In what’s easily the most comprehensive
revision of federal transportation planning regulations since ISTEA took effect
in the early 1990s, the Federal Highway Administration (FHWA) and Federal
Transit Administration (FTA) issued new regulations governing the federally
required transportation planning processes of states and metropolitan planning
organizations (MPOs). Published in the May 27, 2016, Federal Register, this
rule becomes effective June 27, 2016, and will be in full effect by the end of
2018.
It should go without saying that if you’re a
transportation planner at an MPO or state department of transportation, you should
read this rule closely. For the full text of the Federal Register notice of
this rule’s publication, go to https://www.federalregister.gov/articles/2016/05/27/2016-11964/statewide-and-nonmetropolitan-transportation-planning-metropolitan-transportation-planning. As this rule starts to take effect, FHWA and FTA will continue
to post information on their respective websites, http://www.fhwa.dot.gov/planning/ (FHWA), https://www.transit.dot.gov/regulations-and-guidance/transportation-planning/transportation-planning (FTA), and https://planning.dot.gov (the joint
FHWA-FTA Transportation Planning Capacity Building site).
If you’re not a transportation planner, you still
should know much of the information in this rule, as it has the potential to
change the landscape for many urban and rural transit services, and can change
the opportunities and rules of engagement for many transportation system users,
advocates and other stakeholders.
The following summary is not an official
statement or interpretation from FHWA, FTA or any other federal government
agency. It’s simply the result of my reading and analysis of the new
FHWA/FTA planning rule. And it's a reflection of those things that caught my eye as interesting or important....if you see things that ought to be corrected or elaborated, let me know!
Why did FHWA and FTA issue this rule?
The main reason for this transportation
planning rule is that MAP-21 (the surface transportation authorizing
legislation enacted in 2012) requires a number of transformational changes in
how states and MPOs are to carry out their planning responsibilities in order
to make use of federal highway and transit funds. After much stakeholder
engagement and internal analysis, FHWA and FTA issued their proposed
regulations for statewide and metropolitan transportation planning on June 2,
2014, and issued proposed regulations regarding transportation planning and
environmental reviews on September 10, 2014. Those proposed regulations have
been combined into this final rule, along with a few regulatory modifications
required under the more recently enacted FAST Act surface transportation
authorization.
What are the major topics of this rule?
1. Performance-Based Planning and Programming
Among planners, the most dramatic change
brought about by this rule is the requirement that transportation planning
becomes a “performance-driven, outcome-based program that provides for a
greater level of transparency and accountability, improved project
decisionmaking, and more efficient investment of Federal transportation funds,”
as stated by FHWA and FTA.
Performance-based transportation planning and
programming has been employed in various ways for years by many states and MPOs.
Now it’s enshrined in federal law and regulation.
In brief, this approach starts in a
“top-down” fashion, with FHWA and FTA setting a number of national goals and performance
measures in key areas: highway safety, transit safety, pavement and bridge
condition, transit assets’ state of good repair, congestion, reliability of the
National Highway System, air quality and environmental sustainability, and
freight movement. Once these federal measures are set, states will have to
begin setting 2- and 4-year targets by which to show how their plans are
progressing toward meeting the various performance goals, and MPOs will have to
follow suit no more than six months after states have set their performance
targets.
Although FHWA and FTA are prohibited from
establishing performance measures beyond those required under MAP-21, states
and MPOs are allowed to add more measures to the federally mandated list. While
not required under these rules, some MPOs have found that it is most efficient
simply to cast all of their planning activities in a performance-driven light,
and are using performance-based approaches for such things as transit system
performance, public engagement, environmental justice analysis, pedestrian and
bicycle mobility, housing and land use, et al.
For more information on performance-based
transportation planning and programming, visit FHWA’s Transportation
Performance Management site at http://www.fhwa.dot.gov/tpm/.
Also, CTAA helped with the development of FHWA’s Performance-Based Planning and Programming Guidebook, published in
September 2013. You can access this guide online at http://www.fhwa.dot.gov/planning/performance_based_planning/pbpp_guidebook/.
The fact that this guide predates the new
planning regulations works in its favor, as it focuses on the practices of
performance-based planning, rather than the regulatory details.
2. New Emphasis on Rural Transportation Planning
Prior to MAP-21, all transportation planning
outside of urbanized areas was the responsibility of states’ departments of
transportation. For many years, some states had delegated aspects of
transportation planning and programming to sub-state regional or rural planning
organizations, but this was never recognized in federal law or regulation.
