Statewide Planning

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Statewide Planning Research Program( SPR )

• By
• Frederick P. Orloski
• FHWA Office of Highway Policy Information
• Presented at Webinars held on
• August 28, September 9, 24, and 30, 2008

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Scope of Presentation

• Issues SPR requirements
• Funding
• Survey Data quality
• Consensus
• Best practices
• Opportunities Division Reviews
• Open discussion

3
Presentation Focus

• What funds are available
• How do we do more with less
• What options do we have
• What are some good examples

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Title 23 CFR - Highways
CHAPTER I PART 420--PLANNING AND RESEARCH
PROGRAM ADMINISTRATION--Subpart A--Administration
of FHWA Planning and Research Funds Sec.
420.105 What is the FHWA's policy on use of FHWA
planning and research funds?
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Sec. 420.105 FHWA's policy on use of SPR funds

• If the FHWA determines that planning activities
  of national significance, identified in
  paragraph (b) of this section are being
  adequately addressed then maximum flexibility
  is provided in use of FHWA planning and research
  funds
• (b) The State DOTs must provide data that
  support the FHWA's responsibilities to the
  Congress and to the public.

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Sec. 420.105(b)(Activities of National
Significance)
These data include, but are not limited to,
information required for preparing proposed
legislation and reports to the Congress evaluati
ng the extent, performance, condition, and use of
the Nation's transportation systems
analyzing existing proposed Federal-aid
funding methods and levels and the
assignment of user cost responsibility
maintaining a critical information base on fuel
availability, use, and revenues
generated and calculating apportionment
factors.
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Priorities(Sec. 420.105(b))
Data and Information for Legislation and
reports to Congress Extent, performance,
condition, use Federal aid funding
analyses User cost responsibilities Fuel
availability, use, and revenues Apportionment
factors
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Priorities(Division Office Perspective)
System data collection Planning programs and
processes Safety Other state needs
priorities
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Data Requirements
HPMS Certified Public Road Mileage Motor
Fuel Vehicle Registration Driver
Licensing Highway Finance Monthly
Traffic Data
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Data Requirements
HPMS Certified Public Road Mileage Motor
Fuel Vehicle Registration Driver
Licensing Highway Finance Monthly
Traffic Data SPR funds are available to
support the development, collection, analysis,
and reporting of all these data activities,
whether part of each States databases or special
requirements
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Issues

• Presumptions
• We do not have sufficient funds for all our data
  collection needs.
• All funds are committed and no additional funds
  are available.
• All funds are expended and there is no balance
  remaining.
• We cannot do any more without additional funds.
• Is there a shortage of SPR funds?
• or
• Is there a shortage of SPR funds for data
  collection?

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Source of SPR Funds

• 2 Mandatory Set Aside from State Apportionments
• ( IM, NHS, STP, CMAQ, Bridge, HSIP )
• 1.5 for Planning
• .5 for Research (Minimum)
• Additional funds can be transferred into SPR
  program
• from these 6 categories ( IM, NHS, STP, CMAQ,
  Bridge, HSIP )
• Research funds can be transferred to Planning and
  vice versa

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SPR Funds

• Federal funds require State match of 20
• 80 Federal
• 20 State
• Except 100 Federal funds

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100 SPR funds

• Pooled fund studies
• Research projects related to data collection
• CTPP Census data
• NCHRP (National Cooperative Highway Research
  Program)
• Special requests
• Purchase and installation of automatic vehicle
  classification equipment

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Availability of Funds

• FY08 funds good through FY08, FY09, FY10, FY11
• Or
• Available and must be obligated between
• October 1, 2007 and September 30, 2011

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How to Increase SPR Funds

• SPR
• 2 Set Aside
• Apportionments Data
• IM,NHS,STP,CMAQ,BR,HSIP

Quality
Travel Mileage Fuel HTF Payments Population
Complete
Timely
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SPR Program

• Work program required
• Commits resources and funding
• Describes tasks typically in 3 sections
• Part 1 Planning
• Part 2 Research
• Part 3 Non SPR

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SPR Work Program ActivitiesPart 1 - Planning

• Strategic planning
• Long range planning
• Inventory
• Mapping
• Urban planning
• Environment systems
• Management systems
• Information technology
• HPMS

• Administration
• Data management
• Data collection
• Data analysis
• Traffic analysis
• Statewide planning
• Programming
• Intermodal
• Fiscal and economic
• Corridor planning

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Major SPR Program Categories (Proportion by
funding)
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Data collection can include

• Equipment purchases
• Field staff or data collectors
• Database management
• Data analysis
• Data reporting
• HPMS reporting

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Program Funding Levels (FY07)
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Apportionments vs. Obligations(as of August 12,
2008)

• Unobligated Balance 483 Million
• FY 08 Apportionment 492 Million

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(No Transcript)
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States
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Obligations - Apportionments - Balances

• 20 States obligate lt apportionment FY 07
• 16 States
• 15 States gt
• 14 States have no unobligated balances (Use all
  funds available)

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Funding vs. Data Quality

• Is there a relationship?
• Is there a minimum for timely, complete, and
  quality data?
• Is the minimum exceeded and is there improved
  quality?

