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Stewardship and Oversight Plan

3.5 Intelligent Transportation Systems (ITS) Projects

TEA-21 directed changes in the stewardship responsibilities for the Intelligent Transportation Systems (ITS) program and projects. ITS projects and programs are funded through regular Federal-aid funding and Section 5208 and 5210 of TEA-21 provided incentive funding for integrated deployment of ITS.

TEA-21 clarified the use of Federal-Aid categories for ITS. NHS and STP Funds may be spent on infrastructure-based ITS capital improvements while Congestion Mitigation Air Quality (CMAQ) Funding may be spent on programs and projects that implement ITS strategies.

The applicable legislation for ITS projects is 23 CFR 940 Intelligent Transportation System Architecture and Standards. This section of 23 CFR describes the regulations that must be followed for projects that contain ITS components.

ITS Regional Architecture - 23 CFR 940.9 An ITS regional architecture shall be developed to guide the development of specific projects and programs.

Systems Engineering Analysis - 23 CFR 940.11 All ITS projects shall be based on a systems engineering analysis. The applicable regional ITS architecture shall be used in the development of ITS projects. The analysis should be on a scale commensurate with the project scope.

Project Administration - 23 CFR 940.13 Prior to authorization of Federal-aid funds for construction or implementation, the project sponsors shall demonstrate that ITS projects conform to the system engineering and conformity requirements provided in 23 CFR 940.11 and that there is a commitment to the operations, management and maintenance of the overall system.

Note:
The FHWA will retain full oversight for ITS projects on the Interstate System with an estimated construction cost of greater than $1 million. All other ITS projects are to be state administered, where as, TDOT is to act on behalf of FHWA in ensuring that all 23 U.S.C. or 23 C.F.R. requirements are met. In addition, FHWA reserves the right to conduct reviews, as appropriate, to confirm that the Federal-aid program is being administered in accordance with the applicable laws and regulations and may request full oversight of any ITS project funded through Federal-aid funding. For ITS Congressional Earmarks, FHWA will monitor pre-award activities to ensure that the project being pursued meets program purposes, non-Federal match, and other requirements. Once the project is approved and a project agreement executed, Federal oversight will be conducted as identified in the above Table 6.

Performance/Compliance Indicators – To ensure that all agencies with federally funded ITS projects have "Ready For Use" Regional ITS Architecture (RA) or Project Architectures in conformance with 23 CFR 940, the TDOT Design Division will submit to the FHWA Division Office and the TDOT Planning Division a semi-annual report, no later than June 30 and November 30, listing all ITS programmed projects. The list will include a brief project description, year programmed, amount funded and location of the project. The first report will be submitted beginning November 30, 2006.

The TDOT Planning Division will submit a semi-annual report, no later than July 15 and December 15, to the FHWA Division identifying all areas with programmed ITS projects, the status of their RA and the date the regions first ITS project advanced to final design if a RA does not exist for that region. The report will also identify whether or not the ITS projects in the listing submitted by the Design Division are included in a RA that has been declared "READY FOR USE". The first report will be submitted beginning December 15, 2006.

3.6 Construction Monitoring Process

In general TDOT has responsibility for the construction of all Federal-aid projects and for ensuring that such projects receive adequate supervision and inspection to ensure that Projects are completed in conformance with approved plans & specifications. The primary objectives of the FHWA construction-monitoring program are:

• To evaluate TDOT's control of the projects and the quality and progress of work
• To maintain a close working relationship with TDOT construction staff
• To promote quality improvements
• To promote work zone safety
• To assure that projects are completed in reasonably close conformance with the approved plans and specifications and approved changes
• To ensure incorporation of environmental commitments

FHWA will use the following types of inspections to obtain these objectives:

• Process Review/Product Evaluation (PR/PE) – comprehensive reviews to evaluate TDOT's procedures and controls. The purpose of a PR/PE is to provide oversight of TDOT construction and materials management activities and to determine compliance with Federal-aid requirements on a statewide or Region wide basis.
• Inspection-In-Depth – a thorough on-site review to evaluate a specific contract item, combination of items, or major phase of a project. Inspections-in-depth may be accomplished on an individual project basis or on several projects with the findings summarized as a Region wide or statewide review.
• Project Inspection – an on-site review to evaluate TDOT's activities, the quality and progress of the work, incorporation of environmental commitments, and if appropriate, to follow up on findings from previous inspections.
• Final Inspection – A review to determine the extent to which TDOT has exercised its control to assure that the project has been completed in reasonably close conformance with the plans, specifications, and authorized changes, including implementation of environmental commitments.

Operational Review – The intent of these inspections is to observe a recently completed project with a multi-disciplinary team to identify opportunities for improvement that may be incorporated in future projects. These reviews also provide the opportunity to identify items that worked very well in addition to noting deficiencies.

Title 23 requirements apply to all projects on the NHS regardless of oversight process. Non-Title 23 requirements apply to all projects and are subject to review regardless of oversight process.

