# Presentation: 690920

## Notice of Proposed RulemakingPublic Outreach Meeting

-  Planning NPRM
-  ITS Architecture and Standards NPRM
-  Environment NPRM

***Federal Highway Administration***
***Federal Transit Administration***

- June – July 2000

## Meeting Agenda

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

## Notice of Proposed RulemakingPublic Outreach Meeting

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

## Scope and Purpose of Meeting

- Publicize existence of NPRM and comment process
- Identify major policy objectives
- Discuss major provisions or changes proposed in each rule
- Answer questions that clarify content and intent of NPRMs
- Invite stakeholders to provide official comments to NPRMs through U.S. DOT docket

**Notes:**
Under current statutory and regulatory provisions, DOT staff will not be permitted to engage in substantive dialog regarding what the content of the NPRMs and the final regulations should be.  Attendees wishing to express ideas and thoughts regarding the final content of the rules should direct those comments to the docket.  

## NPRM Overview

- Three NPRMs
- Metropolitan and statewide planning
- revised rule; substantial portion unchanged
- closely reflects statutory provisions
- ITS Architecture and Standards
- New rule for ITS; also embedded in planning
- Transportation Planning NPRM (§1410)
- Project Development NPRM (§940)
- FTA project level policy implemented differently
- National Environmental Policy Act
- Major rewrite for NEPA rule (first since 1987)
- Joint proposals between FHWA and FTA

## Planning and Environment Outreach and Comment Process

- June 98 - Jan 99 		Secretary’s Listening Sessions 					on TEA-21 Implementation
- Feb 99  			FHWA-FTA options paper for 					public comment
- May - Sept 99			Draft rules prepared
- May 00	 			Publication in Federal Register					with 90 day comment period
- June 00				National video conference
- June - July 00 			Seven public briefings

**Notes:**
FHWA-FTA options paper for public comment is available [insert where].

## ITS Architecture and Standards Outreach and Comment Process

- Spring 98 		Outreach meetings on conceptual approach
- June 98 – Jan 99	Secretary Slater’s Listening Sessions on TEA-21 			implementation
- Spring 99		Informational presentations on U.S. DOT “policy 				approach; thoughts to date”
- May – Oct 99		Draft rules prepared
- Nov 99  		FTA/FHWA approval and transmittal to Secretary 			Slater
- Spring 2000 		Coordination of timing with Planning NPRM
- May –  Aug 00		Publication in Federal Register with 90 day 				comment period
- June – July 00 		Seven public briefings

## Submitting Comments on NPRMs

- Submit in writing to:
- Docket Clerk
- U.S. DOT Dockets, Room PL-401
- 400 7th St., SW
- Washington, DC 20590-0001
- Reference appropriate docket number
- Docket closure on August 23, 2000
- Comments received after docket is closed will be considered to the extent possible

**Notes:**
Comments will be considered after the docket closing date.  However, timely
submission of comments will ensure that FHWA and FTA can give them full
consideration in the development of a final rule.  Late comment submissions
will be considered  to the extent possible given the status of rulemaking at
the time of their receipt.

## Major Policy Objectives

- Implement statutory provisions and reflect congressional intent
- Provide flexibility to transit operators, states, and MPOs; emphasize outcomes and not process and procedures
- Reflect key Federal priorities
- Environmental Justice
- Environmental Streamlining
- Intelligent Transportation Systems

## Presentation Format for Each Section

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

## Notice of Proposed RulemakingPublic Outreach Meeting

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

## Major Provisions or Changes

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

- * These are new requirements written into TEA-21.

*Planning NPRM*

## Major Provisions or Changes (cont’d)

- Linkage to ITS Architecture and Standards*
- Environmental Justice/Title VI
- Planning and Project Development (NEPA)   Linkage*
- Air Quality Conformity Provisions

- * These are new requirements written into TEA-21.

*Planning NPRM*

## State Consultation with Non-Metropolitan Local Officials

- Legislative Provisions
- TEA-21 (Section 1204) requires states to consult with non-metropolitan local officials in transportation decisionmaking and to document the process for consultation
- Current Regulations
- Reasonable opportunity for public officials to comment on plan and STIP development
- Cooperation / consultation with local officials on project selection in non-metropolitan areas

*Planning NPRM*

**Notes:**
Current rule:
No formalized guidance on consultation.  Non-metropolitan public officials not specifically identified. 

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

- Proposed Regulations [§1410.212(a)(1-2) and (c), §1410.214(b)(4) and (c), §1410.216(b)(4)]
- Revise definition of *consultation*
- “Consultation means that one party confers with another party, in accordance with an established process, about an anticipated action and then keeps that party informed about actions taken.” [§1410.104]
- Include state and non-metropolitan local elected officials in the Statewide planning process so that the process is a continuing cooperative and comprehensive process
- Requires the state _and _non-metropolitan officials to cooperatively develop and document a process for consultation.

*Planning NPRM*

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

- Intended Outcomes
- Increased involvement of non-metropolitan local officials in the planning process will better reflect concerns of Rural America reflected in transportation decisions
- Increased opportunity for rural economic development

*Planning NPRM*

## Revenue Forecasts

- Legislative Provisions
- TEA-21 directs that the State and MPOs establish a cooperative process to estimate revenues available to support metropolitan plans
- Current Regulations
- Cooperative development of estimates of revenues available for plan and TIP development

*Planning NPRM*

## Revenue Forecasts (cont’d)

- Proposed Regulations [§1410.216(a), §1410.322(b)(10), §1410.324(e)]
- Requirement for cooperative development (by States, MPOs and transit agencies) of revenue forecasts to be used in planning and programming clarified
- The MPO, the State DOT, and the transit operator(s) will establish and mutually agree upon procedures to develop financial estimates used in preparing plans and programs

*Planning NPRM*

## Revenue Forecasts (cont’d)

- Intended Outcomes
- Better financial information for MPO planning and programming
- Open and understandable revenue-forecasting process to facilitate full “buy-in” by all participants
- Greater clarity for financial information assumptions and options
- Flexibility for MPO, State DOT, and transit operator(s) in cooperatively developing estimates
- Enhanced cooperation among State and Local officials

*Planning NPRM*

## Planning Factors

- Legislative Provisions
- TEA-21 (Sections 1203, 1204, and 3004) consolidates and simplifies planning factors
- Failure to consider factor is not subject to court review
- Current Regulations
- 16 and 23 factors for metropolitan and statewide planning
- Proposed Regulations [§1410.208 state, §1410.316 metropolitan]
- Identify the 7 new or revised TEA-21 planning factors using statutory language

