[Federal Register Volume 61, Number 245 (Thursday, December 19, 1996)]
[Rules and Regulations]
[Pages 67166-67175]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-32112]



[[Page 67165]]

_______________________________________________________________________

Part III





Department of Transportation





_______________________________________________________________________



Federal Highway Administration



Federal Transit Administration



_______________________________________________________________________



23 CFR Part 450, et al.



49 CFR Parts 613 and 614



Management and Monitoring Systems; Final Rule

  Federal Register / Vol. 61, No. 245 / Thursday, December 19, 1996 / 
Rules and Regulations  

[[Page 67166]]



DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

23 CFR Parts 450, 500, and 626

[FHWA/FTA Docket No. 92-14]
RIN 2125-AC97
Federal Transit Administration

49 CFR Parts 613 and 614

RIN 2132-AA47


Management and Monitoring Systems

AGENCIES: Federal Highway Administration (FHWA), Federal Transit 
Administration (FTA), DOT.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Federal Highway Administration and the Federal Transit 
Administration are issuing regulations for State development, 
establishment, and implementation of systems for managing: Highway 
pavement of Federal-aid highways; bridges on and off Federal-aid 
highways; highway safety; traffic congestion; public transportation 
facilities and equipment; and intermodal transportation facilities and 
systems; and a system for monitoring highway and public transportation 
facilities and equipment.
    This rule will remove the management system certification and 
sanction requirements and allow the States to elect to not implement 
the management systems in whole or in part.

DATES: This final rule is effective on January 21, 1997.

FOR FURTHER INFORMATION CONTACT: For information on the general 
provisions: Mr. Tony Solury, 202-366-5003. For information on a 
specific system: Highway pavement--Mr. Frank Botelho, 202-366-1336; 
Bridge--Mr. Charles Chambers, 202-366-4618; Highway safety--Mr. Fred 
Small, 202-366-9212; Traffic congestion--Mr. Charles Goodman, 202-366-
8070; Public transportation facilities and equipment--Mr. Sean 
Libberton, 202-366-0055; Intermodal transportation facilities and 
systems--Mr. Dane Ismart, 202-366-4071; Traffic monitoring--Mr. Tony 
Esteve, 202-366-5051. For information on legal issues: Mr. Wilbert 
Baccus, FHWA Office of the Chief Counsel, 202-366-0780. Office hours 
are 7:45 a.m. to 4:15 p.m., e.t., Monday through Friday, except Federal 
holidays.

SUPPLEMENTARY INFORMATION: Section 1034 of the ISTEA (Pub. L. 102-240, 
105 Stat. 1914, 1977) amended Title 23, United States Code, Highways 
(23 U.S.C.), by adding section 303, Management Systems (23 U.S.C. 303), 
which requires the Secretary of Transportation to issue regulations for 
State development, establishment, and implementation of a system for 
managing each of the following:
    (1) Highway pavement of Federal-aid highways (PMS),
    (2) Bridges on and off Federal-aid highways (BMS),
    (3) Highway safety (SMS),
    (4) Traffic congestion (CMS),
    (5) Public transportation facilities and equipment (PTMS), and
    (6) Intermodal transportation facilities and systems (IMS).
    The systems must be developed and implemented in cooperation with 
metropolitan planning organizations (MPOs), in metropolitan areas, and 
with affected agencies receiving assistance under the Federal Transit 
Act, Public Law 88-365, 78 Stat. 302, as amended.
    Section 303 also requires the Secretary to issue guidelines and 
requirements for the State development, establishment, and 
implementation of a traffic monitoring system (TMS) for highways and 
public transportation facilities and equipment.
    Both the metropolitan (23 U.S.C. 134 and 49 U.S.C. 5303-5305) and 
statewide (23 U.S.C. 135) transportation planning provisions require 
consideration of the needs identified through use of the management 
systems in the respective planning processes.
    The legislative history reflects the Congress' concerns about 
placing potentially burdensome requirements on States. Accordingly, it 
amended 23 U.S.C. 303(c) through section 205(a) of the NHS Act, to 
allow States the flexibility to choose which management systems to 
implement under 23 U.S.C. 303. This final rule reflects this State 
option and contains only minimum requirements for those systems that a 
State chooses to implement under the provisions of section 303. The 
Secretary may not impose any penalty on a State for such election. This 
option does not apply to the separate legislative requirements that the 
planning process in Transportation Management Areas (TMAs) include a 
CMS (23 U.S.C. 134(i)(3) and 49 U.S.C. 5305(c)) and that Federal funds 
not be programmed in a carbon monoxide and/or ozone nonattainment TMA 
for any highway project that will result in a significant increase in 
single-occupant-vehicle capacity unless the project is based on an 
approved congestion management system (23 U.S.C. 134(l) and 49 U.S.C. 
5305(c)). It also does not apply to the TMS.
    An advance notice of proposed rulemaking (ANPRM) was published in 
the June 3, 1992, Federal Register (57 FR 23460) to solicit early input 
for development of these regulations. Public workshops for the SMS were 
announced in the April 28, 1992, Federal Register (57 FR 17868) and 
were conducted in Washington, DC, on May 29, 1992, in San Francisco, 
CA, on June 1, 1992, and in Kansas City, MO, on June 10, 1992. Four 
public workshops for the CMS, PTMS, and IMS were announced in the May 
26, 1992, Federal Register (57 FR 21915) and were conducted in Los 
Angeles, CA, on June 18, 1992, in New York, NY, on June 29, 1992, in 
Chicago, IL, on July 14, 1992, and in Houston, TX, on July 21, 1992. 
The purpose of the workshops was to obtain input to the rulemaking 
process to supplement the comments to the ANPRM docket. The ANPRM was 
issued with two docket numbers, FHWA 92-14 and FTA 92-B.
    Approximately 125 individuals attended the workshops for the SMS 
and over 320 attended the workshops for the CMS, PTMS, and IMS. 
Summaries of comments presented and documents submitted at the public 
workshops are available for review in FHWA docket number 92-14.
    Approximately 162 sets of comments on the ANPRM were submitted to 
docket numbers FHWA 92-14 and FTA 92-B. Approximately 48 percent of the 
comments to the dockets were from State agencies (transportation/
highway departments, motor vehicle departments, State police, etc.), 13 
percent from National interest groups/associations, 10 percent from 
regional planning agencies/MPOs, 10 percent from local agencies 
(cities, counties), 8 percent from private businesses or individuals, 7 
percent from transit operators, and 4 percent from miscellaneous 
agencies. Since approximately two-thirds of the comments submitted to 
the FTA docket number 92-B were duplicates of those submitted to the 
FHWA docket number 92-14, the FTA docket was closed and those comments 
submitted to FTA Docket 92-B that were not duplicates were placed in 
FHWA/FTA docket number 92-14.
    The testimony from the ANPRM workshops and comments submitted to 
the ANPRM dockets were reviewed and used to prepare a notice of 
proposed rulemaking (NPRM) which was published in the March 2, 1993, 
Federal Register (58 FR 12096). The NPRM was issued under FHWA/FTA 
docket number 92-14 only. Four public meetings for the CMS, PTMS, and 
IMS were announced in the March 24, 1993, Federal Register (58 FR 
15816) and were conducted during the NPRM

