Model Process

Tribal Traffic Safety | Executive Summary | Model Process | Tribal Highway Safety Improvement Implementation Guide | Acronyms, References, and Bibliography

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Purposes

The purposes of this project are to develop a model process and guidelines:

To improve Tribes' abilities to identify hazardous highway locations, sections and elements; and
To develop and prioritize highway safety projects.

Goal

The goal for implementing the model process and guidelines is to position Tribes to effectively compete for highway safety funding, including the Hazard Elimination Program (HES).

If a Tribe determines a hazardous highway problem exists and pursues highway safety funding, the planning preparation will need to include the anticipation of a project denial and reapplication to the original funding source. As an alternative to using external resources, a Tribe may decide to utilize tribal generated revenues.

Aproach

The model approach involved developing a process for a Tribal Highway Safety Improvement Program (THSIP) or safety project that addresses the general needs for highway safety and the specific requirements for the HES funds. The model process was developed in the context of guidelines related to the technical and policy issues facing Tribes. The model process requires sufficient flexibility to be useful under a wide variety of tribal and state level circumstances. On the other hand, the model process requires sufficient specificity to provide any Tribe with a blueprint for the development of a successful highway safety project.

Process

The following process provides a model to help assure a Tribe fully considers the benefits and costs of implementing a THSIP or a highway safety project. This process draws from the project technical and policy guidelines. The process described consists of four major tasks.

Determine whether a Tribe has a highway safety problem.
Select funding sources that a Tribe may pursue to address the highway safety problem.
Plan for a THSIP or a highway safety project.
Implement a tribal HES project based on the plan.

The first two tasks of this process focus on the broader issues of creating a THSIP or safety project with no particular emphasis on any funding source. The third task focuses on planning needs for a THSIP or a stand-alone safety project. The last task centers on the implementation of a tribal HES roadway reconstruction project. The flow chart below shows the relationship among the four tasks and the major steps within each task. Tribes that do not have significant road system mileage or population may want to focus on a specific highway safety project, as opposed to developing a complete THSIP.

Figure 1. Model Process Flow of Activities
Before deciding to seek any highway safety funding, a Tribe will need to acknowledge that a hazardous highway problem exists and to determine whether available programs and funds can provide the necessary resources to remedy the problem.

TASK 1 - Determine whether a Tribe has a highway safety problem.

Tribal Highway Safety Improvement Program (THSIP) team is appointed

If the Tribal Council verifies a highway problem, appointing a THSIP Team to investigate the magnitude of the problem will be the next step. The THSIP Team can provide support to the Council regarding the use of available highway safety programs and the development of a THSIP or highway safety project.

THSIP Team Composition.
When composing the THSIP Team, a broad base of tribal departments that have a stake in highway safety will need to be involved. Council representation on the Team will be important to assist in developing policy recommendations and also to advance collaboration between the Team and the Council. Including the Bureau of Indian Affairs (BIA), the state transportation department, the Indian Health Service (IHS), and other external agencies as Team members can promote the sharing of expertise and knowledge. Choosing a person with a long-term commitment to serving the Tribe, as the Team Leader, will be an asset and will promote the continuity of traffic safety improvements. The Team membership can evolve over time as more definition and responsibilities are given to the THSIP.
Initial THSIP Team Responsibilities.
The initial Team responsibilities will be to assess the magnitude of the Tribe's highway safety problem and to identify available highway safety programs.

Preliminary highway safety assessment is conducted
An assessment of the nature and depth of the highway problem will assist the Council to determine a course of action. The primary focus of the assessment will be to identify MVC rates, fatalities, injuries, causes and locations. The assessment can be expanded to assess the liability losses, insurance costs and the capacity of law enforcement, emergency medical services, tribal courts and planning to effectively respond to highway safety problems.

Utilizing available data from Bureau of Indian Affairs, Division of Transportation (BIADOT), the state transportation department, IHS, the state health department, the National Highway Safety Administration (NHTSA), and other accessible sources will help the Team to acquire a baseline of safety information to form recommendations. To get a bigger picture of the problem, the tribal safety data can be compared to the state or national rates. Agencies supplying the data can be requested to provide technical assistance during the preliminary assessment. NHTSA and BIA Highway Safety Office (BIAHSO) can be a source of funds for conducting a tribal highway safety assessment.