*Planning NPRM*

## Planning Factors (cont’d)

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

*Planning NPRM*

## Planning Factors (cont’d)

- Intended Outcomes
- Streamline and simplify factors
- Rely on legislative language to guide planning process
- Use non-regulatory approaches to promote good practices
- Support local application of factors to fit local circumstances (no one size fits all)
- State and local consideration of a full range of planning factors, as applicable, in the local context

*Planning NPRM*

## Safety

- Legislative Provisions
- Safety is one of 7 planning factors to be addressed in developing a transportation plan
- Current Regulations
- Only direct reference is transit safety (one of 16 factors)
- Proposed Regulations [§1410.208 state, §1410.316 metropolitan;  §1410.206(a)(4), §1410.214(a)(2), §1410.216(c)(6)]
- Listed as 1 of 7 planning factors

*Planning NPRM*

## Safety (cont’d)

- Intended Outcomes
- Safer transportation system
- More emphasis on safety in transportation plans, programs, and projects
- Reliance on localized application with FHWA/FTA providing training, good practices, and other specialized activity
- Increased awareness and visibility of safety issues for local decisionmakers
- Greater awareness and consideration of safety issues in transportation decisions

*Planning NPRM*

## Twenty Year Plan Horizon

- Legislative Provisions
- TEA-21 continues legislative requirement for 20-year forecast period for state and metropolitan transportation plans
- Current Regulations
- Plan must have at least 20-year horizon at time of adoption by MPO and State

*Planning NPRM*

## Twenty Year Plan Horizon (cont’d)

- Proposed Regulations [§1410.322(e), 1410.214(a)(4)]
- In all areas, plans must reflect most recent assumptions for population, travel, land use, congestion, employment, and economic activity at time of adoption or revision
- In attainment areas, metropolitan plan must have 20-year plan at time of adoption by MPO; remains valid for Federal actions for five years before next update unless modified by addition of regionally significant project

*Planning NPRM*

## Twenty Year Plan Horizon (cont’d)

- Proposed Regulations (cont’d)
- Non-attainment and maintenance area horizon is also 20 years at plan adoption but length of validity for Federal action is only 3 years; modification by adding non-exempt project would trigger update
- State plans are 20-year horizon at adoption, with update cycle set by State [§1410.214(a)(4)]

*Planning NPRM*

## Twenty Year Plan Horizon (cont’d)

- Intended Outcomes
- Meet statutory requirement for 20-year plans
- Maintain completeness and utility of plans for decision- making
- Align conformity findings and plan adoption timeframes

*Planning NPRM*

## FHWA/FTA “Finding” on STIP and TIP

- Legislative Provisions
- TEA-21 (Sections 1204) requires a finding by the Secretary that the STIP comes from a planning process that is consistent with Sections 1203, 1204 and 5303-05
- Current Regulations
- Existing regulations require finding that projects in TIP/STIP are based on planning process consistent with federal regulations

*Planning NPRM*

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

- Proposed Regulations[§1410.322(b)]
- Regulation based on new statutory language and previous regulations approach
- Intended Outcomes
- Reflect the TEA-21 requirement
- Improve transportation planning process by identifying areas for focused improvement
- Provide a recurring basis for positive reinforcement of effective planning processes and earlier identification of weaknesses
- Identify best practices to share with other states

*Planning NPRM*

## STIP/TIP Extensions Severely Curtailed

- Legislative Provisions
- No legislative provisions
- Current Regulations
- Allows FHWA and FTA to grant extension in extraordinary circumstances for time period determined based on situation

*Planning NPRM*

## STIP / TIP Extensions Severely Curtailed (cont’d)

- Proposed Regulations[§1410.324, 1410.222(c)]
- TIP/STIP extensions are not allowed in air quality non-attainment or maintenance areas
- TIP/STIP extensions in attainment areas cannot exceed 180 days
- Intended Outcomes
- Reflect the requirements and limitations of the law in a reasonable manner
- Provide effective mechanisms for administering Federal transportation programs

*Planning NPRM*

## Annual Listing of Obligated Projects

- Legislative Provisions
- TEA-21 (Sections 1203 and 3005) requires MPO to provide an annual listing of projects for which Federal funds have been obligated in the previous year
- Current Regulations
- No current provision

*Planning NPRM*

## Annual Listing of Obligated Projects (cont’d)

- Proposed Regulations [§1410.324(n)(5)]
- Section on TIP content revised to include a requirement for an annual listing of obligated projects using TIP as basis
- Intended Outcomes
- Flexibility to design process locally to meet localized operating context
- Allows planning partners flexibility in designing process
- Encourages greater public information concerning funds which have been obligated in the previous year

*Planning NPRM*

## ITS Transportation Investments

- Legislative Provision
- All projects funded with highway trust fund monies (including the Mass Transit Account) must conform with the National ITS Architecture and standards
- Current Regulations
- None specific to ITS

*Planning NPRM – Linkage to ITS NPRM*

**Notes:**
Legislative provision is contained in Section 5206 (e) of TEA-21

## ITS Transportation Investments (cont’d)

- Proposed Regulations [§1410.322(b)(11), §1410.214(a)(3), §1410.216(c)(8)]
- Mainstream and initiate decisionmaking for ITS investments during the planning process
- Engage Operating Agencies
- Intended Outcomes
- ITS investments work together without equipment conflicts
- ITS technology investments routinely included in transportation plans, programs and projects

*Planning NPRM – Linkage to ITS NPRM*

**Notes:**
Develop ITS Integration Strategy to initiate decision-making for ITS investments during planning process

Engage Operating Agencies in planning process to support efficient operation and management of transportation system 

Produce Interagency Agreement among MPO, State DOT, transit operators, and other agencies to address policy, interoperability, and operational issues affecting successful implementation of ITS Integration Strategy

Identify Major Regional ITS Initiatives, ITS projects that support regional integration, and ITS projects that directly support national interoperability in transportation plan

## Intended Outcomes (cont’d)
Better operation and management of transportation system
Mainstreaming of ITS investments as part of alternatives considered for transportation system improvements
Enhanced interagency cooperation in the management and development of transportation system
Key ITS projects and initiatives are targeted early in planning process to facilitate more effective integration

