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1
Notice of Proposed RulemakingPublic Outreach Meeting
Planning NPRM ITS Architecture and Standards NPRM Environment NPRM
Federal Highway AdministrationFederal Transit Administration
June – July 2000
NPRM Public Outreach Meeting 2
Meeting Agenda
8:00 AM Registration 8:30 Introduction and Overview 8:45 Planning NPRM Presentation 9:45 Planning Q&A 10:45 Break 11:00 ITS Architecture and Standards NPRM Presentation 12:00 Lunch Break 1:00 PM ITS Architecture and Standards Q&A 2:00 Break 2:15 Environment NPRM Presentation 3:15 Environment Q&A 5:00 Adjourn
NPRM Public Outreach Meeting 3
Notice of Proposed RulemakingPublic Outreach Meeting
Introduction and Overview Planning NPRM ITS Architecture and Standards NPRM Environment NPRM
NPRM Public Outreach Meeting 4
Scope and Purpose of Meeting
Publicize existence of NPRM and comment process Identify major policy objectives Discuss major provisions or changes proposed in each
rule Answer questions that clarify content and intent of
NPRMs Invite stakeholders to provide official comments to
NPRMs through U.S. DOT docket
NPRM Public Outreach Meeting 5
NPRM Overview
Three NPRMs• Metropolitan and statewide planning
- revised rule; substantial portion unchanged- closely reflects statutory provisions
• ITS Architecture and Standards- New rule for ITS; also embedded in planning
• Transportation Planning NPRM (§1410)• Project Development NPRM (§940)
- FTA project level policy implemented differently• National Environmental Policy Act
- Major rewrite for NEPA rule (first since 1987)
Joint proposals between FHWA and FTA
NPRM Public Outreach Meeting 6
Planning and Environment Outreach and Comment Process
June 98 - Jan 99 Secretary’s Listening Sessions on TEA-21 Implementation
Feb 99 FHWA-FTA options paper for public comment
May - Sept 99 Draft rules prepared
May 00 Publication in Federal Registerwith 90 day comment period
June 00 National video conference
June - July 00 Seven public briefings
NPRM Public Outreach Meeting 7
ITS Architecture and Standards Outreach and Comment Process
Spring 98 Outreach meetings on conceptual approach
June 98 – Jan 99 Secretary Slater’s Listening Sessions on TEA-21 implementation
Spring 99 Informational presentations on U.S. DOT “policy approach; thoughts to date”
May – Oct 99 Draft rules prepared
Nov 99 FTA/FHWA approval and transmittal to Secretary Slater
Spring 2000 Coordination of timing with Planning NPRM
May – Aug 00 Publication in Federal Register with 90 day comment period
June – July 00 Seven public briefings
NPRM Public Outreach Meeting 8
Submitting Comments on NPRMs
Submit in writing to: Docket Clerk
U.S. DOT Dockets, Room PL-401
400 7th St., SW
Washington, DC 20590-0001
Reference appropriate docket number Docket closure on August 23, 2000 Comments received after docket is closed will be
considered to the extent possible
NPRM Public Outreach Meeting 9
Major Policy Objectives
Implement statutory provisions and reflect congressional intent
Provide flexibility to transit operators, states, and MPOs; emphasize outcomes and not process and procedures
Reflect key Federal priorities• Environmental Justice• Environmental Streamlining• Intelligent Transportation Systems
NPRM Public Outreach Meeting 10
Presentation Format for Each Section
Major Provisions or Changes Legislative Provisions Current Regulations Proposed Regulations Intended Outcomes Clarification of Information Presented
NPRM Public Outreach Meeting 11
Notice of Proposed RulemakingPublic Outreach Meeting
Introduction and Overview Planning NPRM ITS Architecture and Standards NPRM Environment NPRM
NPRM Public Outreach Meeting 12
Major Provisions or Changes
• State Consultation with Local Officials*• Revenue Forecasts*• Planning Factors*• Safety*• Twenty Year Plan Horizon• FHWA/FTA “Finding” on STIP• TIP Extensions Severely Curtailed• Annual Listing of Obligated Projects*
* These are new requirements written into TEA-21.
Planning NPRM
NPRM Public Outreach Meeting 13
Major Provisions or Changes (cont’d)
Linkage to ITS Architecture and Standards*
Environmental Justice/Title VI
Planning and Project Development (NEPA) Linkage*
Air Quality Conformity Provisions
* These are new requirements written into TEA-21.
