Transportation Management Area Planning Certification Review Primer

This primer provides a basic understanding of the key concepts and expectations addressed through a review, along with references to pertinent laws, regulations, policies, and other resources. It reflects a compilation of the collective experiences of many certification reviews undertaken since the passage of the Intermodal Surface Transportation Efficiency Act (ISTEA) in 1991. With this "Introduction", the primer is organized into two main parts with subsections:

• Introduction
• Topic Outlines

Questions about any of the topics discussed in this book should be directed to the transportation planning staff in your state or region. For additional support, contact your local FHWA division or FTA regional office. For information on how to reach FHWA or FTA staff, visit the FHWA and FTA websites, or the Transportation Planning Capacity Building Program website.

Introduction

23 U.S.C. 134 (i)(1)(A) & (B) requires the Secretary of Transportation (the Secretary) to designate as a Transportation Management Area (TMA) each urbanized area with a population of over 200,000 individuals and any additional area at the request of the Governor and metropolitan planning organization (MPO) designated for the area, respectively. Within the TMA, the transportation planning process shall:

• Be based on a continuing and comprehensive planning process carried out by the MPO in cooperation with the State and transit operators;
• Include a congestion management system providing for effective management of new and existing transportation facilities; In nonattainment area TMAs, advance federally funded capacity-increasing projects for single occupant vehicles only when the projects are part of an approved CMS;
• Select all federally funded projects (except those on the National Highway System, or under the bridge replacement and Interstate maintenance programs) within the TMA's boundaries in consultation with the State and any affected public transit operator;
• Except for TMAs designated under (B), receive a proportional share of the funds suballocated under 23 U.S.C. 133(d)(3)(a)(i) based on the relative population of such areas; and
• Be certified by the Secretary not less often than once every three years.

Consistent with 23 U.S.C 134(i)(5) and 49 U.S.C 5305(e), the primary purpose of a certification review is to formalize the continuing oversight and day-to-day evaluation of the planning process. The certification review process ensures that the planning requirements of 23 U.S.C. 134 and 49 U.S.C. 5303 to 5305 are being satisfactorily implemented. In a broader sense, the certification review process is a valuable opportunity to provide advice and guidance to a TMA, defined as an urbanized area with a population over 200,000, for enhancing the planning process and improving the quality of transportation investment decisions.

While the Federal Highway Administration (FHWA) and Federal Transit Administration (FTA) interact with TMA planning officials on a routine basis - reviewing and approving planning products, providing technical assistance, and promoting good practice - the formal assessment of a certification review provides an outside view of the TMA transportation planning process. It can serve as a catalyst to improve the effectiveness and efficiency of the planning process, and help ensure that the major issues facing a metropolitan area are being addressed. In addition, by identifying noteworthy practices, which can be shared with other states, MPOs, and transit operators, the certification provides an opportunity for continued progress in expanding the art of transportation planning while implementing the regulations.

Because planning certification reviews are major events for an MPO and its partner planning/transportation agencies, the FHWA and the FTA have prepared the following topic outlines to serve as a "primer" for those organizations involved in the certification review process. This primer provides a basic understanding of the key concepts and expectations addressed through a review, along with references to pertinent laws, regulations, policies, and other resources. The primer, however, is not intended to provide details on all the steps of or all the topics covered through the certification review process. Neither does it set a standard, establish a policy, or promulgate a regulation for TMA planning processes.

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Topic Outlines

Part 1 — Certification Process

This part provides an overview of the certification process. Helpful information is provided related to the preparation, conduct, reporting, and follow-up activities that are part the certification process. In addition to outlining the sequential elements of a review, Part 1 discusses the roles and responsibilities of the agencies being reviewed and how FHWA and FTA determine if findings should be corrective actions, recommendations, or commendations of noteworthy practice.

1.1. Process Overview
1.2. Scope of Review
1.3. Public Involvement
1.4. Outreach and Training
1.5. On-Site Review
1.6. Findings and Recommendations
1.7. Certification Report
1.8. Presentation of Findings
1.9. Follow-Up

Part 2 — Certification Topics

This part provides background information on each substantive review topic, including the statutory references. It also includes sample questions and review criteria that could be used by a Certification Review Team as it investigates specific planning topics and to assist the MPO and its partner agencies to prepare for the review.

