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NCHRP NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM SYNTHESIS 419 Transportation Improvement Program Revision Process A Synthesis of Highway Practice

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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* OFFICERS Chair: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Vice Chair: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA WILLIAM A.V. CLARK, Professor, Department of Geography, University of California, Los Angeles EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh JAMES M. CRITES, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX PAULA J. HAMMOND, Secretary, Washington State DOT, Olympia ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley SUSAN MARTINOVICH, Director, Nevada DOT, Carson City MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington TRACY L. ROSSER, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA STEVEN T. SCALZO, Chief Operating Officer, Marine Resources Group, Seattle, WA HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO BEVERLY A. SCOTT, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA LAWRENCE A. SELZER, President and CEO, The Conservation Fund, Arlington, VA KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis KIRK T. STEUDLE, Director, Michigan DOT, Lansing DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS PETER H. APPEL, Administrator, Research and Innovative Technology Administration, U.S.DOT J. RANDOLPH BABBITT, Administrator, Federal Aviation Administration, U.S.DOT REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT JOHN T. GRAY, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC DAVID T. MATSUDA, Deputy Administrator, Maritime Administration, U.S.DOT VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT WILLIAM W. MILLAR, President, American Public Transportation Association, Washington, DC TARA O'TOOLE, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA *Membership as of March 2011.

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 419 Transportation Improvement Program Revision Process A Synthesis of Highway Practice Consultants J. SCOTT LANE and NICOLE WALDHEIM The Louis Berger Group, Inc. Raleigh, North Carolina S ubscriber C ategories Highways Administration and Management Planning and Forecasting Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 419 Systematic, well-designed research provides the most effective Project 20-05 (Topic 41-11) approach to the solution of many problems facing highway administra- ISSN 0547-5570 tors and engineers. Often, highway problems are of local interest and ISBN 978-0-309-14338-7 can best be studied by highway departments individually or in coop- Library of Congress Control No. 2011925668 eration with their state universities and others. However, the accelerat- ing growth of highway transportation develops increasingly complex 2011 National Academy of Sciences. All rights reserved. problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the COPYRIGHT INFORMATION American Association of State Highway and Transportation Officials Authors herein are responsible for the authenticity of their manuscripts initiated in 1962 an objective national highway research program and for obtaining written permissions from publishers or persons who employing modern scientific techniques. This program is supported own the copyright to any previously published or copyrighted material on a continuing basis by funds from participating member states of used herein. the Association and it receives the full cooperation and support of Cooperative Research Programs (CRP) grants permission to repro- the Federal Highway Administration, United States Department of duce material in this publication for classroom and not-for-profit pur- Transportation. poses. Permission is given with the understanding that none of the The Transportation Research Board of the National Research Coun- material will be used to imply TRB, AASHTO, FAA, FHWA, FMSCA, cil was requested by the Association to administer the research pro- FTA, or Transit development Corporation endorsement of a particular gram because of the Board's recognized objectivity and understanding product, method, or practice. It is expected that those reproducing the of modern research practices. The Board is uniquely suited for this material in this document for educational and not-for-profit uses will purpose as it maintains an extensive committee structure from which give appropriate acknowledgment of the source of any development or authorities on any highway transportation subject may be drawn; it reproduced material. For other uses of the material, request permission possesses avenues of communication and cooperation with federal, from CRP. state, and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objec- tivity; it maintains a full-time research correlation staff of specialists NOTICE in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The project that is the subject of this report was a part of the National The program is developed on the basis of research needs identified Co-operative Highway Research Program conducted by the Transpor- by chief administrators of the highway and transportation departments tation Research Board with the approval of the Governing Board of and by committees of AASHTO. Each year, specific areas of research the National Research Council. Such approval reflects the Governing needs to be included in the program are proposed to the National Board's judgment that the program concerned is of national importance Research Council and the Board by the American Association of State and appropriate with respect to both the purposes and resources of the Highway and Transportation Officials. Research projects to fulfill National Research Council. these needs are defined by the Board, and qualified research agencies The members of the technical committee selected to monitor this are selected from those that have submitted proposals. Administration project and to review this report were chosen for recognized scholarly and surveillance of research contracts are the responsibilities of the competence and with due consideration for the balance of disciplines National Research Council and the Transportation Research Board. appropriate to the project. The opinions and conclusions expressed or The needs for highway research are many, and the National Coop- implied are those of the research agency that performed the research, erative Highway Research Program can make significant contributions and, while they have been accepted as appropriate by the technical com- to the solution of highway transportation problems of mutual concern mittee, they are not necessarily those of the Transportation Research to many responsible groups. The program, however, is intended to Board, the National Research Council, the American Association of complement rather than to substitute for or duplicate other highway State Highway and Transportation Officials, or the Federal Highway research programs. Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical committee according to procedures established and monitored by the Transportation Research Board Executive Committee and the Govern- ing Board of the National Research Council. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office NOTE: The Transportation Research Board of the National Acad- 500 Fifth Street, NW emies, the National Research Council, the Federal Highway Adminis- Washington, DC 20001 tration, the American Association of State Highway and Transporta- tion Officials, and the individual states participating in the National and can be ordered through the Internet at: Cooperative Highway Research Program do not endorse products or http://www.national-academies.org/trb/bookstore manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report. 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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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NCHRP COMMITTEE FOR PROJECT 20-05 COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative CHAIR Research Programs CATHERINE NELSON, CRAWFORD F. JENCKS, Deputy Director, Cooperative Oregon DOT Research Programs NANDA SRINIVASAN, Senior Program Officer MEMBERS EILEEN P. DELANEY, Director of Publications KATHLEEN S. AMES, Michael Baker Jr., Inc. SYNTHESIS STUDIES STAFF STUART D. ANDERSON, STEPHEN R. GODWIN, Director for Studies and Texas A&M University CYNTHIA J. BURBANK, Special Programs PB Americas, Inc. JON M. WILLIAMS, Program Director, IDEA and LISA FREESE, Synthesis Studies Scott County (MN) Public Works Division JO ALLEN GAUSE, Senior Program Officer MALCOLM T. KERLEY, GAIL R. STABA, Senior Program Officer Virginia DOT DONNA L. VLASAK, Senior Program Officer RICHARD D. LAND, DON TIPPMAN, Senior Editor California DOT CHERYL KEITH, Senior Program Assistant JAMES W. MARCH, DEMISHA WILLIAMS, Senior Program Assistant Federal Highway Administration (retired) DEBBIE IRVIN, Program Associate JOHN M. MASON, JR., Auburn University ANANTH PRASAD, TOPIC PANEL Secretary, Florida Department of Transportation PETER ALOTTA, Oregon Department of Transportation ROBERT L. SACK, THERA BLACK, Thurston Regional Planning Council, New York State DOT Olympia, Washington FRANCINE SHAW-WHITSON, KIMBERLY FISHER, Transportation Research Board Federal Highway Administration MARY LYNN TISCHER, JAMES GARLAND, Federal Transit Administration Federal Highway Administration HOWARD GLASSMAN, Florida Metropolitan Planning LARRY VELASQUEZ, Organization Advisory Council QUALCON, Inc. MICHAEL B. LOWRY, University of Idaho, Moscow ROSS McKEOWN, Metropolitan Transportation Commission--Oakland, CA FTA LIAISON DAVID RETTIG, New York State Department of Transportation JACK JERNIGAN ELIZABETH "LIBBY" RUSHLEY, Ohio Department of Transportation TRB LIAISON HARLAN MILLER, Federal Highway Administration, STEPHEN F. MAHER (Liaison)

