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HSIP and Safety PM Final Rules Overview
- 1. FHWA-SA-16-022 Highway Safety Improvement Program —and— Safety Performance Management Measures Final Rules Overview March 2016
- 2. Two Final Rules, Different but Related • Highway Safety Improvement Program (HSIP) • Revises existing regulation (23 CFR 924) • Safety Performance Measures • Establishes new regulation (23 CFR 490) to implement MAP-21 Performance Management Requirements • Defines safety performance management requirements
- 3. Highway Safety Improvement Program Overview of Final Rule Docket #: FHWA-2013-0019 FHWA-SA-16-022
- 4. HSIP Background • Core Federal-aid program • Purpose: achieve a significant reduction in fatalities and serious injuries on all public roads • $2.5 billion annual apportionment » Railway-Highway Crossing Program (RHCP) set-aside • Last rulemaking update took effect: January 23, 2009
- 5. Legislative Changes and Requirements for HSIP • Items Removed (no longer exist under MAP-21) • Transparency Report • High Risk Rural Roads set-aside and reporting requirements • 10% flexibility provision for States to use safety funding per 23 U.S.C. 148(e) • Items Added • State Strategic Highway Safety Plan update requirements • Subset of model inventory of roadway elements • HSIP reporting content and schedule
- 6. State Strategic Highway Safety Plan Update Requirements • SHSP update cycle: No later than 5 years from the previously approved version • Consistent with current practice in most states • Reflects current guidance
- 7. HSIP Reporting Content and Schedule • Content • Consistent with existing guidance • Document and describe progress made to achieve annual safety performance targets • Schedule • Submit annually • Due by • Submit via online reporting tool • FHWA posts HSIP reports to Office of Safety Website: • http://safety.fhwa.dot.gov/hsip/reports/ August 31
- 8. MIRE Fundamental Data Elements • Required to comply with section 1112 of MAP-21 • Establish a subset of the model inventory elements that are useful for the inventory of roadway safety; and • Ensure that States adopt and use the subset to improve data collection • Model Inventory of Roadway Elements (MIRE) Fundamental Data Elements FDE (FDE) • Needed to conduct enhanced safety analysis • Potential to support other safety and infrastructure programs • All public roads
- 9. MIRE Fundamental Data Elements • Three Tables based on functional classification and surface type • Non-Local Paved Roads (37 elements) » Roadway Segments » Intersections » Interchanges/Ramps • Local Paved Roads (9 elements) » Roadway Segments • Unpaved Roads (5 elements) » Roadway Segments
- 10. Safety Performance Management Measures Overview of Final Rule Docket #: FHWA-2013-0020 FHWA-SA-16-022
- 11. Major Provisions in the Safety Performance Measures Final Rule • 5 performance Measures • Institutes the process for State DOTs and MPOs to establish & report on their targets • Institutes the process for FHWA to assess whether a State has met or made significant Progress • A common national definition for serious injuries
- 12. Safety Performance Management Measures for the HSIP – § 490.207 • 5 Performance Measures • Number of Fatalities • Rate of Fatalities per 100 million VMT • Number of Serious Injuries • Rate of Serious Injuries per 100 million VMT • Number of Non-motorized Fatalities and Non- motorized Serious Injuries • 5-Year Rolling Averages
- 13. Establishment of Performance Targets – § 490.209 • States establish annual targets in the HSIP report • Applicable to all public roads • Targets must be identical to NHTSA HSP targets for common measures: • Number of fatalities; Rate of fatalities; Number of serious injuries • States report serious injury data in HSIP report • Urbanized/Non-urbanized Area Targets (optional)
- 14. MPO Targets – § 490.209 • MPOs establish targets 180 days after State • Target for each measure required • Two options to establish targets • MPOs can agree to support the State DOT target; OR • MPOs can establish a numerical target specific to the MPO planning area • Targets applicable to all public roads in the MPO • For rate targets, report the VMT estimate used and the methodology used to develop the estimate • MPO targets are reported to State DOT and must be available to FHWA, if requested
