FEDERAL-AID POLICY GUIDE
March 31, 1994, Transmittal 9
23 CFR 450B
SUBCHAPTER E - PLANNING
PART 450 - PLANNING ASSISTANCE AND STANDARDS
SUBPART B - STATEWIDE TRANSPORTATION PLANNING
450.206 Statewide transportation planning process: General requirements.
450.208 Statewide transportation planning process: Factors
450.212 Public involvement.
450.214 Statewide transportation plan.
450.216 Statewide transportation improvement program (STIP).
450.222 Project selection for implementation.
450.224 Phase-in of new requirements.
AUTHORITY: 23 U.S.C. 104(f), 134, 135, 217, and 315; 42 U.S.C. 7410 et seq; 49 U.S.C. app. 1602, 1604, 1607, and 1607a; 49 CFR 1.48(b) and 1.51.
Source: 58 FR 58040, Oct. 28, 1993, unless otherwise noted.
Sec. 450.200 Purpose.
The purpose of this subpart is to implement 23 U.S.C. 135, which requires each State to carry out a continuing, comprehensive, and intermodal statewide transportation planning process, including the development of a statewide transportation plan and transportation improvement program, that facilitates the efficient, economic movement of people and goods in all areas of the State, including those areas subject to the requirements of 23 U.S.C 134.
Sec. 450.202 Applicability.
The requirements of this subpart are applicable to States and any other agencies/organizations which are responsible for satisfying these requirements.
Sec. 450.204 Definitions.
Except as otherwise provided in subpart A of this part, termsdefined in 23 U.S.C. 101(a) are used in this part as so defined.
Sec. 450.206 Statewide transportation planning process: General requirements.
(a) The statewide transportation planning process shall include, as a minimum:
(1) Data collection and analysis;
(2) Consideration of factors contained in § 450.208;
(3) Coordination of activities as noted in § 450.210;
(4) Development of a statewide transportation plan that considers a range of transportation options designed to meet the transportation needs (both passenger and freight) of the state including all modes and their connections; and
(5) Development of a statewide transportation improvement program (STIP).
(b) The statewide transportation planning process shall be carried out in coordination with the metropolitan planning process required by subpart C of this part.
Sec. 450.208 Statewide transportation planning process: Factors.
(a) Each State shall, at a minimum, explicitly consider, analyze as appropriate and reflect in planning process products the following factors in conducting its continuing statewide transportation planning process:
(1) The transportation needs (strategies and other results) identified through the management systems required by 23 U.S.C. 303;
(2) Any Federal, State, or local energy use goals, objectives, programs, or requirements;
(3) Strategies for incorporating bicycle transportation facilities and pedestrian walkways in appropriate projects throughout the State;
(4) International border crossings and access to ports, airports, intermodal transportation facilities, major freight distribution routes, national parks, recreation and scenic areas, monuments and historic sites, and military installations;
(5) The transportation needs of nonmetropolitan areas (areas outside of MPO planning boundaries) througha process that includes consultation with local elected officials with jurisdiction over transportation;
(6) Any metropolitan area plan developed pursuant to 23 U.S.C. 134 and section 8 of the Federal Transit Act 49 U.S.C. app. 1607;
(7) Connectivity between metropolitan planning areas within the State and with metropolitan planning areas in other States;
(8) Recreational travel and tourism;
(9) Any State plan developed pursuant to the Federal Water Pollution Control Act, 33 U.S.C. 1251 et seq. (and in addition to plans pursuant to the Coastal Zone Management Act);
(10) Transportation system management and investment strategies designed to make the most efficient use of existing transportation facilities (including consideration of all transportation modes);
(11) The overall social, economic, energy, and environmental effects of transportation decisions (including housing and community development effects and effects on the human, natural and manmade environments);
(12) Methods to reduce traffic congestion and to prevent traffic congestion from developing in areas where it does not yet occur, including methods which reduce motor vehicle travel, particularly single-occupant motor vehicle travel;
(13) Methods to expand and enhance appropriate transit services and to increase the use of such services (including commuter rail);
(14) The effect of transportation decisions on land use and land development, including the need for consistency between transportation decisionmaking and the provisions of all applicable short-range and long-range land use and development plans (analyses should include projections of economic, demographic, environmental protection, growth management and land use activities consistent with development goals and transportation demand projections);
(15) Strategies for identifying and implementing transportation enhancements where appropriate throughout the State;
