., a draft EIS).                       (1) Methods to monitor and evaluate
                                        result in producing any of the following                 When an Alternatives Analysis is                      the performance of the multimodal
                                        for a proposed transportation project:                   separate from the preparation of a NEPA               transportation system, identify the
                                           (1) Purpose and need or goals and                     document, the results of the                          causes of recurring and non-recurring
                                        objective statement(s);                                  Alternatives Analysis may be used                     congestion, identify and evaluate
                                           (2) General travel corridor and/or                    during a subsequent environmental                     alternative strategies, provide
                                        general mode(s) definition (e.g.,                        review process as described in                        information supporting the
                                        highway, transit, or a highway/transit                   paragraph (a).                                        implementation of actions, and evaluate
                                        combination);                                               (e) Additional information to further
                                           (3) Preliminary screening of                                                                                the effectiveness of implemented
                                                                                                 explain the linkages between the                      actions;
                                        alternatives and elimination of                          transportation planning and project
                                        unreasonable alternatives;                                                                                        (2) Definition of congestion
                                                                                                 development/NEPA processes is
                                           (4) Basic description of the                                                                                management objectives and appropriate
                                                                                                 contained in Appendix A to this part,
                                        environmental setting; and/or                                                                                  performance measures to assess the
                                                                                                 including an explanation that it is non-
                                           (5) Preliminary identification of                                                                           extent of congestion and support the
                                                                                                 binding guidance material.
                                        environmental impacts and                                                                                      evaluation of the effectiveness of
                                        environmental mitigation.                                § 450.320 Congestion management                       congestion reduction and mobility
                                           (b) Publicly available documents or                   process in transportation management                  enhancement strategies for the
                                        other source material produced by, or in                 areas.                                                movement of people and goods. Since
                                        support of, the transportation planning                     (a) The transportation planning                    levels of acceptable system performance
                                        process described in this subpart may be                 process in a TMA shall address                        may vary among local communities,
                                        incorporated directly or by reference                    congestion management through a                       performance measures should be
                                        into subsequent NEPA documents, in                       process that provides for safe and                    tailored to the specific needs of the area
                                        accordance with 40 CFR 1502.21, if:                      effective integrated management and                   and established cooperatively by the
                                           (1) The NEPA lead agencies agree that                 operation of the multimodal                           State(s), affected MPO(s), and local
                                        such incorporation will aid in                           transportation system, based on a                     officials in consultation with the
                                        establishing or evaluating the purpose                   cooperatively developed and                           operators of major modes of
                                        and need for the Federal action,                         implemented metropolitan-wide                         transportation in the coverage area;
                                        reasonable alternatives, cumulative or                   strategy, of new and existing                            (3) Establishment of a coordinated
                                        other impacts on the human and natural                   transportation facilities eligible for                program for data collection and system
                                        environment, or mitigation of these                      funding under title 23 U.S.C. and title               performance monitoring to define the
                                        impacts; and                                             49 U.S.C. Chapter 53 through the use of               extent and duration of congestion, to
                                           (2) The systems-level, corridor, or                   travel demand reduction and                           contribute in determining the causes of
                                        subarea planning study is conducted                      operational management strategies.                    congestion, and evaluate the efficiency
                                        with:                                                       (b) The development of a congestion                and effectiveness of implemented
                                           (i) Involvement of interested State,                  management process should result in                   actions. To the extent possible, this data
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                                        local, Tribal, and Federal agencies;                     multimodal system performance                         collection program should be
                                           (ii) Public review;                                   measures and strategies that can be                   coordinated with existing data sources
                                           (iii) Reasonable opportunity to                       reflected in the metropolitan                         (including archived operational/ITS
                                        comment during the metropolitan                          transportation plan and the TIP. The                  data) and coordinated with operations
                                        transportation planning process and                      level of system performance deemed                    managers in the metropolitan area;


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                                           (4) Identification and evaluation of                  additional SOV capacity is warranted,                 Copies of any updated or revised
                                        the anticipated performance and                          then the congestion management                        transportation plans must be provided
                                        expected benefits of appropriate                         process shall identify all reasonable                 to the FHWA and the FTA.
                                        congestion management strategies that                    strategies to manage the SOV facility                    (d) In metropolitan areas that are in
                                        will contribute to the more effective use                safely and effectively (or to facilitate its          nonattainment for ozone or carbon
                                        and improved safety of existing and                      management in the future). Other travel               monoxide, the MPO shall coordinate the
                                        future transportation systems based on                   demand reduction and operational                      development of the metropolitan
                                        the established performance measures.                    management strategies appropriate for                 transportation plan with the process for
                                        The following categories of strategies, or               the corridor, but not appropriate for                 developing transportation control
                                        combinations of strategies, are some                     incorporation into the SOV facility                   measures (TCMs) in a State
                                        examples of what should be                               itself, shall also be identified through              Implementation Plan (SIP).
                                        appropriately considered for each area:                  the congestion management process. All                   (e) The MPO, the State(s), and the
                                           (i) Demand management measures,                       identified reasonable travel demand                   public transportation operator(s) shall
                                        including growth management and                          reduction and operational management                  validate data utilized in preparing other
                                        congestion pricing;                                      strategies shall be incorporated into the             existing modal plans for providing input
                                           (ii) Traffic operational improvements;                SOV project or committed to by the                    to the transportation plan. In updating
                                           (iii) Public transportation                           State and MPO for implementation.                     the transportation plan, the MPO shall
                                        improvements;                                               (f) State laws, rules, or regulations              base the update on the latest available
                                           (iv) ITS technologies as related to the               pertaining to congestion management                   estimates and assumptions for
                                        regional ITS architecture; and                           systems or programs may constitute the                population, land use, travel,
                                           (v) Where necessary, additional                       congestion management process, if the                 employment, congestion, and economic
                                        system capacity;                                         FHWA and the FTA find that the State                  activity. The MPO shall approve
                                           (5) Identification of an                              laws, rules, or regulations are consistent            transportation plan contents and
                                        implementation schedule,                                 with, and fulfill the intent of, the                  supporting analyses produced by a
                                        implementation responsibilities, and                     purposes of 23 U.S.C. 134 and 49 U.S.C.               transportation plan update.
                                        possible funding sources for each                        5303.                                                    (f) The metropolitan transportation
                                        strategy (or combination of strategies)                                                                        plan shall, at a minimum, include:
                                        proposed for implementation; and                         § 450.322 Development and content of the                 (1) The projected transportation
                                           (6) Implementation of a process for                   metropolitan transportation plan.                     demand of persons and goods in the
                                        periodic assessment of the effectiveness                    (a) The metropolitan transportation                metropolitan planning area over the
                                        of implemented strategies, in terms of                   planning process shall include the                    period of the transportation plan;
                                        the area’s established performance                       development of a transportation plan                     (2) Existing and proposed
                                        measures. The results of this evaluation                 addressing no less than a 20-year                     transportation facilities (including major
                                        shall be provided to decisionmakers and                  planning horizon as of the effective                  roadways, transit, multimodal and
                                        the public to provide guidance on                        date. In nonattainment and maintenance                intermodal facilities, pedestrian
                                        selection of effective strategies for future             areas, the effective date of the                      walkways and bicycle facilities, and
                                        implementation.                                          transportation plan shall be the date of              intermodal connectors) that should
                                           (d) In a TMA designated as                            a conformity determination issued by                  function as an integrated metropolitan
                                        nonattainment area for ozone or carbon                   the FHWA and the FTA. In attainment                   transportation system, giving emphasis
                                        monoxide pursuant to the Clean Air                       areas, the effective date of the                      to those facilities that serve important
                                        Act, Federal funds may not be                            transportation plan shall be its date of              national and regional transportation
                                        programmed for any project that will                     adoption by the MPO.                                  functions over the period of the
                                        result in a significant increase in the                     (b) The transportation plan shall                  transportation plan. In addition, the
                                        carrying capacity for SOVs (i.e., a new                  include both long-range and short-range               locally preferred alternative selected
                                        general purpose highway on a new                         strategies/actions that lead to the                   from an Alternatives Analysis under the
                                        location or adding general purpose                       development of an integrated                          FTA’s Capital Investment Grant program
                                        lanes, with the exception of safety                      multimodal transportation system to                   (49 U.S.C. 5309 and 49 CFR part 611)
                                        improvements or the elimination of                       facilitate the safe and efficient                     needs to be adopted as part of the
                                        bottlenecks), unless the project is                      movement of people and goods in                       metropolitan transportation plan as a
                                        addressed through a congestion                           addressing current and future                         condition for funding under 49 U.S.C.
                                        management process meeting the                           transportation demand.                                5309;
                                        requirements of this section.                               (c) The MPO shall review and update                   (3) Operational and management
                                           (e) In TMAs designated as                             the transportation plan at least every                strategies to improve the performance of
                                        nonattainment for ozone or carbon                        four years in air quality nonattainment               existing transportation facilities to
                                        monoxide, the congestion management                      and maintenance areas and at least                    relieve vehicular congestion and
                                        process shall provide an appropriate                     every five years in attainment areas to               maximize the safety and mobility of
                                        analysis of reasonable (including                        confirm the transportation plan’s                     people and goods;
                                        multimodal) travel demand reduction                      validity and consistency with current                    (4) Consideration of the results of the
                                        and operational management strategies                    and forecasted transportation and land                congestion management process in
                                        for the corridor in which a project that                 use conditions and trends and to extend               TMAs that meet the requirements of this
                                        will result in a significant increase in                 the forecast period to at least a 20-year             subpart, including the identification of
                                        capacity for SOVs (as described in                       planning horizon. In addition, the MPO                SOV projects that result from a
                                        paragraph (d) of this section) is                        may revise the transportation plan at                 congestion management process in
                                        proposed to be advanced with Federal                     any time using the procedures in this                 TMAs that are nonattainment for ozone
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                                        funds. If the analysis demonstrates that                 section without a requirement to extend               or carbon monoxide;
                                        travel demand reduction and                              the horizon year. The transportation                     (5) Assessment of capital investment
                                        operational management strategies                        plan (and any revisions) shall be                     and other strategies to preserve the
                                        cannot fully satisfy the need for                        approved by the MPO and submitted for                 existing and projected future
                                        additional capacity in the corridor and                  information purposes to the Governor.                 metropolitan transportation


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                                        infrastructure and provide for                           be made available to carry out the                       (1) Comparison of transportation
                                        multimodal capacity increases based on                   transportation plan shall be identified.              plans with State conservation plans or
                                        regional priorities and needs. The                          (iii) The financial plan shall include             maps, if available; or
                                        metropolitan transportation plan may                     recommendations on any additional                        (2) Comparison of transportation
                                        consider projects and strategies that                    financing strategies to fund projects and             plans to inventories of natural or
                                        address areas or corridors where current                 programs included in the metropolitan                 historic resources, if available.
