November9, 2012

SCOPM Task Force Findings on
National-Level Performance Measures

AASHTO Standing Committee on Performance Management
Task Force on Performance Measure
Development, Coordination and Reporting

Chair: Paul Degges, Chief Engineer, Tennessee

Vice –Chair: Bernie Arseneau, Deputy Commissioner, Minnesota

Members

  • Mal Kerley, Chief Engineer, Virginia
  • Judith Corley-Lay, Pavement Analysis Engineer, North Carolina
  • Mara Campbell, Customer Relations Director, Missouri
  • Grant Levi, Deputy Director for Engineering, North Dakota
  • John Barton, Deputy Executive Director/Chief Engineer, Texas
  • Rick Land, Acting Chief Deputy Director, California
  • Lynn Zanto, Administrator, Rail, Transit, and Planning, Montana
  • Daniela Bremmer, Director of Strategic Assessment, Washington State
  • Tim Gatz, Director, Capital Programs, Oklahoma
  • Tim Henkel, Division Director, Modal Planning and Program Management, Minnesota
  • Mark Van Port Fleet, Engineer of Development, Michigan
  • John Selmer, Director of Statewide Operations, Iowa
  • Nile Easton, Communications Director, Utah
  • Lori Richter, Performance Measure Manager, Wisconsin
  • Christopher Xenophontos, Assistant Director of Administration, Rhode Island

TABLE OF CONTENTS

Introduction

Summary Table

Safety

Pavement Condition

Bridge Condition

Freight System Performance: Delay

Freight System Performance: Reliability

National Highway Performance Program System Performance: Delay

National Highway Performance Program System Performance: Reliability

CMAQ On-Road Mobile Source Emissions

CMAQ Traffic Congestion

Introduction

Following the passage of the federal transportation legislation – Moving Ahead for Progress in the 21st Century (MAP-21) in July, 2012, the Federal Highway Administration (FHWA) began work on developing a Notice of Proposed Rulemaking (NPRM) for the provisions of the legislation—including the establishment and implementation of national performance measures. MAP-21 requires the United States Department of Transportation (U.S. DOT) to identify national-level performance measures for various performance management areas related to safety, pavements, bridges, freight, emissions, performance, and congestion.

The American Association of State Highway Transportation Officials (AASHTO) has an opportunity to inform FHWA’s rulemaking process by providing the U.S. DOT with a clear, defensible and unifying statement on each national-level performance measure. The AASHTO Standing Committee on Performance Management (SCOPM) created a Task Force on Performance Measure Development, Coordination and Reporting charged to “assist SCOPM and AASHTO to develop a limited number of national performance measures and help prepare AASHTO members to meet new Federal performance management requirements.” The Task Force includes representatives from each performance management area and other leaders within the AASHTO organization and is chaired by Paul Degges, Chief Engineer of Tennessee Department of Transportation. The purpose of this Task Force is to serve as a single clearinghouse for recommended national-level performance measures identified by those AASHTO committees with in-depth knowledge of the technical aspects of the individual performance measure areas.

The present document sets out a recommended list of national-level performance measures, developed through the Task Force. In developing the recommended measures, the Task Force has been guided by six overarching principles on how national performance measures should be developed and implemented. These six principles are as follows:

  1. There is a Difference—National-level performance measures are not necessarily the same performance measures State DOTs will use for planning and programming of transportation projects and funding.
  2. Specificity and Simplicity—National-level performance measures should follow the SMART and KISS principles:
  3. SMART—Specific, Measurable, Attainable, Realistic, Timely
  4. KISS—Keep it Short and Simple
  5. Possession is 9/10ths of the Law—National-level performance measures should focus on areas and assets that States DOTs have control over.
  6. Reduce and Re-use—The initial set of national-level performance measures should build upon existing performance measures, management practices, data sets and reporting processes.
  7. Ever Forward—National-level measures should be forward thinking to allow continued improvement over time.
  8. Communicate, Communicate, Communicate—Messaging the impact and meaning of the national-level measures to the public and other audiences is vital to the success of this initiative.

The task force membership includes a range of technical and policy experts representing states that are urban, rural,large and small. There was broad agreement among the members that the results of the work of the task force are good. There were also some differing opinions concerning the number of performance measures being recommended. In the end, however, there was consensus among the task force members that the national performance measures recommended in this document represent an appropriate and credible set of performance measures that State DOTs can implement given the requirements in MAP-21.

The Task Force makes the following recommendations regarding the development of national-level performance measures for the following six performance management areas.

SAFETY

  • Number of Fatalities—Five-year moving average of the count of the number of fatalities on all public roads for a calendar year.
  • Fatality Rate—Five-year moving average of the Number of Fatalities divided by the Vehicle Miles Traveled (VMT) for a calendar year.
  • Number of Serious Injuries—Five-year moving average of the count of the number of serious injuries on all public roads for a calendar year.
  • Serious Injury Rate—Five-year moving average of the Number of Serious Injuries divided by the Vehicle Miles Traveled (VMT) for a calendar year.

