MISSOURI DIVISION 3220 W. Edgewood, Suite H, Jefferson City MO 65109 573-636-7104

FHWA/MODOT PARTNERING AGREEMENTS

PLANNING

February 2007

Purpose of this Agreement

The purpose of this agreement is to set forth the general terms and conditions for collaboration in transportation planning. It is between the FHWA/FTA Region 7 (ONE DOT) and the MoDOT for the purpose of enhancing the quality and effectiveness of the existing FHWA/MoDOT and ONE DOT/MoDOT partnerships so partners can better achieve mutual transportation priorities. This agreement applies to the MoDOT staff and the staff of the FHWA Missouri Division (FHWA-DO) and FTA Region 7 (FTA-7) offices responsible for the geographic area covered by the specific product of the process or management/oversight activity.

Agreement Focus Areas

The FHWA-DO, FTA -7 and MoDOT shall carry out the terms indicated in this agreement resulting in improved communication and streamlined transportation planning decision-making for federal surface transportation projects and programs. This agreement outlines the general operating procedures for reviewing and processing the following required metropolitan and statewide planning products and processes.

• Statewide 20 Year Long-Range Transportation Plan (LRTP) and Metropolitan 20 Year Long-Range Transportation Plan (LRTP).
• Statewide Transportation Improvement Program (STIP).
• State Planning and Research (SPR) Program.
• Metropolitan Unified Planning Work Program (UPWP).
• Metropolitan Transportation Improvement Program (TIP).
• Air Quality Conformity Determinations.
• Transportation Management Area (TMA) Planning Certification Reviews
• Transportation Planning Process Reviews in non-Transportation Management Areas (TMA)
• Highway Performance Monitoring System (HPMS)
• The MoDOT and MPO Annual Self-Certification.

Ground Rules

The agreement partners recognize the joint review and approval role of FHWA-DO and FTA-7 officers connected with the STIP and amendments, and the UPWP planning products and air quality conformity determination for designated air quality non-attainment and maintenance areas. It is also understood that ONE DOT will provide a joint-review only function in connection with the LRTP, TIPs, non-TMA planning process reviews, and TMA planning certification reviews.

The following ground rules apply to the development and execution of each element of this agreement. The partners agree to concentrate efforts in improving joint work efforts by following these ground rules:

• We will implement activities covered by the agreement in a mutually supportive manner between the MoDOT and FHWA offices.
• We will strive to ensure adherence to required planning processes and product timeframes.
• We will respect each other by valuing the opinions of others and maintaining an open mind to suggestions.
• We will communicate with each other directly by telephone, and email and in face-to-face conversations.
• We will make decisions by following a thorough discussion of the issue using appropriate communication methods. To the extent possible, decisions should be made with a two-week period following discussions.
• We will actively participate in scheduled meetings and add value to the discussion and refrain from personal agenda, to the extent possible.
• We will promote good planning process and product development practices and make current best practices part of conducting our method conducting business, to the extent possible.
• We will strive to implement a ONE DOT review and approval process that includes federal participation on a value-added basis, without causing delay in meeting state and local project approval and implementation schedule goals.
• We will recognize the timeliness and quality of our cooperative effort to deliver planning work product reviews, work product approvals, and planning process reviews as reliable and measurable performance output indicators.
• We will recognize enhanced planning program delivery processes and enhanced quality of planning program work products as value adding, reliable and measurable performance outcome indicators.
• We agree it is generally best practice for the ONE DOT agencies to share and coordinate planning product review comments in advance of sending one set of ONE DOT comments to the MoDOT. However, in a situation that calls for either ONE DOT agency to provide written comments separately to the MoDOT, the correspondence should be identified at FTA or FHWA ONLY comments as appropriate and should be copied to the other agency (i.e. FTA-7 or FHWA-DO as appropriate).
• We agree this agreement is considered a working document and can be updated by mutual agreement of the agencies or terminated with notice by any agency party to the agreement.
• We agree that nothing in this agreement is intended to conflict with applicable current law, regulation, orders or directives of the United States Department of Transportation, FHWA, or FTA. If a provision of this agreement is inconsistent with such authority, then that provision will be invalid to the extent of such inconsistency, but the remainder of that provision and all other provision, terms, and conditions of this agreement will remain in full force and effect.

