[Federal Register Volume 68, Number 5 (Wednesday, January 8, 2003)]
[Proposed Rules]
[Pages 1088-1096]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-103]


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DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

23 CFR Part 971

[FHWA Docket No. FHWA-99-4969]
RIN 2125-AE55


Federal Lands Highway Program; Management Systems Pertaining to 
the Forest Service and the Forest Highway Programs

AGENCY: Federal Highway Administration (FHWA), DOT.

ACTION: Notice of proposed rulemaking (NPRM); request for comments.

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SUMMARY: The Transportation Equity Act for the 21st Century (TEA-21), 
requires the Secretary of Transportation and the Secretary of each 
appropriate Federal land management agency to develop, to the extent 
appropriate, safety, bridge, pavement, and congestion management 
systems for roads funded under the Federal Lands Highway program 
(FLHP). The Secretary of Transportation has delegated the authority to 
the FHWA to serve as the lead agency within the U.S. DOT to implement 
the FLHP. The roads funded under the FLHP include Park Roads and 
Parkways, Forest Highways, Refuge Roads, and Indian Reservation Roads. 
This rulemaking proposes to provide for the development and 
implementation of safety, bridge, pavement, and congestion management 
systems for transportation facilities providing access to and within 
the National Forests and funded under the FLHP.

DATES: Comments must be received on or before March 10, 2003.

ADDRESSES: Mail or hand deliver comments to the U.S. Department of 
Transportation, Dockets Management Facility, Room PL-401, 400 Seventh 
Street, SW., Washington, DC 20590, or submit electronically at http://dmses.dot.gov/submit. All comments should include the docket number 
that appears in the heading of this document. All comments received 
will be available for examination and copying at the above address 
between 9 a.m. and 5 p.m., e.t., Monday through Friday, except Federal 
holidays. Those desiring notification of receipt of comments must 
include a self-addressed, stamped postcard or you may print the 
acknowledgment page that appears after submitting comments 
electronically.

FOR FURTHER INFORMATION CONTACT: Mr. Bob Bini, Federal Lands Highway, 
HFPD-2, (202) 366-6799, FHWA, 400 Seventh Street, SW., Washington, DC 
20590; office hours are from 7:45 a.m. to 4:15 p.m., e.t., Monday 
through Friday, except Federal holidays. For legal questions, Ms. 
Vivian Philbin, HFL-16, (303) 716-2122, FHWA, 555 Zang Street, 
Lakewood, CO 80228. Office hours are from 7:45 a.m. to 4:15 p.m., m.t., 
Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION: 

Electronic Access and Filing

    You may submit or retrieve comments online through the Document 
Management System (DMS): http://dmses.dot.gov/submit. Acceptable 
formats include: MS Word (versions 95 to 97), MS Word for Mac (versions 
6 to 8), Rich Text File (RTF), American Standard Code Information 
Interchange (ASCII) (TXT), Portable Document Format (PDF), and 
WordPerfect (versions 7 to 8). The DMS is available 24 hours each day, 
365 days each year. Electronic submission and retrieval help and 
guidelines are available under the help section of the Web site.
    An electronic copy of this document may be downloaded by using a 
computer, modem and suitable communications software from the 
Government Printing Office's Electronic Bulletin Board Service at (202) 
512-1661. Internet users may reach the Office of the Federal Register's 
home page at: http://www.nara.gov/fedreg and the Government Printing 
Office's web page at: http://www.access.gpo.gov/nara.