Understanding the requirements and status of the federally mandated safety management system (SMS) for the BIADOT will be essential to a Tribe in 1) making the preliminary tribal highway safety assessment and 2) determining whether to implement a highway safety project.
Identify Available Highway Safety Funding Programs.
Compiling information about available safety-funding programs will be important, so the THSIP Team can apprise the Council of funding options to resolve the hazardous roadway and other highway safety issues. The agencies administering these programs can be a valuable resource for assisting a Tribe in selecting appropriate programs. The technical and policy guidelines accompanying this model name several federal and state programs.
Highway Safety Assessment Recommendations to Tribal Council.
Following the completion of the preliminary assessment and the listing of available highway safety programs, the THSIP Team will prepare a summary report of the assessment findings and recommendations. The Team recommendations will need to include proposed tribal highway safety goals. It will be important for Council to refer to the Team's written determination when considering whether or not to initiate a THSIP or highway safety project.
Tribal Council Decision to Consider Initiating a THSIP or Highway Safety Project.
Based on the Team report, the Council will need to take action on whether or not to consider establishing a THSIP or highway safety project. If the decision is to consider creating a program or project, the tribal administration and key staff will need to be briefed on the details of available programs suited to achieve the tribal safety goals. If not, the process will end.

Highway safety program briefings are arranged for Tribal Council and staff

If a Tribe opts to initiate a THSIP or highway safety project, the administrative briefings regarding the program goals and requirements for funding will be important. The briefings will help the Council to determine which programs will match the tribal safety goals.

Briefings Arrangements.
A Tribe can contact a regional inter-tribal consortium, the BIADOT Regional Branch of Roads, or the state office of FHWA for technical assistance and to help determine which agency (ies) can provide information to the Tribe. Briefings by more than one agency may be necessary. For example, the state transportation department may be responsible for the HES funds in the state; the state Governor's safety representative may be responsible for administering NHTSA programs in that state; and the Center for Disease Control (CDC), IHS, and state health departments may administer separate injury programs that encompass traffic safety.
Briefing Content.The selected agency (ies) should be requested to address these topics when presenting before the Council and the Team:
1. Availability of highway safety funds.
2. Advantages and disadvantages for using the program(s).
3. General requirements for obtaining program funds.
4. Suggested process for assisting the Tribe to develop capacity within the area of highway safety.

Tribal Council decides whether to investigate the use of highway safety programs

Following the briefings(s), the Council can direct the THSIP Team to analyze which funding programs will meet the Tribe's need. If the Tribe decides that none of the programs are workable, the assessment can end or the Tribe can decide to fund its own program or project.

TASK 2 - Select funding sources to address the problem

Once the THSIP Team has narrowed the program options, the Council will need to review the Team's analysis and each recommended program to determine the appropriateness for tribal use. Much of the review will detail the previous program briefings. A good line of communication with the administrative agency (ies) will be crucial during this step. It should be emphasized that each source of highway safety program funding carries its own program requirements; the fourth task of this model focuses specifically on accessing the HES funds.

Potential program benefits and costs are identified

Eligible Uses of Program Funds
Eligible uses for program funds will need to be identified and compared with the Tribe's highway safety improvement needs. Following are two examples.
1. Passenger restraints needs<
  NHTSA funds can be used for public relations campaigns to promote the use of vehicle seatbelts. Private and government funding sources can be used for the acquisition of passenger restraint systems, such as child safety seats. The IRR construction or HES funds can be used for "Buckle-up" signage along roadways to encourage seatbelt usage.
2. Potentially hazardous highway locations
  HES funds may be used to perform safety planning and to identify and study locations (engineering assessment) for HES funded safety projects, if the state HES administrator approves the use for such activities.^[27] Other funds, such as IRR, NHTSA, and federal Highway Planning and Research (HPR) funds can be used for planning and evaluation.
  
  If a Tribe will be considering the use of IRR funds for any portion of the THSIP or highway safety project, BIADOT, Regional Branch of Roads, will need to be apprised, so that funding can be programmed in the IRR Tribal Improvement Program (TIP). An important consideration is that IRR funds can be used to match other federal funding. ^[30]
Level and Availability of Program Funding.
Determining funding availability will be an important consideration in selecting funding sources to meet the tribal needs. The amount of funding available for a project may be capped, which is the case with HES funding in many states. Also, some safety programs have established matching requirements. Funding level restrictions may require a Tribe to find other funding sources to complete a project. A Tribe can request the administering agency (ies) to assess the Tribe's chance of securing funding, if the program requirements are met.