                                        or projected congestion threatens the                    transportation plan. In the case of new                  (h) The metropolitan transportation
                                        efficient functioning of key elements of                 funding sources, strategies for ensuring              plan should include a safety element
                                        the metropolitan area’s transportation                   their availability shall be identified.               that incorporates or summarizes the
                                        system;                                                     (iv) In developing the financial plan,             priorities, goals, countermeasures, or
                                           (6) Design concept and design scope                   the MPO shall take into account all                   projects for the MPA contained in the
                                        descriptions of all existing and                         projects and strategies proposed for                  Strategic Highway Safety Plan required
                                        proposed transportation facilities in                    funding under title 23 U.S.C., title 49               under 23 U.S.C. 148, as well as (as
                                        sufficient detail, regardless of funding                 U.S.C. Chapter 53 or with other Federal               appropriate) emergency relief and
                                        source, in nonattainment and                             funds; State assistance; local sources;               disaster preparedness plans and
                                        maintenance areas for conformity                         and private participation. Starting                   strategies and policies that support
                                        determinations under the EPA’s                           December 11, 2007, revenue and cost                   homeland security (as appropriate) and
                                        transportation conformity rule (40 CFR                   estimates that support the metropolitan               safeguard the personal security of all
                                        part 93). In all areas (regardless of air                transportation plan must use an                       motorized and non-motorized users.
                                        quality designation), all proposed                       inflation rate(s) to reflect ‘‘year of                   (i) The MPO shall provide citizens,
                                        improvements shall be described in                       expenditure dollars,’’ based on                       affected public agencies, representatives
                                        sufficient detail to develop cost                        reasonable financial principles and                   of public transportation employees,
                                        estimates;                                               information, developed cooperatively by               freight shippers, providers of freight
                                           (7) A discussion of types of potential                the MPO, State(s), and public                         transportation services, private
                                        environmental mitigation activities and                  transportation operator(s).                           providers of transportation,
                                        potential areas to carry out these                          (v) For the outer years of the                     representatives of users of public
                                        activities, including activities that may                metropolitan transportation plan (i.e.,               transportation, representatives of users
                                        have the greatest potential to restore and               beyond the first 10 years), the financial             of pedestrian walkways and bicycle
                                        maintain the environmental functions                     plan may reflect aggregate cost ranges/               transportation facilities, representatives
                                        affected by the metropolitan                             cost bands, as long as the future funding             of the disabled, and other interested
                                        transportation plan. The discussion may                  source(s) is reasonably expected to be                parties with a reasonable opportunity to
                                        focus on policies, programs, or                          available to support the projected cost               comment on the transportation plan
                                        strategies, rather than at the project                   ranges/cost bands.                                    using the participation plan developed
                                        level. The discussion shall be developed                    (vi) For nonattainment and                         under § 450.316(a).
                                        in consultation with Federal, State, and                 maintenance areas, the financial plan                    (j) The metropolitan transportation
                                        Tribal land management, wildlife, and                    shall address the specific financial                  plan shall be published or otherwise
                                        regulatory agencies. The MPO may                         strategies required to ensure the                     made readily available by the MPO for
                                        establish reasonable timeframes for                      implementation of TCMs in the                         public review, including (to the
                                        performing this consultation;                            applicable SIP.                                       maximum extent practicable) in
                                           (8) Pedestrian walkway and bicycle                       (vii) For illustrative purposes, the               electronically accessible formats and
                                        transportation facilities in accordance                  financial plan may (but is not required               means, such as the World Wide Web.
                                        with 23 U.S.C. 217(g);                                   to) include additional projects that                     (k) A State or MPO shall not be
                                           (9) Transportation and transit                        would be included in the adopted                      required to select any project from the
                                        enhancement activities, as appropriate;                  transportation plan if additional                     illustrative list of additional projects
                                        and                                                      resources beyond those identified in the              included in the financial plan under
                                           (10) A financial plan that                            financial plan were to become available.              paragraph (f)(10) of this section.
                                        demonstrates how the adopted                                (viii) In cases that the FHWA and the                 (l) In nonattainment and maintenance
                                        transportation plan can be                               FTA find a metropolitan transportation                areas for transportation-related
                                        implemented.                                             plan to be fiscally constrained and a                 pollutants, the MPO, as well as the
                                           (i) For purposes of transportation                    revenue source is subsequently removed                FHWA and the FTA, must make a
                                        system operations and maintenance, the                   or substantially reduced (i.e., by                    conformity determination on any
                                        financial plan shall contain system-level                legislative or administrative actions),               updated or amended transportation plan
                                        estimates of costs and revenue sources                   the FHWA and the FTA will not                         in accordance with the Clean Air Act
                                        that are reasonably expected to be                       withdraw the original determination of                and the EPA transportation conformity
                                        available to adequately operate and                      fiscal constraint; however, in such                   regulations (40 CFR part 93). During a
                                        maintain Federal-aid highways (as                        cases, the FHWA and the FTA will not                  conformity lapse, MPOs can prepare an
                                        defined by 23 U.S.C. 101(a)(5)) and                      act on an updated or amended                          interim metropolitan transportation
                                        public transportation (as defined by title               metropolitan transportation plan that                 plan as a basis for advancing projects
                                        49 U.S.C. Chapter 53).                                   does not reflect the changed revenue                  that are eligible to proceed under a
                                           (ii) For the purpose of developing the                situation.                                            conformity lapse. An interim
                                        metropolitan transportation plan, the                       (g) The MPO shall consult, as                      metropolitan transportation plan
                                        MPO, public transportation operator(s),                  appropriate, with State and local                     consisting of eligible projects from, or
                                        and State shall cooperatively develop                    agencies responsible for land use                     consistent with, the most recent
                                        estimates of funds that will be available                management, natural resources,                        conforming transportation plan and TIP
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                                        to support metropolitan transportation                   environmental protection, conservation,               may proceed immediately without
                                        plan implementation, as required under                   and historic preservation concerning the              revisiting the requirements of this
                                        § 450.314(a). All necessary financial                    development of the transportation plan.               section, subject to interagency
                                        resources from public and private                        The consultation shall involve, as                    consultation defined in 40 CFR part 93.
                                        sources that are reasonably expected to                  appropriate:                                          An interim metropolitan transportation


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                                        plan containing eligible projects that are                  (1) Safety projects funded under 23                   (6) In nonattainment and maintenance
                                        not from, or consistent with, the most                   U.S.C. 402 and 49 U.S.C. 31102;                       areas, included projects shall be
                                        recent conforming transportation plan                       (2) Metropolitan planning projects                 specified in sufficient detail (design
                                        and TIP must meet all the requirements                   funded under 23 U.S.C. 104(f), 49 U.S.C.              concept and scope) for air quality
                                        of this section.                                         5305(d), and 49 U.S.C. 5339;                          analysis in accordance with the EPA
                                                                                                    (3) State planning and research                    transportation conformity regulation (40
                                        § 450.324 Development and content of the                                                                       CFR part 93); and
                                        transportation improvement program (TIP).                projects funded under 23 U.S.C. 505 and
                                                                                                 49 U.S.C. 5305(e);                                       (7) In areas with Americans with
                                           (a) The MPO, in cooperation with the                                                                        Disabilities Act required paratransit and
                                                                                                    (4) At the discretion of the State and
                                        State(s) and any affected public                                                                               key station plans, identification of those
                                                                                                 MPO, State planning and research
                                        transportation operator(s), shall develop                                                                      projects that will implement these
                                                                                                 projects funded with National Highway
                                        a TIP for the metropolitan planning                                                                            plans.
                                                                                                 System, Surface Transportation
                                        area. The TIP shall cover a period of no                                                                          (f) Projects that are not considered to
                                        less than four years, be updated at least                Program, and/or Equity Bonus funds;
                                                                                                    (5) Emergency relief projects (except              be of appropriate scale for individual
                                        every four years, and be approved by the                                                                       identification in a given program year
                                        MPO and the Governor. However, if the                    those involving substantial functional,
                                                                                                 locational, or capacity changes);                     may be grouped by function, work type,
                                        TIP covers more than four years, the                                                                           and/or geographic area using the
                                        FHWA and the FTA will consider the                          (6) National planning and research
                                                                                                 projects funded under 49 U.S.C. 5314;                 applicable classifications under 23 CFR
                                        projects in the additional years as                                                                            771.117(c) and (d) and/or 40 CFR part
                                        informational. The TIP may be updated                    and
                                                                                                                                                       93. In nonattainment and maintenance
                                        more frequently, but the cycle for                          (7) Project management oversight
                                                                                                                                                       areas, project classifications must be
                                        updating the TIP must be compatible                      projects funded under 49 U.S.C. 5327.
                                                                                                                                                       consistent with the ‘‘exempt project’’
                                        with the STIP development and                               (d) The TIP shall contain all
                                                                                                                                                       classifications contained in the EPA
                                        approval process. The TIP expires when                   regionally significant projects requiring
                                                                                                                                                       transportation conformity regulation (40
                                        the FHWA/FTA approval of the STIP                        an action by the FHWA or the FTA
                                                                                                                                                       CFR part 93). In addition, projects
                                        expires. Copies of any updated or                        whether or not the projects are to be
                                                                                                                                                       proposed for funding under title 23
                                        revised TIPs must be provided to the                     funded under title 23 U.S.C. Chapters 1
                                                                                                                                                       U.S.C. Chapter 2 that are not regionally
                                        FHWA and the FTA. In nonattainment                       and 2 or title 49 U.S.C. Chapter 53 (e.g.,            significant may be grouped in one line
                                        and maintenance areas subject to                         addition of an interchange to the                     item or identified individually in the
                                        transportation conformity requirements,                  Interstate System with State, local, and/             TIP.
                                        the FHWA and the FTA, as well as the                     or private funds and congressionally                     (g) Each project or project phase
                                        MPO, must make a conformity                              designated projects not funded under 23               included in the TIP shall be consistent
                                        determination on any updated or                          U.S.C. or 49 U.S.C. Chapter 53). For                  with the approved metropolitan
                                        amended TIP, in accordance with the                      public information and conformity                     transportation plan.
