Subpart B--Statewide Transportation Planning and Programming

minimizing transportation-related fuel consumption and air pollution in all areas of the State, including those areas subject to the metropolitan transportation planning

requirements of 23 U.S.C. 134 and 49 U.S.C. 5303.

Summary of Changes to Section 450.200: Purpose

Post and view comments on this section

The statement of purpose in Sec. 450.200 would be slightly revised

to better reflect the policy statement contained in 23 U.S.C. 135 and

49 U.S.C. 5304. The proposed revision would support strengthened

linkages between statewide and metropolitan transportation planning,

and include a specific reference to ``accessible pedestrian walkways

and bicycle facilities.''

Applicability Sec. 450.202

Post and view comments on this section

The provisions of this subpart are applicable to States and any

other organizations or entities (e.g., metropolitan planning

organizations (MPOs) and public transportation operators) that are

responsible for satisfying the requirements for transportation plans

and programs throughout the State pursuant to 23 U.S.C. 135 and 49

U.S.C. 5304.

Summary of Changes to Section 450.202: Applicability

Post and view comments on this section

Existing Sec. 450.202 would be revised to specifically include

MPOs and public transportation operators within the statewide

transportation planning process and to add 23 U.S.C. 135 and 49 U.S.C.

5304 as a statutory citation.

Definitions: Sec. 450.204

Except as otherwise provided in subpart A of this part, terms

defined in 23 U.S.C. 101(a) and 49 U.S.C. 5302 are used in this subpart

as so defined.

Scope of the statewide transportation planning process: Sec. 450.206 .

Post and view comments on this section

(a) Each State shall carry out a continuing, cooperative, and

comprehensive statewide transportation planning process that provides

for consideration and implementation of projects, strategies, and

services that will address the following factors:

(1) Support the economic vitality of the United States, the States,

metropolitan areas, and non-metropolitan areas, especially by enabling

global competitiveness, productivity, and efficiency;

(2) Increase the safety of the transportation system for all

motorized and non-motorized users;

(3) Increase the ability of the transportation system to support

homeland security and to safeguard the personal security of all

motorized and non-motorized users;

(4) Increase accessibility and mobility of people and freight;

(5) Protect and enhance the environment, promote energy

conservation, improve the quality of life, and promote consistency

between transportation improvements and State and local planned growth

and economic development patterns;

(6) Enhance the integration and connectivity of the transportation

system, across and between modes throughout the State, for people and

freight;

(7) Promote efficient system management and operation; and

(8) Emphasize the preservation of the existing transportation

system.

(b) Consideration of the planning factors in paragraph (a) of this

section shall be reflected, as appropriate, in all aspects of the

statewide transportation planning process, including activities such as

the formulation of goals, objectives, performance measures, and

evaluation criteria for use in developing the long-range statewide

transportation plan; identification of prioritization criteria for

projects and strategies reflected in the STIP; and development of

short-range planning studies, strategic planning and/or policy studies,

or transportation needs studies.

of this section shall not be reviewable by any court in any matter

affecting a long-range statewide transportation plan, STIP, project or

strategy, or the FHWA/FTA planning process findings.

(d) Funds provided under 23 U.S.C. 505 and 49 U.S.C. 5305(e) are

available to the State to accomplish activities in this subpart. At the

State's option, funds provided under 23 U.S.C. 104(b)(1) and (3) and

105 and 49 U.S.C. 5307 may also be used. Statewide transportation

planning activities performed with funds provided under title 23,

U.S.C., and 49 U.S.C., Chapter 53 shall be documented in a statewide

planning work program in accordance with the provisions of 23 CFR part

420. The work program should include a discussion of the transportation

planning priorities facing the State.

Summary of Changes to Section 450.206: Scope of the Statewide Transportation Planning Process

Post and view comments on this section

For purposes of simplification, a majority of the content of

existing Sec. 450.206 would be removed or relocated to other sections

due to outdated or redundant information and the section would be re-

titled. Proposed Sec. 450.206(a) would revise the content in existing

Sec. 450.208(a) by replacing the ISTEA planning factors with the eight

planning factors in 23 U.S.C. 135(d)(1) and 49 U.S.C. 5304(d)(1). See

``Key Statutory Changes'' above. The planning factors are based on the

language in the statute, with the exception of minor amplification of

the factor on ``security.''

In Sec. 450.206(b) we propose to provide general information on

the use of and application of the eight planning factors throughout the

statewide transportation planning process.

In paragraph (c) what we propose is consistent with the language in

23 U.S.C. 135(d)(2) and 49 U.S.C. 5304(d)(2) that the failure to

consider any of the factors shall not be reviewable by any court in any

matter affecting a long-range statewide transportation plan, Statewide

transportation improvement program (STIP), or FHWA/FTA planning process

findings.

In paragraph (d) we propose to re-locate and revise the information

and statutory references in existing Sec. 450.218 (Funding). In

addition, this proposed paragraph would establish the statewide

planning work program required by 23 CFR part 420 (for funds under 23

U.S.C. and 49 U.S.C.) as the primary tool to discuss the planning

priorities of the State.

Coordination of planning process activities: Sec. 450.208

Post and view comments on this section

(a) In carrying out the statewide transportation planning process,

each State shall:

(1) Coordinate planning carried out under this subpart with the

metropolitan transportation planning activities carried out under

subpart C of this part for metropolitan areas of the State. The State

is encouraged to rely on information, studies, or analyses provided by

MPOs for portions of the transportation system located in metropolitan

planning areas;

(2) Coordinate planning carried out under this subpart with

statewide trade and economic development planning activities and

related multistate planning efforts;

(3) Coordinate planning carried out under this subpart with

planning by Federal land management agencies that have jurisdiction

over land within the boundaries of the State;

(4) Consider the concerns of local elected and appointed officials

with responsibilities for transportation in non-metropolitan areas;

(5) Consider the concerns of Indian Tribal governments that have

jurisdiction over land within the boundaries of the State;

(6) Coordinate transportation plans, programs, and planning

activities with related planning activities being conducted outside of

metropolitan planning areas and between States; and

(7) Establish a forum for coordinating data collection and analyses

to support statewide transportation planning and programming priorities

and decisions.