- Better operation and management of transportation system
- Mainstreaming of ITS investments as part of alternatives considered for transportation system improvements
- Enhanced interagency cooperation in the management and development of transportation system
- Key ITS projects and initiatives are targeted early in planning process to facilitate more effective integration

- ITS Transportation Investments (cont’d)

*Planning NPRM – Linkage to ITS NPRM*

**Notes:**
In summary, there are six intended outcomes for transportation planning (see this slide and the next)

## Environmental Justice

- Legislative Provisions
- No specific provisions in TEA-21
- Proposed regulatory changes based on current Title VI requirements of Civil Rights Act

*Planning NPRM – Linkage to Environment NPRM*

## Environmental Justice (cont’d)

- Current Regulations
- MPO and state must self-certify consistency of plans and programs with Title VI of Civil Rights Act and existing Title VI implementing regulations
- Each MPO and state public involvement process must “seek out and consider the needs of those traditionally under served by existing transportation systems including but not limited to low-income and minority households”
- No specific FHWA/FTA requirements articulated for supporting analyses

*Planning NPRM – Linkage to Environment NPRM*

## Environmental Justice (cont’d)

- Proposed Regulations [§1410.206(a) state; §1410.316(c) metropolitan]
- Emphasis on need to develop processes that:
- Demonstrate explicit consideration of comments from minority, low-income, and elderly communities, and persons with disabilities
- Seek out and consider input from the transportation disadvantaged
- Must evaluate public involvement process periodically with specific attention to engaging minorities and low-income persons

*Planning NPRM – Linkage to Environment NPRM*

## Environmental Justice (cont’d)

- Proposed Regulations (cont’d)
- Title VI and related statute planning language clarified and specified with regard to data and analytical requirements
- Explicit references added to environmental responsibilities under the Executive Order and DOT Order on environmental justice
- Avoid or mitigate disproportionately high and adverse effects on low-income and minority populations
- Measures to identify how disproportionate impacts are addressed
- Methodologies not specified

*Planning NPRM – Linkage to Environment NPRM*

## Environmental Justice (cont’d)

- Intended Outcomes
- Reduce disproportionate impacts of transportation investments on minorities and low-income groups
- Clarify and ensure Title VI application in planning and project development processes
- Earlier identification and analysis of community impacts of transportation investments
- Effective inclusion and engagement of minorities and low-income groups in transportation decision-making
- Early identification of impacts that can be mitigated (reduction of adverse impacts) and equitable application of mitigation actions

*Planning NPRM – Linkage to Environment NPRM*

## Planning and Project Development (NEPA) Linkage

- Legislative Provisions
- TEA-21 (Section 1308) eliminates separate Major Investment Study (MIS) requirement and calls for integrating the requirement with analyses in the planning and environmental (NEPA) rules
- Current Regulations
- Participants cooperatively decide on need to do MIS
- Planning analyses may be used in NEPA process

*Planning NPRM – Linkage to Environment NPRM*

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

- Proposed Regulations [§1410.318 metropolitan, §1410.218 state]
- Eliminate standalone MIS; link planning and environmental processes
- Encourage early involvement of resource and permit agencies
- Planning analyses will serve as input to environmental process (no requirement to do NEPA process on plan or in planning); degree of detail at discretion of planning participants

*Planning NPRM – Linkage to Environment NPRM*

**Notes:**
Linkage of planning and environmental processes:
 Planning process provides basis for purpose and need
Systems level analysis of alternatives and extent of data analysis at discretion of planning participants
Analysis and data collection documented, at discretion of participants, to be usable for subsequent environmental process purposes; recognition in environmental rule for this purpose
Early engagement of state and federal resource and permit agencies encouraged
Restatement of NEPA firewall provisions from statute
Provision that project level actions must be based on plan
Link to FTA major capital investments requirements

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

- Intended Outcomes
- Stronger consideration of environmental and economic impacts at early, systems level
- Streamlined decision-making in project development
- Documentation of planning actions, at discretion of participants, to support more NEPA streamlining
- Better transition from planning to project development
- Earlier and increased participation of environmental agencies in planning process

*Planning NPRM – Linkage to Environment NPRM*

## Air Quality Conformity Provisions

- Legislative Provisions
- No new TEA-21 provisions
- Conformity is a requirement of the Clean Air Act
- Current Regulations
- Several provisions in the planning and NEPA rules reinforce conformity and tie to EPA’s conformity regulations

*Planning NPRM – Linkage to Environment NPRM*

## Air Quality Conformity Provisions (cont’d)

- Proposed Regulations[§1410.210(b), §1410.212(d), §1410.214(a), §1410.216(a) and (c)]
- Clarify and explain more clearly how transportation planning and air quality conformity work together throughout the rules, e.g.,
- Date of plan effectiveness tied to date of MPO and FHWA/FTA conformity findings for plans and TIPs
- Incorporate EPA conformity definitions in FTA/FHWA planning rule
- Clarify definition of plan and TIP lapse for conformity and transportation purposes

*Planning NPRM – Linkage to Environment NPRM*

## Air Quality Conformity Provisions (cont’d)

- Proposed Regulations (cont’d)
- Specify more clearly when plan and TIP modification triggers a new conformity finding
- Disallow TIP extensions in nonattainment areas
- Encourage MPOs to participate in air quality planning process
- TCMs can be added during conformity lapse using interim plan and TIP

*Planning NPRM – Linkage to Environment NPRM*

## Air Quality Conformity Provisions (cont’d)

- Intended Outcomes
- Clarify procedures
- Eliminate inconsistencies between EPA and U.S. DOT rules
- Establish common definitions of key terms
- Ensure timely processing of conformity determinations
- Avoid areas falling into lapse without knowing it
- Provide more certainty on plan/TIP update calendar

*Planning NPRM – Linkage to Environment NPRM*

## Questions & Answers

- Clarify Content and Intent of NPRM

*Planning NPRM*

**Notes:**
Include page number in NPRM where information on how to comment is located 

Comments will be considered after the docket closing date.  However, timely
submission of comments will ensure that FHWA and FTA can give them full
consideration in the development of a final rule.  Late comment submissions
will be considered  to the extent possible given the status of rulemaking at
the time of their receipt.

