[Federal Register Volume 60, Number 18 (Friday, January 27, 1995)]
[Notices]
[Pages 5508-5512]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-2063]




[[Page 5507]]

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Part III





Department of Transportation





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Federal Highway Administration



Federal Transit Administration



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Interim Policy and Questions and Answers on Public Involvement in 
Transportation Decisionmaking; Notice

  Federal Register / Vol. 60, No. 18 / Friday, January 27, 1995 / 
Notices   
[[Page 5508]] 

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration
Federal Transit Administration
[FHWA/FTA Docket No. 94-27]


Interim Policy and Questions and Answers on Public Involvement in 
Transportation Decisionmaking

AGENCIES: Federal Highway Administration (FHWA), Federal Transit 
Administration (FTA), DOT.

ACTION: Notice; request for comments.

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SUMMARY: This notice announces the joint FHWA and FTA Interim Policy on 
Public Involvement and Questions and Answers on Public Involvement in 
Transportation Decisionmaking. The Interim Policy outlines the 
principles the agencies intend to use in carrying out their 
responsibilities for assuring that State departments of transportation, 
metropolitan planning organizations, and transportation providers 
involve the public in transportation decisionmaking from the earliest 
stages of metropolitan and statewide transportation planning through 
federally-aided transportation project development and construction. 
The Questions and Answers on Public Involvement in Transportation 
Decisionmaking are agency guidance on public involvement.

DATES: Comments must be received on or before April 30, 1995.

ADDRESSES: Written comments should be sent to the Federal Highway 
Administration, Office of the Chief Counsel, Docket No. 94-27, Room 
4232, HCC-10, 400 Seventh Street, SW., Washington, DC 20590. All 
comments received will be available for examination at the above 
address from 8:30 a.m. to 3:30 p.m., e.t., Monday through Friday, 
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For the FHWA: Mrs. Florence W. Mills, 
Environmental Programs Branch (HEP-32), (202) 366-2062 or Mr. Robert J. 
Black, FHWA Office of the Chief Counsel (HCC-31), (202) 366-1359. For 
the FTA: Mrs. Jennifer L. Weeks, Resource Management Division (TGM-21), 
(202) 366-6510 or Mr. Scott A. Biehl, FTA Office of the Chief Counsel 
(TCC-40), (202) 366-4063. Both agencies are located at 400 Seventh 
Street, SW., Washington, DC 20590. Office hours for the FHWA are from 
7:45 a.m. to 4:15 p.m., e.t., and for the FTA are from 8:30 a.m. to 5 
p.m., e.t., Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION: Recent statutes and regulations have 
increased both the FHWA's and the FTA's longstanding responsibility for 
public involvement in transportation decisionmaking. The metropolitan 
and statewide planning provisions in sections 1024, 1025, and 3012 of 
the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA), 
Pub. L. 102-240, 105 Stat. 1914, 1955, 1962, and 2098, amended Title 
23, U.S.C., and Title 49, U.S.C., chapter 53 (formerly the Federal 
Transit Act) by revising 23 U.S.C. 134 and the FTA's planning 
authorities. Title 23, U.S.C., and Title 49, U.S.C., govern the 
metropolitan transportation planning process. The ISTEA also 
established a new provision for statewide transportation planning at 23 
U.S.C. 135. These statutes require that interested parties be afforded 
an opportunity for public comment on transportation plans and programs 
during the metropolitan and statewide transportation planning 
processes. The FHWA and the FTA revised their previous planning 
regulations to implement these changes and published the final 
regulations on October 28, 1993 (58 FR 58040). These planning 
regulations are found at 23 CFR Part 450.
    There are three statutes and associated regulations governing 
public involvement during the environmental studies stage of highway 
and transit project development: (1) the National Environmental Policy 
Act (NEPA), Pub. L. 91-190, 83 Stat. 852, as amended (codified at 42 
U.S.C. 4321 et seq.), implemented in regulations found at 40 CFR Parts 
1500-1508); (2) 23 U.S.C 128; and (3) 23 U.S.C. 109(h). The FHWA and 
the FTA are in the early stages of revising their joint regulation on 
environmental impact and related procedures found in 23 CFR Part 771.
    As part of an ongoing commitment to public involvement throughout 
the transportation planning and project development processes, the FHWA 
and the FTA are soliciting public input on this Interim Policy and 
guidance. The Interim Policy frames Federal policies on public 
involvement in actions of the FHWA and the FTA. The Questions and 
Answers provide additional information interpreting regulations with 
respect to public involvement. The FHWA and the FTA are particularly 
interested in comments on how their policy and guidance can effectively 
support State departments of transportation, metropolitan planning 
organizations, and transportation providers in developing and 
implementing locally effective public involvement processes and 
techniques which encompass all members of the public, including those 
who are currently under served by our transportation system. The FHWA 
and the FTA also seek information on additional public involvement 
issues where guidance or technical information is needed. The two 
agencies are issuing this Interim Policy and guidance to start 
discussion on these topics. The Interim Policy and guidance are 
effective as of December 5, 1994. The final policy will reflect the 
comments received on the Interim Policy. Based on public and agency 
input, the two agencies will consider additional guidance in public 
involvement.
    The text of the Interim Policy and the Questions and Answers 
follows.

