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Notice of Proposed RulemakingPublic Outreach Meeting

Planning NPRM ITS Architecture and Standards NPRM Environment NPRM

Federal Highway AdministrationFederal Transit Administration

June – July 2000

NPRM Public Outreach Meeting 2

Meeting Agenda

8:00 AM Registration 8:30 Introduction and Overview 8:45 Planning NPRM Presentation 9:45 Planning Q&A 10:45 Break 11:00 ITS Architecture and Standards NPRM Presentation 12:00 Lunch Break 1:00 PM ITS Architecture and Standards Q&A 2:00 Break 2:15 Environment NPRM Presentation 3:15 Environment Q&A 5:00 Adjourn



Introduction and Overview Planning NPRM ITS Architecture and Standards NPRM Environment NPRM


Scope and Purpose of Meeting

Publicize existence of NPRM and comment process Identify major policy objectives Discuss major provisions or changes proposed in each

rule Answer questions that clarify content and intent of

NPRMs Invite stakeholders to provide official comments to

NPRMs through U.S. DOT docket


NPRM Overview

Three NPRMs• Metropolitan and statewide planning

- revised rule; substantial portion unchanged- closely reflects statutory provisions

• ITS Architecture and Standards- New rule for ITS; also embedded in planning

• Transportation Planning NPRM (§1410)• Project Development NPRM (§940)

- FTA project level policy implemented differently• National Environmental Policy Act

- Major rewrite for NEPA rule (first since 1987)

Joint proposals between FHWA and FTA


Planning and Environment Outreach and Comment Process

June 98 - Jan 99 Secretary’s Listening Sessions on TEA-21 Implementation

Feb 99 FHWA-FTA options paper for public comment

May - Sept 99 Draft rules prepared

May 00 Publication in Federal Registerwith 90 day comment period

June 00 National video conference

June - July 00 Seven public briefings


ITS Architecture and Standards Outreach and Comment Process

Spring 98 Outreach meetings on conceptual approach

June 98 – Jan 99 Secretary Slater’s Listening Sessions on TEA-21 implementation

Spring 99 Informational presentations on U.S. DOT “policy approach; thoughts to date”

May – Oct 99 Draft rules prepared

Nov 99 FTA/FHWA approval and transmittal to Secretary Slater

Spring 2000 Coordination of timing with Planning NPRM

May – Aug 00 Publication in Federal Register with 90 day comment period

June – July 00 Seven public briefings


Submitting Comments on NPRMs

Submit in writing to: Docket Clerk

U.S. DOT Dockets, Room PL-401

400 7th St., SW

Washington, DC 20590-0001

Reference appropriate docket number Docket closure on August 23, 2000 Comments received after docket is closed will be

considered to the extent possible


Major Policy Objectives

Implement statutory provisions and reflect congressional intent

Provide flexibility to transit operators, states, and MPOs; emphasize outcomes and not process and procedures

Reflect key Federal priorities• Environmental Justice• Environmental Streamlining• Intelligent Transportation Systems


Presentation Format for Each Section

Major Provisions or Changes Legislative Provisions Current Regulations Proposed Regulations Intended Outcomes Clarification of Information Presented


Major Provisions or Changes

• State Consultation with Local Officials*• Revenue Forecasts*• Planning Factors*• Safety*• Twenty Year Plan Horizon• FHWA/FTA “Finding” on STIP• TIP Extensions Severely Curtailed• Annual Listing of Obligated Projects*

* These are new requirements written into TEA-21.

Planning NPRM


Major Provisions or Changes (cont’d)

Linkage to ITS Architecture and Standards*

Environmental Justice/Title VI

Planning and Project Development (NEPA) Linkage*

Air Quality Conformity Provisions

* These are new requirements written into TEA-21.