(16) The use of innovative mechanisms for financing projects, including value capture pricing, tolls, and congestion pricing;
(17) Preservation of rights-of-way for construction of future transportation projects, including identification of unused rights-of-way which may be needed for future transportation corridors, identification of those corridors for which action is most needed to prevent destruction or loss (including strategies for preventing loss of rights-of-way);
(18) Long-range needs of the State transportation system for movement of persons and goods;
(19) Methods to enhance the efficient movement of commercial motor vehicles;
(20) The use of life-cycle costs in the design and engineering of bridges, tunnels, or pavements;
(21) The coordination of transportation plans and programs developed for metropolitan planning areas of the State under 23 U.S.C. 134 and section 8 of the Federal Transit Act with the statewide transportation plans and programs developed under this subpart, and the reconciliation of such plans and programs as necessary to ensure connectivity within transportation systems;
(22) Investment strategies to improve adjoining State and local roads that support rural economic growth and tourism development, Federal agency renewable resources management, and multipurpose land management practices, including recreation development; and
(23) The concerns of Indian tribal governments having jurisdiction over lands within the boundaries of the State.
(b) The degree of consideration and analysis of the factors should be based on the scale and complexity of many issues, including transportation problems, land use, employment, economic development, environmental and housing and community development objectives, the extent of overlap between factors and other circumstances statewide or in subareas within the State.
Sec. 450.210 Coordination.
(a) In addition to the coordination required under§450.208(a)(21), in carrying out the requirements of this subpart, each State, in cooperation with participating organizations (such as MPOs, Indian tribal governments, environmental, resource and permit agencies, public transit operators) shall, to the extent appropriate, provide for a fully coordinated process including coordination of the following:
(1) Data collection, data analysis and evaluation of alternatives for a transit, highway, bikeway, scenic byway, recreational trail, or pedestrian program with any such activities for the other programs;
(2) Plans, such as the statewide transportation plan required under § 450.214, with programs and priorities for transportation projects, such as the STIP;
(3) Data analysis used in development of plans and programs, (for example, information resulting from traffic data analysis, data and plans regarding employment and housing availability, data and plans regarding land use control and community development) with land use projections, with data analysis on issues that are part of public involvement relating to project implementation, and with data analyses done as part of the establishment and maintenance of management systems developed in response to 23 U.S.C. 303;
(4) Consideration of intermodal facilities with land use planning, including land use activities carried out by local, regional, and multistate agencies;
(5) Transportation planning carried out by the State with transportation planning carried out by Indian tribal governments, Federal agencies and local governments, MPOs, large-scale public and private transportation providers, operators of major intermodal terminals and multistate businesses;
(6) Transportation planning carried out by the State with significant transportation-related actions carried out by other agencies for recreation, tourism, and economic development and for the operation of airports, ports, rail terminals and other intermodal transportation facilities;
(7) Public involvement carried out for the statewide planning process with public involvement carried out for the metropolitan planning process;
(8) Public involvement carried out for planning with public involvement carried out for project development;
(9) Transportation planning carried out by the State with Federal, State, and local environmental resource planning that substantially affects transportation actions;
(10) Transportation planning with financial planning;
(11) Transportation planning with analysis of potential corridors for preservation;
(12) Transportation planning with analysis of social, economic, employment, energy,environmental, and housing and community development effects of transportation actions; and
(13) Transportation planning carried out by the State to meet the requirements of 23 U.S.C. 135 with transportation planning to meet other Federal requirements including the State rail plan.
(b) The degree of coordination should be based on the scale and complexity of many issues including transportation problems, land use, employment, economic, environmental, and housing and community development objectives, and other circumstances statewide or in subareas within the State.