[[Page 67167]]

comment period in San Francisco, CA, on April 1, 1993, in Atlanta, GA, 
on April 8, 1993, in Philadelphia, PA, on April 15, 1993, and in Kansas 
City, MO, on April 21, 1993. The purpose of the NPRM meetings was to 
obtain input to the rulemaking process to supplement the comments to 
the NPRM docket. Approximately 220 individuals attended the NPRM public 
meetings for the CMS, PTMS, and IMS. Transcripts of comments presented 
and copies of documents submitted at the public meetings are available 
for review in docket number 92-14.
    After considering the comments submitted to the docket and the 
testimony presented at the four public meetings, the FHWA and the FTA 
revised the proposed regulation and published an interim final rule 
(IFR) in the December 1, 1993, Federal Register (58 FR 63442). The 
regulation was issued as an IFR in response to concerns regarding the 
anticipated data collection burden. Subsequent to issuance of the IFR, 
the FHWA and the FTA visited 10 States to obtain additional information 
to refine the data collection burden estimates. This information was 
used to prepare the information in the section below titled Paperwork 
Reduction Act.
    Fifty six sets of comments were submitted to FHWA/FTA docket number 
92-14 in response to the IFR. Approximately 64 percent of the comments 
to the docket were from State agencies (transportation/highway, safety, 
environmental), 14 percent from National/regional interest groups/
associations, 11 percent from regional planning agencies/MPOs, 5 
percent from local agencies (cities, counties), 4 percent from transit 
operators/railroad companies, and 2 percent from universities.
    The overwhelming majority of comments expressed continuing concern 
over the potential data burden of the regulation. This was not 
unexpected since the preamble to the IFR specifically solicited comment 
on the data burden to assist the FHWA and the FTA in developing an 
estimate of the data burden for submission to the Office of Management 
and Budget (OMB). Three commenters suggested that additional data or 
that standardized data be required. In addition, several commenters 
expressed concern over the extent of coverage of the systems and the 
perceived prescriptiveness of the IFR. Many commenters suggested 
editorial changes. In spite of these data and coverage concerns, many 
of the commenters supported the concept of the management systems. With 
the elimination of detailed technical requirements and since compliance 
is optional, except for the CMS in TMAs and the TMS as noted above, the 
basis for most of these comments should be eliminated.
    As part of the government-wide regulatory streamlining effort that 
was announced by the President in March 1995, the FHWA and the FTA 
reviewed the interim final rule for the ISTEA management and monitoring 
systems. During this same time period, pending legislation for 
designation of the National Highway System (NHS) which included a 
provision that would remove the management system certification and 
sanction requirements and make implementation of the six management 
systems optional had passed in the Senate. Many States, MPOs, and other 
involved agencies were aware of these developments and were concerned 
about proceeding with significant financial and manpower commitments 
necessary to carry out the work plans for the systems in view of the 
uncertainty surrounding the management systems.
    On July 20, 1995, the FHWA and the FTA issued guidance on the 
continued development of the systems in a memorandum (copy available 
for review in docket 92-14) to their regional offices. The memorandum 
indicated that, until the uncertainty surrounding the management 
systems was resolved, continued development of the systems could be 
limited to the NHS for the PMS, BMS, and SMS and to TMAs for the CMS 
and PTMS, and to intermodal facilities connected to the NHS for the 
IMS. The compliance dates were also extended except for the BMS. Any 
necessary data collection related to the management systems would be 
limited and tailored to support development and implementation of the 
management systems in accordance with the guidance above. The National 
Highway System Designation Act of 1995 (NHS Act) included amendments to 
23 U.S.C. 303 that allow a State to elect to not implement, in whole or 
in part, any one or more of the management systems required under 23 
U.S.C. 303. In addition, the certification requirement was removed and 
the Secretary may not impose any sanction on, or withhold any benefit 
from a State that elects to take this approach. The FHWA and the FTA 
issued guidance on these changes in a March 7, 1996, memorandum (copy 
available for review in FHWA/FTA docket 92-14) to their regional 
offices. The guidance indicated that, effective immediately, 
certifications were no longer required and sanctions could not be 
imposed.
    The NHS Act does not affect the requirement in 23 U.S.C. 134(i)(3) 
and 49 U.S.C. 5305(c) that the planning process in all TMAs include a 
CMS. As with all planning process requirements, compliance with this 
requirement will be addressed during metropolitan planning process 
certification reviews for all TMAs.
    The NHS Act also does not affect the requirement in 23 U.S.C. 
134(l) and 49 U.S.C. 5305(f) that Federal funds may not be programmed 
in a carbon monoxide and/or ozone nonattainment TMA for any project 
that will result in a significant increase in single-occupant-vehicle 
(SOV) capacity unless the project is based on an approved CMS. The 
March 7, 1996, memorandum indicated that until September 30, 1997, the 
interim CMS procedures in 23 CFR 450.336(b) may be used to meet this 
requirement. After this date, such projects must be based on a fully 
operational CMS.
    All of the language in the NHS Act and conference report (H.R. 
Conf. Rep. No. 345, 104th Cong., 1st Sess. (1995)) refers to management 
systems. There are no references to the traffic monitoring system. 
Therefore, the requirements for the traffic monitoring system for 
highways and public transportation are unchanged.
    The FHWA and the FTA believe that the primary purpose of 
transportation management systems is to provide system performance 
information to the public, local officials, and those having 
responsibility for the operation of the transportation system. These 
systems provide critical information for transportation investment 
decisions so that limited resources can be programmed effectively to 
improve the efficiency and safety of and protect our investment in the 
nation's transportation infrastructure. To this end, the FHWA and the 
FTA endorse continued implementation of the transportation management 
systems specified in 23 U.S.C. 303, whether under a State's, MPO's, or 
transit operator's own procedures or under the provisions of this 
regulation. The FHWA and the FTA believe that development and use of 
existing or new transportation management systems will support 
decision-making that emphasizes enhanced service at minimum public and 
private life-cycle cost. Funding for the development and implementation 
of any of the systems, in whole or in part, continues to be eligible 
for the funding categories identified in 23 CFR 500.105. The FHWA and 
the FTA will continue to provide technical assistance in the management 
of the transportation system in these critical areas.
    This final regulation is being issued as part 500 of subchapter F 
of title 23,

[[Page 67168]]

Code of Federal Regulations (23 CFR). Subpart A of part 500 includes 
definitions and requirements applicable to the six management systems. 
Subpart B includes requirements for the traffic monitoring system. The 
requirements in 23 CFR Part 500 are incorporated by cross reference 
into the FTA's regulations as part 614 of chapter VI of title 49, Code 
of Federal Regulations.
    A discussion of revisions to the rule follows.

Subpart A--Management Systems

    In view of the optional nature of the six management systems, most 
of the technical requirements in former subparts A through G, except 
for requirements for the CMS, have been removed. Sections 500.107, 
Compliance, and 500.109, Sanctions, have been deleted in their entirety 
because of the above noted legislative changes. Similarly, the 
provisions of former Sec. 500.113, Acceptance of Existing Systems, are 
no longer needed since any systems in existence when the ISTEA was 
enacted that a State wanted to use would already have been submitted 
for acceptance. Except for the CMS in non-attainment TMAs and the TMS, 
the compliance schedules have been removed. Those provisions of former 
subparts A through G that have been retained are in revised subpart A.

Section-by-Section Analysis

Section 500.101  Purpose

    This section states the purpose of this regulation.

Section 500.102  Policy

    This section is new. Paragraph (a) emphasizes the value that the 
FHWA and the FTA believe that management systems can provide to make 
cost-effective investment decisions and that the FHWA and the FTA will 
continue to support development of the systems whether they are 
developed under State or local procedures or under this regulation.
    Paragraph (b) was Sec. 500.111, ``Funds for development, 
establishment, and implementation of the systems,'' in the IFR. 
Language has been added to indicate that the specified categories of 
funds may be used for any of the systems whether or not the systems are 
developed under the provisions of this part or under a State's, MPO's, 
or transit operator's own procedures. The references to the Federal 
Transit Act have been updated to refer to the corresponding sections of 
title 49, U.S.C., since the Federal Transit Act is now codified as 
Chapter 53 of that title.

