Memorandum of Agreement

Between the Federal Highway Administration (Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming) and the Federal Transit Administration, Region VIII

July - 2004

I. BACKGROUND

Since 1976, the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) have developed and administered regulations collaboratively. This Memorandum of Agreement (MOA) demonstrates the continuing partnership and cooperation between FTA and FHWA, and reinforces the strong working relationship between these two partners. There are more detailed agreements between FTA and FHWA in specific areas and will be made available upon request. The goal of this agreement is to outline the primary areas of Planning and standardize the processes.

An overview of this agreement involves the following:

Purpose of agreement
Goals, individual areas and responsibilities
Appendices for each State that will list specialized areas

II. PURPOSE OF THIS AGREEMENT

The purpose of this memorandum is to create an agreement that will standardize the collaborative efforts of the Federal Highway Administration and the Federal Transit Administration, Region VIII. The goal of the Collaboration Planning Initiative (CPI) is to streamline the planning and review processes of Federal Highway Administration (including the States: Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming), which will herein be referred to as FHWA, and the Federal Transit Administration, Region VIII (herein referred to as FTA VIII) through more efficient and coordinated use of staff and resources. By doing so, the aim is to enhance the quality of assistance in response to customer expectations, and to improve both agencies' delivery of oversight in terms of timeliness and consistency. This MOA is intended to be a living document and as such will be changed and updated as needed.

III. GOALS

FTA-VIII and FHWA will implement the terms specified in this MOA to organize and structure the following transportation processes:

Statewide Transportation Improvement Program (STIP), Metropolitan Transportation Improvement Program (TIP), and Amendment Approvals
Unified Planning Work Program (UPWP) Reviews, Approvals, and Amendments (State's Annual Work Program)
State Planning and Research (only when specific Transit items need to be coordinated)
Transportation Plans (State and MPO)
Congestion Mitigation Air Quality (CMAQ) Funds Eligibility Coordination
Project Coordination and NEPA
Planning and Program Coordination Meetings
State and Metropolitan Transportation Planning Findings
Transportation Management Area (TMA) Planning Certification Reviews and non-TMA MPO Planning Reviews
Communication and Conflict Resolution between FHWA and FTA
Flex Funding Procedures
Air Quality Conformity

Table 1: Planning Action

Statewide Transportation Improvement Program (STIP), Metropolitan Transportation Implementation Plan (TIP), and Amendment Approvals

Background

Planning Action	Lead Agency	Lead Letter	Lead Action
STIP Approval & Amendment	Joint	Joint	FHWA
UPWP	Joint	FHWA	FHWA
SPR	FHWA	FHWA	FHWA
Transportation Plan	Joint	N/A	FHWA (when necessary)
CMAQ	Joint	Joint	Joint
Project Coordination & NEPA	Joint	Joint	Joint
Meetings	FHWA	FHWA (when applicable)	FHWA
State & Metropolitan Transportation Findings	Joint	Joint	FHWA
TMA Certification Reviews	Joint	FHWA	FHWA
Communication & Conflict Resolution	Joint	FHWA or FTA (when applicable)	FHWA or FTA
Flex Funding	Joint	FHWA or FTA	FHWA or FTA
Air Quality Conformity	Joint	Joint	FHWA

Section 135 of Title 23 U.S.C. establishes Federal requirements for statewide transportation planning. This regulation states, in part, that a Statewide Transportation Improvement Program (STIP) be jointly approved by FHWA and FTA. The STIP is required to support the obligation of Federal funds made available under Title 23 U.S.C. and each grantee under the Federal Transit Act. The STIP also contains all projects (either directly or by reference) from current MPO TIPs.

Amendments Background

Section 135 of Title 23 U.S.C. states that any and all amendments made to the STIP must be jointly signed and approved by FHWA and FTA if those amendments impact FHWA or FTA's plans to "flex funds," or if the amendment contains both highway and transit projects. If the amendment contains only highway projects, FHWA may approve it, and if it contains only transit projects, FTA-VIII may approve it. Projects requiring a conformity determination will require a joint approval.

