Highway Performance Monitoring System Field Manual

Chapter 1 Introduction

1.1 Background

The Federal Highway Administration (FHWA) is responsible for assuring that adequate highway transportation data and systems performance information is available to support its functions and responsibilities, as well as those of the Administration and United States Congress.

A biennial Conditions & Performance report of the future highway investment needs of the nation is mandated by Congress (23 U.S.C. 502(h)). The Highway Performance Monitoring System (HPMS) data are used for assessing highway system performance under the U.S. DOT and FHWA’s strategic planning and performance reporting process in accordance with requirements of the Government Performance and Results Act (GPRA, Sections 3 and 4) and for apportioning Federal-aid highway funds in accordance with title 23, U.S.C. To address these needs, the HPMS was first developed in 1978 as a national highway transportation information program.

This HPMS Field Manual provides a comprehensive overview of the HPMS program, and describes in detail the data collection and reporting requirements for HPMS. The requirements outlined in the Field Manual are authorized under 23 U.S.C. 315, which places the authority on the Secretary of Transportation for National management decisions affecting transportation. In addition, The United States Code of Federal Regulations (CFR) title 23, §1.5 provides the Federal Highway Administrator with authority to request such information deemed necessary to administer the Federal-aid highway program. Also, 23 CFR 420.105(b) requires the States to provide data that support FHWA’s responsibilities to the Congress and the public. The HPMS Field Manual is a valuable resource that guides the States as they address their HPMS data collection and reporting responsibilities. This manual includes detailed information on technical procedures, a glossary of terms, and various tables to be used as reference by those collecting and reporting HPMS data. Information related to the use of the HPMS software web application is contained in a stand-alone document.

1.2 Scope of the HPMS

The HPMS is a national program that includes inventory information for all of the Nation's public roads as certified by the States’ Governors annually. All roads open to public travel are reported in HPMS regardless of ownership, including Federal, State, county, city, and privately owned roads such as toll facilities. Each State is required to annually furnish all data per the reporting requirements specified in this HPMS Field Manual. The District of Columbia and the Commonwealth of Puerto Rico are treated as States for HPMS reporting purposes. United States Territories (Guam, the Commonwealth of the Northern Marianas, American Samoa, and the Virgin Islands of the United States) are required to annually report limited HPMS summary data only, in addition to the separate reporting of certified public road mileage.

Public road mileage certifications are due no later than June 1^st of each year to FHWA Headquarters, Office of Highway Policy Information (HPPI). FHWA Field Division Offices are free to set an earlier date. The certifications shall be provided in an electronic format via email sent to the FHWA Office of Highway Policy Information official electronic mailbox (HPInfoMail@dot.gov). The requirements for submitting the public road mileage are in accordance with CFR 23, Part 460.3; see https://www.fhwa.dot.gov/policy/ohpi/prmcguidance.cfm. HPMS uses the certified public road mileage as a control total for the mileage in each State.

HPMS requires more detailed information for the National Highway System (NHS), which is a network of the most highways concerning the nation's economy, defense, and mobility. The NHS was first designated on November 28, 1995 and expanded on October 1, 2012, to include principal arterial routes but the processes to update functional classification and NHS designation remain separate. Note that although ramps may be part of the NHS, the NHS data in HPMS does not cover ramps except for five data items: Functional System, Urban Code, Facility Type, Through Lanes, and AADT.

1.3 Uses of HPMS Data

HPMS is the official Federal government source of data on the extent, condition, performance, use, and operating characteristics of the nation’s highways. HPMS data are used for assessing and reporting highway system performance under FHWA’s strategic planning process. HPMS data also form the basis of the analyses that support the Conditions and Performance (C&P) Report to Congress and are the source for a substantial portion of the information published in the annual Highway Statistics publication and in other FHWA publications including information that is reported to the media. HPMS data are used to calculate following performance measures:

• Rate of fatalities in 23 CFR 490.207(a)(2);
• Rate of serious injuries in 23 CFR 490.207(a)(2);
• Percentage of pavements of the Interstate System in Good condition in 23 CFR 490.307(a)(1);
• Percentage of pavements of the Interstate System in Poor condition in 23 CFR 490.307(a)(2);
• Percentage of pavements of the non-Interstate NHS in Good condition in 23 CFR 490.307(a)(3); and
• Percentage of pavements of the non-Interstate NHS in Poor condition in 23 CFR 490.307(a)(4).

Additionally, the HPMS is used for reporting metrics with respect to targets for established performance measures per 23 CFR 490. Finally, the HPMS data are widely used throughout the transportation community, including other governmental entities, business and industry, institutions of higher learning for transportation research purposes, and the general public. The HPMS data may also be used for performance measurement purposes in National, State and local transportation decision-making to analyze trade-offs among the different modes of transportation as part of the metropolitan and statewide transportation planning process.