Planning NPRM
NPRM Public Outreach Meeting 14
State Consultation with Non-Metropolitan Local Officials
Legislative Provisions• TEA-21 (Section 1204) requires states to consult with non-
metropolitan local officials in transportation decisionmaking and to document the process for consultation
Current Regulations• Reasonable opportunity for public officials to comment on plan
and STIP development• Cooperation / consultation with local officials on project selection
in non-metropolitan areas
Planning NPRM
NPRM Public Outreach Meeting 15
State Consultation with Non-Metropolitan Local Officials (cont’d)
Proposed Regulations [§1410.212(a)(1-2) and (c), §1410.214(b)(4) and (c), §1410.216(b)(4)]
• Revise definition of consultation- “Consultation means that one party confers with another party, in
accordance with an established process, about an anticipated action and then keeps that party informed about actions taken.” [§1410.104]
• Include state and non-metropolitan local elected officials in the Statewide planning process so that the process is a continuing cooperative and comprehensive process
• Requires the state and non-metropolitan officials to cooperatively develop and document a process for consultation.
Planning NPRM
NPRM Public Outreach Meeting 16
State Consultation with Non-Metropolitan Local Officials (cont’d)
Intended Outcomes• Increased involvement of non-metropolitan local
officials in the planning process will better reflect concerns of Rural America reflected in transportation decisions
• Increased opportunity for rural economic development
Planning NPRM
NPRM Public Outreach Meeting 17
Revenue Forecasts
Legislative Provisions• TEA-21 directs that the State and MPOs establish a
cooperative process to estimate revenues available to support metropolitan plans
Current Regulations• Cooperative development of estimates of revenues
available for plan and TIP development
Planning NPRM
NPRM Public Outreach Meeting 18
Revenue Forecasts (cont’d)
Proposed Regulations [§1410.216(a), §1410.322(b)(10), §1410.324(e)]• Requirement for cooperative development (by States,
MPOs and transit agencies) of revenue forecasts to be used in planning and programming clarified
• The MPO, the State DOT, and the transit operator(s) will establish and mutually agree upon procedures to develop financial estimates used in preparing plans and programs
Planning NPRM
NPRM Public Outreach Meeting 19
Revenue Forecasts (cont’d)
Intended Outcomes• Better financial information for MPO planning and
programming• Open and understandable revenue-forecasting process
to facilitate full “buy-in” by all participants • Greater clarity for financial information assumptions
and options• Flexibility for MPO, State DOT, and transit operator(s)
in cooperatively developing estimates• Enhanced cooperation among State and Local officials
Planning NPRM
NPRM Public Outreach Meeting 20
Planning Factors
Legislative Provisions• TEA-21 (Sections 1203, 1204, and 3004) consolidates and simplifies
planning factors• Failure to consider factor is not subject to court review
Current Regulations• 16 and 23 factors for metropolitan and statewide planning
Proposed Regulations [§1410.208 state, §1410.316 metropolitan]
• Identify the 7 new or revised TEA-21 planning factors using statutory language
Planning NPRM
NPRM Public Outreach Meeting 21
Planning Factors (cont’d)
Proposed Regulations (cont’d)• Economic vitality• Safety and security• Accessibility and mobility• Environment and energy• Intermodalism• Efficiency• Preservation of the existing transportation system
Planning NPRM
NPRM Public Outreach Meeting 22
Planning Factors (cont’d)
Intended Outcomes• Streamline and simplify factors• Rely on legislative language to guide planning process• Use non-regulatory approaches to promote good
practices• Support local application of factors to fit local
circumstances (no one size fits all)• State and local consideration of a full range of planning
factors, as applicable, in the local context
Planning NPRM
NPRM Public Outreach Meeting 23
Safety
Legislative Provisions• Safety is one of 7 planning factors to be addressed in developing a
transportation plan
Current Regulations• Only direct reference is transit safety (one of 16 factors)
Proposed Regulations [§1410.208 state, §1410.316 metropolitan; §1410.206(a)(4), §1410.214(a)(2), §1410.216(c)(6)]
• Listed as 1 of 7 planning factors
Planning NPRM
NPRM Public Outreach Meeting 24
Safety (cont’d)
Intended Outcomes• Safer transportation system• More emphasis on safety in transportation plans, programs, and
projects• Reliance on localized application with FHWA/FTA providing
training, good practices, and other specialized activity• Increased awareness and visibility of safety issues for local
decisionmakers• Greater awareness and consideration of safety issues in
transportation decisions
Planning NPRM
NPRM Public Outreach Meeting 25
Twenty Year Plan Horizon
Legislative Provisions• TEA-21 continues legislative requirement for 20-year
forecast period for state and metropolitan transportation plans
Current Regulations• Plan must have at least 20-year horizon at time of
adoption by MPO and State
Planning NPRM
NPRM Public Outreach Meeting 26
Twenty Year Plan Horizon (cont’d)
Proposed Regulations [§1410.322(e), 1410.214(a)(4)]• In all areas, plans must reflect most recent assumptions
for population, travel, land use, congestion, employment, and economic activity at time of adoption or revision
• In attainment areas, metropolitan plan must have 20-year plan at time of adoption by MPO; remains valid for Federal actions for five years before next update unless modified by addition of regionally significant project
Planning NPRM
NPRM Public Outreach Meeting 27
Twenty Year Plan Horizon (cont’d)