Section 500.103  Definitions

    Since many of the terms defined in the IFR are no longer used in 
the final rule, they have been deleted. The remaining definitions are 
unchanged from the IFR.

Section 500.104  State Option

    This section reflects the NHS Act provision that allows a State to 
elect, at any time, not to implement any of the six management systems 
under 23 U.S.C. 303, in whole or in part except as specified in 
Sec. 105(a) and (b).

Section 500.105  Requirements

    This section was titled ``Development, Establishment, and 
Implementation of the Systems'' in the IFR.
    Paragraph (a) specifies that, in accordance with 23 U.S.C. 134 and 
49 U.S.C. 303-5307, the metropolitan planning process in TMAs include a 
CMS that meets the requirements of Sec. 500.109 of this final rule.
    Paragraph (b) indicates that the State option also does not apply 
to the requirements for the TMS in subpart B.
    Paragraph (c) is former Sec. 500.105(c) which includes the 
requirement that any of the management systems that a State chooses to 
develop under 23 U.S.C., be developed in cooperation with MPOs in 
metropolitan areas, transit operators, local officials, and other 
affected agencies.
    Paragraph (d) is former Sec. 500.105(g). This paragraph includes 
the legislative requirement that the results from management systems be 
considered in the development of statewide and metropolitan 
transportation plans and programs and in making project selection 
decisions under title 23, U.S.C., and title 49 U.S.C., Chapter 53 (the 
Federal Transit Act).
    The provisions in Secs. 500.105(e), (f), (h), (i), and (j) of the 
IFR regarding incorporation of certain systems into the metropolitan 
planning processes, coordination among MPOs, identification of roles 
and responsibilities, the relationship to the 23 U.S.C. 303 management 
systems to those required under 23 U.S.C. 204 for Federal lands 
highways, and periodic evaluation of the effectiveness of the systems 
have been eliminated.

Section 500.106  PMS

    This section identifies the minimum criteria for an effective PMS 
for Federal-aid highways which may be based on the ``AASHTO Guidelines 
for Pavement Management Systems.'' \1\ All other specific requirements 
of subpart B of the IFR have been removed.
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    \1\ AASHTO Guidelines for Pavement Management Systems, July 
1990, can be purchased from the American Association of State 
Highway and Transportation Officials, 444 N. Capitol Street, NW., 
Suite 249, Washington, D.C. 20001. Available for inspection as 
prescribed in 49 CFR part 7, appendix D.
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Section 500.107  BMS

    This section identifies the minimum criteria for an effective BMS 
for bridges on and off Federal-aid highways which may be based on the 
``AASHTO Guidelines for Bridge Management Systems.'' \2\ All other 
specific requirements of subpart C of the IFR have been removed.
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    \2\ AASHTO Guidelines for Bridge Management Systems, 1992, can 
be purchased from the American Association of State Highway and 
Transportation Officials, 444 N. Capitol Street, NW., Suite 249, 
Washington, D.C. 20001. Available for inspection as prescribed in 49 
CFR part 7, appendix D.
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Section 500.108  SMS

    This section identifies the minimum criteria for an effective SMS 
which may be based on the guidance in ``Safety Management Systems: Good 
Practices for Development and Implementation.'' \3\ All other specific 
requirements of subpart D of the IFR have been removed.
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    \3\ Safety Management Systems: Good Practices for Development 
and Implementation, FHWA and NHTSA, May 1996. Available for 
inspection and copying as prescribed in 49 CFR part 7, appendix D.
---------------------------------------------------------------------------

Section 500.109  CMS

    Paragraph (a) identifies the general criteria for a CMS in all 
areas of a State. The provisions of this paragraph are optional for all 
areas of a State except TMAs. The definitions of ``congestion'' and 
``congestion management system'' in Sec. 500.503 of the IFR have been 
incorporated into this paragraph. The flexibility in the former 
definitions for State and local officials to determine performance 
measures and levels of performance has been retained. The emphasis on 
consideration of actions to reduce SOV travel in Sec. 500.505(b) of the 
IFR has been incorporated into paragraph (a). The remainder of 
Sec. 500.109 applies to CMSs in TMAs but is recommended for CMSs in all 
areas of a State.
    Paragraph (b) includes additional requirements for the CMS in TMAs. 
The requirement in Sec. 500.505(d) of the IFR that the metropolitan 
planning process in TMAs include a CMS has been moved to this 
paragraph. The remainder of this paragraph is a consolidation and 
rewording of provisions of Sec. 500.507 CMS components of the IFR. The 
sample list of 12 categories of strategies that should be considered in 
Sec. 500.507(c) of the IFR has been

[[Page 67169]]

consolidated into five broader categories in Sec. 500.109(b)(4) of the 
final rule.
    The requirements in Sec. 500.505(c) of the IFR regarding 
programming of Federal funds for projects that will result in a 
significant increase in SOV capacity in TMAs that are non-attainment 
for carbon monoxide and/or ozone are in Sec. 500.109(c) of the final 
rule.
    Paragraph (d) of this section includes compliance requirements for 
the CMS in TMAs. Compliance with the requirement that the planning 
process include a CMS will be addressed during metropolitan planning 
process certification reviews for all TMAs. If the planning process in 
TMAs does not include a CMS that meets the requirements of this 
section, deficiencies and corrective actions will be identified in the 
certification review. Until September 30, 1997, the interim CMS 
procedures in 23 CFR 450.336(b) may be used to meet the requirement 
that programming of Federal funds for SOV projects in non-attainment 
TMAs be based on an approved CMS. After this date, such projects will 
need to be based on a CMS that meets the requirements of this part.

Section 500.110  PTMS

    This section identifies general criteria for an effective PTMS for 
development by the States in cooperation with recipients and 
subrecipients under Chapter 53 of title 49, U.S.C. The provisions of 
Sec. 500.607(b)(2) of the IFR regarding vehicle and ridership data have 
been moved to subpart B, Traffic Monitoring System, of this final rule. 
All other specific requirements of subpart F of the IFR have been 
removed.

Section 500.111  IMS

    This section identifies the minimum criteria for an effective IMS. 
All other specific requirements of subpart G of the IFR have been 
removed.

