A Briefing Book for

Transportation Decisionmakers,

Officials, and Staff

A Publication of the Transportation Planning Capacity Building Program

Federal Highway Administration

Federal Transit Administration

TheTransportation

Planning Process Key Issues
NOTICE

This document is disseminated under the sponsorship of the Department of Transportation

in the interest of information exchange. The United States Government assumes no liability

for its contents or use thereof. The United States Government does not endorse products

or manufacturers. Trademarks or manufacturers’ names appear herein only because they

are considered essential to the objective of this document.
TABLE OF CONTENTS

1 Introduction

2 PART I: OVERVIEW OF TRANSPORTATION PLANNING

3 What is the transportation planning process?

14 PART II: MAJOR POLICY AND PLANNING ISSUES

15 Air Quality

21 Congestion Management Process (CMP)

23 Financial Planning and Programming

27 Freight Movement

29 Land Use and Transportation

32 Performance Measures

34 Planning and Environment Linkages

39 Public Involvement

42 Safety

44 Security

46 System Management and Operations (M&O)

49 Technology Applications for Planning: Models, GIS, and Visualization

54 Title VI/Environmental Justice (EJ)

57 Transportation Asset Management

60 APPENDICES

60 Recent Surface Transportation Reauthorizations

61 Acronyms

62 Glossary

66 Financing the Statewide Plan: Federal Transportation Programs

and Revenue Sources

67 Major Federal-Aid Highway Programs under SAFETEA-LU

68 Federal Transit Administration Programs

69 Funding Transferability under SAFETEA-LU

70 Innovative Highway Financing Strategies/Tools
2

PART I: OVERVIEW OF TRANSPORTATION PLANNING

Transportation planning plays a fundamental role in the state, region or

community’s vision for its future. It includes a comprehensive consideration of

possible strategies; an evaluation process that encompasses diverse viewpoints;

the collaborative participation of relevant transportation-related agencies and

organizations; and open, timely, and meaningful public involvement.

The Transportation Planning Process: Key Issues

Figure 1: Transportation planning process
INTRODUCTION

Transportation helps shape an area’s economic health and quality of life. Not

only does the transportation system provide for the mobility of people and goods,

it also influences patterns of growth and economic activity by providing access to

land. The performance of the system affects public policy concerns like air

quality, environmental resource consumption, social equity, land use, urban

growth, economic development, safety, and security. Transportation planning

recognizes the critical links between transportation and other societal goals. The

planning process is more than merely listing highway and transit capital projects.

It requires developing strategies for operating, managing, maintaining, and

financing the area’s transportation system in such a way as to advance the area’s

long-term goals.

This book provides government officials, transportation decisionmakers,

planning board members, and transportation service providers with an overview

of transportation planning. It contains a basic understanding of key concepts in

statewide and metropolitan transportation planning, along with references for

additional information. Part I discusses transportation planning and its

relationship to decisionmaking. This section is general, and provides a broad

introduction to the planning process. Part II presents short descriptions

of important policy and planning topics. This section includes more technical

information than Part I, but is not intended to provide details of each policy

issue. This report is available electronically on the Transportation Planning

Capacity Building website at www.planning.dot.gov and is updated periodically to

include additional topics or information.

This book has been updated to reflect changes in

legislation that affect statewide and metropolitan

transportation planning requirements. It is an

informational publication that replaces its predecessor, the 2004 “The Metropolitan Transportation

Planning Process: Key Issues, A Briefing Notebook

for Transportation Decisionmakers, Officials, and

Staff” (Publication FHWA-EP-03-041 5/04).

For additional information about any of the topics

discussed in this book, contact your local Federal

Highway Administration (FHWA) division or

Federal Transit Administration (FTA) regional

office. For information on how to reach FHWA or

FTA staff, visit the FHWA and FTA websites at www.fhwa.dot.gov and

www.fta.dot.gov, or the Transportation Planning Capacity Building website

at www.planning.dot.gov.

1

Previous version of Briefing

Notebook for Transportation

Decisionmakers, Officials, and Staff
The Transportation Planning Process: Key Issues

3

What is the transportation

planning process?

Transportation planning is a cooperative process designed to foster involvement by all

users of the system, such as the business community, community groups,

environmental organizations, the traveling public, freight operators, and the general

public, through a proactive public participation process conducted by the

Metropolitan Planning Organization (MPO), state Department of Transportation

(state DOT), and transit operators.

Figure 1 illustrates the transportation planning process.

Transportation planning includes a number of steps:

• Monitoring existing conditions;

• Forecasting future population and employment growth, including assessing

projected land uses in the region and identifying major growth corridors;

• Identifying current and projected future transportation problems and needs

and analyzing, through detailed planning studies, various transportation

improvement strategies to address those needs;

• Developing long-range plans and short-range programs of alternative capital

improvement and operational strategies for moving people and goods;

• Estimating the impact of recommended future improvements to the

transportation system on environmental features, including air quality; and

• Developing a financial plan for securing sufficient revenues to cover the costs

of implementing strategies.

What is a Metropolitan Planning Organization and what are its typical functions?

A Metropolitan Planning Organization (MPO) is a transportation policy-making body

made up of representatives from local government and transportation agencies with

authority and responsibility in metropolitan planning areas. Federal legislation passed

in the early 1970s required the formation of an MPO for any urbanized area (UA)

with a population greater than 50,000. MPOs were created in order to ensure that

existing and future expenditures for transportation projects and programs were based

on a continuing, cooperative, and comprehensive (3-C) planning process. Federal

A metropolitan

planning area may

include the urbanized area

(UA), areas expected to

become urbanized within the

next 20 years, and additional

areas determined by political

boundaries (e.g., a county) or

geographic boundaries (e.g.,

an air basin).

Urbanized Area (UA):

an area that contains a city of

50,000 or more in population

plus the incorporated surrounding areas meeting size

or density criteria as defined

by the U.S. Census Bureau.
The Transportation Planning Process: Key Issues

4

funding for transportation projects and programs is channeled through the MPO.

Note that some MPOs are found within agencies such as Regional Planning

Organizations (RPOs), Councils of Governments (COGs), and others.

There are five core functions of an MPO:

Establish a setting: Establish and manage a fair and impartial setting for effective

regional decisionmaking in the metropolitan area.

Identify and evaluate alternative transportation improvement options: Use data and

planning methods to generate and evaluate alternatives. Planning studies and

evaluations are included in the Unified Planning Work Program or UPWP (see page 8).

Prepare and maintain a Metropolitan Transportation Plan (MTP): Develop and

update a long-range transportation plan for the metropolitan area covering a

planning horizon of at least twenty years that fosters (1) mobility and access for

people and goods, (2) efficient system performance and preservation, and (3) good

quality of life.

Develop a Transportation Improvement Program (TIP): Develop a short-range

(four-year) program of transportation improvements based on the long-range

transportation plan; the TIP should be designed to achieve the area’s goals, using

spending, regulating, operating, management, and financial tools.

Involve the public: Involve the general public and other affected constituencies in the

four essential functions listed above.

In accordance with federal regulations, the MPO is required to carry out metropolitan

transportation planning in cooperation with the state and with operators of publicly

owned transit services. The MPO approves the metropolitan transportation plan. Both

the governor and the MPO approve the TIP.

Most MPOs will not take the lead in implementing transportation projects, but will

provide an overall coordination role in planning and programming funds for projects

and operations. The MPO must involve local transportation providers in the planning

process by including transit agencies, state and local highway departments, airport

authorities, maritime operators, rail-freight operators, Amtrak, port operators, private

providers of public transportation, and others within the MPO region.

From an organizational perspective, there is no required structure for an MPO; as a

decisionmaking policy body, an MPO may be composed of:

• A policy or executive board

• Technical and citizen advisory committees

• A director and staff

MPO staff assists the MPO board by preparing documents, fostering interagency

coordination, facilitating public input and feedback, and managing the planning
The Transportation Planning Process: Key Issues

5

process. The MPO staff may also provide committees with technical assessments and

evaluations of proposed transportation initiatives. The MPO staff may also engage

consultants to generate needed data.

A technical advisory committee may then provide recommendations to the board on

specific strategies or projects. An advisory committee may also provide technical

analysis, specialized knowledge, and citizen input on specific issues. It is common for

an MPO to have a Technical Advisory Committee and Citizen Advisory Committee,

and to have subcommittees on specific issues such as environmental justice, bicycle

issues, or travel demand modeling.

Those involved in metropolitan transportation planning should reach out to

stakeholders to inform them of critical issues facing their regions and provide them

with opportunities to contribute ideas and offer input. This is especially important in

the early and middle stages of the process, while the plan and the TIP are being

developed. Special attention should be paid to those groups that are

underrepresented or have been underserved in terms of the expenditure of

transportation dollars (see Part II section on Title VI/Environmental Justice).

What are other responsibilities for some MPOs?

A metropolitan area’s designation as an air quality nonattainment area (NAA) or

maintenance area creates additional requirements for transportation planning.

Transportation plans, programs, and projects must conform to the state’s air quality

plan, known as the State Implementation Plan (SIP). In nonattainment or maintenance areas for air quality, the MPO is responsible for coordinating transportation

and air quality planning.

Areas with populations greater than 200,000 are designated transportation management areas (TMAs). TMAs must have a congestion management process (CMP)

that identifies actions and strategies to reduce congestion and increase mobility

(see Part II section on CMP). In addition, TMAs have the ability to select Surface

Transportation Program (STP) funded projects in consultation with the state; in

other MPOs and rural areas the STP projects are selected by the state in cooperation

with the MPO or local government.

In addition to meeting federal mandates, MPOs often have extra responsibilities

under state law. For example, California’s MPOs are responsible for allocating some

non-federal transportation funds in their regions, while other states give MPOs a

shared role in growth management and land use planning.

Air Quality Nonattainment Area (NAA):

A geographic region of the

United States that the EPA

has designated as not

meeting the air quality

standards.

Air Quality

Maintenance Area:

A geographic region of the

United States previously

designated nonattainment

pursuant to the CAA Amendments of 1990 and subsequently redesignated to

attainment subject to the

requirement to develop a

maintenance plan under

section 175A of the CAA,

as amended.
The Transportation Planning Process: Key Issues

6

What is a state DOT and what are its typical functions?

Each of the U.S. states, Puerto Rico, and the District of Columbia have an agency or

department with official transportation planning, programming, and project

implementation responsibility for that state or territory, referred to as the state DOT.

In addition to transportation planning responsibilities, these agencies may have

responsibility for the design, construction, operation, or maintenance of state

facilities for multiple modes of transportation (including air, water, and surface

transportation). State departments of transportation also work cooperatively with

tolling authorities, ports, local agencies, and special districts that own, operate, or

maintain different portions of the transportation network, or individual facilities.

Primary transportation planning functions of the state DOT:

Prepare and Maintain a Long-Range Statewide Transportation Plan: Develop and

update a long-range transportation plan for the state. Plans vary from state to state

and may be broad and policy-oriented, or may contain a specific list of projects.

Develop a Statewide Transportation Improvement Program (STIP): Develop a

program of transportation projects based on the state’s long-range transportation

plan and designed to serve the state’s goals, using spending, regulating, operating,

management, and financial tools. For metropolitan areas, the STIP incorporates the

TIP developed by the MPO.

Involve the public: Involve the general public and all of the other affected

constituencies in the essential functions listed above.

What are the relationships among the MPO, the state DOT, and other

agencies involved in transportation planning and project implementation?

Transportation planning must be cooperative because no single agency has

responsibility for the entire transportation system. For example, some roads that are

part of the Interstate Highway System (IHS) are subject to certain standards and are

usually maintained by a state DOT. Others are county arterials or city streets which are

designed, operated, and maintained by counties or local municipalities. Transit

systems are often built, operated, and maintained by a separate entity.

In metropolitan areas, the MPO is responsible for actively seeking the participation

of all relevant agencies and stakeholders in the planning process; similarly, the

state DOT is responsible for activities outside metropolitan areas. The MPO and
The Transportation Planning Process: Key Issues

7

state DOT also work together. For example, a state DOT staff person may sit on the

MPO board.

The state DOT follows special requirements to document its process for consulting

with officials from local governments located outside the metropolitan area. This

process is separate and distinct from the broad public involvement process and must

be documented separately. It provides an opportunity for local officials to participate

in the development of the long-range statewide transportation plan and the Statewide

Transportation Improvement Program (STIP).

The federal government has a special government-to-government relationship with Indian

Tribal governments that is affirmed in treaties, Supreme Court decisions, and executive

orders. Federal agencies are required to consult with Indian Tribal Governments regarding

policy and regulatory matters.

State DOTs consider the needs of Indian Tribal Governments when carrying out transportation

planning, and consult with Indian Tribal Governments in development of the long-range

statewide transportation plan and the Statewide Transportation Improvement Program.

MPOs also may consider the needs of, and consult with, Indian Tribal Governments in the

development of long-range transportation plans and TIPs when the metropolitan planning

area includes Indian Tribal Lands.

Outside of the statewide and metropolitan planning processes, state DOTs and MPOs may

consult with Indian Tribal Governments when, for example, a project may affect Indian

Tribal archeological resources. For information on FTA’s Tribal Transit Program, see

www.fta.dot.gov/funding/grants/grants_financing_3553.html.

For more information on Tribal planning, see www.planning.dot.gov/tribal.asp.
The Transportation Planning Process: Key Issues

8

What are key documents produced by the metropolitan and statewide

planning processes?

As illustrated in Figure 2, there are five key documents produced by the

transportation planning process:

The Unified Planning Work Program (UPWP): The UPWP lists the transportation

studies and tasks to be performed by the MPO staff or a member agency. Because the

UPWP reflects local issues and strategic priorities, the contents of UPWPs differ from

one metropolitan area to another.

The UPWP covers a one- to two-year period. It typically contains several elements:

• The planning tasks (e.g., data collection and analysis, public outreach, and

preparation of the plan and TIP), the supporting studies, and the products

that will result from these activities;

• All federally funded studies as well as all relevant state and local planning

activities conducted without federal funds;

Figure 2: Key planning products
The Transportation Planning Process: Key Issues

9

• Funding sources identified for each project;

• A schedule of activities; and

• The agency responsible for each task or study.

The Metropolitan Transportation Plan (MTP) or Long-Range Transportation Plan

(LRTP): In metropolitan areas, the transportation plan is the statement of the ways

the region plans to invest in the transportation system. Per the federal regulations,

the plan shall “include both long-range and short-range program strategies/actions

that lead to the development of an integrated intermodal transportation system that

facilitates the efficient movement of people and goods.”

The plan addresses, for example:

• Policies, strategies, and projects for the future;

• A systems level approach by considering roadways, transit, nonmotorized

transportation, and intermodal connections;

• Projected demand for transportation services over 20 years;

• Regional land use, development, housing, and employment goals and plans;

• Cost estimates and reasonably available financial sources for operation,

maintenance, and capital investments (see Part II section on Financial

Planning and Programming); and

• Ways to preserve existing roads and facilities and make efficient use of the

existing system.

The Metropolitan Transportation Plan (MTP) and the long-range statewide transportation plan must be consistent with each other. The MTP must be updated every

five years in air quality attainment areas or every four years in nonattainment or

maintenance areas.

MPOs should make special efforts to engage interested parties in the development of

the plan. Finally, in cases where a metropolitan area is designated as a nonattainment

or maintenance area, the plan must conform to the SIP for air quality (see Part II

section on Air Quality).

Transportation Improvement Program (TIP): In the TIP, the MPO identifies the

transportation projects and strategies from the MTP that it plans to undertake over

the next four years. All projects receiving federal funding must be in the TIP. The TIP

is the region’s way of allocating its limited transportation resources among the various

capital and operating needs of the area, based on a clear set of short-term

transportation priorities.

Rural Transportation:

Information and resources

for rural transportation policymakers, planners, and stakeholders is available from

the National Association of

Development Organizations

(NADO) and the NADO

Research Foundation at

www.ruraltransportation.org.
The Transportation Planning Process: Key Issues

10

Under federal law, the TIP:

• Covers a minimum four-year period of investment;

• Is updated at least every four years;

• Is realistic in terms of available funding and is not just a “wish list” of projects.

