# Presentation: 103241

## Metropolitan Transportation Planning: Executive Seminar

**FHWA/FTA Transportation Planning Capacity Building Program**

**Notes:**
Suggested Comments:

Welcome 
Instructor introduces self

## Developed by the Federal Highway Administration, the Federal Transit Administration, and the Volpe National Transportation Systems Center

***Developed by the Federal Highway Administration, the Federal Transit Administration, and the Volpe National Transportation Systems Center***

**Notes:**
Suggested Comments: 
SEE SLIDE.

[INSTRUCTOR:
ASK whether participants can agree to turn off cell phones and pagers for the duration of the seminar.]

## INTRODUCTION

**Notes:**
Suggested Comments:
In this section we will talk about:
The purpose of this seminar
Intended audience
Learning objectives
Seminar outline

## Purpose of this seminar

*To provide MPO board members with an overview of the federal perspective on:*
- The purpose and process of metropolitan transportation planning, and the larger context for it
- The authority and responsibilities of a Metropolitan Planning Organization (MPO)
- The role of the MPO Board

- INTRODUCTION

**Notes:**
Suggested Comments:
SEE SLIDE.

## Learning objectives

- Participants will be able to:
**Explain the value of regional transportation planning**
**Describe the functions and purpose of an MPO**
**Explain the role and responsibilities of an MPO board member**
**Describe key products of the metropolitan planning process**
**Recall the Federal requirements for metropolitan transportation planning**

- INTRODUCTION

**Notes:**
Suggested Comments:
By the end of this seminar, you’ll be able to: ...[SEE SLIDE.]

## Introduction
Planning for Transportation
Anatomy of an MPO
Process and Products 
Conclusions
Seminar Evaluation

- Planning for Transportation
- Anatomy of an MPO
- Process and Products
- Conclusions
- Seminar Evaluation

- INTRODUCTION

- Seminar agenda

**Notes:**
Suggested Comments:
We’re going to be covering these areas ....

Before the close of the seminar, you will complete a brief written evaluation of your experience today.

## PLANNING FOR TRANSPORTATION

**Notes:**
Suggested Comments:
In this section we will talk about:
The value of regional transportation planning
The basics of the transportation planning process

## What is transportation?

**Transportation is **different modes, working as a system, for the safe, efficient movement of people and goods

- PLANNING FOR TRANSPORTATION

**Notes:**
Key Message: See slide.

Suggested Comments:
ASK:  How did you get here today?
Write answers on a flip chart, then ask the group to name other transportation modes in their area. The goal is to get them thinking about a) the importance of transportation in their lives and b) the wide range of transportation modes.  Final list should include private vehicles, transit (bus, subway, light rail, ferry), paratransit, commercial vehicles / freight, railways, bicycles, foot, and aviation. 

ASK: Is transportation just about getting people to where they want to go? [No; goods, too.]

## The transportation system is more than roadways

- PLANNING FOR TRANSPORTATION** **

**Notes:**
Key Message: The surface transportation system is not just highways, but a wide array of modes that are used to provide mobility and serve the economic and social needs of the region. 

Suggested Comments:
A region, however you define it, can have a range of transportation types, but to get them to function effectively as a system takes transportation planning to develop the initiatives, both projects and operational strategies,  that will optimize its utility. 

## Transportation planning provides
the information, tools, and public involvement needed for improving transportation system performance

**Transportation planning** **provides**
- the information, tools, and public involvement needed for improving transportation system performance

**Transportation planning** **is**
- a continuous process that requires monitoring of the system’s performance and condition

- What is transportation planning?

**Notes:**
Key Message: Let’s talk about transportation planning.

Suggested Comments:
[Click 1]  
Regional transportation needs at any level can be met by some combination of several planning approaches:
Modifying or adopting strategies to improve the efficiency and effectiveness of existing operations (note ITS and, time permitting, ask for examples)
Developing policies to influence transportation behavior and practice (time permitting, ask for examples)
Construction of new or enhancement of existing capital projects 
[Click 2]  
As the region changes over time, transportation needs, and the demands on the existing system, are also likely to change. So transportation planning is an ongoing process that has to factor in how the system is performing in relation to those changing needs and demands; and performance will be affected by the condition of the system’s components.

## What decisions are influenced by transportation planning?

- Policies
- Choices among alternative strategies
- Priorities
- Funding allocations

- PLANNING FOR TRANSPORTATION

**Notes:**
Key Message: Transportation is only one—interdependent—part of community life. 

Suggested Comments:
Transportation planning affects and interacts with a variety of decisions that are made by public officials.

For example, we just talked about transportation planning in relation to regional growth. Land use policies are typically made at the State and local level; but these decisions will affect the transportation system, and transportation decisions will also impact land use. 

## Land Use (State and local law)
Clean Air Act / Air Quality Standards
National Environmental Policy Act (NEPA)
Americans With Disabilities Act (ADA)
Title VI / Environmental Justice

**Land Use (State and local law)**
**Clean Air Act / Air Quality Standards**
**National Environmental Policy Act (NEPA)**
**Americans With Disabilities Act (ADA)**
**Title VI / Environmental Justice**

- Transportation planning is about more than transportation

- PLANNING FOR TRANSPORTATION** **

**Notes:**
Key Message: Transportation planning must account for the extended and unintended impacts of the transportation system, and strike a balance in relation to non-transportation policies. 
Suggested Comments: 
[ Click 1 – brings up graphic ]
The location, construction, and operation of transportation systems have effects that are the focus of non-transportation statutes.
Transportation shapes and is shaped by all aspects of community life.  NON-transportation policy decisions -- on land use, housing, economic development, and social services -- made by State, regional, and local agencies can have a bearing on regional transportation decisions.
[Click 2 – starts sequence of bullets on relevant legislation ]  
Because of this interdependency, a number of other laws—Federal, State, and local—bear on transportation planning. 
Land use decisions are generally in the purview of State governments and have often been delegated down to the city and county level.  This means that generally State DOTs and MPOs do not control this process.  
At the Federal level, FTA uses land use as one of the five measures in making a Project Justification rating under the New Start Criteria.
Some areas of the country go one step further and use “Smart Growth” principles for controlling change.   
Because traffic congestion contributes significantly to air pollution, planning efforts to reduce congestion are a key Federal requirement.
Federal transportation law and regulations tie into NEPA, which requires varying levels of environmental review, depending upon the nature of the transportation initiative. 
ADA requires universality of design. This particularly impacts public transit infrastructure and vehicles. 
Environmental Justice under Title VI of the Civil Rights Act means that the effects of transportation initiatives may not adversely affect the well-being of any subgroup of the population in a discriminatory manner.