                                        Clean Air Act requirements and the                       purposes, the TIP shall include all                      (h) The TIP shall include a financial
                                        EPA’s transportation conformity                          regionally significant projects proposed              plan that demonstrates how the
                                        regulations (40 CFR part 93).                            to be funded with Federal funds other                 approved TIP can be implemented,
                                           (b) The MPO shall provide all                         than those administered by the FHWA                   indicates resources from public and
                                        interested parties with a reasonable                     or the FTA, as well as all regionally                 private sources that are reasonably
                                        opportunity to comment on the                            significant projects to be funded with                expected to be made available to carry
                                        proposed TIP as required by                              non-Federal funds.                                    out the TIP, and recommends any
                                        § 450.316(a). In addition, in                               (e) The TIP shall include, for each                additional financing strategies for
                                        nonattainment area TMAs, the MPO                         project or phase (e.g., preliminary                   needed projects and programs. In
                                        shall provide at least one formal public                 engineering, environment/NEPA, right-                 developing the TIP, the MPO, State(s),
                                        meeting during the TIP development                       of-way, design, or construction), the                 and public transportation operator(s)
                                        process, which should be addressed                       following:                                            shall cooperatively develop estimates of
                                        through the participation plan described                    (1) Sufficient descriptive material                funds that are reasonably expected to be
                                        in § 450.316(a). In addition, the TIP                    (i.e., type of work, termini, and length)             available to support TIP
                                        shall be published or otherwise made                     to identify the project or phase;                     implementation, in accordance with
                                        readily available by the MPO for public                     (2) Estimated total project cost, which            § 450.314(a). Only projects for which
                                        review, including (to the maximum                        may extend beyond the four years of the               construction or operating funds can
                                        extent practicable) in electronically                    TIP;                                                  reasonably be expected to be available
                                        accessible formats and means, such as                       (3) The amount of Federal funds                    may be included. In the case of new
                                        the World Wide Web, as described in                      proposed to be obligated during each                  funding sources, strategies for ensuring
                                        § 450.316(a).                                            program year for the project or phase                 their availability shall be identified. In
                                           (c) The TIP shall include capital and                 (for the first year, this includes the                developing the financial plan, the MPO
                                        non-capital surface transportation                       proposed category of Federal funds and                shall take into account all projects and
                                        projects (or phases of projects) within                  source(s) of non-Federal funds. For the               strategies funded under title 23 U.S.C.,
                                        the boundaries of the metropolitan                       second, third, and fourth years, this                 title 49 U.S.C. Chapter 53 and other
                                        planning area proposed for funding                       includes the likely category or possible              Federal funds; and regionally significant
                                        under 23 U.S.C. and 49 U.S.C. Chapter                    categories of Federal funds and sources               projects that are not federally funded.
                                        53 (including transportation                             of non-Federal funds);                                For purposes of transportation
                                        enhancements; Federal Lands Highway                         (4) Identification of the agencies                 operations and maintenance, the
                                        program projects; safety projects                        responsible for carrying out the project              financial plan shall contain system-level
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                                        included in the State’s Strategic                        or phase;                                             estimates of costs and revenue sources
                                        Highway Safety Plan; trails projects;                       (5) In nonattainment and maintenance               that are reasonably expected to be
                                        pedestrian walkways; and bicycle                         areas, identification of those projects               available to adequately operate and
                                        facilities), except the following that may               which are identified as TCMs in the                   maintain Federal-aid highways (as
                                        (but are not required to) be included:                   applicable SIP;                                       defined by 23 U.S.C. 101(a)(5)) and


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                                        public transportation (as defined by title               not exceed levels of funding committed                § 450.326    TIP revisions and relationship to
                                        49 U.S.C. Chapter 53). In addition, for                  to the MPA; and                                       the STIP.
                                        illustrative purposes, the financial plan                   (2) The total Federal share of projects               (a) An MPO may revise the TIP at any
                                        may (but is not required to) include                     included in the second, third, fourth,                time under procedures agreed to by the
                                        additional projects that would be                        and/or subsequent years of the TIP may                cooperating parties consistent with the
                                        included in the TIP if reasonable                        not exceed levels of funding committed,               procedures established in this part for
                                        additional resources beyond those                        or reasonably expected to be available,               its development and approval. In
                                        identified in the financial plan were to                 to the MPA.                                           nonattainment or maintenance areas for
                                        become available. Starting [Insert date                     (l) As a management tool for                       transportation-related pollutants, if a
                                        270 days after effective date], revenue                  monitoring progress in implementing                   TIP amendment involves non-exempt
                                        and cost estimates for the TIP must use                  the transportation plan, the TIP should:              projects (per 40 CFR part 93), or is
                                        an inflation rate(s) to reflect ‘‘year of                   (1) Identify the criteria and process for          replaced with an updated TIP, the MPO
                                        expenditure dollars,’’ based on                          prioritizing implementation of                        and the FHWA and the FTA must make
                                        reasonable financial principles and                      transportation plan elements (including               a new conformity determination. In all
                                        information, developed cooperatively by                  multimodal trade-offs) for inclusion in               areas, changes that affect fiscal
                                        the MPO, State(s), and public                            the TIP and any changes in priorities                 constraint must take place by
                                        transportation operator(s).                              from previous TIPs;                                   amendment of the TIP. Public
                                           (i) The TIP shall include a project, or                  (2) List major projects from the                   participation procedures consistent with
                                        a phase of a project, only if full funding               previous TIP that were implemented                    § 450.316(a) shall be utilized in revising
                                        can reasonably be anticipated to be                      and identify any significant delays in                the TIP, except that these procedures are
                                        available for the project within the time                the planned implementation of major                   not required for administrative
                                        period contemplated for completion of                    projects; and                                         modifications.
                                        the project. In nonattainment and                           (3) In nonattainment and maintenance                  (b) After approval by the MPO and the
                                        maintenance areas, projects included in                  areas, describe the progress in                       Governor, the TIP shall be included
                                        the first two years of the TIP shall be                  implementing any required TCMs, in                    without change, directly or by reference,
                                        limited to those for which funds are                     accordance with 40 CFR part 93.                       in the STIP required under 23 U.S.C.
                                        available or committed. For the TIP,                        (m) During a conformity lapse, MPOs
                                                                                                                                                       135. In nonattainment and maintenance
                                        financial constraint shall be                            may prepare an interim TIP as a basis
                                                                                                                                                       areas, a conformity finding on the TIP
                                        demonstrated and maintained by year                      for advancing projects that are eligible
                                                                                                                                                       must be made by the FHWA and the
                                        and shall include sufficient financial                   to proceed under a conformity lapse. An
                                                                                                                                                       FTA before it is included in the STIP.
                                        information to demonstrate which                         interim TIP consisting of eligible
                                                                                                                                                       A copy of the approved TIP shall be
                                        projects are to be implemented using                     projects from, or consistent with, the
                                                                                                                                                       provided to the FHWA and the FTA.
                                        current and/or reasonably available                      most recent conforming metropolitan                      (c) The State shall notify the MPO and
                                        revenues, while federally supported                      transportation plan and TIP may                       Federal land management agencies
                                        facilities are being adequately operated                 proceed immediately without revisiting                when a TIP including projects under the
                                        and maintained. In the case of proposed                  the requirements of this section, subject             jurisdiction of these agencies has been
                                        funding sources, strategies for ensuring                 to interagency consultation defined in                included in the STIP.
                                        their availability shall be identified in                40 CFR part 93. An interim TIP
                                        the financial plan consistent with                       containing eligible projects that are not             § 450.328    TIP action by the FHWA and the
                                        paragraph (h) of this section. In                        from, or consistent with, the most recent             FTA.
                                        nonattainment and maintenance areas,                     conforming transportation plan and TIP                   (a) The FHWA and the FTA shall
                                        the TIP shall give priority to eligible                  must meet all the requirements of this                jointly find that each metropolitan TIP
                                        TCMs identified in the approved SIP in                   section.                                              is consistent with the metropolitan
                                        accordance with the EPA transportation                      (n) Projects in any of the first four              transportation plan produced by the
                                        conformity regulation (40 CFR part 93)                   years of the TIP may be advanced in                   continuing and comprehensive
                                        and shall provide for their timely                       place of another project in the first four            transportation process carried on
                                        implementation.                                          years of the TIP, subject to the project              cooperatively by the MPO(s), the
                                           (j) Procedures or agreements that                     selection requirements of § 450.330. In               State(s), and the public transportation
                                        distribute suballocated Surface                          addition, the TIP may be revised at any               operator(s) in accordance with 23 U.S.C.
                                        Transportation Program funds or funds                    time under procedures agreed to by the                134 and 49 U.S.C. 5303. This finding
                                        under 49 U.S.C. 5307 to individual                       State, MPO(s), and public transportation              shall be based on the self-certification
                                        jurisdictions or modes within the MPA                    operator(s) consistent with the TIP                   statement submitted by the State and
                                        by pre-determined percentages or                         development procedures established in                 MPO under § 450.334, a review of the
                                        formulas are inconsistent with the                       this section, as well as the procedures               metropolitan transportation plan by the
                                        legislative provisions that require the                  for the MPO participation plan (see                   FHWA and the FTA, and upon other
                                        MPO, in cooperation with the State and                   § 450.316(a)) and FHWA/FTA actions                    reviews as deemed necessary by the
                                        the public transportation operator, to                   on the TIP (see § 450.328).                           FHWA and the FTA.
                                        develop a prioritized and financially                       (o) In cases that the FHWA and the                    (b) In nonattainment and maintenance
                                        constrained TIP and shall not be used                    FTA find a TIP to be fiscally constrained             areas, the MPO, as well as the FHWA
                                        unless they can be clearly shown to be                   and a revenue source is subsequently                  and the FTA, shall determine
                                        based on considerations required to be                   removed or substantially reduced (i.e.,               conformity of any updated or amended
                                        addressed as part of the metropolitan                    by legislative or administrative actions),            TIP, in accordance with 40 CFR part 93.
                                        transportation planning process.                         the FHWA and the FTA will not                         After the FHWA and the FTA issue a
                                           (k) For the purpose of including                      withdraw the original determination of                conformity determination on the TIP,
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                                        projects funded under 49 U.S.C. 5309 in                  fiscal constraint. However, in such                   the TIP shall be incorporated, without
                                        a TIP, the following approach shall be                   cases, the FHWA and the FTA will not                  change, into the STIP, directly or by
                                        followed:                                                act on an updated or amended TIP that                 reference.
                                           (1) The total Federal share of projects               does not reflect the changed revenue                     (c) If the metropolitan transportation
                                        included in the first year of the TIP shall              situation.                                            plan has not been updated in


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                                        accordance with the cycles defined in                       (b) In metropolitan areas not                      funds requested in the TIP, the Federal
                                        § 450.322(c), projects may only be                       designated as TMAs, projects to be                    funding that was obligated during the
                                        advanced from a TIP that was approved                    implemented using title 23 U.S.C. funds               preceding year, and the Federal funding
                                        and found to conform (in nonattainment                   (other than Federal Lands Highway                     remaining and available for subsequent
                                        and maintenance areas) prior to                          program projects) or funds under title 49             years.
                                        expiration of the metropolitan                           U.S.C. Chapter 53, shall be selected by                 (c) The listing shall be published or
                                        transportation plan and meets the TIP                    the State and/or the public                           otherwise made available in accordance
                                        update requirements of § 450.324(a).                     transportation operator(s), in                        with the MPO’s public participation
                                        Until the MPO approves (in attainment                    cooperation with the MPO from the                     criteria for the TIP.
                                        areas) or the FHWA/FTA issues a                          approved metropolitan TIP. Federal
                                                                                                                                                       § 450.334 Self-certifications and Federal
                                        conformity determination on (in                          Lands Highway program projects shall                  certifications.