2.1. Study Organization
2.2. Metropolitan Planning Area Boundaries
2.3. Agreements and Contracts
2.4. Unified Planning Work Programs
2.5. Transportation Planning Process
2.6. Regional Transportation Plan Development
2.7. Financial Planning
2.8. Air Quality (Non-attainment & Maintenance Areas)
2.9. TIP Development and Project Selection
2.10. Public Outreach
2.11. Self-Certifications
2.12. Title VI and Related Requirements
2.13. Congestion Management Systems
2.14. List of Obligated Projects
2.15. Documentation

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Part 1 — Certification Process

1.1. Process Overview

Federal Statute
23 USC 134 (i)(5)
49 USC 5305(e)

Primary Federal Regulations
23 CFR 450.312(a)
49 CFR 613

Items to Review/Confirm

Scope of Review

• Compliance with planning regulations
• Planning process addresses the major issues facing the area
• Technical and administrative elements of the process
  • Study Organization
  • Metropolitan Planning Boundaries
  • Agreements and Contracts
  • UPWP Development
  • Transportation Planning Process
  • Regional Transportation Plan Development
  • Financial Planning
  • Air Quality
  • Documentation
  • TIP Development/Approval/Amendment/Project Selection
  • Outreach Efforts
  • Self Certification
  • Title VI/Environmental Justice

Frequency of Review

• Review is every three years

Review Approach

• Federal agencies assemble review team
• Establish a review time
• Conduct a "desk" review
• Prepare an agenda on the on-site visit and public meeting(s)
• Assess outcomes of past reviews
  • Verify provisions from self-certification

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1.2. Scope of Review

Federal Statute
 23 USC 134  49 USC 5303

Federal Regulations
 23 CFR 450.334
 49 CFR 613

Items to Review/Confirm

Examining Past Reviews and Assessing Progress

• Findings, Recommendations, and Commendations
  • Is progress being made?
  • Is the issue still important?
• Status report provided by State, MPO, and transit operator
• Formal reports from other related Federal reviews, with explanations and context
• Files and notes from prior site visits and on-going oversight (correspondence, minutes of MPO committee meetings, etc.)
• Written records from specific meetings with the State, MPO, and transit operators on progress related to past findings.
• Key planning documents, such as the Plan, TIP, and UPWP

Looking at External Factors

• Organizational changes
• Formation of new umbrella or other organizations
• Economic and demographic forecasts
• Political issues (votes or controversies)
• Change in MPO or air quality boundaries
• Funding issues and changes
• Proposed new projects
• Issues and trends in regions that are closely connected to the MPO's region
• News
• Web
• Forecasts
• Political arena
• Non-traditional sources

Completing Office Review/Desk Audit

• Federal team will undertake an initial comprehensive assessment of the planning process before the site visit

Involving MPO, State, and Transit Operator(s)

• Federal team will share an outline of the scope of the on-site visit review

Developing Final Agenda

• Draft agenda developed 1 month in advance of the site visit and share with MPO, State DOT, transit operators, and others involved in the review site visit.
• Develop final agenda (schedule of events) reflecting comments of those affected -at least 2 weeks before the site visit.

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1.3. Public Involvement

Federal Statute
23 USC 134(i)(5)(D)
49 USC 5303(4)

Federal Regulations
Not included in regulations

Items to Review/Confirm

Coordinating Public Involvement Logistics

• Federal review team, with assistance from MPO or others, selects appropriate site and time for meeting
  • Neutral location
  • Accommodate large group
  • Reserve for a minimum of two hours
  • Accessible to public transportation
  • Hearing impaired
  • Foreign language interpreters, if needed
  • Compliance with American with Disabilities Act
• Announcements/public notices sent to all interested persons and groups
• Provide a federal contact-e-mail and/or address
• Notices mailed no later than ten (10) days prior to the public meeting

Conducting Public Involvement

• Method is documented in Public Involvement Plan and/or Citizen's Guide
• Sign-in sheet and/or speaker's card
• Federal team manages the meeting
• Explain purpose of meeting
• Describe elements of the TMA certification review and the Federal planning requirements
• Summarized the results of previous reviews
• Describe what will happen during and after public meeting

Addressing Meeting Comments

• Federal team records comments
• Identify common themes and relate them to appropriate elements of the review

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1.4. Outreach and Training

Federal Statute
23 USC 134(i)(5)
49 USC 5305(e)

Federal Regulations
No specific regulations

Items to Review/Confirm

Identifying Topics

• Issues currently confronting the TMA
• New Federal initiatives and emphasis areas
• Recommendations from State, MPO, and Transit operator(s)
• Identify type of outreach and training topics

Identifying Resources for Outreach

• Consider the complexity of the topic
• Consider the amount of time available
• Potential resources include FHWA/FTA Transportation Capacity Building Program, Peer Exchange, and FHWA Resource Centers.