Planning NPRM


State Consultation with Non-Metropolitan Local Officials

Legislative Provisions• TEA-21 (Section 1204) requires states to consult with non-

metropolitan local officials in transportation decisionmaking and to document the process for consultation

Current Regulations• Reasonable opportunity for public officials to comment on plan

and STIP development• Cooperation / consultation with local officials on project selection

in non-metropolitan areas

Planning NPRM


State Consultation with Non-Metropolitan Local Officials (cont’d)

Proposed Regulations [§1410.212(a)(1-2) and (c), §1410.214(b)(4) and (c), §1410.216(b)(4)]

• Revise definition of consultation- “Consultation means that one party confers with another party, in

accordance with an established process, about an anticipated action and then keeps that party informed about actions taken.” [§1410.104]

• Include state and non-metropolitan local elected officials in the Statewide planning process so that the process is a continuing cooperative and comprehensive process

• Requires the state and non-metropolitan officials to cooperatively develop and document a process for consultation.

Planning NPRM


State Consultation with Non-Metropolitan Local Officials (cont’d)

Intended Outcomes• Increased involvement of non-metropolitan local

officials in the planning process will better reflect concerns of Rural America reflected in transportation decisions

• Increased opportunity for rural economic development

Planning NPRM


Revenue Forecasts

Legislative Provisions• TEA-21 directs that the State and MPOs establish a

cooperative process to estimate revenues available to support metropolitan plans

Current Regulations• Cooperative development of estimates of revenues

available for plan and TIP development

Planning NPRM


Revenue Forecasts (cont’d)

Proposed Regulations [§1410.216(a), §1410.322(b)(10), §1410.324(e)]• Requirement for cooperative development (by States,

MPOs and transit agencies) of revenue forecasts to be used in planning and programming clarified

• The MPO, the State DOT, and the transit operator(s) will establish and mutually agree upon procedures to develop financial estimates used in preparing plans and programs

Planning NPRM


Revenue Forecasts (cont’d)

Intended Outcomes• Better financial information for MPO planning and

programming• Open and understandable revenue-forecasting process

to facilitate full “buy-in” by all participants • Greater clarity for financial information assumptions

and options• Flexibility for MPO, State DOT, and transit operator(s)

in cooperatively developing estimates• Enhanced cooperation among State and Local officials

Planning NPRM


Planning Factors

Legislative Provisions• TEA-21 (Sections 1203, 1204, and 3004) consolidates and simplifies

planning factors• Failure to consider factor is not subject to court review

Current Regulations• 16 and 23 factors for metropolitan and statewide planning

Proposed Regulations [§1410.208 state, §1410.316 metropolitan]

• Identify the 7 new or revised TEA-21 planning factors using statutory language

Planning NPRM


Planning Factors (cont’d)

Proposed Regulations (cont’d)• Economic vitality• Safety and security• Accessibility and mobility• Environment and energy• Intermodalism• Efficiency• Preservation of the existing transportation system

Planning NPRM


Planning Factors (cont’d)

Intended Outcomes• Streamline and simplify factors• Rely on legislative language to guide planning process• Use non-regulatory approaches to promote good

practices• Support local application of factors to fit local

circumstances (no one size fits all)• State and local consideration of a full range of planning

factors, as applicable, in the local context

Planning NPRM


Safety

Legislative Provisions• Safety is one of 7 planning factors to be addressed in developing a

transportation plan

Current Regulations• Only direct reference is transit safety (one of 16 factors)

Proposed Regulations [§1410.208 state, §1410.316 metropolitan; §1410.206(a)(4), §1410.214(a)(2), §1410.216(c)(6)]

• Listed as 1 of 7 planning factors

Planning NPRM


Safety (cont’d)

Intended Outcomes• Safer transportation system• More emphasis on safety in transportation plans, programs, and

projects• Reliance on localized application with FHWA/FTA providing

training, good practices, and other specialized activity• Increased awareness and visibility of safety issues for local

decisionmakers• Greater awareness and consideration of safety issues in

transportation decisions

Planning NPRM


Twenty Year Plan Horizon

Legislative Provisions• TEA-21 continues legislative requirement for 20-year

forecast period for state and metropolitan transportation plans

Current Regulations• Plan must have at least 20-year horizon at time of

adoption by MPO and State

Planning NPRM


Twenty Year Plan Horizon (cont’d)

Proposed Regulations [§1410.322(e), 1410.214(a)(4)]• In all areas, plans must reflect most recent assumptions

for population, travel, land use, congestion, employment, and economic activity at time of adoption or revision