I. Roles and Responsibilities:

I. Statewide and Metropolitan Long- Range Transportation Plans (LRTPs)

Although FHWA-DO and FTA-7 do not approve the state and metropolitan planning organization's (MPOs) long-range transportation plans, the timely adoption of a compliant LRTP is crucial as a basis for the ONE DOT to issue approval of the MoDOT STIP, MPO TIP, and to make air quality conformity determinations This agreement emphasizes the importance of timely review. The key is to facilitate a review process that includes ONE DOT participation on a value-added basis, without causing delay in meeting state and local project approval and implementation schedule goals.

Statewide Long-Range Transportation Plans (LRTP)

• The MoDOT, ONE DOT, the MPOs and other planning partners in general will collaborate throughout the LRTP development process.
• The MoDOT will submit the draft statewide LRTP to the FHWA division office (FHWA-DO) and FTA Region 7 (FTA-7) office (ONE DOT).
• ONE DOT shall provide comments to the MoDOT within 30 days following receipt of the draft LRTP. ONE DOT shall clearly identify comments based on regulatory requirements and comments based on best practice. Regulatory comments ONE DOT expects to be included in the MoDOT's current LRTP will be noted.

Metropolitan Long-Range Transportation Plans (LRTP)

• The MoDOT, ONE DOT, and MPOs will collaborate throughout the LRTP development process.
• The MPO will submit draft urbanized-area LRTP to the MoDOT, FHWA-DO and FTA-7.
• The specifics regarding transmittal responsibilities and media used (paper vs electronic copy) can be negotiated on an MPO-by-MPO basis.
• ONE DOT and the MoDOT shall exchange comments within 30 days following receipt of the draft LRTP. FHWA-DO and FTA-7 shall coordinate comments and/or deficiencies and reach a consensus prior to submitting one set of documented comments to the MoDOT.
• The MoDOT will coordinate review comments with ONE DOT prior to sending them to the MPO. ONE DOT shall be copied on the action.
• ONE DOT shall clearly identify comments based on regulatory requirements and comments based on best practice. Regulatory comments that ONE DOT expects to be included in the MPO's current LRTP will be noted.

II. STIP Approval/STIP Amendment Approval

STIP Approval Roles and Responsibilities:

• The MoDOT will actively involve ONE DOT as early on as possible in the effort to develop the STIP.
• The MoDOT will share its draft STIP with ONE DOT at the st art of the 45-day public comment period.
• The MoDOT will submit their final STIP to the ONE DOT for review and approval.
• ONE DOT shall have 30 days from receipt to complete the coordinated agency review.
• Notification of the joint STIP approval action shall be prepared and signed by FHWA-DO and FTA-7. The signed ONE DOT approval letter shall be forwarded to the MoDOT by the ONE DOT agency preparing the notification. The other ONE DOT agency shall be copied on the action.

STIP Amendments Roles and Responsibilities:

• The MoDOT shall submit its proposed STIP amendments to the ONE DOT for review and approval on a quarterly basis.
• ONE DOT shall have 30 days from receipt to complete its coordinated agency review.
• If the amendment request involves only highway projects, FHWA-DO will prepare and sign the ONE DOT approval letter.
• If the amendment involves only transit projects, FTA-7 will prepare and sign the ONE DOT approval letter.
• If the amendment request involves both highway and transit projects, the ONE DOT approval letter will be signed by both FHWA-DO and FTA-7.
• The signed ONE DOT approval letter shall be forwarded to the MoDOT by the ONE DOT agency preparing the notification. The other ONE DOT agency shall be copied on the action.

Roles and Responsibilities:

• The MoDOT will submit preliminary draft copy of proposed SPR to FHWA on or before May 15. In most cases, this draft will show the description of work items but not include the available funding and cost estimates. FHWA will review the scope of work and provide comment to the MoDOT on or before May 29..
• The MoDOT will submit a preliminary draft copy of proposed SPR to FHWA that includes scope of work with necessary funding and cost estimates on or before June 1.
• The FHWA will review the preliminary draft for approval and notify the MoDOT of its informal approval on or before June 15.
• The MoDOT will formally submit the preliminary SPR Program for FHWA approval on or before June 22. The MoDOT's submittal will include federal-aid project agreement for FHWA's execution.
• The FHWA will execute the federal-aid project agreement based on the preliminary final SPR program on or before June 30. This authorization is subject to receipt of a final work program within 30 days of the authorization date.
• On or before July 31, the MoDOT will formally submit the SPR program for FHWA's final approval after the Missouri Highways and Transportation Commission has approved the MoDOT's fiscal year operating budget. If there are any significant changes (e.g., addition or deletion of tasks, capital expenditures, etc.) to the preliminary final work program requiring prior approval, work may not proceed on such activities until the FHWA receives and approves the final work program. An action to modify the federal-aid project agreement will be completed as determined necessary.
• The FHWA's final approval letter will be forwarded to the MoDOT within 7 days of its receipt of the final SPR program.

