Private Sector Involvement in the Planning Process-Making the Connections

Though federal funding for transportation services calls for the involvement of private transportation providers, and a federal initiative stresses the importance of bringing all transportation stakeholders into the planning process, as you may have experienced in your communities, often there is a disconnect between planning officials and your company. Why is this the case? Well, even for the most seasoned transportation professional, the planning processes can be convoluted and difficult to interpret, and therefore often outside the interest of the general public. The result is that often private transportation operators are not at the table during the planning process and therefore unable to form the partnerships with planning agencies, transit providers, human service agencies, and others that would allow you to connect with potential funding sources and expand transportation services and options in your community. At the same time, and despite providing mobility for large numbers of local residents-to work, to school, to business, and medical appointments, to the airport, and to many other locations-many private transportation providers may not enjoy the standing equal to the level of impact that their company has on their community, and some transportation planners may be unaware of the importance of these services in their area. These realities will be the basis for designing and delivering the training seminars.

While the involvement of private transportation operators in the planning processes has both humanistic and financial incentives, outreach to your companies is required through federal funding programs. For example, the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), legislation that provides funding for highway and transit programs, includes new coordinated planning requirements for the Federal Transit Administration's (FTA) Section 5310 (Elderly Individuals and Individuals with Disabilities), Section 5316 (Job Access and Reverse Commute, JARC) and Section 5317 (New Freedom) Programs. Projects funded through these programs must be derived from a locally developed, coordinated public transit-human services transportation plan, and this coordinated plan must be developed through a process that includes representatives of private transportation providers. So, while your involvement in the planning process is logical and important, it is also required that you be given the opportunity to participate.

Federal Private Sector Participation Requirements

The Federal Transit Administration (FTA) recognizes the indispensable role of private enterprise in meeting the transportation needs of the public. Private sector operators are important for the delivery of transportation services in every community, in their role as either direct providers of services they choose to offer the public, or as contractors who deliver public transportation or specialized transportation services. Along with experience and knowledge, the private sector brings additional resources, flexibility, and competition to the transit community. The interconnected nature of America's transportation network demands that public transportation provider's work with the private transportation industry to maintain the vitality and effectiveness of every component.

To achieve the community benefits that private sector transportation providers offer, they must participate fully in federally funded public transportation programs, from the early planning stages through the implementation of service. The information on the following web site is intended to assist both public sector and private sector parties in learning more about opportunities for private enterprise participation in the delivery of public transportation services. http://www.fta.dot.gov/planning/programs/planning_environment_7013.html

On February 24, 2004, President Bush signed the Executive Order on Human Service Transportation Coordination (EO number 13330). The Executive Order calls for action to enhance access to transportation to improve mobility; job opportunities and access to services for people who are transit dependent. The Executive Order recognizes the need to get every Federal agency with transportation programs to coordinate their efforts. The President has charged 11 agencies with the tasks of eliminating duplication and overlapping federal transportation programs; identifying useful practices and improving the coordination of federally supported transportation services at all levels. A new Council formed by the Executive Order, the Coordinating Council on Access and Mobility, is responsible for identifying and implementing strategies to improve coordination of human service transportation services over the next year.

In early 2004, the Coordinating Council on Access and Mobility launched the United We Ride initiative. This five-part program is designed to encourage government agencies and non-profit organizations to collaborate on transportation planning and to share resources in order to provide the best service for all their customers. One part of the United We Ride initiative is the "Help Along the Way Technical Assistance Program." This program builds on the work of the Community Transportation Assistance Program (CTAP), the Rural Transportation Assistance Program (RTAP), Easter Seals Project ACTION (ESPA) and other stakeholders and is intended to provide hands-on assistance to states and communities in the development and delivery of coordinated human service transportation programs.

Unfortunately, there is one the key stakeholder group that is underserved when it comes to technical assistance-private transportation operators. The groups listed above benefit from Congressional earmarked funding that provides a wealth of money for their technical assistance outreach. TLPA does not have the benefit of Federal funding. Because of this, private ground transportation operators especially taxicab companies, non-emergency medical transportation operators, paratransit van operators and other private providers of accessible transportation do not have the benefits of technical assistance programs designed to improve the coordination of human services transportation coordination.

And then on August 10, 2005, the Safe, Accountable, Flexible, Efficient Transportation Equity Act-a Legacy for Users (SAFETEA-LU) was signed into law by President Bush. In SAFETEA-LU, there are numerous opportunities for private operators to participate in the planning and provision of transportation funded by the Federal Transit Administration (FTA). There are three planning elements in SAFETEA-LU: (1) metropolitan planning for areas with populations of 50,000 or greater as of the 2000 Census, (2) statewide planning for rural, non-metropolitan communities and (3) a new planning requirement for recipients of FTA funds under the Section 5310 Elderly and Persons with Disabilities program, the Section 5316 Job Access & Reverse Commute Program and the Section 5317 New Freedom Program for coordinated human services transportation planning.