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1.5. On-Site Review

Federal Statute
23 USC 134(i)(5)
49 USC 5305(e)

Federal Regulations No specific regulations

Items to Review/Confirm

Establishing Site Visit Agenda

• Kick-off Meeting
  • Purpose of meeting
  • Highlight topics to be covered
  • Discuss timeline for issuing an updated Certification finding
  • Reemphasize that FHWA and FTA are part of the process and work with the SHA, MPO, and Transit Operator
• Planning Process Overview
  • Include State and transit operator
  • Highlight changes that have occurred locally
  • Items for review team to be aware of
• Status of Previous Certification Review Findings
  • Highlight previous resolved findings
• Outreach and Training
  • New Federal initiatives, regulations, or noteworthy practices from other areas
• Discussion Topics for the Current Review
  • Priority topics identified (via assessing progress on past findings, routine contacts, office review, and other sources)
• Public Input Meeting
  • Meet with local advocacy groups and/or organizations, other interested parties (i.e. university, business groups, and possibly local elected officials).
  • Thoughts/Opinions of the process
  • Outstanding strengths/weaknesses of the process
  • Develop list of questions
• Meetings with Local Interested Parties and Elected Officials
  • Solicit opinions of the process and strengths/weaknesses of the process.
  • Develop list of questions and share with groups prior to the meetings
• Close-out Meeting - Federal team will.
  • Thank participants for their time
  • Highlight progress since last certification
  • Summarize items discussed during the current review
  • Outline remaining steps leading to new certification report
  • Discuss the need for formal presentation to policy board
  • Preliminary findings-areas of concern that need further consideration

Planning Topics

• Study Organization
• Study Organization
• Metropolitan Planning Boundaries

Agreements and Contracts

• UPWP Development
• Transportation Planning Process
• Regional Transportation Plan Development
• Financial Planning
• Air Quality
• Documentation
• TIP Development/Approval/Amendment/Project Selection
• Outreach Efforts
• Self Certification
• Title VI/Environmental Justice
• CMS
• ITS
• Transit Planning
• Freight Planning
• Bike & Ped and/or land use

Preparing for Media and Interested Party Participation

• Be aware of local requirements and level of interest

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1.6. Findings and Recommendations

Federal Statute
23 USC 134(i)(5)
49 USC 5305(e)

Federal Regulations
23 CFR 450.334(d) & (f)
49 CFR 613

Items to Review/Confirm

Identifying Certification Actions

• Meets or substantially meets requirements vs. Does not substantially meet requirements
• Approved TIP = certified in some manner
• No TIP = cannot certify

Defining Key Terms

• Findings
• Corrective Action
• Recommendation
• Commendations-Noteworthy Practices

Indirect Issues

• Internal situations

Size and Complexity

• Smaller TMA area vs. larger and more complex TMA area

Defining Corrective Actions

• What FHWA/FTA expect
• When FHWA/FTA expect it
• Consequences of non-compliance

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1.7. Certification Report

Federal Statute
23 USC 134(i)(5)
49 USC 5305(e)

Primary Federal Regulations
23 CFR 450.334
49 CFR 613

Items to review/confirm

Report Styles

• Intermediate, or stand-alone report, based on
  • Audience
  • Significance/complexity of findings
  • Intended outcome

Report Content

• Standard content/outline
  • Forward
  • Executive Summary
  • Introduction
  • Prior Review Elements
  • New Review Elements
    • Background
    • Current Status
    • Findings
  • Public Comments
  • Conclusions/Recommendations
  • Appendices
• Balance of findings accurately representing the planning process
• Highlight/share noteworthy practices

Developing the Draft/Schedule

• Final report preparation
  • Ideally.
    • Final draft ready 45-60 days after site visit
    • Final report ready 60-90 days after site visit

External Review

• Reviewed agencies can expect chance to review at least portions of the draft review report
• Federal team members may have face-to-face briefings on findings with affected parties

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1.8. Presentation of Findings

Federal Statute.
23 USC 134(i)(5)
49 USC 5305(e)

Primary Federal Regulations
23 CFR 450.334
49 CFR 613

Items to review/confirm

Background

• Describe outcome of the review
  • Commendations
  • Needed improvements (recommendations)
  • Corrective actions
  • Clarify US DOT expectations