Roles and Responsibilities:

• The MoDOT and ONE DOT will be actively involved as early as possible in the MPO's effort to develop its UPWP.
• The MPO is expected to submit the draft UPWP to the MoDOT and ONE DOT for its preliminary review 14 days prior to the date the MPO's technical committee is scheduled to approve the forwarding of the document to the MPO board of directors for approval.
• FHWA-DO and FTA-7 shall coordinate comments and/or deficiencies and reach a consensus prior to submitting one set of documented review comments to the MoDOT. ONE DOT and the MoDOT commit to completing the coordinated review process in a timeframe that allows opportunity for exchange of comments, thoughts, and expectations between ONE DOT and the MoDOT, as needed, and prior to the MPO technical committee meeting. ONE DOT shall clearly identify comments based on regulatory requirements and comments based on best practice. Regulatory comments ONE DOT expects to be included in the MPO's current UPWP will be noted.
• The MoDOT shall forward a written summary of ONE DOT and the MoDOT comments to the MPO prior to technical committee meeting date, as time allows. The MoDOT will coordinate review comments with ONE DOT prior to sending them to the MPO. ONE DOT shall be copied on the action.
• The MoDOT shall submit the board-approved UPWP to ONE DOT for review and approval within one week of its receipt from the MPO.
• ONE DOT shall complete its final coordinated review and approval notification action within 30 days of receipt of the MoDOT's formal request for approval. The signed ONE DOT approval letter shall be forwarded to MoDOT by the ONE DOT agency preparing the notification. The other ONE DOT agency and appropriate MPO shall be copied on the action.
• Any amendment of the UPWP will be coordinated as outlined above.

Roles and Responsibilities:

• The MoDOT and ONE DOT will be actively involved as early as possible in the MPO's effort to create or update its TIP.
• The MPO is expected to submit the draft TIP to the MoDOT and ONE DOT for its preliminary review at least 14 days prior to the date the DPO's technical committee is scheduled to approve the forwarding of the document to the MPO board of directors for approval.
• To the extent possible, FHWA-DO and FTA-7 shall coordinate comments and/or deficiencies and reach a consensus prior to submitting one set of documented review comments to the MoDOT. In exceptional cases when either agency must provide comments separately to the MoDOT, the correspondence should be identified as FHWA- DO or FTA-7 ONLY comments and should be copied to the other ONE DOT agency. ONE DOT and the MoDOT commit to completing the coordinated review process in a timeframe that allows opportunity for the exchange of comments,' thoughts, and expectations between ONE DOT and the MoDOT, as needed, and prior to the MPO technical committee meeting. ONE DOT shall clearly identify comments based on regulatory requirements and comments based on best practice. Regulatory comments that ONE DOT expects to be addressed in the MPO's current TIP will be noted.
• The MoDOT shall forward written summary of ONE DOT and the MoDOT comments to MPO prior to technical committee meeting date, as time allows. The MoDOT will coordinate review comments with ONE DOT prior to sending them to the MPO. ONE DOT shall be copied on the action. The comment summary will clearly convey ONE DOT and the MoDOT expectations in regards to the necessary level of MPO response to comments.
• Within one week of receipt of an adopted TIP from the MPO, the director of the MoDOT will sign the letter on behalf of the Governor requesting approval from ONE DOT to amend the MoDOT STIP to allow the incorporation of the MPO TIP by reference.
• ONE DOT shall complete its final coordinated agency review and approval notification action within 30 days of its receipt of the MoDOT's formal request for approval. The signed ONE DOT approval letter shall be forwarded to the MoDOT by the ONE DOT agency preparing the notification. The other ONE DOT agency and the appropriate MPO shall be copied on the action.

Roles and Responsibilities:

• The MPO shall submit its ''Air Quality Conformity Determination and Documentation'' along with a draft LRTP (including amendments) and/or TIP to ONE DOT for its review comments. and approval. The MPO will provide copies of the submitted documents to the MoDOT and the U.S. Environmental Protection Agency Region 7 (EPA-7) for its concurrent review.
• The ONE DOT shall formally request EPA-7 to review and comment on the conformity determination within 30 days of its receipt of the written ONE DOT request.
• Through the air quality consultation process, ONE DOT and EPA-7 shall discuss and resolve any comments or concerns that arise during the review of the document. ONE DOT shall clearly identify comments based on regulatory requirements and comments based on best practice. Regulatory comments that ONE DOT expects to be addressed in the MPO's current conformity determination will be noted.
• Upon receipt of a concurrence letter from EPA-7, ONE DOT shall issue the joint conformity determination memorandum to the MPO. The MoDOT and all other appropriate parties shall be copied on the action.