Sec. 450.212 Public involvement.
(a) Public involvement processes shall be proactive and provide complete information, timely public notice, full public access to key decisions, and opportunities for early and continuing involvement. The processes shall provide for:
(1) Early and continuing public involvement opportunities throughout the transportation planning and programming process;
(2) Timely information about transportation issues and processes to citizens, affected public agencies, representatives of transportation agency employees, private providers of transportation, other interested parties and segments of the community affected by transportation plans, programs and projects;
(3) Reasonable public access to technical and policy information used in the development of the plan and STIP;
(4) Adequate public notice of public involvement activities and time for public review and comment at key decision points, including but not limited to action on the plan and STIP;
(5) A process for demonstrating explicit consideration and response to public input during the planning and program development process;
(6) A process for seeking out and considering the needs of those traditionally underserved by existing transportation systems, such as low-income and minority households which may face challenges accessing employment and other amenities;
(7) Periodic review of the effectiveness of the public involvement process to ensure that the process provides full and open access to all and revision of the process as necessary.
(b) Public involvement activities carried out in a metropolitan area in response to metropolitan planning requirements in Sec. 450.322(c) or Sec. 450.324(c) may by agreement of the State and the MPO satisfy the requirements of this section.
(c) During initial development and major revisions of the statewide transportation plan required under Sec. 450.214, the State shall provide citizens, affected public agencies and jurisdictions, employee representatives of transportation and other affected agencies, private and public providers of transportation, and other interested parties a reasonable opportunity to comment on the proposed plan. The proposed plan shall be published, with reasonable notification of its availability, or otherwise made readily available for public review and comment. Likewise, the official statewide transportation plan (see Sec. 450.214(d)) shall be published, with reasonable notification of its availability, or otherwise made readily available for public information.
(d) During development and major revision of the statewide transportation improvement program required under Sec. 450.216, the Governor shall provide citizens, affected public agencies and jurisdictions, employee representatives of transportation or other affected agencies, private providers of transportation, and other interested parties, a reasonable opportunity for review and comment on the proposed program. The proposed program shall be published, with reasonable notification of its availability, or otherwise madereadily available for public review and comment. The approved program (see Sec. 450.220(c)) if it differs significantly from the proposed program, shall be published, with reasonable notification of its availability, or otherwise made readily available for public information.
(e) The time provided for public review and comment for minor revisions to the statewide transportation plan or statewide transportation improvement program will be determined by the State and local officials based on the complexity of the revisions.
(f) The State shall, as appropriate, provide for public comment on existing and proposed procedures for public involvement throughout the statewide transportation planning and programming process. As a minimum, the State shall publish procedures and allow 45 days for public review and written comment before the procedures and any major revisions to existing procedures are adopted.
(g) The public involvement processes will be considered by the FHWA and the FTA as they make the planning finding required in Sec. 450.220(b) to assure that full and open access is provided to the decision making process.
Sec. 450.214 Statewide transportation plan.
(a) The State shall develop a statewide transportation plan for all areas of the State.
(b) The plan shall:
(1) Be intermodal (including consideration and provision, as applicable, of elements and connections of and between rail, commercial motor vehicle, waterway, and aviation facilities, particularly with respect to intercity travel) and statewide in scope in order to facilitate the efficient movement of people and goods;
(2) Be reasonably consistent in time horizon among its elements, but cover a period of at least 20 years;
(3) Contain, as an element, a plan for bicycle transportation, pedestrian walkways and trails which is appropriately interconnected with other modes;
(4) Be coordinated with the metropolitan transportation plans required under 23 U.S.C. 134;
(5) Reference, summarize or contain any applicable short range planning studies, strategic planning and/or policy studies, transportation need studies, management system reports and any statements of policies, goals and objectives regarding issues such as transportation, economic development, housing, social and environmental effects, energy, etc., that were significant to development of the plan; and
(6) Reference, summarize or contain information on the availability of financial and other resources needed to carry out the plan.