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Data Quality Issues

• Things to consider
• Less frequent data collection still meeting
  requirements
• Less quality control on less significant data
• Lower functional classes
• Lower volumes
• Non State system
• Collection by other agencies
• Would realigning resources provide more resources
  for other data activities without sacrificing
  quality?

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The Data Quality Test

• Can the quality of data be maintained with fewer
  resources?
• Frequency
• Extent
• Coverage
• If it is acceptable to FHWA, is it also
  acceptable to the State?
• And
• If it is acceptable to the State, is it also
  acceptable to FHWA?

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Collect It Once, Use It Often

• Use as much data as possible
• Reasonable
• Quality assurance
• Level of accuracy or risk
• HPMS data is State data
• Only one database for everyones needs
• Same frequency, analysis, adjustment
• Minimum FHWA data collection requirements
• Maximum State flexibility

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The Question or Challenge

• How do we use currently available SPR funds?
• or
• What other funding sources are available?
• or
• Are there other data sources?

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Funding Challenges

• State imposed limitations on additional staff
• HPMS not recognized as top priority
• Additional funds needed for reassessment
• Identifying other potential data sources for HPMS
  and establishing new relationships both internal
  and with local agencies.

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SPR Program Survey

• January 11, 2008 request to FHWA Division Offices
• 37 Responses

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FHWA Divisions Participating in SPR Program Survey
Participating
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Survey Questions

• 1. Are there sufficient funds (SPR or State) for
  all data collection needs?
• 2. Does an unobligated balance exist?
• 3. Discuss any successful efforts to increase (or
  decrease) funds
• 4. Examples where funds have been considerably
  increased
• 5. Comments in approval letters on HPMS, traffic,
  other data collection activities
• Actions taken to withhold or restrict use of SPR
  funds

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Survey Questions

• Additional State funds used in addition to SPR
  for data collection
• D.O. SPR program monitoring efforts with emphasis
  on data collection
• Frequency of meetings with State or status
  reports
• Are SPR funds provided to MPOs and local agencies
  for data collection?
• Are SPR funds being used as intended?

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1. Are there sufficient funds (SPR or State) to
meet all data collection needs? Yes No 26
7

• Need more for reassessment activities - 6
• Working with MPOs local agencies

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2. Does an unobligated balance exist and is it
increasing or decreasing every year?Yes
No 14 17

• Internal state control prevents increases - 6
• Obligated but not always spent - 6
• Have 3 year balance lapse of funds issues - 6

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3.  Discuss any successful efforts to increase
(or decrease) funds

• Use Pl funds for tech support coordination DC
• 100 SPR for vehicle classification 8 States
• SPR work plan development process improvement
  WV
• Successful presentation of issues TN
• Development of an Action Plan NC
• Support of top level management OR, IL
• Prioritize projects for SPR funding HI
• HPMS recognized as a separate budget line item -
  MO

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4. Examples where funds have been considerably
increased (1)

• HPMS coordination data quality improvement DC
• Hired new staff for data collection MT, NM
• Increases for bridge inspection after MN incident
• Pavement management OH, NH
• Purchase new ARAN vehicle - AE, SD, AZ
• Traffic counting - VT, AZ, KY, IL, MA, WV
• GIS/GPS - WV, AL, SD, WY, KY, IL, NV

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4. Examples where funds have been considerably
increased (2)

• Maintenance management AL
• Environmental studies removed from SPR OK
• ATR Maintenance Database application MD
• UAZ/FC updates TX
• Outsourcing data collection IL
• HPMS data processing in-house AZ
• Web based application for local data updates
  AZ, PA, WA

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5. Comments in approval letters on either HPMS,
traffic, or data collection activities

• Upgrade traffic equipment by special purchase
• Lack of local data
• IRI and AADT updates
• Veh. Class in urban areas, accuracy of motorcycle
  data,
• IRI in low speed areas
• Need to document state processes for short term
  AADTS, equip testing, data collection
  procedures
• Continue efforts to improve quality of data for
  HPMS

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6. Actions taken to withhold or restrict use of
SPR funds