Roles and Responsibilities:

• The federal review team shall consist of staff from FHWA, FTA-7, and if necessary, technical experts from other division or region offices, headquarters, resource center, and EPA.
• The FHWA-DO and FTA-7, shall be responsible for the logistics of reviews.
• The federal review team will notify the TMA and MoDOT and determine the review date 90 days prior to the review.
• ONE DOT shall provide written notification of the review by a letter addressed to the executive director of the MPO, transportation planning director of the MoDOT, and the public transit operator. The notification letter shall be copied to the MoDOT and other planning partners (transit operator, air quality agency, etc.). Generally, the letter will include information such as the purpose of the review, scheduled dates, federal contact persons, review guideline questions and review team member list as enclosures. To the extent possible, the formal notification letter will be sent at least two months prior to the site visit.
• The federal review team will complete office-desk review and conduct on-site review (including presentation of initial findings). Both segments of the certification review will be coordinated with the MoDOT and the MPO. In its role as review participants, the MoDOT will attend and participate in all on-site meeting sessions.
• The federal review team will issue a draft final report to planning partners (state, MPO, and public transit operators) and requesting their review and comments prior to formally issuing the final report. ONE DOT will request the MoDOT and planning -partner's review comments be provided to ONE DOT within 14 days of receipt of the draft report.
• The federal review team will issue a final report to the MPO with a transmittal letter addressed to the executive director of the MPO, sent jointly by FHWA/FTA. Copies will be sent to the MoDOT and other appropriate planning partners (other state DOTs, transit operators).
• The federal review team shall provide follow-up to corrective actions and recommendations outlined in their final report. The review team will ask planning partners to respond to planning findings and outline their method for addressing corrective actions and recommendations.
  

VIII. Transportation Planning Process Reviews in Non-TMAs

Roles and Responsibilities:

• The planning process review team shall consist of staff from FHWA-DO and FTA-7, and if necessary, other technical experts from other federal division or region offices, headquarters, resource center, and EPA may be asked to participate as review team members. The federal review team will be responsible for the logistics of reviews.
• The federal review team will notify the MPO and determine the review date 90 days prior to review.
• ONE DOT shall provide written notification of the review by a letter addressed to the executive director of the MPO, transportation planning director of the MoDOT, and the public transit operator. The notification will be copied to the MoDOT and other appropriate planning partners (transit operator, air quality agency, etc.). Generally, the notification will include information such as the purpose of the review, its scheduled dates, review guideline questions and review team member list as enclosures.
• The planning process review will be coordinated with the MoDOT and the MPO. In its role as a review participant, MoDOT will attend and participate in all on-site meeting sessions.
• The review team will issue a draft planning review report to planning partners (states, MPO, and public transit operators) requesting their review and comments prior to formally issuing the final planning review report. ONE DOT will request the MoDOT and planning partner's review comments be provided to ONE DOT within 14 days of receiving the draft report.
• The federal review team will issue the planning review report to the MPO with a transmittal letter addressed to the executive director of the MPO, sent jointly by FHWA/FTA. Copies will be sent to the MoDOT and other appropriate planning partners (other state DOTs, transit operators).

IX. Highway Performance Monitoring System (HPMS)

• MoDOT will maintain HPMS data to reflect current information (sample information/universal information).
• MoDOT will collect, assemble and report identified data to comply with FHWA-provided data definitions and standards.
• FHWA-DO will emphasize a continued process improvement cooperative effort with state highway agency, local government, and metropolitan planning organizations to collect, assemble and report HPMS information
• MoDOT will submit its HPMS data report to FHWA-DO by June 15. FHWA-DO will provide oversight assistance as necessary to accomplish submittal.
• FHWA-DO and MoDOT-HPMS personnel will partner to address FHWA headquarter comments on the MoDOT HPMS data report for clarification and improvement strategies.
• FHWA-DO and MoDOT will coordinate an annual quality control/quality assurance field data review in support of a comprehensive and continuous process improvement approach to the HPMS program management.