## Regional transportation planning is essential 

- Regions face shared challenges in relation to transportation mobility, safety, and security
- Transportation initiatives can involve major financial investments with long life spans

- PLANNING FOR TRANSPORTATION

**Notes:**
Key Message: See slide.

Suggested Comments:
ASK: What are the some of the challenges facing this metropolitan region?
Record participant ideas and comments on flip chart.  Make sure the responses include the following topics:
Mobility
Congestion management
Traffic incident management
Special events management
Work zone management
Public safety (police, fire, EMS)
Homeland security
Emergency response and management
Land use
Economic vitality
Air quality in many regions
Institutional parochialism and disciplinary bias

 Transportation projects are major financial investments with long life spans and cannot be easily undone. Effective regional planning can evaluate how alternative transportation decisions will affect long-term growth patterns.
Planning that pulls in adjoining jurisdictions, the affected stakeholders, and the public has the greatest likelihood of yielding a system that will anticipate and support future needs.

## Regional planning involves many contributors  

- PLANNING FOR TRANSPORTATION

**The**
**Public**

**States**

**Local**
**Government**

**User & **
**Other **
**Groups**

**Regional**
**Agencies**

**Tribal**
**Governments**

**Federal**
**Government**

**Private**
**Sector**

**Legal**
**System**

**And MUST involve the Public**

**Notes:**
Key message: The activities we’ve been discussing don’t happen behind closed doors. Planning is a very public process, with many different stakeholders involved each step of the way. 

Suggested comments:
[Click 1 starts bringing in the blue circles]
Each entity has a different role, which varies from place to place. In general:
Regional agencies: Economic development, transportation planning
Local governments (cities, towns, and counties): Policy, regulation, planning, construction, maintenance, operations
User and other groups: Specific concerns (e.g., mobility for the elderly; access to employment) 
Modal agencies: System planning, programming, operations
Federal government: National transportation policy, funding to States and transit agencies for transportation planning and projects, contributes technical support and resources
State governments: Statewide transportation policy; transportation planning for non-urbanized areas; oversee distribution of Federal and State funds; construction, maintenance, and operation of roadways
Tribal governments: Land-use planning, transportation planning, roadway/transit operations
[Click 2 fades the “And Must Involve” block and brings in The Public ] 
However, public involvement is a fundamental Federal requirement for transportation planning, whether it’s happening at the State, regional, or local level. As the agency responsible for coordinating the regional transportation planning process, the MPO must make sure that all segments of the population have been involved.  In addition, the impacts of proposed transportation investments on underserved and underrepresented population groups must be part of the evaluation process.

## The MPO ... 

- Is the required “forum for cooperative transportation decisionmaking for the metropolitan area”
**23 CFR 450.104**
- Is the engine driving regional collaboration and coordination
- Must meet regional transportation needs while  being responsive to community interests and local by-laws and policies

- PLANNING FOR TRANSPORTATION

**Notes:**
Key Message:  The MPO is the entity responsible for TRANSPORTATION planning in the metropolitan area.

Suggested Comments:
    See bullets. 

## ANATOMY OF AN MPO

**Notes:**
Suggested Comments:
In this section, we’ll talk about the structure and composition of an MPO.

## A Metropolitan Planning Organization...

- Has the authority of Federal law
- Is a representative group of local stakeholders
- Leads the transportation planning process for the metropolitan area
- Is the region’s policymaking organization responsible for prioritizing transportation initiatives
- Carries out the metro transportation planning process in cooperation with the State DOT(s) and transit operators

- ANATOMY OF AN MPO

**Notes:**
Key Message: So just what is an MPO? [see slide]

Suggested Comments: 
An MPO is the forum for identifying needs, proposing solutions, and determining where and how Federal transportation dollars are spent within the planning area. 
This is completed with the aid of studies, analyses, and additional planning activities to facilitate collaborative decisionmaking.* 

## All “urbanized areas” are required to have an MPO or be part of an MPO

**Notes:**
Key Message: See slide.
Suggested Comments:
The map shows the urbanized areas of the United States in 1999 (this is the most recent map available; there isn’t one yet reflecting the 2000 Census). There are about 400 urbanized areas nationwide. 
When we’re talking MPO,  the “region” is an urbanized area (as defined by the U.S. Census)
Any urbanized area with more than 50,000 people must have an MPO. 
Areas of 200,000 or more in population are designated as Transportation Management Areas. TMAs have a series of more specific and stringent responsibilities than other MPOs. 
The area that an MPO serves may be contained in one county or it may span several counties or even multiple States.
More Information: 
The US Census definition of an urbanized area can be found at 67 FR 11663 (March 15, 2002).
Although MPOs have existed since the 1960s in some areas, legislation in the early 1970s required the formation of an MPO for any urbanized area with a population greater than 50,000. MPOs gained new prominence and authority with the passage of ISTEA in 1991.
The designation of the boundary and structure of an MPO is made jointly by the Governor and affected local governments, in accordance with Federal regulations.