Roles and Responsibilities

FHWA responsibilities are as follows:

Obtain MPO Certifications.
Obtain Governor's TIP approval.
Obtain Proof of Publication of draft STIP and/or TIP for public comment.
Obtain Summary of Comments.
Obtain Demonstration of Financial Constraint.
Verify that highway projects in the TIP and STIP are eligible for the funding category shown in the document and consistent with the MPO Transportation Plan.
Verify that projects listed have shown practical strategies for obtaining funds and have identified reasonable time constraints.
A copy of the STIP will be forwarded by FHWA or State DOT to FTA-VIII for review and comments.
FHWA and FTA-VIII will coordinate and discuss review comments and findings relevant to approval.
Amendments that impact FHWA or FTA-VIII in their plans to "flex funds" (flexed funds refers to funds transferred from FHWA to FTA, or from FTA to FHWA).
On amendments that do not have funds identified for flexing, are specific to highways or transit, and do not require an Air Quality Conformity Determination, the State DOT will submit the STIP amendment to the appropriate Federal agency (FHWA or FTA-VIII) for action. Upon approval, the lead agency will provide copies to the supporting agency.
FHWA and FTA-VIII will develop a joint approval letter to the State giving full or partial approval of the STIP within 30 days of receiving the STIP. Approval will be annual or biennial. The approval will include comments and conditions by FHWA and FTA-VIII and a joint Statewide and Metropolitan Planning finding.

FTA-VIII responsibilities are as follows:

Review provided documents (certifications, summaries, financial constraints, projects, etc.).
FTA-VIII and FHWA will coordinate and discuss review comments and findings relevant to approval and include as an attachment to the STIP approval letter.
Check consistency of TIP transit projects with MPO Transportation Plans.
Amendments that impact FHWA or FTA-VIII in their plans to "flex funds" (flexed funds refers to funds transferred from FHWA to FTA, or from FTA to FHWA).
On amendments that do not have funds identified for flexing, are specific to highways or transit, and do not require an Air Quality Conformity Determination, the State Department of Transportation (DOT) will submit the STIP amendment to the appropriate Federal agency (FHWA or FTA-VIII) for action. Upon approval, the lead agency will provide copies to the supporting agency.
FHWA and FTA-VIII will develop a joint approval letter to the State giving full or partial approval of the STIP within 30 days of receiving the STIP. Approval will be annual or biennial. The approval will include comments and conditions by FHWA and FTA-VIII and a joint Statewide and Metropolitan Planning finding.

2. Unified Planning Work Program (UPWP) Reviews and Approvals

Background

Section 134 of 23 U.S.C. and Section 613 of 49 U.S.C. established Federal requirements for implementing provisions for Metropolitan Planning Organizations (MPO). These regulations include the requirement for submission and are located in 23 C.F.R. 420, 450 and 49 C.F.R 613.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Review and comment on draft MPO UPWPs concurrently with FTA-VIII and DOT, and determine enhancements, if any.
Review and approve the MPO Unified Planning Work Programs (UPWP) in consultation with FTA-VIII.
When meetings or conference calls are necessary, schedule with FTA-VIII, the State DOT, the MPOs, Department of Air Quality (DAQ), if appropriate, and Transit Authority to discuss draft UPWPs annually.
Initiate transfer of funds to FTA by letter no later than June of each year for placement into the Consolidated Planning Grants (CPG) for those States that participate in the CPG process, when appropriate.

The responsibilities of FTA-VIII are as follows:

Review and comment on UPWPs concurrently with FHWA and State DOT.
Participate in an annual meeting or conference call, if necessary, held with FHWA, State DOT, Transit Authority, and MPOs to discuss draft UPWPs, when appropriate.
Finalize, approve, and manage the annual CPG Grant (for those States participating in the CPG process), when appropriate.

3. State Planning and Research (SPR)

Background

23 C.F.R. Part 420 and 23 U.S.C. 101(a) state that administrative activities by State DOTs and MPOs with State Planning and Research (SPR) funds have certain requirements. These include research, development, and technology transfer (RD&T) activities. This will only be needed as appropriate.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Monitor State SPR procedures to ensure that they meet Federal compliance.
Discuss draft SPR work program with FTA-VIII when appropriate, for Transit work tasks.
Review and approve SPR work program.
Provide final approved copy of the SPR program to FTA-VIII, if appropriate, when it includes Transit work tasks.