                                        nonattainment and maintenance areas)                     be selected in accordance with
                                                                                                                                                          (a) For all MPAs, concurrent with the
                                        the updated metropolitan transportation                  procedures developed pursuant to 23
                                                                                                                                                       submittal of the entire proposed TIP to
                                        plan, the TIP may not be amended.                        U.S.C. 204.
                                                                                                    (c) In areas designated as TMAs, all 23            the FHWA and the FTA as part of the
                                           (d) In the case of extenuating                                                                              STIP approval, the State and the MPO
                                        circumstances, the FHWA and the FTA                      U.S.C. and 49 U.S.C. Chapter 53 funded
                                                                                                 projects (excluding projects on the                   shall certify at least every four years that
                                        will consider and take appropriate                                                                             the metropolitan transportation
                                        action on requests to extend the STIP                    National Highway System (NHS) and
                                                                                                                                                       planning process is being carried out in
                                        approval period for all or part of the TIP               projects funded under the Bridge,
                                                                                                                                                       accordance with all applicable
                                        in accordance with § 450.218(c).                         Interstate Maintenance, and Federal
                                                                                                                                                       requirements including:
                                           (e) If an illustrative project is included            Lands Highway programs) shall be                         (1) 23 U.S.C. 134, 49 U.S.C. 5303, and
                                        in the TIP, no Federal action may be                     selected by the MPO in consultation                   this subpart;
                                        taken on that project by the FHWA and                    with the State and public transportation                 (2) In nonattainment and maintenance
                                        the FTA until it is formally included in                 operator(s) from the approved TIP and                 areas, sections 174 and 176 (c) and (d)
                                        the financially constrained and                          in accordance with the priorities in the              of the Clean Air Act, as amended (42
                                        conforming metropolitan transportation                   approved TIP. Projects on the NHS and                 U.S.C. 7504, 7506 (c) and (d)) and 40
                                        plan and TIP.                                            projects funded under the Bridge and                  CFR part 93;
                                                                                                 Interstate Maintenance programs shall                    (3) Title VI of the Civil Rights Act of
                                           (f) Where necessary in order to
                                                                                                 be selected by the State in cooperation               1964, as amended (42 U.S.C. 2000d–1)
                                        maintain or establish operations, the
                                                                                                 with the MPO, from the approved TIP.                  and 49 CFR part 21;
                                        FHWA and the FTA may approve
                                                                                                 Federal Lands Highway program                            (4) 49 U.S.C. 5332, prohibiting
                                        highway and transit operating assistance
                                                                                                 projects shall be selected in accordance              discrimination on the basis of race,
                                        for specific projects or programs, even
                                                                                                 with procedures developed pursuant to                 color, creed, national origin, sex, or age
                                        though the projects or programs may not
                                                                                                 23 U.S.C. 204.                                        in employment or business opportunity;
                                        be included in an approved TIP.
                                                                                                    (d) Except as provided in § 450.324(c)                (5) Section 1101(b) of the SAFETEA–
                                        § 450.330   Project selection from the TIP.              and § 450.328(f), projects not included               LU (Pub. L. 109–59) and 49 CFR part 26
                                           (a) Once a TIP that meets the                         in the federally approved STIP shall not              regarding the involvement of
                                        requirements of 23 U.S.C. 134(j), 49                     be eligible for funding with funds under              disadvantaged business enterprises in
                                        U.S.C. 5303(j), and § 450.324 has been                   title 23 U.S.C. or 49 U.S.C. Chapter 53.              USDOT funded projects;
                                                                                                    (e) In nonattainment and maintenance                  (6) 23 CFR part 230, regarding the
                                        developed and approved, the first year
                                                                                                 areas, priority shall be given to the                 implementation of an equal
                                        of the TIP shall constitute an ‘‘agreed
                                                                                                 timely implementation of TCMs                         employment opportunity program on
                                        to’’ list of projects for project selection
                                                                                                 contained in the applicable SIP in                    Federal and Federal-aid highway
                                        purposes and no further project
                                                                                                 accordance with the EPA transportation                construction contracts;
                                        selection action is required for the                                                                              (7) The provisions of the Americans
                                                                                                 conformity regulations (40 CFR part 93).
                                        implementing agency to proceed with                                                                            with Disabilities Act of 1990 (42 U.S.C.
                                        projects, except where the appropriated                  § 450.332    Annual listing of obligated              12101 et seq.) and 49 CFR parts 27, 37,
                                        Federal funds available to the                           projects.
                                                                                                                                                       and 38;
                                        metropolitan planning area are                              (a) In metropolitan planning areas, on                (8) The Older Americans Act, as
                                        significantly less than the authorized                   an annual basis, no later than 90                     amended (42 U.S.C. 6101), prohibiting
                                        amounts or where there are significant                   calendar days following the end of the                discrimination on the basis of age in
                                        shifting of projects between years. In                   program year, the State, public                       programs or activities receiving Federal
                                        this case, a revised ‘‘agreed to’’ list of               transportation operator(s), and the MPO               financial assistance;
                                        projects shall be jointly developed by                   shall cooperatively develop a listing of                 (9) Section 324 of title 23 U.S.C.
                                        the MPO, the State, and the public                       projects (including investments in                    regarding the prohibition of
                                        transportation operator(s) if requested                  pedestrian walkways and bicycle                       discrimination based on gender; and
                                        by the MPO, the State, or the public                     transportation facilities) for which funds               (10) Section 504 of the Rehabilitation
                                        transportation operator(s). If the State or              under 23 U.S.C. or 49 U.S.C. Chapter 53               Act of 1973 (29 U.S.C. 794) and 49 CFR
                                        public transportation operator(s) wishes                 were obligated in the preceding program               part 27 regarding discrimination against
                                        to proceed with a project in the second,                 year.                                                 individuals with disabilities.
                                        third, or fourth year of the TIP, the                       (b) The listing shall be prepared in                  (b) In TMAs, the FHWA and the FTA
                                        specific project selection procedures                    accordance with § 450.314(a) and shall                jointly shall review and evaluate the
                                        stated in paragraphs (b) and (c) of this                 include all federally funded projects                 transportation planning process for each
                                        section must be used unless the MPO,                     authorized or revised to increase                     TMA no less than once every four years
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                                        the State, and the public transportation                 obligations in the preceding program                  to determine if the process meets the
                                        operator(s) jointly develop expedited                    year, and shall at a minimum include                  requirements of applicable provisions of
                                        project selection procedures to provide                  the TIP information under                             Federal law and this subpart.
                                        for the advancement of projects from the                 § 450.324(e)(1) and (4) and identify, for                (1) After review and evaluation of the
                                        second, third, or fourth years of the TIP.               each project, the amount of Federal                   TMA planning process, the FHWA and


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                                        FTA shall take one of the following                      U.S.C. 134, 49 U.S.C. 5303, and this                  must flow from metropolitan and statewide
                                        actions:                                                 subpart shall not be considered to be a               transportation planning processes (pursuant
                                           (i) If the process meets the                          Federal action subject to review under                to 23 U.S.C. 134–135 and 49 U.S.C. 5303–
                                        requirements of this part and a TIP has                                                                        5306). Over the years, the Congress has
                                                                                                 NEPA.
                                                                                                                                                       refined and strengthened the transportation
                                        been approved by the MPO and the                                                                               planning process as the foundation for
                                                                                                 § 450.338    Phase-in of new requirements.
                                        Governor, jointly certify the                                                                                  project decisions, emphasizing public
                                        transportation planning process;                            (a) Metropolitan transportation plans
                                                                                                                                                       involvement, consideration of environmental
                                           (ii) If the process substantially meets               and TIPs adopted or approved prior to                 and other factors, and a Federal role that
                                        the requirements of this part and a TIP                  July 1, 2007 may be developed using the               oversees the transportation planning process
                                        has been approved by the MPO and the                     TEA–21 requirements or the provisions                 but does not second-guess the content of
                                        Governor, jointly certify the                            and requirements of this part.                        transportation plans and programs.
                                        transportation planning process subject                     (b) For metropolitan transportation                   Despite this statutory emphasis on
                                        to certain specified corrective actions                  plans and TIPs that are developed under               transportation planning, the environmental
                                                                                                 TEA–21 requirements prior to July 1,                  analyses produced to meet the requirements
                                        being taken; or                                                                                                of the NEPA of 1969 (42 U.S.C. 4231 et seq.)
                                           (iii) If the process does not meet the                2007, the FHWA/FTA action (i.e.,
                                                                                                 conformity determinations and STIP                    have often been conducted de novo,
                                        requirements of this part, jointly certify                                                                     disconnected from the analyses used to
                                        the planning process as the basis for                    approvals) must be completed no later                 develop long-range transportation plans,
                                        approval of only those categories of                     than June 30, 2007. For metropolitan                  statewide and metropolitan Transportation
                                        programs or projects that the FHWA and                   transportation plans in attainment areas              Improvement Programs (STIPs/TIPs), or
                                        the FTA jointly determine, subject to                    that are developed under TEA–21                       planning-level corridor/subarea/feasibility
                                        certain specified corrective actions                     requirements prior to July 1, 2007, the               studies. When the NEPA and transportation
                                        being taken.                                             MPO adoption action must be                           planning processes are not well coordinated,
                                                                                                 completed no later than June 30, 2007.                the NEPA process may lead to the
                                           (2) If, upon the review and evaluation                                                                      development of information that is more
                                        conducted under paragraph (b)(1)(iii) of                 If these actions are completed on or after
                                                                                                 July 1, 2007, the provisions and                      appropriately developed in the planning
                                        this section, the FHWA and the FTA do                                                                          process, resulting in duplication of work and
                                        not certify the transportation planning                  requirements of this part shall take
                                                                                                                                                       delays in transportation improvements.
                                        process in a TMA, the Secretary may                      effect, regardless of when the                           The purpose of this Appendix is to change
                                        withhold up to 20 percent of the funds                   metropolitan transportation plan or TIP               this culture, by supporting congressional
                                        attributable to the metropolitan                         were developed.                                       intent that statewide and metropolitan
                                                                                                    (c) On and after July 1, 2007, the                 transportation planning should be the
                                        planning area of the MPO for projects
                                                                                                 FHWA and the FTA will take action on                  foundation for highway and transit project
                                        funded under title 23 U.S.C. and title 49
                                                                                                 a new TIP developed under the                         decisions. This Appendix was crafted to
                                        U.S.C. Chapter 53 in addition to                                                                               recognize that transportation planning
                                                                                                 provisions of this part, even if the MPO
                                        corrective actions and funding                                                                                 processes vary across the country. This
                                                                                                 has not yet adopted a new metropolitan
                                        restrictions. The withheld funds shall be                                                                      document provides details on how
                                                                                                 transportation plan under the provisions
                                        restored to the MPA when the                                                                                   information, analysis, and products from
                                                                                                 of this part, as long as the underlying
                                        metropolitan transportation planning                                                                           transportation planning can be incorporated
                                                                                                 transportation planning process is                    into and relied upon in NEPA documents
                                        process is certified by the FHWA and
                                                                                                 consistent with the requirements in the               under existing laws, regardless of when the
                                        FTA, unless the funds have lapsed.