This concept is known as fiscal constraint (see Part II for more information);

• Conforms with the SIP for air quality in nonattainment and maintenance areas;

• Is approved by the MPO and the governor; and

• Is incorporated directly, without change, into the Statewide Transportation

Improvement Program (STIP).

The State Planning and Research (SPR) Program is similar to the UPWP in that it lists

the transportation studies, research and tasks to be performed by the state DOT staff

or its consultants. The SPR Program contains several elements:

• The planning tasks, studies and research activities that will be conducted over a

one- to two-year period;

• Funding sources identified for each project;

• A schedule of activities; and

• The agency responsible for each task or study.

The Long-Range Statewide Transportation Plan: State DOTs must develop a longrange statewide transportation plan. These vary from state to state; they may be

policy-oriented or may include a list of specific projects.

The statewide plan also addresses:

• Policies and strategies, or future projects;

• Projected demand for transportation services over 20 or more years;

• A systems-level approach by considering roadways, transit, nonmotorized

transportation, and intermodal connections;

• Statewide and regional land use, development, housing, natural environmental

resource and employment goals and plans;

• Cost estimates and reasonably available financial sources for operation,

maintenance, and capital investments (see Part II section on Financial

Planning); and

• Ways to preserve existing roads and facilities and make efficient use of the

existing system.
The Transportation Planning Process: Key Issues

11

Statewide Transportation Improvement Program (STIP): The STIP is similar to the

TIP in that it identifies statewide priorities for transportation projects and must be

fiscally constrained. Through an established process, the state DOT solicits or

identifies projects from rural, small urban, and urbanized areas of the state. Projects

are selected for inclusion in the STIP based on adopted procedures and criteria. As

noted above, TIPs that have been developed by MPOs must be incorporated directly,

without change, into the STIP.

Under federal law and regulation, the STIP:

• Must be fiscally constrained and may include a financial plan.

• Must be approved by FHWA and FTA, along with an overall determination that

planning requirements are being met. STIP approval must be granted before

projects can proceed from the planning stage to the implementation stage.

How is federal transportation funding provided to states and metropolitan areas?

The funding for transportation plans and projects comes from a variety of sources

including the federal government, state governments, special authorities, public or

private tolls, local assessment districts, local government general fund contributions

(such as local property and sales taxes) and impact fees.

However, federal funding—transferred to the state and later distributed to metropolitan areas—is typically the primary funding source for major plans and projects. (See

appendix for a description of important federally aided transportation programs.)

Federal transportation funding is made available through the Federal Highway Trust

Fund and is supplemented by general funds. It is important to remember that most

FHWA sources of funding are administered by the state DOTs. The state DOT then

allocates the money to urban and rural areas based on state and local priorities and

needs. Most transit funds for urban areas are sent directly from the FTA to the transit

operator. Transit funds for rural areas are administered by the state DOT.

Federal funds are made available through a specific process:

• Authorizing Legislation: Congress enacts legislation that establishes or

continues the existing operation of a federal program or agency, including the

amount of money it anticipates to be available to spend or grant to states,

MPOs, and transit operators. Congress generally reauthorizes federal surface

transportation programs over multiple years. The amount authorized, however,

is not always the amount that ends up actually being available to spend.

• Appropriations: Each year, Congress decides on the federal budget for the next

fiscal year. As a result of the appropriation process, the amount appropriated to
The Transportation Planning Process: Key Issues

12

a federal program is often less than the amount authorized for a given year and

is the actual amount available to federal agencies to spend or grant.

• Apportionment: The distribution of program funds among states and

metropolitan areas (for most transit funds) using a formula provided in law is

called an apportionment. An apportionment is usually made on the first day of

the federal fiscal year (October 1) for which the funds are authorized. At that

time, the funds are available for obligation (spending) by a state, in accordance

with an approved STIP. In many cases, the state is the designated recipient for

federal transportation funds; in some cases, transit operators are the recipient.

• Determining Eligibility: Only certain projects and activities are eligible to

receive federal transportation funding. Criteria depend on the funding source.

• Match: Most federal transportation programs require a non-federal match.

State or local governments must contribute some portion of the project cost.

This matching level is established by legislation. For many programs, the

amount the state or local governments have to contribute is 20 percent of the

capital cost for most highway and transit projects.

How is federal funding used?

There are many federal-aid transportation programs that support transportation

activities in states and metropolitan areas, each having different requirements and

program characteristics. These programs are not “cash up front” programs; rather,

eligible expenditures are reimbursed. That is, even though the authorized amounts are

“distributed” to the states, no cash is actually disbursed at this point. Instead, states are

notified that they have federal funds available for their use. Projects are approved and

work is started; then the federal government reimburses the states, MPOs, and transit

operators for costs as they are incurred, reimbursing up to the limit of the federal share.

The federal government holds funding recipients accountable for complying with all

applicable federal laws. When local governments directly oversee a federally funded

project, the state DOTs are responsible for monitoring local governments’ compliance

with federal laws.

What are flexible funds?

One important provision in federal transportation legislation allows for the use of

certain federal-aid highway program and federal transit program funds for either

highway or transit projects. This is referred to as flexible funding. “Flexible funding”

provisions were a radical departure from traditional transportation policy; federal
The Transportation Planning Process: Key Issues

13

transit, highway, and safety programs formerly had very strict eligibility requirements,

and funds could not be transferred between the programs. The ability to transfer

funds (with certain restrictions) between highway and transit programs was

introduced so metropolitan areas could apply federal transportation funds to their

highest priority transportation projects.

The funds are not actually transferred from one bank account to another; rather, FHWA

and FTA confirm program-eligible expenditures and reimburse accordingly. In

urbanized areas (UAs) with populations greater than 200,000, MPOs are responsible for

considering “flexing” funds to meet local planning priorities. In areas with populations

less than 200,000, flexible funding decisions are made jointly by the MPO and the state

DOT, and the state DOT makes the flexible funding decisions in rural areas. Flexible

funding is most commonly used for FHWA’s Surface Transportation Program (STP)

and Congestion Mitigation and Air Quality Improvement (CMAQ) program, and FTA’s

Urbanized Area Formula Funds, though flexing in other programs is possible.
14

PART II: MAJOR POLICY AND PLANNING ISSUES

Although the transportation planning process is concerned primarily with the

issues facing a particular metropolitan area or state, there are many issues

common to all parts of the country. This section addresses these common

transportation topics, and provides details on several important issues facing

MPOs and states engaged in transportation planning.

Each section provides a basic understanding of the topic, discusses the role of

the MPO and state DOT as appropriate, answers questions about how the topic is

addressed in the transportation planning process, and provides resources for

additional information.

Page 15 Air Quality

Page 21 Congestion Management Process (CMP)

Page 23 Financial Planning and Programming

Page 27 Freight Movement

Page 29 Land Use and Transportation

Page 32 Performance Measures

Page 34 Planning and Environment Linkages

Page 39 Public Involvement

Page 42 Safety

Page 44 Security

Page 46 System Management and Operations (M&O)

Page 49 Technology Applications for Planning: Models, GIS, and Visualization

Page 54 Title VI/Environmental Justice (EJ)

Page 57 Transportation Asset Management

The Transportation Planning Process: Key Issues
Air Quality

15

Air Quality

What is the relationship between transportation and air quality?

Usage of the transportation system is an influential factor in a region’s air quality.

Therefore, the estimated emission of pollutants from motor vehicles is a key

consideration in transportation planning. Regions that have nonattainment or

maintenance air quality status are required to ensure that emissions from

transportation investments are consistent, or in conformity with, levels set forth in

state air quality plans. Therefore, state DOTs and MPOs need to have a clear

understanding of the air quality-related transportation planning requirements.

What are the major sources of air pollution?

The air quality of an area is affected by the emission of pollutants and their

interaction with sunlight, topography, and weather patterns. Pollutants are emitted

by motor vehicle operation and a variety of other activities, including

manufacturing, use of petroleum-based products like gasoline, and even small

business activities such as dry cleaning.

Sources of air pollutant emissions can be classified as stationary, area, or mobile

sources, as shown in Figure 3.

Stationary sources include relatively large, fixed facilities such as power plants,

chemical process industries, and petroleum refineries.

Area sources are small, stationary, non-transportation sources that collectively

contribute to air pollution such as dry cleaners, gas stations, landfills, wastewater

treatment plants, and others.

Mobile sources include on-road vehicles such as cars, trucks, and buses; and off-road

sources such as trains, ships, airplanes, boats, lawnmowers, and construction equipment.

The key transportation-related pollutants are ozone and its precursors hydrocarbons

(HC) and nitrogen oxides (NOx), carbon monoxides (CO), and particulates (PM-10

or PM-2.5, particles that are smaller than 10 micros or 2.5 micron, respectively).

These pollutants emanate in part from on-road mobile sources and cannot exceed

certain specified levels in a given region.

The Clean Air Act (CAA), Title 23 and Title 49 U.S.C. requires that transportation

and air quality planning be integrated in areas designated by the U.S. Environmental

Protection Agency (EPA) as air quality nonattainment or maintenance areas. In fact,
The Transportation Planning Process: Key Issues

16

Figure 3:All sources of pollution can be looked at for ways to reduce emissions and improve air quality

in nonattainment and maintenance areas, federal funding and approval for

transportation projects is only available if transportation activities are consistent with

air quality goals through the transportation conformity process. The transportation

conformity process includes a number of requirements that MPOs must meet (see

section below on transportation conformity).

The CAA requires that each state environmental agency develop a plan called a State

Implementation Plan (SIP). The SIP shows how the state will implement measures

designed to improve air quality enough to meet National Ambient Air Quality

Standards (NAAQS) for each type of air pollutant, according to the schedules

Current Future*

125 Tons Stationary Sources 100 Tons

50 Tons Area Sources 30 Tons

150 Tons On-Road Mobile Sources 100 Tons

100 Tons Off-Road Mobile Sources 50 Tons

425 Tons 280 Tons

Total Reduction: 145 Tons

* Emissions reductions targets developed by a state environmental agency

Figure 4: Transportation conformity process
Air Quality

17

included in the CAA. Pollutants are usually measured in parts per million (PPM) of

ambient air, and standards vary by type of pollutant.

For each source category (stationary, area, or mobile), the SIP assigns emission

reduction targets of the pollutant. For on-road mobile sources, the emission

reduction target is further refined into a motor vehicle emissions “budget”—

emissions limits for motor vehicle emissions sources.

Vehicle emissions reductions programs (e.g., the use of reformulated gasoline or

implementation of Inspection and Maintenance [I/M] programs), changing how we

travel (e.g., ride sharing or use of transit), or transportation projects that reduce

congestion (e.g., signal synchronization programs) can all help areas meet emission

reduction targets for on-road mobile sources. MPOs should be actively involved with

the state in setting the motor vehicle emissions budgets. Transportation officials need

to educate themselves about the options and trade-offs available to them, so they can

balance the need for transportation investment with the need to achieve healthful air.

Motor vehicle emissions budgets can be revised. However, doing so requires revising

the SIP, which can be a complicated and lengthy process. MPOs should participate in

the SIP revision process if it is undertaken.

What is the role of the MPO in air quality planning?

“Nonattainment” areas (NAA) are geographic areas that do not meet the federal

air quality standards, and maintenance areas are areas that formerly violated but

currently meet the federal air quality standards. If no violations of air quality

standards have been found, the area is considered to be in compliance or

attainment with federal air quality standards.

An area can be designated “nonattainment” for one pollutant and in attainment

for another. Transportation conformity is required for all ozone, carbon

monoxide, nitrogen dioxide, and particulate matter nonattainment or

maintenance areas.

The Clean Air Act (CAA) of 1990 identifies the actions states and MPOs must

take to reduce emissions from on-road mobile sources in nonattainment or

maintenance areas.

The challenge for MPOs in nonattainment or maintenance areas is to decide on a

mix of transit and highway investments that, combined with measures such as

Inspection and Maintenance (I/M) programs or reformulated gasoline, will keep

emissions within the allowable limits for emissions from motor vehicles.

Inspection and

Maintenance

Programs: State programs

that require vehicles to be

inspected and repaired to

comply with specific Clean Air

Act requirements.

Reformulated

gasoline: Gasoline blended

to burn more completely and

evaporate less easily. Fewer

volatile organic compounds

(VOCs) are released into the

air, thus reducing ozone.
The Transportation Planning Process: Key Issues

18

According to the CAA, transportation plans, TIPs, and projects cannot:

• Create new violations of the National Ambient Air Quality Standards (NAAQS);

• Increase the frequency or severity of existing violations of the standards; or

• Delay attainment of the standards.

MPOs are encouraged to participate in air quality planning and to identify

transportation strategies that will help reduce emissions from on-road mobile

sources of pollution.

Though not required, many MPOs have developed public education and

communications campaigns about the connection between transportation and air

quality; these encourage the public to make travel choices that will benefit air quality.

What is transportation conformity and how does it relate to the NAAQS?

The transportation conformity process, as illustrated in Figure 4, is a way to ensure

that transportation plans and programs meet air quality goals in order to be eligible

for federal funding and approval. Whenever a metropolitan transportation plan or

TIP is amended or updated, the MPO must comply with the conformity requirements.

What is a conformity determination and who is responsible?

Transportation conformity on transportation plans and TIPs is demonstrated when

projected regional emissions for the plan and TIP do not exceed the region’s

motor vehicle emissions budgets. A conformity determination is a finding by the

MPO policy board, and subsequently by FHWA and FTA, that the transportation

plan and TIP meet the conformity requirements. While the MPO is ultimately

responsible for making sure a conformity determination is made, the conformity

process depends on federal, state, and local transportation and air quality agencies

working together to meet the transportation conformity requirements.

If transportation control measures (TCMs) are included in an approved SIP, the

MPO must provide an assurance that TCMs are being implemented on schedule

each time it updates its plan and TIP conformity. Those TCMs must be

programmed for timely implementation in the TIP.

A necessary part of the transportation and air quality planning process is

consulting with other involved agencies on critical issues and providing

opportunities for public participation. MPOs must inform the public that they are

going to make a conformity determination, make all relevant documents

reasonably available, and give adequate time to review the documents and

supporting materials.

Transportation

Control Measures

(TCMs): Transportation

strategies that affect traffic

patterns or reduce vehicle use

to reduce air pollutant

emissions. These may include

high-occupancy vehicle (HOV)

lanes, provision of bicycle

facilities, ridesharing,

telecommuting, etc. Such

actions may be included

in a SIP if needed to

demonstrate attainment of

the NAAQS.
Air Quality

19

What plans, programs, and projects are subject to transportation

conformity requirements?

The MPO’s long-range transportation plan and TIP must meet the conformity

requirements. This includes all projects that are expected to be funded or that will

require an approval by FHWA/FTA at any point during the life of the plan or TIP.

Also, any regionally significant projects (as defined by the conformity rule), even

those that are not federally funded or approved, must be included in the regional

emissions analysis of the transportation plan and TIP. Regionally significant

projects include, at a minimum, all principal arterial highways and all fixedguideway transit facilities.

Finally, certain projects in carbon monoxide and particulates nonattainment and

maintenance areas must be assessed for expected localized concentrations (“hot

spots”) of carbon monoxide and particulates and for comparison to the natural

ambient air quality standards.

How frequently must a transportation conformity determination be made and

what happens if the MPO cannot make a conformity determination on time?

A conformity determination must be made on the transportation plan and TIP at

least once every four years. Each time the MPO updates or amends its

transportation plan or its TIP (except for administrative modifications), a

conformity determination is required. A conformity determination is also required

not more than 24 months after a SIP or a SIP revision is approved or found

adequate by EPA.

What happens if the MPO cannot make a conformity determination on time?

If an MPO cannot make a conformity determination according to applicable

deadlines, it will have a grace period of 12 months after the deadline is missed

before conformity will lapse. During the grace period transportation projects from

the previously conforming plan and TIP may continue to be eligible for funding.

However, no changes may be made to those documents without re-establishing

conformity. If conformity has not been re-established after the 12 month grace

period, the transportation conformity status for the area goes into “lapse.” During

a conformity lapse, FTA and FHWA funds can only be spent on exempt projects,

such as safety projects and certain public transportation projects, TCMs from an

approved SIP, and project phases that were authorized by FHWA and FTA prior to

the lapse.