FTA-VIII responsibilities are as follows:

Promote SPR funding for intermodal transit.
Review and approve SPR work program.
Review draft SPR work program if requested by FHWA Division.

4. Transportation Plans

Background

49 U.S.C. Section 5303 (f)(1)(B) and 23 C.F.R. § 450.322 state that Transportation Plans are generated by the State DOT and Metropolitan Planning Organizations (MPO). Fiscal constraint requirements are intended to ensure that the total estimated costs of projects do not exceed reasonably available estimated revenues.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Verify that processes have been followed by State MPOs, such as advertisement of the Transportation Planning process, public comment and review commencement, consideration of Planning factors has been followed, timely implementation of transportation control measures and latest planning assumptions have been implemented, as well as determining that appropriate coordination has taken place.
FHWA or State DOT will provide these documents to FTA-VIII.
Verify that projects listed have shown practical strategies for obtaining funds and have identified reasonable time constraints.
Prepare and maintain a checklist of key activities and dates.
Coordinate the Statewide Transportation Planning process review and FHWA division or State DOT will provide a draft for FTA-VIII if necessary.

The responsibilities of FTA-VIII are as follows:

Review and comment on MPO documents, as provided by FHWA.
Verify that projects listed in the MPO TIPs and Transportation Plans have listed reasonable strategies for obtaining funds have identified reasonable time constraints.
Coordinate the review of the Statewide Transportation Plan with FHWA.

5. Congestion Mitigation Air Quality (CMAQ) Funds Eligibility Coordination

Background

TEA-21 states that CMAQ funds are intended for projects and programs in non- attainment or maintenance areas that will promote reduction of transportation-related emissions. Section 176(c) of the Clean Air Act requires FHWA and FTA to ensure timely implementation and control of Transportation Control Measures (TCM) in State Implementation Plans (SIP). For those States with no non-attainment or maintenance areas, CMAQ funds can be used on any Surface Transportation Program-eligible project.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Review CMAQ-funded projects for eligibility.
Work with State DOT and MPOs (within maintenance or non-attainment areas), especially those working with Transit Operators, to develop transportation and air quality programs using measures that will provide alternatives to single-occupant vehicles (SOV).
Encourage State DOT and MPOs (within maintenance or non-attainment areas) to maintain open public process for solicitation, ranking, and selection of projects chosen to be funded through the CMAQ program.
Initiate transfer of CMAQ funds to FTA-VIII, where appropriate, by letter to FTA-VIII.
Work with State DOT and MPOs to create annual year-end and CMAQ summary report for submittal to Headquarters by February 1st of each year.

The responsibilities of FTA-VIII are as follows:

Promote projects that provide alternatives to SOV.
Review proposed projects for CMAQ funding and provide feedback to FHWA and/or recommendations.
Accept transfer of funds from FHWA, where appropriate

6. Project Coordination and NEPA Background

40 C.F.R. §§ 1508.7 and 1508.8 define impacts and effects that must be addressed by Federal agencies to meet the requirements of the National Environmental Protection Act (NEPA) process. This includes direct, indirect, and cumulative impacts (past, present, and future impacts and their results). On major projects that involve both highway and transit issues, it is the goal of both agencies to develop planning and environmental documents jointly, where appropriate, or to participate as a cooperating agency. This is intended to encourage multimodal (highway and transit) planning and NEPA studies, where appropriate.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Ensure that transportation improvements are identified in the Transportation Plan.
Coordinate frequently with FTA-VIII to discuss current and future projects to identify regionally significant projects.
Maintain contact with cooperating agencies for highway projects.
Create MOA for highway projects, when appropriate, when transit is an issue.Prepare NEPA document for highway projects, where appropriate, and send to FTA-VIII for review, when transit is an issue.
Invite FTA-VIII to be a joint lead or cooperating agency, where appropriate, on NEPA and Planning studies.