Performance/Compliance Indicators

1. Percent of change orders that contain necessary supporting documentation for the (1) reason for the change, (2) the cost(s) of the change, and (3) any additional contract time that may be necessary for the change. Goal = 100 percent. (Reference the TDOT/FHWA August 2006 Process Review entitled "Change Orders" for TDOT/FHWA discussion on supporting information)

3.7 Bridge Program

Part 650, Subpart C of 23 CFR established the National Bridge Inspection Standards (NBIS) that apply to all bridges carrying vehicular traffic that are greater than 20 feet in length and are located on a public road. Subpart D establishes the procedures for administering the Highway Bridge Replacement and Rehabilitation Program (HBRRP). The program was established to replace and rehabilitate deficient bridges.

A NBIS compliance review will be conducted at least once each year. The reviews include the following major NBIS elements: inspection procedures, frequency of inspection, qualifications of personnel, quality of the reports and the inventory. The Division Bridge Engineer will also review the Department's underwater inspections, their program to deal with scour, quality assurance and procedures established to review, prioritize and track recommendations for repairs. The review includes a random sampling of bridge inspection reports and records and field reviews of selected bridges.

TDOT Structures Division(SD) is responsible to manage its bridge inspector certification program and to monitor Local Agency compliance with NBIS requirements. The SD also maintains a statewide bridge management system (for state-maintained bridges only), and the statewide bridge inventory. The Division Bridge Engineer will annually review SD quality assurance processes and NBIS compliance reviews of TDOT and selected Counties, Cities or other Local Agencies each year.

A report is prepared annually of the NBIS review by the Division Bridge Engineer. FHWA will furnish comments to TDOT. This report is also forwarded to FHWA HQ.

Eligibility for the HBRRP program is based on bridge inspection and inventory data submitted annually to FHWA Office of Bridge Technology by TDOT. A selection list of eligible structures is furnished by FHWA to TDOT. The distribution of HBRRP funds to each State is based on unit cost data for bridges, which is prepared annually by the SD and reviewed by FHWA, and the area of deficient bridges contained in the bridge inventory. Not less than 15 percent of the apportioned funds shall be expended for projects located off the Federal-aid system. TDOT and the local governments may select any bridge on the selection list for replacement or rehabilitation under this program. Additionally, TDOT may also use these apportioned funds for bridge preservation type projects.

¹ Approval is not required for changes that are only editorial. TDOT, if necessary, will hold a meeting to discuss and approve changes on the spot. Formal approval is not required when FHWA is part of decision making process. Approval is only required for deviation from AASHTO or FHWA policy.

Performance/Compliance Indicators

• Deficient deck area is tracked as part of the National Strategic Plan and compared to the National and TDOT goals.
• Full implementation of LRFD will provide Structural Design with the most up-to-date applied research and design procedures. The FHWA implementation deadline is October 2007.
• Plan of Actions (POAs) for all scour critical bridges are required by Federal regulations to provide clear and detailed directions for each scour critical bridge. All bridges, new and existing as well as state maintained and non-state maintained, will be evaluated for scour potential and, if determined to be scour-critical, shall have a POA developed. State will provide report showing completion of required POA's annually
• Full implementation of Pontis will allow for more efficient spending of bridge funds. Currently, an adequate deterioration curve is established, element level data is collected, and the Pontis database is maintained. However, TDOT does not fully utilize the Pontis programming software. TDOT must improve element level data quality in order to use Pontis as a reliable tool in project programming. TDOT can also find value in utilizing Pontis as they program rehabilitation and preservation activities.

3.8 Civil Rights Program

The FHWA Division Office is committed to effectively implement and enforce civil rights programs within TDOT in its design, planning, construction, and management of the multimodal transportation system. TDOT is obligated to ensure nondiscrimination in all programs and activities, and in the provisions of all services and benefits, as a basis for continued receipt of FHWA funds according to Titles VI and VII of the Civil Rights Act and the codified Federal regulations that outline these acts.

The FHWA Division Office Civil Rights Specialist reviews all civil rights program work plans and program documents and provides comments and recommendations to TDOT. The FHWA Division Office Civil Rights Specialist may participate in committees and teams set up by TDOT that address civil rights concerns about equal access, goal setting and affirmative action in employment and contracting opportunities.

The purpose of FHWA oversight is to monitor the implementation and effectiveness of TDOT's Civil Rights Office program areas that include affirmative action/equal employment opportunity, small business development, Disadvantaged Business Enterprise (DBE), Americans with Disabilities Act (ADA) and the Title VI compliance programs. FHWA will be an advocate of the civil rights program and provide training, technical assistance, and active participation in TDOT initiated civil rights meetings and review activities. FHWA will review and approve TDOT's programs on an ongoing basis through process and program reviews, and through active participation in continuous program evaluation and improvement. Appropriate FHWA representatives will actively participate in TDOT initiated reviews, task forces, and other civil rights initiatives upon request and to the extent feasible. Finally, FHWA will analyze civil rights reports submitted by TDOT to help identify trends and provide feedback and recommendations for improvement to TDOT.