## Notice of Proposed RulemakingPublic Outreach Meeting

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

**Notes:**
This presentation provides an overview of U.S. DOT’s proposed final policy on consistency with the National ITS Architecture and standards.  The scope and purpose of this presentation is to discuss major provisions proposed by rule and invite stakeholders to provide official comments to NPRMs through U.S. DOT docket.

## Major Policy Objectives

- Implement section 5206 (e) of TEA-21
- “The Secretary shall ensure that intelligent transportation system projects carried out using funds made available from the Highway Trust Fund, . . . conform to the national architecture, applicable standards or provisional standards, and protocols developed under subsection (a)”

*ITS Architecture and Standards NPRM*

**Notes:**

TEA-21 contains language in section 5206 (e) that requires conformity with the national ITS Architecture and Standards.  A key policy objective of the proposed rule is to implement that legislative language.  

## Major Policy Objectives (cont’d)

- Support key Federal priorities:
- Integration
- Interoperability
- Use of the National ITS Architecture and applicable standards
- Incorporate ITS into existing transportation planning and project design procedures

*ITS Architecture and Standards NPRM*

**Notes:**

TEA-21 contains language in section 5206 (e) that requires conformity with the national ITS Architecture and Standards.  A key policy objective of the proposed rule is to implement that legislative language.  

## Other Driving Forces 

- Other Driving Forces

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

*ITS Architecture and Standards NPRM*

**Notes:**
The Rule is also driven by good practice of systems integration.  Use of architecture and standards:

Saves Money: System costs can be lowered.  By identifying and defining interfaces between subsystems and the eventual standardization of those interfaces, competition will be encouraged to provide systems that meet those standards.  Synergies of common functions between systems can be taken advantage of to provide more efficient system implementations.
Saves Time: The Architecture provides a large body of information to begin ITS development and that provides savings in development time by leveraging that existing analysis.
Provides for Future Expansion: The architecture organizes the processes or functions needed to deliver a service.  It takes a 20-year view of ITS services.  In that manner, you can plan for expansion since you know where you will be going.  It minimizes costly redesign as technology progresses and helps you make wise technology choices based on what you want to do.
Allows Evolutionary Deployment: It helps you leverage limited financial resources and prior investments by planning your implementation over multiple years.
Enhances System Performance: It leverages existing and future resources across institutional boundaries for info exchange, and it makes ITS integration easier by providing you with insight into how subsystems fit together and what data can be exchanged among institutions.
Reduces risk:  It reduces risk by defining interfaces and institutional relationships.  More suppliers for defined interfaces.

## Ideology

- Minimize adding “processes”
- Examine and build on existing processes
- Allot funds through planning processes
- Rely on existing Federal oversight
- Balance between technical practicality and “real-world” feasibility
- Phase in over time

*ITS Architecture and Standards NPRM*

## USDOT Approach

- Interim Guidance
- Issued October 1998
- First step towards incremental implementation of TEA-21 conformity requirement

*ITS Architecture and Standards NPRM*

**Notes:**
U.S. DOT decided that the most appropriate way to implement the TEA-21 requirement was through a phased, incremental approach.  

Interim Guidance on conformity with the National ITS Architecture and standards was developed and issued in early October of 1998.  The Interim Guidance, which will be in effect until a final policy is established, was significantly influenced by the input gathered from 10 outreach meetings held through the winter and spring of 1998.  

The final policy builds off of the Interim Guidance to further promote the integration of ITS into the transportation planning process and to ensure that ITS project implementation corresponds with transportation planning efforts and documents. FHWA and FTA are working together to develop the final policy, but will implement it slightly differently.  FHWA will set the final policy on conformity through a formal rulemaking, while FTA will implement the policy by updating existing circulars and/or creating new ones.  

## USDOT Approach (cont’d)

- Final Policy
- Transportation Planning NPRM  (§1410)
- Metropolitan and statewide planning (FHWA and FTA), including ITS Architecture and standards
- Project Development NPRM  (§940)
- National ITS Architecture and Standards (FHWA)
- FTA National ITS Architecture Consistency Policy for Project Development
- National ITS Architecture and Standards (FTA)

*ITS Architecture and Standards NPRM*

**Notes:**
The proposed rule for conformity with the National ITS Architecture and standards is achieved through two related rules in tandem and the FTA policy 
Transportation Planning: NPRM conformance to the National ITS Architecture and standards at the planning level is incorporated into a much larger NPRM involving other changes to the planning section of the CFR (23 CFR 1410).  The planning proposed rule applies to FHWA and FTA, and has explicit links to the project-level NPRM on consistency with the National ITS Architecture and standards.

Project Development: NPRM conformance to the National ITS Architecture and standards at the project level is in its own NPRM.  When this rule is final, it will go into a new section of the CFR (23 CFR 940, replacing 23 CFR 655). 

FTA’s Policy for Project Development contains basically the same policy as FHWA but through a different implementation process. Conformance to the National ITS Architecture and standards at the FTA is presented in a request for comment containing the proposed policy. After the commentary process, implementation will occur through updating or creating circulars. (Note: FTA activity will be further covered toward the end of the presentation).

Differences between FHWA and FTA processes: Although both FTA and FHWA policies are equivalent, including a provision that the National ITS Architecture “should be used in the development of ITS projects,” the FTA does NOT require a project be based on a systems engineering analysis identical to FHWA.  

Both FTA and FHWA policy states that the analysis should be on a scale commensurate with the project scope, identify applicable parts of the ITS regional architecture or ITS integration strategy, and identify applicable standards and testing procedures (particularly those that support national interoperability).

FHWA policy contains the following provisions that the FTA policy does not. Analysis should include a preliminary analysis (including project objectives, existing system resources, existing and future personnel and budget resources for operation
ns, and management and maintenance), analysis of alternative system configurations and technology options, and analysis of procurement options.

## Outreach and Comment Process

- Spring 98 		Outreach meetings on conceptual approach
- June 98 – Jan 99	Secretary Slater’s Listening Sessions on TEA-			21 implementation
- Spring 99		Informational presentations on U.S. DOT “policy 			approach; thoughts to date”
- May – Oct 99		Draft rules prepared
- Nov 99  		FTA/FHWA approval and transmittal to 				Secretary Slater
- Spring 2000 		Coordination of timing with Planning NPRM
- May –  Aug 00		Publication in Federal Register with 90 day 			comment period
- June – July 00 		Seven public briefings

*ITS Architecture and Standards NPRM*

**Notes:**
Note: The outreach meetings held in 1998, as well as the current round of meetings, are a joint FTA/FHWA effort.  