Proposed Regulations (cont’d)• Non-attainment and maintenance area horizon is also
20 years at plan adoption but length of validity for Federal action is only 3 years; modification by adding non-exempt project would trigger update
• State plans are 20-year horizon at adoption, with update cycle set by State [§1410.214(a)(4)]
Planning NPRM
NPRM Public Outreach Meeting 28
Twenty Year Plan Horizon (cont’d)
Intended Outcomes• Meet statutory requirement for 20-year plans • Maintain completeness and utility of plans for decision-
making• Align conformity findings and plan adoption timeframes
Planning NPRM
NPRM Public Outreach Meeting 29
FHWA/FTA “Finding” on STIP and TIP
Legislative Provisions• TEA-21 (Sections 1204) requires a finding by the
Secretary that the STIP comes from a planning process that is consistent with Sections 1203, 1204 and 5303-05
Current Regulations• Existing regulations require finding that projects in
TIP/STIP are based on planning process consistent with federal regulations
Planning NPRM
NPRM Public Outreach Meeting 30
FHWA/FTA “Finding” on STIP and TIP (cont’d)
Proposed Regulations[§1410.322(b)]
• Regulation based on new statutory language and previous regulations approach
Intended Outcomes• Reflect the TEA-21 requirement• Improve transportation planning process by identifying areas for
focused improvement• Provide a recurring basis for positive reinforcement of effective
planning processes and earlier identification of weaknesses• Identify best practices to share with other states
Planning NPRM
NPRM Public Outreach Meeting 31
STIP/TIP Extensions Severely Curtailed
Legislative Provisions• No legislative provisions
Current Regulations• Allows FHWA and FTA to grant extension in
extraordinary circumstances for time period determined based on situation
Planning NPRM
NPRM Public Outreach Meeting 32
STIP / TIP Extensions Severely Curtailed (cont’d)
Proposed Regulations[§1410.324, 1410.222(c)]
• TIP/STIP extensions are not allowed in air quality non-attainment or maintenance areas
• TIP/STIP extensions in attainment areas cannot exceed 180 days
Intended Outcomes• Reflect the requirements and limitations of the law in a reasonable
manner• Provide effective mechanisms for administering Federal
transportation programs
Planning NPRM
NPRM Public Outreach Meeting 33
Annual Listing of Obligated Projects
Legislative Provisions• TEA-21 (Sections 1203 and 3005) requires MPO to
provide an annual listing of projects for which Federal funds have been obligated in the previous year
Current Regulations• No current provision
Planning NPRM
NPRM Public Outreach Meeting 34
Annual Listing of Obligated Projects (cont’d)
Proposed Regulations [§1410.324(n)(5)]
• Section on TIP content revised to include a requirement for an annual listing of obligated projects using TIP as basis
Intended Outcomes• Flexibility to design process locally to meet localized operating
context• Allows planning partners flexibility in designing process• Encourages greater public information concerning funds which
have been obligated in the previous year
Planning NPRM
NPRM Public Outreach Meeting 35
ITS Transportation Investments
Legislative Provision• All projects funded with highway trust fund monies
(including the Mass Transit Account) must conform with the National ITS Architecture and standards
Current Regulations• None specific to ITS
Planning NPRM – Linkage to ITS NPRM
NPRM Public Outreach Meeting 36
ITS Transportation Investments (cont’d)
Proposed Regulations [§1410.322(b)(11), §1410.214(a)(3), §1410.216(c)(8)]• Mainstream and initiate decisionmaking for ITS
investments during the planning process• Engage Operating Agencies
Intended Outcomes• ITS investments work together without equipment
conflicts• ITS technology investments routinely included in
transportation plans, programs and projects
Planning NPRM – Linkage to ITS NPRM
NPRM Public Outreach Meeting 37
Intended Outcomes (cont’d)• Better operation and management of transportation
system• Mainstreaming of ITS investments as part of alternatives
considered for transportation system improvements• Enhanced interagency cooperation in the management
and development of transportation system• Key ITS projects and initiatives are targeted early in
planning process to facilitate more effective integration
ITS Transportation Investments (cont’d)
Planning NPRM – Linkage to ITS NPRM
NPRM Public Outreach Meeting 38
Environmental Justice
Legislative Provisions• No specific provisions in TEA-21• Proposed regulatory changes based on current Title VI
requirements of Civil Rights Act
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 39
Environmental Justice (cont’d)
Current Regulations• MPO and state must self-certify consistency of plans and
programs with Title VI of Civil Rights Act and existing Title VI implementing regulations
• Each MPO and state public involvement process must “seek out and consider the needs of those traditionally under served by existing transportation systems including but not limited to low-income and minority households”
• No specific FHWA/FTA requirements articulated for supporting analyses
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 40
Environmental Justice (cont’d)
Proposed Regulations [§1410.206(a) state; §1410.316(c) metropolitan]
• Emphasis on need to develop processes that:- Demonstrate explicit consideration of comments from minority,
low-income, and elderly communities, and persons with disabilities
- Seek out and consider input from the transportation disadvantaged
- Must evaluate public involvement process periodically with specific attention to engaging minorities and low-income persons
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 41
Environmental Justice (cont’d)
Proposed Regulations (cont’d)• Title VI and related statute planning language clarified and