Since becoming law in 1964, the Federal Transit Act has recognized the importance of private operator participation in Federal public transportation programs. The Act provides that grants of financial assistance may be used only if the Secretary of Transportation finds that the program, to the maximum extent feasible, provides for the participation of privately owned and operated public transportation companies. Other language in the Act directs FTA grant recipients to encourage, to the maximum extent feasible, private operator participation in plans and programs required by the planning requirements in the Act. Finally, the urbanized area grant funding program requires the participation of private enterprise in the development of a program of projects to be financed and consideration of the comments and views of private operators. SAFTETEA-LU reinforces and strengthens these tenants.

SAFETEA-LU requires Metropolitan Planning Organizations (MPOs) to develop and utilize a "participation plan" that provides reasonable opportunities for interested parties including private operators, to comment on the metropolitan transportation plan and metropolitan Transportation Improvement Plan (TIP). Therefore, it is important that every company in the private for-hire passenger transportation industry that wants to participate in the New Freedom program; the Job Access and Reverse Commute program; the Section 5310 Elderly and People with Disabilities Capital program; the United We Ride initiative; and other SAFETEA-LU funded programs, get involved in their local MPO, Statewide planning and coordinated human services transportation planning processes.

Frequently Asked Questions

What is the transportation planning process?
Transportation planning plays a fundamental role in a state, region or community's vision for its future. Transportation planning is a cooperative process designed to foster involvement by all users of the system, such as the business community, community groups, environmental organizations, the traveling public, private transportation providers, freight operators, and the general public, through a proactive public participation process conducted by the Metropolitan Planning Organization (MPO), state Department of Transportation (state DOT), and transit operators. Transportation planning includes a number of steps:

• Monitoring existing conditions;
• Forecasting future population and employment growth, including assessing projected land uses in the region and identifying major growth corridors;
• Identifying current and projected future transportation problems and needs and analyzing, through detailed planning studies, various transportation improvement strategies to address those needs;
• Developing long-range plans and short-range programs of alternative capital improvement and operational strategies for moving people and goods;
• Estimating the impact of recommended future improvements to the transportation system on environmental features, including air quality; and
• Developing a financial plan for securing sufficient revenues to cover the costs of implementing strategies.

What is a Metropolitan Planning Organization and what are its typical functions?
A Metropolitan Planning Organization (MPO) is a transportation policy-making body made up of representatives from local government and transportation agencies with authority and responsibility in metropolitan planning areas. Federal legislation passed in the early 1970s required the formation of an MPO for any urbanized area (UA) with a population greater than 50,000. MPOs were created in order to ensure that existing and future expenditures for transportation projects and programs were based on a continuing, cooperative and comprehensive (3-C) planning process. Federal funding for transportation projects and programs is channeled through the MPO. Note that some MPOs are found within agencies such as Regional Planning Organizations (RPOs), Councils of Governments (COGs), and others. [TLPA has developed a list of MPOs. TLPA members who want to participate in their local planning process should use this list to identify their local MPO. It is can found in the Members Only Resource Center area of the TLPA web site: www.tlpa.org.]

There are five core functions of an MPO:

• Establish a setting: Establish and manage a fair and impartial setting for effective regional decision-making in the metropolitan area.
• Identify and evaluate alternative transportation improvement options: Use data and planning methods to generate and evaluate alternatives. Planning studies and evaluations are included in the Unified Planning Work Program (UPWP).
• Prepare and maintain a Metropolitan Transportation Plan (MTP): Develop and update a long-range transportation plan for the metropolitan area covering a planning horizon of at least twenty years that fosters (1) mobility and access for people and goods, (2) efficient system performance and preservation, and (3) good quality of life.
• Develop a Transportation Improvement Program (TIP): Develop a short-range (four-year) program of transportation improvements based on the long-range transportation plan; the TIP should be designed to achieve the area's goals by using spending, regulating, operating, management, and financial tools.
• Involve the public: Involve the general public [including private transportation service providers] and other affected constituencies in the four essential functions listed above.

In accordance with federal regulations, the MPO is required to carry out metropolitan transportation planning in cooperation with the state and with operators of publicly owned transit services. The MPO approves the metropolitan transportation plan. Both the governor and the MPO approve the TIP. Most MPOs will not take the lead in implementing transportation projects, but will provide an overall coordination role in planning and programming funds for projects and operations. The MPO must involve local transportation providers in the planning process by including transit agencies, state and local highway departments, airport authorities, maritime operators, rail-freight operators, Amtrak, port operators, private providers of public transportation, and others within the MPO region. From an organizational perspective, there is no required structure for an MPO; serving as a decision-making policy body, an MPO may be composed of a policy or executive board, or technical and citizen advisory committees, or a director and staff.