## Transportation Planning (§1410)

- Legislative Provision
- All projects funded with highway trust fund monies must conform with the National ITS Architecture and standards
- Current Regulations
- None specific to ITS

*ITS Architecture and Standards NPRM*

**Notes:**
Legislative provision is contained in Section 5206 (e) of TEA-21

## Transportation Planning (§1410)

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

*ITS Architecture and Standards NPRM*

**Notes:**
Develop ITS Integration Strategy to initiate decision-making for ITS investments during planning process
Engage Operating Agencies in planning process to support efficient operation and management of transportation system 
Produce Interagency Agreement among MPO, State DOT, transit operators, and other agencies to address policy, interoperability, and operational issues affecting successful implementation of ITS Integration Strategy
Identify Major Regional ITS Initiatives, ITS projects that support regional integration, and ITS projects that directly support national interoperability in transportation plan
Further detail for each part is provided in the following slides.

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

- Developed by multiple stakeholders (including operating agencies)
- Identifies key system functions and information sharing
- Identifies major ITS projects, regional ITS initiatives, or projects that support national interoperability
- Documented as part of the Transportation Plan

*ITS Architecture and Standards NPRM*

**Notes:**
As part of the planning process, the following elements will be required to develop an ITS integration strategy.

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

- Section §1410**.214**(a)(3) - **statewide** planning
- Section §1410.**322**(b)(11) - **metropolitan** planning
- Develop Integration Strategy “...to guide and coordinate ITS investments, appropriate to scale.”
- Supports development of integrated ITS development

*ITS Architecture and Standards NPRM*

**Notes:**
The transportation planning NPRM deals with the ITS Integration strategy at both the statewide and metropolitan level.

Subsection 214 addresses statewide planning 
Subsection 322 addresses metropolitan planning

-  Rule requires development of an ITS integration strategy to guide and coordinate development of ITS investments, appropriate to the scale of ITS investment included in the plan.
-  Added to support development of integrated ITS development.

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

- Additional **statewide** planning provisions in §1410.214(a)(3)
- Statewide similar to metropolitan areas, although smaller projects require less documentation
**ITS integration strategy shall be developed no later than the **_**first update of the STIP or transportation plan that occurs two years**_** following the effective date of the rule**

*ITS Architecture and Standards NPRM*

**Notes:**
Statewide requirements similar to those for metropolitan areas, with consideration given to scale of investment (smaller projects require less documentation)
ITS integration strategy shall be developed no later than the first update of the STIP or transportation plan that occurs two years following the effective date of the rule

## Additional provisions §1410.322(b)(11)
The following agencies should participate in the development of the ITS integration strategy:
Highway and public safety agencies
Appropriate Federal lands agencies
State motor carrier agencies as appropriate
And other operating agencies necessary to fully address ITS regional integration

- The following agencies should participate in the development of the ITS integration strategy:
- Highway and public safety agencies
- Appropriate Federal lands agencies
- State motor carrier agencies as appropriate
- And other operating agencies necessary to fully address ITS regional integration

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

*ITS Architecture and Standards NPRM*

## §1410.310(g)
Agreement among the MPO, State DOT, transit operators, and other agencies:
 ITS project interoperability
utilization of ITS standards
routine operation of the projects

- Agreement among the MPO, State DOT, transit operators, and other agencies:
-  ITS project interoperability
- utilization of ITS standards
- routine operation of the projects

- Transportation Planning (§1410) *Proposed Regulations: Interagency Agreement*

*ITS Architecture and Standards NPRM*

**Notes:**
Planning for ITS shall produce an agreement among the MPO, State DOT, transit operators, and other agencies which address policy and operational issues affecting the successful implementation of the ITS integration strategy, including at a minimum ITS project interoperability, utilization of ITS standards, and the routine operation of the projects identified in the ITS integration strategy

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

- §1410.322(b)(11)
- The ITS Integration Strategy shall identify in the Transportation Plan:
- Major regional ITS initiatives
- ITS projects that affect regional integration
- ITS projects that directly support national interoperability

*ITS Architecture and Standards NPRM*

**Notes:**
The ITS Integration Strategy shall identify major regional ITS initiatives, ITS projects that affect regional integration, and ITS projects that directly support national interoperability in the transportation plan 

## Intended Outcomes
ITS Integration Strategy developed as part of transportation planning process, through involvement of all relevant stakeholders
ITS systems planned with future integration opportunities “built-in”
ITS investments work together toward regional and national interoperability

- ITS Integration Strategy developed as part of transportation planning process, through involvement of all relevant stakeholders
- ITS systems planned with future integration opportunities “built-in”
- ITS investments work together toward regional and national interoperability

- Transportation Planning (§1410)

*ITS Architecture and Standards NPRM*

**Notes:**
In summary, there are six intended outcomes for transportation planning (see this slide and the next)

## Transportation Planning (§1410)

- Intended Outcomes (continued)
- Better operation and management of transportation systems
- Enhanced interagency cooperation in management and development of transportation systems
- Key ITS projects and initiatives are targeted early in planning process to facilitate more effective integration

*ITS Architecture and Standards NPRM*

## Project DevelopmentSame Policy – Different Process

- FHWA
- NPRM to change §940
- FTA
- Policy for project development and request for comment will update and create circulars as appropriate

*ITS Architecture and Standards NPRM*

**Notes:**
For project development, remember that FHWA and FTA are implementing the same policy, but are using different processes.

The remainder of this presentation focuses on the FHWA’s NPRM proposed change to §940.  The FTA policy states the same information, except where highlighted.  

## Project Development (§940)

- Legislative Provision
- All projects funded with any highway trust fund monies must conform with the National ITS Architecture and standards
- Current Regulations
- 23 CFR 655 Subpart D is related and is to be replaced per this proposed rule

*ITS Architecture and Standards NPRM*

## Project Development (§940)

- Proposed Regulations
- Develop ITS Regional Architecture
- Include Concept of Operations and Conceptual Design
- Use System Engineering Process*
- Use Applicable Standards and Interoperability Tests
- Phase in Over Two Years
- *Note: FHWA and FTA policy differ slightly

*ITS Architecture and Standards NPRM*

**Notes:**
Develop ITS Regional Architecture consistent with region’s ITS Integration Strategy; may be developed initially or incrementally, and use of National ITS Architecture strongly encouraged.  
Include Concept of Operations and Conceptual Design at a minimum in regional ITS architecture.
Use System Engineering Process to develop all FHWA ITS projects, and both FTA and FHWA projects must be consistent with ITS regional architecture; use of National ITS Architecture strongly encouraged.
Use Applicable Standards and Interoperability Tests officially adopted by U.S. DOT through the rulemaking process for all ITS projects funded with highway trust funds (Note: At present, no standards or interoperability tests have been officially adopted by U.S. DOT.)
Phase in Over Two Years.  Regional architecture required two years after the rule becomes final.