• In attainment areas, metropolitan plan must have 20-year plan at time of adoption by MPO; remains valid for Federal actions for five years before next update unless modified by addition of regionally significant project

Planning NPRM



Proposed Regulations (cont’d)• Non-attainment and maintenance area horizon is also

20 years at plan adoption but length of validity for Federal action is only 3 years; modification by adding non-exempt project would trigger update

• State plans are 20-year horizon at adoption, with update cycle set by State [§1410.214(a)(4)]

Planning NPRM



Intended Outcomes• Meet statutory requirement for 20-year plans • Maintain completeness and utility of plans for decision-

making• Align conformity findings and plan adoption timeframes

Planning NPRM


FHWA/FTA “Finding” on STIP and TIP

Legislative Provisions• TEA-21 (Sections 1204) requires a finding by the

Secretary that the STIP comes from a planning process that is consistent with Sections 1203, 1204 and 5303-05

Current Regulations• Existing regulations require finding that projects in

TIP/STIP are based on planning process consistent with federal regulations

Planning NPRM


FHWA/FTA “Finding” on STIP and TIP (cont’d)

Proposed Regulations[§1410.322(b)]

• Regulation based on new statutory language and previous regulations approach

Intended Outcomes• Reflect the TEA-21 requirement• Improve transportation planning process by identifying areas for

focused improvement• Provide a recurring basis for positive reinforcement of effective

planning processes and earlier identification of weaknesses• Identify best practices to share with other states

Planning NPRM


STIP/TIP Extensions Severely Curtailed

Legislative Provisions• No legislative provisions

Current Regulations• Allows FHWA and FTA to grant extension in

extraordinary circumstances for time period determined based on situation

Planning NPRM


STIP / TIP Extensions Severely Curtailed (cont’d)

Proposed Regulations[§1410.324, 1410.222(c)]

• TIP/STIP extensions are not allowed in air quality non-attainment or maintenance areas

• TIP/STIP extensions in attainment areas cannot exceed 180 days

Intended Outcomes• Reflect the requirements and limitations of the law in a reasonable

manner• Provide effective mechanisms for administering Federal

transportation programs

Planning NPRM


Annual Listing of Obligated Projects

Legislative Provisions• TEA-21 (Sections 1203 and 3005) requires MPO to

provide an annual listing of projects for which Federal funds have been obligated in the previous year

Current Regulations• No current provision

Planning NPRM


Annual Listing of Obligated Projects (cont’d)

Proposed Regulations [§1410.324(n)(5)]

• Section on TIP content revised to include a requirement for an annual listing of obligated projects using TIP as basis

Intended Outcomes• Flexibility to design process locally to meet localized operating

context• Allows planning partners flexibility in designing process• Encourages greater public information concerning funds which

have been obligated in the previous year

Planning NPRM


ITS Transportation Investments

Legislative Provision• All projects funded with highway trust fund monies

(including the Mass Transit Account) must conform with the National ITS Architecture and standards

Current Regulations• None specific to ITS

Planning NPRM – Linkage to ITS NPRM


ITS Transportation Investments (cont’d)

Proposed Regulations [§1410.322(b)(11), §1410.214(a)(3), §1410.216(c)(8)]• Mainstream and initiate decisionmaking for ITS

investments during the planning process• Engage Operating Agencies

Intended Outcomes• ITS investments work together without equipment

conflicts• ITS technology investments routinely included in

transportation plans, programs and projects



Intended Outcomes (cont’d)• Better operation and management of transportation

system• Mainstreaming of ITS investments as part of alternatives

considered for transportation system improvements• Enhanced interagency cooperation in the management

and development of transportation system• Key ITS projects and initiatives are targeted early in

planning process to facilitate more effective integration

ITS Transportation Investments (cont’d)



Environmental Justice

Legislative Provisions• No specific provisions in TEA-21• Proposed regulatory changes based on current Title VI

requirements of Civil Rights Act

Planning NPRM – Linkage to Environment NPRM


Environmental Justice (cont’d)