specified with regard to data and analytical requirements• Explicit references added to environmental responsibilities
under the Executive Order and DOT Order on environmental justice
- Avoid or mitigate disproportionately high and adverse effects on low-income and minority populations
- Measures to identify how disproportionate impacts are addressed
• Methodologies not specified
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 42
Environmental Justice (cont’d)
Intended Outcomes• Reduce disproportionate impacts of transportation investments on
minorities and low-income groups• Clarify and ensure Title VI application in planning and project
development processes • Earlier identification and analysis of community impacts of
transportation investments• Effective inclusion and engagement of minorities and low-income
groups in transportation decision-making• Early identification of impacts that can be mitigated (reduction of
adverse impacts) and equitable application of mitigation actions
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 43
Planning and Project Development (NEPA) Linkage
Legislative Provisions• TEA-21 (Section 1308) eliminates separate Major Investment
Study (MIS) requirement and calls for integrating the requirement with analyses in the planning and environmental (NEPA) rules
Current Regulations• Participants cooperatively decide on need to do MIS• Planning analyses may be used in NEPA process
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 44
Planning and Project Development (NEPA) Linkage (cont’d)
Proposed Regulations [§1410.318 metropolitan, §1410.218 state]• Eliminate standalone MIS; link planning and
environmental processes• Encourage early involvement of resource and permit
agencies• Planning analyses will serve as input to environmental
process (no requirement to do NEPA process on plan or in planning); degree of detail at discretion of planning participants
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 45
Planning and Project Development (NEPA) Linkage (cont’d)
Intended Outcomes• Stronger consideration of environmental and economic
impacts at early, systems level• Streamlined decision-making in project development • Documentation of planning actions, at discretion of
participants, to support more NEPA streamlining• Better transition from planning to project development• Earlier and increased participation of environmental
agencies in planning process
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 46
Air Quality Conformity Provisions
Legislative Provisions• No new TEA-21 provisions• Conformity is a requirement of the Clean Air Act
Current Regulations• Several provisions in the planning and NEPA rules
reinforce conformity and tie to EPA’s conformity regulations
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 47
Air Quality Conformity Provisions (cont’d)
Proposed Regulations[§1410.210(b), §1410.212(d), §1410.214(a), §1410.216(a) and (c)]• Clarify and explain more clearly how transportation
planning and air quality conformity work together throughout the rules, e.g.,
- Date of plan effectiveness tied to date of MPO and FHWA/FTA conformity findings for plans and TIPs
- Incorporate EPA conformity definitions in FTA/FHWA planning rule
- Clarify definition of plan and TIP lapse for conformity and transportation purposes
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 48
Air Quality Conformity Provisions (cont’d)
Proposed Regulations (cont’d)- Specify more clearly when plan and TIP
modification triggers a new conformity finding- Disallow TIP extensions in nonattainment areas- Encourage MPOs to participate in air quality
planning process- TCMs can be added during conformity lapse using
interim plan and TIP
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 49
Air Quality Conformity Provisions (cont’d)
Intended Outcomes• Clarify procedures • Eliminate inconsistencies between EPA and U.S. DOT
rules• Establish common definitions of key terms• Ensure timely processing of conformity determinations• Avoid areas falling into lapse without knowing it• Provide more certainty on plan/TIP update calendar
Planning NPRM – Linkage to Environment NPRM
NPRM Public Outreach Meeting 50
Questions & Answers
Clarify Content and Intent of NPRM
Planning NPRM
NPRM Public Outreach Meeting 51
Notice of Proposed RulemakingPublic Outreach Meeting
Introduction and Overview Planning NPRM ITS Architecture and Standards NPRM Environment NPRM
NPRM Public Outreach Meeting 52
Major Policy Objectives
Implement section 5206 (e) of TEA-21• “The Secretary shall ensure that intelligent
transportation system projects carried out using funds made available from the Highway Trust Fund, . . . conform to the national architecture, applicable standards or provisional standards, and protocols developed under subsection (a)”
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 53
Major Policy Objectives (cont’d)
Support key Federal priorities:• Integration• Interoperability• Use of the National ITS Architecture and applicable
standards Incorporate ITS into existing transportation
planning and project design procedures
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 54
Other Driving Forces
Based on Good Practice• Lower cost• Reduced development time• Future expansion• Evolutionary deployment• Enhanced system performance• Risk reduction
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 55
Ideology
Minimize adding “processes”• Examine and build on existing processes• Allot funds through planning processes• Rely on existing Federal oversight
Balance between technical practicality and “real-world” feasibility
Phase in over time
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 56
USDOT Approach
Interim Guidance • Issued October 1998• First step towards incremental implementation of TEA-