## The MPO must work with others

- Actively seek the participation of all relevant agencies
- Actively seek input from the general public
- Cooperate with the State and public transit providers and coordinate with other transportation providers

- ANATOMY OF AN MPO

**Notes:**
Key Message:  The MPO is not operating in a vacuum.

Suggested Comments:
“Relevant agencies” are not limited to transportation agencies, and may range from a local planning board to the EPA.
In Federal transportation policy, the terms “cooperate” and “coordinate”, have specific meanings that set ground rules for the working relationships among agencies. So does the term “consultation.” Understanding these terms and the distinctions they draw is important if you are to understand what’s expected of your MPO, and what your MPO can expect of the agencies you deal with.
Cooperation means that the parties involved in carrying out the planning, programming and management systems processes work together to achieve a common goal or objective.
Coordination means the comparison of the transportation plans, programs, and schedules of one agency with related plans, programs and schedules of other agencies or entities with legal standing, and adjustment of plans, programs and schedules to achieve general consistency.
Consultation means that one party confers with another identified party in accordance with an established process and, prior to taking action(s), considers that party's views and periodically informs that party about action(s) taken.
23 CFR 450.104

## MPO structure

- An MPO is required to have a decisionmaking “policy body”
- Beyond this, there is no required structure for an MPO, but most are made up of
- A Policy or Executive Board
- Technical and Citizen Advisory Committees
- A director and staff

- ANATOMY OF AN MPO

**Notes:**
Key message: There is no standard structure for MPOs, but most have three structural elements. [DO NOT ELABORATE.]

Suggested Comments:
Some MPOs are stand-alone entities with large, full-time staffs. Others are relatively loosely structured decisionmaking bodies that rely heavily on the staff of participating agencies or on consultants.
Some MPOs are part of regional councils or associations of government, and have responsibilities far beyond transportation planning. 
We’re going to talk about each part in turn.

ASK AND DISCUSS:  
Does your MPO have Technical Committees? 
Other Committees? 
Do you know how they relate to the decisions that you make as a board member? 
[NOTE TO INSTRUCTOR: YOU SHOULD ALREADY KNOW THE ANSWERS TO THESE QUESTIONS.]

## The MPO Board

- Takes approval actions
- Sets regional long-term transportation policy and approves plans
- Prioritizes and programs specific transportation initiatives for funding

- ANATOMY OF AN MPO

**Notes:**
Key Message: The Board is ultimately responsible for making transportation policy, planning, and programming decisions for the metro planning region

Suggested Comments:
The MPO Board consolidates a regional transportation vision and then prioritizes and chooses initiatives (capital projects and operating strategies) to implement that vision.
In order for an initiative to receive Federal funding, it must have been approved by the Board.

## Who sits on the Board?

- Required in TMAs/encouraged everywhere:
**Local elected officials**
**Transportation operators**
**Appropriate State officials**
- Other possible members:
**Representatives from private and not-for-profit sectors**
**General public**

- ANATOMY OF AN MPO

***Membership should be as diverse as the region***

**Notes:**
ADAPTABLE SLIDE
Key Message: Board members represent their agency, community, or constituency in the planning process. Membership should be as diverse as the region.

Suggested Comments:
Board membership varies from MPO to MPO. The exact composition is identified in the MPO’s charter. 
Generally, MPO boards comprise local elected officials plus representatives from other stakeholder entities, including transit, other government agencies, and the public. Examples:
US Forest Service is a member of the Lake Tahoe MPO.
Citizens Advisory Committee Chair a voting member in Albany, GA MPO.
State DOT rep is an ex-officio member of the Sacramento, CA MPO.
Transit Agency rep sits on the Board of the Columbus, OH MPO.
Those who serve on the board often wear a lot of different hats, and may not necessarily have a background in transportation or planning

More Information:
Board membership is determined by agreement among the Governor(s) and local governments that represent 75 percent of the metropolitan area population, including the center city.
Board members don’t necessarily have equal voting privileges. For example, the board may have “ex-officio” members, weighted votes, or rotating votes for jurisdictions. 

## In making decisions, the Board should consider...

- Public comments and community values
- Long-term vision for the region
- Effect on system operations
- Impacts on the environment and the economy
- Comparison with alternative options
- Cost effectiveness and short- and long-term availability of funding
- Federal, State, and local regulations and plans
- Whether more information is needed

- ANATOMY OF AN MPO

**Notes:**
Key Message:  Sometimes opposing interests have to be evaluated in the transportation planning process. It is important to consider all sides before coming to a decision. 

Suggested Comments: 
As Board members, you need to be knowledgeable of the issues facing the entire region, and knowledgeable about the transportation planning process. 
MPO staff is one of the main sources of information for decision-makers.  They collect data and place it in a format that is easily accessible to board members.  
The staff also coordinate stakeholder input and feedback.

## How does the Board obtain technical analyses?

- MPO staff provide committees with technical assessments and evaluations of proposed transportation initiatives
- The Technical Advisory Committee provides recommendations to the board on specific strategies or projects
- Staff may engage consultants to generate needed data

- ANATOMY OF AN MPO

**Notes:**
ADAPTABLE SLIDE
Key Message: Board members may or may not have a technical background in transportation or planning, but they have resources to turn to for technical analysis. 

Suggested Comments:

## Role of Advisory Committees

- Committees provide technical analysis, specialized knowledge, and citizen input on specific issues
- A Technical Advisory Committee and Citizen Advisory Committee are common
- Subcommittees examples:
- Environmental Justice
- Bicycle Advisory
- Travel Demand Modeling

- ANATOMY OF AN MPO

**Notes:**
ADAPTABLE SLIDE

Key Message: The MPO’s committees act in an advisory capacity, providing the Board with policy and project recommendations.