Federal Guidelines Governing the Civil Rights Programs:
Titles VI and VII of the Civil Rights Act
23 CFR 200, 230 (Subpart C, Appendix A (Part I and II)
49 CFR Parts 21 (Title VI), 23, 26,
23 USC 140 (a-c), 109(h), 144
Executive Orders 12898, 11246, 13296, 13256, 13166, 13216
USDOT Orders 5610.2, 4710.8, 4720.7, 1000.12
Rehabilitation Act of 1973
Americans with Disabilities Act Accessibility Guidelines (ADAAG)/ADA
FHWA Contract Provision 1273
Federal Aid Highway Acts of 1968 (Section 22), 1970 (Section 110) and 1973.
23 CFR 1.9 and 1.36
Civil Rights Restoration Act of 1987
42 USC 2000(d)

Compliance/Performance Indicators:

1. Percent of minority representation in TDOT's workforce.
2. Percentage of Federal dollars used for transportation related contract awards and commitments performed by Disadvantaged Business Enterprises (DBE's).
3. Number of projects that Title VI staff has identified Environmental Justice (EJ) issues.
4. Number of formal complaints filed in all sections of Civil Rights.
5. Number of people, staff and subrecipients trained each year.

TDOT will report the compliance and monitoring of these indicators through their annual Title VI, Title VII and DBE plan updates

3.9 Financial Management Program

The correctness and propriety of all Federal-aid claims are the primary responsibility of TDOT whether the primary cost documentation originates within TDOT or with some third party. This responsibility is fulfilled by TDOT maintaining adequate operating policies and procedures and a sound accounting system with proper internal controls together with suitable audit activities. It is FHWA's responsibility to assure such processes are in place and providing desired results as well as to provide technical assistance and advice in funding and financial areas. FHWA provides assistance and maintenance to TDOT for the electronic data sharing and electronic signature environment.

Office of Management and Budget (OMB) Circular A-133 was issued pursuant to the Single Audit Act of 1984 (P.L. 98-502) and Amendments of 1996 (P.L. 104-156) for the purpose of setting forth standards for obtaining consistency and uniformity among Federal agencies for the audit of States, local governments, and non-profit organizations expending Federal awards. The U.S. DOT Office of Inspector General is the cognizant agency for audit responsibilities of the TDOT.

The TDOT Internal Audit Office is responsible for auditing TDOT's operations. FHWA may provide technical advice and assistance to TDOT and auditors as appropriate and advise TDOT of requirements imposed by Federal laws, regulations or provisions of contracts.

Federal-aid reimbursement to TDOT for costs incurred is found in 23 U.S.C. 121. In accordance with 23 CFR 1.9(a), Federal-aid funds shall not participate in any cost which is not incurred in conformity with applicable Federal and State Law, the regulations in 23 CFR, and policies and procedures prescribed by FHWA. The FHWA Tennessee Division provides oversight of Cost Reimbursable Contracts, pursuant to 23 CFR Part 140, 49 CFR Part 18, and OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments). Likewise, FHWA must comply with the requirements of the Federal Managers' Financial Integrity Act of 1982 (FMFIA). Reimbursement to TDOT is made through an electronic signature Federal-aid Rapid Approval and State Payment System (RASPS). The Single Audit Act does not preclude FHWA from performing program reviews and these activities are undertaken by FHWA to facilitate oversight of the current billing process. These routine financial management reviews may be conducted on TDOT's accounting systems and records to assure conformance with applicable laws, regulations, and government-wide accounting principles and standards. Also, to maintain an adequate system of management control and to promote effective program delivery and efficiency, FHWA promotes the conduct of joint FHWA-TDOT Quality Financial Management Initiatives (QFMI). The employment of these mechanisms will provide reasonable assurance that only allowable costs are reimbursed, thus ensuring the integrity of the Federal-aid program. Further these joint cooperative efforts between FHWA and TDOT will help to establish opportunities for continuous improvements specifically in areas with any potential compliance weaknesses.

TDOT may be reimbursed for the federal share of eligible Construction Engineering & Inspection (CEI) costs as described in 23 CFR 140.703(b). TDOT will review the CEI rate used on projects annually to determine that the CEI limitation as described in 23 CFR 140.205 has not been exceeded.

Occasionally, there are exceptions to the processing of claims via the electronic current billing process and in these instances hand vouchers are prepared and sent to FHWA Division for processing the payment. FHWA reviews and forwards claims to Washington for payment. These are projects with special funding from Washington that cannot be added to the current billing system. Also, these would include reopened projects that have been removed from the current billing system.

The Cash Management Improvement Act of 1990 (31 CFR Part 205) prescribes rules and procedures for the transfer of funds between the federal government and the states for federal grant and other programs. The U.S. Treasury and the State of Tennessee have entered into an agreement to describe its funds transfer procedures. FHWA's involvement is to provide assistance and guidance to TDOT to facilitate compliance and to assist in the implementation of cash management improvements.

The Financial Integrity Review and Evaluation Program (FHWA Order 45601a) requires each Federal-aid Division office to establish an effective oversight program to ensure that Federal funds are properly managed and effectively used in accordance with Federal policies. Under This program, each Federal-aid division office is required to perform in support of the Federal Highway Administration's annual certification of internal and financial controls to support the financial statements, a grant financial management process review in response to the performance of a annual risk assessment (the purpose of the grant financial management process review is to assess one key State process to determine that (1) the process complies with Federal requirements, (2) the process complies with generally accepted accounting principles and standards and internal controls, and (3) areas of opportunity are identified for process improvement). The FIRE includes a review of randomly selected billing transactions provided by Washington Headquarters that verifies the eligibility and accuracy of costs billed to FHWA, verify costs were incurred after FHWA approval, verify costs were charged to the correct project, verify costs were approved by the appropriate State/local official, and verify that TDOT has sufficient supporting documentation to substantiate the billing.