FHWA/FTA Interim Policy on Public Involvement

    ``I know of no safe depository of the ultimate powers of society 
but the people themselves.''--Thomas Jefferson
    Secretary of Transportation Federico Pena's Strategic Plan 
establishes the objective of putting people first in all of the 
Department's endeavors. Consistent with this objective, it is the 
policy of the FHWA and the FTA to aggressively support proactive public 
involvement at all stages of planning and project development. State 
departments of transportation, metropolitan planning organizations, and 
transportation providers are required to develop, with the public, 
effective involvement processes which are custom-tailored to local 
conditions. The performance standards for these proactive public 
involvement processes include early and continuous involvement; 
reasonable public availability of technical and other information; 
collaborative input on alternatives, evaluation criteria, and 
mitigation needs; open public meetings where matters related to 
Federal-aid highway and transit programs are being considered; and open 
access to the decisionmaking process prior to closure.
    To achieve these objectives, the FHWA and FTA commit to:
    1. Promoting an active role for the public in the development of 
transportation plans, programs and projects from the early stages of 
the planning process through detailed project development.
    2. Promoting the shared obligation of the public and decisionmakers 
to define goals and objectives for the State and/or metropolitan 
transportation system, to identify transportation and related problems, 
to develop alternatives to address the problems, and to evaluate the 
alternatives on the basis of collaboratively identified criteria.
    3. Ensuring that the public is actively involved in the development 
of public involvement procedures in ways that go [[Page 5509]] beyond 
commenting on draft procedures.
    4. Strongly encouraging the State departments of transportation, 
metropolitan planning organizations, and transportation providers to 
aggressively seek to identify and involve the affected and interested 
public, including those traditionally underserved by existing 
transportation systems and facilities.
    5. Strongly encouraging planning and implementing agencies to use 
combinations of different public involvement techniques designed to 
meet the diverse needs of the broad public.
    6. Sponsoring outreach, training and technical assistance, and 
providing information for Federal, State, regional, and local 
transportation agencies on effective public involvement procedures.
    7. Ensuring that statewide and metropolitan planning work programs 
provide for effective public involvement.
    8. Carefully evaluating public involvement processes and procedures 
to assess their success at meeting the performance requirements 
specified in the appropriate regulations during our joint certification 
reviews, metropolitan planning and conformity findings, State 
Transportation Improvement Program (STIP) approvals and project 
oversight.

