Transportation for Communities - Advancing Projects Through Partnerships

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Agency View - State DOT

Transportation for Communities recognizes four partner agencies (FHWA, state DOT, MPO, and resource agency) within transportation decision making. Each partner has specific interests related to their organization's mission, and their individual role in the transportation process is based primarily on these interests. The identified interests of each decision making partner provide the basis for much of the information available in the Decision Guide.

State DOTs are most often the transportation agency with project implementation responsibility for their state or territory. Based on this responsibility, the state DOT has the primary decision maker role during environmental review and permitting. As the agency responsible for developing the State Transportation Improvement Program (STIP), the DOT also has decision-making authority during many of the key decisions in the programming phase. In both long range planning and corridor planning, the state often acts as an advisor in the urban area. However, in rural areas of the state the DOT is the decision maker for both transportation planning and programming.

There are four possible partner roles in Transportation for Communities. The specific partner role can change from one key decision to the next throughout the phases, and multiple partners can have the same role.

Decision Maker - The agency or agencies that either acts as the lead agency or is required to take legal action in the decision-making process. This partner has the ability to stop the process if agency interests are not being met at this decision.

Advisor - A decision-making partner who provides feedback as to whether the decision is supported or opposed and whether there are particular issues of concern. While this partner cannot stop the process at the key decision, their feedback may be crucial input for future key decisions.

Observer - A decision-making partner with limited involvement in a decision. This partner is kept updated but does not provide direction.

No Role - A decision-making partner is completely uninvolved at the decision because the resulting action is outside of their agencyÃ¢â‚¬â„¢s involvement in the process.

The appropriate role for the state DOT in both rural and urban planning and programming is available within the Decision Guide. Each key decision contains a summary of the partner roles in the Basics tab. The graphic below provides the specific role of the state DOT in urban areas as you roll over each key decision. When you click on the key decision, you will have access to all of the data available to support that decision, including the DOT role in rural areas. Understanding partner roles and how they change throughout the transportation decision making process is essential to ensuring collaboration.

To get a snapshot of each Key Decision, roll over the Decision Guide graphic below. Click on any individual Key Decision to access detailed information including: purpose and anticipated outcomes; partner roles; integration with external planning processes; linkages across phases; questions to assist decision makers; and data, tools, technologies that support the decision.

Print this page with the Decision Guide.

LONG RANGE TRANSPORTATION PLANNING

LRP-1

Advisor - ensures that LRTP development meets federal requirements and incorporates the state's interests as appropriate

LRP-1 Approve Scope of LRTP Process

LRP-2

Advisor - provides state goals to inform regional goal development

LRP-2 Approve Vision and Goals

LRP-3

Advisor - provides an understanding of state data to support criteria and performance measures

LRP-3 Approve Evaluation Criteria, Methods and Measures

LRP-4

Advisor - ensures identified deficiencies are clearly defined and include state needs

LRP-4 Approve Transportation Deficiencies

LRP-5

Advisor - ensures assumptions of anticipated revenue is consistent with state perspective

LRP-5 Approve Financial Assumptions

LRP-6

Advisor - ensures the process is inclusive, meets federal requirements, and is compatible with state needs and goals

LRP-6 Approve Strategies

LRP-7

Advisor - provides information on state perspective and compatible interests

LRP-7 Approve Plan Scenarios

LRP-8

Advisor - ensures the adopted preferred scenario is compatible with state needs and plans

LRP-8 Adopt Preferred Plan Scenario

LRP-9

Advisor - provides support and participation as needed in air quality conformity analysis

LRP-9 Adopt Finding of Conformity by MPO

LRP-10

Advisor - ensures that the LRTP meets all federal requirements and state interests

LRP-10 Adopt LRTP by MPO

LRP-11

Observer - observes final conformity determination for LRTP

LRP-11 Approve Conformity Analysis

LRP-1 -- Approve Scope of LRTP Process
The scoping key decision involves a broad assessment of the data, decisions, and relationships to consider, acquire, or make throughout the entire long range transportation plan (LRTP) process.