Note the differences between FTA and FHWA on the use of the system engineering process:

Although both FTA and FHWA policies are similar, including a provision that the National ITS Architecture “should be used in the development of ITS projects,” the FTA does NOT require a project to be based on a “systems engineering” analysis identical to FHWA.

Both FTA and FHWA policy states that the analysis should be on a scale commensurate with the project scope, identify applicable parts of the ITS regional architecture or ITS integration strategy, and identify applicable standards and testing procedures (particularly those that support national interoperability).

FHWA policy contains the following provisions that the FTA policy does not. Analysis should include a preliminary analysis (including project objectives, existing system resources, existing and future personnel and budget resources for operations, management and maintenance), analysis of alternative system configurations and technology options, and analysis of procurement options.

## §940.9(a)
New Part 940 to subchapter K of 23 CFR. 
An ITS regional architecture shall be developed for implementation, and shall conform with the ITS integration Strategy  
The National ITS Architecture shall be used as a resource in the development of the ITS regional architecture.
§940.9(d)
ITS regional architecture may be:
Developed as an initial project development effort and updated as new projects are initiated, or
Developed incrementally as major ITS investments are initiated and updated with subsequent projects.

- New Part 940 to subchapter K of 23 CFR.
- An ITS regional architecture shall be developed for implementation, and shall conform with the ITS integration Strategy
- The National ITS Architecture shall be used as a resource in the development of the ITS regional architecture.
- §940.9(d)
- ITS regional architecture may be:
- Developed as an initial project development effort and updated as new projects are initiated, or
- Developed incrementally as major ITS investments are initiated and updated with subsequent projects.

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

*ITS Architecture and Standards NPRM*

**Notes:**
Proposed rule adds a new Part 940 to subchapter K of 23 CFR. An ITS regional architecture shall be developed for implementing the ITS integration strategy, as provided in 23 CFR 1410.214 (a)(3) and 1410.322 (b)(11) to guide the development of specific projects and programs.  The ITS regional architecture shall conform with the applicable ITS integration strategy.  The National ITS Architecture should be used as a resource in the development of the ITS regional architecture.
§940.9(d)
ITS regional architecture may be developed as an initial project development effort and updated as new projects are initiated, or it may be developed incrementally as major ITS investments are initiated and updated with subsequent projects.

## §940.9(c) - regional ITS architecture shall include, at a minimum:
Concept of operations
address roles and responsibilities of participating agencies
existing or required agreements for operations
resources required to support the project 
Conceptual design must support subsequent project design regarding:
System functional requirements
Existing and planned Interface requirements and information exchanges
Identification of key standards supporting regional and national interoperability 
Prioritization of phases required in implementation

**Concept of operations**
- address roles and responsibilities of participating agencies
- existing or required agreements for operations
- resources required to support the project
**Conceptual design** must support subsequent project design regarding:
- System functional requirements
- Existing and planned Interface requirements and information exchanges
- Identification of key standards supporting regional and national interoperability
- Prioritization of phases required in implementation

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

*ITS Architecture and Standards NPRM*

**Notes:**
regional ITS architecture shall include, at a minimum:
Concept of operations to address roles and responsibilities of participating agencies, existing or required agreements for operations, and resources required to support the project in order to implement the ITS integration strategy.
Conceptual design must be sufficient to support subsequent project design regarding:
System functional requirements
Interface requirements and information exchanges with planned and existing systems and subsystems
Identification of key standards supporting regional and national interoperability, including uniformity and compatibility of equipment, practices, and procedures to deliver ITS services
Prioritization of phases or steps required in implementation

## §940.11 
FHWA ITS projects must be developed using a system-engineering process
FTA and FHWA projects must be consistent with the ITS regional architecture
strong recommendation to use the National ITS Architecture as a resource
§940.13(a)
Project specifications shall ensure that the project accommodates
Sharing of electronic information
Existing and future functionality and operation

- FHWA ITS projects must be developed using a system-engineering process
- FTA and FHWA projects must be consistent with the ITS regional architecture
- strong recommendation to use the National ITS Architecture as a resource
- §940.13(a)
- Project specifications shall ensure that the project accommodates
- Sharing of electronic information
- Existing and future functionality and operation

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

*ITS Architecture and Standards NPRM*

**Notes:**
Note slight difference between FHWA NPRM and FTA policy.

Supporting Language for Systems Engineering Process
§940.11 
All FHWA ITS projects must be developed using a system-engineering process and both FTA and FHWA projects must be consistent with the ITS regional architecture, with a strong recommendation to use the National ITS Architecture as a resource.
§940.13(a)
The project specifications shall ensure that the project accommodates the sharing of electronic information and provides for functionality and operation (both at the time of project implementation and in the future) between agencies and jurisdictions indicated in the ITS integration strategy and/or the ITS regional architecture.

## §940.13(b) 
All ITS projects funded with highway trust funds shall use applicable US DOT adopted ITS standards and interoperability tests

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

- All ITS projects funded with highway trust funds shall use applicable US DOT adopted ITS standards and interoperability tests
-  (At this time, no standards or interoperability tests have been officially adopted by U.S. DOT.)

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

*ITS Architecture and Standards NPRM*

## Project Development (§940) Proposed Regulation: Compliance

- 940.15(a)
**Prior to authorization** of highway trust funds for **construction or implementation**
**Linkage to the ITS regional architecture or to the ITS integration strategy**
- Commitment to the operations, management, and maintenance of the overall system

*ITS Architecture and Standards NPRM*

**Notes:**
Prior to authorization of highway trust funds for construction or implementation, there shall be a demonstrated linkage to the ITS regional architecture or to the ITS integration strategy, and a commitment to the operations, management, and maintenance of the overall system.