MPO staff assists the MPO board by preparing documents, fostering interagency coordination, facilitating public input and feedback, and managing the planning process. The MPO staff may also provide committees with technical assessments and evaluations of proposed transportation initiatives. The MPO staff may also engage consultants to generate needed data. A technical advisory committee may then provide recommendations to the board on specific strategies or projects. An advisory committee may also provide technical analysis, specialized knowledge, and citizen input on specific issues. It is common for an MPO to have a Technical Advisory Committee and Citizen Advisory Committee, and to have subcommittees on specific issues such as environmental justice, bicycle issues, or travel demand modeling.

What is a state DOT and what are its typical functions?
Each of the U.S. states, Puerto Rico, and the District of Columbia have an agency or department with official transportation planning, programming, and project implementation responsibility for that state or territory, referred to as the state DOT. In addition to transportation planning responsibilities, these agencies may have responsibility for the design, construction, operation, or maintenance of state facilities for multiple modes of transportation (including air, water, and surface transportation). State departments of transportation also work cooperatively with tolling authorities, ports, local agencies, and special districts that own, operate, or maintain different portions of the transportation network, or individual facilities. Primary transportation planning functions of the state DOT are to:

• Prepare and Maintain a Long-Range Statewide Transportation Plan: Develop and update a long-range transportation plan for the state. Plans vary from state to state and may be broad and policy-oriented, or may contain a specific list of projects.
• Develop a Statewide Transportation Improvement Program (STIP): Develop a program of transportation projects based on the state's long-range transportation plan and designed to serve the state's goals by using spending, regulating, operating, management, and financial tools. For metropolitan areas, the STIP incorporates the TIP developed by the MPO.
• Involve the public: Involve the general public (including private transportation operators) and all of the other affected constituencies in the essential functions listed above.

What are the relationships among the MPO, the state DOT, and other agencies involved in transportation planning and project implementation?
Transportation planning must be cooperative because no single agency has responsibility for the entire transportation system. For example, some roads that are part of the Interstate Highway System are subject to certain standards and are usually maintained by a state DOT. Others are county arterials or city streets, which are designed, operated, and maintained by counties or local municipalities. Transit systems are often built, operated, and maintained by a separate entity. In metropolitan areas, the MPO is responsible for actively seeking the participation of all relevant agencies and stakeholders in the planning process; similarly, the state DOT is responsible for activities outside metropolitan areas. The MPO and state DOT also work together. For example, a state DOT staff person may sit on the MPO board. The state DOT follows special requirements to document its process for consulting with officials from local governments located outside the metropolitan area. This process is separate and distinct from the broad public involvement process and must be documented separately. It provides an opportunity for local officials to participate in the development of the long-range statewide transportation plan and the Statewide Transportation Improvement Program (STIP).

How does FTA monitor opportunities for private enterprise participation?
On an ongoing basis, FTA Regional Offices and FHWA Division Offices jointly oversee local planning efforts. At least every four years, FTA and the Federal Highway Administration (FHWA) jointly review planning processes in each state to ensure that they are being carried out in compliance with federal requirements. At least once every four years, FTA and FHWA also jointly review planning processes in each of the largest metropolitan areas (over 200,000 in population) and certify that they are meeting all statutory and regulatory requirements. Private enterprise participation in these planning processes is one of the planning elements monitored. FTA conducts about 180 Triennial Reviews each year, completing a review of all grant recipients of urbanized area formula funds every three years. The Triennial Review includes a review of the grantee's oversight of private provider performance and compliance with FTA regulations, including the statutory protections for the private sector. Similarly, FTA conducts periodic State Management Reviews of the states' administration of the non-urbanized, Elderly and Persons with Disabilities, JARC, and New Freedom programs. If FTA finds, when conducting oversights or reviews, that a grantee has not met these requirements, FTA will seek appropriate action by the grantee to come into compliance.

What should a private sector operator do if it is not being given the opportunity to participate in community transportation planning?
If a private sector transportation provider believes that he or she is not being afforded the opportunity to participate in state or local metropolitan transportation planning, then the operator should first contact the responsible planning organization for the local area, i.e., the MPO in urbanized areas and state DOT in rural areas. The operator should convey his or her interest in becoming involved in local planning processes and attempt to work through any problems. Federal requirements for private sector participation in the transportation planning work in metropolitan and rural areas are clear and specific, and an expression of interest or discussion of the issues may serve to address the problems. If the private operator is not satisfied with the results, the next step is to contact the responsible FTA Regional Office regarding his or her concerns, including as many specifics as possible about the complaint. While FTA does not mandate specific procedures to foster private sector participation in the operation of transit services, an opportunity for private participation in metropolitan and statewide planning is required for MPOs and state DOTs.