The responsibilities of FTA-VIII are as follows:

Ensure that transportation improvements are identified in the Transportation Plan.
Conduct meetings as needed to discuss current and future projects and coordinate with FHWA to determine regionally specific projects.
Maintain contact with cooperating agencies for transit projects.
Create MOA for transit projects, where appropriate, when highway issues are involved.
Prepare NEPA document for transit projects and send to FHWA for review, where appropriate.
Conduct Planning and/or NEPA studies jointly with FHWA or in a cooperating agency relationship, where appropriate.

7. Planning and Program Coordination Meetings

Background

TEA-21 encourages a more open planning environment. This is implemented through regular correspondence and meetings, and a systematic procedure for coordinating, processing, and distributing information. FHWA and FTA-VIII maintain regular communication via telephone, conference calls, email, regular mail, video conferences, and site visits, as needed. Every effort is made by both agencies to ensure timely response is made, usually within two business days. Should either agency feel further correspondence and/or formalized communication (such as regularly scheduled meetings) can be modified.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Coordinate with FTA-VIII for annual meetings on UPWPs, specific projects, and other issues as necessary.
Provide relevant information on any meetings not attended by FTA to FTA VIII.

The responsibilities of FTA-VIII are as follows:

Participate in annual meetings on UPWPs, specific projects, and other issues as necessary.
Provide relevant information on any meetings not attended by FHWA to the appropriate FHWA division office, when appropriate.

8. State and Metropolitan Transportation Findings Background

23 C.F.R. 450.320 and 49 U.S.C. 613 mandate that each of the metropolitan planning areas follow a comprehensive planning process that is in cooperation with the State DOT, local governments, and transit operators. The State DOT must also include a certification with the STIP that the transportation planning process is being carried out according to regulations. These requirements include, but are not limited to, development and/or adoption of a statewide transportation plan, financial plan (in the case of a metropolitan plan), Transportation Plan, public involvement process, and air quality conformity (in rural non-attainment areas), if necessary. The MPOs must also self-certify annually that they are carrying out the 3-C Planning Process.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Initiate statewide and Metropolitan Transportation Planning findings upon receipt of draft STIP.
Send findings to FTA-VIII for additional comments.
Prepare Planning findings and send to FTA-VIII.

The responsibilities of FTA-VIII are as follows:

Review and comment on Planning findings.
Initiate a meeting to discuss or resolve any concerns, if necessary.

Coordination of 3C Planning Process Project Coordination and Implementation

The Federal-Aid Highway Act of 1963 established "3C" Planning (Comprehensive, Cooperative, and Continuous). This type of planning is a required condition for metropolitan areas to obtain Federal funds, stipulating the integration of land use with transportation and intermodal planning.

Roles and Responsibilities

FHWA responsibilities are as follows:

Ensure that public involvement, agency representation, and interagency coordination has taken place.
Encourage open planning processes.
Monitor the 3-C process through attendance at MPO meetings and review of products of the process.
Provide documentation of Planning findings, as necessary.

FTA-VIII responsibilities are as follows:

Encourage public involvement, agency representation, and interagency coordination.
Encourage open planning processes.
Review and provide feedback to process review.

9. Transportation Management Areas (TMA) Certifications and non-TMA MPO Planning Reviews

Background

23 U.S.C. 134(i)(5) and 49 U.S.C. 1607 states that FHWA and FTA must jointly certify the Metropolitan Planning processes in Transportation Management Areas (TMA) at least every three years. TMAs are urbanized areas, as defined by the U.S. Census, where there is a population of 200,000 or more people. Joint FTA/FHWA certification guidelines help promote strong partnerships with MPOs and provide the flexibility to meet individual needs within a specified MPO region.

There are three basic requirements in the certification responsibility: site visits, review of planning products, and a report that summarizes the findings and provides feedback. The certification review includes interviews with MPO staff, elected officials, other cooperating agencies, a public meeting, and a close-out with the MPO Policy Board.