Although, the IRR is an example of a continuous-funded program, some funding can be:
1. One time funding, multiple year funding, or project by project funding.
2. Competitive or set-aside.
3. Grants or loans.
Program Requirements to Secure Funding
A Tribe will need to determine the specific program requirements to secure funding, since the costs can be considerable. Requirements for securing funding may involve only the submittal of an application. In other cases, the requirements can be more extensive. For example, the HES funds requires the compilation of MVC, traffic and roadway data; data analysis, hazardous highway location (s); project scoping; project prioritization; a competitive application; and a commitment to post-project evaluation to become eligible for funding. Once approved, there can be substantial requirements associated with project implementation. Some programs operate on an expenditure reimbursement basis, but under some circumstances, the funds can flow through the BIADOT, Regional Branch of Roads, and can be made available to a Tribe in advance of the project implementation.^[31]

While determining which highway safety funding programs to pursue, a Tribe will need to weigh the cost of meeting the program requirements against the funding benefits and the social and economic toll of MVCs on tribal members.

Tribal actions necessary to effectively compete for safety funding are determined

A Tribe, pursuing safety program funds, will need to assess what actions are needed to effectively compete for program resources. The prior assessment will have indicated the magnitude of tribal preparation and resources necessary to achieve a competitive position. Coordinating the assessment with the administering agency (ies) will promote mutual understanding of the tribal action requirements. Questions to focus on are:
1. What program requirements does the Tribe need to fulfill?
2. What actions does the Tribe need to take to satisfy the requirements?
3. Are there opportunities to integrate tribal programs?
4. Should capacity building be a major tribal factor in program implementation?
5. What tribal organizational actions should be instituted to implement a program?
6. What tribal organizational actions should be instituted to implement a program?
7. What data processing actions should be taken to facilitate program implementation?

Funding sources for developing THSIP or project plan(s) are identified

Following the identification of program requirements and tribal actions necessary to effectively compete for program funds, a plan, as outlined in Task 3, will need to be developed for the selected programs. Before proceeding with a decision to develop a THSIP or highway safety project plan, funding sources for the plan development will need to be identified by the Tribe. Listed below are potential funding sources for planning. Contact with the administering agency (ies) will need to be conducted early on to clarify the application schedule and current availability of funds.

BIADOT
State department of transportation
Governor's representative for highway safety
NHTSA
FHWA
IHS
CDC
State health department
American Automobile Association (AAA) and other private transportation safety interest organizations
Tribal funds

Safety funding sources are selected

Reviewing the funding sources will assist the Council to decide which safety programs to pursue. Decisions for all programs need not occur at the same time. As mentioned in Task 2, reviews for some programs will be straightforward and completed rapidly, while others, will be more complex and time consuming. If the Council assigns the program reviews to the THSIP Team or others, a report summarizing the reviews and program recommendations will need to be considered by the Council.

If the Council decides to proceed with some of the safety funding programs under consideration, the Team will move forward with Task 3 and the development of the plan (s) for a program or project. If the Tribe decides not to consider any of the available funding programs, the process will conclude, unless the Tribe decides to fund a program.

TASK 3 - Plan for a Tribal Highway Safety Improvement Program (THSIP) or a highway safety project

To improve highway safety, a Tribe may decide to make an on-going commitment through a THSIP or a short-term commitment through the implementation of a single safety project. In either case, planning is an essential step for success. A plan should:

Provide a blue print for how the program or project will be organized and will work.
Define relationships with other tribal programs.
Identify resource requirements for capacity building.
Define roles and responsibilities.
Provide an implementation schedule.
Identify costs and funding sources for implementation.

Task 3 provides plan development concepts for both a THSIP and a single highway safety project. The primary differences between THSIP and single project planning are the extent to which safety is integrated with other tribal programs and the need for prioritizing multiple safety projects. The planning approach presented here focuses largely on the broad requirements for HES funding. However, many of these planning elements have application for other safety funding programs that a Tribe may decide to pursue.