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

- 940.15(b)
- Documentation shall include:
- ITS regional architecture and/or ITS integration strategy which are implemented through the project
- Applicable ITS standards and/or interoperability tests
- Coordination strategies
- Update of the ITS regional architecture and/or ITS integration strategy to reflect any applicable changes.
- 940.15(c)
- ITS projects shall be monitored for compliance with this part under normal Federal-aid project oversight procedures

*ITS Architecture and Standards NPRM*

**Notes:**
940.15(b)
Documentation of compliance shall include identification of the portions of the ITS regional architecture and/or ITS integration strategy which are implemented through the project, and the identification of applicable ITS standards and/or interoperability tests that were considered or are specified in the project.  Documentation of the rationale and interagency coordination strategies that were carried out to agree upon certain changes shall be provided in the event that any changes are made in the implementation of projects contrary to the ITS regional architecture and/or the ITS integration strategy.  In addition, the ITS regional architecture and/or ITS integration strategy shall be updated to reflect the changes. 
940.15(c)
ITS projects shall be monitored for compliance with this part under normal Federal-aid project oversight procedures

## Project Development (§940) Proposed Regulation: Phasing

- 940.15(d-f)
**A regional architecture is not required until two years after the rule becomes final.**
- However, all ITS projects that advance to design or preliminary engineering must conform with the system engineering requirements [940.11] and applicable standards as soon as the rule becomes final.
- If a regional architecture or integration strategy are not available, the project managers should be encouraged to use the National ITS Architecture as a resource.

*ITS Architecture and Standards NPRM*

**Notes:**
940.15(d-f)
The rule will be phased in over time.  A regional architecture is not required until two years after the rule becomes final.  However, all ITS projects that advance to design or preliminary engineering must conform with the system engineering requirements [940.11] and applicable standards as soon as the rule becomes final.  If a regional architecture or integration strategy are not available, the project managers should be encouraged to use the National ITS Architecture as a resource.

## Intended Outcomes
Develop ITS regional architecture 
Consistent with the ITS integration strategy
Based on the National ITS Architecture
Stakeholders agree on concept of operations for implementation of the ITS integration strategy 
The National ITS Architecture is used as a resource in developing regional architecture and is also used as a resource for ITS project development

- Develop ITS regional architecture
- Consistent with the ITS integration strategy
- Based on the National ITS Architecture
- Stakeholders agree on concept of operations for implementation of the ITS integration strategy
- The National ITS Architecture is used as a resource in developing regional architecture and is also used as a resource for ITS project development

- Project Development (§940)

*ITS Architecture and Standards NPRM*

**Notes:**
Intended Outcomes
ITS regional architecture is developed to guide the integration of ITS projects
It is consistent with the ITS integration strategy
It is based on the National ITS Architecture and tailored to meet local needs
Stakeholders agree on concept of operations that addresses the various roles and responsibilities for implementing the ITS integration strategy 
The National ITS Architecture is used as a resource in developing regional architectures and is tailored to meet local needs; it is also used as a resource for ITS project development

## Intended Outcomes (continued)
Sound systems-engineering principles become a routine part of project design
Better operating and management of transportation system
Enhanced interagency cooperation in the management and development of transportation systems
ITS projects will provide for all applicable information-sharing opportunities
U.S. DOT-adopted ITS standards and interoperability tests will be used in ITS projects

- Sound systems-engineering principles become a routine part of project design
- Better operating and management of transportation system
- Enhanced interagency cooperation in the management and development of transportation systems
- ITS projects will provide for all applicable information-sharing opportunities
- U.S. DOT-adopted ITS standards and interoperability tests will be used in ITS projects

- Project Development (§940)

*ITS Architecture and Standards NPRM*

## Summary of Major Provisionsor Changes

- Conformance with the National ITS Architecture is a process.  The process includes development of a local ITS approach to which subsequent ITS projects will adhere
- ITS is part of the transportation planning process and includes development of an ITS integration strategy
- An ITS regional architecture is developed based on the National ITS Architecture and tailored to meet local needs

*ITS Architecture and Standards NPRM*

## Summary of Major Provisionsor Changes (continued)

- ITS projects implement the ITS integration strategy and the ITS regional architecture
- ITS projects are required to use USDOT adopted standards and interoperability tests

*ITS Architecture and Standards NPRM*

## FTA Proposed Policy Implementation 

- Add National ITS Architecture and Standards conformity to the annual list of certifications and assurances for FTA grants and cooperative agreements
- Update FTA circulars
- Incorporate current oversight mechanisms into review and avoid the invention of new processes
- Grant application reviews, annual risk assessments, triennial reviews, State management reviews, and quarterly progress reviews

*ITS Architecture and Standards NPRM*

## Stakeholder Support Activities

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

*ITS Architecture and Standards NPRM*

**Notes:**
Note on FTA ITS oversight and technical assistance:

The recommendation for ensuring conformity is to use existing FTA oversight mechanisms:  grant application reviews, annual risk assessments, triennial reviews, State management reviews, and quarterly project progress reviews.  Procedural checks and verifications conducted during these review mechanisms will establish whether projects with ITS content are at risk of meeting and/or have not met overall ITS Architecture conformity requirements.  Subsequently, using engineering expertise in the areas of electrical, communication and computer systems from the FTA Omnibus Contract Research and Safety area; FTA will assign Oversight Contractors to the at-risk grantees.  Oversight Contractors will provide directed oversight and technical assistance, so that the grantee can resolve non-conformance issues.  

## Questions & Answers

- Clarify Content and Intent of NPRM

*ITS Architecture and Standards NPRM*

**Notes:**
Please note:  There is only one docket for the planning rule, and it is labeled as a FHWA docket.  FTA comments to the joint planning rule will go to the FHWA docket.

Comments will be considered after the docket closing date.  However, timely
submission of comments will ensure that FHWA and FTA can give them full
consideration in the development of a final rule.  Late comment submissions
will be considered  to the extent possible given the status of rulemaking at
the time of their receipt.