Gordon J. Linton, Administrator, Federal Transit Administration
Rodney E. Slater, Administrator, Federal Highway Administration

FHWA/FTA Questions and Answers on Public Involvement in Transportation 
Decisionmaking

    This guidance responds to questions raised during the eight 
regional FHWA/FTA outreach meetings on the planning regulations (23 CFR 
450) as well as at other meetings where the planning regulations have 
been discussed.
    1. Why are changes in public involvement needed under the 
Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) and 
related policies and regulations?
    Public involvement in transportation investment decisionmaking is 
central to accomplishing the vision of the ISTEA. The legislation 
recognizes that transportation investment decisions have far-reaching 
effects and thus it requires that metropolitan and statewide 
transportation decisions consider a wide array of factors including 
land use impacts and ``the overall social, economic, energy, and 
environmental effects of transportation decisions'' (23 U.S.C. 134(f) 
and 135(c)). Many of these factors reflect community values and are not 
easily quantifiable. Public input is essential in adequately 
considering them.
    The legislation also recognizes the diversity of views on 
transportation problems and investment options. The ISTEA states that, 
prior to adopting plans or programs, the MPO or State DOT ``shall 
provide citizens, affected public agencies, representatives of 
transportation agency employees, private providers of transportation, 
other affected employee representatives, and other interested parties 
with a reasonable opportunity to comment'' (23 U.S.C. 134 and 135). 
Federal DOT policy and FHWA and FTA regulations build on these 
principles by requiring MPOs and State DOTs to establish their own 
continuing public involvement processes which actively seek involvement 
throughout transportation decisionmaking, from the earliest planning 
stages, including the identification of the purpose and need, through 
the development of the range of potential solutions, up to and 
including the decision to implement specific solutions. These 
regulations provide a basic set of performance standards indicating 
what the FHWA and FTA expect public involvement for plans, programs, 
major transportation investments, and transportation projects to 
achieve. In sum, the ISTEA and its implementing regulations envision an 
open decisionmaking process eliciting the input and active involvement 
of all affected individuals, groups, and communities, and addressing 
the full range of effects that the transportation investments may have 
on our communities and our lives.
    2. What are some of the key considerations in planning for 
effective public involvement?
    An effective public involvement process provides for an open 
exchange of information and ideas between the public and transportation 
decisionmakers. The overall objective of an area's public involvement 
process is that it be proactive, provide complete information, timely 
public notice, full public access to key decisions, and opportunities 
for early and continuing involvement (23 CFR 450.212(a) and 
450.316(b)(1)). It also provides mechanisms for the agency or agencies 
to solicit public comments and ideas, identify circumstances and 
impacts which may not have been known or anticipated by public 
agencies, and, by doing so, to build support among the public who are 
stakeholders in transportation investments which impact their 
communities.
    Six useful key elements in planning for effective public 
involvement are: (1) Clearly-defined purpose and objectives for 
initiating a public dialogue on transportation plans, programs, and 
projects, (2) Identification of specifically who the affected public 
and other stakeholder groups are with respect to the plan(s), 
program(s), and project(s) under development, (3) Identification of 
techniques for engaging the public in the process, (4) Notification 
procedures which effectively target affected groups, (5) Education and 
assistance techniques which result in an accurate and full public 
understanding of the transportation problem, potential solutions, and 
obstacles and opportunities within various solutions to the problem, 
and, (6) Follow through by public agencies demonstrating that 
decisionmakers seriously considered public input.
    3. What are the indicators of an effective public involvement 
process?
    A good indicator of an effective public involvement process is a 
well informed public which feels it has opportunities to contribute 
input into transportation decisionmaking processes through a broad 
array of involvement opportunities at all stages of decisionmaking. In 
contrast, an ineffective process is one that relies on one or two 
public meetings or hearings to obtain input immediately prior to 
decisionmaking on developed draft plans and programs. Public meetings 
that are well attended, frequent news coverage on transportation 
issues, public forums where a broad representation of diverse interests 
is in attendance, and plans, TIPs, MIS alternatives, and project 
designs which reflect an understanding and consideration of public 
input are all indicators that the public involvement process is 
effective.
    4. When should an agency update its public involvement process?
