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Tribal Transportation |
Transportation Decisionmaking Information Tools for Tribal GovernmentsDeveloping A Long Range Transportation Plan - FHWA-HEP-05-053SEPTEMBER 2005 Prepared by: FHWA Office of Planning In Coordination with: Bureau of Indian Affairs Notice: This document is disseminated under the sponsorship of the U.S. Department of Transportation in the interest of information exchange. The U.S. Government assumes no liability for the use of information contained in this document. Quality Assurance Statement: The Federal Highway Administration provides high-quality information to serve Government, industry, and the public in a manner that promotes public understanding. Standards and policies are used to ensure and maximize the quality, objectivity, utility, and integrity of its information. FHWA periodically reviews quality issues and adjusts its programs and processes to ensure continuous quality improvement. TABLE OF CONTENTSINTRODUCTION INTRODUCTIONThe Federal Highway Administration's (FHWA) Office of Planning developed this document in cooperation with the Bureau of Indian Affairs (BIA) Northwest Division; other FHWA offices (Federal Lands Highways (FLH), New York Division, and Resource Center); and the Federal Transit Administration (FTA) Office of Planning and Environment. The goal of this document is to provide a tool to assist Tribal Governments in developing a Long-Range Transportation Plan (LRTP). The Transportation Decisionmaking: Information Tools for Tribal Governments series contains modules covering different aspects of transportation planning. All modules identify linkage points between Indian Reservation Roads (IRR) transportation planning and the Statewide and metropolitan planning process. The intention of this series is to provide an overview of fundamental, conceptual techniques as well as notable practices. The first round of modules to be developed include:
The purpose of this module, Developing a Long-Range Transportation Plan (LRTP), is to provide Tribal decisionmakers and planners with a summary of the fundamental process for developing a LRTP. This module offers a general framework for developing a LRTP and provides examples of noteworthy practices by several Tribal organizations. By developing a LRTP, Tribes will benefit from two key perspectives:
The IRR Rule (25 CFR 170) identifies elements that may be included in a LRTP. The specific steps described herein are not required by Federal statute or regulation. Instead these steps represent a general process on how to develop a LRTP in support of the requirements of the IRR program, as well as the Federal Highway Administration/Federal Transit Administration statewide and metropolitan planning process. STEPS FOR DEVELOPING A LONG-RANGE TRANSPORTATION PLANThe purpose of transportation planning is to identify broad goals to meet transportation needs. The multimodal strategies for achieving these goals can and should address current and future community land use, economic development, environment (natural, human, and cultural), traffic demand, public safety, health, and social needs, among others. There are several Federal requirements that call for a LRTP. Most Tribes are familiar with this requirement in the IRR Program Final Rule (IRR Rule 25 CFR 170.410-415). Additional requirements for LRTP's can be found in the FHWA/FTA statute and regulation on Statewide and metropolitan planning (23 USC 134 and 135; and 23 CFR/49 CFR 450.214 and 450.322). Generally speaking, all the Federal regulations and the statute mentioned above require public involvement and a 20-year horizon for the LRTP to assist communities in the transportation decision-making process. Additionally, there are specific elements required for States and metropolitan areas. For Tribal governments, the IRR Rule identifies elements that may be included in the LRTP, however, there are no statutory required steps or elements for a Tribal LRTP. A comprehensive LRTP may include:
This outline covers a set of eight basic steps to consider when developing your Tribe's LRTP. It is important to note that some textbooks outline a process with as few as four steps. The important message here is that this model can be tailored to meet each Tribe's needs and resources. This module for Developing a Long-Range Transportation Plan is adapted for Tribes from the joint FHWA/FTA document titled Planning for Transportation in Rural Areas . This section is adapted from the joint FHWA/FTA document titled "Planning for Transportation in Rural Areas." These basic steps are:
