Appendices Next Page
Preventing Discrimination in the Federal Aid Program:
A Systematic and Interdisciplinary Approach
The following narrative describes the Federal-aid highway program. It is primarily
for the guidance of Federal and State Civil Rights personnel as well as Federal
and State program personnel since both groups charged with the effective execution
of nondiscrimination laws and regulations relating to the Federal-aid highway
process. The information and terms used in this guide may vary from State to State.
Therefore, questions regarding how the Federal-aid highway process is carried out
in any particular State should be directed to appropriate program area personnel.
It should further serve as an opportunity for Civil Rights personnel and program
area personnel to work closely in carrying out their mutual nondiscrimination
The planning process
There are various analysis and studies which are completed in the process of developing
an efficient transportation plan. States have the primary responsibility for preparing
and maintaining the statewide plan and the Statewide Transportation Improvement
Program (STIP). Many Metropolitan Planning Organizations (MPO) have their own staff
which perform most of the technical work. Other MPOs rely on a consortium of State
and local government staff to perform the necessary technical analysis. In the smaller
urban areas, the State may do the analysis for the MPO. Occasionally, when MPOs do
not have the capabilities, consultants may be hired to conduct planning studies, traffic
studies, corridor studies, or other highly technical work.
Major changes were made in the planning process by ISTEA. The changes are reflected
in the implementing rules 23 Code of Federal Regulations (CFR) 450, jointly published
by FHWA and the Federal Transit Administration (FTA) in the October 28, 1993, Federal
Register. Subpart B covers statewide planning and Subpart C covers metropolitan planning.
Related regulations are in 23 CFR 500 deaIing with Management and Monitoring Systems
and in 40 CFR 51 and 93, dealing with air quality conformity. Implementation of the
Federal planning requirements is a cooperative process involving several key agencies.
The FTA and FHWA jointly oversee the planning process.
B. Statewide Planning
A statewide transportation planning process is now required. There was no requirement
for statewide planning prior to ISTEA. The statewide transportation planning process
produces long-range intermodal statewide transportation plans and short-range programs
of projects. The decision-making effort for this process is open for input from a variety
of participants and any others who wish to be involved. The short-range program of
projects is called a STIP and must include at least all projects proposed to be funded
by Title 23 or FTA funds. The ISTEA and the rules contain a list of 23 factors that
must be considered in the statewide planning process. The 23 factors are listed here
and at 23 CFR 450.208.
Factors Considered in the Statewide Planning Process
1. The transportation needs (strategies and other results) identified through the
management systems required by 23 United States Code (U.S.C.) 303 (modified
by the National Highway System).
2. Any Federal, State, or local energy use goals, objectives, programs, or requirements.
3. Strategies for incorporating bicycle transportation facilities and pedestrian
walkways in appropriate projects throughout the State.
4. International border crossings and access to ports, airports, intermodal transportation
facilities, major freight distribution routes, national parks, recreation
and scenic areas, monuments and historic sites, and military installations.
111 the planning process
5. The transportation needs of nonmetropolitan areas (areas outside of MPO planning
boundaries) through a process that includes consultation with local elected officials
with jurisdiction over transportation.
6. Any metropolitan area plan developed pursuant to 23 U.S.C. 134 and Section 8 of
the Federal Transit Act, 49 U.S.C. app. 1607.
7. Connection between metropolitan planning areas within the State and with
metropolitan planning areas in other States.
8. Recreational travel and tourism;
9. Any State plan developed pursuant to the Federal Water Pollution Control Act,
33 U.S.C. 1251 et seq. (and in addition to plans pursuant to the Coastal Zone
10. Transportation system management and investment strategies designed to make
the most efficient use of existing transportation facilities (including consideration
of a11 transportation modes).
11. The overall social, economic, energy, and environmental effects of transportation
decisions (including housing and community development effects and effects on
the human, natural, and manmade environments).
12. Methods to reduce traffic congestion and to prevent traffic congestion from
developing in areas where it does not yet occur, including methods which reduce
motor vehicle travel, particularly single-occupant motor vehicle travel.
13. Methods to expand and enhance appropriate transit services and to increase the
use of such services (including commuter rail).
14. The effect of transportation decisions on land use and land development, including
the need for consistency between transportation decision-making and the provisions
of all applicable short-range and long-range land use and development plans (analysis
should include projections of economic, demographic, environmental protection,
growth management and land use activities consistent with development goals and
transportation demand projections).
15. Strategies for identifying and implementing transportation enhancements where
appropriate throughout the State.
16. The use of innovative mechanisms for financing projects, including value-capture
pricing, tolls, and congestion pricing.
17. Preservation of rights-of-way for construction of future transportation projects,
including identification of unused rights-of-way which may be needed for future
transportation corridors, identification of those corridors for which action is
most needed to prevent destruction or loss (including strategies for preventing
loss of rights-of-way).
18. Long-range needs of the State transportation system for movement of persons
19. Methods to enhance the efficient movement of commercial motor vehicles.
20. The use of life-cycle costs in the design and engineering of bridges, tunnels,
21. The coordination of transportation plans programs developed for metropolitan
planning areas of the State under 23 U.S.C. 134 and Section 8 of the Federal Transit
Act with the statewide transportation plans and programs developed under this
subpart, and the reconciliation of such plans and programs as necessary to ensure
connectivity within transportation systems.