Regionally significant

projects: Regionally

significant projects serve

regional transportation needs

such as access to and from

the major activity centers in

the region, and would

normally be included in the

modeling of a metropolitan

area’s transportation

network. These projects

include, at a minimum, all

principal arterial highways

and all fixed-guideway transit

facilities.
The Transportation Planning Process: Key Issues

20

What funding is available for air quality improvement programs and projects?

Many types of federal-aid funding may be used to improve air quality. One type of

funding, the Congestion Mitigation and Air Quality Improvement(CMAQ)

program funds, are designated specifically for this purpose. Under the CMAQ

program, state DOTs receive funding based on the severity of pollution and their

population in ozone and carbon monoxide nonattainment or maintenance areas

though all states receive some funding. State DOTs and MPOs can use CMAQ

funds for transportation projects that reduce emissions in nonattainment and

maintenance areas.

What types of projects are funded by the CMAQ program?

CMAQ programs fund transportation projects that reduce emissions of ozone

precursors, carbon monoxide, and particulate matter. Many projects also help to

reduce congestion, which is another key goal of the program. Typical projects

include support for transit, traffic flow improvements (including high-occupancy

vehicle [HOV] lanes, intelligent transportation systems [ITS], and signal timing),

shared ride and carpooling services, and diesel engine retrofits.

Who decides which projects receive CMAQ funding?

Decisions must be coordinated through the MPO planning process, and are made

collaboratively by the state DOT and MPO subject to federal eligibility guidelines.

These guidelines are quite flexible, in order to promote innovation.

Additional sources of information:

For basic information about transportation conformity,

see www.fhwa.dot.gov/environment/conform.htm

For FHWA’s Transportation Conformity Reference Guide,

see www.fhwa.dot.gov/environment/conformity

For a basic explanation of CMAQ, policy guidance, and brochures about the

CMAQ program, see www.fhwa.dot.gov/environment/cmaqpgs

For consumer-oriented tips from the U.S. Department of Energy on energy

efficiency and renewable energy, see www.eere.energy.gov/cleancities

Conformity in

Non-Metropolitan

Areas: A number of

non-metropolitan areas are

also being included in the

urban area designation

or being designated by

themselves. Generally, MPOs

and the state DOT work

cooperatively on the regional

emissions analysis in areas

that are included in an urban

area designation. Isolated

rural areas often lack

professional air quality and

transportation planning staff

and may rely on the expertise

of state DOT staff in

addressing conformity issues.
Congestion Management Process (CMP)

21

Congestion Management Process (CMP)

What is the CMP?

The congestion management process (CMP) is a way of systematically considering

congestion-related issues using a set of technical tools, and basing evaluations on a

discrete set of locally determined performance measures. A CMP provides for the

systematic review of performance of multimodal transportation systems in larger

metropolitan areas and identification of strategies to address congestion through the

use of “management” strategies focused on both the use and operation of facilities

and services.

What are the requirements for the CMP?

A CMP is required in metropolitan areas with a population greater than 200,000, or

Transportation Management Areas (TMAs), as well as in urbanized areas that have

requested designation as a TMA. The CMP is intended to address congestion through

a process that provides for effective management and operations (M&O), based on

cooperatively developed travel demand reduction and operational management

strategies. Even if a metropolitan area is not a TMA or in nonattainment status, the CMP

represents good practice in monitoring, assessing, and resolving congestion issues in

any MPO. The CMP establishes a rigorous method of identifying and evaluating

transportation improvement strategies, including both operations and capital projects.

How is the CMP valuable to the MPO?

A well-designed CMP should help the MPO to:

• Develop alternative strategies to mitigate congestion;

• Determine the cause of congestion;

• Identify congested locations;

• Evaluate the potential of different strategies;

• Evaluate the impacts of previously implemented strategies; and

• Propose alternative strategies that best address the causes and impacts

of congestion.

Benefits of the CMP

The congestion management process helps MPOs and partner agencies achieve

regional operations performance objectives, and can deliver a number of collateral
The Transportation Planning Process: Key Issues

22

benefits as well. By addressing congestion through a comprehensive process, the CMP

provides a framework for responding to congestion and other operational issues in a

consistent, coordinated fashion.

The CMP enables MPOs and their operating agency partners to measure performance, manage data, and analyze alternative strategies in a systematic manner. The

CMP also enables MPOs to base congestion management strategies on defined objectives; this process allows regions to focus on the most congested areas and achieve

maximum benefit by targeting their investments.

How does Transportation Demand Management (TDM) relate to the CMP?

Transportation Demand Management (TDM) is any action or set of actions designed

to influence the intensity, timing, and distribution of transportation demand, in order

to reduce traffic congestion or enhance mobility. Such actions can include offering

commuters alternative transportation modes or services, providing incentives to travel

on these modes or at non-congested hours, providing opportunities to link or “chain”

trips together, and incorporating growth management or traffic impact policies into

local development decisions.

TDM strategies are part of the toolbox of actions available to transportation planners

for solving transportation problems. As part of the congestion management process,

TDM actions are among the strategies that can reduce congestion or enhance mobility.

Additional sources of information:

For more on the relationship between the congestion management process and

planning, see http://plan4operations.dot.gov/congestion.htm
Financial Planning and Programming

23

Financial Planning and Programming

What are the sources of transportation funds?

Transportation funds are generated from a number of sources, including income tax,

sales tax, tolls, bonds, and state, local, and federal excise taxes on various fuels, state

infrastructure banks (SIBs), and credit assistance sources. Each state decides which

mix of funds is best suited to carry out particular projects.

Federal funds are authorized by Congress for the U.S. Department of Transportation (DOT), which allocates funds into various programs before redirecting those

funds to the states. Some primary examples of these programs include the Surface

Transportation Program (STP) (which includes enhancement and safety funds),

the Federal Lands Highway Program and the Congestion Mitigation and Air

Quality Improvement (CMAQ) Program. FTA oversees the allocation of federal

transit funds, which generally fall into two major categories: capital grants for

transit operators that are apportioned to areas by national formula, and transit capital investment grants that are awarded on a “discretionary” basis, as determined by

DOT on the basis of a series of evaluation criteria. Each of these programs has specific eligibility requirements, although there is quite a bit of flexibility in legislation

that allows funds to be shifted among some programs, or expands eligibility

requirements (see Part I for more information).

Federal legislation also provides formula funds to support planning studies and report

preparation for the transportation planning process through FHWA’s State Planning

and Research Funds (SPR) and Metropolitan Planning Funds (PL), and through

FTA’s Section 5305. These planning funds generally make up a large portion of the

state or MPO budget for conducting necessary studies and for developing transportation plans, STIPs, TIPs and other planning documents.

What is financial planning?

Financial planning takes a long-range look at how transportation investments are

funded, and at the possible sources of funds. State DOTs, MPOs, and public transportation operators must consider funding needs over both the 20-year period of the

long-range transportation plan and the 4-year period of TIPs and STIPs. In the LRSTP

and the MTP, state DOTs may and MPOs must develop a financial plan that identifies

funding sources for needed investments, and demonstrates the reasonably reliable

means to maintain and operate the existing federally funded transportation system.
The Transportation Planning Process: Key Issues

24

What is financial programming?

Financial programming is different from financial planning because programming

involves identifying fund sources and implementation timing for specific projects in

the Statewide Transportation Improvement Program (STIP) and metropolitan Transportation Improvement Program (TIP), which must cover a period of at least four

years and be updated at least every four years. Programming also includes notifying

FHWA and FTA of the sources of the funds that will likely be used to support each

individual transportation project.

How does financial planning support preparation of transportation plans?

The metropolitan transportation plan, which has a 20-year planning horizon, must

include a financial plan that estimates how much funding will be needed to implement recommended improvements, as well as operate and maintain the system as a

whole, over the life of the plan. This includes information on how the MPO reasonably expects to fund the projects included in the plan, including anticipated revenues

from FHWA and FTA, state government, regional or local sources, the private sector,

and user charges. The metropolitan transportation plan must demonstrate that there

is a balance between the expected revenue sources for transportation investments and

the estimated costs of the projects and programs described in the plan. In other

words, a metropolitan plan must be fiscally (or financially) constrained.

The long-range statewide plan, under federal requirements, may be a “strategic plan

that may or may not contain a listing of recommended projects”; a financial plan is

optional. The long-range statewide transportation plan may include some or all of the

financial elements commonly found in a typical metropolitan transportation financial

plan (as the state DOT finds appropriate or necessary.) It does not need to demonstrate fiscal constraint.

How do state DOTs, MPOs and public transportation operators know how

much money is going to be available?

Federal surface transportation legislation requires that the MPO, the state DOT, and

the public transit agency cooperatively develop revenue forecasts. These forecasts

help agencies determine how much funding is likely to be available for transportation

projects in their respective areas. Forecasts are based on trends from existing and

potential funding sources such as the gas tax or bond measures.

A financial plan could assume that the amount of available federal funding will

remain constant over the first five years of the plan, and then escalate at a rate equal

to inflation or the Consumer Price Index (CPI). It could also assume that state

gasoline taxes dedicated to transportation will be increased every five years by a

certain amount based on past trends. Further, the transportation plan might assume

“Fiscal Contraint:

A demonstration of sufficient

funds (federal, state, local,

and private) to implement

proposed transportation

system improvements, as well

as to operate and maintain

the entire system, through the

comparison of revenues and

costs.” Source: Overview Of

Current Practices In Revenue

Forecasting And Cost

Estimation For Transportation

Plans And Programs.

Proposed funding

sources must be

“reasonably” expected to

be available. For example, if

voters approved a sales tax

increase three times in a

row, anticipated funding

from a future vote may

be reasonable.
Financial Planning and Programming

25

a new revenue source, such as a local sales tax within an MPO region; in such a case,

the MPO must demonstrate that there is reason to believe such a new source will be

available, and should identify strategies it can use to help achieve that goal.

Regardless of how financial assumptions and forecasts are developed, all forecasts in

the financial plan must be shown in “year of expenditure” dollars based on reasonable

inflation factors. In addition, the outer years of the financial plan may consist of

ranges for both revenues and total project costs. As always, the high and low end of

the ranges must be based on reasonable assumptions.

How are funds programmed?

Each state must submit a STIP to FHWA and FTA for review and approval at least

every four years for review and approval. The STIP includes all the projects planned

for implementation with the funds expected from FHWA and FTA for a four-year

period, as well as all regionally significant projects which require action by FHWA or

FTA or that are located in a nonattainment or maintenance area, regardless of the

funding source. The STIP also includes each MPO’s TIP, and all of the projects

included in the first four years of that TIP. Both the STIP and the TIP must be fiscally

constrained.

Programming a project for funding in the STIP

• Through an established process, the state solicits or identifies projects from

rural, small urban, and urbanized areas of the state.

• The state selects projects for inclusion in the STIP based on adopted

procedures and criteria.

• The STIP must be fiscally constrained; however, a financial plan is optional.

• The FHWA/FTA must approve the STIP before STIP projects can proceed to

implementation.

• Amendments to the TIP can be common given the frequent changes in

engineering practices, environmental issues, contracting issues, project readiness,

and other factors that can require adjustments to project schedules and budgets.

Additional sources of information:

For a handy overview of the FHWA’s activities, including a guide to the agency’s

programs, core business units, and service business units,

see www.fhwa.dot.gov/programs.html

Amendments and

Administrative

Modifications:

There are many factors that

can require adjustments in

transportation project

schedules and budgets, such

as changes in engineering

practices, environmental

issues, contracting issues,

and project readiness. Thus,

it is common to make

revisions to the STIP or TIP;

these revisions can include

amendments or administrative modifications.

If an MPO wants to amend a

project in its TIP, this will also

necessitate amendment of

the STIP. A major revision is

an “amendment,” while a

minor revision is an

“administrative modification.”

Amendments require public

review and comment,

demonstration of fiscal

constraint (except for

long-range statewide

transportation plans), and a

conformity determination (for

metropolitan transportation

plans and TIPs in nonattainment and maintenance

areas).” Administrative

modifications allow minor

changes without such actions.
The Transportation Planning Process: Key Issues

26

For useful links and information about all of FTA’s funding programs and activities,

see www.fta.dot.gov/funding

For a complete list of federally aided transportation programs,

see www.fhwa.dot.gov/federalaid/projects.cfm

For a complete list of FHWA discretionary programs,

see www.fhwa.dot.gov/discretionary/proginfo.cfm

For FHWA and FTA flexible funding guidance,

see www.fhwa.dot.gov/hep/flexfund.htm
Freight Movement

27

Freight Movement

What is the role of freight movement in transportation?

The movement of freight is an important part of a fully functioning transportation

system. The efficient movement of freight within and through a region is critically

important to industry, retail, agriculture, international trade, and terminal operators.

Metropolitan areas (especially ports), with their air cargo airports, intermodal freight

yards, large trucking terminals, and shipyards, are especially affected by freight

movement issues.

Examples of intermodal freight projects include bridge replacements, road widening,

port and rail access improvements, terminal facility enhancements, grade separations

for highway and rail, and providing connections to air cargo and new infrastructure.

What is the role of the MPO and the state DOT in freight transportation planning?

The state DOT and the MPO are responsible for making sure that freight movement is

considered in the transportation planning process. Federal legislation calls for the

statewide and metropolitan planning processes to include reasonable opportunity for

the public and interested parties, including specifically “freight shippers” and

“providers of freight transportation services,” to participate in the development of plans

and programs.

Many state DOTs and MPOs have systematically incorporated freight movement issues

into their planning activities, for example by:

• Defining those elements of a metropolitan area’s transportation system that are

critical for efficient movement of freight.

• Identifying ways to measure system performance in terms of freight movement.

• Developing freight-oriented data collection and modeling to identify problems

and potential solutions.

• Creating freight movement advisory committees to identify important

bottlenecks in the freight network.

What funding is available for freight planning and project implementation?

State DOTs and MPOs can use planning funds for freight planning, and can dedicate

funds for specific project implementation. Funding of specific freight projects must
The Transportation Planning Process: Key Issues

28

meet federal eligibility requirements for the specific funding source used. Projects that

provide improved access to terminals or ports can be included in the federally funded

transportation improvement program.

In those cases where freight investment projects can directly bring about reductions in

pollutant emissions, Congestion Mitigation and Air Quality Improvement (CMAQ)

program funds can also be used to support those projects.

What are some freight-transport tactics that transportation decisionmakers

might consider?

• Truck restrictions (such as peak period bans, route diversions, noise ordinances,

and hazardous materials route restrictions)

• Road design and construction (such as improved entry/exit ramps and merges,

and capacity or safety improvements)

• Road pricing (such as peak period permits, freeway permits, and peak period tolls)

• Fleet management (such as automatic vehicle location/routing, voluntary offpeak operations, and driver training and management)

• Traffic engineering (such as lane design restrictions, wider lanes, variable

message signs, and speed restrictions)

• Shipper/receiver actions (such as voluntary and mandatory off-peak operations)

• Incident management (such as automated detection and site and area

surveillance/communications)

• Inspection/enforcement (such as automated surveillance, urban truck

inspections/enforcement)

• Information management (such as highway advisory radio, traffic information)

Additional sources of information:

For FHWA’s guide to freight planning, including guidelines, case studies,

and a manual, see www.fhwa.dot.gov/freightplanning

For a guide to financing freight transportation improvements,

see www.ops.fhwa.dot.gov/freight/freight_analysis/financing.htm
Land Use and Transportation

29

Land Use and Transportation

What is the relationship between land use and transportation?

Transportation’s purpose is moving people and goods from one place to another, but

transportation systems also affect community character, the natural and human

environment, and economic development patterns. A transportation system can

improve the economy, shape development patterns, and influence quality of life and

the natural environment.

Land use and transportation are symbiotic: development density and location influence

regional travel patterns, and, in turn, the degree of access provided by the

transportation system can influence land use and development trends. Urban or

community design can facilitate alternative travel modes. For example, a connected

system of streets with higher residential densities and a mix of land uses can facilitate

travel by foot, bicycle, and public transportation, in addition to automobile. Conversely,

dispersed land development patterns may facilitate vehicular travel and reduce the

viability of other travel modes.

What is the role of the state DOT and the MPO in land use and transportation?

The state DOT and MPO role and level of involvement in land use decisionmaking

varies according to state and local legislation and policies. However, state DOTs and

MPOs are responsible for consultation with state and local agencies responsible for land

use management; comparing transportation planning efforts with land use plans, maps

and inventories; and using current land use estimates and assumptions when updating

planning products.