The LRTP steps outlined in this module can be used to develop a LRTP as required by the IRR Rule ( 25 CFR 170.410 through 170.415) as well as a means for coordinating planning activities within the Statewide and metropolitan transportation planning processes (23/49 CFR 450.214 and 23/49 CFR 450.322). As noted earlier, the steps outlined are not to be considered prescriptive, nor are they required. As with every Tribe, each transportation planning process is unique and should be tailored to best meet local community circumstances and needs. Transportation planning provides a framework for the community to make decisions about its transportation system. The LRTP is a tool for Tribal members as well as the Tribal decisionmakers. As you set out to develop the LRTP for your Tribe, remember that a successful process does not have to be complex. There is no set length of pages. Through a focused set of Tribal meetings, your Tribe can develop a transportation plan that is suited to meet the unique needs of your Tribe. These planning activities can occur with a minimal budget. Ultimately, the plan will identify long and short-term needs that may be large or small investments. For example, the short-term budget may include either bridge improvements or perhaps only one van and one driver. Public Involvement and Consultation with Planning PartnersPublic involvement is an opportunity to capture a community's values and perceived needs, establish consensus and identify issues and concerns. T he IRR Rule and the FHWA/FTA Statewide and metropolitan planning process specify requirements related to public involvement. In fact, public involvement is perhaps the single most important component of transportation planning. Effective public involvement will result in opportunities for Tribal members to participate in the planning process. As depicted in Exhibit 2, public involvement should take place throughout the entire planning process and it is an integral component to many of the steps. Prior to adopting plans or programs, the Metropolitan Planning Organization (MPO) or State Department of Transportation (DOT) are required to 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 on the plan. The new IRR Rule found in 25 CFR 170 identifies a set of criteria for the BIA and Tribes regarding public hearings. After consultation with the appropriate Tribe and other agencies, the MPO or DOT then will determine the need for public involvement (based on the criteria) for an IRR transportation improvement program and a LRTP or project. Also, required is a public review of the draft IRR LRTP. Separate and equally important to the public involvement process is consultation with planning partners. There are consultation requirements specified in the Statewide, metropolitan and IRR statute and regulation. Consultation between planning partners is an opportunity to confer on needs of the larger community, to compare and coordinate planning approaches, and generally to communicate about the mutual vision for the transportation system that often will cross over multiple jurisdictions. The Navajo Transit System (NTS) successfully demonstrated a comprehensive process for public involvement outreach as well as consultation with planning partners while developing the Navajo Transit System.
Step One: Establish Policy Goals and ObjectivesThe first step to developing a LRTP is to discuss the goals and objectives. At this stage the Tribe is setting the overall goals for how the transportation system should be designed, built, operated and maintained over the next 20 years. LRTPs should be linked to the Tribe's land use plan and consider a full range of modal choices and investment options such as: Transportation modal choices:
Investment Options:
To be most useful, the goals should be specific enough to guide the development of the plan but at the same time flexible enough to respond to changing conditions and implementation priorities. For example, the Organized Village of Kake (OVK) in Alaska developed a transportation plan with a general goal to address:
Policy statements are also often developed as a result of goals. In the policy statement below from the Bois Forte Indian Reservation 20-year transportation plan, multiple modes are identified. Emphasis is placed on an "interconnected and efficient system." It is also important to note, this policy statement considers the transportation boundaries beyond the limits of the reservation.
Additional items to consider in the development of policy goals and objectives include:
Goals and objectives may include qualitative and quantitative characteristics. For example, one goal may be for all members of the Tribe to have access to some form of transportation. A possible objective to achieve this goal may be to establish a dial-a-ride system, accessible to all Tribal members.
Every Tribe will, of course, have different priorities and, therefore, different goals and objectives. Nevertheless, the key factor is that the goals and objectives are developed in a consultative manner--including significant public involvement--are measurable, and are used to guide plan development. Step 2: Analyze Transportation System ConditionsIn order to determine what future investments to make, the Tribe should first evaluate the existing conditions of the transportation system. There are a variety of tools/techniques available to evaluate existing conditions. To evaluate the existing system condition, you must first identify the types of system performance measures to use. The measurements will vary based on the mode. For example, service objectives for roadways may include consideration of roadway capacity, design, and safety. Examples of transit service standards are population coverage and frequency of service. The Navajo Nation provides a good example of how the first two steps support the development of a LRTP.