22. Investment strategies to improve adjoining State and local roads that support rural
economic growth and tourism development, Federal agency renewable resources managemnt,
and multipurpose land management practices, including recreation development.
23. The concerns of Indian tribal governments having jurisdiction over lands within
the boundaries of the State.
C. Metropolitan Planning
The planning process that has been required since the 1962 Highway Act has been greatly
enhanced by ISTEA. Just like the statewide planning process, the metropolitan planning
process must produce a long-range plan and transportation improvement program
(TIP) that includes at least all projects that are to be Title 23- or FTA-funded and all
others involving an FHWA or FTA approval action. Financial considerations, movement
of environmental considerations into the planning process, etc., are emphasized in
the ISTEA and in the implementing rules. The ISTEA and its rules contain a list of 15
factors that must be considered in the metropolitan planning process. The National
Highway Designation Act of 1995 added a sixteenth item referred to as Recreational
Travel and Tourism. These factors are listed below and in 23 CFR 450.316.
16 Factors Considered in the Metropolitan Planning Process
1. Preservation of existing transportation facilities and, where practical, ways to meet
transportation needs by using existing transportation facilities more efficiently.
2. Consistency of transportation planning with applicable Federal, State, and local
energy conservation programs, goals, and objectives.
3. The need to relieve congestion and prevent congestion from occurring where it
does not yet occur including:
a. The consideration of congestion management strategies or actions which improve
the mobility of people and goods in all phases of the planning process; and
b. In Transportation Management Areas, a congestion management system that
provides for effective management of new and existing transportation facilities
through the use of travel demand reduction and operation management
strategies (e.g., various elements of Intelligent Transportation Systems) shall
be developed in accordance with Section 450.320.
4. The likely effect of transportation policy decisions on land use and development
and the consistency of transportation plans and programs with the provisions of
all applicable short- and long-term land use and development plans. The analysis
should include projections of metropolitan planning area economic, demographic,
environmental protection, growth management, and land use activities consistent
with metropolitan and local/central city development goals (community, economic,
housing, etc.), and projections of potential transportation demands based on the
inter-related level of activity in these areas.
5. Programming of expenditures for transportation enhancement activities as required
under 23 U.S.C. 133.
6. The effects of all transportation projects to be undertaken within the metropolitan
planning area, without regard to the source of funding (the analysis shall consider
the effectiveness, cost effectiveness, and financing of alternative investments in
meeting transportation demands and supporting the overall efficiency and effectiveness
of transportation system performance and related impacts on community/centraI
city goals regarding social and economic development, housing, and employment).
7. International border crossings and access to ports, airports, intermodal transportation
facilities, major freight distribution routes, national parks, recreation areas,
monuments and historic sites, and military installations (supporting technical efforts
should provide an analysis of goods and services movement problem areas, as
determined in cooperation with appropriate private sector involvement, including,
but not limited to, addressing interconnected transportation access and service
needs of intermodal facilities).
8. Connectivity of roads within metropolitan planning areas with roads outside of
9. Transportation needs identified through the use of the management systems required
under 23 U.S.C. 303 (strategies identified under each management system will be
analyzed during the development of the transportation plan, including its financial
component, for possible inclusion in the metropolitan plan and TIP).
10. Preservation of rights-of-way for construction of future transportation projects,
including future transportation corridors.
11. Enhancement of the efficient movement of freight.
12. The use of life-cycle costs in the design and engineering of bridges, tunnels,
or pavement (operating and maintenance costs must be considered in analyzing
13. The overall social, economic, energy, and environmenta1 effects of transportation
decisions (including consideration of the effects and impacts of the plan on the
human, natural and man-made environment such as housing, employment and
community development, consultation with appropriate resource and permit agencies
to ensure early and continued coordination with environmental resource protection
and management plans, and appropriate emphasis on transportation related air
quality problems in support of the requirements of 23 U.S.C. 109(h), and section 14
of the Federal Transit Act (49 U.S.C. l6l0), section 4(f) of the DOT Act (49 U.S.C. 303)
and section 174(b) of the Clean Air Act (42 U.S.C. 7504(b)).
14. Expansion, enhancement, and increased use of transit services.
15. Capital investments that would result in increased security in transit systems.
16. Tourism and recreation.
Long-range plans frame the State’s long-range transportation goals and objectives
for the State and/or region. Projects should be identified and programmed on the
STIP and ultimately implemented. The projects implemented from the STIP should be
in line with the goals and objectives identified in the long-range plan.
Projects are placed on the STIP or TIP through a cooperative process involving the
State DOT, MPOs, and transit operators. Project priorities are established in the TIP
development process and revised through procedures that meet the project selection
stipulations in 23 U.S.C. 134 and 135 for the various funding categories. An implementing
agency then advances projects from the approved STIP.
D. Potential TitIe VI Issues and Suggested Mitigation of Adverse Impacts
Plans and programs have the potential of being discriminatory in more subtle ways
than projects. The major area of impact by plans and programs is through decisions
which identify one or more planned improvements over other options. This consequence
may result from procedures and processes that shut a group out of the process, or
from the failure to consider the impacts of various transportation system alternatives
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