The Fiscal Management Information System (FMIS) is FHWA's major financial information system. It contains data related to all highway projects financed with Federal-aid highway funds. FHWA uses this information for planning and executing program activities, evaluating program performance, and depicting financial trends and requirements related to current and future funding. Electronic data sharing allows TDOT to transact FMIS data electronically and FHWA to review and approve the data. This process provides faster approvals and better control of funds. Both TDOT and FHWA have the ability to access FMIS information to obtain current funding and project related reports.

The Federal-aid Highway Program is made up of a series of separately funded categories, each having its own specific and separate funding as described in 23 U.S.C. Each of the programs has certain activities for which that funding may be used and are described in law. When an Authorization Act establishes a program, it sets certain ground rules under which the program operates. These rules include the amounts of funds available to the program for each fiscal year; period of availability; Federal participation ratio; fund source; type of authority; and a listing of eligibility activities. In order to be more responsive to Federal budget policy, a limit is placed on total obligations that can be incurred during the fiscal year (called obligation limitation). The FHWA Tennessee Division, in their role of administering and delivering the Federal-aid highway program, has a responsibility to provide information, guidance, and assistance to TDOT. Although this oversight is ongoing, when a new Authorization Act modifies existing programs, or adds or eliminates programs, then FHWA has a responsibility to advise TDOT that significant changes in the program have been made and that appropriate financing procedures are implemented by TDOT.

Advance construction (23 U.S.C. 115; 23 CFR Subpart G) has been an effective tool in innovative financing to advance a project's construction time line. These projects must meet the same requirements and proceed in the same manner as a regular Federal-Aid project, except for the following: FHWA authorization does not constitute any commitment of Federal funds and TDOT will not be reimbursed until the project has been converted.

TDOT is responsible for funds management, which includes monitoring un-obligated balances of the various funds to ensure funds are being used effectively and lapsable funds are limited. This would also include a review of older projects that have had no activity for possible release of funds for use on other eligible federal projects. FHWA will evaluate the effectiveness of this program annually.

TDOT maintains the official records for Federal projects. Supporting documentation will be retained by TDOT for three years after the final voucher and will include (but not limited to): the final contractor pay estimate, material certification, projects' agreement/modification, statement of overruns and underruns, PR-47 and final Right of Way certificate in accordance with current requirements. Supporting documentation retained by TDOT will be available upon request to FHWA.

In accordance with SAFETEA-LU Section 1904, part (h) TDOT is responsible for assuring that they have a Financial Plan for Major Projects. Finance Plans for Major Projects shall continue to be developed by TDOT and submitted to the FHWA Division Office. The Division will approve finance plans prior to authorization of Federal-aid funds for construction. Major Projects are those projects receiving Federal financial assistance with an estimated cost of $500 million or more or projects that have been identified by the DOT Secretary as being "Major" as a result of special interest.

Improper Payments Review - reviews of randomly selected billing transactions provided by Washington Headquarters that verifies the eligibility and accuracy of costs billed to FHWA, verify costs were incurred after FHWA approval, verify costs were charged to the correct project, verify costs were approved by the appropriate State/local official, and verify that TDOT has sufficient supporting documentation to substantiate the billing.

¹ For changes in scope, the Financial Manager will discuss with the Area Engineer before approving.

Performance and Compliance Indicators:

1. Single Audit Report Findings – Action plan to resolve Single Audit findings relating to Finance will be developed by TDOT and submitted to FHWA within thirty days of issuance of the Single Audit Report. All findings resolved within six months of issuance of Single Audit Report.
2. Monthly, FHWA Financial Manager meets with TDOT Director of Finance and Program Operations to discuss compliance of FIRE requirements and provide written report on the current status of all FIRE activities.
3. Balance of unexpended obligations on inactive projects do not exceed 5% of the State's annual apportionment.

3.10 Maintenance Monitoring Program

In accordance with 23 U.S.C. 116 (applicable to all Federal-aid highways), States are required to maintain, or cause to be maintained any project constructed as part of a Federal-aid system. FHWA is responsible for maintenance monitoring of all Federal-aid projects.

[Note: requirement of CFR 635, Subpart E, requiring State's annual certification that Interstate was being maintained in accordance with Interstate maintenance guidelines was eliminated under TEA-21 Section 1306(a)]

A Preventive Maintenance (PM) activity shall be eligible for Federal assistance if the State demonstrates to FHWA that the activity is a cost-effective means of extending the useful life of Federal-aid bridges and highways. FHWA staff will assist TDOT in developing PM programs, identify and approve eligible activities, and provide information on best practices, procedures, and technologies.

FHWA staff will observe highway conditions during their routine travel activities. They may also perform in-depth maintenance reviews, as appropriate. Any significant findings will be discussed with appropriate TDOT officials. The oversight activities of the State's routine maintenance program will apply to NHS and non-NHS routes. FHWA maintenance monitoring activities will be a continuous process. Maintenance deficiencies observed during official travel will be reported to the appropriate TDOT personnel. Follow-up activities, if necessary, will be performed by FHWA representatives.

Additionally, FHWA may occasionally participate in post construction reviews with TDOT personnel. These reviews will focus on identifying and correcting any design features that would require abnormally heavy maintenance.