The metropolitan and statewide transportation planning processes are designed to

promote consistency between transportation improvements and state and local planned

growth and economic development patterns.

What are the requirements for considering land use and economic

development in the transportation planning process?

Updates to long-range statewide and metropolitan transportation plans must be

reviewed for validity and consistency with current and forecasted transportation and

land use conditions and trends. The transportation plan updates should be based on

the latest available estimates and assumptions for population, land use and development, travel, employment, congestion, and economic activity. And, to promote the

highest level of consistency between land use and transportation plans, it is advisable

for the planning staff responsible for that planning to hold meetings and share information on a continuing basis.
The Transportation Planning Process: Key Issues

30

Activities intended to stimulate economic development can affect the transportation

network, and, in turn, the transportation network can affect economic development.

Transportation decisionmakers can ensure the continued economic vitality of the

region, state, and nation by appropriately planning for the many different uses of the

transportation system, such as freight movement.

Policymakers should ask what effects proposed investments would have on economic

development and on future transportation needs:

• Can the transportation system accommodate the increased growth that

proposed development might bring?

• How can transportation funding support economic growth while balancing

other transportation priorities?

What are some innovative approaches for better integrating

land use and transportation?

Increasing recognition of the importance of integrating land use and transportation

has led to the development of new approaches in planning. Two of the many possibilities

include context sensitive solutions (CSS) and Transit-Oriented Development (TOD).

What are context sensitive solutions (CSS)?

CSS is an approach that considers the total context within which a transportation

improvement project will exist. A CSS approach requires that transportation planning

take a broad view and consider the interactions between transportation systems and

facilities, and tailor them to local area human and natural environments. The goal is

to develop solutions that are acceptable to a variety of parties, relevant to their needs

and perspectives—consistent with the “context” of the setting. CSS is a collaborative,

interdisciplinary approach that involves all stakeholders to develop a transportation

facility that fits its physical setting and preserves scenic, aesthetic, historic, and environmental resources, while maintaining safety and mobility.

What are Transit-Oriented Development and joint development?

Transit-Oriented Development (TOD) is defined as compact, mixed-use development

near transit facilities and high-quality walking environments, typically leveraging

transit infrastructure to promote economic development. By enhancing the attractiveness of transportation alternatives, TOD boosts transit ridership and reduces traffic

congestion, while creating a sense of community and place.

Joint Development is a project-specific application of TOD, taking place on, above, or

adjacent to transit agency property. It involves the common use of property for transit

and non-transit, typically private sector commercial, purposes. Typical joint develop-
Land Use and Transportation

31

ment arrangements are ground leases and operation-cost sharing, usually occurring at

transit stations or terminals surrounded by a mix of office, commercial, and institutional land uses. To be eligible for federal funding, joint development projects must

be related physically or functionally to public transportation, and must dedicate a fair

share of the commercially derived revenue for public transportation.

Both TOD and joint development projects may be planned, designed, and implemented by local government, transit operators, Metropolitan Planning Organizations,

and states.

What is the role of the MPO in Transit-Oriented Development

and joint development?

All joint development and transit-oriented development projects with components

involving federal funds must have those components approved by the MPO for inclusion in the metropolitan transportation plan and the fiscally constrained TIP and

STIP. MPOs can play lead roles in developing and promoting transit-supportive land

use policies, as well as disseminating information on these policies to the public and

private sector. In addition, a growing number of MPOs have a TOD expert on staff

and have policies and programs that support these projects.

Additional sources of information:

For FHWA’s Planning Tools for Linking Land Use and Transportation,

see www.fhwa.dot.gov/planning/ppasg.htm

“Transit-Oriented Development: State of the Practice, and Future Benefits; TransitOriented Development in the United States: Experiences, Challenges, and Prospects”

provides a comprehensive assessment of the state of the practice and the benefits of

transit-oriented development (TOD) and joint development throughout the United

States. TCRP H-27 TRB’s Transit Cooperative Research Program (TCRP) Report 102

see onlinepubs.trb.org/onlinepubs/tcrp/tcrp_rpt_102.pdf

For FTA’s overview of the TCRP study, “Transit-Oriented Development: State of the

Practice, and Future Benefits; Transit-Oriented Development in the United States:

Experiences, Challenges, and Prospects,”

see www.fta.dot.gov/planning/programs/planning_environment_6932.html

For “lessons learned” and successful practices in Transit-oriented Development,

see www.fta.dot.gov/documents/TOD_Lessons_Learned_12_21.pdf

For information on how FTA grantees may use FTA financial assistance for joint

development activities that incorporate private investment or enhance economic

development, see www.fta.dot.gov/planning/programs/planning_environment_6935.html
The Transportation Planning Process: Key Issues

32

Performance Measures

What are performance measures?

Performance measures demonstrate how well the transportation system is doing its job

of meeting public goals and expectations of the transportation network. Some methods

used to measure performance include tracking average speeds and crash rates. Many

states and metropolitan areas monitor how close they are to achieving specific goals,

such as accessibility to key regional population, employment, cultural, and recreational

centers, the mobility of disadvantaged populations, levels of air quality, and the health

of the economy, by using performance measures.

Measuring performance is a way to gauge the impacts of the decisionmaking process on

the transportation system. Performance measures aim to answer questions about

whether the performance of the transportation system (or economy, air quality, etc.) is

getting better or worse over time; and whether transportation investments are

correlated or linked to stated goals and outcomes.

Examples of performance measures include:

• Accessibility: Percent population within “x” minutes of “y” percent of

employment sites; whether special populations such as the elderly are able to use

transportation; whether transportation services provide access for underserved

populations to employment sites; also, whether services are ADA compliant.

• Mobility: Average travel time from origin to destination; change in average

travel time for specific origin-destination points; average trip length;

percentage of trips per mode (known as mode split); time lost to congestion;

transfer time between modes; percent on-time transit performance.

• Economic development: Jobs created and new housing starts in an area as a

result of new transportation facilities; new businesses opening along major

routes; percent of region’s unemployed who cite lack of transportation as

principal barrier to employment; economic cost of time lost to congestion.

• Quality of life: Environmental and resource consumption; tons of pollution

generated; fuel consumption per vehicle mile traveled; decrease in wetlands;

changes in air quality, land use, etc.

• Safety: Number of crash incidents or economic costs of crashes.
Performance Measures

33

What is the role of the state DOT and MPO in defining and using

performance measures?

Through the statewide and metropolitan transportation planning process, the state

DOT and the MPO, respectively, can each take a leadership role in creating

performance measures that provide information critical to regional and local

decisionmakers. This can begin through interaction with stakeholders and the public

for the purpose of identifying vision(s) of the community for its future, followed by

translation of those visions into goals and measurable objectives. Then, performance

measures are developed to use in tracking progress toward attainment of those goals.

Because performance measures strongly influence the goals and objectives of the

planning process, their development and ongoing support can become part of ongoing

planning activities. Development of transportation system performance measures

should be coordinated with and informed by the public involvement program.

Additional sources of information:

For A Guidebook for Performance-Based Transportation Planning, NCHRP Report 446.

Transportation Research Board: Washington, D.C., 2000

see www.trb.org/TRBNet/ProjectDisplay.asp?ProjectID=901

For Transportation Research Board’s Conference Proceedings #36, Performance Measures to

Improve Transportation Systems, 2004

see onlinepubs.trb.org/onlinepubs/conf/CP36.pdf

For Transportation Research Board’s Transportation Research Circular E-C073 –

Performance Measure to Improve Transportation Planning Practice, 2005

see onlinepubs.trb.org/onlinepubs/circulars/ec073.pdf
The Transportation Planning Process: Key Issues

34

Planning and Environment Linkages

Why link transportation planning to environmental processes?

State and local agencies can achieve significant benefits by incorporating environmental

and community values into transportation decisions early in planning and carrying

these considerations through project development and delivery. Benefits include:

• Relationship-building: By enhancing inter-agency participation and coordination

efforts and procedures, transportation planning agencies can establish more

positive working relationships with resource agencies and the public.

• Process efficiencies: Improvements to inter-agency relationships may help to

resolve differences on key issues as transportation programs and projects move

from planning to design and implementation. Conducting some analysis at the

planning stage can reduce duplication of work, leading to reductions in costs

and time requirements, thus moving through the project development process

faster and with fewer issues.

• On-the-ground outcomes: When transportation agencies conduct planning

activities equipped with information about resource considerations and in

coordination with resource agencies and the public, they are better able to

Figure 5: Planning and environmental linkages in decisionmaking processes are depicted by the arrows

showing the relationship between transportation planning and environment planning, as well as the

relationship between systems planning and project level decisions.
Planning and Environment Linkages

35

conceive transportation programs and projects that effectively serve the

community’s transportation needs. This can reduce negative impacts, and

incorporates more effective environmental stewardship.

The first type concerns comparing transportation plans with natural and cultural

resource information. For these comparisons, state DOTs and MPOs are to consult

with state and local agencies responsible for land use management, natural resources,

environmental protection, conservation, and historic preservation. In addition, state

DOTs must consult with tribal agencies. Consultations are to consist of the following,

as appropriate:

• Comparison of transportation plans with state conservation plans or maps, if

available; and

• Comparison of transportation plans to inventories of natural or historic

resources, if available.

The second type of required consultation concerns mitigation activities. Federal law

mandates that long-range transportation plans must include a discussion of types of

potential environmental mitigation activities and potential areas to carry out these

activities, including activities that may have the greatest potential to restore and

maintain the environmental functions affected by the plan. This discussion is to be

developed in consultation with federal, state, and tribal wildlife, land management,

and regulatory agencies.

Sustainability and Transportation:

The concept of sustainability is accommodating the needs of the present population without

compromising the ability of future generations to meet their own needs. As applied to the

transportation sector, planning for sustainability can incorporate a variety of strategies to

conserve natural resources (including use of clean fuels), encourage modes other than singleoccupant vehicles, and promote travel reduction strategies.

Current trends in transportation contribute to unsustainable conditions, including greenhouse

gas emissions, energy insecurity, congestion, and ecological impacts. Although widespread

uncertainty exists about how to address the goal of a sustainable transportation system,

transportation officials and stakeholders are now recognizing that their decisions have longterm implications and impacts and are working on how to prepare metropolitan and statewide

transportation plans and programs accordingly. Attaining a sustainable transportation system

will require action by the public sector, private companies, and individual citizens.
The Transportation Planning Process: Key Issues

36

How is NEPA related to the transportation planning process?

The NEPA process is designed to promote environmentally sound transportation

decisions and cannot be used as a justification for decisions already made. Therefore, a

coordinated approach between planning and project development contributes to the

selection of transportation investments that reflect community needs, have benefited

from an active public involvement process and are sensitive to the environment. The

first stages of the NEPA process—development of project purpose and need—should

build upon the transportation needs identified during planning and will be the basis for

the final selection of an alternative for design and construction.

Another direct link between NEPA and transportation planning is the requirement that

a project be included in a conforming plan and TIP before it can be advanced; a major

change in the project scope and design as it evolves during the NEPA process triggers a

conformity and plan reassessment. In addition, other information gathered during the

planning process can inform the project development studies required under NEPA.

Data collection related to environmental features, analysis of projected transportation

system usage, and attendant impacts on environmental quality can provide important

information to the NEPA process.

How are transportation planning studies integrated into environmental and

NEPA analysis?

FHWA and FTA must be able to stand behind the overall soundness and credibility of

analysis conducted and decisions made during the transportation planning process if

these decisions are incorporated into a NEPA document, directly or by reference.

Transportation planning processes and their products are greatly improved when

implemented through a comprehensive, cooperative, and continuous approach — the

“3-C planning principles.” The results of transportation studies or planning results

should be: based on transportation planning factors established by federal law; reflected

by a credible and clearly articulated planning rationale; founded in reliable data; and

developed through planning processes that meet FHWA and FTA statutory and

regulatory requirements.

At a minimum, a robust scoping and early coordination process (which explains to

federal and state environmental, regulatory, and resource agencies and the public the

information and analysis used to develop the planning products, how the purpose and

need was developed and refined, and how the design concept and scope were

determined) plays a critical role in leading to informed transportation decisions by

FHWA and FTA on the suitability of transportation planning information, analysis,

documents, and decisions for use in the NEPA process. Planning analysis needs to be

up-to-date and should adequately support improvements in statewide and/or

metropolitan long-range plans. Results from the planning process must be documented

in a form that can be appended to the NEPA document or incorporated by reference to
Planning and Environment Linkages

37

materials that are readily available, and a clear connection between the decisions made

in planning and those to be made during NEPA and project development must be

explained to the public and other participants involved in scoping.

What is NEPA and how does it apply to the transportation project

development process?

The National Environmental PolicyAct of 1969 (NEPA) established a national policy to promote

the protection of the environment in the actions and programs of federal agencies.

The FHWA and FTA act as lead federal agencies, and are responsible for implementing the NEPA

process and working with state and local project sponsors during transportation project

development. The FHWA and FTA NEPA process is designed to assist transportation officials in

making project decisions that balance engineering and transportation needs with the

consideration of social, economic, and environmental factors. This process allows for

involvement and input from the public, interest groups, resource agencies, and local

governments. The FHWA and FTA NEPA process is used as an “umbrella” for compliance with

over 40 environmental laws, regulations, and executive orders and provides an integrated

approach to addressing impacts to the human and natural environment from transportation

projects.

What NEPA documentation is required?

A good decision based on an understanding of environmental impacts is the objective of the

NEPA process and a thorough analysis of these impacts as presented in the NEPA document is

essential in meeting that objective. NEPA documentation serves several purposes: to disclose

the analysis of benefits and impacts to the human and natural environment; to get input from

the public and other stakeholders on the proposed project and the environmental

consequences; and to inform the final decision.

Different types of transportation projects will have varying degrees of complexity and

potential to affect the environment. Under NEPA, the required environmental document

depends on the degree of impact. FHWA and FTA, in coordination with the project sponsor,

prepare one or more of the following documents for a proposed project:

• Notice of Intent (NOI) – a notice that an environmental impact statement (EIS) will be

prepared and considered.

• Categorical Exclusions (CE) – apply to projects that do not have a significant impact on

the human and natural environment.

• Environmental Assessment (EA) – prepared for projects where it is not clearly known if

there will be significant environmental impacts. If the analysis in the EA indicates the

proposed project will have significant environmental impacts, an EIS is prepared.

• Finding of No Significant Impact (FONSI) – if there is not a significant impact, this

conclusion is documented in a separate decision document, the FONSI.
The Transportation Planning Process: Key Issues

38

• Environmental Impact Statement (EIS) – prepared for projects that have a significant

impact on the human and natural environment. Draft EIS (DEIS) and Final EIS (FEIS)

documents, with input from the public, provide a full description of the proposed project,

the existing environment, and the analysis of the beneficial and adverse impacts of all

reasonable alternatives.

• Record of Decision (ROD) – presents the selected transportation decision analyzed in an

EIS, the basis for that decision, and the environmental commitments, if any, to mitigate

project impacts to the human and natural environment.

Regardless of the type of NEPA document prepared, final selection or approval of a proposed

project alternative by FHWA and FTA allows the project to be eligible for federal funding of

subsequent project activities such as final design, right-of-way acquisition, and construction.

Additional sources of information:

FHWA’s website on Planning and Environment Linkages offers a wealth of

information developed and compiled by the FHWA and its partners to assist in

strengthening planning and environment linkages.

See www.environment.fhwa.dot.gov/integ/index.asp#benefits

NEPA is dedicated to the open exchange of knowledge, information, and ideas

concerning NEPA and other environmental issues. The site allows anyone interested

in NEPA and related topics to contribute thoughts and ideas in an open forum.

See nepa.fhwa.dot.gov/ReNepa/ReNepa.nsf/home

The FHWA provides information on environmental streamlining — the term for a

new cooperative approach to implementing transportation projects that brings

together timely delivery and the protection and enhancement of the environment. It

was first enacted into legislation for highway and transit projects with the

Transportation Equity Act for the 21st Century (TEA-21).

See www.environment.fhwa.dot.gov/strmlng

The FTA provides links to laws, regulations, and guidance affecting environmental

analysis and review of public transportation projects.