Subpart B--Traffic Monitoring System

    Subpart H, Traffic Monitoring System for Highways (TMS/H), has been 
moved to subpart B of the final rule and has been retitled Traffic 
Monitoring System (TMS) since the traffic monitoring requirements for 
public transportation facilities and equipment have been moved from 
subpart F of the IFR to this subpart. Except as noted below, only minor 
editorial changes have been made to this subpart.
    The traffic monitoring data requirements for public transportation 
facilities and equipment specified in Sec. 500.607(b)(2) of the IFR 
have been moved to a definition of ``transit traffic data'' in 
Sec. 500.203. Section 500.203(g) of the final rule specifies that 
transit traffic data is to be collected in cooperation with MPOs and 
transit operators.
    The compliance schedule in Sec. 500.809 of the IFR has been revised 
and moved to paragraph Sec. 500.203(h) of the final rule. The TMS for 
highways and public transportation facilities and equipment is to be 
fully operational by October 1, 1997.
    For ease of reference, the following table is provided to assist 
the user in locating section and paragraph changes made in this 
rulemaking:

------------------------------------------------------------------------
                Old section                          New section        
------------------------------------------------------------------------
500.101...................................  500.101.                    
None......................................  500.102(a).                 
500.103...................................  500.103.                    
None......................................  500.104.                    
None......................................  500.105(a), (b).            
500.105(b)................................  Removed.                    
500.105(c)................................  500.105(c).                 
500.105(d)................................  500.109(b).                 
500.105(e),(f)............................  Removed.                    
500.105(g)................................  500.105(d).                 
500.105(h), through (j)...................  Removed.                    
500.107...................................  Removed.                    
500.109...................................  Removed.                    
500.111...................................  500.102(b).                 
500.113...................................  Removed.                    
500.201 through 209.......................  500.106.                    
500.301 through 309.......................  500.107.                    
500.401 through 409.......................  500.108.                    
500.501...................................  Removed.                    
500.503...................................  500.109(a).                 
500.505(a),(b)............................  500.109(a).                 
500.505(c)................................  Removed.                    
500.505(d)................................  500.109(b).                 
500.505(e)................................  500.109(c).                 
500.505(f)................................  Removed.                    
500.505(g)................................  Removed.                    
500.507...................................  500.109(b).                 
500.509...................................  500.109(d).                 
500.601 through 609, except 500.607(b)(2).  500.110.                    
500.607(b)(2).............................  500.202, 500.203(g).        
500.701 through 709.......................  500.111.                    
500.801...................................  500.201.                    
500.803...................................  500.202.                    
500.805...................................  500.203(a) through (f).     
500.807...................................  500.204.                    
500.809...................................  500.203(h).                 
------------------------------------------------------------------------

23 CFR Part 450 and 49 CFR Part 613

    As a result of the changes in 23 CFR Part 500, technical amendments 
have been made in the metropolitan transportation planning regulation 
in 23 CFR Part 450 and 49 CFR Part 613. These technical amendments in 
wording and references are necessary to reflect the revisions to the 
provisions in Part 500 for CMSs in TMAs.
    In addition, a technical amendment has been made to Sec. 450.316, 
Metropolitan transportation planning process: Elements, to add 
recreational travel and tourism as a factor to be considered in the 
development of metropolitan transportation plans and programs. This 
element was added to 23 U.S.C. 134(f) by section 317 of the NHS Act.

23 CFR Part 626

    With the issuance of 23 CFR Part 500 in the December 1, 1993, 
Federal Register (58 FR 63442), the FHWA incorporated previous PMS and 
pavement design requirements in former 23 CFR Part 626 into 23 CFR Part 
500 and removed Part 626 to eliminate redundancy. With publication of 
this final rule for the management systems, the FHWA is separating 
pavement design requirements from Part 500 and placing them into a 
reestablished Part 626.

Rulemaking Analyses and Notices Executive Order 12866 (Regulatory 
Planning and Review) and DOT Regulatory Policies and Pocedures

    This rulemaking is considered to be a significant regulatory action 
under Executive Order 12866 and is considered to be significant under 
the regulatory policies and procedures of the DOT because of 
substantial State, local government, congressional and public interest. 
This final rule implements 23 U.S.C. 303 which requires the Secretary 
of Transportation to issue regulations for State development, 
establishment, and implementation of six identified management systems 
and guidelines and requirements for a traffic monitoring system for 
highways and public transportation facilities and equipment. These 
management systems are intended to assist State transportation decision 
makers in maintaining and improving the condition and performance of 
their transportation systems. As amended by the NHS Act, section 303 
indicates that States may elect not to implement any of the six 
management systems under section 303 in whole or in part.
    In compliance with the final rule is optional, except for the CMS 
in TMAs and the TMS, the only ``mandatory'' burden for compliance would 
be that associated with these provisions. Since the CMS in TMAs is part 
of the planning process required by 23 U.S.C. 134 and most States 
already have TMSs that meet the requirements of the final rule, any 
additional costs to State and local governments to develop and 
implement these systems will be so minimal that no further analysis 
will be necessary.

[[Page 67170]]

Regulatory Flexibility Act

    Since compliance with the Regulatory Flexibility Act (5 U.S.C. 601-
612), the FHWA and the FTA have evaluated the effects of this rule on 
small entities, such as local governments and businesses. While 
compliance with most parts of this final rule is optional, several 
categories of available Federal funds identified in the rule can be 
used to develop and implement the systems, whether or not they are 
developed under the rule or under State or local procedures. The FHWA 
and the FTA believe that this rule will not have a significant economic 
impact on a substantial number of small entities. Accordingly, the FHWA 
and the FTA certify that this rulemaking would not have a significant 
economic impact on a substantial number of such entities.

Executive Order 12612 (Federalism Assessment)

    This action has been analyzed in accordance with the principles and 
criteria contained in Executive Order 12612. Section 303 of title 23, 
U.S.C., requires the Secretary to issue regulations and requirements/
guidelines to implement the management and traffic monitoring system 
provisions. The rule recognizes the role of States, MPOs, local 
governments, and operators of transportation systems and facilities in 
implementing these systems and allows them not to implement the systems 
in whole or in part. Accordingly, it is certified that the policies 
contained in this document have been assessed in light of the 
principles, criteria, and requirements of the Federalism Executive 
Order. It has been determined that this rule does not have sufficient 
Federalism implications to warrant a full Federalism Assessment under 
the principles and criteria contained in Executive Order 12612.

Executive Order 12372 (Intergovernmental Review)

    Catalog of Federal Domestic Assistance Program Numbers 20.205, 
Highway Planning and Construction, 20.505, FTA Technical Studies 
Grants, and 20.507, Capital and Operating Assistance Formula Grants. 
The regulations implementing Executive Order 12372 regarding 
intergovernmental consultation on Federal programs and activities apply 
to these programs.

Paperwork Reduction Act

    Except for the CMS in TMAs and the TMS, implementation of the 
management systems identified in this rule by the States and other 
agencies is optional. The CMS in TMAs is a requirement of the 
metropolitan planning provisions of 23 U.S.C. 134 and 49 U.S.C. 5303-
5305. OMB control number 2132-0529 for the statewide and metropolitan 
planning regulations (23 CFR Part 450) includes the information 
collection burden for all planning process requirements including the 
CMS in TMAs. With respect to the TMS, the technical procedures in 
subpart B of 23 CFR Part 500, are only applicable when traffic data is 
needed for the purposes specified in Sec. 500.203. Any information 
collection burden or reporting requirements associated with subpart B 
are covered by the respective programs specified in Sec. 500.203 that 
require traffic data. Since the management systems are optional, any 
traffic data needed for the management systems are also optional.
    The regulation does not require any reporting to the Federal 
government. Therefore, there is no information collection or reporting 
burden for this regulation. Elimination of the requirements for 
workplans, certification statements, and status reports removes an 
annual average reporting burden of 22,180 person hours. Estimation of 
the annual information collection burden that would have occurred under 
the IFR for each of the management systems varied significantly by 
system, status of preexisting efforts by the States, and extent of 
transportation facilities that would have needed to be included, as 
well as by the level of sophistication that a State chose to implement. 
Based on the information provided by the 10 States visited by the FHWA 
and the FTA it is estimated that the annual person hours of information 
collection burden by system per State would have ranged from: 250 to 
23,000 for the PMS; 0 to 8,000 for the BMS; 1000 to 41,000 for the SMS; 
0 to 60,000 for the CMS; 200 to 3,200 for the PTMS; 1,300 to 31,000 for 
the IMS; and 0 to 3,120 for the TMS. This burden estimate for the CMS 
does not include the CMS in TMAs which is a planning process 
requirement. The estimate for the TMS includes only the additional 
traffic data needed for the management systems.