- 15. Determining Whether a State DOT Has Met or Made Significant Progress Toward Meeting Performance Targets – § 490.211 • 4 out of 5 targets must be: Met, or Better than performance for year prior to target establishment (baseline) • Determination made: End of CY following target year FARS ARF may be used if Final FARS is not available
- 16. • Optional targets will not be evaluated • Requirements if State did not meet or make significant progress toward meeting targets • Use obligation authority equal to the HSIP apportionment for the prior year only for highway safety improvement projects, and • Submit a HSIP Implementation Plan Determining Whether a State DOT Has Met or Made Significant Progress Toward Meeting Performance Targets – § 490.211
- 18. Recap of HSIP & Safety PM Dates • August 31, 2016 Submit annual HSIP and RHCP via online reporting tool • July 1, 2017 Incorporate specific, quantifiable and measureable anticipated improvements for the collection of MIRE FDE into the State Traffic Records Strategic Plan • August 1, 2016 Update the SHSP to be consistent with MAP-21 requirements • August 31, 2016 State submits CY 2018 targets in HSIP Annual Report For common measures, identical to targets in HSP submitted in July 2017 August 1, 2017 July 1, 2017 August 31, 2017 August 31, 2016
- 19. Recap of HSIP & Safety PM Dates • February 1, 2018 MPOs establish targets • December 2019 Data available to assess 2018 target achievement • March 2020 FHWA notifies States of determination whether State met or made significant progress toward meeting targets • October 2020 For States that did not meet or make significant progress toward meeting targets: obligation authority limitation, HSIP Implementation Plan due • September 30, 2026 Collect and use the MIRE FDE to improve safety on all public roads February 27, 2018 December 2019 March 2020 October 1, 2020 September 30, 2026
- 20. HSIP and Safety PM Final Rules and NPRM Documents • The HSIP and Safety PM Final Rules, as well as the NPRM documents, can be found at the links below: • New rules effective: April 14, 2016 • HSIP (FHWA-2013-0019) http://www.regulations.gov/#!docketDetail;D=FHWA-2013-0019 • Safety PM (FHWA-2013-0020) http://www.regulations.gov/#!docketDetail;D=FHWA-2013-0020
- 21. Contact InfoContact Info HSIP Final Rule Karen Scurry, P.E. FHWA Office of Safety (609) 637-4207 karen.scurry@dot.gov Safety PM Final Rule Robert Ritter, P.E. FHWA Office of Safety (202) 366-8408 robert.ritter@dot.gov
Editor's Notes
- Welcome
- We are reviewing two separate, but related, final rules today. The HSIP Rule (for short) updates the existing HSIP regulation at 23 CFR 924. The Safety PM Rule (for short) establishes a new regulation to implement MAP-21 performance management requirements at 23 CFR 490 and includes the specific requirements related to safety performance management in Subpart B of the regulation
- Let’s start with the HSIP Final Rule
- The HSIP is a core Federal-aid program and the FAST Act continues this program with the purpose to achieve a significant reduction in fatalities and serious injuries on all public roads. The annual apportionment for HSIP exceeds 2.5 billion dollars. As part of that, there is a set-aside for the Railway-Highway Crossing Program, which increases incrementally each year under the FAST Act. The HSIP is included in the Code of Federal Regulations - more specifically, 23 CFR Part 924. The last time HSIP was revised was in response to SAFETEA-LU, That rulemaking update took effect January 23, 2009.
- Most of the changes in the HSIP Final Rule are a result of MAP-21 and not the FAST Act. MAP-21 actually removed several requirements. The HRRR set-aside was eliminated in MAP-21. MAP-21 also removes the 10% flexibility provision that allowed States to use up to 10% of HSIP funds for safety projects under any other section to meet the needs of the SHSP. MAP-21 also removed the requirement for States to submit transparency reports to FHWA. MAP-21 also added several components. Specifically, MAP-21 requires the State DOT to establish the update cycle for Strategic Highway Safety Plans, a subset of model roadway elements and the content and schedule for the HSIP report. FHWA adds MIRE FDE – the model inventory of roadway elements, fundamental data requirements – to satisfy the data system and improvement requirements of MAP-21. Let’s take a look at the key changes in HSIP.
- Starting first with the SHSP, the Final Rule establishes at least a 5-Year SHSP update cycle. This is consistent with current practice in most States and is described in the Strategic Highway Safety Plan (SHSP) Guidance FHWA issued March 14, 2016.