FHWA Bridge Engineer will monitor the State's NBIS program (see Bridge Program section).

The Preventive Maintenance (PM) program may include all eligible maintenance activities within Federal-aid Highway Right of Way. If Federal funds are planned on being used statewide for maintenance activities, the State will develop statewide PM programs for eligible activities for FHWA approval. In the absence of a statewide program, TDOT will seek FHWA approvals on a project or by activity basis when Federal funding is proposed. FHWA would review the activities and provide its determination on effectiveness. The oversight activities of TDOT's PM program will apply equally to NHS and non-NHS routes. FHWA will review and monitor TDOT's PM program and projects for Federal-eligibility. FHWA PM monitoring activities will be done mostly on a programmatic basis. Process reviews may be developed and conducted. The items for process reviews will be influenced by either FHWA or TDOT's observations of perceived strengths and/or weaknesses in PM program or activities. Deficiencies observed will be reported to the appropriate TDOT personnel. Follow-up activities, if necessary, will be performed by FHWA.

Performance/Compliance Indicators:

1. All preventative maintenance activities are in accordance with FHWA memo 10-8-04. Statement of compliance included on all PM authorizations.

3.11 Materials Acceptance Program

The Materials Acceptance Program (MAP) is structured around 23 CFR 637. The overall purpose of the MAP is to assure the quality of materials and construction in all Federal-aid highway projects on the National Highway System. The MAP is comprised of a quality control program for the supplier and the quality assurance program for the agency.

For Federal-aid projects on the NHS, the primary objectives of the MAP are as follows:

• To maintain a close working relationship with TDOT materials and construction staff.
• To promote improvements when new approaches or technologies are developed and where deficiencies are identified.
• To assure that materials incorporated in projects, and the construction operations controlled by sampling and testing are in conformity with the approved plans and specifications.
• To provide oversight of construction materials, and compliance with federal requirements on a statewide basis.
• To assure adequate and qualified staff to maintain TDOT's quality assurance responsibility as part of its Quality Control/Quality Assurance (QC/QA) program.

FHWA will monitor TDOT's MAP for construction of full federal oversight projects. For state administered projects, TDOT will monitor the MAP for construction as if FHWA were fully involved except TDOT does not need to send materials certification to FHWA.

FHWA will review and approve TDOT's MAP on an as needed basis. The MAP includes the Quality Control (QC) program, the Quality Assurance (QA) program, the Independent Assurance Program, Materials Certification, the Qualified Laboratory Program, the Technical Certification Program, and the Schedule of Materials Control. Additionally, by being a member of the individual task forces, teams, committees, FHWA will have an ongoing involvement in the development and implementation of the MAP. In general, FHWA will monitor the implementation and effectiveness of the MAP through process reviews. Individual process reviews will be identified in the FHWA Division Office's annual Performance Plan.

Performance and Compliance Indicators:

1. Laboratories are qualified in accordance with 23CFR 637 Subpart B.
2. Quality Assurance and Independent Assurance programs are in place and identifying out of specification material and personnel which require recertification.

3.12 Pavement Management and Design Program

The FHWA Tennessee Division provides ongoing support in development and implementation of the Pavement Management System (PMS). FHWA participates in various meetings to ensure that pavement related activities, including new and rehabilitated pavement design and construction, pavement management, research, technology transfer, HPMS, vehicle weight enforcement program, etc., are well coordinated among the functional administrative areas of the division office.

FHWA will review TDOT's pavement design/rehabilitation procedures, policy and guidelines on an ongoing basis. Additionally, by being a member of the individual task forces, teams, and committees, FHWA will have an ongoing involvement in the development, update and implementation of pavement design procedures.

In general, FHWA will monitor the implementation, operation and effectiveness of the PMS and TDOT's pavement design through process reviews and on-going involvement. The FHWA Division Office Pavement and Materials Engineer will conduct oversight of the PMS and Design of pavements.

Performance/Compliance Indicators:

1. Pavement Condition Surveys completed on the entire system every two years.
2. Number of lane miles per year receiving a preservation treatment.

3.13 Planning Program

Transportation planning activities are legislated under TEA-21 Section 1203 – Metropolitan Planning, and Section 1204- Statewide Planning. The most current implementing regulations that apply are found in 23 CFR 450. FHWA Tennessee Division Office and FTA Region Office are jointly responsible for required approval actions such as: Certification of the metropolitan planning process in each Transportation Management Area not less often than once every four years, and review and approval of the Unified Planning Work Program (UPWP) and its amendments, and review and approval of the State Transportation Improvement Program (STIP) and its amendments and transportation conformity.

Transportation Planning also includes data collection and reporting, which is included under Section 420 of 23 CFR. Section 420.107(b)(2) requires that "…State Transportation Agencies shall provide data that support FHWA's responsibilities to the Congress and to the public. These data include, but are not limited to, information required for: Preparing proposed legislation and reports to the Congress; evaluating the extent, performance, condition, and use of the Nation's transportation system; analyzing existing and proposed Federal-aid funding methods and levels and the assignment of user cost responsibility; maintaining a critical information base on fuel availability, use, and revenues generated; and calculating apportionment factors."