Follow-up on Corrective Actions for Certification Reviews

In the instance where corrective actions are required through certification reviews, FHWA will be the lead agency in meeting with the specific MPO, as well as other planning partners, as necessary. Detailed accounts will be sent to FTA-VIII. Depending on the certification in question, either FHWA or FTA-VIII will review and monitor in greater depth, the progress of the appropriate planning partner(s) to resolve corrective actions and other significant recommendations resulting from the certification review.

Once the corrective action in question is resolved, a letter indicating that the corrective action has been satisfactorily addressed, will then be written jointly by FHWA and FTA VIII.

For non-TMA MPOs, a joint FHWA/FTA Planning Review will be conducted at least once every 5 years, unless both agencies agree to a different cycle based on particular issues and needs.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Perform regular site visits.
Schedule a Planning Certification Review once every 3 years for TMA MPOs.
Schedule a Planning Review once every 5 years with non-TMA MPOs.
Maintain working relationship with MPOs by attending Technical and Policy meetings and being available for questions or comments.
Prepare report jointly with FTA-VIII.
Schedule closeout on TMA Certification Review with MPO Policy Board.
Ensure that activities to address corrective actions and recommendations from certification review findings are included in the next UPWP.
Track status of corrective actions.

The responsibilities of FTA-VIII are as follows:

Participate in TMA non-TMA MPO Planning Certification Reviews.
Review draft report provided by FHWA and comment within 30 days.
Return report with comments and/or needed amendments, if necessary.
Prepare report jointly with FHWA.
Participate in closeout with MPO Policy Board.

Civil Rights, Title VI, Environmental Justice, Disadvantage Business Enterprise (DBE) Certifications

Background

In response to Title VI of the Civil Rights Act of 1964, 23 C.F.R. Part 230 was created. It states that policies, procedures, and guidelines must be in place in order to achieve an Equal Opportunity Employment Program. DOT encourages a proactive approach to Title VI, which requires Environmental Justice (EJ), Civil Rights assurance, and Disadvantaged Business Enterprise (DBE) representation.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Maintain working relationship with MPOs and State DOTs to assess general working environment, and to gain a better perspective of worker relations.
Perform regular site visits.
Review certifications and if necessary, perform audits.
Work with State and MPOs to ensure that the EJ component is included in the Transportation Plan.
Conduct periodic reviews of Title VI, DBE, Civil Rights, and EJ as part of the triennial Certification Review, or other means.

The responsibilities of FTA-VIII are as follows:

Participate in Certification Reviews in MPO TMA areas, as well as Planning Reviews in MPO non-TMA areas.
Review draft MPO TIP and Transportation Plan and triennial Certification Review.
Return report with comments and/or needed amendments, if necessary within 30 days.
Conduct periodic reviews of Title VI, DBE, Civil Rights, and EJ as part of triennial certification review, or other means.

10. Communication and Conflict Resolution between FTA and FHWA

Background

The purpose of this section is to provide guidance for the level of communication and procedures for collaborative efforts. FTA and FHWA have benefited from a long history of partnering and support. Annual meetings and regular phone and email correspondence have been the primary methods of communication, due to the distance between FHWA division offices and FTA-VIII. Because of this remoteness, FHWA will represent FTA-VIII at Statewide and MPO meetings. In certain cases, with the interest of streamlining the delivery of the Planning process, it may be advantageous for one agency to prepare and sign a letter on behalf of both agencies (see Table 1). A priority is to reinstitute an annual Planning meeting which involves FTA-VIII and the following FHWA Division offices that are party to this agreement. The following procedures are to further streamline communicative efforts between FTA-VIII and FHWA.

Roles and Responsibilities

FHWA responsibilities are as follows:

Draft correspondence will be distributed via email.
Provide feedback on any issues via email within the allotted timeframe or telephone usually within 10 business days.
If conflict arises, staff may refer issues to FTA Region VIII and appropriate FHWA Division Administrator to resolve differences.
In the unlikely event that an issue between FHWA Division office and FTA VIII Region office cannot be resolved at the field level, the issue would then be elevated to the Headquarters office of each agency.
Participate in annual Planning meeting, including FTA-VIII and the Division offices which are in FTA's Region VIII.