FHWA has identified measures (23 CFR 490) for the States to assess pavement conditions that will be used to establish performance targets for pavement condition on roadways that are located on the National Highway System (NHS). In addition, FHWA has set a minimum condition level for pavement condition on Interstate roadways (23 CFR 490.315) that States will be required to meet under 23 U.S.C. 119(f)(1). FHWA will use HPMS data for assessing States’ minimum pavement condition level for the Interstate System on an annual basis (23 CFR 490.317) and will use HPMS data for determining States’ significant progress towards pavement condition targets biennially (23 CFR 490.109).

Certain data items within HPMS including length, lane-miles, and travel are required for all public roads that are eligible for Federal-aid highway funds. These three data items in particular are used in the apportionment of Federal-aid highway funds. The data items reported for all Federal-aid eligible roads are known as Full Extent data items.

In addition to Full Extent data items, there are data items that are reported on a partial extent basis, which are known as Sample Panel data items. The Sample Panel provides more detailed statistical data on a randomly selected sample of roadway sections in the State’s public road system. Finally, there is a set of summary data included in the HPMS system known as Summary data items. The summary data are reported in aggregate form, for roadways functionally classified as minor collectors in rural areas and local roads in any area. Table 1.1 contains information on the source of selected length, lane-mile, and travel data from the HPMS data set.

Full Extent Data: Reported for an entire roadway system or systems.

Sample Panel Data: Reported for defined sample sections associated with the Federal-aid roadway system.

Summary Data: Reported in aggregate for defined areas and/or roadways functionally classified as rural minor collector or local.

1.4 HPMS Staff Roles and Responsibilities

The annual provision of HPMS data is a cooperative effort between State Departments of Transportation (DOTs), local governments, and metropolitan planning organizations (MPOs) working in partnership to collect, assemble, and report the necessary information. The process resulting from this relationship is depicted in Figure 1.1. In consultation with its HPMS partners, stakeholders, and customers, FHWA identifies the data to be reported and provides data definitions and standards. FHWA develops and maintains web-based applications, analytical models and techniques that FHWA and various State DOTs use in conjunction with HPMS data to conduct policy-level, corridor-level, and subarea planning analysis and programming. Taken together, these activities support informed highway planning, policy development, and decision-making at the Federal and State levels.

Within each DOT, the responsibilities for collecting and reporting HPMS data is generally a cooperative process between a central office, which prepares, analyzes, and submits HPMS data on behalf of the State, and other district or regional offices responsible for field data collection activities, including roadway inventory, and traffic and pavement data collection. To help facilitate this effort, this manual provides guidance to the States in support of their field data collection activities for HPMS.

The required State and sub-State coordination is exemplified by the process to prepare a geospatial file for each HPMS submission. Because the necessary geospatial file must be maintained in such a way that it easily links to information about condition, performance, use and operating characteristics of Federal-aid system roadways, DOT staff must work closely and coordinate with State GIS, road inventory, traffic and pavement staff.

The process of coordinating these activities is usually performed under the direction of an HPMS Manager or HPMS Coordinator within each State DOT. This person serves as the primary liaison with the FHWA on all matters related to the preparation and submittal of the State’s HPMS submittal.

After each State has submitted their HPMS data, it is the responsibility of the FHWA Office of Highway Policy Information (OHPI) to integrate each submittal into the national HPMS database. The HPMS database then becomes the source of information provided in the Conditions and Performance (C&P) Report to Congress on a biennial basis.

The HPMS submittal from the State represents the condition of the road network as of December 31st of each year. Moreover, annual data collection activities are to be performed during the calendar year (i.e., January through December) prior to the reporting year (e.g., data collected up to December 31^st 2015 would be used for reporting in 2016). Data collection activities conducted during a State’s fiscal year, performance year, etc. must conclude by December 31^st of that year for reporting in the following year. In order to allow time for States to integrate pavement and traffic related data, which requires additional time for processing and analysis, the phased HPMS submittal is due to FHWA beginning on April 15^th of the following year.

Figure 1.1 illustrates a potential workflow for the process and roles involved in the preparation of a State’s HPMS data submittal.

1.5 Reporting Requirements

Each State is required to prepare an annual submittal of HPMS data in accordance with the procedures, formats, and codes specified in this manual. This data submittal must represent the condition and performance of the road network as of December 31^st of each year. In order to ensure that FHWA has sufficient time to process and analyze data for annual pavement performance reporting purposes, the initial HPMS submittal is due to FHWA by April 15^th of the year following the data collection year. For example, Interstate pavement data and related data elements collected from January 1^st 2016 through December 31^st 2016 must be submitted (to FHWA) by April 15^th 2017.