                                                                                                 SAFETEA–LU.                                           Notice of Intent has been published. This
                                           (3) A certification of the TMA
                                                                                                    (d) The applicable action (see                     Appendix presents environmental review as
                                        planning process will remain in effect
                                                                                                 paragraph (b) of this section) on any                 a continuum of sequential study, refinement,
                                        for four years unless a new certification
                                                                                                 amendments or updates to metropolitan                 and expansion performed in transportation
                                        determination is made sooner by the                                                                            planning and during project development/
                                                                                                 transportation plans and TIPs on or after
                                        FHWA and the FTA or a shorter term is                                                                          NEPA, with information developed and
                                                                                                 July 1, 2007, shall be based on the
                                        specified in the certification report.                                                                         conclusions drawn in early stages utilized in
                                                                                                 provisions and requirements of this
                                           (4) In conducting a certification                                                                           subsequent (and more detailed) review
                                                                                                 part. However, administrative
                                        review, the FHWA and the FTA shall                                                                             stages.
                                                                                                 modifications may be made to the                         The information below is intended for use
                                        provide opportunities for public
                                                                                                 metropolitan transportation plan or TIP               by State departments of transportation (State
                                        involvement within the metropolitan
                                                                                                 on or after July 1, 2007 in the absence               DOTs), metropolitan planning organizations
                                        planning area under review. The FHWA
                                                                                                 of meeting the provisions and                         (MPOs), and public transportation operators
                                        and the FTA shall consider the public
                                                                                                 requirements of this part.                            to clarify the circumstances under which
                                        input received in arriving at a decision                    (e) For new TMAs, the congestion                   transportation planning level choices and
                                        on a certification action.                               management process described in                       analyses can be adopted or incorporated into
                                           (5) The MPO(s), the State(s), and                                                                           the process required by NEPA. Additionally,
                                                                                                 § 450.320 shall be implemented within
                                        public transportation operator(s) shall                                                                        the FHWA and the FTA will work with
                                                                                                 18 months of the designation of a new
                                        be notified of the actions taken under                                                                         Federal environmental, regulatory, and
                                                                                                 TMA.
                                        paragraphs (b)(1) and (b)(2) of this                                                                           resource agencies to incorporate the
                                        section. The FHWA and the FTA will                       Appendix A to Part 450—Linking the                    principles of this Appendix in their day-to-
                                        update the certification status of the                   Transportation Planning and NEPA                      day NEPA policies and procedures related to
                                        TMA when evidence of satisfactory                        Processes                                             their involvement in highway and transit
                                                                                                                                                       projects.
                                        completion of a corrective action(s) is                  Background and Overview:                                 This Appendix does not extend NEPA
                                        provided to the FHWA and the FTA.                                                                              requirements to transportation plans and
                                                                                                    This Appendix provides additional
                                        § 450.336 Applicability of NEPA to                       information to explain the linkage between            programs. The Transportation Efficiency Act
                                        metropolitan transportation plans and                    the transportation planning and project               for the 21st Century (TEA–21) and the Safe,
                                                                                                 development/National Environmental Policy             Accountable, Flexible, Efficient
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                                        programs.
                                                                                                 Act (NEPA) processes. It is intended to be            Transportation Equity Act: A Legacy for
                                           Any decision by the Secretary                         non-binding and should not be construed as            Users (SAFETEA–LU) specifically exempted
                                        concerning a metropolitan                                a rule of general applicability.                      transportation plans and programs from
                                        transportation plan or TIP developed                        For 40 years, the Congress has directed that       NEPA review. Therefore, initiating the NEPA
                                        through the processes provided for in 23                 federally-funded highway and transit projects         process as part of, or concurrently with, a



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                                        transportation planning study does not                   on Environmental Quality (CEQ). To the                by the lead agency unless the invited agency
                                        subject transportation plans and programs to             extent the information incorporated from the          informs the lead agency, in writing, by the
                                        NEPA.                                                    transportation planning process, standing             deadline specified in the invitation that the
                                           Implementation of this Appendix by                    alone, does not contain all of the information        invited agency:
                                        States, MPOs, and public transportation                  or analysis required by NEPA, then it will               (a) Has no jurisdiction or authority with
                                        operators is voluntary. The degree to which              need to be supplemented by other                      respect to the project; (b) has no expertise or
                                        studies, analyses, or conclusions from the               information contained in the EIS or EA that           information relevant to the project; and (c)
                                        transportation planning process can be                   would, in conjunction with the information            does not intend to submit comments on the
                                        incorporated into the project development/               from the plan, collectively meet the                  project.
                                        NEPA processes will depend upon how well                 requirements of NEPA. The intent is not to               Past successful examples of using
                                        they meet certain standards established by               require NEPA studies in the transportation            transportation planning products in NEPA
                                        NEPA regulations and guidance. While some                planning process. As an option, the NEPA              analysis are based on early and continuous
                                        transportation planning processes already                analyses prepared for project development             involvement of environmental, regulatory,
                                        meet these standards, others will need some              can be integrated with transportation                 and resource agencies. Without this early
                                        modification.                                            planning studies (see the response to                 coordination, environmental, regulatory, and
                                           The remainder of this Appendix document               Question 9 for additional information).               resource agencies are more likely to expect
                                        utilizes a ‘‘Question and Answer’’ format,                  3. What type and extent of involvement             decisions made or analyses conducted in the
                                        organized into three primary categories                  from Federal, Tribal, State, and local                transportation planning process to be
                                        (‘‘Procedural Issues,’’ ‘‘Substantive Issues,’’          environmental, regulatory, and resource               revisited during the NEPA process. Early
                                        and ‘‘Administrative Issues’’).                          agencies is needed in the transportation              participation in transportation planning
                                                                                                 planning process in order for planning-level          provides environmental, regulatory, and
                                        I. Procedural Issues:
                                                                                                 decisions to be more readily accepted in the          resource agencies better insight into the
                                           1. In what format should the transportation           NEPA process?                                         needs and objectives of the locality.
                                        planning information be included?                           Sections 3005, 3006, and 6001 of the               Additionally, early participation provides an
                                           To be included in the NEPA process, work              SAFETEA–LU established formal                         important opportunity for environmental,
                                        from the transportation planning process                 consultation requirements for MPOs and                regulatory, and resource agency concerns to
                                        must be documented in a form that can be                                                                       be identified and addressed early in the
                                                                                                 State DOTs to employ with environmental,
                                        appended to the NEPA document or                                                                               process, such as those related to permit
                                                                                                 regulatory, and resource agencies in the
                                        incorporated by reference. Documents may                                                                       applications. Moreover, Federal, Tribal,
                                                                                                 development of long-range transportation
                                        be incorporated by reference if they are                                                                       State, and local environmental, regulatory,
                                                                                                 plans. For example, metropolitan
                                        readily available so as to not impede agency                                                                   and resource agencies are able to share data
                                                                                                 transportation plans now ‘‘shall include a
                                        or public review of the action. Any document                                                                   on particular resources, which can play a
                                                                                                 discussion of the types of potential
                                        incorporated by reference must be                                                                              critical role in determining the feasibility of
                                                                                                 environmental mitigation activities and
                                        ‘‘reasonably available for inspection by                                                                       a transportation solution with respect to
                                                                                                 potential areas to carry out these activities,
                                        potentially interested persons within the                                                                      environmental impacts. The use of other
                                                                                                 including activities that may have the
                                        time allowed for comment.’’ Incorporated                                                                       agency planning outputs can result in a
                                        materials must be cited in the NEPA                      greatest potential to restore and maintain the
                                                                                                                                                       transportation project that could support
                                        document and their contents briefly                      environmental functions affected by the               multiple goals (transportation,
                                        described, so that the reader understands                [transportation] plan,’’ and that these               environmental, and community). Further,
                                        why the document is cited and knows where                planning-level discussions ‘‘shall be                 planning decisions by these other agencies
                                        to look for further information. To the extent           developed in consultation with Federal,               may have impacts on long-range
                                        possible, the documentation should be in a               State, and Tribal land management, wildlife,          transportation plans and/or the STIP/TIP,
                                        form such as official actions by the MPO,                and regulatory agencies.’’ In addition, MPOs          thereby providing important input to the
                                        State DOT, or public transportation operator             ‘‘shall consult, as appropriate, with State and       transportation planning process and
                                        and/or correspondence within and among the               local agencies responsible for land use               advancing integrated decision-making.
                                        organizations involved in the transportation             management, natural resources,                           4. What is the procedure for using
                                        planning process.                                        environmental protection, conservation, and           decisions or analyses from the transportation
                                           2. What is a reasonable level of detail for           historic preservation concerning the                  planning process?
                                        a planning product that is intended to be                development of a long-range transportation               The lead agencies jointly decide, and must
                                        used in a NEPA document? How does this                   plan,’’ and that this consultation ‘‘shall            agree, on what processes and consultation
                                        level of detail compare to what is considered            involve, as appropriate, comparison of                techniques are used to determine the
                                        a full NEPA analysis?                                    transportation plans with State conservation          transportation planning products that will be
                                           For purposes of transportation planning               plans or maps, if available, or comparison of         incorporated into the NEPA process. At a
                                        alone, a planning-level analysis does not                transportation plans to inventories of natural        minimum, a robust scoping/early
                                        need to rise to the level of detail required in          or historic resources, if available.’’ Similar        coordination process (which explains to
                                        the NEPA process. Rather, it needs to be                 SAFETEA–LU language addresses the                     Federal and State environmental, regulatory,
                                        accurate and up-to-date, and should                      development of the long-range statewide               and resource agencies and the public the
                                        adequately support recommended                           transportation plan, with the addition of             information and/or analyses utilized to
                                        improvements in the statewide or                         Tribal conservation plans or maps to this             develop the planning products, how the
                                        metropolitan long-range transportation plan.             planning-level ‘‘comparison.’’                        purpose and need was developed and
                                        The SAFETEA–LU requires transportation                      In addition, section 6002 of the SAFETEA–          refined, and how the design concept and
                                        planning processes to focus on setting a                 LU established several mechanisms for                 scope were determined) should play a critical
                                        context and following acceptable procedures.             increased efficiency in environmental                 role in leading to informed decisions by the
                                        For example, the SAFETEA–LU requires a                   reviews for project decision-making. For              lead agencies on the suitability of the
                                        ‘‘discussion of the types of potential                   example, the term ‘‘lead agency’’ collectively        transportation planning information,
                                        environmental mitigation activities’’ and                means the U. S. Department of                         analyses, documents, and decisions for use in
                                        potential areas for their implementation,                Transportation and a State or local                   the NEPA process. As part of a rigorous
                                        rather than details on specific strategies. The          governmental entity serving as a joint lead           scoping/early coordination process, the
                                        SAFETEA–LU also emphasizes consultation                  agency for the NEPA process. In addition, the         FHWA and the FTA should ensure that the
                                        with Federal, State, and Tribal land                     lead agency is responsible for inviting and           transportation planning results are
                                        management, wildlife, and regulatory                     designating ‘‘participating agencies’’ (i.e.,         appropriately documented, shared, and used.