Current Regulations• MPO and state must self-certify consistency of plans and

programs with Title VI of Civil Rights Act and existing Title VI implementing regulations

• Each MPO and state public involvement process must “seek out and consider the needs of those traditionally under served by existing transportation systems including but not limited to low-income and minority households”

• No specific FHWA/FTA requirements articulated for supporting analyses




Proposed Regulations [§1410.206(a) state; §1410.316(c) metropolitan]

• Emphasis on need to develop processes that:- Demonstrate explicit consideration of comments from minority,

low-income, and elderly communities, and persons with disabilities

- Seek out and consider input from the transportation disadvantaged

- Must evaluate public involvement process periodically with specific attention to engaging minorities and low-income persons




Proposed Regulations (cont’d)• Title VI and related statute planning language clarified and

specified with regard to data and analytical requirements• Explicit references added to environmental responsibilities

under the Executive Order and DOT Order on environmental justice

- Avoid or mitigate disproportionately high and adverse effects on low-income and minority populations

- Measures to identify how disproportionate impacts are addressed

• Methodologies not specified




Intended Outcomes• Reduce disproportionate impacts of transportation investments on

minorities and low-income groups• Clarify and ensure Title VI application in planning and project

development processes • Earlier identification and analysis of community impacts of

transportation investments• Effective inclusion and engagement of minorities and low-income

groups in transportation decision-making• Early identification of impacts that can be mitigated (reduction of

adverse impacts) and equitable application of mitigation actions



Planning and Project Development (NEPA) Linkage

Legislative Provisions• TEA-21 (Section 1308) eliminates separate Major Investment

Study (MIS) requirement and calls for integrating the requirement with analyses in the planning and environmental (NEPA) rules

Current Regulations• Participants cooperatively decide on need to do MIS• Planning analyses may be used in NEPA process



Planning and Project Development (NEPA) Linkage (cont’d)

Proposed Regulations [§1410.318 metropolitan, §1410.218 state]• Eliminate standalone MIS; link planning and

environmental processes• Encourage early involvement of resource and permit

agencies• Planning analyses will serve as input to environmental

process (no requirement to do NEPA process on plan or in planning); degree of detail at discretion of planning participants




Intended Outcomes• Stronger consideration of environmental and economic

impacts at early, systems level• Streamlined decision-making in project development • Documentation of planning actions, at discretion of

participants, to support more NEPA streamlining• Better transition from planning to project development• Earlier and increased participation of environmental

agencies in planning process



Air Quality Conformity Provisions

Legislative Provisions• No new TEA-21 provisions• Conformity is a requirement of the Clean Air Act

Current Regulations• Several provisions in the planning and NEPA rules

reinforce conformity and tie to EPA’s conformity regulations



Air Quality Conformity Provisions (cont’d)

Proposed Regulations[§1410.210(b), §1410.212(d), §1410.214(a), §1410.216(a) and (c)]• Clarify and explain more clearly how transportation

planning and air quality conformity work together throughout the rules, e.g.,

- Date of plan effectiveness tied to date of MPO and FHWA/FTA conformity findings for plans and TIPs

- Incorporate EPA conformity definitions in FTA/FHWA planning rule

- Clarify definition of plan and TIP lapse for conformity and transportation purposes




Proposed Regulations (cont’d)- Specify more clearly when plan and TIP

modification triggers a new conformity finding- Disallow TIP extensions in nonattainment areas- Encourage MPOs to participate in air quality

planning process- TCMs can be added during conformity lapse using

interim plan and TIP




Intended Outcomes• Clarify procedures • Eliminate inconsistencies between EPA and U.S. DOT

rules• Establish common definitions of key terms• Ensure timely processing of conformity determinations• Avoid areas falling into lapse without knowing it• Provide more certainty on plan/TIP update calendar



Questions & Answers

Clarify Content and Intent of NPRM

Planning NPRM


Major Policy Objectives

Implement section 5206 (e) of TEA-21• “The Secretary shall ensure that intelligent

transportation system projects carried out using funds made available from the Highway Trust Fund, . . . conform to the national architecture, applicable standards or provisional standards, and protocols developed under subsection (a)”