National Environmental Policy Act

    The FHWA and the FTA have analyzed this action for the purpose of 
the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) 
and have determined that this action would not have any effect on the 
quality of the environment.

Regulation Identification Number

    A regulation identification number (RIN) is assigned to each 
regulatory action listed in the Unified Agenda of Federal Regulations. 
The Regulatory Information Service Center publishes the Unified Agenda 
in April and October of each year. The RIN contained in the heading of 
this document can be used to cross reference this action with the 
Unified Agenda.

List of Subjects

23 CFR Part 450

    Grant programs--transportation, Highways and roads, Mass 
transportation, Metropolitan planning, Statewide planning, Project 
selection, Metropolitan transportation improvement program, Statewide 
transportation improvement program.

23 CFR Part 500

    Bridges, Grant programs--transportation, Highway traffic safety, 
Highways and roads, Mass transportation, Reporting and recordkeeping 
requirements.

23 CFR Part 626

    Design standards, Grant programs--transportation, Highways and 
roads.

49 CFR Part 613

    Grant programs--transportation, Mass transportation.

49 CFR Part 614

    Grant programs--transportation, Mass transportation.

    Issued on: December 9, 1996.
Rodney E. Slater,
Federal Highway Administrator.
Gordon J. Linton,
Federal Transit Administrator.
    In consideration of the foregoing, Chapter I of title 23, CFR, and 
Chapter VI of title 49, CFR, are amended as set forth below.

23 CFR Chapter I

SUBCHAPTER F--TRANSPORTATION INFRASTRUCTURE MANAGEMENT

PART 500--MANAGEMENT AND MONITORING SYSTEMS

    1. Part 500 of subchapter F is revised to read as follows:

Subpart A--Management systems

Sec.
500.101  Purpose.
500.102  Policy.
500.103  Definitions.
500.104  State option.
500.105  Requirements.
500.106  PMS.
500.107  BMS.
500.108  SMS.
500.109  CMS.
500.110  PTMS.
500.111  IMS.

[[Page 67171]]

Subpart B--Traffic Monitoring System

Sec.
500.201  Purpose.
500.202  TMS definitions.
500.203  TMS general requirements.
500.204  TMS components for highway traffic data.

    Authority: 23 U.S.C. 134, 135, 303 and 315; 49 U.S.C. 5303-5305; 
23 CFR 1.32; and 49 CFR 1.48 and 1.51.

Subpart A--Management Systems


Sec. 500.101  Purpose.

    The purpose of this part is to implement the requirements of 23 
U.S.C. 303(a) which directs the Secretary of Transportation (the 
Secretary) to issue regulations for State development, establishment, 
and implementation of systems for managing highway pavement of Federal-
aid highways (PMS), bridges on and off Federal-aid highways (BMS), 
highway safety (SMS), traffic congestion (CMS), public transportation 
facilities and equipment (PTMS), and intermodal transportation 
facilities and systems (IMS). This regulation also implements 23 U.S.C. 
303(b) which directs the Secretary to issue guidelines and requirements 
for State development, establishment, and implementation of a traffic 
monitoring system for highways and public transportation facilities and 
equipment (TMS).


Sec. 500.102  Policy.

    (a) Federal, State, and local governments are under increasing 
pressure to balance their budgets and, at the same time, respond to 
public demands for quality services. Along with the need to invest in 
America's future, this leaves transportation agencies with the task of 
trying to manage current transportation systems as cost-effectively as 
possible to meet evolving, as well as backlog needs. The use of 
existing or new transportation management systems provides a framework 
for cost-effective decision making that emphasizes enhanced service at 
reduced public and private life-cycle cost. The primary outcome of 
transportation management systems is improved system performance and 
safety. The Federal Highway Administration (FHWA) and the Federal 
Transit Administration (FTA) strongly encourage implementation of 
transportation management systems consistent with State, metropolitan 
planning organization, transit operator, or local government needs.
    (b) Whether the systems are developed under the provisions of this 
part or under a State's own procedures, the following categories of 
FHWA administered funds may be used for development, establishment, and 
implementation of any of the management systems and the traffic 
monitoring system: National highway system; surface transportation 
program; State planning and research and metropolitan planning funds 
(including the optional use of minimum allocation funds authorized 
under 23 U.S.C. 157(c) and restoration funds authorized under 
Sec. 202(f) of the National Highway System Designation Act of 1995 
(Pub.L. 104-59) for carrying out the provisions of 23 U.S.C. 307(c)(1) 
and 23 U.S.C. 134(a)); congestion mitigation and air quality 
improvement program funds for those management systems that can be 
shown to contribute to the attainment of a national ambient air quality 
standard; and apportioned bridge funds for development and 
establishment of the bridge management system. The following categories 
of FTA administered funds may be used for development, establishment, 
and implementation of the CMS, PTMS, IMS, and TMS: Metropolitan 
planning; State planning and research, and formula transit funds.


Sec. 500.103  Definitions.

    Unless otherwise specified in this part, the definitions in 23 
U.S.C. 101(a) are applicable to this part. As used in this part:
    Federal-aid highways means those highways eligible for assistance 
under title 23, U.S.C., except those functionally classified as local 
or rural minor collectors.
    Metropolitan planning organization (MPO) means the forum for 
cooperative transportation decision making for a metropolitan planning 
area.
    National Highway System (NHS) means the system of highways 
designated and approved in accordance with the provisions of 23 U.S.C. 
103(b).
    State means any one of the fifty States, the District of Columbia, 
or Puerto Rico.
    Transportation management area (TMA) means an urbanized area with a 
population over 200,000 (as determined by the latest decennial census) 
or other area when TMA designation is requested by the Governor and the 
MPO (or affected local officials), and officially designated by the 
Administrators of the FHWA and the FTA. The TMA designation applies to 
the entire metropolitan planning area(s).


Sec. 500.104  State option.

    Except as specified in Sec. 500.105 (a) and (b), a State may elect 
at any time not to implement any one or more of the management systems 
required under 23 U.S.C. 303, in whole or in part.


Sec. 500.105   Requirements.

    (a) The metropolitan transportation planning process (23 U.S.C. 134 
and 49 U.S.C. 5303-5005) in TMAs shall include a CMS that meets the 
requirements of Sec. 500.109 of this regulation.
    (b) States shall develop, establish, and implement a TMS that meets 
the requirements of subpart B of this regulation.
    (c) Any of the management systems that the State chooses to 
implement under 23 U.S.C. 303 and this regulation shall be developed in 
cooperation with MPOs in metropolitan areas, affected agencies 
receiving assistance under the Federal Transit Act (49 U.S.C., Chapter 
53), and other agencies (including private owners and operators) that 
have responsibility for operation of the affected transportation 
systems or facilities.
    (d) The results (e.g., policies, programs, projects, etc.) of any 
of the management systems that a State chooses to develop under 23 
U.S.C. 303 and this regulation shall be considered in the development 
of metropolitan and statewide transportation plans and improvement 
programs and in making project selection decisions under title 23, 
U.S.C., and under the Federal Transit Act. Plans and programs adopted 
after September 30, 1997, shall demonstrate compliance with this 
requirement.


Sec. 500.106  PMS.