Transmitting Certification Report

• Options
  • Follow procedure used to notify agencies of the review
  • OR
  • Transmit to MPO Board with copies to State DOT/Transit operators/others
  • OR
  • Transmit separately to planning partners
• Transmittal Letter
  • Thanks to participants
  • Core message
    • Describes key points and summarize outcome
    • Clearly identifies notable practices and any corrective actions and US DOT expectations
  • Dated/signed before previous certification expires
  • Date of letter sets due date of next certification

Briefings

• Present findings to MPO Policy Board
  • Joint FHWA Division/FTA Region presentation
  • Short, concise, balanced
  • Provide report to Board members to review before presentation
• Can make presentations to other agencies/organization

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1.9. Follow-Up

Federal Statute
23 USC 134(i)(5)
49 USC 5305(e)

Federal Regulations
23 CFR 450.334
49 CFR 613

Items to review/confirm

• Appropriate action depends upon nature of findings
  • Corrective actions require formal FHWA/FTA follow-up
  • Recommendations warrant certain follow-up
  • Do not wait until next certification review to address findings
• Corrective Actions (CAs)
  • May restrict project advancement
  • Establish milestone dates/deadlines for addressing CAs
  • Develop approach with MPO/planning partners to resolve issues
  • Determine needed assistance from FHWA/FTA and other sources
  • Federal agencies will develop federal steps to monitor/assess progress
    • Assess if/when
      • CAs fully resolved or
      • Sufficient progress warrants time extension
    • Remove conditional/limited certification) or deadline extended
    • Formal notice to MPO/planning partners when CAs addressed to federal team satisfaction
  • Recommendations
    • May follow-up through routine oversight activities
      • May not require formal monitoring, milestones, deadlines
      • Address according to level of problem
    • Affected agencies will indicate how they will address recommendations
    • Federal agencies will offer appropriate assistance, resources, feedback

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Part 2 — Certification Topics

2.1. Study Organization

Federal Statute.
23 USC 134(b)
49 USC 5303(c)

Primary Federal Regulations
23 CFR 450.306
49 CFR 613

Items to review/confirm

Regulatory Requirements

• Requires designation of MPO for each urbanized area, consisting of
  • Local elected officials
  • (Re)Designated after 12/18/91, the policy board will include officials of agencies that operate major modes of transportation
• Remains in effect unless/until formal redesignation

Application for Certification (at least for first review)

• Review date/document/status of (re)designation
• Examine appropriateness of current membership
• Set up and membership of other MPO committees

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2.2. Metropolitan Planning Area Boundaries

Federal Statute.
23 USC 101(37)
23 USC 134(c)
49 USC 5303(d)

Federal Regulations
23 CFR 450.306
23 CFR 450.308
49 CFR 613

Items to review/confirm

Regulatory Requirements

• Difference between terms/boundaries
  • Census Urbanized Area (UZA) Boundary
  • FHWA Urbanized Boundary (UAB)
  • Metropolitan Planning Area (MPA) Boundary
  • Nonattainment Area Boundary
• Key application. MPA
  • MPA established according to law
  • Include the UZA and area expected to be urbanized over next 20 years
  • MPA may be expanded to cover entire designated nonattainment/maintenance area

Application to Certification

• MPA defines area from which federally-funded projects come from financially-constrained plan and TIP
  • Federal transportation planning processes apply to entire MPA
• Urban transit systems limited within or providing service to MPA
• UZAs not eligible for transit operating funds (with certain exceptions)
• STP rural funds cannot be spent inside UAB
• Formula TMA STP funds can be used anywhere within the MPA
• Restrictions on/allowances for billboards along interstate/other primary highways
• PL and MP funds must be used within MPAs, except for minimum apportionment states if certain requirements are met
• UAB affects functional classification of roads

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2.3. Agreements and Contracts

Federal Statute
23 USC 134(a),(d),(e),(g)(3),(h)
49 USC 5303(a), (e), (f)(3)
49 USC 5304

Primary Federal Regulations
23 CFR 450.310
49 CFR 613

Items to review/confirm

Regulatory Requirements

• MPO, State DOT, public transportation agencies cooperate in "3-C" planning process
• Respective roles, responsibilities, and procedures specified in agreements
  • Between MPO and State DOT
  • Between MPO and public transit operators
  • In nonattainment areas, between MPO and AQ agency(ies)
  • Single agreement for all encouraged to extent possible
• More than one MPO in single metropolitan area, agreements between MPOs, State(s), and AQ agency(ies) to assure coordination