(b) The State air quality agency shall coordinate with the State

department of transportation (State DOT) to develop the transportation

portion of the State Implementation Plan (SIP) consistent with the

Clean Air Act (42 U.S.C. 7401 et seq.).

in conflict with any law of the United States, for cooperative efforts

and mutual assistance in support of activities under this subpart

related to interstate areas and localities in the States and

establishing authorities the States consider desirable for making the

agreements and compacts effective. However, the U. S. Congress reserves

the right to alter, amend, or repeal interstate compacts entered into

under this part.

(d) States may use any one or more of the management systems (in

whole or in part) described in 23 CFR part 500.

(e) States are encouraged to apply asset management principles and

techniques in establishing planning goals, defining STIP priorities,

and assessing transportation investment decisions, including

transportation system safety, operations, preservation, and

maintenance.

(f) The statewide transportation planning process shall be

consistent with the development of applicable regional intelligent

transportation systems (ITS) architectures, as defined in 23 CFR part

940.

(g) The statewide transportation planning process should be

consistent with the development of Coordinated Public Transit-Human

Services Transportation Plans, as required by 49 U.S.C. 5310, 5316, and

5317.

(h) The statewide transportation planning process should be

consistent with the Strategic Highway Safety Plan, as specified in 23

U.S.C. 148, and the Regional Transit Security Strategy as required by

the Department of Homeland Security.

Summary of Changes to Section 450.208: Coordination of Planning Process Activities

Post and view comments on this section

Existing Sec. 450.210 would be redesignated as Sec. 450.208.

Paragraph (a) would be revised to focus on required planning

coordination efforts as defined in 23 U.S.C. 135(b)(1) and 135(e) and

49 U.S.C. 5304(b)(1) and 49 U.S.C. 5304(e) to reflect the

simplification of language provided by the change in planning factors.

A new paragraph (b) is proposed to address the 23 U.S.C. 135(b)(2)

and 49 U.S.C. 5304(b)(2) requirement for the statewide transportation

planning process to be coordinated with air quality planning conducted

by State air quality agencies in the development of the transportation

portion of the State Implementation Plan (SIP).

A new paragraph (c) is proposed to reflect the 23 U.S.C. 135(c)(1)

and 49 U.S.C. 5304(c)(1) provision allowing two or more States to enter

into agreements or compacts for cooperative efforts and mutual

assistance regarding multi-State transportation planning activities.

This paragraph would note that the U.S. Congress reserves the right to

alter, amend, or repeal interstate compacts entered into under this

part.

Paragraph (d) would retain existing rule language providing States

the option to use any one or more of the management systems (in whole

or in part) under 23 CFR part 500 for purposes of carrying out the

statewide transportation planning process.

Paragraph (e) is proposed to encourage States to apply asset

management principles and techniques in establishing planning goals,

defining STIP priorities, and assessing transportation investment

decisions to include transportation system safety, operations,

preservation, and maintenance.

Paragraph (f) is proposed to ensure that statewide transportation

planning processes are carried out in a manner consistent with regional

Intelligent Transportation System (ITS) architectures in 23 CFR part

940 (based on the ITS consistency requirement in section 5206(e) of the

TEA-21).

Paragraph (g) is proposed to address the need for transportation

planning processes to be consistent with the development of Public

Transit-Human Services Transportation Plans, as defined in 49 U.S.C.

5310, 5316, and 5317.

Paragraph (h) is proposed to promote consistency between the

statewide transportation planning process and the Strategic Highway

Safety Plan, as specified in 23 U.S.C. 148, as well as with the

Regional Transit Security Strategy, as required by the Department of

Homeland Security.

Interested parties, public involvement, and consultation: Sec. 450.210

Post and view comments on this section

(a) In carrying out the statewide transportation planning process,

including development of the long-range statewide transportation plan

and the STIP, the State shall develop and use a documented public

involvement process that provides opportunities for public review and comment at

key decision points.

(1) The State's public involvement process at a minimum shall:

(i) Establish early and continuous public involvement opportunities

that provide timely information about transportation issues and

decisionmaking processes to citizens, affected public agencies,

representatives of public transportation employees, freight shippers,

private providers of transportation, representatives of users of public

transportation, representatives of users of pedestrian walkways and

bicycle transportation facilities, representatives of the disabled,

providers of freight transportation services, and other interested

parties;

(ii) Provide reasonable public access to technical and policy

information used in the development of the long-range statewide

transportation plan and the STIP;

(iii) Provide adequate public notice of public involvement

activities and time for public review and comment at key decision

points, including but not limited to a reasonable opportunity to

comment on the proposed long-range statewide transportation plan and

STIP;

(iv) To the maximum extent practicable, ensure that public meetings

are held at convenient and accessible locations and times;

(v) To the maximum extent practicable, use visualization techniques

to describe the proposed long-range statewide transportation plan and

supporting studies;

(vi) To the maximum extent practicable, make public information

available in electronically accessible format and means, such as the

World Wide Web, as appropriate to afford reasonable opportunity for

consideration of public information;

(vii) Demonstrate explicit consideration and response to public

input during the development of the long-range statewide transportation

plan and STIP;

(viii) Include a process for seeking out and considering the needs

of those traditionally underserved by existing transportation systems,

such as low-income and minority households, who may face challenges

accessing employment and other services; and

(ix) Provide for the periodic review of the effectiveness of the

public involvement process to ensure that the process provides full and

open access to all interested parties and revise the process, as

appropriate.