- The content for the HSIP report remains consistent with existing guidance and adds an element to document safety performance targets and the basis on which those targets were established and to describe the progress in achieving annual safety performance targets. This new element integrates the safety performance targets, as required by MAP-21 section 1203, into the HSIP report. The HSIP report will need to include the established safety targets (number and rate of fatalities and serious injuries), trends, and applicability of special rules as defined in 23 USC 148(g). These safety performance targets are to be reported for all public roads by calendar year, consistent with 23 USC 150(d) and the Safety PM Final Rule. There is no change in the schedule for submitting annual reports. The annual reports will continue to be due August 31. In the Final Rule, the FHWA does require that the HSIP report be submitted via the HSIP online reporting tool. Submitting in this manner will lessen the burden on States and assist FHWA in review and evaluation of the reports. FHWA will then post HSIP reports to the Office of Safety Website as required by MAP-21.
- This is a new section in the Final Rule – as proposed in the NPRM. Section 1112 of MAP-21 required the Secretary to establish a subset of the model inventory elements that are useful for the inventory of roadway safety; and to ensure that States adopt and use the subset to improve data collection. Incorporating MIRE FDE into the HSIP regulation is the best way to accomplish this requirement of MAP-21. Perhaps one of the most significant changes included in the Final Rule is the integration of the MIRE fundamental data elements, a subset of the model inventory of roadway elements, into the HSIP regulation. MIRE FDE are needed to conduct enhanced safety analysis and have the potential to support other safety and infrastructure programs. These elements are not new; rather they are based on the State Safety Data Systems Guidance published December 26, 2012 and revised to address the HSIP NPRM docket comments.
- New Section 924.17 MIRE Fundamental Data Elements consists of three tables of MIRE FDEs listing the MIRE name and number for roadway segments, intersections, and interchanges or ramps as appropriate. In a change from what was proposed in the NPRM, the Final Rule bases the MIRE FDE requirements on functional classification and surface type, rather than AADT. Table 1 contains the MIRE FDEs for non-local paved roads. There are 37 elements in this table. Table 2 contains the MIRE FDEs for local paved roads. There are 9 elements in this table. Table 3 contains the MIRE FDEs for unpaved roads. There are 5 elements in this table.
- Now let’s turn to the Safety Performance Management Measures Final Rule
- The Safety Performance Measures Final Rule can be summarized as having four major provisions. They include: Establishing five performance measures as the 5-year rolling averages; Instituting a process for State DOTs and MPOs to use to establish and report their safety targets (States set targets annually; have the option to set urbanized area targets and one target for non-urbanized area) Targets must be identical to NHTSA targets (number and rate of fatalities and number of serious injuries). MPO’s set targets within 180 days after State sets targets (MPO can either support State target or establish a numerical target specific to the MPO planning area); Instituting a process for FHWA to assess whether a State DOT has met or made significant progress toward meeting safety targets (Determination made one year after target year, when FARS, HPMS and State serious injury data is available). Four out of five targets are either met or better than baseline; Establishing a common national definition for serious injuries. Let’s take a look at the Safety Performance Measures Final Rule in more detail.
- Section 490.207 describes the 5 safety performance measures Number of Fatalities Rate of Fatalities per 100 million VMT Number of Serious Injuries Rate of Serious Injuries per 100 million VMT Number of Non-motorized Fatalities and Non-motorized Serious Injuries (added from what was in the NPRM) Each performance measure is based on a 5-year rolling average. Additional notes for background, if a question is asked: The 5-year rolling average: Provides a better understanding of the overall fatality and serious injury data over time without eliminating years with significant increases or decrease; and provides a mechanism for accounting for regression to the mean. If a particularly high or low number of fatalities and/or serious injuries occur in one year, a return to a level consistent with the average in the previous year may occur.
- Section 490.209 identifies the requirements for States to establish targets. Statewide targets Since the targets are for the purpose of carrying out the HISP, that are reported in the HSIP report (using the FHWA Online Reporting Toll (ORT)) due before the target calendar year. The first HSIP report that the targets will be due will be August 31, 2017. States must establish a target for each performance measure defined in 23 CFR 490.207 The targets must be based on 5-year rolling averages and are applicable to all public roads regardless of functional classification or ownership. There are 3 performance measures required by this rule that are common to the performance measures that States must submit to NHTSA in their annual Highway Safety Plan (HSP). Targets for these common performance measures must be identical to the targets established in the HSP. The common performance measures are to be coordinated through the State Strategic Highway Safety Plan (SHSP). Unless approved by FHWA a State DOT cannot change one or more of its targets for a given year once it is submitted in the HSIP annual report. In general, a State DOT should not change their targets unless there is a typographical error in the targets that were submitted. While there are national databases for fatalities and for VMT, FHWA will rely on the States to report the total number of serious injuries and the number of non-motorized serious injuries that will be used to determine whether a State met or made significant progress toward meeting its target. Finally, State DOTs may, as appropriate, establish additional targets for portions of the State. The urbanized and non-urbanized targets are optional targets and will not be included when assessing whether the State has met or made significant progress toward meeting its targets. If a State chooses to establish them, they should be reported in the HSIP annual report. Subsequent annual reports must include performance outcomes for those targets. If they choose to establish these optional targets, States must declare and describe the urbanized and non-urbanized area boundaries they use for the targets in the HSIP annual report. A non-urbanized area is the single, collective area comprising all of the areas in the State that are not “urbanized areas” defined under 23 U.S.C. 101(a)(34).