(c) In developing the plan, the State shall:
(1) Cooperate with the MPOs on the portions of the plan affecting metropolitan planning areas;
(2) Cooperate with the Indian tribal government and the Secretary of the Interior on the portions of the plan affecting areas of the State under the jurisdiction of an Indian tribal government;
(3) Provide for public involvement as required under Sec. 450.212;
(4) Provide for substantive consideration and analysis as appropriate of specified factors as required under Sec. 450.208; and
(5) Provide for coordination as required under Sec. 450.210.
(d) The State shall provide and carryout a mechanism to establish the document, or documents, comprising the plan as the official statewide transportation plan.
(e) The plan shall be continually evaluated and periodically updated as appropriate using the procedures in this section for development and establishment of the plan.
Sec. 450.216 Statewide transportation improvement program (STIP).
(a) Each State shall develop a statewide transportation improvement program for all areas of the State. In case of difficulties in developing the STIP portion for a particular area, e.g., metropolitan area, Indian tribal lands, etc., a partial STIP covering the rest of the State may be developed. The portion of the STIP in a metropolitan planning area (the metropolitan TIP developed pursuant to subpart C of this part) shall be developed in cooperation with the MPO. To assist thisprocess, the State will need to provide MPOs with estimates of available Federal and State funds which the MPO can utilize in developing the metropolitan TIP. Metropolitan planning area TIPs shall be included without modification in the STIP, directly or by reference, once approved by the MPO and the Governor and after needed conformity findings are made. Metropolitan TIPs in nonattainment and maintenance areas are subject to the FHWA and the FTA conformity findings before their inclusion in the STIP. In nonattainment and maintenance areas outside metropolitan planning areas, Federal findings of conformity must be made prior to placing projects in the STIP. The State shall notify the appropriate MPO, local jurisdictions, Federal land agency, Indian tribal government, etc. when a TIP including projects under the jurisdiction of the agency has been included in the STIP. All title 23 and Federal Transit Act fund recipients will share information as projects in the STIP are implemented. The Governor shall provide for public involvement in development of the STIP as required by Sec. 450.212. In addition, the STIP shall:
(1) Include a list of priority transportation projects proposed to be carried out in the first 3 years of the STIP. Since each TIP is approved by the Governor, the TIP priorities will dictate STIP priorities for each individual metropolitan area. As a minimum, the lists shall group the projects that are to be undertaken in each of the years, e.g., year 1, year 2, year 3;
(2) Cover a period of not less than 3 years, but may at State discretion cover a longer period. If the STIP covers more than 3 years, the projects in the additional years will be considered by the FHWA and the FTA only as informational;
(3) Contain only projects consistent with the statewide plan developed under Sec 450.214;
(4) In nonattainment and maintenance areas, contain only transportation projects found to conform, or from programs that conform, to the requirements contained in 40 CFR Part 51;
(5) Be financially constrained by year and include sufficient financial information to demonstrate which projects are to be implemented using current revenues and which projects are to be implemented using proposed revenue sources while the system as a whole is being adequately operated and maintained. In nonattainment and maintenance areas, projects included in the first two years ofthe current STIP/TIP shall be limited to those for which funds are available or committed. In the case of proposed funding sources, strategies for ensuring their availability shall be identified;
(6) Contain all capital and non-capital transportation projects (including transportation enhancements, Federal lands highways projects, trails projects, pedestrian walkways, and bicycle transportation facilities), or identified phases of transportation projects, proposed for funding under the Federal Transit Act (49 U.S.C. app. 1602, 1607a, 1612 and 1614) and/or title 23, U.S.C. excluding:
(i) Safety projects funded under section 402 of the Surface Transportation Assistance Act of 1982, as amended (49 U.S.C. app. 2302);
(ii) IVHS planning grants funded under section 6055(b) of the Intermodal Surface Transportation Efficiency Act of 1991 (Pub. L. 102-240, 105 Stat. 1914);
(iii) Transit planning grants funded under section
8 or 26 of the Federal Transit Act (49 U.S.C.