Application for Certification

• Agreements current and reflect most recent legislation/regulations
• Agreements correspond to a "3C" planning process
• Current planning procedures reflect content of agreements

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2.4. Unified Planning Work Programs

Federal Statute
23 USC 134(a),(f)
49 USC 5303(a), (b)

Primary Federal Regulations
23 CFR 420.109
23 CFR 450.314
49 CFR 613

Items to review/confirm

Regulatory Requirements

• MPO develops UPWP in cooperation with State DOT, transit operators
  • UPWP reflects.
    • planning priorities
    • who will perform work
    • description of work
    • schedule for work completion
    • intended products
    • cost estimates of activities
    • financial summary of all funds
    • all activities funded under Title 23 and the Federal Transit Act
• UPWP may be combined with Prospectus or another work program with other federal planning funds

Application for Certification

• UPWP is product of a cooperative approach
• All required elements are included
• UPWP consistent with objectives/priorities of Transportation Plan
• Provides strategic direction for transportation activities

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2.5. Transportation Planning Process

Federal Statute
23 USC 134
49 USC 5303 - 5305

Primary Federal Regulations
23 CFR 450.312
23 CFR 450.316
23 CFR 450.320
49 CFR 613

Items to Review/Confirm

Responsibilities, Cooperation, and Coordination

• Cooperative development and determination of mutual responsibilities
  • UPWP
  • Transportation Plan
  • TIP
  • CMS
  • Corridor refinement studies
• Approval Actions
  • TP by MPO
  • TIP by MPO and Governor
• Coordination of TP and SIP (in non-attainment or maintenance areas)
  • TP development with the SIP
  • Development of TCMs
  • TP conforms to SIP
• Multiple MPOs cooperation
  • MPA established by MPOs and Governor(s)
  • Jurisdictional boundaries by MPOs and Governor(s)
  • MPOs consult together and the State(s)
• Participation in Plan development by
  • State(s)
  • Federal agency(ies) if Federal land(s)
  • Native American tribal governments if tribal areas

Elements

• Planning factors are identified
• Proactive public involvement (PI)
  • Complete and timely information, as appropriate, to
    • Citizens
    • Affected public agencies
    • Private providers of transportation
    • Local, State and Federal environmental agencies
  • Minimum comment period of 45 days on process
  • Full public access to key decisions
  • Early and continuous PI in TP and TIP development
  • Preparation of technical and other reports to assure TP development reasonably available to interested parties
  • Process periodically reviewed by MPO for effectiveness
  • Consistent with Title VI of Civil Rights Act of 1964
  • Identifies actions necessary for Americans with Disabilities Act of 1990 compliance

Relation to Management Systems

• CMS that provides for
  • Effective management of new and existing transportation facilities through
    • Reduction of travel demand
    • Operational management strategies
  • Evaluation of SOV capacity increasing projects in non-attainment areas

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2.6. Regional Transportation Plan Development

Federal Statute
23 USC 134(a)(2) & (3)
23 USC 134(g)
49 USC 5303(a)(1) & (2)

Primary Federal Regulations
23 CFR 450.322
49 CFR 613

Items to Review/Confirm

Development

• 20 year minimum
• Long and Short Range strategies
  • Lead to development of an integrated Intermodal transportation system
  • Facilitates efficient movement of people and goods
• TP addresses
  • Demand analysis
  • Congestion management strategies
  • Address the Planning Factors as modified by TEA-21
  • Pedestrian walkway and bicycle facilities
  • Transportation system preservation
  • Multimodal evaluation of transportation and SEE impacts of the TP
  • Consideration of
    • Area's comprehensive land use plan and development objectives
    • National, State and local housing goals and strategies
    • Community development and employment plans and strategies
    • Environmental resource plans
    • National, State and local goals and objectives, such as linking low income households with employment opportunities
    • Area's overall SEE (social, economic, and environmental) and energy conservation goals and objectives
  • Transportation enhancements
  • Financial plan documenting consistency between transportation investments and available and projected sources of revenue
  • Public official and citizen involvement
    • Participation during early stages of plan development
    • Availability of document for public review
    • In non-attainment TMAs, at least one formal public meeting
  • Includes all regionally significant projects
  • Conformity needs in non-attainment and maintenance areas
    • Formal conformity determination
    • Design concept and scope descriptions of all existing and proposed transportation facilities