FTA-VIII responsibilities are as follows:

Maintain correspondence and regular updates provided by the Planning staff.
Draft communication will be distributed via email.
Provide feedback on any issues, via email, within the allotted timeframe, usually within 10 business days.
If conflict arises, staff may refer issues to the FTA Region VIII office and appropriate FHWA Division Administrator to resolve differences.
In the unlikely event that an issue between FHWA Division office and FTA VIII Region office cannot be resolved at the field level, the issue would then be elevated to the Headquarters office of each agency.
Participate in annual Planning meeting, including FTA-VIII and the Division offices which are in FTA's Region VIII.

11. Flex Funding Procedures

Background

Federal transportation programs allow for certain Federal-aid program funds to be transferred between either highway or transit projects. This is commonly referred to as "flex funding." This allows MPOs and States to make more efficient use of available funds. Listed below are possible flex funding categories:

FHWA Funding Categories

Interstate Maintenance (IM)
National Highway System (NHS)
Surface Transportation Program (STP)
Transportation Enhancement Projects
Congestion Management/Air Quality (CMAQ)
Bridge Replacement and Rehabilitation Program (BR)
High Priority Projects
Transportation, Community, and System Preservation Projects (TCSP)
Discretionary Projects
High Priority Projects (HPP)- Congressionally earmarked projects; and
Recreational Trails Program

FTA Funding Categories

FTA Section 5303 (Metropolitan Planning Program)
FTA Section 5307 (Urbanized Area Formula Program)
FTA Section 5309 (Capital Program)
FTA Section 5310 (Specialized Paratransit Program); and
FTA Section 5311 (Nonurbanized Area Formula Program)

Roles and Responsibilities

FHWA responsibilities are as follows:

Monitor State DOT and MPO flex funding procedures to ensure that they meet Federal procedures.
Verify that all proposed projects are in the MPO Transportation Plan, and as necessary, the TIP and/or STIP.
Update FTA-VIII regularly on status of available flex funds.

FTA-VIII responsibilities are as follows:

Promote flex funding for intermodal transit.
Prepare Flex Funds Status Report and distribute to appropriate MPOs, FHWA, State DOT, and transit operators.

12. Air Quality Conformity

Background

23 U.S.C. 134 and Section 8, 23 C.F.R 450, and 40 C.F.R Part 51 state that MPOs be designated for each urbanized area. These MPOs must ensure a continuing, cooperative, and comprehensive Transportation Planning process that results in plans and programs reflecting all transportation modes. This leads to the development and operation of an integrated, intermodal transportation system.

Roles and Responsibilities

FHWA responsibilities are as follows:

Take the lead in participating on Air Quality committees, where appropriate.
Coordinate draft Conformity determinations with Environmental Protection Agency (EPA), FTA, FHWA Resource Centers, State Air Agencies, and State DOT, where appropriate.
Provide comments to MPO on draft Conformity.
Ensure that requirements such as public comment, timely implementation of Transportation Control Measures (TCM), fiscal constraints, and the latest Planning assumptions are utilized.
Sign a joint Conformity Determination with FTA-VIII within 30 days of receiving final draft from MPO.

FTA-VIII responsibilities are as follows:

Provide comments on draft Conformity to FHWA and/or MPO, where appropriate.
Sign a joint Conformity Determination with FHWA within 30 days of receiving final draft from MPO.

Memorandum Of Agreement
Between
The Federal Highway Administration
(Colorado, Montana, North Dakota, South Dakota, Utah, And Wyoming)
and
The Federal Transit Administration, Region Viii
July - 2004

Janice Weingart Brown Montana Division Administrator Federal Highway Administration	Date Signed
David C. Gibbs Utah Division Administrator Federal Highway Administration	Date Signed
Colorado Division Administrator Federal Highway Administration	Date Signed
Philip E. Miller Wyoming Division Administrator Federal Highway Administration	Date Signed
Allen R. Radcliff North Dakota Division Administrator Federal Highway Administration	Date Signed
John G. Rohlf South Dakota Division Administrator Federal Highway Administration	Date Signed
Lee O. Waddleton Regional Administrator Federal Transit Administration	Date Signed