    The planning regulations do not specify a schedule for updating 
public involvement processes. Rather, an existing process should be 
updated whenever conditions indicate that it is ineffective. The 
enhanced focus on public involvement in the ISTEA and the need for more 
proactive outreach than has been the case in the past, however, 
necessitate an evolutionary approach. The public involvement process 
should be an integral part of an agency's activities and its adequacy 
should be explicitly considered each time an agency makes major program 
changes, initiates new studies to identify solutions to transportation 
problems, and updates its plans.
    5. How does the State DOT and/or MPO involve the public in 
developing or revising the public involvement process? [[Page 5510]] 
    Involving the public in the development or revision of public 
involvement processes helps MPOs and State DOTs identify involvement 
approaches that work. Techniques for doing this include: distributing 
easily understood materials explaining why this involvement is 
important, holding focus groups on the transportation decisionmaking 
process, brainstorming with the public including members of the public 
who have not traditionally been involved in transportation decisions, 
inviting the community to participate in presentations on the short-
term and long-term transportation challenges the region or State faces, 
and making presentations to civic organizations, senior citizens' 
groups, minority groups, and other public agencies who are stakeholders 
in transportation decisions (i.e., health and human services 
departments or economic development departments).
    6. Is the State DOT or MPO required to have a 45-day public comment 
period on revisions to its currently adopted public involvement 
process?
    Yes. The 45-day public comment period also applies to revisions to 
an adopted public involvement process. Processes adopted before 
November 23, 1993, must be reviewed and appropriately updated so they 
are consistent with the joint planning regulations. If the review finds 
that the previously adopted processes are consistent with the 
regulations but have not been subjected to the 45-day comment period, 
the State DOT or MPO must provide a 45-day comment period.
    7. How do FHWA and FTA define the ``public''?
    The ISTEA specifically identifies various segments of the public 
and the transportation industry that must be given the opportunity to 
participate, including ``citizens, affected public agencies, 
representatives of transportation agency employees, other affected 
employee representatives, private providers of transportation and other 
interested parties'' (e.g., 23 U.S.C. 134(h)). The FHWA and FTA define 
the public broadly as including all individuals or groups who are 
potentially affected by transportation decisions. This includes anyone 
who resides in, has interest in, or does business in a given area which 
may be affected by transportation decisions. The public includes both 
individuals and organized groups. In addition, it is important to 
provide similar 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, 
taxi cab operators, and all conventional and unconventional transit 
service operators. Finally, those persons traditionally underserved by 
existing transportation systems such as low income or minority 
households and the elderly should be explicitly encouraged to 
participate in the public involvement process.
    8. How should an agency identify and address the transportation 
needs of persons and groups who have been traditionally underserved by 
existing transportation systems?
    This presents a formidable challenge to transportation agencies 
because these individuals and groups often do not have the resources to 
travel to meetings, an ability to participate in meetings scheduled 
during their work hours, or an understanding of how or why to get 
involved in the transportation decisionmaking process.
    The identification of these groups and individuals also presents a 
challenge. Transportation agencies should begin by identifying 
organized groups including persons with disabilities, minority 
community groups, ethnic groups and organizations, and Native 
Americans. Executive Order 12898, ``Federal Actions to Address 
Environmental Justice in Minority Populations and Low-Income 
Populations'' directs Federal agencies to conduct existing programs so 
as to identify and address disproportionately high and adverse 
environmental effects on minority, low income, and Native American 
communities. Techniques and strategies to identify the transportation 
underserved include: notices in non-English language newspapers; public 
service announcements on radio stations which tailor their programming 
to non-English speaking Americans; and fliers and notices on public 
involvement opportunities distributed to senior citizens' centers, 
minority neighborhoods, urban housing projects.
    Addressing the needs of these groups will require gaining a 
thorough understanding both of why they have been traditionally 
underserved and of what their current and future transportation needs 
are. Continuous interaction between these groups and transportation 
professionals will be critical to better serving their needs in the 
future.