Management and Monitoring Systems are included under Section 500 of 23 CFR. Section 500.105(b) states: "States shall develop, establish, and implement a Traffic Monitoring System that meets the requirements of Subpart B (Section 500.201-204)."

FHWA provides technical expertise and assistance through participation in committees and meetings set up by the MPOs and TDOT that address data collection and analysis issues as well as coordination on individual topics of interest such as (1) Congestion Management, (2) Environmental Justice, (3) Air Quality Conformity, (4) Multimodal and Intermodal Coordination, (5) Freight Issues. In addition, FHWA conducts reviews of planning processes and products such as Highway Performance Monitoring System (HPMS) data, Heavy Vehicle Use Tax Enforcement, etc.

FHWA participates in statewide and MPO planning activities as necessary to develop a planning finding as part of the STIP approval. FHWA and TDOT work together in the project planning phase to ensure compliance with NEPA and other applicable laws before location approval. Project coordination is facilitated by frequent consultation and meetings.

When submitting transportation information, the TDOT agrees to follow the U.S. DOT Information Dissemination Quality Guidelines for complying with the requirements of the U.S. Office of Management and Budget's Guidelines (for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by Federal Agencies) implementing Section 515 of the Treasury and General Government Appropriations Act for Fiscal Year 2001 (P.L. 106-554).

Performance/Compliance Indicators:

Although planning functions can not be delegated, the following performance indicators will be used to assess the health of the Planning program:

1. Congestion Management Systems

   • Indicator: Percentage of TDOT projects addressing congestion in Transportation Management Areas (TMAs) for which Travel Demand Management (TDM) and operational strategies were considered and/or recommended.

   • Reporting Instrument: Brief report on TDOT projects intended to address congestion in the state's TMAs. The report will include only projects for which preliminary engineering was started in the current federal fiscal year. For each listed project, the report will list the various TDM and operational strategies that were considered in the Transportation Planning Report (TPR).

   • Reporting Frequency: Annually

2. Planning and Air Quality Conformity

   • Indicator: Number of days an MPO area is in transportation planning lapse or a transportation conformity lapse.

   • Reporting Instrument: A summary by MPO area of the number of days each MPO area was in a planning lapse and/or conformity lapse during the reporting period.

   • Reporting Frequency: Annually

3.14 Research, Development and Technology Transfer Program

The purpose of the program is to implement the provisions of 23 U.S.C. 502 for research, development, technology transfer, programs, and studies undertaken with FHWA planning and research funds. The main requirements under 23 CFR 420 are to create a SPR Work Program, monitor planning and research activities, submit performance and expenditure reports, conduct peer reviews, develop and maintain an FHWA approved research and development manual, and maintain program certification.

The FHWA Tennessee Division exercises its oversight responsibilities through review of the annual program prior to approval actions, review of individual proposals, and review of annual reports. Division participates in ongoing program activities such as routine technical and policy meetings, participation in peer exchanges, and participation in technology transfer events, etc. The TDOT has considerable flexibility in the use of funds and determination of eligible activities that meet the requirements of Section 420 of the CFR.

Performance/Compliance Indicators:

The following performance indicators will be used to assess the health of the Research program:

1. Research Projects Meeting TDOT/FHWA Strategic Areas

   • Indicator: Percent of research projects within the Department's 6 Strategic Emphasis Areas (System Vision, Stakeholder Involvement, Safety, Environment, Strategic Agenda, and Partnerships) and/or that support 5 of FHWA's Strategic Goals (Safety, Mobility and Productivity, Global Connectivity, Environment, and National Security).

   • Reporting Instrument: A summary that includes the percentage of research projects planned in the upcoming SPR Work Program which are within the Department's Strategic Emphasis Areas and/or support an FHWA Strategic Goal and a summary that includes the actual percentage of research projects implemented for the previous SPR Work Program that meet Department's Strategic Emphasis Areas or support an FHWA Strategic Goal

   • Reporting Frequency: Annually in the SPR Work Program submittal.

3.15 Safety Program

Section 1401 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) includes the program and policy language for implementing the new "core" Highway Safety Improvement Program (HSIP), which is codified as the new Section 148 of Title 23 of the United States Code (23USC148).

TDOT has the responsibility for carrying out the State's Highway Safety Improvement Program in accordance with Section 148 of Title 23 of the United States Code (23USC148). The FHWA Tennessee Division exercises its oversight responsibilities through review of the annual programs, review of program processes, and review of annual reports. The FHWA and the TDOT will work together on safety issues related to geometric design, roadside safety, safety appurtenances, the highway safety improvement program, work zone safety and traffic control, pedestrian safety and bicycle safety, safe routes to school program, and the Tennessee Strategic Highway Safety Plan. In each instance, sharing of knowledge occurs through discussions, meeting/committee/task force participation, and by performing periodic reviews.

The following is a general description of the new "core" Highway Safety Improvement Program (HSIP) codified in 23 USC 148 that identifies program requirements.

Highway Safety Improvement Program (HSIP): The purpose of the HSIP shall be to achieve a significant reduction in traffic fatalities and serious injuries on public roads. To obligate "core" safety funds TDOT must have in effect an HSIP under which the State: 1)develops and implements a Strategic Highway Safety Plan (SHSP) that identifies and analyzes highway safety problems and opportunities to reduce fatalities and serious injuries, 2) produces a program of projects or strategies to reduce identified safety problems, 3) evaluates the plan on a regular basis to ensure the accuracy of the data and priority of proposed improvements, 4) submits an annual report to the FHWA Division.