                                        agencies.                                                other Federal or non-Federal agencies that               5. To what extent can the FHWA/FTA
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                                           However, the Environmental Assessment                 may have an interest in the proposed                  provide up-front assurance that decisions
                                        (EA) or Environmental Impact Statement                   project). Any Federal agency that is invited          and additional investments made in the
                                        (EIS) ultimately will be judged by the                   by the lead agency to participate in the              transportation planning process will allow
                                        standards applicable under the NEPA                      environmental review process for a project            planning-level decisions and analyses to be
                                        regulations and guidance from the Council                shall be designated as a participating agency         used in the NEPA process?



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                                           There are no guarantees. However, the                    7. What should be considered in order to           process, shall provide an opportunity for
                                        potential is greatly improved for                        rely upon transportation planning studies in          involvement by participating agencies and
                                        transportation planning processes that                   NEPA?                                                 the public in defining the purpose and need
                                        address the ‘‘3–C’’ planning principles                     The following questions should be                  for a project. The statement of purpose and
                                        (comprehensive, cooperative, and                         answered prior to accepting studies                   need shall include a clear statement of the
                                        continuous); incorporate the intent of NEPA              conducted during the transportation                   objectives that the proposed action is
                                        through the consideration of natural,                    planning process for use in NEPA. While not           intended to achieve, which may include: (a)
                                        physical, and social effects; involve                    a ‘‘checklist,’’ these questions are intended to      Achieving a transportation objective
                                        environmental, regulatory, and resource                  guide the practitioner’s analysis of the              identified in an applicable statewide or
                                        agencies; thoroughly document the                        planning products:                                    metropolitan transportation plan; (b)
                                        transportation planning process information,                • How much time has passed since the               supporting land use, economic development,
                                        analysis, and decision; and vet the planning             planning studies and corresponding                    or growth objectives established in applicable
                                        results through the applicable public                    decisions were made?                                  Federal, State, local, or Tribal plans; and (c)
                                        involvement processes.                                      • Were the future year policy assumptions          serving national defense, national security, or
                                                                                                 used in the transportation planning process           other national objectives, as established in
                                           6. What considerations will the FHWA/
                                                                                                 related to land use, economic development,            Federal laws, plans, or policies.
                                        FTA take into account in their review of
                                                                                                 transportation costs, and network expansion              The transportation planning process can be
                                        transportation planning products for
                                                                                                 consistent with those to be used in the NEPA          utilized to develop the purpose and need in
                                        acceptance in project development/NEPA?                  process?                                              the following ways:
                                           The FHWA and the FTA will give                           • Is the information still relevant/valid?            (a) Goals and objectives from the
                                        deference to decisions resulting from the                   • What changes have occurred in the area           transportation planning process may be part
                                        transportation planning process if the FHWA              since the study was completed?                        of the project’s purpose and need statement;
                                        and FTA determine that the planning process                 • Is the information in a format that can be          (b) A general travel corridor or general
                                        is consistent with the ‘‘3–C’’ planning                  appended to an environmental document or              mode or modes (e.g., highway, transit, or a
                                        principles and when the planning study                   reformatted to do so?                                 highway/transit combination) resulting from
                                        process, alternatives considered, and                       • Are the analyses in a planning-level             planning analyses may be part of the project’s
                                        resulting decisions have a rational basis that           report or document based on data, analytical          purpose and need statement;
                                        is thoroughly documented and vetted                      methods, and modeling techniques that are                (c) If the financial plan for a metropolitan
                                        through the applicable public involvement                reliable, defensible, and consistent with             transportation plan indicates that funding for
                                        processes. Moreover, any applicable                      those used in other regional transportation           a specific project will require special funding
                                        program-specific requirements (e.g., those of            studies and project development activities?           sources (e.g., tolls or public-private
                                        the Congestion Mitigation and Air Quality                   • Were the FHWA and FTA, other                     financing), such information may be
                                        Improvement Program or the FTA’s Capital                 agencies, and the public involved in the              included in the purpose and need statement;
                                        Investment Grant program) also must be met.              relevant planning analysis and the                    or
                                           The NEPA requires that the FHWA and the               corresponding planning decisions?                        (d) The results of analyses from
                                        FTA be able to stand behind the overall                     • Were the planning products available to          management systems (e.g., congestion,
                                        soundness and credibility of analyses                    other agencies and the public during NEPA             pavement, bridge, and/or safety) may shape
                                        conducted and decisions made during the                  scoping?                                              the purpose and need statement.
                                        transportation planning process if they are                 • During NEPA scoping, was a clear                    The use of these planning-level goals and
                                        incorporated into a NEPA document. For                   connection between the decisions made in              choices must be appropriately explained
                                        example, if systems-level or other broad                 planning and those to be made during the              during NEPA scoping and in the NEPA
                                        objectives or choices from the transportation            project development stage explained to the            document.
                                        plan are incorporated into the purpose and               public and others? What was the response?                Consistent with NEPA, the purpose and
                                        need statement for a NEPA document, the                     • Are natural resource and land use plans          need statement should be a statement of a
                                        FHWA and the FTA should not revisit                      being informed by transportation planning             transportation problem, not a specific
                                        whether these are the best objectives or                 products, and vice versa?                             solution. However, the purpose and need
                                        choices among other options. Rather, the                    Purpose and Need:                                  statement should be specific enough to
                                        FHWA and the FTA review would include                       8. How can transportation planning be              generate alternatives that may potentially
                                        making sure that objectives or choices                   used to shape a project’s purpose and need            yield real solutions to the problem at-hand.
                                        derived from the transportation plan were:               in the NEPA process?                                  A purpose and need statement that yields
                                        Based on transportation planning factors                    A sound transportation planning process is         only one alternative may indicate a purpose
                                        established by Federal law; reflect a credible           the primary source of the project purpose and         and need that is too narrowly defined.
                                        and articulated planning rationale; founded              need. Through transportation planning, State             Short of a fully integrated transportation
                                        on reliable data; and developed through                  and local governments, with involvement of            decisionmaking process, many State DOTs
                                        transportation planning processes meeting                stakeholders and the public, establish a              develop information for their purpose and
                                        FHWA and FTA statutory and regulatory                    vision for the region’s future transportation         need statements when implementing
                                        requirements. In addition, the basis for the             system, define transportation goals and               interagency NEPA/Section 404 process
                                        goals and choices must be documented and                 objectives for realizing that vision, decide          merger agreements. These agreements may
                                        included in the NEPA document. The                       which needs to address, and determine the             need to be expanded to include commitments
                                        FHWA/FTA reviewers do not need to review                 timeframe for addressing these issues. The            to share and utilize transportation planning
                                        whether assumptions or analytical methods                transportation planning process also provides         products when developing a project’s
                                        used in the studies are the best available, but,         a potential forum to define a project’s               purpose and need.
                                        instead, need to assure that such assumptions            purpose and need by framing the scope of the             9. Under what conditions can the NEPA
                                        or analytical methods are reasonable,                    problem to be addressed by a proposed                 process be initiated in conjunction with
                                        scientifically acceptable, and consistent with           project. This scope may be further refined            transportation planning studies?
                                        goals, objectives, and policies set forth in             during the transportation planning process as            The NEPA process may be initiated in
                                        long-range transportation plans. This review             more information about the transportation             conjunction with transportation planning
                                        would include determining whether: (a)                   need is collected and consultation with the           studies in a number of ways. A common
                                        Assumptions have a rational basis and are                public and other stakeholders clarifies other         method is the ‘‘tiered EIS,’’ in which the first-
                                        up-to-date and (b) data, analytical methods,             issues and goals for the region.                      tier EIS evaluates general travel corridors,
                                        and modeling techniques are reliable,                       23 U.S.C. 139(f), as amended by the                modes, and/or packages of projects at a
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                                        defensible, reasonably current, and meet data            SAFETEA–LU Section 6002, provides                     planning level of detail, leading to the
                                        quality requirements.                                    additional focus regarding the definition of          refinement of purpose and need and, ideally,
                                                                                                 the purpose and need and objectives. For              selection of the design concept and scope for
                                        II. Substantive Issues                                   example, the lead agency, as early as                 a project or series of projects. Subsequently,
                                           General Issues To Be Considered:                      practicable during the environmental review           second-tier NEPA review(s) of the resulting



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                                        projects would be performed in the usual                    (1) The transportation planning process has        and environmental impacts; and technical
                                        way. The first-tier EIS uses the NEPA process            selected a general travel corridor as best            considerations;
                                        as a tool to involve environmental,                      addressing identified transportation                     • There must be appropriate public
                                        regulatory, and resource agencies and the                problems and the rationale for the                    involvement in the planning Alternatives
                                        public in the planning decisions, as well as             determination in the planning document is             Analysis;
                                        to ensure the appropriate consideration of               reflected in the purpose and need statement              • The appropriate Federal, State, and local
                                        environmental factors in these planning                  of the subsequent NEPA document;                      environmental, regulatory, and resource
                                        decisions.                                                  (2) The transportation planning process has        agencies must be engaged in the planning
                                           Corridor or subarea analyses/studies are              selected a general mode (e.g., highway,               Alternatives Analysis;
                                        another option when the long-range                       transit, or a highway/transit combination)               • The results of the planning Alternatives
                                        transportation plan leaves open the                      that accomplishes its goals and objectives,           Analysis must be documented;
                                        possibility of multiple approaches to fulfill            and these documented determinations are                  • The NEPA scoping participants must
                                        its goals and objectives. In such cases, the             reflected in the purpose and need statement           agree on the alternatives that will be
                                        formal NEPA process could be initiated                   of the subsequent NEPA document; or                   considered in the NEPA review; and
                                        through publication of a NOI in conjunction                 (3) The transportation planning process               • The subsequent NEPA document must
                                        with a corridor or subarea planning study.               determines that the project needs to be               include the evaluation of alternatives from
                                        Similarly, some public transportation                    funded by tolls or other non-traditional              the planning Alternatives Analysis.
                                        operators developing major capital projects              funding sources in order for the long-range              The above criteria apply specifically to
                                        perform the mandatory planning Alternatives              transportation plan to be fiscally constrained        FTA’s Capital Investment Grant process.