    9. Who are the public and private providers and users of 
unconventional transportation services and how should they be included 
in the public involvement process?
    Unconventional mass transportation services include school buses; 
transportation for the elderly, persons with disabilities, and children 
in Head Start; and other non-fixed route or unscheduled transportation. 
Both users and providers are members of the general public. Users of 
these unconventional transportation services tend to be underserved by 
the mainstream transportation system, and should be treated as such by 
the public involvement process. Traditionally, providers of 
unconventional transportation are social service agencies providing 
specialized, dedicated transit services (e.g., vans or buses) to fill 
gaps in the mobility needs of participants in certain public and 
private programs. These providers should be approached similarly to 
other public agencies. Their input should be sought out on effective 
ways to address transportation problems because they have experience in 
serving many of the traditionally underserved which traditional 
transportation agencies may not have. Other public and private 
transportation providers, which may or may not be considered to be 
``conventional,'' similarly need to be actively involved in MPO and 
State transportation decisionmaking. These may include trucking and 
rail freight carriers, representatives of transportation employees, and 
representatives of ports and airports. The creation of special 
committees or advisory groups may provide an organized structure to 
receive the input of transportation industry groups on an ongoing 
basis.
    10. How do the public involvement requirements for project 
development and the NEPA process apply to public involvement for major 
transportation investment studies (MIS)?
    An MPO's overall public involvement process should describe the 
approach to be used to involve the public in any MIS conducted in that 
metropolitan planning area, regardless of whether the lead agency for 
the MIS is the MPO itself, the State DOT, or the transit operator. At 
the start of the interagency consultation, the cooperating agencies 
need to tailor a specific public involvement strategy for the MIS. The 
strategy should engage the public in the consideration of the purpose 
and need for a major investment as well as in the development and 
evaluation of all alternatives. If the MIS incorporates development of 
a NEPA document, the public involvement strategy must comply with the 
public involvement provisions of 23 CFR Part 771 or 40 CFR Part 622.
    11. With respect to Federal Lands Agency projects (especially 
Indian Reservation Roads projects), how can the State DOT and MPO 
ensure that public involvement has taken place [[Page 5511]] within the 
planning process in the STIP/TIP?
    First, it is necessary for the State and MPO to provide for active 
involvement by the Federal Lands Agencies and Indian tribal governments 
in statewide or metropolitan transportation planning and programming. 
Such involvement allows all participants to coordinate plans and 
programs of projects under consideration by the various implementing 
agencies. However, when planning for the involvement of Indian tribal 
governments, it is important for agency staff to recognize and be 
sensitive to tribal customs and to the nationally recognized 
sovereignty of tribal governments. As a result, tribal governments 
should be actively sought for participation in the development of 
metropolitan and State plans and programs as independent government 
bodies rather than as specific minority groups.
    Second, each of the Federal Lands Agencies has its own procedures 
for transportation planning that comply with guidance from the FHWA's 
Federal Lands Highway Office which administers the Federal Lands 
Highway Program. Public involvement may not always occur during the 
development of transportation improvement programs for each Federal 
Lands Agency or Indian tribe. Therefore, while metropolitan area public 
involvement on the metropolitan TIP can serve as a surrogate for public 
involvement on the STIP for that area, no such assumption can be made 
for a Federal Lands Agency or tribal TIP. Because the Federal Lands 
Agency or tribal public involvement process may not satisfy the State 
DOT or MPO public involvement process for transportation planning, the 
State DOT and MPO must determine whether other public involvement 
measures are needed.
    Third, the State and MPO (with FHWA and FTA field offices, as 
appropriate) should work proactively with the Federal Lands Agencies 
and Indian Tribal Governments to gain an understanding of procedures 
regarding development of each agency's TIP. These procedures may vary 
considerably from agency to agency. Areas to examine include the 
schedule for TIP development; the format of the TIP; and plans for 
meeting with various groups, members of the public, and Tribal 
Governments during TIP development.
    12. Does reasonable public access to technical and policy 
information include access to technical assumptions underlying the 
planning and emissions models used in carrying out transportation 
decisionmaking and air quality conformity determinations?
    Yes. Under the ISTEA and related regulations, the public must have 