In accordance with 23 USC 148, the SHSP means a plan developed by TDOT that:

• analyzes and make effective use of state, regional or local crash data
• addresses engineering, management, operation, education, enforcement, and emergency medical services in evaluating highway projects
• considers safety needs, and high fatality segments of public roads in the State
• considers results of State, regional or local transportation and highway safety planning processes
• describes a program of projects or strategies to reduce or eliminate hazards
• is approved by the Governor or responsible State agency
• is consistent with the requirements of the Statewide planning process, sec. 135(g)

As part of the SHSP, the State shall:

• have in place a crash data system with the ability to perform safety problem identification and countermeasure analysis
• identify hazardous locations sections or elements that constitute a danger to motorists, bicyclists, and pedestrians
• establish the relative severity of these locations
• adopt strategic and performance-based goals
• advance the capabilities of the State for traffic records data collection, analysis, and integration
• determine priorities for the correction of hazardous road locations, sections, and elements as identified through crash data analysis
• establish an evaluation process to assess results achieved by improvement projects

As a condition for obligating HSIP funds, under Section 148(c)(I)(D), TDOT will prepare an annual report, in addition to the HSIP and rail-highway crossing safety report, that describes not less than 5 percent of their public road locations exhibiting the most severe safety needs. The legislation requires that the 5 percent reports include an assessment of potential remedies at the locations identified, the estimated costs of the remedies, and impediments to their implementation other than costs.

High Risk Rural Roads Program (HRRP): SAFETEA-LU introduced a new set-aside provision known as the High Risk Rural Roads Program (HRRRP), codified as 23 U.S.C. §148 (f). This program is a component of the HSIP and is set-aside after HSIP funds have been apportioned to the States. Projects may be selected on any public HRRR to correct or improve hazardous road locations or features. The State's HSIP, including the HRRR element, shall consider the safety needs on all public roads, whether state or locally owned. TDOT is required to identify HRRR roadways (and expend the HRRR funds) according to the following definition:

"…any roadway functionally classified as a rural major or minor collector or a rural local road –

• on which the accident rate for fatalities and incapacitating injuries exceeds the statewide average for those functional classes of roadway; or
• that will likely have increases in traffic volume that are likely to create an accident rate for fatalities and incapacitating injuries that exceeds the statewide average for those functional classes of roadway."

Rail-Highway Crossing Safety: Under SAFETEA-LU, rail-highway crossing safety (elimination of hazards and the installation of protective devices at railway-highway crossings) has also been established as a component of the HSIP and is set-aside after HSIP funds have been apportioned to the States. The purpose of this program is to reduce the number of fatalities and injuries at public highway-rail grade crossings through the elimination of hazards and/or the installation/upgrade of protective devices at crossings. Most requirements of the program remain unchanged, including the State is required to conduct and systematically maintain a survey of all highways to identify those railroad crossings that may require separation, relocation, or protective devices, and establish and implement a schedule of projects for this purpose. At a minimum this schedule is to provide signs for all railway-highway crossings. [23 USC 130(d)].

Additionally, FHWA has oversight responsibility for the following Highway Safety-related activities.

Safe Routes to School Program: Section 1404 of SAFETEA-LU includes the program language for the Safe Routes to School Program. The purpose of the program shall be to enable and encourage children in primary and middle schools, including those with disabilities, to walk and bicycle to school; to make walking and bicycling to school safe and more appealing; and to facilitate the planning, development and implementation of projects that will improve safety, and reduce traffic, fuel consumption, and air pollution in the vicinity of schools. For infrastructure related projects, eligible activities are the planning, design, and construction of projects that will substantially improve the ability of students to walk and bicycle to school. These include sidewalk improvements, traffic calming and speed reduction improvements, pedestrian and bicycle crossing improvements, on-street bicycle facilities, off-street bicycle and pedestrian facilities, secure bike parking, and traffic diversion improvements in the vicinity of schools (within approximately 2 miles). Such projects may be carried out on any public road or any bicycle or pedestrian pathway or trail in the vicinity of schools.

TDOT must set aside from its Safe Routes to School apportionment not less than 10 percent and not more than 30 percent of the funds for non-infrastructure related activities to encourage walking and bicycling to school. These include public awareness campaigns and outreach to press and community leaders, traffic education and enforcement in the vicinity of schools, student sessions on bicycle and pedestrian safety, health, and environment, and training, volunteers, and managers of safe routes to school programs. In order to receive program funds, TDOT must use a sufficient amount of the funds to fund a full-time position for coordinator of the State's safe routes to school program.

159 Certification (Drug Offender's Driver's License Suspension) [Authority: 23 U.S.C. 159 and 315, 23 CFR 192]. Encourages States to enact and enforce drug offender's driver's license suspensions. States must comply with 23 U.S.C. 159 in order to avoid the withholding of Federal-aid highway funds. By January 1 of each year, the Governor shall submit written notification to FHWA Division Administrator whether the State has enacted and is enforcing a law or whether the State opposes such a law as per 23 U.S.C. 159.