LRP-2 -- Approve Vision and Goals
At this key decision, the community's values, whether stated as a vision and goals or simply agreed upon by the stakeholders for the planning area, are used to guide the transportation-specific vision and goals.

LRP-3 -- Approve Evaluation Criteria, Methods and Measures
At this key decision the evaluation criteria, methodology and performance measures are approved that will allow decision-makers to compare scenarios to the vision and goals and to one another.

LRP-4 -- Approve Transportation Deficiencies
The approved list of specific corridors, roads and areas which are deficient identified at this key decision serves as a basis for problems and opportunities addressed in both the corridor planning and environmental review processes.

LRP-5 -- Approve Financial Assumptions
At this key decision information from the Programming / Fiscal Constraint Phase is introduced into the LRTP decision making process.

LRP-6 -- Approve Strategies
Strategies are developed to address the deficiencies identified in LRP-4. A strategy is a specific tactic or policy employed or recommended by an organization.

LRP-7 -- Approve Plan Scenarios
Scenarios are based on approved strategies and are compared using the evaluation criteria, methodology and performance measures.

LRP-8 -- Adopt Preferred Plan Scenario
At this key decision, a preferred plan scenario is adopted for inclusion in the Draft LRTP.

LRP-9 -- Adopt Finding of Conformity by MPO
Air Quality conformity analysis is done within the air quality process in order to validate that the preferred scenario meets current conformity requirements.

LRP-10 -- Adopt LRTP by MPO
At this key decision a final plan is adopted by the MPO board.

LRP-11 -- Approve Conformity Analysis
This is a legally required decision consisting of the federal approval of conformity of the LRTP.

PROGRAMMING

PRO-1

Advisor - provides support for appropriate inclusion of state and federal revenue sources

PRO-1 Approve Revenue Sources

PRO-2

Advisor - ensures project costs and revenue allocation are reasonable and consistent with state plans and programs

PRO-2 Approve Methodology for Identifying Project Costs and Criteria for Allocating Revenue

PRO-3

Advisor - provides support for project identification as needed

PRO-3 Approve Project List Drawn from Adopted Plan Scenario or Solution Set

PRO-4

Advisor - provides state perspective on project prioritization

PRO-4 Approve Project Prioritization

PRO-5

Advisor - ensures that the Draft TIP is compatible with state programs prior to public review and comment

PRO-5 Reach Consensus on Draft TIP

PRO-6

Advisor - provides state perspective and information as needed to inform adoption

PRO-6 Adopt TIP by MPO

PRO-7

Decision Maker - recommends TIP to the Governor for incorporation into the STIP

PRO-7 Approve TIP by Governor and Incorporate into Draft STIP

PRO-8

Decision Maker - prepares the Draft STIP for public review and comment

PRO-8 Reach Consensus on Draft STIP

PRO-9

Advisor - provides information required for approval of the STIP as needed

PRO-9 Approve STIP with respect to Conformity and Fiscal Constraint

CORRIDOR PLANNING

COR-1

Advisor (urban) - provides an understanding of state needs and plans with respect to the corridor

COR-1 Approve Scope of Corridor Planning Process

COR-2

Advisor (urban) - ensures problems and opportunities are comprehensive and documented

COR-2 Approve Problem Statements and Opportunities

COR-3

Advisor (urban) - provides an understanding of state goals with respect to the corridor

COR-3 Approve Goals for the Corridor

COR-4

Advisor (urban) - ensures that the study is adequate to support environmental review

COR-4 Reach Consensus on Scope of Environmental Review and Analysis

COR-5

Advisor (urban) - provides an understanding of state support for criteria and performance measures

COR-5 Approve Evaluation Criteria, Methods and Measures

COR-6

Advisor (urban) - ensures the process is broadly inclusive with options that may be implemented

COR-6 Approve Range of Solution Sets

COR-7

Advisor (urban) - ensures the adopted preferred solution set is compatible with state interests and the adopted LRTP