reasonable access to technical assumptions and specifications used in 
planning and emissions models. This includes access to input 
assumptions such as population projections, land use projections, 
fares, tolls, levels of service, the structure and specifications of 
travel demand and other evaluation tools. To the maximum extent 
possible, all technical information should be made available in formats 
which are easily accessible and understandable by the general public.
    Special requests for raw data, data in specific formats, or 
requests for other information must be considered in terms of their 
reasonableness with respect to preparation time and costs. Public 
involvement procedures should include parameters for determining 
reasonableness. In order to facilitate public involvement yet conserve 
limited staff resources, State DOTs and MPOs should consider making 
information available to interested parties on a regular basis through 
communication tools such as: reports, electronic bulletin boards, 
computer disks, data compilations, briefings, question and answer 
sessions, and telephone hotlines. Reports or other written documents 
should be easily accessible to the public in public libraries, 
educational institutions, government offices, or other places and at 
times convenient to the public.
    When the public agency receives a request to perform an analysis 
that it had not considered, the State DOT or MPO needs to make a 
determination as to the reasonableness of the request. If the State DOT 
or MPO decides to perform the analysis, it should make all relevant 
information available to all interested parties. If it decides not to 
include the analysis as part of its transportation decisionmaking, it 
should respond to the request by indicating why it decided not to do 
so. The early involvement of interested parties in the analytical 
process can facilitate early agreement on the scope and range of 
analyses to be conducted by the public agency.
    When agency staff conducts analyses that are not required for the 
transportation planning process and on which non-Federal funds are 
used, the agency is not obligated to make such information available. 
State DOTs and MPOs are encouraged to make such information available, 
given the premise that transportation decisionmaking is an open 
process. Similarly, State DOTs and MPOs should review State and local 
regulations which may mandate that such information be made available 
to the public.
    13. How can State DOTs and MPOs demonstrate ``explicit 
consideration and response to public input,'' as required by 23 CFR 
450.212 and 23 CFR 450.316?
    State DOTs and MPOs should incorporate input from the public into 
decisionmaking, when warranted, with the understanding that not all 
parties will get exactly what they want. However, the public must 
receive assurance that its input is valued and considered in 
decisionmaking so that it feels that the time and energy expended in 
getting involved is meaningful and worthwhile. To do this, State DOTs 
and MPOs should both maintain records of public involvement activities, 
input, comments, and concerns as well as document requests for 
information and responses to input received during the public 
involvement process. Agencies can keep records and provide feedback in 
a variety of ways. Techniques for providing feedback include: regularly 
published newsletters, special inserts into general circulation 
newspapers, radio programs, telephone hotlines with project updates, 
public access television programs, and reports or publications 
describing how projects or programs are progressing.
    Under the Environmental Protection Agency's transportation 
conformity regulations (40 CFR 51), when an MPO receives significant 
comments on a metropolitan transportation plan or TIP from the public 
or through the interagency consultation process, it must provide a 
summary, analysis, and report on how the comments were responded to as 
part of the final metropolitan transportation plan and TIP.
    14. What types of revisions to plans, TIPs, and STIPs do not 
require additional opportunity for public comment and/or publication 
under 23 CFR 450.316(b)(viii) and 23 CFR 450.212(d)?
    Minor changes in plans, TIPs, and STIPs generally can be made after 
the MPO or State DOT has completed its public comment process without 
further opportunities for public involvement. Examples may include: 
minor changes in project scope or costs, and moving minor or non-
controversial projects among the first 3 years of the TIP/STIP. 
However, MPOs and State DOTs should identify what are to be considered 
as minor changes, with the public, during the development of the public 
involvement process. What may appear to be minor to the public agency 
may not be considered minor to the public. This gives the public the 
chance to provide input on these definitions and [[Page 5512]] for a 
common understanding on the public involvement procedures to be used to 
deal with specific types of changes to TIPs and STIPs.

(23 U.S.C. 109(h), 128, and 315; 49 CFR 1.48; sections 1024, 1025, 
and 3012, Pub. L. 102-240, 105 Stat. 1914)

    Issued on: January 19, 1995.
Rodney E. Slater,
Federal Highway Adminstration.
Gordon J. Linton,
Federal Transit Administration.
[FR Doc. 95-2063 Filed 1-26-95; 8:45 am]
BILLING CODE 4910-22-P