Each State should also assure that there is an agreement between the Certified Public Road Mileage and the total public road system extent (in miles) reported to FHWA via HPMS. Data from the current inventory year (i.e., year of data collection) will be reported in HPMS unless otherwise noted. For the most part, actual values are to be reported for the various roadway attributes (i.e., Sections data) that are collected in HPMS. However, factored or estimated data is permissible where specified in this manual for specified attribute data. Each State is to include, as part of the annual submittal, their Linear Reference System (LRS), which enables the attribute data to be represented in a geospatial format. If a State uses more than one LRS for their own purposes, it is necessary for the State to designate one LRS to be used for Federal reporting purposes. This Federal reporting LRS is the one that should be maintained and submitted annually as part of the HPMS submittal.

HPMS Submission Deadlines

The tiered HPMS submission process is depicted in Figure 1.1. Submission deadlines begin with Interstate pavement and other related data items on April 15^th (HPMS Submission 1), followed by the Certified Mileage on June 1^st. Non-Interstate pavement, non-pavement, sample, and summary data are due to be submitted on June 15^th (HPMS Submission 2).

Moreover, the following pavement condition-related data must be reported by April 15 of the year following the data inventory year: Sections data for Functional System (Data Item 1 in Section 4.2), Urban Code (Data Item 2 in Section 4.2), Facility Type (Data Item 3 in Section 4.2), Structure Type (Data Item 4 in Section 4.2), Through Lanes (Data Item 7 in Section 4.2), IRI (Data Item 47 in Section 4.2), Surface Type (Data Item 49 in Section 4.2), Rutting (Data Item 50 in Section 4.2), Faulting (Data Item 51 in Section 4.2), Cracking Percent (Data Item 52 in Section 4.2), NHS (National Highway System) (Data Item 64 in Section 4.2) and a dual-carriageway, LRS-enabled, geospatial Routes dataset (Section 3.3). See Chapter 4, Sec. 4.3 and 4.4 for details on data item-specific collection and reporting requirements.

HPMS Component Data Sets

The data required for the annual submittal of HPMS includes: (1) limited data on all public roadway sections, which includes the Federal-aid system (i.e., Full Extent data), (2) more detailed data for designated sections of the Federal-aid system (i.e., Sample Panel data), and (3) area-wide summary information primarily for lower functional system roads (i.e., Summary data).

• Full Extent Data

  Full Extent Data refers to a limited set of data items that are reported for an entire roadway system such as the National Highway System (NHS) or an entire functional system (e.g., Interstate roadways).

• Sample Panel Data

  Sample Panel Data consists of data items that are reported for a select portions of of a given roadway system. The sampled sections are a fixed sample panel of roadway sections that are monitored from year to year and, when expanded, represent the Full Extent of the systems that are sampled. The more detailed information collected for a Sample Panel section is used to represent similar conditions on the associated functional system after expansion.

• Partial Extent Data

  Partial Extent Data refers to those data items that are reported on a Full Extent basis for some functional systems and on a Sample Panel basis for other functional systems.

• Statewide Summary Data

  Statewide Summary Data includes information on travel, system length, and vehicle classification by functional system and area type, in addition to land area and population by area type. The area types include rural, small urban, and individual urbanized, non-attainment, and maintenance areas. Pollutant type is also reported as indicators of air quality in non-attainment areas.

Linear Referencing System (LRS) Data

LRS data provides a spatial reference for the Full Extent and Sample Panel data on selected highway functional systems. This spatial data coupling (i.e. representing roadway attribute data in a spatial format) enables the analysis of HPMS data in a GIS environment. Within the HPMS software, the State-provided LRS represents all roadways in a given State’s road network for a designated set of functional classifications.

HPMS Regulations

Regulations governing the FHWA State Planning and Research (SPR) funded work programs [23 Code of Federal Regulations (CFR), Part 420] outline responsibilities for furnishing FHWA adequate information for administering the Federal-aid highway program. Maintaining a valid HPMS database is an item of national significance and items of national significance must be adequately addressed in each State's annual work program. This extends beyond the simple reporting of data each year and includes taking actions to assure that all data are complete, current, and accurate. Although there may be other participants in the collection and reporting process, the ultimate responsibility for the accuracy and timely reporting of HPMS data lies with the State highway agency.

The submission of false data is a violation of the United States Code (U.S.C.), Title 18, Section 1020.

The annual HPMS submittal is to be transmitted to FHWA via a web-based HPMS application. The HPMS software web application, to be used by the States, can be accessed via the Office of Highway Policy Information homepage at: https://www.fhwa.dot.gov/policyinformation/. Questions pertaining to the annual submittal should be directed to The Office of Highway Policy Information at 202-366-0175.