See www.fta.dot.gov/planning/planning_environment_5222.html
Public Involvement

39

Public Involvement

What is the role of public involvement in developing transportation policies,

programs, and projects?

Public involvement is integral to good transportation planning. Without meaningful

public participation, there is a risk of making poor decisions, or decisions that have

unintended negative consequences. With it, it is possible to make a lasting

contribution to an area’s quality of life. Public involvement is more than an agency

requirement and more than a means of fulfilling a statutory obligation. Meaningful

public participation is central to good decisionmaking.

The fundamental objective of public involvement programs is to ensure that the

concerns and issues of everyone with a stake in transportation decisions are identified

and addressed in the development of the policies, programs, and projects being

proposed in their communities.

Who is the public?

The public includes anyone who resides, has an interest in, or does business in a given

area potentially affected by transportation decisions. This includes both individuals and

organized groups. It is also important to provide opportunities for the participation of all

private and public providers of transportation services, including, but not limited to, the

trucking and rail freight industries, rail passenger industry, taxicab operators, and all

transit and paratransit service operators. Finally, those persons traditionally underserved

by existing transportation systems, such as low-income or minority households (see

section on Title VI/Environmental Justice) and the elderly, should be encouraged to

participate in the transportation decisionmaking process.

Federal, state, and local agencies with an interest in transportation issues play a

particularly important role in the development of transportation projects. Many of

those agencies have a statutory responsibility to review environmental documents or

issue permits for transportation projects. FHWA and FTA encourage MPOs and state

DOTs to aggressively pursue improved communication and collaboration with these

partners, beginning early in the transportation planning process, to identify and

address their concerns.

What is the role of the MPO in implementing public involvement processes?

The MPO is responsible for actively involving all affected parties in an open,

cooperative, and collaborative process that provides meaningful opportunities to

influence transportation decisions. Transportation has a profound influence on the

Paratransit:

A variety of smaller, often

flexibly scheduled and routed

transportation services using

low-capacity vehicles, such as

vans, which operate within

normal urban transit corridors

or rural areas. These services

usually serve the needs of

people that standard mass

transit services would serve

with difficulty, or not at all.

Often, the patrons include

the elderly and people

with disabilities.
The Transportation Planning Process: Key Issues

40

lives of people. Decisionmakers must consider fully the social, economic, and

environmental consequences of their actions, and assure the public that

transportation programs support adopted land use plans and community values.

MPOs must develop and document, in consultation with interested parties, a

participation plan that details strategies for incorporating visualization techniques,

using electronic media, holding public meetings, and responding to public input,

among other things.

What is the role of the state Department of Transportation in the public

participation process?

Similar to the role of MPOs in metropolitan areas, the state must have a documented

process for engaging the public with the transportation planning process outside of

metropolitan areas. The state DOT also should coordinate with MPOs for state

projects within metropolitan areas.

What are the indicators of an effective public participation process?

A well-informed public can contribute meaningful input to transportation decisions

through a broad array of involvement opportunities at all stages of decisionmaking.

Useful elements in planning for effective public involvement are:

• Clearly defined purpose and objectives for initiating a public dialogue on

transportation issues;

• Specific identification of the affected public and other stakeholder groups with

respect to the plans and programs under development;

• Identification of techniques for engaging the public in the process;

• Notification procedures that effectively target affected groups;

• Methods and measures for evaluating the effectiveness of the public

involvement program;

• Education and assistance techniques, which result in an accurate and full

public understanding of transportation issues;

• Follow-through by the MPO demonstrating that decisionmakers seriously

considered public input; and

• Solicitation of feedback from the public and stakeholders on the effectiveness

of the public involvement process.
Public Involvement

41

Additional sources of information:

The FHWA explores many transportation issues of great concern to the public, and

provides more information to MPOs seeking guidance on involving the public.

See www.fhwa.dot.gov/environment/pubinv2.htm

Public Involvement Techniques for Transportation Decision-making, FHWA and FTA, 1996,

Publication No. FHWA-PD-96-031.

The FTA funds innovative demonstration projects through its Public

Transportation Participation Pilot (PTP) Program.

See www.fta.dot.gov/planning/programs/planning_environment_5925.html

For the Transportation Research Board’s Public Involvement Committee

website, see www.trbpi.com

For more TPCB Technical Public Involvement Resources,

see www.planning.dot.gov/technical.asp#pub

For TPCB Peer program reports on current practices and issues in public

involvement, see www.planning.dot.gov/peer.asp#pi
The Transportation Planning Process: Key Issues

42

Safety

What makes safety an important factor in transportation planning?

Over the past three decades, transportation fatality rates have declined in relationship

to system usage, due in large part to safer cars, tougher police enforcement, and

increasing use of seat belts, air bags, and child safety seats. However, in many accident

categories, the actual number of crashes has increased because more people are using

the transportation system. In addition, there are large economic costs associated with

crashes, incurred both by those involved and by other travelers affected by the traffic

delay caused by crashes. Maintaining high performance in transportation safety

requires seamless coordination of activities and funding among multiple partners and

a transportation planning process that can coordinate and direct funding toward the

highest safety priorities.

What are the roles of the MPO and state DOT in transportation safety?

Transportation planning takes safety considerations into account by identifying the

most effective strategies for reducing crashes. This identification process may include

analyzing crash data to determine the emphasis to be given to critical focus areas.

Several types of focus areas have been identified, known as the ‘four Es’ of

transportation safety: engineering, enforcement, education, and emergency services.

The crash data might help identify which focus areas should receive funding priority

for improving safety in the region. Crash data can also identify high-accident locations

to be given high priority for improvements. Many MPOs also participate in safety

campaigns that educate the public on good safety practices.

Another key role of MPO and state DOT planners is to coordinate any planned safetyrelated transportation improvements with their safety partners, including those

responsible for the state’s Strategic Highway Safety Plan, the state Governor’s Office of

Highway Safety, law enforcement agencies, and emergency service providers. Input

from these partners can improve the safety elements of planning processes and

ensure strong collaboration.

Finally, many state DOTs and local transportation agencies have developed safety

management systems that monitor accident locations in their jurisdictions over time.

The MPO can participate in data collection for these systems or coordinate the

development of a regional safety management system.
Safety

43

What are the planning requirements for incorporating safety into

transportation planning?

Improving the safety of the transportation system is one of the planning factors that

federal legislation explicitly requires to be considered in the transportation planning

process. Short- and long-range plans should have a safety element as part of the plan,

and when projects and strategies are evaluated for possible inclusion in the

metropolitan transportation plan and the TIP, safety should be a factor in their rating.

Additional sources of information:

The FHWA Office of Safety provides information on ways to improve safety on

roadways. For more information, see safety.fhwa.dot.gov

For information from the FTA on safety and security of mass transit systems,

see transit-safety.volpe.dot.gov

The FHWA, FTA, the Transportation Research Board, and other organizations created

this website on transportation safety planning. See tsp.trb.org

For Bureau of Transportation Statistics (BTS) annual statistical reports on crash

statistics, see www.bts.gov

For the Institute of Transportation Engineers’ discussion paper, “The Development of

the Safer Transportation Network Planning Process,” see www.ite.org

The FHWA Office of Planning maintains a website on Transportation Safety Planning.

See www.fhwa.dot.gov/planning/SCP

State DOTs are required, after consultation with public and private safety stakeholders, to

develop and implement a Strategic Highway Safety Plan (SHSP). The purpose of an SHSP is to

identify critical highway safety problems and opportunities within the state. The SHSP provides

a comprehensive framework for reducing highway fatalities and serious injuries on all major

roadways, enabling the state to make strategic data-driven safety investment decisions. The

metropolitan and statewide transportation planning processes should be consistent with the

SHSP. In addition, the metropolitan and statewide transportation plans should include sections

on safety that list projects and strategies from the SHSP.
The Transportation Planning Process: Key Issues

44

Security

What is transportation security?

Transportation system security can be defined as the freedom from intentional

harm and tampering that affects both motorized and nonmotorized travelers, and

may also include natural disasters. Security goes beyond safety and includes the

planning to prevent, manage, or respond to threats of a region and its

transportation system and users.

Why should states and MPOs consider security in the transportation

planning process?

Awareness of both man-made and natural security concerns has increased in recent

years due to events like September 11, 2001 and Hurricanes Katrina and Rita. The

vulnerability of the transportation system and its use in emergency evacuations are

issues receiving new attention. Transportation planners have been encouraged to

focus on security interrelated issues and to initiate the consideration of security within

their transportation planning and programming activities.

What is the role of the state DOT and the MPO in transportation security?

State DOTs and MPOs may be in a unique position to foster interagency coordination

between the different modes of transportation, governmental agencies, groups

focused on security, and others. State DOTs and regional transportation agencies have

created homeland security plans for emergency evacuation, contingency measures,

and communications interoperability. Additionally, state DOTs and MPOs can support

programs and fund projects that enhance secure travel for all transportation system

users. As the entities that plan and select projects for implementation, the state DOT

and MPO can ensure that whatever criterion is used to select and advance projects in

a particular region recognizes, highlights, and promotes projects that address

transportation security.

What are the planning requirements for considering security in

transportation planning?

Federal requirements include security as a factor to be considered in transportation

planning processes at both the metropolitan and statewide levels, stating that the

planning process should provide for consideration and implementation of projects,

strategies, and services that will “increase the security of the transportation system

for motorized and nonmotorized users.”
Security

45

How do you demonstrate consideration of security in the transportation

planning process?

Consideration of security in the planning process may be documented in key

planning documents such as the UPWP, the State Planning and Research Program,

the long-range transportation plan, STIP or TIP or may be part of a standalone study.

Federally funded or regionally significant transportation security should be included

in the metropolitan long-range plan, STIP, or TIP. Other activities might include

documenting conversations and coordination with groups focused on security or

including transportation security as a project selection criterion.

Additional sources of information:

For “The Role of the Metropolitan Organization (MPO) in Preparing for Security

Incidents and Transportation System Response” by Michael D. Meyer, Ph.D., P.E.,

see www.planning.dot.gov/Documents/Securitypaper.htm

For NCHRP: Report 525 Surface Transportation Security, Volume 3, Incorporating

Security into the Transportation Planning Process, Transportation Research Board,

see onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_525v3.pdf

For FHWA’s Emergency Transportation Operations website, see

ops.fhwa.dot.gov/OpsSecurity/

GAO Report 04-1009, “Homeland Security: Effective Regional Coordination Can

Enhance Emergency Preparedness;” see www.gao.gov/new.items/d041009.pdf

Federal Transit Administration, The Public Transportation System Security

and Emergency Preparedness Planning Guide (2003)

see transit-safety.volpe.dot.gov/Publications/Default.asp

NCHRP 525, “Incorporating Security into the Transportation Planning Process;” see

trb.org/news/blurb_detail.asp?id=5028

For “Security Considerations in Transportation Planning” from Steven Polzin at the

University of South Florida’s Center for Urban Transportation Research,

see www.cutr.usf.edu/pubs/Security%20paper%200402.doc
The Transportation Planning Process: Key Issues

46

System Management and Operations (M&O)

What is system management and operations?

System management and operations (M&O) analyzes regional transportation as an

interconnected set of services and systems to improve system performance through

better management and use of the multimodal transportation network.

M&O is an integrated approach to optimize the performance of existing infrastructure

through the implementation of multimodal, intermodal, and often cross-jurisdictional

systems, services and projects. This includes regional operations collaboration and

coordination activities between transportation and public safety agencies. M&O

strategies aim at improving service efficiency, enhancing public safety and security,

reducing traveler delays, and improving access to information for travelers.

In identifying possible system M&O improvements, it is important to understand

what system users want in terms of performance. Some examples of user-oriented

performance measures are average trip travel time, length of delay, and reliability of

trip making. These are important indicators of how well the transportation system is

operating.

What are the requirements for considering management and operations in

the transportation planning process?

Federal requirements call for consideration of M&O in the metropolitan and

statewide transportation planning processes. For instance, “Promote efficient system

management and operation” is one planning factor.

Legislation also states that transportation plans shall include operations and

management strategies to improve the performance of the existing transportation system

to relieve vehicular congestion and maximize the mobility of people and goods.

What are some examples of system management and operations tools?

Intelligent Transportation Systems (ITS) are technological tools that can help to

facilitate better system M&O. For example, roadway video surveillance allows better

responses to changes in network conditions, such as clearing an accident faster to

keep traffic moving. ITS technologies can also be used to collect real-time data, like

travel speeds, which can be used to monitor system performance over time.

Other examples of system M&O tools include:

• Metropolitan traffic management centers;

• Traffic signal coordination;

Reliability of trip

making: The level of

reliability of the time it takes

to make a specific trip; for

example, one’s daily

commute, or the time it takes

for goods to move between

shipper and receiver.
System Management and Operations (M&O)

47

• Freeway/arterial corridor management;

• Incident management programs;

• Preferential treatment for transit/ride-shares;

• Special event traffic management;

• Emergency management strategies;

• Pricing of transportation services;

• Customer information services;

• ITS applications for transit;

• Traveler information; and

• Commercial vehicle programs.

These M&O strategies and tools focus on optimizing the performance of the

transportation system. It is essential to mention that M&O does not include

traditional maintenance activities, such as lawn cutting, pothole repair, or resurfacing.

What is the role of the MPO in enhancing system management

and operations?

Identifying M&O strategies and benefits: When developing the transportation plan,

the MPO should consider using M&O strategies as one method of improving

mobility for constituents. Those programs and projects should then be given high

priority in the TIP.

Coordinating all agencies involved: Many different agencies assist in system

management and operations in a typical metropolitan area. The MPO can provide

regional leadership in establishing a decisionmaking framework by bringing parties

together, by helping to determine how M&O decisions will be made in an area, and

by asking for input on M&O issues as part of the planning process. This allows

agencies to develop M&O strategies in common.

Develop performance measures: The MPO should develop system performance

measures that take into account the desires and expectations of transportation

users, and can be used to decide how funds should be spent. The MPO can then

work to improve the system through future plans and TIPs.

What is the role of the state DOT in system management and operations?

Since states have the responsibility for operations and management of significant

portions of the transportation network, they play a major role in considering
The Transportation Planning Process: Key Issues

48

operations and management strategies in the planning process. State DOTs also have

a major role both outside and within metropolitan areas supporting coordination

between the operations and planning functions.

Additional sources of information:

For the FHWA and FTA Planning for Systems Management and Operation website,

see plan4operations.dot.gov

For the FHWA’s operations website, with information on travel management,

transportation operations, freight management, and ITS, see www.ops.fhwa.dot.gov

For the U.S. Department of Transportation’s official ITS site, see www.its.dot.gov

See also A Toolbox for Alleviating Traffic Congestion and Enhancing Mobility. Institute of

Transportation Engineers: Washington, D.C.,1997.

See also Federal Highway Administration, Managing Our Congested Streets and Highways,

U.S. DOT, 2001.

For more information from ITS America, a nonprofit organization that acts as a

clearinghouse for information on ITS, see www.itsa.org
Technology Applications for Planning: Models, GIS, and Visualization

49

Technology Applications for Planning:

Models, GIS, and Visualization

Better planning tools are increasingly available to help MPOs understand the

impact of their decisions on the transportation network and the natural and human

environment. A number of decision support tools are available to communities to

help them tackle land use, community development, economic development, and

environmental protection challenges. Geographic Information Systems (GIS)-based

decision support and visualization tools assist planners with conveying information

to stakeholders to encourage successful community design and informed

decisionmaking. Examples of planning tools include transportation models, land

use models, GIS, GIS-based decision support tools, scenario planning models, and

satellite imagery.

What are models?

Models are simulations of the “real world” that can be used to show the impact of

changes in a metropolitan area on the transportation system (such as adding a new

road or transit line, or increases in population or employment). Travel models may be

used to test the travel impacts of changes in land use, economic development, fuel

and parking cost, and new highway or transit system capacity.

Three important ingredients are part of any model used for transportation analysis:

• Key base, or current-year characteristics of travelers and the transportation

system, described in terms of quantifiable variables (e.g., the number of

highway travel lanes, transit service highways, household size and income,

number of vehicles per household, employment patterns by type and job

classification, etc.).

• The relationship between these variables and the travel behavior of individuals

(e.g., the more automobiles per household, the greater the number of

automobile trips per household). This relationship is most often expressed in

mathematical terms.

• Future-year forecasts of key traveler and transportation system characteristics.