Now, states have the option for formally
designating Regional Transportation Planning Organizations with responsibility
for transportation planning and programming outside those states’ urbanized
areas. States are not required to use these RTPOs, and it’s possible some
states may continue the informal use of rural planning groups as they’ve done
in past years. But for those states opting for these formal relationships and
responsibilities, the rule specifies the details of how this is supposed to
work.
3. Expanding the Pool of Participating Planning Partners
MAP-21 and the FAST Act have added parties who must be part of states’ and MPOs’
transportation planning processes. To that end, states now will have to prepare
public involvement plans (a similar requirement for MPOs has long been in
effect), with nearly a dozen required elements of coordination among planning
partners and processes. The longstanding requirement for states to cooperate
with nonmetropolitan local officials in developing statewide transportation
plans is given greater rigor in this rule.
The statutory requirement that public transit
interests be represented on MPOs’ boards or policy committees now is reflected
in the rule, as is the expectation set by the FAST Act, that a broad range of
private providers of transportation, along with many other stakeholder
interests, be afforded meaningful input into statewide and metropolitan
transportation planning processes.
This involvement of transportation providers
takes different forms for states and MPOs.
In the statewide planning process, the rule
reads, “The State’s public involvement process [for carrying out the statewide
transportation planning process] at a minimum shall…[establish] early and
continuous public involvement opportunities that provide timely information
about transportation issues and decisionmaking processes to individuals,
affected public agencies, representatives of public transportation employees, …
private providers of transportation (including intercity bus operators),
representatives of users of public transportation, … and other interested
parties” at 23 CFR 450.210(a)(1)(i).
In the metropolitan planning process, the
rule reads, “The MPO shall develop and use a documented participation plan
defines a process for providing individuals, affected public agencies,
representatives of public transportation employees, … private providers of transportation
(including intercity bus operators, employer-based commuting programs, such as
carpool program, vanpool program, transit benefit program, parking cash-out
program, shuttle program, or telework program), representatives of users of
public transportation, … and other interested parties with opportunities to be
involved in the metropolitan transportation planning process” at 23 CFR
450.316(a).
For both states and MPOs, there now is a
specific requirement that statewide and metropolitan plans be coordinated with
the public transit-human services transportation plans required under FTA’s
Section 5310 program. The specific language on this point is worth noting:
“Preparation of the coordinated public transit-human services transportation
plan, as required by 49 U.S.C. 5310, should be coordinated and consistent with
the statewide transportation planning process” at 23 CFR 450.208(h), and “Preparation
of the coordinated public transit-human services transportation plan, as
required by 49 U.S.C. 5310, should be coordinated and consistent with the
metropolitan transportation planning process” at 23 CFR 450.306(h).
The requirement that MPOs consider both
governmental and non-governmental human services transportation in their areas
when developing metropolitan transportation plans and TIPs remains in force.
If You’re Not A Planner, How Does This Rule Affect You?
Even if you’re not responsible for carrying
out statewide or metropolitan transportation planning, this rule may have some
effects on your day-to-day professional life. For one thing, the emphasis on
performance-based planning is sure to change the way your state or MPO relates
to the transportation plans and programs that you care about and carry out.
It looks like this rule may affect certain
types of organizations in various ways. What follows is speculative, and
general, so if you’re concerned with specific regulatory requirements, it’s
important to read the rule, and follow up as appropriate with FHWA and/or FTA. The
following are some selected, significant changes under the new rule:
If you’re a rural public transit provider….
·
The state is required to
coordinate with you as it develops its performance targets under this rule.
·
If your state is establishing
Regional Transportation Planning Organizations, you should expect to be
involved in the process of RTPO designation, and you should expect to be
included in the planning and programming that the RTPO is performing.
·
Your compliance with FTA’s asset
management and safety rules should feed into your state’s performance-based
long-range transportation plan and statewide transportation improvement program
(STIP).
·
If you’re involved with the
state’s Section 5310 program, you can expect to see that program’s required
coordinated public transit-human services transportation plan be coordinated
and consistent with the state’s performance-based long-range transportation
plan and STIP.
If you’re a public transit provider in an urbanized area of less
than 200,000 population….
·
Your compliance with FTA’s asset
management and safety rules should feed into your MPO’s performance-based
metropolitan transportation plan and transportation improvement program (TIP).
·
If you’re involved with the
Section 5310 program, you can expect to see that program’s required coordinated
public transit-human services transportation plan be coordinated and consistent
with your area’s performance-based metropolitan transportation plan and TIP.
If you’re a public transit provider in an urbanized area of more
than 200,000 population….
·
If you’re involved with the
Section 5310 program, you can expect to see that program’s required coordinated
public transit-human services transportation plan be coordinated and consistent
with your area’s performance-based metropolitan transportation plan and TIP.