PAVEMENT CONDITION

  • Interstate Pavement in Good, Fair and Poor Condition based on the International Roughness Index (IRI)—Percentage of 0.1 mile segments of Interstate pavement mileage in good, fair and poor condition based on the following criteria: good if IRI<95, fair if IRI is between 95 and 170, and poor if IRI is greater than 170.
  • Non-Interstate NHS Pavement in Good, Fair and Poor Condition based on the International Roughness Index (IRI)—Percentage of .1 mile segments of non- Interstate NHS pavement mileage in good, fair and poor condition based on the following criteria: good if IRI<95, fair if IRI is between 95 and 170, and poor if IRI is greater than 170.
  • Pavement Structural Heath Index—Percentage of pavement which meet minimum criteria for pavement faulting, rutting and cracking.

BRIDGES

  • Percent of Deck Area on Structurally Deficient Bridges—NHS bridge deck area on structurally deficient bridges as a percentage of total NHS bridge deck area.
  • NHS Bridges in Good, Fair and Poor Condition based on Deck Area—Percentage of National Highway System bridges in good, fair and poor condition, weighted by deck area.

FREIGHT

  • Annual Hours of Truck Delay (AHTD)—Travel time above the congestion threshold in units of vehicle-hours for Trucks on the Interstate Highway System.
  • Truck Reliability Index (RI80)—The RI is defined as the ratio of the total truck travel time needed to ensure on-time arrival to the agency-determined threshold travel time (e.g., observed travel time or preferred travel time).

SYSTEM PERFORMANCE

  • Annual Hours of Delay (AHD)—Travel time above a congestion threshold (defined by State DOTs and MPOs) in units of vehicle -hours of delay on Interstate and NHS corridors.
  • Reliability Index (RI80)—The Reliability Index is defined as the ratio of the 80th percentile travel time to the agency-determined threshold travel time.

CONGESTION MITIGATION AND AIR QUALITY (CMAQ)

  • Criteria Pollutant Emissions—Daily kilograms of on-road, mobile source criteria air pollutants (VOC, NOx, PM, CO) reduced by the latest annual program of CMAQ projects.
  • Annual Hours of Delay (AHD)-Travel time above a congestion threshold (defined by State DOTs and MPOs) in units of vehicle -hours of delay reduced by the latest annual program of CMAQ projects.

The remained of this report is organized into two sections:

  1. A Summary Table of the recommended measures that meet MAP-21 performance measurement requirements. This table presents a concise overview of the recommended measures’ key characteristics.
  2. Briefing chapters for each performance measurement area covered in MAP-21. These chapters include a more in-depth discussion of what is recommended within each performance measurement area, providing additional detail on measure definition, methodology, target setting, reporting, progress assessment, and additional considerations.

1

Summary Table

1

Safety

Definition

  1. Number of Fatalities—Five-year moving average of the count of the number of fatalities on all public roads for a calendar year.
  2. Fatality Rate—Five-year moving average of the Number of Fatalities divided by the Vehicle Miles Traveled (VMT) for a calendar year.
  3. Number of Serious Injuries—Five-year moving average of the count of the number of serious injuries on all public roads for a calendar year.
  4. Serious Injury Rate—Five-year moving average of the Number of Serious Injuries divided by the Vehicle Miles Traveled (VMT) for a calendar year.

These four measures are consistent with Highway Safety Plan requirements. The Serious Injury Rate was not included in the NHTSA/GHSA measures, but is responsive to the HSP requirements. As at least an interim step, until there is further development of definitions (such as for Serious Injuries), data, or reporting requirements and schedules in conjunction with HSP needs, HSIP performance metrics and reporting should be consistent with those used for HSPs. The NCHRP 17-57 project (Development of an Approach for Serious Traffic Crash Injury Measurement and Reporting Systems) is expected to develop guidance on serious injury data, including a recommendation on an injury scoring system that, if implemented nationwide, would lead to consistency in serious injury data. Because implementation of this guidance would be expected to require some effort by states, it is recommended that at this point in time, no further effort is required of states to reach consistency in the way states are to report serious injuries.

Methodology

To be consistent with the information reported in HSPs, data on fatalities, serious injuries, and traffic volumes for mileage-based rates reported for the HSIP should be defined in the same way and should be from the same data sources as for the HSPs:

  1. Fatalities—Fatal Accident Reporting System (FARS) from NHTSA
  2. The significant lag in the availability of FARS data should be addressed. Though fatality data from state crash files are not consistent among the states, these data do have the advantage of being available sooner. It is recommended that:
  3. Federal agencies explore and implement methods for improving the timeliness of fatality and VMT data to improve the use of FARS data for national-level performance measures.
  4. Incentives to encourage states to submit crash and VMT data sooner are explored.
  5. Serious Injuries—Individual State crash data files.
  6. Since there is no uniform definition for serious injuries, states should report the same way that they currently do for their Highway Safety Plans. This should be an interim approach until a more uniform manner for reporting serious injuries is possible (i.e., when NCHRP 17-57 is complete and the results are implemented). With this interim approach, there will likely be issues developing a national-level measure, since the definitions across states are not consistent.
  7. VMT—FHWA Highway Performance Monitoring System (HPMS)

Target Setting

AASHTO supports state flexibility in the setting of targets; as provided in MAP-21.