Suggested Comments:
Committees are essential forums for technical analysis and for obtaining citizen input on specific issues.
The Technical Advisory Committee is made up of expert personnel from the Board members’ constituent agencies. These committee members both advocate for their own community’s interests, provide expert advice to the board member, and oversee studies.
The Citizen’s Advisory Committee is a vital forum for public input to the transportation planning process, and is made up of representatives from user groups and other public interest organizations – your “window on the world.”
With these committees acting in an advisory capacity, there is a greater level of assurance that the transportation decisions being made are technically viable, in line with public opinion, and are bicyclist- and pedestrian-friendly. 

More Information:
Subcommittees may include, for example, a traffic safety committee, bicycle committee, and/or Environmental Justice committee.

## Role of the MPO Staff

-  Provide information and technical   support to board members and advisory committees
-  Prepare documents
-  Foster interagency coordination
-  Facilitate public input and feedback
-  Manage the planning process

- ANATOMY OF AN MPO

**Notes:**
ADAPTABLE SLIDE
Key Message: MPO staff manage and provide technical support to the planning process. They are a critical resource for the Board.

Suggested Comments:
About the staff
The MPO often has an executive director, who is the primary liaison between the Board and the staff and committees. 
Depending on the MPO, staff may be full-time, part-time, shared with other agencies, or bolstered by a team of private consultants.
 The staff may have their own committees.
 Staff can be made up of planners, engineers, GIS specialists, public outreach professionals, policy analysts, and others.

ASK: How is your MPO staff structured?
[NOTE TO INSTRUCTOR: YOU SHOULD ALREADY KNOW THE ANSWER TO THIS QUESTION.]

[Transition] ASK: Any questions about what we’ve covered so far?

## MPO PROCESS AND PRODUCTS

**Notes:**
Suggested Comments:
In this section we will discuss:
The planning process that MPOs are required to undertake in order to receive Federal funding.
In particular, two key planning documents that the MPO is required to produce.

## Transportation planning and programming

**Planning:**
- Developing a vision
- Creating policies and strategies to support the vision
- Long-term horizon

- PROCESS AND PRODUCTS

**Programming:**
- Prioritizing proposed initiatives
- Matching initiatives with available funds
- Short-term horizon

_**The public must be involved in both**_

**Notes:**
Key Message:  Planning and programming are the core elements of the transportation planning process. 

Suggested Comments:
[Click 1] Planning -- [see slide]. 
Planning has to do with considering transportation improvements for the future, both in the long term and the short term. 
Planning for the future involves trying “to imagine what our communities and region will be like in terms of population, jobs, housing, commuting patterns, financing, and land use,” based on data and technical expertise, such as socioeconomic projections, transportation demand forecasting, air quality modeling, and anticipated funding sources.
Planning should also be a process of developing a regional vision—an ideal notion of how the region’s communities might be in the future. The vision can be used to focus transportation planning efforts around specific strategies, guided by what is important to affected communities. 
[Click 2] Programming -- [see slide].  
The result of programming is a list of specific initiatives, strategies, and transportation projects that have been approved for funding (that the MPO can reasonably anticipate receiving) and that will carried out in the near future. 
The MPO must engage the public in the decisionmaking process for both big-picture planning and project-specific programming decisions.

## Basic requirements 

- Reflect
- The “3C” planning process
- The seven TEA-21 planning factors
- Develop
- A Unified Planning Work Program (UPWP) or simplified statement of work
- Public involvement process/plan (PIP)
- Financial Plan
- Produce and maintain
- A Long-Range Transportation Plan
- Transportation Improvement Program (TIP)

- PROCESS AND PRODUCTS

**Notes:**
Key Message: These are the “bare bones” requirements for transportation planning. [NOTE TO INSTRUCTOR: DO NOT ELABORATE.]

Suggested Comments:
See slide.
[Transition :]We’re going to look at these elements in the next few slides.

## The Three C’s

- A _C_omprehensive, _C_ooperative, and _C_ontinuing process is required for initiatives to be eligible for Federal transportation funding

- PROCESS AND PRODUCTS

**Notes:**
Key Messages: The MPO planning process should reflect the “3 Cs.” 

Suggested Comments:
The “three C’s” -- comprehensive, cooperative, and continuing -- form a basic planning principle under Federal law.
For the record, we’ve already talked about Cooperation, Coordination, and Consultation – all of which begin with C, too – but those aren’t the official 3Cs; these are.
The “3C” concept was identified by Congress in law as early as the 1960s (in the Federal-Aid Highway Act of 1962), in response to growing concerns over the implementation of the interstate highway system. Today, it remains as a guiding principle for good planning, as well as a legislated requirement for the transportation planning process. 
Comprehensive means specifically considering all transportation modes, economic development, financial resources, demographics, land use, travel patterns, terminal and transfer facilities, traffic control, and social and community-value factors such as environmental issues, preservation of open space and historical sites, and aesthetics. 
Cooperative refers to cooperation (working together to achieve a common goal or objective) between the various levels of government, and among agencies at the same level of government
Continuing refers to the need to continually reevaluate and update the transportation plan and program.

##       TEA-21 Planning Factors

-       TEA-21 Planning Factors

- The Board is required to consider:
- Economic vitality of the region
- Safety and security of the transportation system
- Accessibility and mobility options
- Environmental protection, energy conservation, and quality of life
- Integration and connectivity of the system
- Efficient system management and operations
- System preservation

**Notes:**
Key Message: The Board is required to explicitly consider these factors in the transportation planning and programming process. 
Suggested Comments:
Again, these factors apply to all modes, and to the transport of both people and freight.
Be aware that the sixth point -- efficient system management and operations -- is increasingly a major consideration, as MPOs attempt to make the most of their existing resources by building operational strategies into their plans and funding initiatives.
More Information:
"The metropolitan (and Statewide) transportation planning process for a metropolitan area (or State) under this section shall provide for consideration of projects and strategies that will:
Support the economic vitality of the metropolitan area (or State), especially by enabling global competitiveness, productivity and efficiency;
Increase the safety and security if the transportation system for motorized and nonmotorized users;
Increase the accessibility and mobility options available to people and for freight;
Protect and enhance the environment, promote energy conservation, and improve quality of life
Enhance the integration and connectivity of the transportation system, across and between modes, for people and freight;
Promote efficient system management and operation; and
Emphasize the preservation of the existing transportation system.”
					23USC134(f)(1)

## The UPWP/Simplified Statement of Work

- TMAs _must_ prepare a UPWP:
- Planning tasks and studies to be conducted
- Any transportation-related air quality planning tasks
- All Federally funded studies
- State/local planning activities conducted without Federal funds
- Funding sources identified for each project
- Schedule of activities
- Agency responsible for each task or study

- PLANNING FOR TRANSPORTATION** **

**Notes:**
Key Message: The UPWP and simplified statement of work -- the UPWP’s less elaborate counterpart in smaller MPOs -- lay out the planning activities that the MPO and other agencies in the region will undertake in the next year or two. 