Factors to consider when conducting a conditions analysis:
If data collection is beyond your current resources, it is important to remember that Federal, State, and local agencies (such as the Federal Lands, BIA, State, city, and county) are valuable resources for obtaining existing system conditions data. The BIA maintains a database of Indian Reservation Roads. The State DOT may have data regarding operational and physical characteristics of the State and county system. Datasharing enables cooperating agencies to effectively utilize one another as a resource. Some areas, like Washington State, are working with Tribes to develop an accurate database of incidents on reservation roads. Another example of datasharing comes from the Executive Summary of the Grand Portage Transportation Plan:
Measurement/Monitoring of Existing System ConditionsThe steps involved in the measurement and monitoring of existing system conditions are as follows:
The types of condition information fall into the following categories:
Remember that these steps are general. Many Tribes will not develop this level of detail when measuring existing system conditions. For example, in the Organized Village of Kake Transportation Plan, factors considered are "weather, soil and topography;" "community road system;" "drainage;" "right-of-way road ownership;" and "inventory of maintenance equipment." Forecasting Future ConditionsPlans are future oriented. While they typically respond to a backlog of needs, they should address future conditions and plan for them. In rural areas, straightforward approaches can be used to forecast future conditions. There are a number of ways to estimate travel demand within the transportation planning context. These range from simple techniques such as historical trend analysis to variants of more complex computer models that require large databases of demographic and socioeconomic information to forecast travel demand. Simplified demand estimation techniques and analysis are appropriate in most Tribal planning situations. The demand analysis should identify all perceived mobility issues, impediments, and opportunities in the region. For example, if a section of roadway is thought to be unsafe and safety improvements are proposed, a detailed accident history should be compiled to support the assessment. Or, if the transportation of the elderly and/or disabled is felt to be an important transportation need, then various findings from State, regional, and local transit needs and benefits studies should provide the supporting documentation. The State DOT will be able to provide modal data, such as traffic volumes, volume/capacity ratios, accident rates, transit ridership, and the core rail system to assist in this analysis. Land use and economic development information can be accessed through: Local Comprehensive Plans
Rural Development Plans
Census Bureau
U.S. Geological Survey
Step 3: Perform Needs AnalysisTransportation system needs are most usefully assessed by evaluating the gap between the goals and objectives that are established for the transportation system and the baseline system conditions. The needs are the planned actions for addressing this gap. How much can be implemented over the planning horizon will depend in large part on finance levels. A successful needs analysis should:
In identifying the deficiencies, results from public involvement meetings/activities should be used as input, although these may be mostly subjective. According to the Grand Portage Transportation Plan:
Gap AnalysisThe needs analysis can be used to determine broad but different categories of need for achieving planning goals. A first step in a needs assessment is to measure the gap between the transportation system goals and current objectives and conditions. This requires a set of goals and objectives that can be quantified and relate to the operational and physical condition of the transportation system. The results of this gap analysis are often referred to as deficiencies. Evaluation of Alternative Strategies and Actions to Address the GapThe purpose of this step is to assess the cost and impacts on transportation system condition of alternative strategies or improvements that address transportation needs. For long-range planning purposes the needs areas can be grouped different ways. They can be organized for the different elements of the transportation system (roads, bridges, rail, etc.) and different policy goal areas (mobility, safety, preservation, economic development, environmental, etc.) that are established in the plan. Evaluation can be undertaken at a "coarse" level to consider the full range of alternative strategies and identify those meriting further consideration. These can be then subject to more detailed analysis. Select Strategies and Actions--Identify CostsFor your Tribal transportation plan, remember to consider alternative strategies for addressing deficiencies. Once a strategy is developed, the cost of implementing this strategy defines the needs. The total cost of the plan improvements is important for determining implementation. This is developed by determining the cost of implementing the selected strategies. See "Cost Estimates" under Step 5. Step 4: Set PrioritiesSince transportation needs typically outweigh expected revenues, it is important to prioritize the needs identified during the transportation planning process. Given the often overwhelming number of potential improvements it is important that the planning process has an agreed upon approach to project prioritization. The key success factors for setting priorities are:
In the case of the Grand Portage Transportation Plan, the Step 3 "Needs Analysis" outlined in this module was addressed in combination with Step 4 "Set Priorities." This again underscores the point made earlier that Tribes should customize the process to fit their needs and available resources. Step 5: Establish Funding PlanThe transportation plan needs to be realistic and usually that means fundable. A financial analysis of the specific projects that implement the transportation plan will help to ensure that it is realistic. Without tying transportation projects to reliable funding, the recommended solutions that are developed can easily become a "wish list". Principles for developing a funding plan include:
Financial Planning StepsThe following steps can be used to develop the transportation finance analysis:
These steps are not strictly sequential. For example, forecasting revenue from existing and potential sources can proceed at the same time as the identification of transportation needs. Cost EstimatesCost estimates are necessary to compare the transportation needs with available revenues. Costs should be estimated for:
On the highway side, there are well-established unit costs that can be applied to develop needs estimates for improvements. Project development costs to consider include: planning, environmental analysis and review, engineering, design, construction, right of way (property, relocation, and settlement costs), construction and maintenance costs. Use "rough" unit prices, for example, $3,000/linear foot of new roadway, $800/linear foot of new shared bike/pedestrian path, and $200/square foot for new bridge. These unit prices can come from a variety of sources such as BIA, county, State, FLH, FHWA, or FTA. Unit costs can be developed and factored for inflation. For other transportation modes there are less well established methods; however, most State DOTs are now working on developing consistent assumptions and a rigorous approach for developing cost estimates for other transportation modes.It is important to estimate transportation systems operations and maintenance costs, as these will likely consume a significant portion of the existing revenue resources. Estimates can usually be based on existing historic data. The information required is likely to be available from the finance officer of the State, transit agency, and city/county. Estimates of new costs for facilities and services will generally be based on a combination of rough estimates and specific cost estimates. Detailed cost estimates based on preliminary engineering, right-of-way appraisals, or operating plans only need to be done for the most immediate recommended improvements. Most of the recommended improvements in a long-range transportation plan will need an "order-of-magnitude" cost estimate. These estimates are based on factors such as typical "per mile" construction costs for different types of roadways or the operating costs for similar transit services in other counties. Step 6: Develop the PlanDeveloping the plan document or "putting it all together" can be a difficult process if not approached in a systematic fashion. Key success factors for developing plans include:
Just as the Statewide, MPO, and local long-range transportation plans are the basis for the Statewide Transportation Improvement Program, for the Indian Reservation Roads Program Transportation Improvement Program (IRRTIP), the LRTP is used to develop the Tribal Transportation Improvement Program and the IRRTIP. During the planning process, all technical data and methodologies used should be documented. All references and other reports cited should also be documented. Below, is a model outline for a transportation plan. General Transportation Plan FormatEXECUTIVE SUMMARY Provides an overall summary of the plan's objectives, methodology, findings, and recommendations. SECTION I: GOALS AND POLICY STATEMENTS This section presents the overall vision, goals, and objectives developed during the planning process. These form the overall umbrella for the direction of the transportation plan in terms of plan priorities. SECTION II: TRANSPORTATION ELEMENT Chapter I. Introduction The introduction outlines the purpose of the plan, the plan participants, and the organization of the document. Chapter II. Existing Conditions This section presents the existing condition of the transportation system in terms of:
Chapter III. Traffic Forecasts This section presents historical traffic trends; population and land use trends; population and demographic projections; population distribution; future land use map; and future traffic projections and trends. Chapter IV. Alternative Strategies Evaluation The alternative strategies evaluation section presents the determination of needs based upon existing conditions and traffic. It forecasts the evaluation of alternatives for traffic safety, level of service and congestion, environmental impacts, financing, community support, and consistency with plans of other agencies and jurisdictions. Chapter V. Priorities and Recommendations This section presents prioritized recommendations for improvements to the area transportation system including: level of service; new corridors; road widenings; spot/intersection widenings; realignments or channelization; traffic control or signalization; shoulder improvements; paving, bridge replacements, or other physical improvements;pedestrian, bicycle, or equestrian improvements; transit and transit facilities; and land use/transportation linkages. Chapter VI. The Financing Element of the Plan The financing section presents cost estimates for identified improvements, potential financing options, re-assessment of identified improvements based upon financial constraints, and the three-year transportation improvement program for the area. Chapter VII. Implementation and Monitoring This section provides the plan for continually monitoring the performance of the transportation system to determine the progress being made in improving system performance and to identify additional areas of improvement. SECTION III: APPENDICES
After the evaluation, analysis, and public involvement process takes place, a recommendation is made to the Tribal Council. A formal presentation should be made to the decisionmaking group, presenting the technical analysis and information gathered. As decisionmakers for the Tribe, Tribal Council members may want further information or may choose a different alternative than exactly what is presented by Tribal staff. With the technical analysis and information presented, the Tribal Council can make an informed decision. Step 7: Develop the ProgramProgramming refers to a series of activities carried out by transportation planners, including data assessment, appraisal of identified planning needs, and consideration of available or anticipated fiscal resources (i.e., funding) to result in the drawing up, scheduling, and planning of a list of identified transportation improvements for a given period of time. The programming of projects for funding should consider:
Plans often will require more funds than are available from Federal, State, and local sources traditionally dedicated to transportation funding. This means that the agencies engaged in transportation planning should identify funding mechanisms to support implementation of the transportation plan or reassess their desired levels of service. Step 8: Implement and Monitor the PlanFor a transportation plan to be successful it must be implemented effectively and its progress should be monitored against the plan's objectives, thereby providing a "feedback loop." Transportation planning includes continually monitoring the performance of the transportation system and ensuring that plans are being implemented to meet the intended objectives. The success factors for implementation and monitoring of the transportation plan include:
Less effective transportation plans typically lack an effective implementation plan and monitoring mechanism. These are required to "keep the plan alive" and ensure that the plan guides and shapes transportation decisions in the future. Transportation plans need to be periodically reviewed and updated to stay current. The IRR Program requires an annual review of the long-range transportation plan and updates every five years (see 25 CFR 170.414). ConclusionTransportation planning provides a framework for the community to make decisions about its transportation system. The LRTP is a tool for tribal members as well as the tribal decisionmakers. As you set out to develop the LRTP for your tribe, remember that the process does not need to be complex to be successful. There is no set length of pages. Through a focused set of tribal meetings, your tribe can develop a transportation plan that is suited to meet the unique needs of your tribe and can be developed with a minimal budget. Resources
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