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Headquarters Agreement on Transportation Planning Program Coordination

FHWA Office of Planning
FTA Office of Systems Planning

February 11, 2005

I. INTRODUCTION AND OBJECTIVE

The Secretary of Transportation delegated the oversight and administration of Statewide and metropolitan transportation planning programs to the Federal Highway Administration (FHWA) and Federal Transit Administration (FTA). Since 1976, FHWA and FTA have jointly developed regulations, guidance, and outreach to ensure effective, accountable administration of the corresponding program elements.

On August 24, 2003 and September 2, 2003, the Federal Transit Administrator and Federal Highway Administrator, respectively, signed the FHWA/FTA Planning Collaboration Initiative (PCI) National Memorandum of Action (MOA) to facilitate the fulfillment of these joint Statewide and metropolitan transportation planning program obligations. The goal of the National MOA is to establish a fundamental framework to improve the collective effectiveness of FHWA/FTA planning units and staffs, based on a set of guiding principles.

The National MOA calls for the respective FHWA and FTA field offices to develop and implement field-level MOAs that utilize the National MOA's guiding principles. Along similar lines, the FHWA Office of Planning and FTA Office of Systems Planning have developed this Headquarters-level agreement on the general conduct of business related to each office's core operating areas: (a) planning program oversight and stewardship and (b) transportation planning capacity building.

II. GUIDING PRINCIPLES OF THIS AGREEMENT

The provisions, conditions, and terms of this Headquarters agreement are based on the guiding principles in the FHWA/FTA PCI National MOA, as summarized below:

1. Clearly define agency roles and responsibilities at the office and program levels;
2. Improve coordination and communication at the office and program levels to promote the delivery of timely, high-quality transportation planning products and outcomes to external customers;
3. Leverage available agency resources;
4. Utilize technology to increase efficiency of program administration and delivery;
5. Create opportunities to build the program and technical capacity and skills of each office through formal and informal mechanisms;
6. Systematically measure performance at the office and program levels; and
7. Promote collaboration through the establishment of protocols that facilitate conflict resolution.

III. TYPES OF PRODUCTS COVERED UNDER THIS AGREEMENT

The FHWA Office of Planning and FTA Office of Systems Planning jointly develop and disseminate a wide variety of products and materials pertaining to Statewide and metropolitan transportation planning programs that speak to two core business functions: (a) planning program oversight and stewardship and (b) transportation planning capacity building. Although not all-inclusive, the following is an illustrative list of the jointly-developed products generally covered under this agreement:

1. Planning Program Oversight and Stewardship:
   • Notifications and informational correspondence to FHWA/FTA field offices;
   • Guidance/policy memorandums to all FHWA/FTA field offices;
   • Topic-specific guidance to a small number of FHWA/FTA field offices;
   • Field office reference tools (e.g., handbooks, guidebooks, and checklists);
   • Program-level analyses and reports;
   • Training courses, seminars, and workshops;
   • Research proposals;
   • General announcements to national stakeholder association groups; and
   • Implementing rules and regulations.
     
     
2. Transportation Planning Capacity Building:
   • Peer Program applications and reports;
   • Transportation Planning Capacity Annual Reports;
   • Planning Excellence Awards applications and reports;
   • Training courses, seminars, and workshops;
   • Informational brochures and pamphlets;
   • Marketing materials;
   • Handbooks and reports;
   • Website updates;
   • Research proposals;
   • Notifications and informational correspondence to FHWA/FTA field offices; and
   • General announcements to national stakeholder association groups.

IV. PROVISIONS OF THIS AGREEMENT

The following provisions outline relationships and responsibilities between the FHWA Office of Planning and FTA Office of Systems Planning on the general conduct of business in our previously-stated joint areas of responsibility. FHWA and FTA agree to proceed with development and dissemination of the aforementioned products according to the terms set forth below:

• Upon identification of the need to develop or revise a product, FHWA Office of Planning and FTA Office of Systems Planning staffs will meet to jointly determine (on a case-by-case basis) which office will assume the lead role in developing the initial drafts of products that pertain to joint FHWA/FTA planning program responsibilities and/or interests, including key milestones. This coordination will result in the designation of a "lead office," with the other party hereby referred to as the "support office." This determination will be made within one (1) business day of the initial meeting. [Guiding Principles 1, 2, and 3]
• In applying the aforementioned provision, among the key criteria for determining the "lead office" will be the existence of adequate levels of resources for accomplishing the task at-hand in a timely manner (e.g., staffing; contractor services; and or travel/research funding). [Guiding Principles 1, 2, and 3]
• In the event that contactor services are used to develop any of the joint products covered under this agreement, the "lead office" will be responsible for procurement and technical management of the contract. [Guiding Principles 2 and 3]
• In the event that the designated "lead office" will utilize contractor services to develop any of the joint products covered under this agreement, the "lead office" will provide the "support office" with a reasonable opportunity to offer comments and feedback on the draft Scope of Work. [Guiding Principles 2 and 3]
• In developing these initial draft products, the "lead office" will consult, in advance, with appropriate staff in the "support office." [Guiding Principle 2]
• The "lead office" and "support office" will jointly agree in advance to appropriate periods of review for draft products. Generally, the "lead office" will provide the appropriate "support office" staff a maximum of ten (10) business days to review and provide comments on the initial draft product(s). On documents or products greater than 50 pages in length, these review times will be increased to a maximum of twenty (20) business days. [Guiding Principles 2, 3, 5, 6, and 7]
• On a case-by-case basis, and only in exceptional cases, the "support office" may request, in advance, a specific time extension (not to exceed five (5) business days). [Guiding Principles 2, 3, and 7]
• At the end of the established review and comment period, including the "exceptional" cases noted above, lack of response on the part of the "support office" will be deemed concurrence and acceptance. [Guiding Principles 2, 3, and 7]
• Prior to the finalization and transmittal of the particular product(s), the "lead office" will provide the "support office" up to two (2) additional business days for final comment and concurrence/acceptance, in accordance with the original agreement for the particular product. No comment within this timeframe will be deemed by the "lead office" as concurrence and acceptance. [Guiding Principles 2, 6, and 7]
• FHWA and FTA will disseminate the final product to their respective field and/or Headquarters staffs on the same day. The "lead office," in coordination with the "support office," will determine the date of the official release of the final product. [Guiding Principles 2, 4, and 5]

V. INTER-OFFICE COORDINATION AND CONFLICT RESOLUTION

To the maximum extent practicable, coordination and collaboration under the terms of this agreement between the FHWA Office of Planning and FTA Office of Systems Planning shall be conducted at the staff and/or team leader levels. In the event that mutual agreement cannot be achieved at the team leader levels within the specified timeframes, the respective Office Directors shall engage in dialogue to resolve these differences. At all organizational levels, each member of the parties to this agreement is expected to seek solutions that are mutually beneficial.

VI. OTHER TERMS OF THIS AGREEMENT

Nothing in this agreement is intended to diminish or otherwise affect the authority of either agency to execute its respective statutory functions.

This agreement is not intended to be so rigid as to prevent logical, practical, and responsible actions by the FHWA Office of Planning and the FTA Office of Systems Planning, but rather to outline the general responsibilities, procedures, or actions for most joint projects and activities related to Statewide and metropolitan transportation planning.

Renegotiation of any part of this agreement can be initiated at any time by either party. Subsequent modifications to this agreement must be mutually agreed upon in writing by the respective Directors of FHWA's Office of Planning and FTA's Office of Systems Planning.

This agreement shall take effect on the date of the last approving signature.