This relationship is the same for all individuals and is constant over time.

What is the four-step modeling process?

For the past 40 years, transportation professionals have used a four-step approach in

modeling transportation demand. Most modeling approaches use some form of these
The Transportation Planning Process: Key Issues

50

steps today. Once some understanding has been established as to what the land use,

population, and employment levels are in a study area, the four modeling steps are:

• Trip generation: Estimating the number of trips generated in a small

geographic area, called a zone, or at a particular location, and attracted to

another zone or particular location, based on the assumed relationship among

socioeconomic factors, land use characteristics, and the number of trips. Trip

generation then leads to:

• Trip distribution: Estimating the number of trips that originate in every zone in

the study area, with destinations to every other zone. The result is a trip table

that is used in:

• Mode split: Estimating, for the number of trips predicted between each origin

and destination, the number of trips made via each type of mode that is

available for that trip. Thus, “x” percent are likely to drive alone, “y” percent

are likely to take transit, “z” percent are likely to ride-share, etc. Mode split

leads to:

• Network assignment: Estimating the number of trips via a particular mode that

will take specific paths through a road or transit network. The end result, when

all trips are assigned to a network, is an estimate of the total number of trips

that will use each link in the network. When compared to the capacity of this

link, planners can forecast the level of congestion that will occur at that

location. This becomes the basis for assessing the performance of the

transportation system.

What are other types of models?

Four-step models are commonly used to predict the demand for transportation services.

Transportation planners and engineers also use other types of models to analyze and

evaluate the performance of transportation systems and resulting impacts.

Land use models are used to forecast future development patterns as well as the

potential for proposed transportation improvement to “induce” new or accelerated

land development in particular areas. The output of land use models typically

provides the input to the trip generation step of the travel forecasting model.

Emissions models use the output of travel forecasting models—simulated highway

travel as expressed by vehicle miles traveled—in projecting the tons of key

pollutants emitted in the exhaust of vehicular trips. Estimates of the tons of

emissions of hydrocarbons, nitrogen oxides, and particulates from emissions models

provide important information for use in air quality analysis.
Technology Applications for Planning: Models, GIS, and Visualization

51

Several metropolitan areas, such as New York, San Francisco, and Columbus, Ohio

have implemented advanced tour or activity-based models, which model travel

differently from trip-based models. Tour-based models, for instance, keep track of

travel activity throughout the day and can assemble multiple trip legs (chained trips)

into tours. For example, a parent may leave work, pick up the children at day care,

and stop at the grocery store on the way home. These separate trips would be linked

together into a tour and, when taken as a whole, the modeled travel behavior of this

parent would likely be different than if all of these trips were considered separately.

An activity- or tour-based model is able to show the extent to which mixed-use

neighborhood residents tend to reduce their automobile use by taking transit,

walking, or bicycling, or accomplishing several activities in one automobile trip in

cases where mixed-use development places retail, entertainment, and office

locations close together. The modeling approach, more disaggregated in time,

space, and activities, is also better suited to analyzing other complex policy

alternatives such as variable pricing, flexible working hours, nonmotorized travel,

and induced demand.

What should decisionmakers consider when presented with

the results of models?

Results of a model are still only estimates—they cannot provide a definitive picture of

what will happen in the future. Much like economic projections, transportation

forecasts are greatly affected by the long-term economic health and attractiveness of

the region, by population changes, and by the individual behavior of each person

using the transportation system, which no one can predict.

Model results are only as good as the data that go into the model. MPOs must use the

most current socioeconomic and census data available, especially if the region is

growing rapidly. MPOs should make every effort to explain the information and

assumptions that went into creating the model in plain, understandable terms. Finally,

it is important that the models periodically be validated against observed conditions.

And, the state, MPO, and transit operators should have a schedule for periodic

re-survey of the usage and performance patterns of their systems (e.g. transit onboard

and roadside origin/destination surveys).

What are visualization techniques, and how are they used in

transportation planning?

Visualization techniques are methods used by states and MPOs to communicate

information used in the development of transportation plans and programs to the
The Transportation Planning Process: Key Issues

52

public, elected and appointed officials, and other stakeholders in a clear and easily

accessible format. This could involve use of one or more of a broad range of

information dissemination tools, including maps, pictures, or displays, with the

intention of promoting improved understanding about existing or proposed

transportation plans, policies, and programs.

Visualization techniques can be used through the process, including in developing

planning documents, on websites, and at public outreach and information sessions.

Through visual imagery, the complex character of proposed transportation plans,

policies, and programs can be portrayed at appropriate scales and from different

points of view, providing the public and decisionmakers with a clear idea of the

proposals and likely impacts to the human and natural environment. In addition to

their use in public involvement, visualization techniques are increasingly used as tools

for improved decisionmaking for context sensitive solutions.

What is a Geographic Information System (GIS)? How can state DOTs, MPOs

and public transportation providers use GIS during transportation planning?

A Geographic Information System (GIS) is a collection of computer software,

hardware, and data used to store, manipulate, analyze, and present geographically

referenced information. A GIS can be used both for analysis and as the basis for many

of the visualization techniques described above. In transportation planning, GIS is

typically used to compile and “overlay” multiple sets of data linked to particular

geographic locations. Using GIS, transportation professionals can holistically and

efficiently view multiple items of interest about a particular geographic area including

transportation facilities, operations, demographics, environmental and cultural

resources, public lands, and others. As an aid to environmental analysis, GISs are also

used to overlay key features of the human and natural environment for the purpose of

identifying corridors and subareas with the highest concentration of sensitive areas.

What is scenario planning and how does it use these technologies?

One use of models is in assessing the transportation impacts of alternative possible

future policy scenarios. Scenario testing, also known as scenario planning, is an

important policy analysis and public involvement tool for planners and involves

undertaking long-range strategic planning studies testing alternative sets of future-year

assumptions and engaging stakeholders and the public in reviewing the implications.

Instead of concentrating on one aspect of planning for the future, many tools used in

scenario planning estimate the impacts of people's decisions today on the land use,

transportation system, and environment of tomorrow. Additionally, these tools take into

account the interconnections between these three aspects of planning. For example, if a

change to the transportation system is proposed for an area, models can estimate its land
Technology Applications for Planning: Models, GIS, and Visualization

53

use and environmental impacts. Powerful tools provide for more comprehensive

geographic analysis and visualization using interactive analysis tools and a decisionmaking framework. Scenario planning tools can be used to view, analyze, and understand

land-use alternatives and their impacts for informed decisionmaking.

Additional sources of information:

Cambridge Systematics and Transmode Consultants, Multimodal Corridor and Capacity

Analysis Manual: National Cooperative Highway Research Program Report 399.

Transportation Research Board, 1998.

For the FHWA’s Travel Model Improvement Program (TMIP) see tmip.fhwa.dot.gov

See also Meyer, M. and E. Miller, Urban Transportation Planning: A Decision-Oriented

Approach. New York: McGraw Hill, 2001.

For NETC 00-6: Effective Visualization Techniques for The Public Presentation Of

Transportation Projects see www.netc.uconn.edu/pdf/netcr48_00-6.pdf

For more on TRB's work on visualization in transportation see www.trbvis.org/

For AASHTO's Visualization in Transportation: A Guide for Transportation Agencies

see cms.transportation.org/sites/design/docs/VisualizationGuideJuly2003.pdf

For TRB’s Visualization Symposium Proceedings

see www.teachamerica.com/viz/viz2006.html

For NCHRP’s Visualization in Project Development

see onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_361.pdf

For the Federal Highway Administration’s (FHWA) Office of Planning,

Environment, and Realty Executive Geographic Information System (HEPGIS)

see hepgis.fhwa.dot.gov
The Transportation Planning Process: Key Issues

54

Title VI/Environmental Justice

What is Title VI/Environmental Justice?

The goal of Title VI/Environmental Justice (EJ) is to ensure that services and

benefits are fairly distributed to all people, regardless of race, national origin, or

income, and that they have access to meaningful participation. Title

VI/Environmental Justice in transportation programs is achieved through:

• Avoiding, minimizing, or mitigating disproportionately high and adverse

human health and environmental effects, including social and economic

effects, on minority and low-income populations.

• Ensuring the full and fair participation in the transportation decisionmaking

process by all potentially affected communities.

• Preventing the denial of, reduction in, or significant delay in the receipt of

benefits by minority and low-income populations.

What is the role of the state DOT and MPO in incorporating

Title VI/Environmental Justice into transportation planning?

As the agency responsible for coordinating the transportation planning process, the

state DOT or MPO must make sure that all segments of the population have been

included in the planning process.

The impact of proposed transportation investments on underserved and under

represented population groups must be part of the evaluation process. In particular,

the following questions are important in addressing Title VI/Environmental Justice

issues in the planning process:

1. How will the public participation process reach low-income and minority

communities? Specifically:

• How and where will information be disseminated?

• What information will be disseminated?

• Where and when will public meetings be held?

• At what point in the planning process do the meetings take place?

• Are other avenues being used to reach minority/low-income communities

(e.g., contacts with community leadership, community advisory boards, focus

groups, surveys, etc.)?
Title VI/Environmental Justice

55

• How will the process elicit issues of particular concern to low-income and

minority communities?

2. What statistics are being collected about minority/low-income communities, and

how are they used to assess possible inequities? Actions to take include:

• Evaluating what information is already being collected.

• Identifying what further information can and should be collected.

• Analyzing the data to identify potential inequities.

• Developing measures to verify whether there is equitable distribution of the

benefits and burdens of transportation services.

3. How are information and data incorporated into decisionmaking?

Questions to ask include:

• How is Title VI/Environmental Justice considered in creating the

transportation plan?

• How is Title VI/Environmental Justice information collected by the MPO and

relayed to officials?

• Is additional information needed to adequately consider the impacts of

transportation decisions on low-income and minority communities?

• How are the specific interests of minority and low-income populations

addressed in transportation policies, plans, and projects?

What are the regulatory foundations for Title VI/Environmental Justice?

The legal foundation for environmental justice considerations is Title VI of the Civil

Rights Act of 1964, which prohibits discrimination in any program receiving federal

assistance.

The 1969 National Environmental Policy Act (NEPA) and 23 USC 109(h) also require

that social, economic, and environmental consequences of programs be considered

when contemplating any action having federal support.

The FHWA and the FTA have jointly issued policy guidance on how Title

VI/Environmental Justice concerns can be incorporated into metropolitan

transportation planning.

Additional sources of information:

For extensive information and case studies on Title VI/Environmental Justice,

including the joint FHWA/FTA policy guidance on incorporating Title
The Transportation Planning Process: Key Issues

56

VI/Environmental Justice concerns into metropolitan transportation planning

see www.fhwa.dot.gov/environment/ej2.htm

For information on state DOTs responsibilities, general public responsibilities,

frequently asked questions, and an environmental justice library

see www.dotcr.ost.dot.gov/asp/ej.asp

For the Washington State Department of Transportation website which provides

information on environmental justtice analysis tools, resources and training see

www.wsdot.wa.gov/Environment/EJ/EnviroJustice.htm
Transportation Asset Management

57

Transportation Asset Management

What is Transportation Asset Management?

Transportation Asset Management is a strategic framework for making cost-effective

decisions about allocating resources (funding and personnel) and managing

infrastructure (physical assets such as roads, equipment, and buildings). It is based

on a process of monitoring the physical condition of assets, predicting deterioration

over time, and providing information on how to invest in order to maintain or

enhance the performance of assets over their useful life. The goals of a transportation asset management program are to minimize the life-cycle costs for managing

and maintaining transportation assets, including pavements, bridges, tunnels, rails,

and roadside features.

What is the role of the MPO in Transportation Asset Management?

MPOs should ensure that 1) their metropolitan transportation plan is comprehensive

and incorporates the transportation assets of all modes, 2) that the transportation network is managed to meet both current and future demands, and 3) that expenditures

are optimized for value. Transportation asset management principles and techniques

are valuable tools that can be applied by an MPO and result in more effective decisionmaking. The MPO role in a successful transportation asset management program

includes managing public investment through the transportation plan and TIP,

defining performance measures for assets through public involvement, serving as a

repository for asset data, and promoting standard data collection and technology

applications. MPOs can also educate the public and decisionmakers and work

cooperatively with stakeholders across transportation modes.

The MPO can support asset management by encouraging the collection of data and

information that helps establish priorities for improving the area’s transportation

assets. Typically, the MPO does not, on its own, develop and/or operate a transportation asset management decisionmaking framework; this is usually the responsibility of

state and local operating agencies.

What are the steps decisionmakers use in the Transportation Asset

Management process?

The following steps are typical for the Transportation Asset Management process:

1. Decisionmakers establish strategic goals and objectives for the transportation

system’s performance with performance measures being set and applied to

establish a strategy to achieve the goals.
The Transportation Planning Process: Key Issues

58

2. The transportation system is inventoried, and performance data is collected and

analyzed. This information is used to determine what is needed.

3. Analytical tools and models are used to establish cost-effective long- and shortrange strategies to maximize benefit to the motoring public for dollars invested

to maximize condition at least life cycle cost to maintain and maximize system

performance. Budget allocations are developed to meet performance

expectations. The alternative choices are evaluated according to how well they

meet long-range plans, policies, and goals.

4. Decisions are made as a result of policies, performance-based goals, performance

measures, and service levels which address the agency’s strategic goals and

objectives. Decisionmakers need to take into account actual project development,

construction, and operation.

5. The entire process is annually reevaluated.

What questions should transportation decisionmakers ask as part of the

Transportation Asset Management process?

• What is our inventory of assets?

• What is the value of our assets (monetary, importance to region, other)?

What are their functions? What services do they provide?

• What are the past, current, and anticipated conditions and performance

of our assets?

• How can we preserve, maintain, or improve our assets to ensure maximum

useful life and provide acceptable service to the public?

• What financial resources are available? What is the budget? How much funding

can we expect in the future?

• What are our choices for investing our transportation budget? What are the

costs and benefits of such choices?

• Which choice, or combination of choices, is optimal?

• What are the consequences of not maintaining our assets? How can we

communicate those consequences?

Additional sources of information:

Asset Management: Advancing the State of the Art into the 21st Century Through Public-Private

Dialogue, FHWA, Report No. FHWA-RD-97-046. For information on obtaining a copy of

this report, see www.fhwa.dot.gov/pubstats.html
Transportation Asset Management

59

For FHWA’s Asset Management Primer, December 1999,

see www.fhwa.dot.gov/infrastructure/asstmgmt/amprimer.pdf

For more about the mission of FHWA’s Office of Asset Management, and useful links,

see www.fhwa.dot.gov/infrastructure/asstmgmt

For Transportation Planning and Asset Management, FHWA, 2006,

See www.fhwa.dot.gov/infrastructure/asstmgmt/tpamb.cfm
60

Recent Surface Transportation Reauthorizations

Date signed into law Title of Bill

1991 The Intermodal Surface Transportation Efficiency Act (ISTEA)

1995 National Highway System Designation Act

1998 The Transportation Equity Act for the 21st Century (TEA-21)

2005 Safe, Accountable, Flexible, Efficient Transportation Equity Act:

A Legacy for Users (SAFETEA-LU)

APPENDICES

The Transportation Planning Process: Key Issues
Appendix: Acronyms

3-C Continuing, Cooperative and

Comprehensive Planning Process

AASHTO American Association of State Highway

and Transportation Officials

BTS Bureau of Transportation Statistics

CAA Clean Air Act as amended in 1990

CE Categorical Exclusions

CMAQ Congestion Mitigation and Air Quality

improvement program

CMP congestion management process

CO carbon monoxide

COG Council of Governments

CPI Consumer Price Index

CSS context sensitive solutions

DEIS Draft Environmental Impact Statement

DOT Department of Transportation

EA Environmental Assessment

EIS Environmental Impact Statement

EJ Environmental Justice

EPA Environmental Protection Agency

FAA Federal Aviation Administration

FEIS Final Environmental Impact Statement

FHWA Federal Highway Administration

FONSI Finding of No Significant Impact

FTA Federal Transit Administration

FY fiscal year

GIS Geographic Information Systems

HC hydrocarbons

HOV high-occupancy vehicle

I/M Inspection and Maintenance

IHS Interstate Highway System

IM Interstate Maintenance

ISTEA Intermodal Surface Transportation

Efficiency Act of 1991

ITS Intelligent Transportation Systems

LRSTP Long-Range Statewide Transportation Plan

LRTP Long-Range Transportation Plan

M&O management and operations

MPO Metropolitan Planning Organization

MTP Metropolitan Transportation Plan

NAA Nonattainment Area

NAAQS National Ambient Air Quality Standards

NADO National Association of Development Organizations

NEPA National Environmental Policy Act of 1969

NHS National Highway System

NOI Notice of Intent

NOx nitrogen oxide

PL Planning Funds

PM particulate matter

PPM parts per million

ROD Record of Decision

RPO Regional Planning Organization

SAFETEA-LU Safe, Accountable, Flexible, Efficient

Transportation Equity Act: A Legacy for Users

SDOT state DOT

SHSP Strategic Highway Safety Plan

SIB State Infrastructure Bank

SIP State Implementation Plan

SOV single-occupancy vehicle

SPR State Planning and Research Funds

STIP Statewide Transportation Improvement Program

STP Surface Transportation Program

TCM Transportation Control Measure

TDM Transportation Demand Management

TEA-21 Transportation Equity Act for the 21st Century

TIFIA Transportation Infrastructure Finance

and Innovation Act of 1998

TIP Transportation Improvement Program

TMA Transportation Management Area

TMIP Travel Model Improvement Program

TOD Transit-Oriented Development

TRB Transportation Research Board

UA urbanized area

UPWP Unified Planning Work Program

VOC Volatile Organic Compound

61

Acronyms
The Transportation Planning Process: Key Issues

62

A

Administrative Modification

A minor revision to a long-range statewide

transportation or metropolitan transportation

plan, TIP, or STIP that includes minor changes

to project/project phase costs, minor changes

to funding sources of previously included projects, and minor changes to project/project

phase initiation dates. An administrative modification is a revision that does not require public

review and comment, redemonstration of fiscal

constraint, or a conformity determination (in

nonattainment and maintenance areas).