(2) The State shall provide for public comment on existing and

proposed processes for public involvement in the development of the

long-range statewide transportation plan and the STIP. At a minimum,

the State shall allow 45 calendar days for public review and written

comment before the procedures and any major revisions to existing

procedures are adopted. The State shall provide copies of the approved

public involvement process document(s) to the FHWA and the FTA for

informational purposes.

(b) The State shall provide for non-metropolitan local official

participation in the development of the long-range statewide

transportation plan and the STIP. The State shall have a documented

process(es) for consulting with non-metropolitan local officials

representing units of general purpose local government and/or local

officials with responsibility for transportation that is separate and

discrete from the public involvement process and provides an

opportunity for their participation in the development of the long-

range statewide transportation plan and the STIP. Although the FHWA and

the FTA shall not review or approve this consultation process(es),

copies of the process document(s) shall be provided to the FHWA and the

FTA for informational purposes.

(1) At least once every five years (as of February 24, 2006), the

State shall review and solicit comments from non-metropolitan local

officials and other interested parties for a period of not less than 60

calendar days regarding the effectiveness of the consultation process

and any proposed revisions. A specific request for comments shall be

directed to the State association of counties, State municipal league,

regional planning agencies, or directly to non-metropolitan local

officials.

(2) The State, at its discretion, shall be responsible for

determining whether to adopt any proposed revisions. If a proposed

revision is not adopted, the State shall make publicly available its

reasons for not accepting the proposed revision, including notification

to non-metropolitan local officials or their associations.

Tribal government, the State shall develop the long-range statewide

transportation plan and STIP in consultation with the Tribal government

and the Secretary of Interior. States are encouraged to develop a

documented process(es) that outlines roles, responsibilities, and key

decision points for consulting with Indian Tribal governments and

Federal land management agencies in the development of the long-range

statewide transportation plan and the STIP.

Summary of Changes to Section 450.210: Interested Parties, Public Involvement, and Consultation

Post and view comments on this section

Existing Sec. 450.212 would be revised, re-titled, and

redesignated as Sec. 450.210. Overall, existing Sec. 450.212 (Public

Involvement) would be broadened to focus on all facets of participation

and consultation in the statewide transportation planning process,

including the involvement of ``interested parties'' (as defined by 23

U.S.C. 135(f)(3)(A) and 49 U.S.C. 5304(f)(3)(A)) and State consultation

with non-metropolitan local officials, Indian Tribal governments, and

the Secretary of the Interior. See ``Key Statutory Changes'' above.

Proposed paragraph (a) would continue the requirement for State

public involvement processes that include the ``interested parties''

defined under 23 U.S.C. 135(f)(3)(A) and 49 U.S.C. 5304(f)(3)(A).

Proposed paragraph (a)(1)(ix) provides for periodic State evaluation of

its public involvement procedures. The FHWA and the FTA believe that

the periodic assessment of such processes, including the voluntary

development and use of public involvement process performance criteria,

can help to determine that the effort is well spent and help adjust and

respond to changes over time.

Proposed paragraph (a)(2) would require States to provide for

public comment on existing and proposed procedures for public

involvement in the development of the long-range statewide

transportation plan and the STIP, allowing at least 45 days for public

review and written comment before the procedures and any amendment to

existing procedures are adopted.

Proposed paragraph (b) would retain the content in current Sec.

450.212(h) regarding State development of a documented process(es) that

is separate and discrete from the State's public involvement process

for consulting with non-metropolitan local officials representing units

of general purpose local government and/or local officials responsible

for transportation. In addition, proposed paragraph (b)(1) would retain

the content in existing Sec. 450.212(i) on the periodic review (at

least once every five years) of the effectiveness of the consultation

process(es), including the solicitation of comments (for a period of at

least 60 days) from non-metropolitan local officials and other

interested parties, and the consideration of these comments by the

State in modifying the process(es). Per the existing regulation, the

five year review cycle begins February 24, 2006. The existing

regulation allowed one year to implement the consultation process after

the regulation was published (68 FR 3181, January 23, 2003),

established an initial review after two years, and every five years

thereafter.

Proposed paragraph (c) focuses on State consultation with Indian

Tribal governments and the Secretary of Interior in the development of

the long-range statewide transportation plan and the STIP, reflecting

the language and intent articulated in 23 U.S.C. 135(f)(2)(C) and

135(g)(2)(C) and 49 U.S.C. 5304(f)(2)( C) and 5304(g)(2)( C). This

proposed paragraph also encourages States, as appropriate, to develop a

documented process(es) that outlines roles, responsibilities, and key

decision points for consulting with Indian Tribal governments and

Federal land management agencies in the development of the long-range

statewide transportation plan and the STIP. The FHWA and the FTA

believe that a documented process(es) would provide for greater

understanding between States and Indian Tribal governments and Federal

land management agencies on how this consultation would occur. The FHWA

and the FTA recognize an obligation and requirement for Federal

government consultation with Indian Tribes, in addition to State

consultation with Tribes.