Appendix B

List of Acronyms

3C	Comprehensive, Cooperative, and Continuous Planning
BR	Bridge Replacement and Rehabilitation Program
CFR	Code of Federal Regulations
CMAQ	Congestion Management/Air Quality
CPG	Consolidated Planning Grants
CPI	Collaboration Planning Initiative
DAQ	Department of Air Quality
DBE	Disadvantaged Business Enterprise
DOT	Department of Transportation
EJ	Environmental Justice
EPA	Environmental Protection Agency
FHWA	Federal Highway Administration
FTA	Federal Transit Administration
HPP	High Priority Projects
IM	Interstate Maintenance
MOA	Memorandum of Agreement
MPO	Metropolitan Planning Organization
NEPA	National Environmental Protection Act
NHS	National Highway System
RD&T	Research, Development, and Technology Transfer
SOV	Single-Occupant Vehicle
SPR	State Planning and Research
STIP	State Transportation Improvement Plan
STP	Surface Transportation Program
TCM	Traffic Control Measures
TCSP	Transportation, Community, and System Preservation Projects
TIP	Transportation Improvement Plan
TMA	Traffic Management Areas
TP	Transportation Plan
UPWP	Unified Planning Work Program

APPENDIX A-1: COLORADO

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APPENDIX A-2: MONTANA

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APPENDIX A-3: NORTH DAKOTA

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APPENDIX A-4: SOUTH DAKOTA

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APPENDIX A-5: UTAH

Utah is a unique State both environmentally, as well as geologically. Sixty-five per cent of the land in Utah is Federally owned and maintained. Much of State's area is Federal land, and some host habitats for endangered species. Because of the arid climate and valley landscape, Utah has several air quality non-attainment and maintenance areas. Eighty per cent of the State's population lies within the 80-mile Wasatch Front Range (just North of Ogden to South of Provo), confined to a valley surrounded on all sides by mountain ranges. Therefore, there are three sections that address these issues in greater detail:

Consolidated Planning Grants
Air Quality Conformity Determinations 3. Environmental

1. Consolidated Planning Grants (CPG)

Background

The sliding scale for Utah (as of April 2004 )is currently FTA will then allocate funds according to the sliding scale ratio (93.23%/6.77%) in the CPG Grant. Note: There is a separate agreement for the Utah/FTA-VIII CPG.

Background

Section 5303 and Section 5313(b) funds from FTA, and PL and STP funds from FHWA will be consolidated and made available to the Metropolitan Planning Organizations (MPO), through the Department of Transportation (DOT). These funds will be consolidated and made available as a single grant through FTA's Transportation Electronic Award and Management (TEAM) system, with reimbursement of expenditures through FTA's Electronic Clearing House Operations (ECHO) payment system. FTA will then allocate funds according to the Federal/Local funds ratio (varied from State to State) and this will then be allocated to the State MPOs, as approved by FTA.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Review the quarterly and final progress and financial status reports.
Notify FTA of reports' acceptability.
Transfer FHWA PL and STP funds to be used for Planning to FTA.
Review and approve the MPO Unified Planning Work Program reviews (UPWP) in consultation with FTA-VIII.

The responsibilities of FTA-VIII are as follows:

Obligate CPG funds in TEAM based on submission of a complete CPG application by UDOT

Review final progress and financial reports.
Forward comments on these reports to FHWA and UDOT.

2. Air Quality Conformity Determinations

Background

Section 176(c)(1)(2) and (3) of the Clean Air Act and 23 CFR Part 450 establish requirements for Metropolitan Planning Organizations to conform LRPs, TIPs, and projects in areas designated as non-attainment or maintenance to the State Implementation Plan. Section 176 (d) of the Clean Air Act established priority requirements for programs supported by the Federal government to implement air quality plans within reasonable time frames. Section 109 (j) of 23 U.S.C. established consistency requirements to ensure regionally significant transportation projects that are consistent with approved air quality plans.