Scope of Work for a Tribal Highway Safety Improvement Program (THSIP) or highway safety project plan is prepared

The technical and policy component guidelines, included in this document, detail the substantial considerations a Tribe must address in preparation to effectively access funds. The plan development will require careful thought and can require substantial funding. A scope of work provides documentation for the steps required in preparing a plan. Consequently, a Tribe will need to prepare a scope of work for the development of the plan.

Preparation of the scope of work can be assigned to a tribal staff member or the THSIP Team. The scope of work will need to be prepared in consultation with the state or federal agency that administers the funds, and other agencies that will be involved with the funding implementation, providing matching funds or coordinating with the program. Tribal Council approval of the final scope of work will need to be obtained. At a minimum, the scope of work should include the following elements.

Data.
1. Determine data requirements.
2. Determine what data are currently being collected and can be used.
3. Identify what additional data needs to be collected for funding eligibility.
4. Resolve tribal government issues associated with sharing data.
5. Determine how data required for a THSIP program or safety project can be integrated with data for other tribal programs.
6. Determine equipment and software requirements for collecting and managing data.
7. Determine who and how data will be collected, stored, integrated, analyzed and maintained.
8. Establish a process for updating data.
Hazardous Roadways Location Identification and Prioritization.
1. Develop a process to identify existing and potential hazardous roadway locations.
2. Develop a process to prioritize hazardous roadway locations, while considering other tribal processes for prioritizing transportation projects.
3. Resolve any tribal government issues associated with project prioritization requirements.
4. Determine responsibilities for identifying and analyzing hazardous roadway locations.
Project Scoping and Funding Application.
1. Establish a process to determine project scoping requirements.
2. Determine application requirements for safety program funds.
3. Determine who will be responsible for project scoping and the development of funding applications.
Project Development and Evaluation.
1. Establish a process to determine requirements for project development.
2. Determine requirements for project evaluation.
3. Resolve any tribal government issues associated with requirements for project development and evaluation.
4. Determine who will be responsible for project development.
Tribal Capacity Building.
1. Formulate actions for the development of capacity building related to the THSIP or safety project administration and technical functions.
2. Identify requirements for tribal staffing and training to support the capacity building plan.
Tribal Structure for THSIP or Highway Safety Project Implementation.
1. Develop a governance structure model for direction setting and decision-making.
2. Identify related tribal programs.
3. Determine how the program or project will interact and be coordinated with the related tribal programs.
4. Develop roles and responsibilities for implementation of the program or project, which includes the assignments for each of the implementation plan elements.
5. Identify how data, equipment and software for related tribal programs will be integrated.
THSIP or Safety Project Implementation and Maintenance Cost Estimates
1. Develop an estimate of cost to implement each of the plan elements and a total cost for implementing a tribal program or project.
2. Develop an estimate of cost for maintaining a tribal THSIP or safety project after initial implementation.
Funding Sources and Technical Support for Implementation of a THSIP or Safety Project Implementation.
1. Identify sources of potential funding for each of the elements of the implementation plan in consultation with the funding agency (ies).
2. Identify sources of potential technical support for THSIP or safety project implementation. This may include the state or federal agencies, including BIADOT, Regional Branch of Roads, and other program offices within a Tribe.
THSIP or Safety Project Implementation Schedule
Develop an implementation schedule for each element of the program or project, paying particular attention to the sequence of the activities.
Funding secured for the development of a Tribal Highway Safety Improvement Program (THSIP) or highway safety project plan
THSIP or Highway Safety Project Implementation Responsibilities.
Assign responsibilities for implementing the activities. A Tribe will need to consider seeking external funding sources for the development of the plan. The cost for developing a THSIP or safety project plan can be considerable, depending on the complexity and who prepares the plan.
Plan Development Cost Estimate.
The person or team preparing the scope of work or another organization familiar with estimating plan development costs can prepare the estimate of cost.
Potential Sources of Funding for Plan Development.
The identification of potential funding for the development of the THSIP or safety project plan will need to be initiated at the same time that the scope of work is being prepared. Examining sources early on will indicate where funding can come from, and will permit time to tailor the scope to meet the potential funding requirements. Agencies involved in highway safety programs, such as the Governor's representative for highway safety, state department of transportation, BIADOT, BIAHSO, NHTSA, IHS and CDC, will likely be the major sources of funding. Transportation loan programs, like the state infrastructure banks, can also be a funding source.
Plan Development Funding Application.
The person or team preparing the scope will need to prepare the application(s) for funding the plan development to the potential funding agency (ies). The application(s) can be submitted following Tribal Council approval. If no agencies are willing to fund the development of the plan, a Tribe may resort to using tribal generated monies.
Tribal Highway Safety Improvement Plan (THSIP) or safety project plan is developed.
After the scope of work is completed and funding identified, development of the plan will commence.
Plan Development Oversight.
Within the project plan, the administrative and oversight duties will need to be stated. This action will provide for accountability in the development of the plan. Responsibility assignments can be made based on recommendations from the THSIP Team or the tribal transportation coordinator or manager. Consideration will need to be given to assigning oversight responsibilities to the Team and administrative responsibility to a tribal transportation or Safety Program Coordinator.
Plan Development Assignment.
The Council, in consultation with the THSIP Team, will need to evaluate whether tribal staff, consultants retained by the Tribe or BIA or a combination of the two will develop the plan. Also, the state transportation department may be willing to assist in the development of the plan for a negotiated fee. The determination will need to be based on the availability and expertise of tribal staff and the complexity of the plan. If the Tribe anticipates contracting a consultant, the Tribe will need to determine all of the program requirements before soliciting assistance.
Plan Development Process.
Both the scope and budget will influence the development of the project plan. The program/project coordinator and THSIP Team will need to establish a schedule, based on the major elements contained in the scope. They will also need to review each submittal and approve or request changes. Significant policy decisions will require concurrence by the Council.
Plan Finalization.
The Tribal Council and THSIP Team, as well as the funding agency (ies), will need to approve the final project plan. Following the approvals, copies of the plan will need to be made available to the Council, Team members, staff involved in implementing the THSIP or safety project, affected tribal departments and potential partners outside the Tribe.