                                        Analysis required for funding under FTA’s                or identifies goals and objectives that can           However, for other transportation projects, if
                                        Capital Investment Grant program [49 U.S.C.              only be met by toll roads or other non-               the planning process has included the
                                        5309(d) and (e)] within the NEPA process                 traditional funding sources, and that                 analysis and stakeholder involvement that
                                        and combine the planning Alternatives                    determination of those goals and objectives is        would be undertaken in a first tier NEPA
                                        Analysis with the draft EIS.                             reflected in the purpose and need statement           process, then the alternatives screening
                                           Alternatives:                                         of the subsequent NEPA document.                      conducted in the transportation planning
                                           10. In the context of this Appendix, what                (b) Evaluating and Eliminating Alternatives        process may be incorporated by reference,
                                        is the meaning of the term ‘‘alternatives’’?             During the Transportation Planning Process:           described, and relied upon in the project-
                                           This Appendix uses the term                           The evaluation and elimination of                     level NEPA document. At that point, the
                                        ‘‘alternatives’’ as specified in the NEPA                alternatives during the transportation                project-level NEPA analysis can focus on the
                                        regulations (40 CFR 1502.14), where it is                planning process can be incorporated by               remaining alternatives.
                                        defined in its broadest sense to include                 reference into a NEPA document under                     12. What information or analysis from the
                                                                                                                                                       transportation planning process is needed in
                                        everything from major modal alternatives and             certain circumstances. In these cases, the
                                                                                                                                                       an EA or EIS to support the elimination of
                                        location alternatives to minor design changes            planning study becomes part of the NEPA
                                                                                                                                                       an alternative(s) from detailed consideration?
                                        that would mitigate adverse impacts. This                process and provides a basis for screening
                                                                                                                                                          The section of the EA or EIS that discusses
                                        Appendix does not use the term as it is used             out alternatives. As with any part of the
                                                                                                                                                       alternatives considered but eliminated from
                                        in many other contexts (e.g., ‘‘prudent and              NEPA process, the analysis of alternatives to
                                                                                                                                                       detailed consideration should:
                                        feasible alternatives’’ under Section 4(f) of            be incorporated from the process must have               (a) Identify any alternatives eliminated
                                        the Department of Transportation Act, the                a rational basis that has been thoroughly             during the transportation planning process
                                        ‘‘Least Environmentally Damaging                         documented (including documentation of the            (this could include broad categories of
                                        Practicable Alternative’’ under the Clean                necessary and appropriate vetting through             alternatives, as when a long-range
                                        Water Act, or the planning Alternatives                  the applicable public involvement                     transportation plan selects a general travel
                                        Analysis in 49 U.S.C. 5309(d) and (e)).                  processes). This record should be made                corridor based on a corridor study, thereby
                                           11. Under what circumstances can                      available for public review during the NEPA           eliminating all alternatives along other
                                        alternatives be eliminated from detailed                 scoping process.                                      alignments);
                                        consideration during the NEPA process based                 See responses to Questions 4, 5, 6, and 7             (b) Briefly summarize the reasons for
                                        on information and analysis from the                     for additional elements to consider with              eliminating the alternative; and
                                        transportation planning process?                         respect to acceptance of planning products               (c) Include a summary of the analysis
                                           There are two ways in which the                       for NEPA documentation and the response to            process that supports the elimination of
                                        transportation planning process can begin                Question 12 on the information or analysis            alternatives (the summary should reference
                                        limiting the alternative solutions to be                 from the transportation planning process              the relevant sections or pages of the analysis
                                        evaluated during the NEPA process: (a)                   necessary for supporting the elimination of           or study) and incorporate it by reference or
                                        Shaping the purpose and need for the project;            an alternative(s) from detailed consideration         append it to the NEPA document.
                                        or (b) evaluating alternatives during planning           in the NEPA process.                                     Any analyses or studies used to eliminate
                                        studies and eliminating some of the                         For instance, under FTA’s Capital                  alternatives from detailed consideration
                                        alternatives from detailed study in the NEPA             Investment Grant program, the alternatives            should be made available to the public and
                                        process prior to its start. Each approach                considered in the NEPA process may be                 participating agencies during the NEPA
                                        requires careful attention, and is summarized            narrowed in those instances that the                  scoping process and should be reasonably
                                        below.                                                   planning Alternatives Analysis required by            available during comment periods.
                                           (a) Shaping the Purpose and Need for the              49 U.S.C. 5309(e) is conducted as a planning             Alternatives passed over during the
                                        Project: The transportation planning process             study prior to the NEPA review. In fact, the          transportation planning process because they
                                        should shape the purpose and need and,                   FTA may be able to narrow the alternatives            are infeasible or do not meet the NEPA
                                        thereby, the range of reasonable alternatives.           considered in detail in the NEPA document             ‘‘purpose and need’’ can be omitted from the
                                        With proper documentation and public                     to the No-Build (No Action) alternative and           detailed analysis of alternatives in the NEPA
                                        involvement, a purpose and need derived                  the Locally Preferred Alternative.                    document, as long as the rationale for
                                        from the planning process can legitimately               Alternatives must meet the following criteria         elimination is explained in the NEPA
                                        narrow the alternatives analyzed in the NEPA             if they are deemed sufficiently considered by         document. Alternatives that remain
                                        process. See the response to Question 8 for              a planning Alternatives Analysis under                ‘‘reasonable’’ after the planning-level analysis
                                        further discussion on how the planning                   FTA’s Capital Investment Grant program                must be addressed in the EIS, even when
                                        process can shape the purpose and need used              conducted prior to NEPA without a                     they are not the preferred alternative. When
                                        in the NEPA process.                                     programmatic NEPA analysis and                        the proposed action evaluated in an EA
                                           For example, the purpose and need may be              documentation:                                        involves unresolved conflicts concerning
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                                        shaped by the transportation planning                       • During the planning Alternatives                 alternative uses of available resources, NEPA
                                        process in a manner that consequently                    Analysis, all of the reasonable alternatives          requires that appropriate alternatives be
                                        narrows the range of alternatives that must be           under consideration must be fully evaluated           studied, developed, and described.
                                        considered in detail in the NEPA document                in terms of their transportation impacts;                Affected Environment and Environmental
                                        when:                                                    capital and operating costs; social, economic,        Consequences:



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                                           13. What types of planning products                   planning-level information should be                  Transportation Program (STP), and Equity
                                        provide analysis of the affected environment             captured and utilized in the analysis of              Bonus); and
                                        and environmental consequences that are                  indirect and cumulative impacts during the               • FTA planning and research funds (49
                                        useful in a project-level NEPA analysis and              NEPA process.                                         U.S.C. 5303 and 49 U.S.C. 5313(b)), urban
                                        document?                                                   To be used in the analysis of indirect and         formula funds (49 U.S.C. 5307), and (in
                                           The following planning products are                   cumulative impacts, such information                  limited circumstances) transit capital
                                        valuable inputs to the discussion of the                 should:                                               investment funds (49 U.S.C. 5309).
                                        affected environment and environmental                      (a) Be sufficiently detailed that differences         The eligible transportation planning-
                                        consequences (both its current state and                 in consequences of alternatives can be                related uses of these funds may include: (a)
                                        future state in the absence of the proposed              readily identified;                                   Conducting feasibility or subarea/corridor
                                        action) in the project-level NEPA analysis                  (b) Be based on current data (e.g., data from      needs studies and (b) developing system-
                                        and document:                                            the most recent Census) or be updated by              wide environmental information/inventories
                                           • Regional development and growth                     additional information;                               (e.g., wetland banking inventories or
                                        analyses;                                                   (c) Be based on reasonable assumptions             standards to identify historically significant
                                           • Local land use, growth management, or               that are clearly stated; and/or                       sites). Particularly in the case of PL and SPR
                                        development plans; and                                      (d) Rely on analytical methods and                 funds, the proposed expenditure must be
                                           • Population and employment projections.              modeling techniques that are reliable,                closely related to the development of
                                           The following are types of information,               defensible, and reasonably current.                   transportation plans and programs under 23
                                        analysis, and other products from the                       Environmental Mitigation:                          U.S.C. 134–135 and 49 U.S.C. 5303–5306.
                                        transportation planning process that can be                 15. How can planning-level efforts best               For FHWA funding programs, once a
                                        used in the discussion of the affected                   support advance mitigation, mitigation                general travel corridor or specific project has
                                        environment and environmental                            banking, and priorities for environmental             progressed to a point in the preliminary
                                        consequences in an EA or EIS:                            mitigation investments?                               engineering/NEPA phase that clearly extends
                                           (a) Geographic information system (GIS)                  A lesson learned from efforts to establish         beyond transportation planning, additional
                                        overlays showing the past, current, or                   mitigation banks and advance mitigation               in-depth environmental studies must be
                                        predicted future conditions of the natural               agreements and alternative mitigation                 funded through the program category for
                                        and built environments;                                  options is the importance of beginning                which the ultimate project qualifies (e.g.,
                                           (b) Environmental scans that identify                 interagency discussions during the                    NHS, STP, Interstate Maintenance, and/or
                                        environmental resources and                              transportation planning process.                      Bridge), rather than PL or SPR funds.
                                        environmentally sensitive areas;                         Development pressures, habitat alteration,               Another source of funding is FHWA’s
                                           (c) Descriptions of airsheds and                      complicated real estate transactions, and             Transportation Enhancement program, which
                                        watersheds;                                              competition for potential mitigation sites by         may be used for activities such as:
                                           (d) Demographic trends and forecasts;                 public and private project proponents can             conducting archeological planning and
                                           (e) Projections of future land use, natural           encumber the already difficult task of                research; developing inventories such as
                                        resource conservation areas, and                         mitigating for ‘‘like’’ value and function and        those for historic bridges and highways, and
                                        development; and                                         reinforce the need to examine mitigation              other surface transportation-related
                                           (f) The outputs of natural resource                   strategies as early as possible.                      structures; conducting studies to determine
                                        planning efforts, such as wildlife                          Robust use of remote sensing, GIS, and             the extent of water pollution due to highway
                                        conservation plans, watershed plans, special             decision support systems for evaluating               runoff; and conducting studies to reduce
                                        area management plans, and multiple species              conservation strategies are all contributing to       vehicle-caused wildlife mortality while
                                        habitat conservation plans.                              the advancement of natural resource and               maintaining habitat connectivity.
                                           However, in most cases, the assessment of             environmental planning. The outputs from                 The FHWA and the FTA encourage State
                                        the affected environment and environmental               environmental planning can now better                 DOTs, MPOs, and public transportation
                                        consequences conducted during the                        inform transportation planning processes,             operators to seek partners for some of these
                                        transportation planning process will not be              including the development of mitigation               studies from environmental, regulatory, and
                                        detailed or current enough to meet NEPA                  strategies, so that transportation and                resource agencies, non-government
                                        standards and, thus, the inventory and                   conservation goals can be optimally met. For          organizations, and other government and
                                        evaluation of affected resources and the                 example, long-range transportation plans can          private sector entities with similar data
                                        analysis of consequences of the alternatives             be screened to assess the effect of general           needs, or environmental interests. In some
                                        will need to be supplemented with more                   travel corridors or density, on the viability of      cases, these partners may contribute data and
                                        refined analysis and possibly site-specific              sensitive plant and animal species or                 expertise to the studies, as well as funding.