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2.7. Financial Planning

Federal Statute
23 USC 134(g)(2) 49 USC 5303(f)
23 USC 134(h)(1)(C) 49 USC 5304(a)(2), (b)(2)
23 USC 134(h)(2)(B)

Primary Federal Regulations
23 CFR 450.322(c)
23 CFR 450.324(e)
49 CFR 613

Items to Review/Confirmimated revenue from existing and proposed sources

• Identifies estimated revenue from existing and proposed sources
  • Reflects existing revenues and historical trends
• Identifies estimated costs for operation and maintenance of system
• Identifies estimated costs of transportation improvements
• Balances and demonstrates consistency of existing and proposed revenue sources with all forecasted costs
• In non-attainment and maintenance areas, addresses specific financial strategies to insure implementation of required air quality projects

TIP

• Financially constrained by year
• Accounts for costs of operating and maintaining the existing system
• Developed by MPO in cooperation with State and transit operator
• Developed with estimates of federal and state funds provided by State and transit operator
• Includes financial plan of which projects can be implemented with current revenue sources and which require proposed revenue sources
• Includes strategies for ensuring availability of new funding sources
• Considers all projects funded with Federal, State, local and private resources
• In non-attainment and maintenance areas, includes in the first two years only projects for which funds are available and committed

General

• Treatment of illustrative projects
  • Transportation Plan
  • TIP
• Financial perspective of TIP amendments
• Revenue forecasts
  • Process for development
  • Consistency across different agencies
• Precision of cost estimates
  • Maintenance
  • Operation
  • Projects
• Mega Projects
• Balance between revenues and costs
• "Vision" planning and alternative funding

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2.8. Air Quality (Non-attainment & Maintenance Areas)

Federal Statute
1990 Clean Air Act Amendment Section 176 (c)(1)

Primary Federal Regulations
23 CFR 450.310 – 450.312
23 CFR 450.320 – 450.326
23 CFR 450.330
23 CFR 450.334
49 CFR 613

Items to Review/Confirm

Agreements/Coordination

• Between MPO and designated air quality planning agency
• Among MPO, State DOT, State AQ and local AQ agencies if entire area not included in MPA
• Among MPOs, State DOT, State AQ and local AQ agencies if more than one MPO covers the non-attainment/ maintenance area
• Acceptable Interagency Conformity process
• Involvement in establishing air quality emission budgets

TP Process

• Coordinated TP development with SIP development process
• TP conforms to SIP when adopted
• All SOV, significantly increasing capacity projects came from CMS
• MPO, FTA and FHWA conformity determination on any new or revised TP
• Transportation and emission modeling acceptable

TP Content

• Existing and future transportation facilities include design concept and scope

TIP Process

• MPO, FTA and FHWA conformity determination on any new or amended TIP
• Opportunity for at least one public meeting during development
• Timely implementation of eligible TCMs
• If amended by adding or deleting projects that affect transportation related emissions, a new conformity determination was completed

TIP Content

• Existing and future transportation facilities include design concept and scope
• Include all regionally significant transportation projects proposed
• Identify TCM projects and describe their progress
• List all projects found to conform in the previous TIP that are now part of the base case for conformity

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2.9. TIP Development and Project Selection

Federal statute
23 USC 134(h)
49 USC 5304

Primary Federal regulations
23 CFR 450.324
49 CFR 613

Items to review/confirm

Regulatory Requirements

• TIP is no more than 2 years old
  • Cannot certify if TIP is more than 2 years old or nonexistent
  • See 23 USC 134 (i)(5)(B)
• Date of adoption of TIP/inclusion in the current STIP
• If applicable, date of FHWA/FTA conformity determination
• Public comment opportunities/process
• TIP covers 3 years of projects minimum (to meet federal requirements)
• In nonattainment/maintenance areas, SIP-identified TCMs given priority
• Financial constraint demonstrated by year
• TIP is multi-modal
  • Contains all regionally significant projects
  • Projects consistent with current Plan
• Sufficient descriptive information for project or phase
  • Total cost
  • Amount of federal funds for each year
  • Proposed source of all funds
  • Project funding recipient/sponsor
  • If needed, description of TCMs and sufficient detail provided for conformit
  y
  • Limit on FTA section 9 funds
• Small scale projects may be grouped
• No suballocation of STP or section 9 funds unless based on planning process considerations
• Prioritizing/implementing elements of the Transportation Plan
• Status of major projects from previous TIP
• In nonattainment/maintenance areas, demonstrate progress of implementing TCMs
• Annual list of projects (obligated preceding year – See checklist # 2-14)