    An effective PMS for Federal-aid highways is a systematic process 
that provides information for use in implementing cost-effective 
pavement reconstruction, rehabilitation, and preventative maintenance 
programs and that results in pavements designed to accommodate current 
and forecasted traffic in a safe, durable, and cost-effective manner. 
The PMS should be based on the ``AASHTO Guidelines for Pavement 
Management Systems.'' 1
---------------------------------------------------------------------------

    \1\ 1 AASHTO Guidelines for Pavement Management Systems, July 
1990, can be purchased from the American Association of State 
Highway and Transportation Officials, 444 N. Capitol Street, NW., 
Suite 249, Washington, D.C. 20001. Available for inspection as 
prescribed in 49 CFR part 7, appendix D.
---------------------------------------------------------------------------


Sec. 500.107  BMS.

    An effective BMS for bridges on and off Federal-aid highways that 
should be based on the ``AASHTO Guidelines for Bridge Management 
Systems'' 2 and that

[[Page 67172]]

supplies analyses and summaries of data, uses mathematical models to 
make forecasts and recommendations, and provides the means by which 
alternative policies and programs may be efficiently considered. An 
effective BMS should include, as a minimum, formal procedures for:
---------------------------------------------------------------------------

    \2\ AASHTO Guidelines for Bridge Management Systems, 1992, can 
be purchased from the American Association of State Highway and 
Transportation Officials, 444 N. Capitol Street, NW., Suite 249, 
Washington, D.C. 20001. Available for inspection as prescribed in 49 
CFR part 7, appendix D.
---------------------------------------------------------------------------

    (a) Collecting, processing, and updating data;
    (b) Predicting deterioration;
    (c) Identifying alternative actions;
    (d) Predicting costs;
    (e) Determining optimal policies;
    (f) Performing short- and long-term budget forecasting; and
    (g) Recommending programs and schedules for implementation within 
policy and budget constraints.


Sec. 500.108  SMS.

    An SMS is a systematic process with the goal of reducing the number 
and severity of traffic crashes by ensuring that all opportunities to 
improve highway safety are identified, considered, implemented as 
appropriate, and evaluated in all phases of highway planning, design, 
construction, maintenance, and operation and by providing information 
for selecting and implementing effective highway safety strategies and 
projects. The development of the SMS may be based on the guidance in 
``Safety Management Systems: Good Practices for Development and 
Implementation.'' 3 An effective SMS should include, at a minimum:
---------------------------------------------------------------------------

    \3\ Safety Management Systems: Good Practices for Development 
and Implementation, FHWA and NHTSA, May 1996. Available for 
inspection and copying as prescribed in 49 CFR part 7, appendix D.
---------------------------------------------------------------------------

    (a) Communication, coordination, and cooperation among the 
organizations responsible for the roadway, human, and vehicle safety 
elements;
    (b) A focal point for coordination of the development, 
establishment, and implementation of the SMS among the agencies 
responsible for these major safety elements;
    (c) Establishment of short- and long-term highway safety goals to 
address identified safety problems;
    (d) Collection, analysis, and linkage of highway safety data;
    (e) Identification of the safety responsibilities of units and 
positions;
    (f) Public information and education activities; and
    (g) Identification of skills, resources, and training needs to 
implement highway safety programs.


Sec. 500.109  CMS.

    (a) For purposes of this regulation, congestion means the level at 
which transportation system performance is no longer acceptable due to 
traffic interference. The level of system performance deemed acceptable 
by State and local officials may vary by type of transportation 
facility, geographic location (metropolitan area or subarea, rural 
area), and/or time of day. An effective CMS is a systematic process for 
managing congestion that provides information on transportation system 
performance and on alternative strategies for alleviating congestion 
and enhancing the mobility of persons and goods to levels that meet 
State and local needs. The CMS results in serious consideration of 
implementation of strategies that provide the most efficient and 
effective use of existing and future transportation facilities. In both 
metropolitan and non-metropolitan areas, consideration needs to be 
given to strategies that reduce SOV travel and improve existing 
transportation system efficiency. Where the addition of general purpose 
lanes is determined to be an appropriate strategy, explicit 
consideration is to be given to the incorporation of appropriate 
features into the SOV project to facilitate future demand management 
and operational improvement strategies that will maintain the 
functional integrity of those lanes.
    (b) In addition to the criteria in paragraph (a) of this section, 
in all TMAs, the CMS shall be developed, established and implemented as 
part of the metropolitan planning process in accordance with 23 CFR 
450.320(c) and shall include:
    (1) Methods to monitor and evaluate the performance of the 
multimodal transportation system, identify the causes of congestion, 
identify and evaluate alternative actions, provide information 
supporting the implementation of actions, and evaluate the efficiency 
and effectiveness of implemented actions;
    (2) Definition of parameters for measuring the extent of congestion 
and for supporting the evaluation of the effectiveness of congestion 
reduction and mobility enhancement strategies for the movement of 
people and goods. Since levels of acceptable system performance may 
vary among local communities, performance measures and service 
thresholds should be tailored to the specific needs of the area and 
established cooperatively by the State, affected MPO(s), and local 
officials in consultation with the operators of major modes of 
transportation in the coverage area;
    (3) Establishment of a program for data collection and system 
performance monitoring to define the extent and duration of congestion, 
to help determine the causes of congestion, and to evaluate the 
efficiency and effectiveness of implemented actions. To the extent 
possible, existing data sources should be used, as well as appropriate 
application of the real-time system performance monitoring capabilities 
available through Intelligent Transportation Systems (ITS) 
technologies;
    (4) Identification and evaluation of the anticipated performance 
and expected benefits of appropriate traditional and nontraditional 
congestion management strategies that will contribute to the more 
efficient use of existing and future transportation systems based on 
the established performance measures. The following categories of 
strategies, or combinations of strategies, should be appropriately 
considered for each area: Transportation demand management measures, 
including growth management and congestion pricing; traffic operational 
improvements; public transportation improvements; ITS technologies; 
and, where necessary, additional system capacity.
    (5) Identification of an implementation schedule, implementation 
responsibilities, and possible funding sources for each strategy (or 
combination of strategies) proposed for implementation; and
    (6) Implementation of a process for periodic assessment of the 
efficiency and effectiveness of implemented strategies, in terms of the 
area's established performance measures. The results of this evaluation 
shall be provided to decision makers to provide guidance on selection 
of effective strategies for future implementation.
    (c) In a TMA designated as nonattainment for carbon monoxide and/or 
ozone, the CMS shall provide an appropriate analysis of all reasonable 
(including multimodal) travel demand reduction and operational 
management strategies for the corridor in which a project that will 
result in a significant increase in capacity for SOVs (adding general 
purpose lanes to an existing highway or constructing a new highway) is 
proposed. If the analysis demonstrates that travel demand reduction and 
operational management strategies cannot fully satisfy the need for 
additional capacity in the corridor and additional SOV capacity is 
warranted, then the CMS shall identify all reasonable strategies to 
manage the SOV facility effectively (or to facilitate its management in 
the future). Other travel demand reduction and operational management 
strategies appropriate for the corridor, but not

[[Page 67173]]

appropriate for incorporation into the SOV facility itself shall also 
be identified through the CMS. All identified reasonable travel demand 
reduction and operational management strategies shall be incorporated 
into the SOV project or committed to by the State and MPO for 
implementation.
    (d)(1) Compliance with the requirement that the planning process in 
all TMAs include a CMS will be addressed during metropolitan planning 
process certification reviews for all TMAs specified in 23 CFR 450.334. 
If the metropolitan planning process in a TMA does not include a CMS 
that meets the requirements of this section, deficiencies will be noted 
and corrections will need to be made in accordance with the schedule 
established in the certification review.
    (2) Until October 1, 1997, the interim CMS procedures in 23 CFR 
450.336(b) may be used to meet the requirement in 23 U.S.C. 134(l) that 
Federal funds may not be programmed in a carbon monoxide and/or ozone 
nonattainment TMA for any highway project that will result in a 
significant increase in single-occupant-vehicle capacity unless the 
project is based on an approved CMS. After September 30, 1997, such 
projects must be based on a CMS that meets the requirements of this 
part.