Work Zone Review of Conformance (Work Zone Safety and Mobility) [Authority: 23 U.S.C. 105, 106, 109, 115, 315, 320, 402(a) / Source 43 FR 47140, 10/12/78, 23 CFR 630 Subpart J Final Rule, 09/09/2004]. Provides guidance and establishes requirements for systematically addressing the safety and mobility impacts of work zones, and developing strategies to help manage these impacts on all Federal-aid highway projects. The TDOT shall work in partnership with the FHWA in the implementation of its policies and procedures to improve work zone safety and mobility. FHWA and TDOT will review the State's policies and procedures for conformance with 23 CFR 630 Subpart J Final Rule. The State shall comply with all provisions of the 23 CFR 630 Subpart J Final Rule no later that October 12, 2007.

NCHRP 350 (Standards, Policies, and Standard Specifications) [Authority: 23 U.S.C. 109, 315, and 402, Sec. 1073 of Pub. L. 102-240, 105 Stat. 1914, 2012; 49 CFR 1.48 (b) and (n); 23 CFR 625.4(a) Chapter 5.1 - Performance Requirements, 7/93 & 8/28/98 FHWA Policy Memos]. The National Cooperative Highway Research Program (NCHRP) Report 350 established crash testing requirements for highway hardware in both permanent and in work zone applications. States must comply with NCHRP Report 350 criteria and the subsequent AASHTO/FHWA agreements dated July 1, 1998.

MUTCD (Manual on Uniform Traffic Control Devices) [Authority: 23 U.S.C. 101(a), 104, 105, 109(d), 114(a), 135, 217, 307, 315, and 402(a) ; Source: 48 FR 46776, 10/14/83; 23 CFR 655 Subpart F]. The MUTCD, approved by FHWA, is the national standard for all traffic control devices installed on any street, highway, or bicycle trail open to public travel in accordance with 23 U.S.C. 109(d) and 402(a). Where state or other Federal agency MUTCD's or supplements are required, they shall be in substantial conformance with the national MUTCD.

The following activities do not involve an FHWA oversight role with the State. Rather, this is a specific list of activities that FHWA Tennessee Division and TDOT needs to be aware of, either for funding purposes or for general information.

154 Certification (Open Container Laws) [Authority: 23 U.S.C. 154, 23 CFR 1270, 3/31/00 NHTSA/FHWA Guidance Memo] States must comply with 23 U.S.C. 154 in order to avoid transfer of Federal-aid highway funds. Currently Tennessee does not comply with law.

164 Certification (Repeat Intoxicated Driver Laws) [Authority: 23 U.S.C. 164, 23 CFR 1275, 3/31/00 NHTSA/FHWA Guidance Memo]. States must comply with 23 U.S.C. 164 in order to avoid transfer of Federal-aid highway funds. Reporting requirement is to NHTSA.

Section 163: 0.08 Blood Alcohol Concentration (BAC) Incentives/Penalties. TEA-21 instituted an incentive program to encourage States to establish 0.08 percent BAC as the legal limit for drunk driving offenses. States may use these grant funds for any project eligible under Title 23. Beginning in FY 2004, States not having passed a 0.08 BAC law will be subject to a penalty equal to 2.0% of their Federal-aid apportionments. The penalty increases by an additional 2.0% in each subsequent year to a maximum of 8.0%.

Section 157: Seat Belt Use Incentives. TEA-21 instituted an incentive program to encourage States to increase seat belt use rates. States must establish their seat belt use rates in accordance with guidelines issued by the Secretary of Transportation. States may use these grant funds for any safety project eligible under Title 23.

Performance/Compliance Indicators: Given the emphasis on the safety program through SAFETEA-LU, it is important that FHWA be able to demonstrate that the program is being effectively carried out, and that the projects being implemented are achieving results. The ultimate measure of the success of this program is a significant statewide decline, in real terms, in the number of fatalities and serious injuries. To ensure that the program is being implemented as intended and that it is achieving its purpose, TDOT will provide annual progress reports on the HSIP implementation and effectiveness in accordance with and as required by 23 U.S.C. §148(g). Since the HRRR Program is a component of the HSIP, information on the HRRR Program will be provided through this provision. The report should provide information on the HRRR Program in three parts: basic program implementation information, methods used to select HRRR, and detailed information assessing the HRRR Program. While 23 U.S.C. §148(g) also includes a requirement to address railway-highway crossings, this information should be collected in a separate report required under 23 U.S.C. § 130(g). At the option of the State, the three reports required under Section 148 (the HSIP report including High Risk Rural Roads, the railway-highway crossing report and the "5% Report" (Section 148 (C) (1) (D)) may be submitted separately, or combined into one report with three distinct sections. TDOT will prepare these reports in conformance with FHWA guidance and submit to the FHWA Division by August 31, beginning in 2006. The first report will cover the period from July 1, 2005 to June 30, 2006. The Division Office will forward these reports to the FHWA Office of Safety (HSA) by September 30 of each year. The "5 percent reports" will then be made available to the public via posting on the USDOT web site as required by Section l48(g)(3). These reports will be submitted to the FHWA Division electronically.

¹Prior to 2007, TDOT will conduct review annually.

3.16 Miscellaneous Activities

This section summarizes miscellaneous programs and activities that may not be covered under other sections.