- Section 490.209 also identifies the requirements for MPOs to establish targets. MPO targets are required for each performance measure within 180 days after the State establishes a target. When establishing a target, the MPO may choose between – Agreeing to support the State DOT target by programing projects in support of the State target; Establishing specific numeric targets for a performance measure (number or rate); Or some combination of the two for each individual performance measure. MPOs may choose to establish a specific numeric target for one or more individual performance measures (number or rate) and supporting the State target on other performance measures. Again, since these performance management requirements carryout the HSIP, and the HSIP covers all public roads, the MPO target applies to all public roads in the MPO. For rate-based targets, MPO VMT is not available in HPMS (the source for State VMT). MPOs that choose to establish a numerical rate target, must report the VMT estimate used to establish that target and the methodology to develop the VMT estimate. MPOs should make maximum use of data prepared for HPMS when preparing the rate-based target denominator. If an MPO develops data specifically for the denominator, it should use methods to compute VMT that are consistent with those used for other Federal reporting purposes. MPOs annually report their established safety targets to their respective State DOT in a manner that is documented and mutually agreed upon by both parties.
- A State DOT is considered to have met or made significant progress toward meeting its safety targets when it meets or is better than the baseline for at least four out of the five targets. The baseline, for these purposes, is the 5-year rolling average for the performance measure ending the year prior to the establishment of the target being evaluated. FHWA reduced the time lag between the end of the target year and when FHWA would assess target achievement by using FARS ARF in the 5 year rolling average if Final FARS is not available. This allows FHWA to make the target achievement assessment one year earlier than was proposed in the NPRM – by the end of the calendar year following the target year. FHWA will evaluate whether a State DOT has met or made significant progress on the five targets established under 490.207(a). FHWA will not evaluate the additional urbanized and non-urbanized targets a State DOT chooses to establish under 490.209(b). If necessary, in response to questions: The risk of unforeseen events or factors outside of a State DOT’s control should be accounted for in the State’s target establishment process. There is no option for a State DOT to indicate that unforeseen circumstances should allow one of its safety targets to be exempt from target achievement assessment.
- A few more notes on the target achievement determination: FHWA will evaluate whether a State DOT has met or made significant progress on the five targets established under 490.207(a). FHWA will not evaluate the additional urbanized and non-urbanized targets a State DOT chooses to establish under 490.209(b). The HSIP includes requirements for States that do not meet or make significant progress toward meeting targets. These are listed on the slide. MPOs will be held accountable for the targets they establish under the updated Statewide and Metropolitan Planning regulations, not through these regulations. FHWA expects the Planning Rule to be published summer 2016. The FHWA Office of Safety will issue a memo to State DOTs to indicated whether the State met or made significant progress toward meeting their performance targets. FHWA will make that notification no later than the end of March following the year data becomes available to make the significant progress determination.
- There was a lot of information presented in this presentation on both the HSIP Final Rule and the Safety PM Final Rule. These two rules work together to implement a performance-driven HSIP with the purpose to reduce fatalities and serious injuries on all public roads.
- Now that we’ve gone over the regulation itself, let’s recap the deadlines associated with the Highway Safety Improvement Program. Review the dates on the slide…
- This timeline represents one full cycle of HSIP target establishment, reporting, and assessment. States will submit CY 2019 targets in the August 2018 HSIP report since this is an annual program.
- To obtain a copy of the final rules – including the federal register notice that describes the docket comments and changes between the NPRM and the Final Rule in more detail as well as the regulations themselves – please go to the regulations website links shown here. The final rules take effect on April 14, 2016.
- If you have questions, please feel free to contact Karen Scurry for HSIP Final Rule information or Rob Ritter for Safety PM Final Rule questions.