app. 1607 and 1622);
(iv) Metropolitan planning projects funded under 23 U.S.C. 104(f);
(v) State planning and research projects funded under 23 U.S.C. 307(c)(1) (except those funded with NHS, STP and minimum allocation (MA) funds that the State and MPO for a metropolitan area agree should be in the TIP and consequently must be in the STIP); and
(vi) Emergency relief projects (except those involving substantial functional, locational or capacity changes);
(7) Contain all regionally significant transportation projects requiring an action by the FHWA or the FTA whether or not the projects are to be funded with title 23, U.S.C. or Federal Transit Act funds, e.g., addition of an interchange to the Interstate System with State, local and/or private funds, demonstration projects not funded under title 23, U.S.C., or the Federal Transit Act. (The STIP should, for information purposes, include all regionally significant transportation projects proposed to be funded with Federal funds other than those administered by the FHWA or theFTA. It should also include, for information purposes, if appropriate and cited in any TIPs, all regionally significant projects, to be funded with non-Federal funds);
(8) Include for each project the following:
(i) Sufficient descriptive material (i.e., type of work, termini, length, etc.) to identify the project or phase;
(ii) Estimated total cost;
(iii) The amount of Federal funds proposed to be
obligated during each program year;
(iv) For the first year, the proposed category of Federal funds and source(s) of non-Federal funds;
(v) For the second and third years, the likely category or possible categories of Federal funds and sources of non-Federal funds; and
(vi) Identification of the agencies responsible for carrying out the project; and
(9) For non-metropolitan areas, include in the first year only those projects which have been selected in accordance with the project selection requirements in Sec. 450.222(c).
(b) Projects that are not considered to be of appropriate scale for individual identification in a given program year may be grouped by function, work type, and/or geographic area using the applicable classifications under 23 CFR 771.117(c) and (d) and/or 40 CFR Part 51.
(c) Projects in any of the first three years of the STIP may be moved to any other of the first three years of the STIP subject to the project selection requirements of Sec. 450.222.
(d) The STIP may be amended at any time under procedures agreed to by the cooperating parties consistent with the procedures established in this section (for STIP development), in Sec. 450.212 (for public involvement) and in Sec. 450.220 (for the FHWA and the FTA approval).
Sec. 450.218 Funding.
Funds provided under sections 8, 9, 18, and 26(a)(2) of theFederal Transit Act and 23 U.S.C. 104(b)(1), 104(b)(3), 104(f)(3) and 307(c)(1) may be used to accomplish activities in this subpart.
Sec. 450.220 Approvals.
(a) At least every two years, each State shall submit the entire proposed STIP, and amendments as necessary, concurrently to the FHWA and the FTA for joint approval. The State shall certify that the transportation planning process is being carried out in accordance with all applicable requirements of:
(1) 23 U.S.C. 135, section 8(q) of the Federal Transit Act and this part;
(2) Title VI of the Civil Rights Act of 1964 and the Title VI assurance executed by each State under 23 U.S.C. 324 and 29 U.S.C. 794;
(3) Section 1003(b) of the Intermodal Surface Transportation Efficiency Act of 1991 (Pub. L. 102-240, 105 Stat. 1914) regarding the involvement of disadvantaged business enterprises in the FHWA and the FTA funded projects (sec. 105(f), Pub. L. 97-424 96 Stat. 2100; 49 CFR part 23);
(4) The provisions of the Americans with Disabilities Act of 1990 (Pub. L. 101-336, 104 Stat. 327, as amended) and U.S. DOT regulations "Transportation for Individuals with Disabilities" (49 CFR Parts 27, 37, and 38);
(5) The provisions of 49 CFR part 20 regarding restrictions on influencing certain Federal activities; and
(6) In States containing nonattainment and maintenance areas, sections 174 and 176(c) and (d) of the Clean Air Act as amended (42 U.S.C. 7504, 7506(c) and (d)).