                                        details during the NEPA process.                         habitats. This type of screening provides a              17. What staffing or organizational
                                           14. What information from the                         basis for early collaboration among                   arrangements may be helpful in allowing
                                        transportation planning process is useful in             transportation and environmental staffs, the          planning products to be accepted in the
                                        describing a baseline for the NEPA analysis              public, and regulatory agencies to explore            NEPA process?
                                                                                                 areas where impacts must be avoided and
                                        of indirect and cumulative impacts?                                                                               Certain organizational and staffing
                                                                                                 identify areas for mitigation investments.
                                           Because the nature of the transportation                                                                    arrangements may support a more integrated
                                                                                                 This can lead to mitigation strategies that are
                                        planning process is to look broadly at future                                                                  approach to the planning/NEPA decision-
                                                                                                 both more economical and more effective
                                        land use, development, population increases,                                                                   making continuum. In many cases, planning
                                                                                                 from an environmental stewardship
                                        and other growth factors, the planning                                                                         organizations do not have environmental
                                                                                                 perspective than traditional project-specific
                                        analysis can provide the basis for the                                                                         expertise on staff or readily accessible.
                                                                                                 mitigation measures.
                                        assessment of indirect and cumulative                                                                          Likewise, the review and regulatory
                                        impacts required under NEPA. The                         III. Administrative Issues:                           responsibilities of many environmental,
                                        consideration in the transportation planning                16. Are Federal funds eligible to pay for          regulatory, and resource agencies make
                                        process of development, growth, and                      these additional, or more in depth,                   involvement in the transportation planning
                                        consistency with local land use, growth                  environmental studies in transportation               process a challenge for staff resources. These
                                        management, or development plans, as well                planning?                                             challenges may be partially met by improved
                                        as population and employment projections,                   Yes. For example, the following FHWA               use of the outputs of each agency’s planning
                                        provides an overview of the multitude of                 and FTA funds may be utilized for                     resources and by augmenting their
                                        factors in an area that are creating pressures           conducting environmental studies and                  capabilities through greater use of GIS and
                                        not only on the transportation system, but on            analyses within transportation planning:              remote sensing technologies (see http://
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                                        the natural ecosystem and important                         • FHWA planning and research funds, as             www.gis.fhwa.dot.gov/ for additional
                                        environmental and community resources. An                defined under 23 CFR Part 420 (e.g.,                  information on the use of GIS). Sharing
                                        analysis of all reasonably foreseeable actions           Metropolitan Planning (PL), Statewide                 databases and the planning products of local
                                        in the area also should be a part of the                 Planning and Research (SPR), National                 land use decision-makers and State and
                                        transportation planning process. This                    Highway System (NHS), Surface                         Federal environmental, regulatory, and



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                                        resource agencies also provide efficiencies in           and State environmental, regulatory, and              movement of people and goods in a
                                        acquiring and sharing the data and                       resource agencies; and FHWA/FTA                       region. A congestion management
                                        information needed for both transportation               representatives (at both the executive and            system or process is a systematic and
                                        planning and NEPA work.                                  program manager levels) to develop a State-
                                           Additional opportunities such as shared               specific action plan that will provide for            regionally accepted approach for
                                        staff, training across disciplines, and (in              strengthened linkages between the                     managing congestion that provides
                                        some cases) reorganizing to eliminate                    transportation planning and NEPA processes.           accurate, up-to-date information on
                                        structural divisions between planning and                   Moreover, the U.S. Fish and Wildlife               transportation system operations and
                                        NEPA practitioners may also need to be                   Service offers Green Infrastructure                   performance and assesses alternative
                                        considered in order to better integrate NEPA             Workshops that are focused on integrating             strategies for congestion management
                                        considerations into transportation planning              planning for natural resources (‘‘green
                                        studies. The answers to the following two                infrastructure’’) with the development,               that meet State and local needs.
                                        questions also contain useful information on             economic, and other infrastructure needs of              (b) The development of a congestion
                                        training and staffing opportunities.                     society (‘‘gray infrastructure’’).                    management system or process should
                                           18. How have environmental, regulatory,                  Robust planning and multi-issue                    result in performance measures and
                                        and resource agency liaisons (Federally- and             environmental screening requires input from
                                        State DOT-funded positions) and partnership              a wide variety of disciplines, including
                                                                                                                                                       strategies that can be integrated into
                                        agreements been used to provide the                      information technology; transportation                transportation plans and programs. The
                                        expertise and interagency participation                  planning; the NEPA process; and regulatory,           level of system performance deemed
                                        needed to enhance the consideration of                   permitting, and environmental specialty               acceptable by State and local officials
                                        environmental factors in the planning                    areas (e.g., noise, air quality, and biology).        may vary by type of transportation
                                        process?                                                 Senior managers at transportation and                 facility, geographic location
                                           For several years, States have utilized               partner agencies can arrange a variety of
                                        Federal and State transportation funds to                                                                      (metropolitan area or subarea and/or
                                                                                                 individual training programs to support
                                        support focused and accelerated project                  learning curves and skill development that            non-metropolitan area), and/or time of
                                        review by a variety of local, State, Tribal, and         contribute to a strengthened link of the              day. In both metropolitan and non-
                                        Federal agencies. While Section 1309(e) of               transportation planning and NEPA processes.           metropolitan areas, consideration needs
                                        the TEA–21 and its successor in SAFETEA–                 Formal and informal mentoring on an intra-            to be given to strategies that manage
                                        LU section 6002 speak specifically to                    agency basis can be arranged. Employee                demand, reduce single occupant vehicle
                                        transportation project streamlining, there are           exchanges within and between agencies can
                                        other authorities that have been used to fund
                                                                                                                                                       (SOV) travel, and improve
                                                                                                 be periodically scheduled, and persons
                                        positions, such as the Intergovernmental                 involved with professional leadership
                                                                                                                                                       transportation system management and
                                        Cooperation Act (31 U.S.C. 6505). In                     programs can seek temporary assignments               operations. Where the addition of
                                        addition, long-term, on-call consultant                  with partner agencies.                                general purpose lanes is determined to
                                        contracts can provide backfill support for                                                                     be an appropriate congestion
                                                                                                 IV. Additional Information on this Topic
                                        staff that are detailed to other parts of an                                                                   management strategy, explicit
                                        agency for temporary assignments. At last                   Valuable sources of information are
                                                                                                 FHWA’s environment website (http://                   consideration is to be given to the
                                        count (as of 2003), 246 positions were being
                                        funded. Additional information on                        www.fhwa.dot.gov/environment/index.htm)               incorporation of appropriate features
                                        interagency funding agreements is available              and FTA’s environmental streamlining                  into the SOV project to facilitate future
                                        at: http://environment.fhwa.dot.gov/strmlng/             website (http://                                      demand management strategies and
                                        igdocs/index.htm.                                        www.environment.fta.dot.gov). Another                 operational improvements that will
                                           Moreover, every State has advanced a                  source of information and case studies is             maintain the functional integrity of
                                        variety of stewardship and streamlining                  NCHRP Report 8–38 (Consideration of
                                                                                                 Environmental Factors in Transportation               those lanes.
                                        initiatives that necessitate early involvement
                                        of environmental, regulatory, and resource               Systems Planning), which is available at              Title 49—Transportation
                                        agencies in the project development process.             http://www4.trb.org/trb/crp.nsf/All+Projects/
                                        Such process improvements have: addressed                NCHRP+8–38. In addition, AASHTO’s Center
                                                                                                                                                       I 4. The authority citation for part 613
                                        the exchange of data to support avoidance                for Environmental Excellence website is
                                                                                                 continuously updated with news and links to           continues to read as follows:
                                        and impact analysis; established formal and
                                        informal consultation and review schedules;              information of interest to transportation and           Authority: 23 U.S.C. 134, 135, and 217(g);
                                        advanced mitigation strategies; and resulted             environmental professionals                           42 U.S.C. 3334, 4233, 4332, 7410 et seq; 49
                                        in a variety of programmatic reviews.                    (www.transportation.environment.org).                 U.S.C. 5303–5306, 5323(k); and 49 CFR
                                        Interagency agreements and workplans have                                                                      1.48(b), 1.51(f) and 21.7(a).
                                        evolved to describe performance objectives,              PART 500—MANAGEMENT AND
                                        as well as specific roles and responsibilities           MONITORING SYSTEMS                                    I 5. Revise Subpart A and Subpart B of
                                        related to new streamlining initiatives. Some
                                        States have improved collaboration and                   I 2. Revise the authority citation for part           49 CFR part 613 to read as follows:
                                        efficiency by co-locating environmental,                 500 to read as follows:
                                        regulatory, and resource and transportation                                                                    Part 613—METROPOLITAN AND
                                                                                                   Authority: 23 U.S.C. 134, 135, 303, and             STATEWIDE PLANNING
                                        agency staff.                                            315; 49 U.S.C. 5303–5305; 23 CFR 1.32; and
                                           19. What training opportunities are                   49 CFR 1.48 and 1.51.
                                        available to MPOs, State DOTs, public                                                                          Subpart A—Metropolitan Transportation
                                        transportation operators and environmental,              I   3. Revise § 500.109 to read as follows:           Planning and Programming
                                        regulatory, and resource agencies to assist in                                                                 Sec.
                                        their understanding of the transportation                § 500.109    CMS.                                     613.100 Metropolitan transportation
                                        planning and NEPA processes?                                (a) For purposes of this part,                          planning and programming.
                                           Both the FHWA and the FTA offer a variety             congestion means the level at which
                                        of transportation planning, public                       transportation system performance is                  Subpart B—Statewide Transportation
                                        involvement, and NEPA courses through the                unacceptable due to excessive travel                  Planning and Programming
                                        National Highway Institute and/or the
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                                                                                                 times and delays. Congestion                          Sec.
                                        National Transit Institute. Of particular note
                                                                                                 management means the application of                   613.200 Statewide transportation planning
                                        is the Linking Planning and NEPA
                                        Workshop, which provides a forum and                     strategies to improve system                               and programming.
                                        facilitated group discussion among and                   performance and reliability by reducing
                                        between State DOT; MPO; Federal, Tribal,                 the adverse impacts of congestion on the


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                                        7286             Federal Register / Vol. 72, No. 30 / Wednesday, February 14, 2007 / Rules and Regulations

                                        Subpart A—Metropolitan                                   subpart. The definitions in 23 CFR 450,               complying with the requirements of this
                                        Transportation Planning and                              subpart A, shall apply.                               subpart. The definitions in 23 CFR 450,
                                        Programming                                                                                                    subpart A, shall apply.
                                                                                                 Subpart B—Statewide Transportation
                                        § 613.100 Metropolitan transportation                    Planning and Programming                              [FR Doc. 07–493 Filed 2–13–07 8:45 am]
                                        planning and programming.                                                                                      BILLING CODE 4910–22–P
                                                                                                 § 613.200 Statewide transportation
                                          The regulations in 23 CFR 450,                         planning and programming.
                                        subpart C, shall be followed in                            The regulations in 23 CFR 450,
                                        complying with the requirements of this                  subpart B, shall be followed in
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