Other Requirements

• 23 CFR 450.326
  • Modification of TIP
    • Public involvement process followed
    • In nonattainment/maintenance areas, new conformity determination when affecting regional emissions levels
• 23 CFR 450.328
  • TIP included in STIP without modification
• 23 CFR 450.332
  • Project selection procedures
  • Non-TMAs, projects selected in cooperation
    • Exceptions. Federal Lands projects
  • TMAs, projects selected by the MPO in consultation
    • Exceptions. NHS, bridge, interstate maintenance, and Federal Lands projects
  • If TIP meets 23 CFR 450.324, use "agreed to" list in first year
  • Expedited procedures allowed for second/third years
  • Timely implementation of TCMs

Application for Certification

• Project selection process
  • MPO selects, except for projects on NHS and funded with Bridge, IM, and FLH program
  • MPO consults with state DOT and transit operators
• Formal Project Prioritization Process
  • Move projects within 3 year framework of TIP without amendments
  • Administrative Amendment procedures
• Grouping of small individual projects into lump sum/line item listings
• Cooperative development of TIP
  • Clearly defined
  • Available to participants
  • Joint decision-making
  • Flexible funding provisions

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2.10. Public Outreach

Federal Statute
23 USC 134(g)(4)
23 USC 134(h)(1)(B)
49 USC 5303(f)(4)
49 USC 5304(d)

Primary Federal Regulations
23 CFR 450.316(b)(1)
23 CFR 450.322(c)
23 CFR 450.324(c)
49 CFR 613

Other.
MPO's Adopted Public Involvement Process

Items to Review/Confirm

Common Process

• Adopted public outreach and involvement policy that clearly outlines process, including.
  • Required periods for comment
  • Required public information actions
  • Identification of actions to which the policy applies
• Proactive outreach
  • Efforts consistent with region's size, complexity and diversity
  • Efforts focused to inform low income and minority populations
  • Make information, opportunities to respond and provide comment, and meeting places and times reasonably available
  • Efforts to organize and present info in an easily understandable format
  • Efforts to clearly focus on key issues and alternatives under consideration
• Provides complete information
• Timely, public notice and information about transportation issues and processes
• Full public access to key decisions and time for public review and comment
• 45 day minimum public comment period prior to adoption or revision of Public Involvement process
• Explicit consideration and response to public input
• Consideration of the needs of people traditionally underserved by transportation systems, including low-income and Title VI, as well as actions necessary for ADA compliance
• Periodic review of public involvement process
• Coordination with statewide public involvement processes
• Provide a clear process demonstrating how public comments are considered in the regional planning process

TP Process

• Minimum 30 day review period in non-attainment areas classified serious or above
• Opportunity for public official and citizen involvement in development
  • Involvement in early stages of development
  • Public comment on the proposed TP
  • In non-attainment/maintenance areas, at least one formal public meeting annually to review planning assumptions and the plan development process

TIP Process

• Early and continuing public involvement in development
• Minimum 30 day review period in non-attainment areas classified serious or above
• In non-attainment/maintenance areas, an opportunity for at least one formal public meeting
  • During the development process
  • Provision for public review and comment

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2.11. Self-Certifications

Federal Statute
No specific citation

Primary Federal Regulations
23 CFR 450.330(a)
23 CFR 450.334(a)
49 CFR 613

Items to Review/Confirm

Process

• Transit authority, State DOT and others involved
• Criteria appears reasonable
• Public comment
  • Opportunity for
  • Provided documentation/support
  • Comments are addressed
• Documented
• Policy Board
  • Aware of requirements
  • Provided documentation/support
• Processes exist for evaluations

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2.12. Title VI and Related Requirements

Federal Statute
Various

Primary Federal Regulations
23 CFR 450.316(b)(2)
23 CFR 450.334(a)(3)
49 CFR 613

Items to Review/Confirm

• Minority and low income population concentrations identified
• Standards, measures and benchmarks are reasonable to demonstrate disparity of impacts
• Groups provided with full opportunities to engage in the regional transportation planning process
• Needs of groups identified and considered

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2.13. Congestion Management Systems

Federal Statutes.
23 USC 134(i)(3)
23 USC 135 (h)
49 USC 5305(c)