## Notice of Proposed RulemakingPublic Outreach Meeting

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

## Major Provisions or Changes

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

*Environment NPRM*

## Major Provisions and Changes (cont’d)

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

*Environment NPRM*

## NEPA Policy Framework

- Legislative Provisions
- No new TEA-21 provisions

*Environment NPRM*

## NEPA Policy Framework (cont’d)

- Current Regulations
- NEPA document and process address all environmental requirements to fullest extent possible
- Decisions made in best overall public interest
- Public involvement and systematic interdisciplinary approach essential parts of NEPA process
- Mitigation measures incorporated into action and eligible for Federal funding
- Environmental document preparation costs eligible for Federal assistance
- Non-discrimination in conduct of the NEPA process

*Environment NPRM*

## NEPA Policy Framework (cont’d)

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

*Environment NPRM*

## NEPA Policy Framework (cont’d)

- Intended Outcomes
- Underscore central role of NEPA process in transportation decisionmaking
- Reveal full range of Federal environmental mandates
- Promote reasonable measures to protect and enhance the environment
- Provide a framework for ensuring environmental justice in NEPA process

*Environment NPRM*

## Environmental Justice

- Legislative Provisions
- No specific provision in TEA-21
- Proposed regulatory changes based on current Title VI requirements of Civil Rights Act
- Current Regulations
- Nondiscrimination policy statement

*Environment NPRM*

## Environmental Justice (cont’d)

- Proposed Regulations[§1420.111]
- Affirmative duty to avoid disproportionate effects where possible
- Data/analysis to support conclusions regarding environmental equity of decisions

*Environment NPRM*

## Environmental Justice (cont’d)

- Intended Outcomes
- Prevent discrimination
- Engage potentially affected communities in decisionmaking
- Identify impact avoidance and minimization strategies

*Environment NPRM*

## Planning and Project Development (NEPA) Linkage

- Legislative Provisions
- TEA-21 (Section 1308) eliminates separate Major Investment Study requirement and calls for integrating the requirement with analyses in the planning and environmental (NEPA) rules

*Environment NPRM*

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

- Current Regulations
- No provision in the current NEPA regulations

*Environment NPRM*

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

- Proposed Regulations[§1420.201]
- Planning studies given explicit standing in the NEPA process
- NEPA process relies on planning studies and decisions “based on various factors”

*Environment NPRM*

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

- Intended Outcomes
- Enhance coordination between planning and NEPA processes
- Reduce project delay by making greater use of planning results
- Eliminate redundant work
- Increase public confidence in transportation planning and project development

*Environment NPRM*

## Environmental Streamlining

- Legislative Provisions
- TEA-21 (Section 1309) directs the Secretary of Transportation to establish a coordinated environmental review process

*Environment NPRM*

## Environmental Streamlining (cont’d)

- Current Regulations
- No current provisions specifically on environmental streamlining
- Policy language on using NEPA process and documents to address all required environmental reviews
- CEQ regulations address reducing delay

*Environment NPRM*

## Environmental Streamlining (cont’d)

- Proposed Regulations[§1420.203]
- Explicit process for identifying agencies, issues, methodologies, time frames, etc.
- Informal and formal dispute resolution
- Option to include State environmental reviews in streamlined process
- Option to exclude non-EIS projects at applicant’s request

*Environment NPRM*

## Environmental Streamlining (cont’d)

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

*Environment NPRM*

## Alternate Procedures

- Legislative Provisions
- No new TEA-21 provisions
- Current Regulations
- No provision

*Environment NPRM*

## Alternate Procedures (cont’d)

- Proposed Regulations[§1420.209]
- Option for applicants to propose alternate procedures
- USDOT approval after consultation with CEQ
- Intended Outcomes
- Allow for innovation in meeting NEPA requirements
- Provide flexibility for better integrating with State/local project development processes

*Environment NPRM*

## USDOT Integration

- Legislative Provisions
- No new TEA-21 provisions
- ISTEA (Section 3012) directs FTA to conform its NEPA process to FHWA’s process

*Environment NPRM*

## USDOT Integration (cont’d)

- Current Regulations
- Different treatment of FHWA and FTA in many sections of the regulations

*Environment NPRM*

## USDOT Integration (cont’d)

- Proposed Regulations[§1420.211]
- Distinctions between FHWA and FTA virtually eliminated
- Option for other USDOT modes to use these regulations

*Environment NPRM*

## USDOT Integration (cont’d)

- Intended Outcomes
- Simplify process for applicants that deal with both FHWA and FTA
- Eliminate redundant requirements for projects involving multiple USDOT modes

*Environment NPRM*

## Contracting for Engineering Services

- Legislative Provisions
- TEA-21 (Section 1205) allows a single consultant to be hired for NEPA and subsequent engineering services

*Environment NPRM*

## Contracting for Engineering Services (cont’d)

- Current Regulations
- No provision
- CEQ regulations prohibit conflict of interest

*Environment NPRM*

## Contracting for Engineering Services (cont’d)

- Proposed Regulations[§1420.301]
- Single consultant can be hired for NEPA and post-NEPA work
- Objectivity review required

*Environment NPRM*

## Contracting for Engineering Services (cont’d)

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

*Environment NPRM*

## Air Quality Conformity

- Legislative Provisions
- No new TEA-21 provisions
- Current Regulations
- Link between NEPA and conformity not explicit

*Environment NPRM*

## Air Quality Conformity (cont’d)

- Proposed Regulations[§1420.307]
- ROD, FONSI, CE approval not allowed until project conforms
- Intended Outcomes
- Clarify Clean Air Act prohibitions on Federal approvals in non-attainment areas until after conformity determination

*Environment NPRM*

## Categorical Exclusions

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

*Environment NPRM*

## Categorical Exclusions (cont’d)

- Current Regulations
- Two broad categories:  “automatic” CEs and “documented” CEs
- Specific activities listed under two categories

*Environment NPRM*

## Categorical Exclusions (cont’d)

- Proposed Regulations[§1420.311]
- List of activities updated to reflect ITS, enhancements, other activities
- Modification of which activities are “automatic” vs. “documented” CEs

*Environment NPRM*

## Categorical Exclusions (cont’d)

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

*Environment NPRM*

## Section 4(f)

- Legislative Provisions
- No new TEA-21 provisions
- Current Regulations
- Section 4(f) requirements part of the NEPA regulations

*Environment NPRM*

## Section 4(f) (cont’d)

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

*Environment NPRM*

## Section 4(f) (cont’d)

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

*Environment NPRM*

## Questions & Answers

- Clarify Content and Intent of NPRM

*Environment NPRM*

**Notes:**
Comments will be considered after the docket closing date.  However, timely
submission of comments will ensure that FHWA and FTA can give them full
consideration in the development of a final rule.  Late comment submissions
will be considered  to the extent possible given the status of rulemaking at
the time of their receipt.