Suggested Comments:
1. The work of the MPO is guided by the UPWP. The UPWP timeframe is the next 1 to 2 years of MPO operation.
The contents of the UPWP vary from MPO to MPO and from year to year, reflecting current priorities for the region at that time: 
The transportation planning tasks and studies that will be conducted; 
Likewise, any transportation-RELATED air-quality planning tasks;
All Federally funded studies as well as all relevant State and local planning activities conducted without Federal funds; 
Funding sources identified for each project; 
A schedule of activities; and 
The agency responsible for each task or study. 
The UPWP must be developed in cooperation with the State and with transit agencies.
2. Other than meeting a Federal requirement, what’s the value of the UPWP? The UPWP is a forward-looking document, and the first document in the planning cycle. If you want to improve the planning process, or get better information on trends and conditions to inform your decisions, you need to start by putting these activities in the UPWP.
3. MOUs with participating agencies are of significant value in assuring that the MPO’s plan for work will move forward as intended.

## The UPWP/Simplified Statement of Work

- All other MPOs _may_ prepare a simplified statement of work:
- Work that will be accomplished using Federal funds
- Who will perform the work
- MPO requests OK for this option from FHWA and FTA

- PLANNING FOR TRANSPORTATION** **

**Notes:**
Key Message: See slide.

## Why do financial planning?

- Ensures realistic plans and programs
- Identifies funding shortfalls and establish strategies to overcome them Meets Federal requirements

- PROCESS AND PRODUCTS

**Notes:**
Key Message: See slide.

Suggested Comments:
Financial planning is a cornerstone of effective transportation planning and programming.

## What is “fiscal constraint”?

- The cost of an initiative
- must not exceed the level
- of reasonably available revenue.

- PROCESS AND PRODUCTS

**Notes:**
Key Message: Fiscal constraint is the regulatory term that captures the federal limitation on the listing of projects and other initiatives. 

Suggested Comments:
See slide.

## “Costs” depend on the initiative...

- Maintenance of existing infrastructure
- Improvement of existing system operations through modification (e.g., Intelligent Transportation Systems)
- New Project costs must also cover projected operating and maintenance

- PROCESS AND PRODUCTS

**Notes:**
Key Message: Transportation planning and programming involve a range of initiatives, all of which fall under fiscal constraint.

Suggested Comments:
[see slide]

## Who provides funding for MPO transportation initiatives?

- Federal government (FHWA, FTA)
- State government
- Local governments
- Transportation agencies
- Public-private partnerships

- PROCESS AND PRODUCTS

**Notes:**
Key Message: Transportation funding comes from a variety of sources. The topic of funding -- what funds are available, from which sources, for what projects, with what strings attached -- is enormous, and we’re not able to address it here. 

Suggested Comments:
We do want to bring out for you the federal requirement that initiatives identified through the planning process must have a basis in financial reality. 
The fact that the MPO’s funds come from a variety of sources necessitates cooperation and coordination across jurisdictions, agencies, and levels of government.

## About Federal funding

- Many types, including:
- Special programs (e.g., Congestion Mitigation and Air Quality [CMAQ] Program)
- Formula-based funding
- Transit
- Earmarked
- Most pass to implementers through the State DOT, based on MPO priorities
- Nearly all Federal funding programs require matching funds from State or local sources

- PROCESS AND PRODUCTS

**Notes:**
Key Message: See slide.

Suggested Comments:
Projects paid for with earmarked funds must go through the transportation planning process even though the money must be used for the intended purpose of the earmark. 
Most Federal funding, with the exception of transit monies, is provided to the State DOT, either to be spent by the State DOT on its projects, or to be disbursed to the local governments that are implementing projects, based on the funding priorities set forth in the TIP.
The fact that most federal funding comes to the localities/implementers comprising the MPO through the State DOT creates an environment in which cooperation between the State and the MPO is in everyone’s best interest.  We’ll talk more about the working relationship between the State and the MPO in a little while.

## Public Involvement Process

- Public involvement is a process, but may be formalized in a written document
- The public involvement process should be
***Proactive***
***Early and continuing***
***Open and collaborative***
- A formal Public Involvement Plan (PIP) is required of TMAs

- PROCESS AND PRODUCTS

**Notes:**
ADAPTABLE SLIDE
Key Message: Public involvement is crucial to the development of transportation plans and programs. 

Suggested Comments:
Public involvement is a process, but may be formalized in a written document. Procedures will vary between MPOs.
Some MPOs may have a Public Information Officer or other staffer who focuses on public involvement. 
ASK: Have you been involved with or aware of public involvement efforts in your communities?

More information: 
“The Metropolitan Planning Process shall include a proactive public involvement process for early and continuing involvement of the public in developing plans and TIPs” (23 CFR 450.316(b)(1)).