Amendment

A revision to a long-range statewide or metropolitan transportation plan, TIP, or STIP, that

involves major change to a project included in a

MTP, TIP, or STIP, including the addition or

deletion of a project or a major change in

project cost, project/project phase initiation

dates, or a major change in design concept or

design scope (e.g., changing project termini or

the number of through traffic lanes). Changes

to projects that are included only for illustrative

purposes do not require an amendment. An

amendment is a revision that requires public

review and comment, redemonstration of fiscal

constraint, or a conformity determination (for

MTPs and TIPs involving “non-exempt” projects

in nonattainment and maintenance areas). In

the context of a long-range statewide transportation plan, an amendment is a revision

approved by the state in accordance with its

public involvement process.

Area Sources

Small stationary and non-transportation pollution sources that are too small and/or

numerous to be included as point sources but

may collectively contribute significantly to air

pollution (e.g., dry cleaners).

Attainment Area

Any geographic area in which levels of a given

criteria air pollutant (e.g., ozone, carbon

monoxide, PM10, PM2.5, and nitrogen oxide)

meet the health-based National Ambient Air

Quality Standards (NAAQS) for that pollutant.

An area may be an attainment area for one pollutant and a nonattainment area for others. A

“maintenance area” (see definition below) is

not considered an attainment area for transportation planning purposes.

C

Capacity

A transportation facility’s ability to accommodate a moving stream of people or vehicles in a

given time period.

Capital Program Funds

Financial assistance from the transit major capital programs of 49 U.S.C. Section 5309. This

program enables the Secretary of Transportation to make discretionary capital grants and

loans to finance public transportation projects

divided among fixed guideway (rail) modernization; construction of new fixed guideway systems and extensions to fixed guideway systems;

and replacement, rehabilitation, and purchase

of buses and rented equipment, and construction of bus-related facilities.

Carbon Monoxide (CO)

A colorless, odorless, tasteless gas formed in

large part by incomplete combustion of fuel.

Human activities (i.e., transportation or industrial processes) are largely the source for CO

emissions.

Clean Air Act (CAA)

The original Clean Air Act was passed in 1963,

but the national air pollution control program

is actually based on the 1970 revision of the law.

The Clean Air Act as amended in 1990 made

major changes and contains the most farreaching revisions of the 1970 law.

Conformity (Air Quality)

A CAA (42 U.S.C. 7506[c]) requirement that

ensures that federal funding and approval are

given to transportation plans, programs and

projects that are consistent with the air quality

goals established by a State Implementation

Plan (SIP). Conformity, to the purpose of the

SIP, means that transportation activities will not

cause new air quality violations, worsen existing

violations, or delay timely attainment of the

National Ambient Air Quality Standards

(NAAQS). The transportation conformity rule

(40 CRF part 93) sets forth policy, criteria, and

procedures for demonstrating and assuring

conformity of transportation activities.

Congestion Management Process (CMP)

A systematic approach required in transportation management areas (TMAs) that provides

for effective management and operation, based

on a cooperatively developed and implemented

metropolitan-wide strategy of new and existing

transportation facilities eligible for funding

under title 23 U.S.C. and title 49 U.S.C.

through the use of operational management

strategies. Provides information on transportation system performance and finds alternative

ways to alleviate congestion and enhance the

mobility of people and goods, to levels that

meet state and local needs.

Congestion Mitigation and Air Quality

Improvement (CMAQ) Program

A federal-aid funding program created under

ISTEA. Directs funding to projects that contribute to meeting national air quality standards. CMAQ funds generally may not be used

for projects that result in the construction of

new capacity available to SOVs (single-occupancy vehicles).

D

Department of Transportation (DOT) When

used alone, indicates the U.S. Department of

Transportation. In conjunction with a place

name, indicates state, city, or county transportation agency (e.g., Illinois DOT, Los Angeles

DOT).

E

Emissions Budget

The part of the State Implementation Plan

(SIP) that identifies the allowable emissions

levels, mandated by the National Ambient Air

Quality Standards (NAAQS), for certain pollutants emitted from mobile, stationary, and area

sources. The emissions levels are used for

meeting emission reduction milestones, attainment, or maintenance demonstrations.

Environmental Justice (EJ)

Environmental justice assures that services and

benefits allow for meaningful participation and

are fairly distributed to avoid discrimination.

(See also “Title VI.”)

Environmental Mitigation Activities

Strategies, policies, programs, actions, and activities that, over time, will serve to avoid, minimize, or compensate for (by replacing or

providing substitute resources) the impacts of

to or disruption of elements of the human and

natural environment associated with the implementation of of a long-range statewide transportation plan or MTP. The human and natural

environment includes, for example, neighborhoods and communities, homes and businesses,

cultural resources, parks and recreation areas,

wetlands and water sources, forested and other

natural areas, agricultural areas, endangered

and threatened species, and the ambient air.

The environmental mitigation strategies and

activities are intended to be regional in scope,

and may not necessarily address potential

project-level impacts.

Glossary
Appendix: Glossary

63

Environmental Protection Agency (EPA)

The federal regulatory agency responsible for

administering and enforcing federal environmental laws, including the Clean Air Act, the

Clean Water Act, the Endangered Species Act,

and others.

F

Federal Highway Administration (FHWA)

A branch of the U.S. Department of Transportation that administers the federal-aid

highway program, providing financial assistance

to states to construct and improve highways,

urban and rural roads, and bridges. The FHWA

also administers the Federal Lands Highway

Program, including survey, design, and

construction of forest highway system roads,

parkways and park roads, Indian reservation

roads, defense access roads, and other Federal

Lands roads.

Federal Transit Administration (FTA)

A branch of the U.S. Department of Transportation that administers federal funding to

transportation authorities, local governments,

and states to support a variety of locally

planned, constructed, and operated public

transportation systems throughout the U.S.,

including buses, subways, light rail, commuter

rail, streetcars, monorail, passenger ferry boats,

inclined railways, and people movers.

Financial Plan

The documentation required to be included

with a MTP and TIP (optional for the longrange statewide transportation plan and STIP)

that demonstrates the consistency between

reasonably available and projected sources

of federal, state, local, and private revenues

and the costs of implementing the proposed

transportation system improvements.

Financial Programming

A short-term commitment of funds to specific

projects identified in both the regional and the

statewide Transportation Improvement Program.

Fiscal Constraint

Making sure that a given program or project

can reasonably expect to receive funding within

the time allotted for its implementation. The

MTP, TIP, and STIP must include sufficient

financial information for demonstrating that

projects in the MTP, TIP, and STIP can be

implemented using committed, available, or

reasonably available revenue sources, with

reasonable assurance that that the federally

supported transportation system is being

adequately operated and maintained. For the

TIP and the STIP, financial constraint/fiscal

constraint applies to each program year. Additionally, projects in air quality nonattainment

and maintenance areas can be included in the

first two years of the TIP and STIP only if funds

are “available” or “committed.”

Formula Capital Grants

Federal transit funds for transit operators, allocated by FTA, and used to purchase rolling

stock (e.g., buses and trains) as well as design

and construct facilities (e.g., shelters, transfer

centers, etc.).

G

Geographic Information System (GIS)

Computerized data management system

designed to capture, store, retrieve, analyze,

and display geographically referenced information.

H

High-Occupancy Vehicle (HOV)

Vehicles carrying two or more people. The

number that constitutes an HOV for the purposes of HOV highway lanes may be designated

differently by different transportation agencies.

I

Intelligent Transportation Systems (ITS)

Electronics, photonics, communications, or

information processing used singly or in combination to improve the efficiency or safety of a

surface transportation system. The National ITS

architecture is a blueprint for the coordinated

development of ITS technologies in the U.S.,

providing a systems framework to guide the

planning and deployment of ITS infrastructure.

Intermodal

The ability to connect, and connections between,

differing modes of transportation.

Intermodal Surface Transportation Efficiency

Act of 1991 (ISTEA)

Legislative initiative by the U.S. Congress that

restructured and authorized federal funding

for transportation programs; provided for an

increased role for regional planning commissions/MPOs in funding decisions; and required

comprehensive regional and statewide longterm transportation plans.

Interstate Highway System (IHS)

The specially designated system of highways,

begun in 1956, which connects the principal

metropolitan areas, cities, and industrial centers of the United States. Also connects the U.S.

to internationally significant routes in Canada

and Mexico.

L

Land Use

Refers to the manner in which portions of

land or the structures on them are used (or

designated for use in a plan), i.e., commercial,

residential, retail, industrial, etc.

Long-Range Statewide

Transportation Plan (LRSTP)

The official, statewide, multimodal transportation plan covering no less than 20 years developed through the statewide transportation

planning processes.

Long-Range Transportation Plan (LRTP)

A document resulting from regional or

statewide collaboration and consensus on a

region’s or state’s transportation system, and

serving as the defining vision for the region’s

or state’s transportation systems and services.

In metropolitan areas, this is the official multimodal transportation plan addressing no

less than a 20-year planning horizon that is

developed, adopted, and updated by the MPO

through the metropolitan transportation

planning process.

M

Maintenance Area

Any geographic region of the United States that

the EPA previously designated as a nonattainment area for one or more pollutants pursuant

to the CAA Amendments of 1990, and subsequently redesignated as an attainment area subject to the requirement to develop a

maintenance plan under section 175A of the

CAA, as amended.

Metropolitan Planning Area

The geographic area determined by agreement

between the metropolitan planning organization (MPO) for the area and the Governor, in

which the metropolitan transportation planning process is carried out.

Metropolitan Planning Organization (MPO)

The policy board of an organization created and

designed to carry out the metropolitan transportation planning process for urbanized areas

with populations greater than 50,000, and designated by local officials and the Governor of the

state.

Metropolitan Transportation Plan (MTP)

The official multimodal transportation plan

addressing no less than a 20-year planning

horizon that is developed, adopted and

updated by the MPO through the metropolitan

transportation planning process.
The Transportation Planning Process: Key Issues

64

Mode

A specific form of transportation, such as automobile, subway, bus, rail, air, bicycle, or foot.

N

National Ambient Air Quality

Standards (NAAQS)

Federal standards that set allowable concentrations and exposure limits for various pollutants.

The EPA established these standards pursuant

to section 109 of the CAA. Air quality standards

have been established for the following six criteria pollutants: ozone (or smog), carbon

monoxide, particulate matter, nitrogen dioxide,

lead, and sulfur dioxide.

National Environmental Policy Act of 1969

(NEPA)

Established requirements that any project using

federal funding or requiring federal approval,

including transportation projects, examine the

effects of proposed and alternative choices on

the environment before a federal decision is

made.

Nonattainment Area (NAA)

A geographic region of the United States that

has been designated by the EPA as a nonattainment area under section 107 of the CAA for

any pollutants for which an NAAQS exists,

meaning that federal air quality standards are

not being met.

O

Operational and Management Strategies

Actions and strategies aimed at improving the

performance of existing and planned transportation facilities to relieve congestion and

maximize the safety and mobility of people and

goods.

Ozone (03)

Ozone is a colorless gas with a sweet odor. It is a

secondary pollutant formed when VOCs and

NOx combine in the presence of sunlight.

Ozone is associated with smog or haze conditions. Although the ozone in the upper atmosphere protects us from harmful ultraviolet rays,

ground-level ozone—resulting from human

and natural sources—produces an unhealthy

environment in which to live.

P

Particulate Matter (PM-10 and

PM 2.5)

Particulate matter consists of airborne solid particles and liquid droplets. Particulate matter

may be in the form of fly ash, soot, dust, fog,

fumes, etc. These particles are classified as

“coarse” if they are smaller than 10 microns, or

“fine” if they are smaller than 2.5 microns.

Coarse airborne particles are produced during

grinding operations, or from the physical disturbance of dust by natural air turbulence

processes, such as wind. Fine particles can be a

by-product of fossil fuel combustion, such as

diesel and bus engines. Fine particles can easily

reach remote lung areas, and their presence in

the lungs is linked to serious respiratory ailments such as asthma, chronic bronchitis, and

aggravated coughing. Exposure to these particles may aggravate other medical conditions

such as heart disease and emphysema and may

cause premature death. In the environment,

particulate matter contributes to diminished

visibility and particle deposition (soiling).

Performance Measures

Indicators of how well the transportation system

is performing with regard to such measures as

average speed, reliability of travel, and accident

rates. Used as feedback in the decisionmaking

process.

Planning Funds (PL)

Primary source of funding for metropolitan

planning administered by the FHWA.

Public Participation /

Public Involvement

The active and meaningful involvement of the

public in the development of transportation

plans and programs.

R

Regional Council of Governments (COG)

Regional councils of governments are

multipurpose, multijurisdictional public

organizations. Created by local governments to

respond to federal and state programs, regional

councils bring together participants at multiple

levels of government to foster regional cooperation, planning and service delivery. They may

also be called planning commissions, development districts, or other names, and may or may

not include the structure and functions of Metropolitan Planning Organizations (MPOs).

S

SAFETEA-LU

The Safe, Accountable, Flexible, Efficient

Transportation Equity Act: A Legacy for Users

(SAFETEA-LU). SAFETEA-LU authorized the

federal surface transportation programs for

highways, highway safety, and transit for the

5-year period 2005-2009.

Sources (Pollution)

Refers to the origin of air contaminants. Can be

point (coming from a defined site) or nonpoint (coming from many diffuse sources). Stationary sources include relatively large, fixed

facilities such as power plants, chemical process

industries, and petroleum refineries. Area

sources are small, stationary, non-transportation

sources that collectively contribute to air pollution, and include such sources as dry cleaners

and bakeries, surface coating operations, home

furnaces, and crop burning. Mobile sources

include on-road vehicles such as cars, trucks,

and buses; and off-road sources such as trains,

ships, airplanes, boats, lawnmowers, and construction equipment. Common mobile sourcerelated pollutants are carbon monoxide (CO),

hydrocarbons (HC), nitrogen oxides (NOx),

and particulate matter (PM-10 and PM 2.5).

Stakeholders

Individuals and organizations involved in or

affected by the transportation planning

process. Include federal/state/local officials,

MPOs, transit operators, freight

companies, shippers, users of the transportation infrastructure, and the general public.

State Implementation Plan (SIP)

The portion (or portions) of the implementation plan (as defined in section 302[q] of the

CAA), or most recent revision thereof, which

has been approved under section 110 of the

CAA, or promulgated or approved under section 301(d) of the CAA and which implements

the relevant requirements of the CAA.