Transportation planning studies and project development: Sec. 450.212

Post a comment on this section

(a) An MPO(s), State(s), and/or public transportation operator(s)

may undertake a corridor or subarea planning study as part of the

statewide transportation planning process. The results of these

transportation planning studies may be incorporated into the overall

project development process to the extent that they meet the

requirements of the National Environmental Policy Act (NEPA) of 1969

(42 U.S.C. 4321 et seq.) and associated implementing regulations (23

CFR part 771 and 40 CFR parts 1500-1508). Specifically, these corridor

or subarea studies maybe used to produce any of the following for a

proposed transportation project:

(1) Purpose and need or goals and objective statement(s);

(2) General travel corridor and/or general mode(s) definition

(i.e., highway, transit, or a highway/transit combination);

(3) Preliminary screening of alternatives and elimination of

unreasonable alternatives;

(4) Description of the affected environment; and/or

(5) Preliminary identification of environmental impacts and

environmental mitigation.

(b) Publicly available documents produced by, or in support of, the

transportation planning process described in this subpart may be

incorporated by reference into subsequent NEPA documents, in accordance

with 40 CFR 1502.21, to the extent that:

(1) The NEPA lead agencies agree that such incorporation will aid

in establishing or evaluating the purpose and need for the Federal

action, reasonable alternatives, cumulative or other impacts on the

human and natural environment, or mitigation of these impacts; and

(2) The corridor or subarea planning study is conducted with:

(i) Involvement of interested State, local, Tribal, and Federal

agencies;

(ii) Public review;

(iii) Continual opportunity to comment during the metropolitan

transportation planning process and development of the corridor or

subarea planning study;

(iv) Documentation of relevant decisions in a form that is

identifiable and available for review during the NEPA scoping process

and can be appended to or referenced in the NEPA document; and

(v) The review of the FHWA and the FTA, as appropriate.

may be accomplished through incorporating the subarea or corridor

planning study into the draft Environmental Impact Statement or

Environmental Assessment and other means of incorporation by reference

that the NEPA lead agencies deem appropriate. Additional details on

linkages between the transportation planning and project development/

NEPA processes is contained in Appendix A to this part.

Summary of Changes to Section 450.212: Transportation Planning Studies and Project Development

Post a comment on this section

Section 1308 of the TEA-21 eliminated the major MIS as a separate

requirement and called for the Secretary to integrate, as appropriate,

the remaining aspects and features of the MIS (and associated corridor

or subarea studies) into the transportation planning and the NEPA

regulations.

Since 1998, the FHWA and the FTA (in cooperation with Federal,

environmental, resource, and regulatory agencies) have undertaken

several initiatives to promote strengthened linkages between the

transportation planning and project development/NEPA processes under

existing legislative, statutory, and regulatory authorities. In

particular, on February 22, 2005, the FHWA and the FTA disseminated

legal analysis and program guidance entitled ``Linking the

Transportation Planning and NEPA Processes.'' \12\ Although voluntary

to States, MPOs, and public transportation operators, this program

guidance was intended to articulate how information, analysis, and

products from metropolitan and statewide transportation planning

processes could be incorporated into and relied upon in the NEPA

process under existing Federal statutes and regulations.

Proposed Sec. 450.212 is structured around the guiding principles

and legal opinion reflected in the program guidance.

Development and content of the long-range statewide transportation plan: Sec. 450.214

Post a comment on this section

(a) The State shall develop a long-range statewide transportation

plan, with a minimum 20-year forecast period, that provides for the

development and implementation of the multimodal transportation system

for the State. The long-range statewide transportation plan shall

consider and include, as applicable, elements and connections between

public transportation, non-motorized modes, rail, commercial motor

vehicle, waterway, and aviation facilities, particularly with respect

to intercity travel.

(b) The long-range statewide transportation plan should include

capital, operations and management strategies, investments, procedures,

and other measures to ensure the preservation and most efficient use of

the existing transportation system.

summarize, or contain any applicable short-range planning studies;

strategic planning and/or policy studies; transportation needs studies;

management systems reports; emergency relief and disaster preparedness

plans; and any statements of policies, goals, and objectives on issues

(e.g., transportation, safety, economic development, social and

environmental effects, or energy) that were relevant to the development

of the long-range statewide transportation plan.

(d) The long-range statewide transportation plan should include a

safety element that incorporates or summarizes the priorities, goals,

countermeasures, or projects contained in the Strategic Highway Safety

Plan required by 23 U.S.C. 148.

(e) The long-range statewide transportation plan should include a

security element that incorporates or summarizes the priorities, goals,

or projects set forth in the Regional Transit Security Strategy(ies),

as required by the Department of Homeland Security.

(f) Within each metropolitan area of the State, the long-range

statewide transportation plan shall be developed in cooperation with

the affected MPOs.

(g) For non-metropolitan areas, the long-range statewide

transportation plan shall be developed in consultation with affected

non-metropolitan officials with responsibility for transportation using

the State's consultation process(es) established under Sec.

450.210(b).

(h) For each area of the State under the jurisdiction of an Indian

Tribal government, the long-range statewide transportation plan shall

be developed in consultation with the Tribal government and the

Secretary of the Interior consistent with Sec. 450.210(c).

(i) The long-range statewide transportation plan shall be

developed, as appropriate, in consultation with State, Tribal, and

local agencies responsible for land use management, natural resources,

environmental protection, conservation, and historic preservation. This

consultation shall involve comparison of transportation plans to State

and Tribal conservation plans or maps, if available, and comparison of

transportation plans to inventories of natural or historic resources,

if available.

(j) A long-range statewide transportation plan shall include a

discussion of potential environmental mitigation activities and

potential areas to carry out these activities, including activities

that may have the greatest potential to restore and maintain the

environmental functions affected by implementation of the plan. The

discussion shall be developed in consultation with Federal, State, and

Tribal land management, wildlife, and regulatory agencies. The State

may establish reasonable timeframes for performing this consultation.

Additional information on linkages between the transportation planning

and project development/NEPA processes is contained in Appendix A to

this part.