Sec. 500.110  PTMS.

    An effective PTMS for public transportation facilities (e.g., 
maintenance facilities, stations, terminals, transit related 
structures), equipment, and rolling stock is a systematic process that 
collects and analyzes information on the condition and cost of transit 
assets on a continual basis, identifies needs, and enables decision 
makers to select cost-effective strategies for providing and 
maintaining transit assets in serviceable condition. The PTMS should 
cover public transportation systems operated by the State, local 
jurisdictions, public transportation agencies and authorities, and 
private (for profit and non-profit) transit operators receiving funds 
under the Federal Transit Act and include, at a minimum:
    (a) Development of transit asset condition measures and standards;
    (b) An inventory of the transit assets including age, condition, 
remaining useful life, and replacement cost; and
    (c) Identification, evaluation, and implementation of appropriate 
strategies and projects.


Sec. 500.111  IMS.

    An effective IMS for intermodal facilities and systems provides 
efficient, safe, and convenient movement of people and goods through 
integration of transportation facilities and systems and improvement in 
the coordination in planning, and implementation of air, water, and the 
various land-based transportation facilities and systems. An IMS should 
include, at a minimum:
    (a) Establishment of performance measures;
    (b) Identification of key linkages between one or more modes of 
transportation, where the performance or use of one mode will affect 
another;
    (c) Definition of strategies for improving the effectiveness of 
these modal interactions; and
    (d) Evaluation and implementation of these strategies to enhance 
the overall performance of the transportation system.

Subpart B--Traffic Monitoring System


Sec. 500.201  Purpose.

    The purpose of this subpart is to set forth requirements for 
development, establishment, implementation, and continued operation of 
a traffic monitoring system for highways and public transportation 
facilities and equipment (TMS) in each State in accordance with the 
provisions of 23 U.S.C. 303 and subpart A of this part.


Sec. 500.202  TMS definitions.

    Unless otherwise specified in this part, the definitions in 23 
U.S.C. 101(a) and Sec. 500.103 are applicable to this subpart. As used 
in this part:
    Highway traffic data means data used to develop estimates of the 
amount of person or vehicular travel, vehicle usage, or vehicle 
characteristics associated with a system of highways or with a 
particular location on a highway. These types of data support the 
estimation of the number of vehicles traversing a section of highway or 
system of highways during a prescribed time period (traffic volume), 
the portion of such vehicles that may be of a particular type (vehicle 
classification), the weights of such vehicles including the weight of 
each axle and associated distances between axles on a vehicle (vehicle 
weight), or the average number of persons being transported in a 
vehicle (vehicle occupancy).
    Traffic monitoring system means a systematic process for the 
collection, analysis, summary, and retention of highway and transit 
related person and vehicular traffic data.
    Transit traffic data means person and vehicular data for public 
transportation on public highways and streets and the number of 
vehicles and ridership for dedicated transit rights-of-way (e.g., rail 
and busways), at the maximum load points for the peak period in the 
peak direction and for the daily time period.


Sec. 500.203  TMS general requirements.

    (a) Each State shall develop, establish, and implement, on a 
continuing basis, a TMS to be used for obtaining highway traffic data 
when:
    (1) The data are supplied to the U.S. Department of Transportation 
(U.S. DOT);
    (2) The data are used in support of transportation management 
systems;
    (3) The data are used in support of studies or systems which are 
the responsibility of the U.S. DOT;
    (4) The collection of the data is supported by the use of Federal 
funds provided from programs of the U.S. DOT;
    (5) The data are used in the apportionment or allocation of Federal 
funds by the U.S. DOT;
    (6) The data are used in the design or construction of an FHWA 
funded project; or
    (7) The data are required as part of a federally mandated program 
of the U.S. DOT.
    (b) The TMS for highway traffic data should be based on the 
concepts described in the American Association of State Highway and 
Transportation Officials (AASHTO) ``AASHTO Guidelines for Traffic Data 
Programs'' 4 and the FHWA ``Traffic Monitoring Guide (TMG),'' 
5 and shall be consistent with the FHWA ``Highway Performance 
Monitoring System Field Manual.'' 6
---------------------------------------------------------------------------

    \4\ AASHTO Guidelines for Traffic Data Programs, 1992, ISBN 1-
56051-054-4, can be purchased from the American Association of State 
Highway and Transportation Officials, 444 N. Capitol Street, NW., 
Suite 249, Washington, D.C. 20001. Available for inspection as 
prescribed in 49 CFR part 7, appendix D.
    \5\ Traffic Monitoring Guide, DOT/FHWA, publication No. FHWA-PL-
95-031, February 1995. Available for inspection and copying as 
prescribed in 49 CFR part 7, appendix D.
    \6\ Highway Performance Monitoring System (HPMS) Field Manual 
for the Continuing Analytical and Statistical Data Base, DOT/FHWA, 
August 30, 1993 (FHWA Order M5600.1B). Available for inspection and 
copying as prescribed in 49 CFR part 7, appendix D.
---------------------------------------------------------------------------

    (c) The TMS shall cover all public roads except those functionally 
classified as local or rural minor collector or those that are 
federally owned. Coverage of federally owned public roads shall be 
determined cooperatively by the State, the FHWA, and the agencies that 
own the roads.
    (d) The State's TMS shall apply to the activities of local 
governments and other public or private non-State government entities 
collecting highway traffic data within the State if the collected data 
are to be used for any of the purposes enumerated in Sec. 500.203(a) of 
this subpart.

[[Page 67174]]

    (e) Procedures other than those referenced in this subpart may be 
used if the alternative procedures are documented by the State to 
furnish the precision levels as defined for the various purposes 
enumerated in Sec. 500.203(a) of this subpart and are found acceptable 
by the FHWA.
    (f) Nothing in this subpart shall prohibit the collection of 
additional highway traffic data if such data are needed in the 
administration or management of a highway activity or are needed in the 
design of a highway project.
    (g) Transit traffic data shall be collected in cooperation with 
MPOs and transit operators.
    (h) The TMS for highways and public transportation facilities and 
equipment shall be fully operational and in use by October 1, 1997.


Sec. 500.204  TMS components for highway traffic data.