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FOREWORD Highway administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to highway administrators and engineers. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire highway commu- nity, the American Association of State Highway and Transportation Officials--through the mechanism of the National Cooperative Highway Research Program--authorized the Transportation Research Board to undertake a continuing study. This study, NCHRP Proj- ect 20-5, "Synthesis of Information Related to Highway Problems," searches out and syn- thesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an NCHRP report series, Synthesis of Highway Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE Federal legislation requires metropolitan planning organizations (MPOs) to adopt and reg- ularly update a Transportation Improvement Program (TIP) identifying a prioritized list of By Jo Allen Gause projects covering a four-year period. This synthesis compiles and documents the different Senior Program Officer ways that MPOs approach revising the TIP once it has been adopted. Transportation Information used in this study was acquired through a review of the literature and a sur- Research Board vey of 45 MPOs across the country. Follow-up interviews with ten MPOs were conducted as case examples. J. Scott Lane and Nicole Waldheim of the Louis Berger Group, Inc., collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand.

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CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Background, 5 Purpose of Synthesis, 6 Literature Review, 6 Study Methodology, 7 11 CHAPTER TWO STATE OF THE PRACTICE IN TRANSPORTATION IMPROVEMENT PROGRAM REVISION PROCEDURES 15 CHAPTER THREE STATE OF THE PRACTICE FOR ADDRESSING TRANSPORTATION IMPROVEMENT PROGRAM REVISIONS Summary of Metropolitan Planning Organization Case Examples, 15 Volume and Frequency of Revisions, 15 Initial Information and Consistency of Information, 16 Amendment and Modification Guidance, 16 Timeliness of Revisions, 18 Stakeholder and Public Awareness and Engagement, 18 20 CHAPTER FOUR CONCLUSIONS AND FUTURE RESEARCH NEEDS 22 GLOSSARY 23 REFERENCES 24 APPENDIX A MPO SURVEY 43 APPENDIX B CASE EXAMPLES INTERVIEW SUMMARIES 58 APPENDIX C STATE DOT AND MPO TIP REVISION GUIDELINES

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