(k) In developing and updating the long-range statewide

transportation plan, the State shall provide citizens, affected public

agencies, representatives of public transportation employees, freight

shippers, private providers of transportation, representatives of users

of public transportation, representatives of users of pedestrian

walkways and bicycle transportation facilities, representatives of the

disabled, providers of freight transportation services, and other

interested parties with a reasonable opportunity to comment on the

proposed long-range statewide transportation plan. In carrying out

these requirements, the State shall, to the maximum extent practicable,

utilize the public involvement process described under Sec.

450.210(a).

(l) The long-range statewide transportation plan may include a

financial plan that demonstrates how the adopted long-range statewide

transportation plan can be implemented, indicates resources from public

and private sources that are reasonably expected to be made available

to carry out the plan, and recommends any additional financing

strategies for needed projects and programs. The financial plan may

include, for illustrative purposes, additional projects that would be

included in the adopted long-range statewide transportation plan if

additional resources beyond those identified in the financial plan were

available.

(m) The State shall not be required to select any project from the

illustrative list of additional projects included in the financial plan

described in paragraph (k) of this section.

(n) The long-range statewide transportation plan shall be published

or otherwise made available, including (to the maximum extent

practicable) in electronically accessible formats and means, such as

the World Wide Web, as described in Sec. 450.210(a).

(o) The State shall continually evaluate, revise, and periodically

update the long-range statewide transportation plan, as appropriate,

using the procedures in this section for development and establishment

of the long-range statewide transportation plan.

(p) Copies of any new or revised long-range statewide

transportation plan documents shall be provided to the FHWA and the FTA

for informational purposes.

Summary of Changes to Section 450.214: Development and Content of the Long-range Statewide Transportation Plan

Post a comment on this section

Existing Sec. 450.214 would be re-titled. Consistent with existing

Sec. 450.214, proposed Sec. 450.214 would maintain the opportunity

for the long-range statewide transportation plan to be comprised of

policies and/or strategies, not necessarily specific projects, over the

minimum 20-year forecast period. In addition, proposed paragraph (n)

would retain State discretion to identify a periodic schedule for

updating the long-range statewide transportation plan and to revise the

plan as necessary. The FHWA and the FTA recognize that changes to

transportation plans between formal update cycles may be necessary. We

have proposed definitions for the terms ``administrative

modification,'' ``amendment,'' and ``revision'' to clarify these

actions.

Proposed Sec. 450.214 also would be revised to reflect key

provisions in 23 U.S.C. 135(d)(1)(G) and 135(d)(1)(H) and 49 U.S.C.

5304(d)(1)(G) and 5304(d)(1)(H). Proposed paragraph (b) calls for the

long-range statewide transportation plan to include capital,

operations, and management strategies, investments, procedures, and

other measures to ensure the preservation of the existing

transportation system.

The FHWA and the FTA believe improved planning for the operations

and management of the Nation's transportation system is vitally

important to continuing to deliver the safety, reliability, and

mobility for people and freight in the 21st century that the nation

expects. Operations and management (or management and operations) is a

coordinated approach to optimizing the performance of existing

infrastructure and building operational capacity into new projects

through the implementation of multimodal, intermodal, and often cross-

jurisdictional systems, services, and projects. To be effective,

management and operations must be a collaborative effort between

transportation planners and managers with responsibility for day-to-day

transportation operations. Management and operations refers to a broad

range of strategies, such as traffic detection and surveillance, work

zone management, emergency management, and traveler information

services. It also refers to strategies that address the economically

critical area of goods movement, such as improving intermodal

connections and designing and operating key elements of the

transportation system to accommodate the patterns and dynamics of

freight operations. Such strategies enhance reliability and goods

movement efficiency; improve public safety and security; support

homeland security and safeguard the personal security; reduce traveler

delays associated with incidents and other events; and improve

information for businesses and for the traveling public.

In order to draw a strong link between the Strategic Highway Safety

Planning process described in 23 U.S.C. 148 and the statewide

transportation planning process, proposed paragraph (d) states that the

long-range statewide transportation plan should include a safety

element that incorporates or summarizes the priorities, goals,

countermeasures, or projects contained in the Strategic Highway Safety

Plan (SHSP). See ``Key Statutory Changes'' above, on the SHSP

requirement.

Proposed paragraph (i) requires that the long-range statewide

transportation plan be developed, as appropriate, with State, Tribal,

and local agencies responsible for land use management, natural

resources, environmental protection, conservation, and historic

preservation, including the comparison of transportation plans to State

and Tribal inventories or plans/maps of natural and historic resources

as mandated in 23 U.S.C. 135(f)(2)(D) and 49 U.S.C. 5304(f)(2)(D).

While the title of 23 U.S.C. 135(f)(2)(D) and 49 U.S.C.

5304(f)(2)(D) is ``Consultation, Comparison and Consideration,'' it is

important to note that the consultation referenced in the statute is

different from the definition of consultation in the existing or

proposed regulation. The statute specifically defines ``consultation''

in this section as involving ``comparison of transportation plans to

State and Tribal conservation plans or maps, if available, and

comparison of transportation plans to inventories of natural or

historic resources, if available.''

Proposed paragraph (j) requires that the long-range statewide

transportation plan contain a discussion of potential environmental

mitigation activities (at the policy and/or strategic-levels, not

project-specific). See ``Key Statutory Changes'' above. In developing

this discussion in consultation with Federal, State, and Tribal land

management, wildlife, and regulatory agencies, this proposed paragraph

allows States to establish reasonable timeframes for performing this

consultation.