## Components of effective public involvement programs

- Be committed
- Articulate your objectives
- Understand your stakeholders and their issues
- Use a variety of techniques
- Evaluate and refine your approach
**For some success stories, go to **_**www.planning.dot.gov**_

- PROCESS AND PRODUCTS

**Notes:**
Key Message: Public involvement can be a challenge at the planning level; there are success stories.

Suggested Comments:
Engaging the public in the planning process isn’t always easy, in that many people are not particularly focused on the long-range future. It’s much easier to get people involved at the project stage, when there’s more immediacy.
MPOs have tried a variety of innovative measures to bring the public into the process. You and your staff can find examples at www.planning.dot.gov, the website for the Transportation Planning Capacity Building Program. 

## The Long-Range Transportation Plan 

- Describes vision for the region, and policies, operational strategies, and projects to achieve it
- Covers at least the next 20 years
- Leads to an intermodal system
- Reflects public involvement
- Contains a financial plan and is fiscally constrained
- Is updated every 3-5 years

- PROCESS AND PRODUCTS

**Notes:**
Key Message:The LRTP is a planning document that reflects transportation strategies and projects for the region over at least the next 20 years.
Suggested Comments:
May include a combination of general policies, vision, strategies, and specific projects.
It must be FISCALLY CONSTRAINED, which means what? [Get participant  input.] 
It means that the MPO cannot plan to spend more money than the Board can reasonably anticipate receiving. By regulation, all costs and revenue must be based on data reflecting the existing situation and historic trends, while ensuring continued funding for the operation and maintenance of the existing transportation system.
A financial plan is the underpinning for the planning of future projects.
The Long-Range Transportation Plan must be updated every 3 to 5 years, depending on the region’s air quality attainment status.
The MPO’s board is responsible for adopting the Plan and approving later amendments.
More information/examples:
“The plan shall include both long-range and short-range strategies/actions that lead to the development of an integrated intermodal transportation system that facilities the efficient movement of people and goods” (23 CFR 450.322)
Board members should keep in mind that “Submitting a project for the long-range plan [implies] several things:
1.) You, your community, and agency or agencies (i.e., public works, planning) are committed to seeing this project completed;
2.) You and your agency or agencies are committed to providing at least the minimum required matching funds;
3.) This project is in agreement with the local comprehensive land use plan in terms of how land use is expected to change and where growth is expected to occur; and
4.) The project is necessary to meet a current or future anticipated need” (KIPDA 4-7) 

## Fiscal constraint and the Transportation Plan

- Include a **financial plan** demonstrating consistency with available and projected revenues
- Identify proposed new revenue sources and strategies to ensure their availability

- PROCESS AND PRODUCTS

**Notes:**
Key Message:  Long-range planning must take the availability of funding into account.

Suggested Comments:
The regulations (23 CFR 450.322) require that cost and revenue projections should be based on data reflecting the existing situation and historic trends. 

[NOTE TO INSTRUCTOR: You may get a question about how new MPOs are supposed to comply with this.]

## Good Long-Range Planning Practice

**Identification**

**Objectives**

**Vision & **
**Goals**

**Analysis &**
**Evaluation**

**Alternatives**

**Monitoring**

**Plan Approval**

**Initiative**
**Development**
**& Operation**

**Program**
**Development**

- PROCESS AND PRODUCTS

**Good Long-Range Planning Practice**

**Notes:**
Key Message:  These are the elements of a basic long-range planning process. While following them is good practice, they aren’t specifically required. 

Suggested Comments:
Planning must consider all modes of transportation.
The Real World does not neatly follow this sequence!
Not all metro areas follow the same process.
Some elements of the transportation planning process may occur at the same time.

## The Transportation Improvement Program (TIP)

- A staged, multi-year, intermodal program of prioritized transportation initiatives consistent with Plan
- Shows annual activity for a 3-year period
- Contains a financial plan and is fiscally constrained
- An initiative _not_ listed in the TIP cannot receive FHWA or FTA funds
- Reflects public involvement
- Must be updated at least every 2 years

- PROCESS AND PRODUCTS

**Notes:**
Key Message: The TIP is a key policy-setting instrument that details specific transportation programming for at least the next 3 years.

Suggested Comments:
There are quite a number of regulatory requirements for what the TIP should contain; these are just some key highlights:
Activity is laid out on a year-by-year basis.
As always, public involvement is a requirement.
Note that the TIP must be updated at least every 2 years; some MPOs do this every year.

## Fiscal constraint and the TIP

- Financially constrained **by year**
- Demonstrates which projects can be implemented with current revenue sources
- Identifies strategies for ensuring the availability of new funding sources
- In non-attainment/maintenance areas, only projects with available or committed funding can appear in first 2 years of TIP
- Must ensure funding for ongoing management and operation of systems

- PROCESS AND PRODUCTS

**Notes:**
Key Message: Fiscal constraint in the TIP  may be similar to that for the Transportation Plan, but the TIP must be financially constrained by year.

Suggested Comments:
Fiscal constraint at the TIP level means that the costs of the initiatives listed in the TIP must not exceed the level of reasonably available revenue, while ensuring continued funding for the operation and maintenance of the existing transportation system. 
An initiative can be an operational strategy, project, or other activity.

## An effective TIP development process...

- Is part of a multimodal planning process
- Represents sound financial planning
- Contains only those initiatives consistent with Long-Range Plan
- Reflects early consensus and early  screening of proposed initiatives
- Results from technical and policy leader buy-in

- PROCESS AND PRODUCTS

**Notes:**
Key Message: See slide.

## What does air quality have to do with projects? 

- Transportation initiatives and TIPs must **conform** with the **State Improvement Plan** for achieving **air quality**** **standards  (the **SIP**)
- During a conformity lapse, many types of Federal-aid funding cannot be used

- PROCESS AND PRODUCTS

**Notes:**
Key Message: If a State OR metro area is not in conformity with Federal air quality requirements, some types of Federal transportation funding may be limited.
Suggested Comments:
Let‘s begin with some general background information on what conformity is for those not familiar with it. 
The SIP, or State Implementation Plan, is the overall plan a State is following to clean up the air from stationary sources (e.g., factory), area sources (e.g., dry cleaners), and mobile sources (e.g., cars).  For each of these sources the State has established an emissions budget, or ceiling, on the amount of air pollution that can be generated from each source.  
The conformity “finding” is simply the test to determine if the transportation initiatives and their associated air impacts are within the mobile budget. Areas that meet EPA air quality standards are in attainment.  The issue of conformity only involves areas that are not in attainment.
Nonattainment areas do not meet EPA air quality standards for ozone, carbon monoxide, particulate matter, or nitrogen dioxide.
Maintenance areas are currently in conformity, but have, in the past, not met EPA air quality standards for ozone, carbon monoxide, particulate matter, or nitrogen dioxide.
More information / examples:
Even areas out of conformity can receive funding for: 
safety initiatives
mass transit initiatives
transportation control measures in approved State air quality implementation plans
initiatives that have been previously authorized.