ITS Architecture and Standards NPRM


Major Policy Objectives (cont’d)

Support key Federal priorities:• Integration• Interoperability• Use of the National ITS Architecture and applicable

standards Incorporate ITS into existing transportation

planning and project design procedures



Other Driving Forces

Based on Good Practice• Lower cost• Reduced development time• Future expansion• Evolutionary deployment• Enhanced system performance• Risk reduction



Ideology

Minimize adding “processes”• Examine and build on existing processes• Allot funds through planning processes• Rely on existing Federal oversight

Balance between technical practicality and “real-world” feasibility

Phase in over time



USDOT Approach

Interim Guidance • Issued October 1998• First step towards incremental implementation of TEA-

21 conformity requirement



USDOT Approach (cont’d)

Final Policy

• Transportation Planning NPRM (§1410)- Metropolitan and statewide planning (FHWA and FTA),

including ITS Architecture and standards

• Project Development NPRM (§940)- National ITS Architecture and Standards (FHWA)

• FTA National ITS Architecture Consistency Policy for Project Development

- National ITS Architecture and Standards (FTA)



Outreach and Comment Process

Spring 98 Outreach meetings on conceptual approach

June 98 – Jan 99 Secretary Slater’s Listening Sessions on TEA-21 implementation

Spring 99 Informational presentations on U.S. DOT “policy approach; thoughts to date”

May – Oct 99 Draft rules prepared

Nov 99 FTA/FHWA approval and transmittal to Secretary Slater

Spring 2000 Coordination of timing with Planning NPRM

May – Aug 00 Publication in Federal Register with 90 day comment period

June – July 00 Seven public briefings



Transportation Planning (§1410)

Legislative Provision• All projects funded with highway trust fund monies

must conform with the National ITS Architecture and standards

Current Regulations• None specific to ITS




Proposed Regulations• Develop ITS Integration Strategy • Engage Operating Agencies • Produce Interagency Agreement • Identify Major Regional ITS Initiatives



Transportation Planning (§1410) Proposed Regulations: ITS Integration Strategy

Developed by multiple stakeholders (including operating agencies)

Identifies key system functions and information sharing

Identifies major ITS projects, regional ITS initiatives, or projects that support national interoperability

Documented as part of the Transportation Plan



Transportation Planning (§1410) Proposed Regulations: ITS Integration Strategy

Section §1410.214(a)(3) - statewide planning Section §1410.322(b)(11) - metropolitan planning Develop Integration Strategy “...to guide and

coordinate ITS investments, appropriate to scale.” Supports development of integrated ITS

development



Transportation Planning (§1410) Proposed Regulations: ITS Integration Strategy (cont’d)

Additional statewide planning provisions in §1410.214(a)(3)• Statewide similar to metropolitan areas, although

smaller projects require less documentation• ITS integration strategy shall be developed no later

than the first update of the STIP or transportation plan that occurs two years following the effective date of the rule



Additional provisions §1410.322(b)(11)

• The following agencies should participate in the development of the ITS integration strategy:

- Highway and public safety agencies- Appropriate Federal lands agencies- State motor carrier agencies as appropriate- And other operating agencies necessary to fully

address ITS regional integration

Transportation Planning (§1410) Proposed Regulations: Engaging Operating Agencies



§1410.310(g)• Agreement among the MPO, State DOT,

transit operators, and other agencies:- ITS project interoperability- utilization of ITS standards- routine operation of the projects

Transportation Planning (§1410) Proposed Regulations: Interagency Agreement



Transportation Planning (§1410) Proposed Regulations: Identifying Major Initiatives

§1410.322(b)(11)• The ITS Integration Strategy shall identify in

the Transportation Plan:- Major regional ITS initiatives- ITS projects that affect regional integration- ITS projects that directly support national

interoperability



Intended Outcomes• ITS Integration Strategy developed as part of

transportation planning process, through involvement of all relevant stakeholders

• ITS systems planned with future integration opportunities “built-in”