Proposed paragraph (k) identifies the ``interested parties''

defined in 23 U.S.C. 135(f)(3)(A) and 49 U.S.C. 5304(f)(3)(A) that must

be provided a reasonable opportunity to comment on the proposed long-

range statewide transportation plan.

Proposed paragraph (l) would implement a provision, added by TEA-21

and retained in 23 U.S.C. 135(f)(5) and 49 U.S.C. 5304(f)(5), for an

optional financial plan to be developed to support the long-range

statewide transportation plan. Another provision added by the TEA-21,

retained by 23 U.S.C. 135(f)(5) and 49 U.S.C. 5304(f)(5), and reflected

in proposed paragraphs (l) and (m) states that the financial plan may

include informational ``illustrative projects'' reflecting additional

projects that would be included if other revenue sources were to become

available.

Also reflecting language in 23 U.S.C. 135(f)(3)(B)(iii) and 49

U.S.C. 5304(f)(3)(B)(iii), proposed paragraph (n) would require the

State to publish or otherwise make available the long-range statewide

transportation plan in electronically accessible formats and means

(such as the World Wide Web). See ``Key Statutory Changes'' above.

Development and content of the statewide transportation improvement program (STIP): Sec. 450.216

Post a comment on this section

(a) The State shall develop a statewide transportation improvement

program (STIP) for all areas of the State. The STIP shall cover a

period of not less than four years and be updated at least every four

years, or more frequently if the Governor elects a more frequent update

cycle. If the STIP covers more than four years, the FHWA and the FTA

will consider the projects in the additional years as informational. In

case of difficulties developing a portion of the STIP for a particular

area (e.g., metropolitan planning area, nonattainment or maintenance

area, or Indian Tribal lands), a partial STIP covering the rest of the

State may be developed.

(b) For each metropolitan area in the State, the STIP shall be

developed in cooperation with the MPO designated for the metropolitan

area. Each metropolitan transportation improvement program (TIP) shall

be included without change in the STIP, directly or by reference, after

approval of the TIP by the MPO and the Governor. A metropolitan TIP in

a nonattainment or maintenance area is subject to an FHWA/FTA

conformity finding before inclusion in the STIP. In areas outside a

metropolitan planning area but within an air quality nonattainment or

maintenance area containing any part of a metropolitan area, projects

must be consistent with the regional emissions analysis that supported

the conformity determination of the associated metropolitan TIP.

developed in consultation with affected non-metropolitan local

officials with responsibility for transportation using the State's

consultation process(es) established under Sec. 450.210.

(d) For each area of the State under the jurisdiction of an Indian

Tribal government, the STIP shall be developed in consultation with the

Tribal government and the Secretary of the Interior.

(e) Federal Lands Highway program TIPs shall be included without

change in the STIP, directly or by reference, once approved by the FHWA

pursuant to 23 U.S.C. 204(a) or (j).

(f) The Governor shall provide all interested parties with a

reasonable opportunity to comment on the proposed STIP as required by

Sec. 450.210(a).

(g) The STIP shall include federally supported capital and non-

capital surface transportation projects (or phases of projects) within

the boundaries of the State proposed for funding under title 23,

U.S.C., and title 49, U.S.C., Chapter 53 (including transportation

enhancements; Federal Lands Highway program projects; safety projects

included in the State's Strategic Highway Safety Plan; trails projects;

pedestrian walkways; and bicycle facilities), but excluding:

(1) Safety projects funded under 49 U.S.C. 31102;

(2) Metropolitan planning projects funded under 23 U.S.C. 104(f),

49 U.S.C. 5305(d), and 49 U.S.C. 5339;

(3) State planning and research projects funded under 23 U.S.C. 505

and 49 U.S.C. 5305(e);

(4) At the State's discretion, State planning and research projects

funded with National Highway System, Surface Transportation Program,

and/or Equity Bonus funds;

(5) Emergency relief projects (except those involving substantial

functional, locational, or capacity changes);

(6) National planning and research projects funded under 49 U.S.C.

5314; and

(7) Project management oversight projects funded under 49 U.S.C.

5327.

(h) The STIP shall contain all regionally significant projects

requiring an action by the FHWA or the FTA whether or not the projects

are to be funded with 23 U.S.C., Chapters 1 and 2 or title 49, U.S.C.,

Chapter 53 funds (e.g., addition of an interchange to the Interstate

System with State, local, and/or private funds, and congressionally

designated projects not funded under title 23, U.S.C., or title 49,

U.S.C., Chapter 53). For informational purposes, the STIP should

include all regionally significant projects proposed to be funded with

Federal funds other than those administered by the FHWA or the FTA. In

addition, the STIP should include, for informational purposes (if

appropriate and included in any TIPs), all regionally significant

projects to be funded with non-Federal funds.

(i) The STIP shall include for each project or phase (e.g.,

preliminary engineering, environment/NEPA, right-of-way, design, or

construction) the following:

(1) Sufficient descriptive material (i.e., type of work, termini,

and length) to identify the project or phase;

(2) Estimated total project cost, or a project cost range, which

may extend beyond the four years of the STIP;

(3) The amount of funds proposed to be obligated during each

program year for the project or phase, by sources of Federal and non-

Federal funds; and

(4) Identification of the agencies responsible for carrying out the

project or phase.

(j) Projects that are not considered to be of appropriate scale for

individual identification in a given program year may be grouped by

function, work type, and/or geographic area using the applicable

classifications under 23 CFR 771.117(c) and (d) and/or 40 CFR part 93.

In nonattainment and maintenance areas, classifications must be

consistent with the ``exempt project'' classifications contained in the

EPA's transportation conformity regulation (40 CFR part 93). In

addition, projects proposed for funding under title 23, U.S.C., Chapter

2 that are not regionally significant may be grouped in one line item

or identified individually in the STIP.