## The MPO planning process

- PROCESS AND PRODUCTS

**METRO**
**LRTP**

**TIP**

**METRO INITIATIVES SELECTED, FUNDED, IMPLEMENTED**

**Notes:**
Key Message: In its most basic form, this is what you’re dealing with in terms of the MPO transportation planning process. 
Suggested Comments:
This diagram is of course a gloss to the extent that it doesn’t show the interlocking cycles of Plan updates and successive TIPs, but it gives the basic schema.
To review, the long-range transportation plan lays out in broad terms the vision for the transportation system over the next two decades or so, and maps what will need to be done to the system to achieve that vision, within anticipated financial limitations.
The TIP is a detailed short-range plan for the implementation of prioritized proposed projects and other initiatives, again within identified financial resources and constraints.
Initiative selection, funding, and implementation carry forward of the highest priority items for which funding actually becomes available.

## The role of the State in transportation planning

- Carries out a “continuing, comprehensive, and intermodal statewide transportation planning process” 	**23 CFR 450.200**
- Develops a vision and strategy for the transportation system throughout the State
- Coordinates with and incorporates transportation plans and programs developed by MPOs
- Performs planning for non-urbanized areas
- Oversees distribution of Federal planning funds and State and Federal project funds

- PROCESS AND PRODUCTS

**Notes:**
Key Message: US DOT delegates to the States the responsibility for organizing and accomplishing transportation planning for the State as a whole. 

Suggested Comments:
This description captures the Federal statutory vision of the State’s role.

## The Statewide Planning Process 

**STATE LRTP**

**STIP**

**STATE INITIATIVES ****SELECTED, FUNDED, &**
**IMPLEMENTED**

**FHWA/FTA REVIEW AND APPROVAL**

**RELEASE OF FEDERAL FUNDS**

**METRO**
**LRTP**

**TIP**

**METRO INITIATIVES ****SELECTED, FUNDED, & IMPLEMENTED**

**SELECTED, FUNDED, &**
**IMPLEMENTED**

**SELECTED, FUNDED, & IMPLEMENTED**

**$**

**$**

- PROCESS AND PRODUCTS

**Notes:**
Key Message: The Statewide planning process runs parallel to the MPO planning process and is linked with it.

Suggested Comments: The Federal requirements for statewide transportation planning include the “3C” process, the seven planning factors.
:
[CLICK 1] As we just said, a key requirement is that the State incorporate each MPO’s Long-Range Plan [CLICK 2] and TIP into the Statewide Plan and STIP. 
[CLICK 3 & 4] Additionally, the State is obligated to submit the STIP for review by FHWA and FTA to assure that federal planning requirements are met. [CLICK 5] 
[CLICK 6 & 7] If and when the STIP is found to be reasonably reflective of requirements, 
[CLICKS 8, 9, 10, & 11] the projects included in the STIP  (and therefore the TIP) can receive federal funds, which are most frequently passed through the State
[CLICKS 12, 13, 14, & 15] to fund State initiatives
[CLICKS 16, 17, 18, & 19] and MPO initiatives.
Anyway, that’s the idea. 

## Responsibilities, cooperation, and coordination

- The MPO, in cooperation with the State and transit operators, is responsible for carrying out the metro transportation planning process.	**23 CFR 450.210**
- The State is to assist the TIP development process by providing estimates of available federal and State funds.
**	****	****	****	****	****	****      ****23 CFR 450.216(a)**
- The MPO approves the Long-Range Transportation Plan and updates, and
- The MPO and the Governor approve the TIP and amendments; an approved TIP goes into the STIP without modification.				**23 CFR 450.312**
- 				**	****	****	****	****	****	****	****	**

- PROCESS AND PRODUCTS

**Notes:**
Key Message: Federal regulations stipulate the broad framework for the respective responsibilities of the State and MPO with regard to metropolitan transportation planning in relation to Statewide planning.
Suggested Comments:Remember:Cooperation means that the parties involved in carrying out the planning, programming and management systems processes work together to achieve a common goal or objective.
Coordination means the comparison of the transportation plans, programs, and schedules of one agency with related plans, programs and schedules of other agencies or entities with legal standing, and adjustment of plans, programs and schedules to achieve general consistency.
The responsibility for metro transportation planning resides with the MPO, but the MPO must work in cooperation with the State (and transit operators) on coordination of:
Data collection, data analysis, and evaluation of transportation alternatives
Their respective plans, programs, and priorities, and all the considerations that enter into them (social, economic, employment, energy, environmental, and housing and community development effects of proposed actions)
Public involvement 
Financial planning
These factors are to be reflected in a Memorandum of Understanding.
 In practice, the working relationship between the State government and MPOs tends to vary substantially. 
[NOTE TO INSTRUCTOR: YOU MAY WANT TO DISCUSS LOCAL SPECIFICS OF CONCERN TO PARTICIPANTS.]
Look at who approves what:
MPO approves the long-range plan, BUT the MPO AND THE GOVERNOR MUST APPROVE THE TIP.
[TRANSITION] Let’s take another look at the diagram of the statewide process; what are the implications of these requirements for the overall process?