Primary Federal Regulations
23 CFR 450.320
23 CFR 500.109
49 CFR 613

Items to review/confirm

Regulatory Requirements

• Development of CMS in TMAs
  • Provides effective management of new/existing transportation facilities
  • Uses travel demand reduction (TDR) and operational management (OM) strategies
• State-directed programs can constitute CMS
• In non-attainment TMAs,
  • Federal funds allow for SOV capacity increasing project only if project comes from a CMS
  • Such project must incorporate strategies to manage SOV facility effectively
  • Other TDR and OM strategies along project corridor must be implemented by State/MPO
• A CMS must include
  • Methods to monitor/evaluate performance of system
  • Parameters for measuring congestion and evaluating effectiveness of strategies
    • Tailored to needs of area
    • Established cooperatively by State, MPO(s), local officials, operators of major modes of transportation
  • Data collection and system performance monitoring
  • Definition and evaluation of anticipated performance; strategies can include
    • Growth management and congestion (value) pricing
    • Traffic operational improvements
    • Public transportation improvements
    • ITS technologies
    • Additional capacity, when necessary
  • Implementation schedule
  • Periodic assessment
• New TMAs have 18 months from designation to develop functional CMS
  • For TMAs designated by 2000 Census. January 8, 2004

Application for Certification – What Federal review team looks for.

• Data
• Documented procedures
• Application of procedures
• Documented end products
• Alleviation of congestion
• Performance measures
• Data collection
• Process to measure system performance/congestion
• Causes of congestion
• Development, evaluation, ranking of alternative strategies (including network-wide strategies)
• Strategies that reduce SOV travel
• In nonattainment areas, SOV capacity increasing projects come from CMS and are "last resort"
• Demonstrated commitment to and tracking of implementation of TDR and OM strategies to manage SOV facilities
• CMS is fully integrated with the planning process
• Process to evaluate the effectiveness of implemented strategies

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2.14. List of Obligated Projects

Federal Statute
23 USC 134 (h) (7)(B)
49 USC 5304(b)(5)(B)

Primary Federal Regulations
No regulations at this time.

Items to Review/Confirm

What Federal review team looks for

• Established process for conveying information on annual obligations to the MPO
• Information provided is adequate to produce the Annual Listing
• Listing published for public review – in a timely manner – for all projects for which funds are obligated each year
• Listing included in the TIP or Transportation Plan
• Listing of obligated projects issued separately for the years when the TIP or Transportation Plan is not updated
• All transportation modes included
• Projects receiving funding from both Federal and non-Federal sources
• Public comments on listing
• Method for comparing the projects in the Annual Listing to the TIP

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2.15. Documentation

Federal Statute
5 USC 552

Primary Federal Regulations
23 CFR 420.117(e)
49 CFR 613

Items to Review/Confirm

Documentation Purposes

• Accountability
• Target Audience

What Federal review team looks for

• Documentation should cover.
  • Planning products
  • Technical processes
  • Application of procedures
  • Data collection
  • Evaluations of forecasting
  • Agreements
  • Committee actions

Possible Federal Actions

• Documentation issues closely coordinate with main issues
• Documentation cited as a condition of improving or correcting the larger issues

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2.16. Certification Checklist for Travel Forecasting Methods

Federal Statute
23 USC 134 (g)
49 USC 5303 (f)

Primary Federal Regulations
40 CFR 93.122 (b) and (c)

Items to Review/Confirm

Key Indicators of Risk

• Metropolitan area designated as serious, severe, or extreme ozone or serious carbon monoxide nonattainment area
• Metropolitan area designated as nonattainment or maintenance area.
• Travel demand models used previously by MPO
• FTA transit new start grant
• Major projects that will significantly increase highway capacity
• Transportation projects where there is strong and coordinated opposition by local advocacy groups
• The MPO a defendant in, or threatened with, legal actions in which the adequacy of their travel forecasting methods was challenged

Key Indicators of Agency Technical Capabilities

• Who is responsible for travel forecasting at the MPO?
• Formal memorandum of agreement to delineate technical responsibilities, lines of communication and review, authorized expenditures and reimbursement procedures
• Who, if anyone, on the MPO staff is responsible for evaluating the technical work of the contractor?
• Formal training or experience in the use of travel forecasting methods.
• MPO organization structure includes a technical committee to review planning assumptions and forecasting methods
• Strategic plan and a guaranteed minimum level of funding in its UPWP for maintenance and improvements to its travel forecasting methods
• Peer review or other independent assessment of their travel forecasting methods

Documentation

• Inventory of current state of transportation
• Key planning assumptions used in developing the forecasts
• Descriptions of the methods used to develop forecasts of future travel demand

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