21 conformity requirement
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 57
USDOT Approach (cont’d)
Final Policy
• Transportation Planning NPRM (§1410)- Metropolitan and statewide planning (FHWA and FTA),
including ITS Architecture and standards
• Project Development NPRM (§940)- National ITS Architecture and Standards (FHWA)
• FTA National ITS Architecture Consistency Policy for Project Development
- National ITS Architecture and Standards (FTA)
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 58
Outreach and Comment Process
Spring 98 Outreach meetings on conceptual approach
June 98 – Jan 99 Secretary Slater’s Listening Sessions on TEA-21 implementation
Spring 99 Informational presentations on U.S. DOT “policy approach; thoughts to date”
May – Oct 99 Draft rules prepared
Nov 99 FTA/FHWA approval and transmittal to Secretary Slater
Spring 2000 Coordination of timing with Planning NPRM
May – Aug 00 Publication in Federal Register with 90 day comment period
June – July 00 Seven public briefings
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 59
Transportation Planning (§1410)
Legislative Provision• All projects funded with highway trust fund monies
must conform with the National ITS Architecture and standards
Current Regulations• None specific to ITS
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 60
Transportation Planning (§1410)
Proposed Regulations• Develop ITS Integration Strategy • Engage Operating Agencies • Produce Interagency Agreement • Identify Major Regional ITS Initiatives
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 61
Transportation Planning (§1410) Proposed Regulations: ITS Integration Strategy
Developed by multiple stakeholders (including operating agencies)
Identifies key system functions and information sharing
Identifies major ITS projects, regional ITS initiatives, or projects that support national interoperability
Documented as part of the Transportation Plan
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 62
Transportation Planning (§1410) Proposed Regulations: ITS Integration Strategy
Section §1410.214(a)(3) - statewide planning Section §1410.322(b)(11) - metropolitan planning Develop Integration Strategy “...to guide and
coordinate ITS investments, appropriate to scale.” Supports development of integrated ITS
development
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 63
Transportation Planning (§1410) Proposed Regulations: ITS Integration Strategy (cont’d)
Additional statewide planning provisions in §1410.214(a)(3)• Statewide similar to metropolitan areas, although
smaller projects require less documentation• ITS integration strategy shall be developed no later
than the first update of the STIP or transportation plan that occurs two years following the effective date of the rule
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 64
Additional provisions §1410.322(b)(11)
• The following agencies should participate in the development of the ITS integration strategy:
- Highway and public safety agencies- Appropriate Federal lands agencies- State motor carrier agencies as appropriate- And other operating agencies necessary to fully
address ITS regional integration
Transportation Planning (§1410) Proposed Regulations: Engaging Operating Agencies
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 65
§1410.310(g)• Agreement among the MPO, State DOT,
transit operators, and other agencies:- ITS project interoperability- utilization of ITS standards- routine operation of the projects
Transportation Planning (§1410) Proposed Regulations: Interagency Agreement
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 66
Transportation Planning (§1410) Proposed Regulations: Identifying Major Initiatives
§1410.322(b)(11)• The ITS Integration Strategy shall identify in
the Transportation Plan:- Major regional ITS initiatives- ITS projects that affect regional integration- ITS projects that directly support national
interoperability
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 67
Intended Outcomes• ITS Integration Strategy developed as part of
transportation planning process, through involvement of all relevant stakeholders
• ITS systems planned with future integration opportunities “built-in”
• ITS investments work together toward regional and national interoperability
Transportation Planning (§1410)
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 68
Transportation Planning (§1410)
Intended Outcomes (continued)• Better operation and management of transportation
systems• Enhanced interagency cooperation in management
and development of transportation systems• Key ITS projects and initiatives are targeted early in
planning process to facilitate more effective integration
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 69
Project DevelopmentSame Policy – Different Process
FHWA• NPRM to change §940
FTA• Policy for project development and request for
comment will update and create circulars as appropriate
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 70
Project Development (§940)
Legislative Provision• All projects funded with any highway trust fund
monies must conform with the National ITS Architecture and standards
Current Regulations• 23 CFR 655 Subpart D is related and is to be
replaced per this proposed rule
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 71
Project Development (§940)
Proposed Regulations• Develop ITS Regional Architecture• Include Concept of Operations and Conceptual Design• Use System Engineering Process*• Use Applicable Standards and Interoperability Tests• Phase in Over Two Years
*Note: FHWA and FTA policy differ slightly
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 72
§940.9(a)• New Part 940 to subchapter K of 23 CFR.