TASK 4 - Implement a tribal Hazard Elimination Program (HES) project based on the plan

The preceding tasks addressed Tribal Highway Safety Improvement Programs and highway safety projects without focusing on a specific funding source. Task 4 is presented to provide guidance for the implementation of a safety project funded with Hazard Elimination Program (HES) funding.

Upon adoption of the planning for a HES project, a Tribe will initiate the project. The goal will be an actual HES project application and a funded project. Implementation will require careful scheduling and coordination of the project elements.

HES project implementation team and coordinator are established

The HES Implementation Team will guide the execution of the tribal HES project, based on the approved plan. The THSIP Team can be retained as the HES Implementation Team, as long as the representation includes all tribal departments involved in the HES project. As with the formation of the THSIP Team, the Tribe will need to consider inviting external agency (ies) with projected program or project roles to join the HES Implementation Team.

The tribal transportation or THSIP coordinator can be assigned as the HES Implementation Coordinator to provide administrative guidance during the implementation. The coordinator can report to the HES Implementation Team, but at a minimum will need to coordinate with the Team.

Funding and technical support are secured.

The HES project plan will have identified potential sources of funding and technical support for various elements of the plan. The HES Implementation Team and coordinator can use this information to initiate discussions with the source agency (ies). The Tribe will need to expect several sources to support different aspects of the implementation, and anticipate matching requirements for some funding sources. Tribal funds may be required to fund or provide tribal-funded staff for some implementation elements. The specific support activities will need to be outlined for the agencies willing to provide technical support.

HES project is implemented

As soon as the resources have been committed to the Tribe, the Tribe can begin to implement the HES project. The HES Implementation Team and coordinator will need authority to monitor and conduct necessary adjustments to resolve problems, unless Council intervention is required, such as funding, scheduling, redirecting significant resources, or revising/establishing tribal policies. Periodic progress will need to be reported to the Council.

HES project is evaluated

A Tribe will need to evaluate the HES project process after implementation has been completed. The evaluation will focus on identifying process improvements to:

Further strengthen the Tribe's ability to effectively compete for safety program funding.
Improve the integration of the safety program with other tribal programs.
Reduce program costs.
Program evaluation will need to be conducted on a periodic basis to ensure a current and effective safety program.

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