• ITS investments work together toward regional and national interoperability





Intended Outcomes (continued)• Better operation and management of transportation

systems• Enhanced interagency cooperation in management

and development of transportation systems• Key ITS projects and initiatives are targeted early in

planning process to facilitate more effective integration



Project DevelopmentSame Policy – Different Process

FHWA• NPRM to change §940

FTA• Policy for project development and request for

comment will update and create circulars as appropriate



Project Development (§940)

Legislative Provision• All projects funded with any highway trust fund

monies must conform with the National ITS Architecture and standards

Current Regulations• 23 CFR 655 Subpart D is related and is to be

replaced per this proposed rule




Proposed Regulations• Develop ITS Regional Architecture• Include Concept of Operations and Conceptual Design• Use System Engineering Process*• Use Applicable Standards and Interoperability Tests• Phase in Over Two Years

*Note: FHWA and FTA policy differ slightly



§940.9(a)• New Part 940 to subchapter K of 23 CFR.

- An ITS regional architecture shall be developed for implementation, and shall conform with the ITS integration Strategy

- The National ITS Architecture shall be used as a resource in the development of the ITS regional architecture.

§940.9(d)• ITS regional architecture may be:

- Developed as an initial project development effort and updated as new projects are initiated, or

- Developed incrementally as major ITS investments are initiated and updated with subsequent projects.

Project Development (§940) Proposed Regulation: ITS Regional Architecture



§940.9(c) - regional ITS architecture shall include, at a minimum:- Concept of operations

• address roles and responsibilities of participating agencies• existing or required agreements for operations• resources required to support the project

- Conceptual design must support subsequent project design regarding:

• System functional requirements• Existing and planned Interface requirements and information

exchanges• Identification of key standards supporting regional and national

interoperability • Prioritization of phases required in implementation

Project Development (§940) Proposed Regulation: Concept of Operations and Conceptual Design



§940.11 • FHWA ITS projects must be developed using a system-

engineering process• FTA and FHWA projects must be consistent with the ITS regional

architecture• strong recommendation to use the National ITS Architecture as a

resource §940.13(a)

• Project specifications shall ensure that the project accommodates- Sharing of electronic information- Existing and future functionality and operation

Project Development (§940) Proposed Regulation: Systems Engineering Process



§940.13(b) • All ITS projects funded with highway trust funds shall

use applicable US DOT adopted ITS standards and interoperability tests

(At this time, no standards or interoperability tests have been officially adopted by U.S. DOT.)

Project Development (§940) Proposed Regulation: Standards and Interoperability Tests



Project Development (§940) Proposed Regulation: Compliance

940.15(a) • Prior to authorization of highway trust funds for

construction or implementation- Linkage to the ITS regional architecture or to the

ITS integration strategy- Commitment to the operations, management, and

maintenance of the overall system



Project Development (§940) Proposed Regulation: Compliance (cont’d)

940.15(b)• Documentation shall include:

- ITS regional architecture and/or ITS integration strategy which are implemented through the project

- Applicable ITS standards and/or interoperability tests - Coordination strategies- Update of the ITS regional architecture and/or ITS integration

strategy to reflect any applicable changes. 940.15(c)

• ITS projects shall be monitored for compliance with this part under normal Federal-aid project oversight procedures



Project Development (§940) Proposed Regulation: Phasing

940.15(d-f)• A regional architecture is not required until two

years after the rule becomes final.• However, all ITS projects that advance to design or

preliminary engineering must conform with the system engineering requirements [940.11] and applicable standards as soon as the rule becomes final.

• If a regional architecture or integration strategy are not available, the project managers should be encouraged to use the National ITS Architecture as a resource.



