[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]]
_______________________________________________________________________
Part III
Department of Transportation
_______________________________________________________________________
Federal Highway Administration
Federal Transit Administration
_______________________________________________________________________
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]
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