COR-7 Adopt Preferred Solution Set

COR-8

Advisor (urban) - ensures prioritization process is inclusive and equitable

COR-8 Approve Evaluation Criteria, Methods and Measures for Prioritization of Projects

COR-9

Advisor (urban) - ensures the adopted priorities are compatible with state plans and programs

COR-9 Adopt Priorities for Implementation

ENVIRONMENTAL REVIEW/NEPA MERGED WITH PERMITTING

ENV-1

Decision Maker - ensures the project scope is comprehensive and inclusive of all interested parties

ENV-1 Reach Consensus on Scope of Environmental Review

ENV-2

Advisor - ensures the NOI meets federal requirements

ENV-2 Approve Notice of Intent

ENV-3

Decision Maker - ensures purpose and need is supported and documented with agreement by all partners

ENV-3 Approve Purpose and Need/Reach Consensus on Project Purpose

ENV-4

Decision Maker - ensures a comprehensive study area for initiating the consideration of alternatives

ENV-4 Reach Consensus on Study Area

ENV-5

Decision Maker - ensures the approved evaluation criteria allows full consideration of all reasonable alternatives

ENV-5 Approve Evaluation Criteria, Methods and Measures

ENV-6

Decision Maker - ensures the full range of alternatives is broadly inclusive, meets federal requirements, and is well documented

ENV-6 Approve Full Range of Alternatives

ENV-7

Decision Maker - ensures the selection of alternatives to be carried forward is defendable and well documented

ENV-7 Approve Alternatives to be Carried Forward

ENV-8

Decision maker - ensures the Draft EIS with conceptual mitigation meets federal requirements and is adequate for public review

ENV-8 Approve Draft EIS with Conceptual Mitigation

ENV-9

Observer - observes the public notice required for permitting

ENV-9 Approve Resource Agency Public Notice

ENV-10

Decision maker - ensures the approved preferred alternative/LEDPA is well documented and supported by all partners

ENV-10 Approve Preferred Alternative/
LEDPA

ENV-11

Advisor - provides information necessary for USACE to make a jurisdictional determination

ENV-11 Approve Final Jurisdictional Determination

ENV-12

Decision maker - approves avoidance and minimization that will be possible to incorporate in the project.

ENV-12 Reach Consensus on Avoidance and Minimization for the LEDPA

ENV-13

Advisor - provides support for the final EIS as needed

ENV-13 Approve Final EIS

ENV-14

Advisor - provides support for approval of the ROD as needed

ENV-14 Approve the Record of Decision

ENV-15

Advisor - provides support for approval of the permit as needed

ENV-15 Render Permit Decision and Approve Avoidance and Minimization

ENV-1 -- Reach Consensus on Scope of Environmental Review
Consensus is reached on the data, decisions and relationships that need to be considered, acquired or made throughout environmental review and permitting. The scope is informed by the adopted plans and current information from plans in process. Relationships with planning partners are formed.

ENV-2 -- Approve Notice of Intent
This key decision is required to satisfy the legal requirement of publishing a Notice of Intent (NOI) to inform partners and the public of the commencement of the environmental review phase.

ENV-3 -- Approve Purpose and Need/Reach Consensus on Project Purpose
Document the agreed to purpose and need for both NEPA and the Section 404 permitting process. Integration with land use partners and stakeholder input are important at this step, to substantiate and refine the project purpose and need. There is a strong relationship between this key decision and the planning processes.

ENV-4 -- Reach Consensus on Study Area
Consensus on an initial geographic area of study (the area within which any alternatives will fall) is reached. The study area is closely linked to the purpose and need and is informed by transportation and other planning processes.

ENV-5 -- Approve Evaluation Criteria, Methods and Measures
Evaluation criteria, methods and measures are used to compare how alternatives meet the purpose and need. The criteria used in long range and corridor planning as well as land use, ecological planning and capital improvement data are considered.