- An ITS regional architecture shall be developed for implementation, and shall conform with the ITS integration Strategy
- The National ITS Architecture shall be used as a resource in the development of the ITS regional architecture.
§940.9(d)• ITS regional architecture may be:
- Developed as an initial project development effort and updated as new projects are initiated, or
- Developed incrementally as major ITS investments are initiated and updated with subsequent projects.
Project Development (§940) Proposed Regulation: ITS Regional Architecture
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 73
§940.9(c) - regional ITS architecture shall include, at a minimum:- Concept of operations
• address roles and responsibilities of participating agencies• existing or required agreements for operations• resources required to support the project
- Conceptual design must support subsequent project design regarding:
• System functional requirements• Existing and planned Interface requirements and information
exchanges• Identification of key standards supporting regional and national
interoperability • Prioritization of phases required in implementation
Project Development (§940) Proposed Regulation: Concept of Operations and Conceptual Design
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 74
§940.11 • FHWA ITS projects must be developed using a system-
engineering process• FTA and FHWA projects must be consistent with the ITS regional
architecture• strong recommendation to use the National ITS Architecture as a
resource §940.13(a)
• Project specifications shall ensure that the project accommodates- Sharing of electronic information- Existing and future functionality and operation
Project Development (§940) Proposed Regulation: Systems Engineering Process
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 75
§940.13(b) • All ITS projects funded with highway trust funds shall
use applicable US DOT adopted ITS standards and interoperability tests
(At this time, no standards or interoperability tests have been officially adopted by U.S. DOT.)
Project Development (§940) Proposed Regulation: Standards and Interoperability Tests
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 76
Project Development (§940) Proposed Regulation: Compliance
940.15(a) • Prior to authorization of highway trust funds for
construction or implementation- Linkage to the ITS regional architecture or to the
ITS integration strategy- Commitment to the operations, management, and
maintenance of the overall system
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 77
Project Development (§940) Proposed Regulation: Compliance (cont’d)
940.15(b)• Documentation shall include:
- ITS regional architecture and/or ITS integration strategy which are implemented through the project
- Applicable ITS standards and/or interoperability tests - Coordination strategies- Update of the ITS regional architecture and/or ITS integration
strategy to reflect any applicable changes. 940.15(c)
• ITS projects shall be monitored for compliance with this part under normal Federal-aid project oversight procedures
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 78
Project Development (§940) Proposed Regulation: Phasing
940.15(d-f)• A regional architecture is not required until two
years after the rule becomes final.• However, all ITS projects that advance to design or
preliminary engineering must conform with the system engineering requirements [940.11] and applicable standards as soon as the rule becomes final.
• If a regional architecture or integration strategy are not available, the project managers should be encouraged to use the National ITS Architecture as a resource.
