DOT 4600.17A

1. PURPOSE. This Appendix gives guidance for implementing Executive Order 12372, as amended, Intergovernmental Review of Federal Programs, and 49 CFR part 17, Intergovernmental Review of Department of Transportation (DOT) Programs and Activities. Provisions of the Executive Order are based on Section 204 of the Demonstration Cities and Metropolitan Development Act of 1966, as amended, 42 U.S.C. §3334, and intergovernmental cooperation legislation codified at 31 U.S.C. §6506.

2. BACKGROUND. Issued on July 14, 1982, Executive Order 12372 provided a simplified system for coordination of Federal assistance programs by State and local government officials and Federal agencies.The Executive Order is implemented in the Department by 49 CFR part 17. Emphasis was placed on utilizing the States' review processes to the greatest extent possible. DOT publishes in the Federal Register a list of the departmental programs subject to the above Executive Order. States have the option of adopting a consolidated State process for review and administration of DOT assistance programs, or electing not to participate in the process. Participating States may select any or all of the DOT programs for incorporation into their process, and should notify DOT of their selections. States must designate a single agency to serve as the point of contact for this process.  If no State process exists, operating administrations (OAs) and secretarial offices (SOs) are still required to meet other intergovernmental review requirements.

3. REQUIRED ACTIONS.
   • The Assistant Secretary for Administration shall:
     1. Obtain appropriate clearances and publish changes to the DOT list of programs and activities subject to 49 CFR part 17.

     2. Receive and distribute initial selections and subsequent changes by States of programs and activities to be covered by a State's process.

   • Applicable OAs and SOs shall:
     1. Incorporate provisions to implement the provisions of paragraphs 3b(2) through 3d into guidance material issued to actual and potential applicants.

     2. Use a State's process as soon as feasible, but no more than 90 days, after a State notifies DOT of the process or changes to the process.

   • OAs and SOs providing assistance under programs covered by 49 CFR part 17 shall ensure that assistance projects are reviewed in accordance with that regulation. Applicants shall be instructed to follow the State process prior to submission of applications to OAs and SOs if required by the State process. In those cases where the OAs and SOs cannot accommodate State process recommendations or reach a mutually agreeable solution, they shall contact the State point of contact and explain the reason. An informational copy of the explanation shall be sent to the Assistant Secretary for Administration for central recordkeeping and the Assistant Secretary for Governmental Affairs for secretarial notification, if appropriate. The applicant may use the State process to obtain required environmental impact information pursuant to Section 102(2)(C) of the National Environmental Policy Act of 1969, as amended, 42 U.S.C §4332(2)(C).

   • OAs and SOs which administer programs requiring, by statute or regulation, a State plan as a condition of assistance shall advise recipients where to send State plans that simplify, consolidate or substitute federally required State plans. In those cases where the OA or SO cannot accept the State's plan, they shall notify the State of the steps necessary to bring the State's plan into compliance with Federal requirements. Copies of disapprovals of modified State plans shall be sent to the Assistant Secretary for Governmental Affairs.