ENV-6 -- Approve Full Range of Alternatives
A full range of possible project alternatives to meet the purpose and need is identified. Information about both selected and eliminated scenarios and solution sets from long range transportation planning and corridor planning inform the range of alternatives approved at this step.

ENV-7 -- Approve Alternatives to be Carried Forward
This shared step between the NEPA and permitting processes involves the approval of the alternatives that are suggested to be carried forward. There is essential information created in long range planning and corridor planning that informs this decision.

ENV-8 -- Approve Draft EIS with Conceptual Mitigation
This is a formal approval point at which the Draft EIS with conceptual mitigation is approved and circulated for public review. Land use partners indicate their support of any land use policy changes that would be required to implement the recommendations in the Draft EIS.

ENV-9 -- Approve Resource Agency Public Notice
This key decision is required to satisfy the regulatory requirement for Section 404 permitting that the public receive notice of a permit application.

ENV-10 -- Approve Preferred Alternative/
LEDPA
Decision makers approve a preferred project alternative/LEDPA using input from stakeholders, planning partners, and detailed information about potential impacts, and validate that the preferred alternative is consistent with the LRTP and TIP/STIP.

ENV-11 -- Approve Final Jurisdictional Determination
This decision is a required procedural step in the Section 404 permitting process. At this step, a final determination of jurisdictional waters of the United States in the project area is made.

ENV-12 -- Reach Consensus on Avoidance and Minimization for the LEDPA
Following selection of the preferred alternative/LEDPA, partners reach consensus on additional avoidance and minimization measures not included in the preliminary design.

ENV-13 -- Approve Final EIS
A final EIS is approved that meets all legal requirements and addresses comments received on the Draft EIS.

ENV-14 -- Approve the Record of Decision
At this step in the environmental review phase, the Record of Decision is issued.

ENV-15 -- Render Permit Decision and Approve Avoidance and Minimization
At this final step in the environmental review phase, the final permit decision is rendered.

State DOT Roles - By Key Decision

Long Range Transportation Planning
Role Summary	Advisor
Interests	DOT wants to ensure that the long range planning process/resulting plan: Considers state needs and deficiencies equally with other concerns. Reflects interconnectivity decisions that will not adversely affect the state's system. Does not create a problem for design, maintenance, operations, and expansion. Considers how proposed uses in ROW affect functional classification and system ownership. Conforms with the TIP/STIP. Meets air quality conformity.
Corridor Planning
Role Summary	Advisor in an urban area Decision maker in a rural area
Interests	DOT wants to ensure that the corridor planning process/resulting plan: Is conducted in a way that information can be transferred to the NEPA process. Identifies projects that can be implemented. Identifies a study area and solution set broad enough to address the corridor issues and a package of improvements, including, if needed, multiple projects and various modes. Integrates transportation and land use. Develops/encourages a CSS process. Is inclusive and collaborative. Builds on the foundation of the LRTP. Determines the extent of and facilitates a resolution to major social, economic, and environmental impacts. Protects transportation investments and the opportunity to direct future investments to accommodate transportation needs and minimize social, economic, and environmental impacts. Identifies programmatic approaches to issues.
Programming Integrated with Fiscal Constraint
Role Summary	Advisor during TIP development Decision maker for development of the STIP, including incorporation of the TIP
Interests	DOT is interested in whether programming and the resulting TIP/STIP: Are in agreement. Use all available funding sources. Meet project selection criteria and outcome based performance measures. Equally represent all areas of the state and include all MPOs. Are fiscally constrained. Conform to air quality requirements.
Environmental Review Merged with Permitting
Role Summary	Decision maker throughout much of the environmental review phase Advisor on several permitting key decisions
Interests	DOT is interested in whether the environmental review process/environmental document: Builds on previous processes. Is comprehensive and fully disclosed. Incorporates input from regulatory agencies and other partners. Begins after funding is identified for a project. Meets FHWA approval. Is streamlined (i.e., all agree to participate meaningfully in the process to meet performance based budget and schedule). Is based on an agreement among all partners as to the content of the NEPA document. Is inclusive of the public and stakeholders.

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