(k) Each project or project phase included in the STIP shall be

consistent with the long-range statewide transportation plan developed

under Sec. 450.214 and, in metropolitan planning areas, consistent

with an approved metropolitan transportation plan developed under Sec.

450.322.

(l) The STIP may include a financial plan that demonstrates how the

approved STIP can be implemented, indicates resources from public and

private sources that are reasonably expected to be made available to

carry out the STIP, and recommends any additional financing strategies

for needed projects and programs. The financial plan may include, for

illustrative purposes, additional projects that would be included in

the adopted STIP if reasonable additional resources beyond those

identified in the financial plan were available. The State is not

required to select any project from the illustrative list for

implementation, and projects on the illustrative list cannot be

advanced to implementation without an action by the FHWA and the FTA on

the STIP. Additional criteria for STIP financial constraint and

financial plans that support the STIP are contained in Appendix B to

this part.

(m) The STIP shall include a project, or an identified phase of a

project, only if full funding can reasonably be anticipated to be

available for the project within the time period contemplated for

completion of the project. In nonattainment and maintenance areas,

projects included in the first two years of the STIP shall be limited

to those for which funds are available or committed. Financial

constraint of the STIP shall be demonstrated and maintained by year and

shall include sufficient financial information to demonstrate which

projects are to be implemented using current and/or reasonably

available revenues, by source, and which projects are to be implemented

using proposed revenue sources while the entire transportation system

is being adequately operated and maintained. In the case of proposed

funding sources, strategies for ensuring their availability shall be

identified, preferably in the financial plan consistent with paragraph

(l) of this section.

(n) In areas outside a metropolitan planning area but inside a

nonattainment or maintenance area that contains any part of a

metropolitan area, projects must be consistent with the regional

emissions analysis that supported the conformity determination of the

associated metropolitan TIP before they are added to the STIP.

(o) Projects in any of the first four years of the STIP may be

advanced in place of another project in the first four

years of the STIP, subject to the project selection requirements of

Sec. 450.220. In addition, the STIP may be revised at any time under

procedures agreed to by the State, MPO(s), and public transportation

operator(s) consistent with the STIP development procedures established

in this section, as well as the procedures for participation by

interested parties (see Sec. 450.210(a)), subject to FHWA/FTA approval

(see Sec. 450.218). All changes that affect fiscal constraint must

take place by amendment of the STIP.

Summary of Changes to Section 450.216: Development and Content of the Statewide Transportation Improvement Program (STIP)

Post a comment on this section

Existing Sec. 450.216 would be re-titled. Except for some

restructuring and reorganization, much of the content of existing Sec.

450.216 would remain intact.

Substantive changes reflected in proposed Sec. 450.216 reflect key

legislative and statutory changes resulting from the TEA-21 and the

SAFETEA-LU. Proposed paragraph (a) requires that the STIP cover a

period of at least four years and be updated at least every four years.

Proposed paragraph (e) would require, pursuant to 23 U.S.C. 204(a) or

(j), that Federal Lands Highway program TIPs be included without

modification in the STIP (directly or by reference) once approved by

the FHWA.

Proposed paragraph (l) would implement a provision, included in the

TEA-21 and retained in 23 U.S.C. 135(g)(4)(F) and 49 U.S.C.

5304(g)(4)(F), that a financial plan may be developed to support the

STIP. Proposed paragraph (l) would be consistent with the FHWA/FTA

Interim Guidance on Fiscal Constraint that was issued on June 30,

2005,\13\ and is included in Appendix B. Another provision in paragraph

(l) that was prompted by TEA-21 and retained in 23 U.S.C. 135(g)(4)(F)

and 49 U.S.C. 5304(g)(4)(F), states that the financial plan may include

informational ``illustrative projects'' reflecting additional projects

that would be included if other revenue sources were to become

available.

Proposed paragraph (m) also would retain the provision in existing

Sec. 450.216(a)(5) that projects included in the first two years of

the STIP in nonattainment and maintenance areas shall be limited to

those for which funds are available or committed. The FHWA and the FTA

believe that retaining this provision is critical to realistic,

meaningful planning and public involvement.

The FHWA and the FTA invite comments on whether the agencies should

require States submitting STIP amendments to demonstrate that funds are

``available or committed'' for projects identified in the STIP in the

year the STIP amendment is submitted and the following year.

Proposed paragraph (o) would allow projects in the first four of

years of the STIP to be advanced in place of another project in the

first four years of the STIP, subject to the project selection

requirements of Sec. 450.220. In addition, proposed paragraph (o)

recognizes State discretion to revise the STIP under procedures agreed

to by the State, the MPOs and the public transportation operators. The

FHWA and the FTA recognize that changes to transportation programs

between formal update cycles may be necessary. We have proposed

definitions for the terms ``administrative modification,''

``amendment,'' and ``revision'' to clarify these actions.

Self-certifications, Federal findings, and Federal approvals: Sec. 450.218

Post a comment on this section

(a) At least every four years, the State shall submit an updated

STIP concurrently to the FHWA and the FTA for joint approval. STIP

amendments shall also be submitted for joint approval. At the time the

entire proposed STIP is submitted to the FHWA and the FTA for joint

approval, the State shall certify that the transportation planning

process is being carried out in accordance with all applicable

requirements of:

(1) 23 U.S.C. 134 and 135, 49 U.S.C. 5303 and 5304, and this part;

(2) Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C.