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 79
Intended Outcomes• Develop ITS regional architecture
- Consistent with the ITS integration strategy- Based on the National ITS Architecture
• Stakeholders agree on concept of operations for implementation of the ITS integration strategy
• The National ITS Architecture is used as a resource in developing regional architecture and is also used as a resource for ITS project development
Project Development (§940)
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 80
Intended Outcomes (continued)• Sound systems-engineering principles become a routine part of
project design• Better operating and management of transportation system• Enhanced interagency cooperation in the management and
development of transportation systems• ITS projects will provide for all applicable information-sharing
opportunities• U.S. DOT-adopted ITS standards and interoperability tests will be
used in ITS projects
Project Development (§940)
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 81
Summary of Major Provisionsor Changes
Conformance with the National ITS Architecture is a process. The process includes development of a local ITS approach to which subsequent ITS projects will adhere
ITS is part of the transportation planning process and includes development of an ITS integration strategy
An ITS regional architecture is developed based on the National ITS Architecture and tailored to meet local needs
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 82
Summary of Major Provisionsor Changes (continued)
ITS projects implement the ITS integration strategy and the ITS regional architecture
ITS projects are required to use USDOT adopted standards and interoperability tests
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 83
FTA Proposed Policy Implementation
Add National ITS Architecture and Standards conformity to the annual list of certifications and assurances for FTA grants and cooperative agreements
Update FTA circulars Incorporate current oversight mechanisms into review and
avoid the invention of new processes• Grant application reviews, annual risk assessments,
triennial reviews, State management reviews, and quarterly progress reviews
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 84
Stakeholder Support Activities
ITS Deployment Analysis System (IDAS) Architecture training course (2 & 3-day versions) Architecture case studies Turbo Architecture Architecture Workshops - Tier I & II Advanced Architecture CD Workshops FTA ITS oversight and technical assistance More information available at www.its.dot.gov
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 85
Questions & Answers
Clarify Content and Intent of NPRM
ITS Architecture and Standards NPRM
NPRM Public Outreach Meeting 86
Notice of Proposed RulemakingPublic Outreach Meeting
Introduction and Overview Planning NPRM ITS Architecture and Standards NPRM Environment NPRM
NPRM Public Outreach Meeting 87
Major Provisions or Changes
• NEPA Policy Framework• Environmental Justice• Planning and Project Development (NEPA) Linkage• Environmental Streamlining• Alternate Procedures • USDOT Integration• Contracting for Engineering Services• Air Quality Conformity• Categorical Exclusions• Section 4(f)
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Major Provisions and Changes (cont’d)
Linkages to Planning• Environmental Justice/Title VI• Planning and Project Development (NEPA) Linkage• Air Quality Conformity Provisions
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NEPA Policy Framework
Legislative Provisions• No new TEA-21 provisions
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NEPA Policy Framework (cont’d)
Current Regulations• NEPA document and process address all environmental
requirements to fullest extent possible• Decisions made in best overall public interest• Public involvement and systematic interdisciplinary
approach essential parts of NEPA process• Mitigation measures incorporated into action and eligible for
Federal funding• Environmental document preparation costs eligible for
Federal assistance• Non-discrimination in conduct of the NEPA process
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NEPA Policy Framework (cont’d)
Proposed Regulations[§1420.101 - 1420.113]• Applicability of CEQ regulations emphasized• Multiple goals of NEPA process highlighted• Greater visibility of NEPA as procedural umbrella• Avoidance, minimization, mitigation and enhancement
responsibilities• Environmental justice guidelines
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NEPA Policy Framework (cont’d)
Intended Outcomes• Underscore central role of NEPA process in
transportation decisionmaking• Reveal full range of Federal environmental mandates• Promote reasonable measures to protect and enhance
the environment• Provide a framework for ensuring environmental justice
in NEPA process
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Environmental Justice
Legislative Provisions• No specific provision in TEA-21• Proposed regulatory changes based on current Title VI
requirements of Civil Rights Act
Current Regulations• Nondiscrimination policy statement
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Environmental Justice (cont’d)
Proposed Regulations[§1420.111]• Affirmative duty to avoid disproportionate effects where
possible• Data/analysis to support conclusions regarding
environmental equity of decisions
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Environmental Justice (cont’d)
Intended Outcomes• Prevent discrimination• Engage potentially affected communities in
decisionmaking• Identify impact avoidance and minimization strategies
Environment NPRM
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Planning and Project Development (NEPA) Linkage
Legislative Provisions• TEA-21 (Section 1308) eliminates separate Major
Investment Study requirement and calls for integrating the requirement with analyses in the planning and environmental (NEPA) rules
Environment NPRM
NPRM Public Outreach Meeting 97
Planning and Project Development (NEPA) Linkage (cont’d)
Current Regulations• No provision in the current NEPA regulations