(b) The FHWA and the FTA Administrators, in consultation with, where applicable, Federal lands agencies, will review the STIP or amendment and jointly make a finding as to the extent the projects in the STIP are based on a planning process that meets or substantially meets the requirements of title 23, U.S.C., the Federal Transit Act and subparts A, B and C of this part.
(c) If, upon review, the FHWA and the FTA Administrators jointly determine that the STIP or amendment meet, to an acceptable degree, the requirements of 23 U.S.C. 135 and these regulations (including subpart C where ametropolitan TIP is involved), they will approve the STIP. Approval action will take one of the following forms, as appropriate:
(1) Joint approval of the STIP;
(2) Joint approval of the STIP subject to certain corrective actions being taken;
(3) Joint approval of the STIP as the basis for approval of identified categories of projects; and/or
(4) Under special circumstances, joint approval of a partial STIP covering only a portion of the State.
(d) The joint approval period for a new STIP or amended STIP will not exceed two years. Where the State demonstrates that extenuating circumstances will delay the submittal of a new STIP or amended STIP for approval, FHWA and FTA will consider and take appropriate action on requests to extend the approval beyond two years for all or part of the STIP for a limited period of time. Where the request involves projects in a metropolitan planning area(s), the affected MPO(s) must concur in the request and if the delay was due to the development and approval of the TIP, the affected MPO(s) must provide supporting information for the request. If nonattainment and/or maintenance areas are involved, a request for an extension cannot be granted if the conformity determination on the TIP is no longer valid under EPA's conformity regulations (40 CFR part 51).
(e) If, upon review, the FHWA and the FTA Administrators jointly determine that the STIP or amendment does not substantially meet the requirements of 23 U.S.C. 135 and this part for any identified categories of projects, they will not approve the STIP.
(f) The FHWA and the FTA will notify the State of actions taken under this section.
(g) Where necessary in order to maintain or establish operations, the Federal Transit Administrator and/or the Federal Highway Administrator may approve operating assistance for specific projects or programs even though the projects or programs may not be included in an approved STIP.
Sec. 450.222 Project selection for implementation.
(a) Except as provided in Sections 450.220(f) and 450.216(a)(7), only projects included in the Federallyapproved STIP shall be eligible for funds administered by the FHWA or the FTA.
(b) In metropolitan planning areas, transportation projects requiring title 23 or Federal Transit Act funds administered by the FHWA or the FTA shall be selected in accordance with procedures established pursuant to the project selection portion of the metropolitan planning regulation in subpart C of this part.
(c) Outside metropolitan planning areas, transportationprojects undertaken on the National Highway System with title 23 funds and under the bridge and Interstate maintenance programs shall be selected by the State in consultation with the affected local officials. Federal lands highway projects shall be selected in accordance with 23 U.S.C. 204. Other transportation projects undertaken with funds administered by the FHWA shall be selected by the State in cooperation with the affected local officials, and projects undertaken with Federal Transit Act funds shall be selected by the State in cooperation with the appropriate affected local officials and transit operators.
(d) The projects in the first year of an approved STIP shall constitute an "agreed to" list of projects for subsequent scheduling and implementation. No further project selection action is required for the implementing agency to proceed with these projects except that if appropriated Federal funds available are significantly less than the authorized amounts, Sec. 450.332(c) provides for a revised list of "agreed to" projects to be developed upon the request of the State, MPO, or transit operators. If an implementing agency wishes to proceed with a project in the second and third year of the STIP, the specific project selection procedures stated in paragraphs (b) and (c) of this section must be used. Expedited selection procedures which provide for the advancement of projects from the second or third years of the STIP may be used if agreed to by all the parties involved in the selection.
Sec. 450.224 Phase-in of new requirements.
The State shall, by January 1, 1995, identify the official statewide transportation plan, described under Sec. 450.214, to be used as a basis for subsequently approved STIPs. Until such a plan is identified, but no later than January 1, 1995, the State may identify existing plans and policies which can serve as the official interim plan. STIP development shall be based upon a transportation plan which serves as the official plan (including an interim plan if appropriate prior to January 1, 1995 provided that all factors identified in Sec. 450.208 are considered).