Intended Outcomes• Develop ITS regional architecture

- Consistent with the ITS integration strategy- Based on the National ITS Architecture

• Stakeholders agree on concept of operations for implementation of the ITS integration strategy

• The National ITS Architecture is used as a resource in developing regional architecture and is also used as a resource for ITS project development




Intended Outcomes (continued)• Sound systems-engineering principles become a routine part of

project design• Better operating and management of transportation system• Enhanced interagency cooperation in the management and

development of transportation systems• ITS projects will provide for all applicable information-sharing

opportunities• U.S. DOT-adopted ITS standards and interoperability tests will be

used in ITS projects




Summary of Major Provisionsor Changes

Conformance with the National ITS Architecture is a process. The process includes development of a local ITS approach to which subsequent ITS projects will adhere

ITS is part of the transportation planning process and includes development of an ITS integration strategy

An ITS regional architecture is developed based on the National ITS Architecture and tailored to meet local needs



Summary of Major Provisionsor Changes (continued)

ITS projects implement the ITS integration strategy and the ITS regional architecture

ITS projects are required to use USDOT adopted standards and interoperability tests



FTA Proposed Policy Implementation

Add National ITS Architecture and Standards conformity to the annual list of certifications and assurances for FTA grants and cooperative agreements

Update FTA circulars Incorporate current oversight mechanisms into review and

avoid the invention of new processes• Grant application reviews, annual risk assessments,

triennial reviews, State management reviews, and quarterly progress reviews



Stakeholder Support Activities

ITS Deployment Analysis System (IDAS) Architecture training course (2 & 3-day versions) Architecture case studies Turbo Architecture Architecture Workshops - Tier I & II Advanced Architecture CD Workshops FTA ITS oversight and technical assistance More information available at www.its.dot.gov



Questions & Answers




Major Provisions or Changes

• NEPA Policy Framework• Environmental Justice• Planning and Project Development (NEPA) Linkage• Environmental Streamlining• Alternate Procedures • USDOT Integration• Contracting for Engineering Services• Air Quality Conformity• Categorical Exclusions• Section 4(f)

Environment NPRM


Major Provisions and Changes (cont’d)

Linkages to Planning• Environmental Justice/Title VI• Planning and Project Development (NEPA) Linkage• Air Quality Conformity Provisions

Environment NPRM


NEPA Policy Framework

Legislative Provisions• No new TEA-21 provisions

Environment NPRM


NEPA Policy Framework (cont’d)

Current Regulations• NEPA document and process address all environmental

requirements to fullest extent possible• Decisions made in best overall public interest• Public involvement and systematic interdisciplinary

approach essential parts of NEPA process• Mitigation measures incorporated into action and eligible for

Federal funding• Environmental document preparation costs eligible for

Federal assistance• Non-discrimination in conduct of the NEPA process

Environment NPRM



Proposed Regulations[§1420.101 - 1420.113]• Applicability of CEQ regulations emphasized• Multiple goals of NEPA process highlighted• Greater visibility of NEPA as procedural umbrella• Avoidance, minimization, mitigation and enhancement

responsibilities• Environmental justice guidelines

Environment NPRM



Intended Outcomes• Underscore central role of NEPA process in

transportation decisionmaking• Reveal full range of Federal environmental mandates• Promote reasonable measures to protect and enhance

the environment• Provide a framework for ensuring environmental justice

in NEPA process

Environment NPRM


Environmental Justice

Legislative Provisions• No specific provision in TEA-21• Proposed regulatory changes based on current Title VI

requirements of Civil Rights Act

Current Regulations• Nondiscrimination policy statement

Environment NPRM



Proposed Regulations[§1420.111]• Affirmative duty to avoid disproportionate effects where

possible• Data/analysis to support conclusions regarding

environmental equity of decisions

Environment NPRM



Intended Outcomes• Prevent discrimination• Engage potentially affected communities in

decisionmaking• Identify impact avoidance and minimization strategies

Environment NPRM


Planning and Project Development (NEPA) Linkage

Legislative Provisions• TEA-21 (Section 1308) eliminates separate Major

Investment Study requirement and calls for integrating the requirement with analyses in the planning and environmental (NEPA) rules

Environment NPRM



Current Regulations• No provision in the current NEPA regulations

Environment NPRM



Proposed Regulations[§1420.201]• Planning studies given explicit standing in the NEPA

process• NEPA process relies on planning studies and decisions

“based on various factors”

Environment NPRM



Intended Outcomes• Enhance coordination between planning and NEPA

processes• Reduce project delay by making greater use of

planning results• Eliminate redundant work• Increase public confidence in transportation planning

and project development

Environment NPRM


Environmental Streamlining

Legislative Provisions• TEA-21 (Section 1309) directs the Secretary of

Transportation to establish a coordinated environmental review process

Environment NPRM


Environmental Streamlining (cont’d)