X. MoDOT and MPO Annual Self-Certification

• The MoDOT and MPO shall annually certify to ONE DOT that the planning process is addressing the major issues facing the area and is being conducted in accordance with all
  applicable requirements listed in 23 CFR Part 450.334(a). The district engineer can do the MoDOT's certification.
• When the MPO submits their draft TIP to MoDOT, the MoDOT Transportation Planning and the MoDOT district offices jointly will review and evaluate the transportation planning process for the TMA or non-TMA to determine if its planning process is addressing the major issues facing its area and is being conducted in accordance with all applicable requirements listed in 23 CFR 450.334(a).
• Once MoDOT Transportation Planning and MoDOT district office jointly determines that the transportation planning process in a MPO or TMA meets the requirements listed in 23 CFR 450.334(a), they will take one of the following actions, as appropriated, listed in 23 CFR 450.334(d).
  

Methods For Communication

Roles and Responsibilities:

• We shall confer on a regular basis. If there is a major programmatic issue, the party bringing the concern to the table shall communicate it by email or letter.
• We agree that each agency will possess an up-to-date lead contact list of the individuals at each agency responsible for overseeing various areas of both the state and metropolitan planning programs.
• We agree that the MoDOT transportation planning division will extend an invitation to FHWA-DO and FTA-7 to attend their meetings with districts to discuss the development of focus area planning work products and processes.
• We agree that in an effort to enhance the effectiveness of our partnership we must better understand one another's day-to-day key operations. FHWA and MoDOT shall seek to appropriately involve the other in each agency's day-to-day internal business functions as said partnership enhancing opportunities arrive (i.e., MoDOT Transportation Planning Division's Monday morning managers' meeting, FHWA All-Employee Meetings, MoDOT's task force work efforts, etc.). The MoDOT's transportation planning division's Monday morning managers' meeting that falls on the first Monday of the month will be highlighted as FHWA-DO and FTA-7 outreach and status of affairs opportunity. MoDOT will provide teleconferencing opportunity to ONE DOT for this Monday morning managers' meeting.
• We agree that the MoDOT transportation planning director and FHWA team planning and right-way team leader will involve the other in the early stages of their development of annual work plans (MoDOT planning program business plan /FHWA division office performance plan). Agreed upon joint work efforts will be shown in both plans.
• We agree that the MoDOT transportation planning director and FHWA team planning and right of way team leader will meet at the mid-year point of each work period for the purpose of identifying the status of joint work efforts and the end-of-the-year point of each work period to document joint work effort accomplishments.
• We agree to have at least two planning program coordination meetings, per year. The timing for these meetings to correspond with related work activities. The evaluation of the level of FHWA-DO, FTA-7 and MoDOT's commitment to this agreement will be a standard item on each meeting's agenda. The MoDOT will provide teleconference opportunity to FTA-7, as needed, for all semi-annual meetings. FHWA-DO, FTA-7 and MoDOT shall keep minutes from each semi-annual meeting. We will meet as needed throughout the year on specific issues related to focus areas.
• We agree that the MoDOT transportation planning director and FHWA team planning and right of way leader will meet together with MoDOT and FHWA transportation planning program area.
• MoDOT will share the tracking report of the STIP, STIP amendments, TIP, TIP amendments, UPWP and consolidated planning grant agreements with ONE DOT.
  

Methods for Conflict Resolution Regarding FHWA/MoDOT Issues

Partners agree, to the maximum extent possible, that issues involving the two agencies shall be resolved at the staff level. When issues arise that cannot be resolved within two weeks at this staff level, partners agree to elevate the issue in the following manner:

• First, resolution of the issue will be sought at the MoDOT transportation planning/FHWA team planning and right-way leader management level.
• Second, elevate issue to the MoDOT director of project development / FHWA assistant division administrator, level for final resolution.
• The agreed upon manner of resolution to be finalized with the exchange of the agreed upon written expectations via email or hard copy communication.

Attendance and Representation

Roles and Responsibilities:

• A representative of the FHWA-DO, FTA-7 and MoDOT will participate, as appropriate, in policy and working group meetings of the MPOs via telephone, video or site visit, or by providing comments to staff in advance.
• MoDOT shall communicate to all MPOs that MoDOT, FHWA and FTA-7 should be copied on all policy, working group, and other appropriate meetings.

Performance Evaluation:

ONE DOT and moDOT agree to complete a mid-year and end-of-year assessment of the following performance evaluation measures:

• The number of meetings held between MoDOT transportation planning and FHWA-DO planning team and MoDOT transportation planning and ONE DOT.
• The percentage of focus area planning review and approval time frames delivered in adherence to the manner and timeframe outlined in this agreement.
• The number of work products and planning processes that were cooperatively improved.

The performance evaluation assessment will include the documentation of the planning partner's findings and recommendations for improvement.

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