A conforming plan includes analysis for emissions of controlled air pollutants. This must fall under the emission level limits established in the State Implementation Plan (SIP) for air quality, as well as meet the regulations in EPA's requirements for the State of Utah non-attainment and maintenance areas. Analyses are completed by the area MPOs, then submitted to FHWA, FTA-VIII, Department of Air Quality (DAQ), Environmental Protection Agency (EPA), and other interested parties. Final determinations are sent to FHWA and FTA-VIII concurrently for final approval 30 days after the draft. The MPO incorporates comments, and sends the final Air Quality Conformity Determination to FHWA, FTA-VIII, et al.

The TIP process involves three steps: it must include all projects to be started within the TIP timeframe; all regionally significant TIP projects are included in the regional emissions analysis, and; the design concept and scope for TIP projects cannot have significantly changed.

Because of Utah's unique status, there are other basic requirements to be followed, as outlined in 40 CFR 93.109 and are as follows:

Latest planning assumptions
Latest emissions model
Consultation
Transportation Control Measures (TCM)
Emissions budget
Currently conforming plan and TIP
Project from a conformity plan and TIP
CO and PM10 "hot spots"
PM10 control measures

TCM Implementation

Transportation Control Measures (TCM) are alternative solutions. The TIP and LRP must be certified in the conformity analysis that none of the projects interferes with the implementation of any TCM.

Model

The Department of Air Quality (DAQ) is required to produce a model that will forecast air emissions. The Utah DAQ model calculates emissions from both mobile and stationary sources. The MPOs run the EPA MOBILE model to forecast mobile source emissions.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Maintain working relationship with MPOs, DAQ, UTA, UDOT, and EPA to assess general working environment, and to facilitate the conformity process.
Perform regular site visits.
Review Plans and TIP and conformity determinations.
Forward a copy of draft Plans, TIP, and conformity determinations to the Environmental Protection Agency (EPA), as well as FTA-VIII.
A joint conformity finding between FHWA and FTA-VIII will be made upon receipt of EPA concurrence letter, a receipt of UDOT, UTA, and DAQ comments.
Prepare joint letter to be signed by FHWA and FTA-VIII and send to FTA-VIII, as well as copies to necessary authorities.

The responsibilities of FTA-VIII are as follows:

Attend annual site visit to MPOs.
Review TIP and LRP report, and draft conformity determinations provided by FHWA.
Advise FHWA staff of concerns on draft TIP and Plans, and conformity determinations.
Return joint letter with comments within 30 days of receiving draft conformity determination.

3. Environmental

Background

Utah has a unique environmental planning process. Among its rarities, Utah has a diverse geological makeup, hosting sole migration areas for many different species. The Wasatch valleys that host the majority of the population.

Natural Environment

Natural Environment factors refer to environmental issues pertaining mainly to natural environment features and issues. These generally include natural ecosystems, air quality, endangered species, wetlands, hazardous waste, and water quality.

Built and Social Environment

The Built and Social Environment refers to environmental issues pertaining mainly to manmade communities, cultural and historic sites, and related environmental documents and guidelines.

Roles and Responsibilities

The responsibilities of FHWA are as follows:

Maintain communication and full scope of FTA-VIII's practice, mitigation procedures, and magnitude of environmental studies.
Provide support and assistance, when needed, of FTA-VIII projects.
Update FTA-VIII on status of current projects and scope of future projects on a regular basis.
Where appropriate, FHWA and FTA-VIII will pursue joint environmental documents, or serve as a cooperating agency to facilitate the integration of highway and transit alternatives on major studies.
In the instances where joint Environmental Studies are generated, an additional separate agreement will be developed between FHWA and FTA-VIII for each combined NEPA study.

The responsibilities of FTA-VIII are as follows:

Maintain communication and full scope of FHWA's practice, mitigation procedures, and magnitude of environmental studies.
Provide support and assistance, when needed, of FHWA projects.
Update FHWA on status of current projects and scope of future projects on a regular basis.
Where appropriate, FHWA and FTA-VIII will pursue joint environmental documents, or serve as a cooperating agency to facilitate the integration of highway and transit alternatives on major studies.
In the instances where joint Environmental Studies are generated, an additional separate agreement will be developed between FHWA and FTA-VIII for each combined NEPA study.

APPENDIX A-6: WYOMING

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