Reporting

Individual states should determine whether to report general measures by urban vs. rural geographies; if they do, these measures should be reported in a manner consistent with numbers and rates currently reported in the HSP.

Progress Assessment

In terms of assessing making progress towards targets established by the states, it is recommended that state-set targets be based on a 3- to 5-year projection of the five-year moving average data. Annual reports would demonstrate progress using these projections. Targets should be evaluated every two years. For example, in 2015 a 3-year (or 5-year) target is set for 2018 (or 2020). In 2017, FHWA assesses whether progress has been made toward the 2018 (or 2020) target based on what the five-year moving average is in 2017.

Further, it is recommended that any USDOT progress assessments take into account unique characteristics of a state’s situation that would affect their ability to meet some targets and not others. For example, dramatic changes in VMT may affect a state’s ability to meet both of the rate-based measures, but not the count-based measures (and vice-versa). Therefore, USDOT needs to consider these situations when assessing progress towards targets. After considering these unique situations, for a state to be penalized it should fail to meet at least two of its targets. For example, if a state misses one target, such as serious injuries per VMT, it should not have the same effect as if all four targets had not been met. Similarly, if a state has been a historically high performer, it should not be penalized for failing to meet an aggressive target this first time.

NHTSA e-Reporting Initiative

As part of a NHTSA initiative, many local and statewide law enforcement agencies are adopting the use of e-citation and e-crash reporting. This change is increasing the data reporting which is helpful when making law enforcement decisions to be data driven. However an unintended consequence will impact states/territories when it comes to the Special Rules under the MAP-21's language for the Strategic Highway Safety Plan (page 55). With added data, the current number of serious injury crashes has increased (and will increase for other jurisdictions converting to e-crash reporting). The MAP-21 expectation is to reduce serious injury crashes yet the baseline data in many states/territories will be rising. The program guidance should be built to allow states/territories the ability to explain how or if a movement to e-reporting has influenced their crash data file. This does not impact the FARS system, as that data base already contains all of the data on fatal crashes.

SpecialRules forOlder Drivers, Pedestrians andRural Roads

There are several concerns about special rules for older drivers, pedestrians and rural roads. These include the following:

  • Because the rules are based on the most recent two-year period and two years of data will not account for normal variation in crashes, states should be measured using the change in 5-year moving averages during that two-year period, for both the older road user and rural road rules.
  • A special rule for rural roads is based on fatality rates, but rates are not defined. The rate should be based on VMT to be consistent with HSPs and with the required general fatality rate measure.
  • It is recommended that the population that is used for the rate of older driver and pedestrian fatalities is older population of the state rather than the total population.
  • It is further recommended that the following options for implementing the special rules should be considered :
  • Since the determination of whether states are meeting requirements of the special rules could occur before evaluation of whether states are making significant progress toward their general safety targets, the special rules test should be deferred until the overall targets are evaluated.
  • The requirements and penalties for these special rules should be based on progress a state is making toward its required targets for the four performance measures.
  • For example, if a state is making significant progress toward its performance targets,then the state should not be subject to the considerations mandated in law if the older road user fatality and serious injury rate per capita increases in a two-year period.
  • Also states meeting their overall targets, but not experiencing a decrease in the rural fatality rates, should not be required to obligate the FY2009 amount of high risk rural road program funds for rural high risk roads.

Pavement Condition

Definition

  1. Interstate Pavement in Good, Fair and Poor Condition based on the International Roughness Index (IRI)—Percentage of 0.1 mile segments of Interstate pavement mileage in good, fair and poor condition based on the following criteria: good if IRI<95, fair if IRI is between 95 and 170, and poor if IRI is greater than 170.
  2. Non-Interstate NHS Pavement in Good, Fair and Poor Condition based on the International Roughness Index (IRI)—Percentage of .1 mile segments of non- Interstate NHS pavement mileage in good, fair and poor condition based on the following criteria: good if IRI<95, fair if IRI is between 95 and 170, and poor if IRI is greater than 170.
  3. Pavement Structural Heath Index—Percentage of pavement which meet minimum criteria for pavement faulting, rutting and cracking.

The first two measures concerning IRI, are ready for implementation today. The IRI measure was selected because it is suitable for both flexible and rigid pavements, transportation agencies are already required to collect them for HPMS, and the measure can be collected with a single piece of equipment. The breakpoints associated with these two measures for good, fair and poor will need to be evaluated based on functional class. These breakpoints are expected to apply to rural roadways. Following the first year of data submission, a study of the current breakpoints versus IRI on the ground should be conducted with the goal of reducing IRI on rural roadways and setting IRI breakpoints if possible for urban roadways. This will also give a state by state measure of percentage of miles that are overlooked if a rural only approach is used.