• Budget controlled by state legislature, even to
  increase SPR - 5
• FHWA threaten to withhold funds for late HPMS
  submittals
• Some activities not eligible

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7. Additional State funds used in addition to
SPR for data collection (1)Yes No 11 16

• State funds for
• traffic monitoring equipment - OR, MN, NV
• pavement management - OR, MN, NV, WY
• contracts for traffic data collection - OR, CO
  
• non-eligible SPR data activities - OH
• collect video off state sys. - WV
• LRS - NV
• All data collection - VA

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7. Additional State funds used in addition to
SPR for data collection (2)

• State (non-planning) funds for
• IRI, bridge, safety data KY
• Centerline data (State Police ) - KY
• STP, PL, capital overhead DC, WY
• STP funds VT
• Maintenance funds for WIM - NM

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8. D.O. SPR program monitoring efforts with
emphasis on data collection

• Biennial reviews
• Field inventory review led to QC/QA procedures
  TN
• Development of work programs
• SPR program reviews using HPMS Guidelines - 8

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9. Frequency of meetings with State

• Yearly 2
• Biannual 5
• Quarterly 10
• Monthly or frequently 10
• None - 2

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Are SPR funds provided to MPOs and local agencies
for data collection? Yes No 6 23

• Large MPOs use State and Federal funds to support
  modeling OR
• State purchased counting equip for MPOs OH
• Data collection by rural planning agencies - VT,
  KY
• Planning districts receive funds for mileage
  updates SD
• MPOs rural COGs with no restrictions
• MPOs use Pl funds
• All MPOs eligible, reduces State resources - CA

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11. Are SPR funds being used as intended? Yes
No 34 1

• Too much money for consultants
• SPR funds used for eligible activities and not
  necessarily used to sufficiently fund all data
  requirements.

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Other Best Practices

• Process improvements are reflected in States
  staff
• individual performance ratings UT
• F.C and UAZ boundaries moved from planning to
• statistics/data collection/HPMS section UT
• Travel is limited with only use of state funds
• Coordinate with LTAP (Local Technical Assistance
  Program)
• for local traffic counts CO
• SPR Program Manager backup or process
  documentation

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SPR Program Reviews

• WY
• KS
• MO
• CO
• MD HI
• ND

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SPR Program Review - HI

• Revise work item submission forms
• Establish submission dates review periods
• Improve project tracking for project management
  fiscal responsibilities
• Identify projects in priority order
• Formalize schedule for status reports

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SPR Program Review - WY

• New traffic data analysis software
• PL funds used by MPOs for data collection
• Master agreement with MPOs
• Being updated since 1982
• Pavement data collected with State funds

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SPR Program Reviews Results (1)

• Strengthen documentation of various parts of work
  plan
• Evaluate level of effort/staffing in program
  areas
• State funds used for coding and mapping of
  accident data
• Developed SPR Action Plan for funding commitments

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SPR Program Reviews Results (2)

• Reallocate resources
• Assess quality of equipment used for data
  collection
• Identify key staff responsible for HPMS
• Evaluate consistency of funding

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SPR Program Review Development of Action Plan

• Assess quality of data collection equipment
• Identify key data staff responsible for data
• Evaluate consistency of funding for data
  collection and HPMS
• Reallocate resources

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FHWA Options

• Approve as submitted
• Not approve SPR funds for any task
• Approve funding for data collection tasks only
• No reimbursement until actions corrected

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Actual FHWA Funding Restrictions

• No funds until full time traffic monitoring
  coordinator hired and State Traffic Monitoring
  Guide developed
• No funds until HPMS data submittal
• Restrictions unless timely submission of HPMS
  data on June 15th and complete TMS/H
  documentation
• HPMS data not recommended for use in
  apportionments

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Options for more resources for data collection (1)

• Use other data sources
• - ITS, MPOs

• Use other sources of funds
• STP, Bridge,
• Shift data collection to other agencies
• Pavements use construction or prelim. engr.
  funds
• Mileage State Police
• ITS
• LTAP
• Part 2 Research program

• SPR Program Reviews
• Review Guidelines
• Priorities

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Options for more resources for data collection (2)

• Use other Federal programs
• LTAP CT, OR, WA, CA
• Training on equipment and data collection
• Providing equipment
• Facilitating workshops and agreements
• FHWA Garrett Morgan Internship Program -
  NY http//www.fhwa.dot.gov/education/stipdg.htm
• NHTSA Section 408 Grant funds
• Vehicle classification monitoring (motorcycles)

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What can be done?

• Conduct program reviews
• Develop Action Plans
• Establish or reassess priorities
• Realign resources
• Use other program funding resources
• Use other data sources
• Provide quality, complete, timely data

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Time to think, what can we do?