·
You (or some representative of
the public transit providers in your urbanized area) will be involved in the
governance of your MPO.
If you’re an MPO in an urbanized area of less than 200,000
population….
·
You must read the rule closely,
as it will affect almost everything about how you carry out your transportation
planning and programming.
·
You can expect to see that your
planning-based performance measures and targets will need to be included in
your state’s long-range transportation plan.
·
You’ll be setting goals and
performance measures, consistent with those established by your state, and
using this performance-based approach in the development of your metropolitan
transportation plan and TIP.
·
You may want to review your
current public participation plan; it’s likely you will need to expand that
process to include more parties.
·
If you’re involved with the
Section 5310 program, you can expect to see that program’s required coordinated
public transit-human services transportation plan be coordinated and consistent
with your performance-based metropolitan transportation plan and TIP.
If you’re an MPO in an urbanized area of more than 200,000
population….
·
You must read the rule closely,
as it will affect almost everything about how you carry out your transportation
planning and programming.
·
You can expect to see that your
planning-based performance measures and targets will need to be included in
your state’s long-range transportation plan.
·
You’ll be setting goals and
performance measures, consistent with those established by your state, and
using this performance-based approach in the development of your metropolitan
transportation plan and TIP.
·
You may want to review your
current public participation plan; it’s likely you will need to expand that
process to include more parties.
·
You may need to make
organizational changes to assure transit representation in your governance and
policy setting.
·
You should examine the rule’s
requirements concerning congestion management, and if you’re in a
non-attainment area, you should examine the rule’s requirements concerning
Clean Air Act conformity.
·
If you’re involved with the
Section 5310 program, you can expect to see that program’s required coordinated
public transit-human services transportation plan be coordinated and consistent
with your performance-based metropolitan transportation plan and TIP.
If you’re a rural/regional transportation planner….
·
Since this is a brand-new feature
of law and regulation, you should study these sections of the rule closely,
working with your state as appropriate to carry out RTPO designations and work
activities, if your state chooses to designate RTPOs. In case you’re curious,
here’s the exact language from the rule on states’ use of RTPOs, found at 23
CFR 450.210(d):
(d) To carry out the
transportation planning process required by this section, a Governor may
establish and designate RTPOs to enhance the planning, coordination, and
implementation of the long-range statewide transportation plan and STIP, with
an emphasis on addressing the needs of nonmetropolitan areas of the State. In
order to be treated as an RTPO for purposes of this Part, any existing regional
planning organization must be established and designated as an RTPO under this section.
(1) Where established, an RTPO
shall be a multijurisdictional organization of nonmetropolitan local officials
or their designees who volunteer for such organization and representatives of
local transportation systems who volunteer for such organization.
(2) An RTPO shall establish, at a
minimum:
(i) A policy committee, the
majority of which shall consist of nonmetropolitan local officials, or their
designees, and, as appropriate, additional representatives from the State,
private business, transportation service providers, economic development
practitioners, and the public in the region; and
(ii) A fiscal and administrative
agent, such as an existing regional planning and development organization, to
provide professional planning, management, and administrative support.
(3) The duties of an RTPO shall
include:
(i) Developing and maintaining,
in cooperation with the State, regional long-range multimodal transportation
plans;
(ii) Developing a regional TIP
for consideration by the State;
(iii) Fostering the coordination
of local planning, land use, and economic development plans with State, regional,
and local transportation plans and programs;
(iv) Providing technical
assistance to local officials;
(v) Participating in national,
multistate, and State policy and planning development processes to ensure the
regional and local input of nonmetropolitan areas;
(vi) Providing a forum for public
participation in the statewide and regional transportation planning processes;
(vii) Considering and sharing
plans and programs with neighboring RTPOs, MPOs, and, where appropriate, Indian
Tribal Governments; and
(viii) Conducting other duties,
as necessary, to support and enhance the statewide planning process under §
450.206.
(4) If a State chooses not to
establish or designate an RTPO, the State shall consult with affected
nonmetropolitan local officials to determine projects that may be of regional
significance.
There’s a lot more in this rule, too
While the above analysis focuses on topics of
greatest interest to most transit providers and planners, there are other
aspects in this rule that can be very important to certain audiences in certain
situations. Among other topics, these include:
·
The new planning regulations also
address a number of changes in how transportation planning and programming is
expected to address environmental issues, including conformity with the Clean
Air Act, compliance with NEPA, etc.
·
There is a lot of prescriptive
language for MPOs and states concerning what should appear in long-range
transportation plans, TIPs, STIPs and related documents.
