DATE EFFECTIVE: FEBRUARY 17, 2017
[FEDERAL REGISTER NOTICE, HERE]
Overview
This rule establishes measures for state departments of transportation (DOTs) to evaluate bridge and pavement condition. These measures are intended to direct states to spend federal-aid funds from the National Highway Performance Program (NHPP) to achieve the performance targets in states’ asset management plans.
Background
On the same day that FHWA released this final rule regarding pavement and bridge conditions, FHWA also released its final rule establishing regulations to assess performance of the NHS and Interstate System, freight movement on the Interstate System, and congestion and mobile source emissions. (See T4America summary here). These final rules are the last of several regulations issued to implement the performance management framework established by the recent national transportation authorizations bills, known as MAP-21 and the FAST Act.
In addition to these two rules, FHWA published rules on safety performance measures and the integration of performance management into the Highway Safety Improvement Program (HSIP) in March 2016 and published a rule on asset management plans in October 2016. In May 2016, both FHWA and FTA published a joint rule implementing changes to the planning process.
Together these rulemakings establish regulations for state DOTs and MPOs to evaluate and report on surface transportation performance across the nation.
Summary of Requirements
State DOTs and MPOs must establish targets for each of the following performance measures:
- Percentage of pavements on the Interstate System in good condition;
- Percentage of pavements on the Interstate System in poor condition;
- Percentage of pavements on the NHS (excluding the Interstate System) in good condition;
- Percentage of pavements on the NHS (excluding the Interstate System) in poor condition;
- Percentage of NHS bridges classified as in good condition; and
- Percentage of NHS bridges classified as in poor condition.
“Good” and “poor” pavement ratings are based on quantitative measures of roughness, cracking, rutting and misalignment of pavement surfaces. Since 2010, most state DOTs have reported roughness, cracking, rutting, and faulting data annually to FHWA through the Highway Performance Monitoring System. Ratings for bridge conditions are based on measures submitted to the National Bridge Inventory (NBI). State DOTs have been required to submit NBI reports to FHWA since 1978. Bridge ratings are based on the lowest component (e.g. deck, superstructure, substructure) rating.
Process
State DOTs must set 2- and 4-year targets for a 4-year performance period for the condition of highways and bridges. State DOTs will establish their first statewide targets in 2018. Each state DOT will submit its established targets in a baseline report at the beginning of the performance period and report progress at the midpoint and end of the performance period. DOTs will be allowed to adjust their 4-year target at the midpoint of the performance period.
MPOs will establish targets by either supporting a state DOT’s statewide target, or defining a target unique to the metropolitan area each time state DOTs establish a target. The MPOs have up to 180 days after state DOTs establish their pavement and bridge condition targets to establish their own targets. MPOs are not required to provide separate reporting to FHWA. However, state DOTs and MPOs must develop a process for coordinating their targets, which will be included in the MPOs’ metropolitan planning agreements or documented in another, mutually determined manner.
Targets and measurement apply to all highways and bridges on the NHS, regardless of ownership. MPO targets will apply to the extent of the metropolitan planning area; state targets apply to the entire state.
State DOTs and MPOs set their own targets; there is no provision in statute for FHWA to review or approve the targets these agencies set.
State DOTs may set additional targets for portions (e.g. urbanized or non-urbanized areas) of the state.
State DOTs must submit the following reports to FHWA:
- Baseline performance reports, due October 1, 2018 and every four years thereafter, will include baseline conditions and 2- and 4-year performance targets.
- Mid performance period progress reports must be submitted three years into the four-year performance period (to address the first two years of the period). This report will include the actual condition, progress toward performance targets, target adjustments, any extenuating circumstances that prevent the state from achieving its targets, and a description of the actions to be taken to meet the targets.
- Full performance period progress reports, due one year following the end of the referenced period, will include actual condition, four-year progress toward targets, any extenuating circumstances that prevent the state from achieving its targets, and a description of the actions to be taken to meet the targets
The report timeline is summarized in the Figure 1 below.
MPOs must report their targets, baseline conditions, and progress toward targets to their states’ DOTs in a mutually agreed upon manner.
FHWA will determine states’ progress toward their targets after receipt of the mid- and full-performance period progress reports. FHWA will determine that a State DOT has made significant progress toward the achievement of each 2-year or 4-year NHPP target if either:
- The actual condition/performance level is better than the baseline condition/performance; or
- The actual condition/performance level is equal to or better than the established target.
State DOTs that fail to meet or make significant progress toward meeting pavement and bridge condition performance targets in a biennial performance reporting period will be required to document the actions they will undertake to achieve their targets in their next biennial performance report.
Additionally, this rule sets minimum standards for Interstate highway pavement condition and bridge condition. These thresholds are not more than 5 percent of Interstate pavement in poor condition and not more than 10 percent of bridge deck area rated structurally deficient. FHWA will annually determine if these conditions are met.
If a minimum pavement condition on the Interstate is not met the state DOT must set aside an amount equal to the state’s 2009 federal apportionment for the pre-MAP-21 Interstate Maintenance program. However, in some cases this amount of funding may be less than the state is already spending on Interstate maintenance and less that is necessary to fix the problem.
If the minimum bridge condition is found to have not been met for the previous three year period the state DOT must set aside and amount equal to the state’s 2009 federal apportionment for the pre-MAP-21 bridge maintenance program. This set-aside requirement remains in effect for each subsequent year until less than 10 percent of the total deck area of bridges in the state on the NHS is classified as structurally deficient. However, in some cases this amount of funding may be less than the state is already spending on bridge repairs and less that is necessary to fix the problem.
Changes from the proposed rule
Two changes were made to comport with new statutory provisions from the FAST Act.
The proposed rule required a state DOT to document how it would meet its performance targets if it failed to meet these targets over two, consecutive biennial reports. The final rule requires a report on corrective action if a state DOT does not make significant progress in a single biennial performance report.
Similarly, under the final rule, FHWA will impose a requirement for additional repair spending if the state’s Interstate pavement condition has fallen below the minimum condition level for the most recent year (instead of most recent 2 years).
The final rule makes several technical adjustments to the way particular measures are calculated and revises certain thresholds.
T4America critiqued the provision of this rule that allows state DOTs to adjust their 4-year performance targets when they submit their two-year, mid-period progress report. Especially considering that states already set their own targets, allowing states to change their targets halfway through the performance period when they see their results lagging undermines the accountability of performance management system. However, several DOTs commented requesting more flexibility to revise their targets. In the final rule FHWA did not change the provision and allows for state DOTs to reset their targets in the mid-period report. The final rule additionally adds a provision that state DOTs must coordinate with MPOs before adjusting performance targets.
T4America also urged changes to the rule to assign state DOTs and MPOs equal responsibilities in setting targets. This final rule, however, makes requirements primarily of states while encouraging coordination with MPOs.
Review
FHWA will review this rule after the first performance period to assess the effectiveness of the requirements to identify any necessary changes.