Although the SIP is produced by the state environmental agency (not the MPO) to monitor,

control, maintain, and enforce compliance with

the NAAQS, it must also be taken into account

in the transportation planning process.

State Infrastructure Bank (SIB)

A revolving fund mechanism for financing a

wide variety of highway and transit projects

through loans and credit enhancement.

SIBs are designed to complement traditional

federal-aid highway and transit grants by

providing states increased flexibility for

financing infrastructure investments.

Glossary
Appendix: Glossary

65

State Planning and Research Funds (SPR)

Primary source of funding for statewide longrange planning, administered by the FHWA.

Statewide Transportation Improvement

Program (STIP)

A statewide prioritized listing/program of

transportation projects covering a period of

four years that is consistent with the long-range

statewide transportation plan (LRSTP),

metropolitan transportation plans (MTPs), and

transportation improvement plans (TIPs), and

is required for projects to be eligible for

funding under title 23 U.S.C. and title 49

U.S.C. Chapter 53.

Surface Transportation Program (STP)

Federal-aid highway funding program that supports a broad range of surface transportation

capital needs, including many roads, transit, sea

and airport access, vanpool, bike, and pedestrian facilities.

T

Telecommuting

Employment utilizing electronic communications (by telephone, computer, fax, etc.) with a

physical office, either from home or from

another site, instead of traveling to and

working in the office.

Title VI

Title VI of the Civil Rights Act of 1964 prohibits

discrimination in any program receiving federal

assistance. (See “Environmental Justice”)

Transportation Control Measure (TCM)

Any measure that is specifically identified committed to in the applicable SIP that is either

one of the types listed in section 108 of the

CAA or any other measure for the purpose

of reducing emissions or concentrations of air

pollutants from transportation sources by

reducing vehicle use or changing traffic flow or

congestion conditions. Notwithstanding the

above, vehicle technology-based, fuel-based,

and maintenance-based measures that control

the emissions from vehicles under fixed traffic

conditions are not TCMs.

Transportation Demand

Management (TDM)

Programs designed to reduce demand for

transportation through various means, such

as the use of public transit and of alternative

work hours.

Transportation Equity Act for the 21st Century

(TEA-21)

Legislated in 1998, TEA-21 authorized

approximately $217 billion in federal funding

for transportation investment for FYs 1998-

2003. Used for highway, transit, and other

surface transportation programs.

Transportation Improvement

Program (TIP)

A prioritized listing/program of transportation

projects covering a period of four years that is

developed by an MPO as part of the metropolitan transportation planning process, consistent

with the metropolitan transportation plan

(MTP), and required for projects to be eligible

for funding under title 23 U.S.C. and title 49

U.S.C. Chapter 53.

Transportation Infrastructure Finance and

Innovation Act of 1998 (TIFIA)

A federal credit program under which the DOT

may provide three forms of credit assistance—

secured (direct) loans, loan guarantees, and

standby lines of credit – for surface transportation projects of national or regional significance. The fundamental goal is to leverage

federal funds by attracting substantial private

and non-federal co-investment in critical

improvements to the nation's surface transportation system.

Transportation Management Area (TMA)

An urbanized area with a population of 200,000

or more, as defined by the U.S. Bureau of the

Census and designated by the Secretary of

Transportation, or any additional area where

TMA designation is requested by the Governor

and the MPO and designated by the U.S. Secretary of Transportation.

Trust Fund

A fund credited with receipts that are held in

trust by the government and earmarked by law

for use in carrying out specific purposes and

programs in accordance with an agreement or

a statute.

U

Unified Planning Work Program (UPWP)

A statement of work identifying the planning

priorities and activities to be carried out within

a metropolitan planning area. At a minimum, a

UPWP includes a description of of the planning

work and resulting products, who will perform

the work, time frames for completing the work,

the cost of the work, and the source(s) of

funds.

Urbanized Area (UA)

A geographic area with a population of 50,000

or more, as designated by the U.S. Bureau of

the Census.

V

Visualization Techniques

Methods used by states and MPOs in the development of transportation plans and programs

with the public, elected and appointed officials,

and other stakeholders in a clear and easily

accessible format such as maps, pictures,

and/or other displays to promote improved

understanding of existing or proposed transportation plans and programs.
The Transportation Planning Process: Key Issues

66

Financing the Statewide Plan

A modified version of the following tables is found in Financing the Statewide Plan: A Guidebook, Federal

Highway Administration, November 1999: www.fhwa.dot.gov/hep10/state/04703r04.pdf. For more information about FTA funding programs, see www.fta.dot.gov/funding.

Federal Transportation Programs and Revenue Sources

Mode Major Transportation Programs Federal Revenue Sources

Administered

by FHWA

Administered

by FTA

Administered

by FAA

• Interstate Maintenance

• National Highway System

• Highway Bridge Program

• Congestion Mitigation and Air Quality

Improvement (in air quality non-attainment

and maintenance areas)

• Surface Transportation Program

(includes transportation enhancements

and planning funds)

• Highway Safety Improvement Program

• National Corridor Planning and Development

and Coordinated Border Infrastructure

• High Priority (Demonstration) Projects

• Intelligent Transportation Systems

• Equity Bonus

• Federal Lands Highway Program

• National Scenic Byways Program

(discretionary for use on nationally

designated routes only)

• Recreational Trails

• Major Capital (Section 5309)

• Urbanized Area Formula (Section 5307)

• Other than Urbanized Area Formula

(Section 5311)

• CMAQ (only when funds flexed from FHWA)

• Elderly Individuals and Persons With

Disabilities (Section 5310)

• Job Access and Reverse Commute Program(JARC)

• New Freedom Program

• Alternative Transportation in Parks

and Public Lands

• Clean Fuels Discretionary Grants

Program (Section 5308)

• Over-the-Road Bus Program

• Over-the-Road Bus Accessibility

(Rural Transportation Accessibility

Incentive Program)

• Federal Airport and Airway Trust Fund,

which is the source for airport development

grants; airport planning grants

• Airport Improvement Program (AIP), a

source that provides grants to public agencies

for the planning and development of publicuse airports that are included in the National

Plan of Integrated Airport Systems (NPIAS)

• Highway Trust Fund with funds

from federal:

- Motor Fuel Tax (15.44 cents/gallon

of gasoline; varies for other fuel types)

- Truck and Trailer Tax

- Tire Tax

- Heavy Vehicle Use Tax

- Tire Tax Quality Improvement

• Mass Transit Account of the Highway Trust

Fund with funds from motor fuel tax

(2 cents/gallon)

• General Fund

• Interest

• Aviation Fuel Tax

• Air Freight Tax

• Passenger Ticket Tax

• International Departure Tax
Appendix: Federal Fact Sheets

67

Mode Major Transportation Programs Federal Revenue Sources

Major Federal-Aid Highway Programs under SAFETEA-LU

Administered

by FHWA, FRA

Administered

by FRA

Administered by

MARAD & FHWA

• Federal Railroad Administration Grants

(planning, rail service continuation,

rehabilitation, provision of substitute

service)

• High-Speed Rail

• Amtrak

• Army Corps of Engineers—Construction,

operation, and maintenance of waterways,

locks and harbors

• Construction of Ferry Boats and

Terminal Facilities

Program

Highway Bridge Program

Congestion Mitigation

and Air Quality

Interstate Maintenance

National Highway System (NHS)

Surface Transportation

Program (STP)

Eligible Uses

Replacement and rehabilitation of any public bridge.

A wide range of projects in air quality nonattainment and maintenance

areas for ozone, carbon monoxide, and small particulate matter, which

reduce transportation-related emissions.

Resurfacing, restoring, and rehabilitating routes on the IHS, but no new

capacity except HOV or auxiliary lanes in nonattainment areas.

Interstate routes, major urban and rural arterials, connectors to major

intermodal facilities, national defense network. Fifty percent of NHS

funds can be freely flexed to STP; 100% with U.S. DOT approval.

Broad range of surface transportation capital needs, including many roads,

transit, sea, and airport access, vanpool, bike, and pedestrian facilities.

• General Fund

• Highway Trust Fund

• General Fund

• General Fund (relies on specific capital

appropriations)

• Passenger Fares

• Food/Beverage Revenue

• Fuel taxes paid by inland water carriers

• Ad valorem taxes paid by users of ports

• Highway Trust Fund
The Transportation Planning Process: Key Issues

68

Major Federal Transit Administration Programs

Program

Capital Investment Grants Section 5309

Clean Fuels

Job Access and Reverse Commute

(JARC) Grants Section 5316

New Freedom Section 5317

Other than Urbanized Areas Section

5311

Over-the-Road Bus Accessibility

(Rural Transportation Accessibility

Incentive Program)

Special Needs of the Elderly

and Individuals with Disabilities

Section 5310

Urbanized Areas

Section 5307

Eligible Uses

New starts or extensions to existing fixed guideway systems that comply

with CAA and ADA. Fixed guideway modernization. Clean fuel buses and

related facilities.

Purchase, lease of clean fuel buses and facilities; improvements to existing

facilities to accommodate clean fuel vehicles.

Provides formula grants to support programs that support job access and

reverse commute services to provide transportation for low income

individuals who may live in the city core and work in suburban locations.

Provides formula grants for capital and operating costs to support services

and facility improvements to address the needs of persons with disabilities

that go beyond those required by the Americans with Disabilities Act.

Capital and operating expenditures in non-urbanized areas (under 50,000).

Eligible Capital Projects include adding lifts and other accessory components. Eligible training costs include developing training materials or providing training.

Capital assistance to organizations providing specialized services for the

elderly and disabled.

Capital and operating expenditures. Capital and preventive maintenance;

1% must go to transit enhancements.
Appendix: Federal Fact Sheets

69

Funding Transferability under SAFETEA-LU

Program

Highway Bridge Program

Congestion Mitigation and

Air Quality (CMAQ)

Interstate Construction (IC)

Interstate Maintenance (IM)

National Highway System (NHS)

Surface Transportation Program (STP)

Transferability

• Up to 50% of Bridge Program apportionments may be transferred to NHS,

IM, STP, and/or CMAQ. Funds set aside for bridges not on federal-aid

highways (off-system bridges) may not be transferred unless a determination is made that the state has inadequate needs to justify expenditure

of the full amount of the set-aside funds.

• States may transfer up to 50% of the amount by which the CMAQ

apportionment for the fiscal year exceeds the amount that would have

been apportioned for that fiscal year if the CMAQ program had been

funded at $1.35 billion annually to STP, NHS, IM and/or Bridge

Replacement/Rehabilitation. Transferred funds may only be used in

nonattainment and maintenance areas.

• A state other than Massachusetts may transfer an amount equivalent to

the federal share of the cost to complete its open-to-traffic Interstate

segments included in the latest Interstate Cost Estimate (ICE) from its IC

funds to NHS and/or IM. The work on which the transfer is based will be

removed from the ICE and will lose its IC fund eligibility.

• States may transfer IC funds remaining after all work included in the ICE

has been fully financed to the NHS.

• States with remaining completion work on Interstate gaps or open-totraffic segments may relinquish IC fund eligibility and transfer to the NHS

amounts equivalent to the federal share of the cost of such work in the

most recent ICE.

• States may transfer up to 50% of IM apportionments to NHS, STP, CMAQ,

and/or Bridge Replacement/Rehabilitation.

• States may freely transfer up to 50% of NHS apportionments to IM, STP,

National Highway System (NHS), CMAQ, and/or Bridge

Replacement/Rehabilitation.

• States may transfer up to 100% of NHS apportionments to STP if

approved by the Secretary of Transportation and if sufficient notice and

opportunity for public comment is given.

• Transportation Enhancement (TE) set-aside states may transfer up to 25%

of the difference between the amount set aside for TE for the fiscal year

and the amount set aside for TE for FY 1997 to IM, CMAQ, NHS, and/or

Bridge Replacement/Rehabilitation.

• Safety set-aside funds equivalent to the funds made available for FY 1991

for the Hazard Elimination and Railway-Highway Crossing Programs may

not be transferred. Up to 25% of the difference between the remainder of

the safety set aside for the fiscal year—the “optional safety” funds—and

the comparable amount for FY 2007 may be transferred to IM, CMAQ,

NHS, and/or Bridge Replacement/Rehabilitation.

• Suballocation to areas—STP funds allocated to sub-state areas (rural,

urbanized areas over 200,000 population) may not be transferred.

• Transfers to STP from IM, NHS, CMAQ, and Bridge Programs will not be

subject to further STP set asides or suballocations.
The Transportation Planning Process: Key Issues

70

Innovative Highway Financing Strategies/Tools • Cash Flow Approaches

Tool

Advance Construction

Bond Cost Reimbursement: Grant

Anticipation Revenue Vehicle (GARVEE)

Flexible: Federal Land Management

Agency Funds

Flexible: Federal Lands

Flexible: Publicly Owned Land

Partial Conversion of

Advance Construction

Program Level

Tailored (Variable) Match

Approach

Allows states to independently raise upfront capital required for a project

and preserve eligibility for future federal funding for the project. Projects

must be designated as advance construction projects to be eligible.

State-issued short-term note or long-term bond that uses future federal

funds to support payment of principal and interest. Issuance and insurance

costs are also eligible. This is generally used in combination with advance

construction.

Funds from other federal agencies may count toward the non-federal

matching share for recreational trails and transportation enhancement

projects.

Funds from DOT’s Federal Lands Highway Program may count toward nonfederal match for projects within or providing access to federal or Indian

lands.

Permits donations of publicly owned property to count toward non-federal

match on all federal-aid highway projects.

Form of advance construction; state only converts, obligates, or receives

reimbursement for part of its funding for an eligible project in a given year.

States no longer have to wait until the full amount of obligation authority is

available.

For STP projects, allows federal share for funds to be matched across the

full program, not on a project-by-project basis.

Allows non-federal share to vary over project life, so long as the ultimate

matching share is preserved over time.
Appendix: Federal Fact Sheets

71

Tolls and Other Income-Generating Tools

Tool

Right-of-Way Income

Approach

This requires income from right-of-way sales and leases to be used for Title

23 (highway) purposes. States can receive investment credit for certain toll

revenue Investment Credits expenditures, which can be applied toward the

non-federal matching share of federal-aid highway programs (23 U.S.C. 129).

Leveraging Tools

Tool

Bonds and Debt Costs, Issuance

Federal Share on Toll Projects

Flexible Match

Approach

Allows states to use federal funds for bond principal, interest “Instrument

Financing” costs, and insurance on eligible projects.

Expanded use of federal funds for toll projects to include construction of

new facilities, resurfacing, restoration, and rehabilitation of existing facilities and conversion of free facilities. Private facilities are now also eligible.

Allows states to apply private donations of materials, labor, or assets and

private funds toward the state or local match for federal-aid projects.
The Transportation Planning Process: Key Issues

72

Credit Tools

Tools

Rail Credit Pilot

State Infrastructure Bank

Surface Transportation Credit Program

TIFIA (Transportation Infrastructure

Finance and Innovation Act of 1998)

Approach

This provides direct federal loans and loan guarantees for rail and intermodal projects.

States could allocate up to 10% of their apportionment to capitalize the

state bank. Funds can be used to provide loans for projects. This can be

structured as a revolving loan fund, where loans are recycled for new

projects (23 U.S.C. 190).

State infrastructure banks can provide third-party guarantees to projects to

ensure that there is sufficient revenue to pay project costs or debt service.

This provides direct federal loans, loan guarantees, and lines of credit for

large surface transportation programs of national significance.

A federal credit program under which the U.S. DOT may provide three forms

of credit assistance—secured (direct) loans, loan guarantees, and standby

lines of credit—for surface transportation projects of national or regional

significance. The fundamental goal is to leverage federal funds by attracting

substantial private and non-federal co-investment in critical improvements

to the nation’s surface transportation system.

A Publication of the Transportation Planning Capacity Building Program

Federal Highway Administration

Federal Transit Administration

For more information, contact:

Federal Highway Administration

Office of Planning (HEPP)

1200 New Jersey Avenue SE

Washington, DC 20590

(202) 366-0106

FHWA-HEP-07-039

www.planning.dot.gov

Federal Transit Administration

Office of Planning and Environment (TPE)

1200 New Jersey Avenue SE

Washington, DC 20590

(202) 366-6385

U.S. Department of Transportation