Environment NPRM
NPRM Public Outreach Meeting 98
Planning and Project Development (NEPA) Linkage (cont’d)
Proposed Regulations[§1420.201]• Planning studies given explicit standing in the NEPA
process• NEPA process relies on planning studies and decisions
“based on various factors”
Environment NPRM
NPRM Public Outreach Meeting 99
Planning and Project Development (NEPA) Linkage (cont’d)
Intended Outcomes• Enhance coordination between planning and NEPA
processes• Reduce project delay by making greater use of
planning results• Eliminate redundant work• Increase public confidence in transportation planning
and project development
Environment NPRM
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Environmental Streamlining
Legislative Provisions• TEA-21 (Section 1309) directs the Secretary of
Transportation to establish a coordinated environmental review process
Environment NPRM
NPRM Public Outreach Meeting 101
Environmental Streamlining (cont’d)
Current Regulations• No current provisions specifically on environmental
streamlining• Policy language on using NEPA process and
documents to address all required environmental reviews
• CEQ regulations address reducing delay
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Environmental Streamlining (cont’d)
Proposed Regulations[§1420.203]• Explicit process for identifying agencies, issues,
methodologies, time frames, etc.• Informal and formal dispute resolution• Option to include State environmental reviews in
streamlined process• Option to exclude non-EIS projects at applicant’s
request
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Environmental Streamlining (cont’d)
Intended Outcomes• Reduce project delays• Protect and enhance the environment
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Alternate Procedures
Legislative Provisions• No new TEA-21 provisions
Current Regulations• No provision
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Alternate Procedures (cont’d)
Proposed Regulations[§1420.209]• Option for applicants to propose alternate procedures• USDOT approval after consultation with CEQ
Intended Outcomes• Allow for innovation in meeting NEPA requirements• Provide flexibility for better integrating with State/local
project development processes
Environment NPRM
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USDOT Integration
Legislative Provisions• No new TEA-21 provisions• ISTEA (Section 3012) directs FTA to conform its NEPA
process to FHWA’s process
Environment NPRM
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USDOT Integration (cont’d)
Current Regulations• Different treatment of FHWA and FTA in many
sections of the regulations
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USDOT Integration (cont’d)
Proposed Regulations[§1420.211]• Distinctions between FHWA and FTA virtually
eliminated• Option for other USDOT modes to use these
regulations
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USDOT Integration (cont’d)
Intended Outcomes• Simplify process for applicants that deal with both
FHWA and FTA• Eliminate redundant requirements for projects involving
multiple USDOT modes
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Contracting for Engineering Services
Legislative Provisions• TEA-21 (Section 1205) allows a single consultant to be
hired for NEPA and subsequent engineering services
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Contracting for Engineering Services (cont’d) Current Regulations
• No provision• CEQ regulations prohibit conflict of interest
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Contracting for Engineering Services (cont’d)
Proposed Regulations[§1420.301]• Single consultant can be hired for NEPA and post-
NEPA work• Objectivity review required
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Contracting for Engineering Services (cont’d)
Intended Outcomes• Protect the integrity of the NEPA process• Reduce project delays• Maintain institutional knowledge throughout project
development
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Air Quality Conformity
Legislative Provisions• No new TEA-21 provisions
Current Regulations• Link between NEPA and conformity not explicit
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Air Quality Conformity (cont’d)
Proposed Regulations[§1420.307]• ROD, FONSI, CE approval not allowed until project
conforms
Intended Outcomes• Clarify Clean Air Act prohibitions on Federal approvals
in non-attainment areas until after conformity determination
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Categorical Exclusions
Legislative Provisions• No new TEA-21 provisions• NHS Act (Section 316) categorically excludes
transportation enhancements
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Categorical Exclusions (cont’d)
Current Regulations• Two broad categories: “automatic” CEs and
“documented” CEs• Specific activities listed under two categories
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Categorical Exclusions (cont’d)
Proposed Regulations[§1420.311]• List of activities updated to reflect ITS, enhancements,
other activities• Modification of which activities are “automatic” vs.
“documented” CEs
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Categorical Exclusions (cont’d)
Intended Outcomes• Streamline NEPA process for new low-impact activities• Maintain current flexibility
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Section 4(f)
Legislative Provisions• No new TEA-21 provisions
Current Regulations• Section 4(f) requirements part of the NEPA regulations
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Section 4(f) (cont’d)
Proposed Regulations[§1430]• Section 4(f) in separate part of CFR [§1430]• Programmatic approvals explicitly allowed• Certain enhancement activities excluded• Link to planning and NEPA processes• Conforming changes to new ACHP rules
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Section 4(f) (cont’d)
Intended Outcomes• Make section 4(f) regulation more user-friendly• Update to reflect enhancement activities• Put section 4(f) on equivalent procedural footing with
other environmental mandates
Environment NPRM