Current Regulations• No current provisions specifically on environmental

streamlining• Policy language on using NEPA process and

documents to address all required environmental reviews

• CEQ regulations address reducing delay

Environment NPRM



Proposed Regulations[§1420.203]• Explicit process for identifying agencies, issues,

methodologies, time frames, etc.• Informal and formal dispute resolution• Option to include State environmental reviews in

streamlined process• Option to exclude non-EIS projects at applicant’s

request

Environment NPRM



Intended Outcomes• Reduce project delays• Protect and enhance the environment

Environment NPRM


Alternate Procedures


Current Regulations• No provision

Environment NPRM


Alternate Procedures (cont’d)

Proposed Regulations[§1420.209]• Option for applicants to propose alternate procedures• USDOT approval after consultation with CEQ

Intended Outcomes• Allow for innovation in meeting NEPA requirements• Provide flexibility for better integrating with State/local

project development processes

Environment NPRM


USDOT Integration

Legislative Provisions• No new TEA-21 provisions• ISTEA (Section 3012) directs FTA to conform its NEPA

process to FHWA’s process

Environment NPRM


USDOT Integration (cont’d)

Current Regulations• Different treatment of FHWA and FTA in many

sections of the regulations

Environment NPRM



Proposed Regulations[§1420.211]• Distinctions between FHWA and FTA virtually

eliminated• Option for other USDOT modes to use these

regulations

Environment NPRM



Intended Outcomes• Simplify process for applicants that deal with both

FHWA and FTA• Eliminate redundant requirements for projects involving

multiple USDOT modes

Environment NPRM


Contracting for Engineering Services

Legislative Provisions• TEA-21 (Section 1205) allows a single consultant to be

hired for NEPA and subsequent engineering services

Environment NPRM


Contracting for Engineering Services (cont’d) Current Regulations

• No provision• CEQ regulations prohibit conflict of interest

Environment NPRM


Contracting for Engineering Services (cont’d)

Proposed Regulations[§1420.301]• Single consultant can be hired for NEPA and post-

NEPA work• Objectivity review required

Environment NPRM


Contracting for Engineering Services (cont’d)

Intended Outcomes• Protect the integrity of the NEPA process• Reduce project delays• Maintain institutional knowledge throughout project

development

Environment NPRM


Air Quality Conformity


Current Regulations• Link between NEPA and conformity not explicit

Environment NPRM


Air Quality Conformity (cont’d)

Proposed Regulations[§1420.307]• ROD, FONSI, CE approval not allowed until project

conforms

Intended Outcomes• Clarify Clean Air Act prohibitions on Federal approvals

in non-attainment areas until after conformity determination

Environment NPRM


Categorical Exclusions

Legislative Provisions• No new TEA-21 provisions• NHS Act (Section 316) categorically excludes

transportation enhancements

Environment NPRM


Categorical Exclusions (cont’d)

Current Regulations• Two broad categories: “automatic” CEs and

“documented” CEs• Specific activities listed under two categories

Environment NPRM



Proposed Regulations[§1420.311]• List of activities updated to reflect ITS, enhancements,

other activities• Modification of which activities are “automatic” vs.

“documented” CEs

Environment NPRM



Intended Outcomes• Streamline NEPA process for new low-impact activities• Maintain current flexibility

Environment NPRM


Section 4(f)


Current Regulations• Section 4(f) requirements part of the NEPA regulations

Environment NPRM


Section 4(f) (cont’d)

Proposed Regulations[§1430]• Section 4(f) in separate part of CFR [§1430]• Programmatic approvals explicitly allowed• Certain enhancement activities excluded• Link to planning and NEPA processes• Conforming changes to new ACHP rules

Environment NPRM


Section 4(f) (cont’d)

Intended Outcomes• Make section 4(f) regulation more user-friendly• Update to reflect enhancement activities• Put section 4(f) on equivalent procedural footing with

other environmental mandates

Environment NPRM


Questions & Answers


Environment NPRM

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