## Working with the state 

- PROCESS AND PRODUCTS

**STATE LRTP**

**STIP**

**STATE INITIATIVES SELECTED, FUNDED, &**
**IMPLEMENTED**

**FHWA/FTA REVIEW AND APPROVAL**

**RELEASE OF FEDERAL FUNDS**

**$**

**METRO**
**LRTP**

**TIP**

**METRO INITIATIVES SELECTED, FUNDED, & IMPLEMENTED**

**$**

**Notes:**
Key Message: Well, for one thing, if the State and the MPO don’t agree on the TIP, federal funding may be endangered.
Suggested Comments:
The bottom line: FTA and FHWA must approve the STIP as the basis for release of federal funding. 
Once approved, the TIP is incorporated into the Statewide Transportation Improvement Program, or “STIP.” The TIP goes into the STIP without modification.
If the MPO TIP is not included in the STIP, no Federal funds can be provided to the MPO for the listed projects. And the State is on the hook for the absence of the TIP. 
ASK: Why wouldn’t a TIP be in the STIP? 
DISCUSS: What can go wrong? Has any of you lived though such a disagreement? How to avoid this?
It’s in the interest of both the State and the region to find common ground early in the process: at some MPOs, a representative of the State DOT is an ex-officio member of the board.
[NOTE TO INSTRUCTOR: YOU MAY WANT TO DISCUSS LOCAL SPECIFICS AT LENGTH IF COOPERATION HAS BROKEN DOWN.]

## Working With the State 

**STATE LRTP**

**STIP**

**STATE INITIATIVES SELECTED, FUNDED, &**
**IMPLEMENTED**

**FHWA/FTA REVIEW AND APPROVAL**

**RELEASE OF FEDERAL FUNDS**

**METRO**
**LRTP**

**TIP**

**METRO INITIATIVES SELECTED, FUNDED, & IMPLEMENTED**

**$**

**$**

- PROCESS AND PRODUCTS

**Notes:**
Key Message: The Statewide planning process runs parallel to the MPO planning process and is linked with it.

Suggested Comments: The Federal requirements for statewide transportation planning include the “3C” process, the seven planning factors.
:
[CLICK 1] As we just said, a key requirement is that the State incorporate each MPO’s Long-Range Plan [CLICK 2] and TIP into the Statewide Plan and STIP. 
[CLICK 3 & 4] Additionally, the State is obligated to submit the STIP for review by FHWA and FTA to assure that federal planning requirements are met. [CLICK 5] 
[CLICK 6 & 7] If and when the STIP is found to be reasonably reflective of requirements, 
[CLICKS 8, 9, 10, & 11] the projects included in the STIP  (and therefore the TIP) can receive federal funds, which are most frequently passed through the State
[CLICKS 12, 13, 14, & 15] to fund State initiatives
[CLICKS 16, 17, 18, & 19] and MPO initiatives.
Anyway, that’s the idea. 

## Other benefits of cooperation

- Sharing of data
- Assistance with technical analyses
- Sound fiscal projections
- Coordinated public involvement outreach
- System synergy and connectivity
- Optimal planning outcomes
**KEY: Early consultation, positive-sum negotiation, and continual two-way communication**

- PROCESS AND PRODUCTS

**Notes:**
Key Message: What we’ve just been talking about is an avoidable worst-case scenario. Let’s take a look at the what the MPO and the State can derive as benefits from cooperation and coordination.

Suggested Comments:
See slide.

ASK: Can you think of other benefits?
Interaction between the State and the MPO is ideal when it begins early in the planning cycle. Negotiation is inevitable, but negotiation that is open and shares information on needs and trade-offs will yield better results for all concerned than the old winner-take-all approach. And because planning is continuous, communication should be continual.
ASK: What are some real-world factors that get in the way of achieving this? How can they be dealt with to limit their effect?

## CONCLUSIONS

**Notes:**
Key Message:

## Effective planning pays off

- Modal connectivity to provide access, mobility, and ease in travel for all citizens
- Quality communities
- Environmental protection
- Regional economic development
- Safer, more secure transportation systems
- Equitable and efficient use of scarce financial resources

- CONCLUSION

**Notes:**
Key Message: Effective regional transportation planning yields a wide range of benefits.

## Where you can get more information

- The Transportation Planning Capacity Building Program – _www.planning.dot.gov_
- FHWA Resource Center – _www.fhwa.dot.gov/resourcecenter _
- FHWA Division Offices – _www.fhwa.dot.gov/field.html#fieldsites_
- FTA Regional Offices –_www.fta.dot.gov/about/offices_
- _/4978_ENG_HTML.htm_

- CONCLUSION

**Notes:**
Key Message: There are extensive resources out there for you as a Board member, for MPO staff and other committee members, and for your constituents.
Suggested Comments:
We’ve included two resources in your folder. One is the print piece called The Transportation Planning Process -- Key Issues, otherwise known as the Briefing Book. It was written specifically for the use of professionals and the public involved in metropolitan transportation planning, and contains more detailed information on many of the points we’ve covered briefly in the seminar.

The second resource is a CD-ROM, containing a 12-minute executive overview of metropolitan planning that you may find useful for refreshing your memory after today’s session.

## Review of Learning Objectives

**Explain the value of regional transportation planning**
**Describe the functions and purpose of an MPO**
**Explain the role and responsibilities of an MPO board member**
**Describe key products of the metropolitan planning process**
**Recall Federal requirements for metropolitan transportation planning**

- CONCLUSION

**Notes:**
Suggested Comments:
So let’s review.

## SEMINAR EVALUATION

**Notes:**
Key Message:
The final element in this seminar is your completion of this brief evaluation of your experience here. On behalf of Federal Highways, Federal Transit, and the Transportation Capacity Building Program, I want to thank you for your feedback and your participation.