    (a) General. Each State's TMS, including those using alternative 
procedures, shall address the components in paragraphs (b) through (h) 
of this section.
    (b) Precision of reported data. Traffic data supplied for the 
purposes identified in Sec. 500.203(a) of this subpart shall be to the 
statistical precision applicable at the time of the data's collection 
as specified by the data users at various levels of government. A 
State's TMS shall meet the statistical precisions established by FHWA 
for the HPMS.
    (c) Continuous counter operations. Within each State, there shall 
be sufficient continuous counters of traffic volumes, vehicle 
classification, and vehicle weight to provide estimates of changes in 
highway travel patterns and to provide for the development of day-of-
week, seasonal, axle correction, growth factors, or other comparable 
factors approved by the FHWA that support the development of traffic 
estimates to meet the statistical precision requirements of the data 
uses identified in Sec. 500.203(a) of this subpart. As appropriate, 
sufficient continuous counts of vehicle classification and vehicle 
weight should be available to address traffic data program needs.
    (d) Short term traffic monitoring. (1) Count data for traffic 
volumes collected in the field shall be adjusted to reflect annual 
average conditions. The estimation of annual average daily traffic will 
be through the appropriate application of only the following: Seasonal 
factors, day-of-week factors, and, when necessary, axle correction and 
growth factors or other comparable factors approved by the FHWA. Count 
data that have not been adjusted to represent annual average conditions 
will be noted as being unadjusted when they are reported. The duration 
and frequency of such monitoring shall comply to the data needs 
identified in Sec. 500.203(a) of this subpart.
    (2) Vehicle classification activities on the National Highway 
System (NHS), shall be sufficient to assure that, on a cycle of no 
greater than three years, every major system segment (i.e., segments 
between interchanges or intersections of principal arterials of the NHS 
with other principal arterials of the NHS) will be monitored to provide 
information on the numbers of single-trailer combination trucks, 
multiple-trailer combination trucks, two-axle four-tire vehicles, buses 
and the total number of vehicles operating on an average day. If it is 
determined that two or more continuous major system segments have both 
similar traffic volumes and distributions of the vehicle types 
identified above, a single monitoring session will be sufficient to 
monitor these segments.
    (e) Vehicle occupancy monitoring. As deemed appropriate to support 
the data uses identified in Sec. 500.203(a) of this subpart, data will 
be collected on the average number of persons per automobile, light 
two-axle truck, and bus. The duration, geographic extent, and level of 
detail shall be consistent with the intended use of the data, as 
cooperatively agreed to by the organizations that will use the data and 
the organizations that will collect the data. Such vehicle occupancy 
data shall be reviewed at least every three years and updated as 
necessary. Acceptable data collection methods include roadside 
monitoring, traveler surveys, the use of administrative records (e.g., 
accident reports or reports developed in support of public 
transportation programs), or any other method mutually acceptable to 
the responsible organizations and the FHWA.
    (f) Field operations. (1) Each State's TMS for highway traffic data 
shall include the testing of equipment used in the collection of the 
data. This testing shall be based on documented procedures developed by 
the State. This documentation will describe the test procedure as well 
as the frequency of testing. Standards of the American Society for 
Testing and Materials or guidance from the AASHTO may be used. Only 
equipment passing the test procedures will be used for the collection 
of data for the purposes identified in Sec. 500.203(a) of this subpart.
    (2) Documentation of field operations shall include the number of 
counts, the period of monitoring, the cycle of monitoring, and the 
spatial and temporal distribution of count sites. Copies of the State's 
documentation shall be provided to the FHWA Division Administrator when 
it is initially developed and after each revision.
    (g) Source data retention. For estimates of traffic or travel, the 
value or values collected during a monitoring session, as well as 
information on the date(s) and hour(s) of monitoring, will remain 
available until the traffic or travel estimates based on the count 
session are updated. Data shall be available in formats that conform to 
those in the version of the TMG current at the time of data collection 
or as then amended by the FHWA.
    (h) Office factoring procedures. (1) Factors to adjust data from 
short term monitoring sessions to estimates of average daily conditions 
shall be used to adjust for month, day of week, axle correction, and 
growth or other comparable factors approved by the FHWA. These factors 
will be reviewed annually and updated at least every three years.
    (2) The procedures used by a State to edit and adjust highway 
traffic data collected from short term counts at field locations to 
estimates of average traffic volume shall be documented. The 
documentation shall include the factors discussed in paragraph (d)(1) 
of this section. The documentation shall remain available as long as 
the traffic or travel estimates discussed in paragraph (g) of this 
section remain current. Copies of the State's documentation shall be 
provided to the FHWA Division Administrator when it is initially 
developed and after each revision.
    2. Subchapter G is amended by adding Part 626 to read as follows:

PART 626--PAVEMENT POLICY

Sec.
626.1  Purpose.
626.2  Definitions.
626.3  Policy.

    Authority: 23 U.S.C. 101(e), 109, and 315; 49 CFR 1.48(b)


Sec. 626.1  Purpose.

    To set forth pavement design policy for Federal-aid highway 
projects.


Sec. 626.2  Definitions.

    Unless otherwise specified in this part, the definitions in 23 
U.S.C. 101(a) are applicable to this part. As used in this part:
    Pavement design means a project level activity where detailed 
engineering and economic considerations are given to alternative 
combinations of subbase, base, and surface materials which will provide 
adequate load carrying capacity. Factors

[[Page 67175]]

which are considered include: Materials, traffic, climate, maintenance, 
drainage, and life-cycle costs.


Sec. 626.3  Policy.

    Pavement shall be designed to accommodate current and predicted 
traffic needs in a safe, durable, and cost effective manner.

SUBCHAPTER E--PLANNING AND RESEARCH

PART 450--PLANNING ASSISTANCE AND STANDARDS

Subpart C--Metropolitan Transportation Planning and Programming

    3. The authority citation for part 450 is revised to read as 
follows:

    Authority: 23 U.S.C. 134, 135, 217(g), and 315; 42 U.S.C. 7410 
et seq.; 49 U.S.C. 5303-5306; 49 CFR 1.48(b) and 1.51.

    4. Section 450.316 is amended by removing the word ``and'' after 
the semicolon in paragraph (a)(14); by adding the word ``and'' at the 
end of paragraph (a)(15); and by adding paragraph (a)(16) to read as 
follows:


Sec. 450.316  Metropolitan transportation planning process: Elements.

    (a) * * *
    (16) Recreational travel and tourism.
* * * * *


Sec. 450.318  [Amended]

    5. Section 450.318 paragraph (e), is amended by replacing the 
reference ``23 CFR 500.509'' with ``23 CFR 500.109(b)''.
    6. Section 450.320 is amended by revising paragraph (a); in 
paragraph (b) by removing the words ``, subpart E'' and the words 
``identified under 23 CFR 500.505(e)''; and in paragraph (c) by 
removing the words ``, subpart E''. As revised, paragraph (a) reads as 
follows:


Sec. 450.320  Metropolitan transportation planning process: 
Relationship to management systems.

    (a) Within all metropolitan areas, congestion, public 
transportation, and intermodal management systems, to the extent 
appropriate, shall be part of the metropolitan transportation planning 
process required under the provisions of 23 U.S.C. 134 and 49 U.S.C. 
5303-5305.
* * * * *
    7. Section 450.322 is amended in paragraph (b)(4) by removing the 
words ``, subpart E''.
    8. Section 450.336 is amended by removing paragraph (b)(6).

49 CFR CHAPTER VI

PART 613--PLANNING ASSISTANCE AND STANDARDS

    9. The authority citation for part 613 is revised to read as 
follows:

    Authority: 23 U.S.C 134, 135, and 217(g); 42 U.S.C. 3334, 4233, 
4332, 7410 et seq; 49 U.S.C. 5303-5306, 5323(k); and 49 CFR 1.48(b), 
1.51(f) and 21.7(a).

    10. Part 614 is revised to read as follows:

PART 614--TRANSPORTATION INFRASTRUCTURE MANAGEMENT

Sec.
614.101  Cross-reference to management systems.

    Authority: 23 U.S.C. 303; 49 U.S.C. 5303-5305; and 49 CFR 1.48 
and 1.51.


Sec. 614.101  Cross-reference to management systems.

    The regulations in 23 CFR Part 500, subparts A and B shall be 
followed in complying with the requirements of this part. Part 500, 
subparts A and B implement 23 U.S.C. 303 for State development, 
establishment, and implementation of systems for managing traffic 
congestion (CMS), public transportation facilities and equipment 
(PTMS), intermodal transportation facilities and systems (IMS), and 
traffic monitoring for highways and public transportation facilities 
and equipment.

[FR Doc. 96-32112 Filed 12-18-96; 8:45 am]
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