2000d-1), 49 CFR part 21, and 23 CFR parts 200 and 300;

(3) Section 1101(b) of the SAFETEA-LU (Pub. L. 109-59) and 49 CFR

part 26 regarding the involvement of disadvantaged business enterprises

in USDOT funded projects;

(4) The provisions of the Americans with Disabilities Act of 1990

(42 U.S.C. 12101 et seq.) and 49 CFR parts 27, 37, and 38;

(5) In States containing nonattainment and maintenance areas,

sections 174 and 176(c) and (d) of the Clean Air Act, as amended (42

U.S.C. 7504, 7506(c) and (d)) and 40 CFR part 93;

(6) The Older Americans Act, as amended (42 U.S.C. 6101),

prohibiting discrimination on the basis of age in programs or

activities receiving Federal financial assistance;

(7) Section 324 of title 23, U.S.C., regarding the prohibition of

discrimination based on gender; and

(8) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794)

and 49 CFR part 35 regarding discrimination against individuals with

disabilities.

(b) The FHWA and the FTA shall review the STIP at least every four

years, or at the time the amended STIP is submitted, (based on self-

certifications and appropriate reviews established and conducted by the

FHWA and the FTA) and make a joint finding on the extent to which the

projects in the STIP are based on a statewide transportation planning

process that meets or substantially meets the requirements of 23 U.S.C.

134 and 135, 49 U.S.C. 5303 and 5304, and subparts A, B, and C of this

part. Approval of the STIP by the FHWA and the FTA, in its entirety or

in part, will be based upon the results of this joint finding.

(1) If the FHWA and the FTA determine that the STIP or amended STIP

are based on a statewide transportation planning process that meets or

substantially meets the requirements of 23 U.S.C. 135, 49 U.S.C. 5304,

and this part, the FHWA and the FTA may jointly:

(i) Approve the entire STIP;

(ii) Approve the STIP subject to certain corrective actions being

taken; or

(iii) Under special circumstances, approve a partial STIP covering

only a portion of the State.

(2) If the FHWA and the FTA jointly determine and document in the

planning finding that a submitted STIP or amended STIP does not

substantially meet the requirements of 23 U.S.C. 135, 49 U.S.C. 5304,

and this part for any identified categories of projects, the FHWA and

the FTA will not approve the STIP.

four years. If a State demonstrates, in writing, that extenuating

circumstances will delay the submittal of a new or amended STIP, the

FHWA and the FTA will consider and take appropriate action on a request

to extend the approval beyond four years for all or part of the STIP

for a period not to exceed 180 days. In these cases, priority

consideration will be given to projects and strategies involving the

operation and management of the multimodal transportation system. Where

the request involves projects in a metropolitan planning area(s), the

affected MPO(s) must concur in the request. If the delay was due to the

development and approval of a metropolitan TIP(s), the affected MPO(s)

must provide supporting information, in writing, for the request.

(d) Where necessary in order to maintain or establish transit

operations, the FHWA and/or the FTA may approve operating assistance

for specific projects or programs funded under 49 U.S.C. 5307, 5311,

5316, and 5317, even though the projects or programs may not be

included in an approved STIP.

Summary of Changes to Section 450.218: Self-certification, Federal Findings, and Federal Approvals

Post a comment on this section

Existing Sec. 450.220 would be re-titled and redesignated as Sec.

450.218. Proposed paragraph (a) would revise existing Sec. 450.220(a)

to reflect that the State must submit the entire STIP to the FHWA and

the FTA for joint approval, at least once every four years, consistent

with the extended cycle established in 23 U.S.C. 135(g)(1) and 49

U.S.C. 5304(g)(1). Furthermore, the State must submit any STIP

amendments for joint approval. In addition, proposed paragraphs (a)(1)

through (a)(8) would articulate the existing legislative and regulatory

authorities to be included in the State self-certification, including

three additional Federal requirements ((1) the Older Americans Act; (2)

23 U.S.C. 324 regarding the prohibition of discrimination based on

gender; and (3) section 504 of the Rehabilitation Act of 1973 regarding

discrimination against individuals with disabilities). These

requirements previously existed and the regulations would be revised to

include them.

We also are proposing to modify existing Sec. 450.220(b) slightly

in proposed paragraph (b) to indicate the relationship of the FHWA/FTA

planning finding on the statewide transportation planning process to

self-certifications by the State.

Existing Sec. 450.220(d) would be revised and redesignated as a

new proposed paragraph (c), indicating that STIP extensions (and by

their inclusion, TIP extensions) would be limited to 180 days, with

priority consideration to be given to projects and strategies involving

the operation and management of the multimodal transportation system.

Project selection from the STIP: Sec. 450.220

Post and view comments on this section

(a) Except as provided in Sec. 450.216(g) and Sec. 450.218(d),

only projects in a FHWA/FTA approved STIP shall be eligible for funds

administered by the FHWA or the FTA.

(b) In metropolitan planning areas, transportation projects

proposed for funds administered by the FHWA or the FTA shall be

selected from the approved TIP/STIP in accordance with procedures

established pursuant to the project selection portion of subpart C of

this part.

on the National Highway System, under the Bridge and Interstate

Maintenance programs in title 23, U.S.C., and under sections 5310,

5311, 5316, and 5317 of title 49, U.S.C., Chapter 53 shall be selected

from the approved STIP by the State in consultation with the affected

non-metropolitan local officials with responsibility for

transportation.

(d) Federal Lands Highway program projects shall be selected from

the approved STIP in accordance with the procedures developed pursuant

to 23 U.S.C. 204.

(e) The projects in the first year of an approved STIP shall

constitute an ``agreed to'' list of projects for subsequent scheduling

and implementation. No further action under paragraphs (b) through (d)

of this section is required for the implementing agency to proceed with

these projects. If Federal funds available are significantly less than

the authorized amounts, or where there are significant shifting of

projects between years, Sec. 450.330(a) provides for a revise