·
While most of the planning
factors remain unchanged from before MAP-21, the FAST Act required the addition
of “resiliency” as a component of states’ and MPOs’ planning factors.
Specifically, this factor is defined as “Improve the resiliency and reliability
of the transportation system and reduce or mitigate stormwater impacts of
surface transportation” (at 23 CFR 450.206(a)(9) for states, and at 23 CFR
450.306(b)(9) for MPOs).
What about those performance measures? Won’t that mean more of a data
collection and reporting burden for me?
For all this attention that performance-based
planning and programming rightfully is receiving these days, we’re still
waiting for FTA and FHWA to nail down most of the national performance
measures. Without those, it’s difficult to know quite what to expect in terms
of individual agencies’ data collection and reporting burdens. Data don’t
invent themselves, so there will be some burden somewhere, although FTA and
FHWA have been encouraged to use or adapt existing data sets and processes as
much as possible to satisfy the goals of this national performance-based
planning approach.
Not all of the statutory performance goals
and measures apply to everyone, but they all start with national goals and
measures issued by FHWA and FTA. Note that of all the transportation
performance measurement areas required by MAP-21, only the highway safety
measures have been established thus far. Here is CTAA’s effort to list the
measures, with their status as of June 2016, and with regulatory citations to
help stay abreast of these various measures:
·
Safety performance on all public
roads (FINALIZED at 23 CFR 490.207)
o
Number of fatalities
o
Number of serious injuries
o
Fatality rate, per vehicle miles
traveled
o
Rate of serious injuries, per
vehicle miles traveled
o
Number of non-motorized
fatalities and non-motorized serious injuries
·
Pavement condition on the
Interstate Highway System (proposed at 23 CFR 490.307; not yet adopted)
o
Percentage of pavements on the
Interstate System in Good condition
o
Percentage of pavements on the
Interstate System in Poor condition
·
Pavement condition on the
National Highway System, other than the Interstate Highway System (proposed at
23 CFR 490.307; not yet adopted)
o
Percentage of pavements on the
non-Interstate NHS in Good condition
o
Percentage of pavements on the
non-Interstate NHS in Poor condition
·
Bridge condition on the National
Highway System (proposed at 23 CFR 490.407; not yet adopted)
o
Percentage of NHS bridges
classified as in Good condition
o
Percentage of NHS bridges
classified as in Fair condition
o
Percentage of NHS bridges
classified as in Poor condition
·
Performance on the Interstate
Highway System (proposed at 23 CFR 490.507; not yet adopted)
o
Percent of the Interstate System
providing for Reliable Travel Times
o
Percent of the Interstate System
where Peak Hour Travel Times in urbanized areas over 1,000,000 in population
meet expectations
·
Performance on the National
Highway System, other than the Interstate Highway System (proposed at 23 CFR
490.507; not yet adopted)
o
Percent of the non-Interstate NHS
providing for Reliable Travel Times
o
Percent of the non-Interstate NHS
where Peak Hour Travel Times in urbanized areas over 1,000,000 in population
meet expectations
·
Traffic congestion (proposed at
23 CFR 490.707; not yet adopted)
o
Annual House of Excessive Delay
Per Capita
·
On-road mobile source emissions
(proposed at 23 CFR 490.807; not yet adopted)
o
Total Emissions Reduction
·
Freight movement on the
Interstate Highway System (proposed at 23 CFR 490.607; not yet adopted)
o
Percent of the Interstate System
Mileage providing for Reliable Truck Travel Times
o
Percent of the Interstate System
Mileage Uncongested
·
State of good repair of transit
assets (proposed at 49 CFR 625.43; not yet adopted)
o
Percentage of non-revenue,
support-service and maintenance vehicles that have met or exceeded their useful
life benchmark
o
Percentage of revenue vehicles in
each asset class that have met or exceeded their useful life benchmark within
that asset class
o
Percentage of track segments,
signal, and systems with performance restrictions
o
Percentage of facilities within
an asset class, rated below condition 3 on the TERM scale
·
Public transit safety performance
(included by reference in proposed 49 CFR 670.31; this rule has not yet been
adopted, nor does it appear the suggested national public transportation safety
plan, or the suggested plan’s performance criteria yet been proposed)
o
[These performance measures
apparently have yet to be proposed]
For more information….
·
Read the planning rule at https://www.federalregister.gov/articles/2016/05/27/2016-11964/statewide-and-nonmetropolitan-transportation-planning-metropolitan-transportation-planning
· CTAA’s point of contact for more
information, or for possible technical assistance on aspects of this rule, is
me. You can reach me by phone at 202-250-4108, or by email at Zeilinger@ctaa.org
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