Background

    Section 1115(d) of the TEA-21 (Public Law 105-178, 112 Stat. 107, 
156 (1998)) amended 23 U.S.C. 204 to require the Secretary of 
Transportation and the Secretary of each appropriate Federal land 
management agency, to the extent appropriate, to develop safety, 
bridge, pavement, and congestion management systems for roads funded 
under the FLHP. A management system is a process for collecting, 
organizing and analyzing data to provide a strategic approach to 
transportation planning, program development, and project selection. 
Its purposes are to improve transportation system performance and 
safety, and to develop alternative strategies for enhancing mobility of 
people and goods.
    The roads funded under the FLHP include, but are not limited to, 
Park Roads and Parkways, Forest Highways, Refuge Roads, and Indian 
Reservation Roads. The Secretary of Transportation delegated to the 
FHWA the authority to serve as the lead agency within the U.S. 
Department of Transportation to administer the FLHP (see 49 CFR 1.48 
(b)(29)). This rulemaking action addresses the management systems for 
the Forest Service (FS) and the Forest Highway (FH) program.
    On September 1, 1999, the FHWA issued an advance notice of proposed 
rulemaking (ANPRM) to solicit public comments concerning development of 
this proposed regulation pertaining to the FS and the FH program (64 FR 
47744). The ANPRM requested comments on the feasibility of developing a 
rule to meet both the transportation planning and management systems 
requirements of

[[Page 1089]]

the TEA-21. Therefore, comments made to the docket addressed both 
transportation planning and management systems issues. However, the 
FHWA has decided to separate the NPRM's for transportation planning and 
management systems. For this reason, this NPRM concerns only the 
development of the management systems. This NPRM includes responses to 
the comments submitted to the docket on the ANPRM that addressed the 
proposed development of the four management systems. Those comments on 
the ANPRM that addressed transportation planning will be addressed at a 
later date. The FHWA received comments addressing the management 
systems from various State Transportation Departments and the Oregon 
Association of County Engineers and Surveyors. These comments are 
summarized below. Specific comments may be obtained by reviewing the 
materials in the docket.
    Based on the comments on the ANPRM, the FHWA has developed this 
NPRM to provide for the development and implementation of pavement, 
bridge, safety, and congestion management systems for transportation 
systems providing access to and within the National Forests and 
Grasslands, and funded under the FLHP. Separate NPRMs on management 
systems have also been developed for the Fish and Wildlife Service 
(FWS) and the Refuge Roads program, the National Park Service (NPS) and 
the Park Roads and Parkways program, and the Bureau of Indian Affairs 
(BIA) and the Indian Reservation Roads program. The other three related 
NPRMs are published elsewhere in today's Federal Register.
    On April 21, 2000, then President Clinton issued Executive Order 
(EO) 13148, Greening the Government Through Leadership in Environmental 
Management. This EO requires all Federal agencies to implement an 
environmental management system (EMS) to ensure that agencies develop 
strategies to support environmental leadership in programs, policies, 
and procedures and that senior level managers explicitly and actively 
endorse these strategies. The EO requires that agencies implement an 
EMS no later than December 31, 2005. Furthermore, in an April 1, 2002, 
letter, the Bush Administration encouraged all agencies to promote the 
use of EMS in Federal, State, local, and private facilities and 
directed the Environmental Protection Agency (EPA) to report annually 
on how well each agency has done in promoting EMS.
    The FHWA has already begun working toward establishing an EMS. 
Additionally, the FWHA is working with the American Association of 
State Highway and Transportation Officials' (AASHTO) Center for 
Environmental Excellence to include EMS as part of an environmental 
stewardship demonstration project. The FHWA is currently providing 
technical and financial assistance to the Center, which in turn 
supports States that have initiated EMSs.\1\ Furthermore, the FHWA 
continues to demonstrate environmental stewardship by encouraging the 
use of EMS in the construction, operation, and maintenance of 
transportation facilities.
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    \1\ More information on how EMS applies to transportation 
organizations can be found on the AASHTO's Center for Environmental 
Excellence website at the following URL: http://itre.ncsu.edu/AASHTO/stewardship.
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    Although an EMS may have some overlap with the four management 
systems that are the subject of this proposed rulemaking, the FHWA has 
decided not to incorporate the EMS in this rulemaking. The FHWA 
believes that great progress has been made on the EMS and promoting the 
use of EMS by the States. In addition, the FHWA has a long-standing 
working relationship with the Federal Land Management Agencies (FLMAs) 
through the Federal Lands Highway Program. The natural resource 
conservation and preservation missions of these agencies have led to 
the development of a jointly held environmental ethic that pervades 
transportation project decision-making through the use of context 
sensitive design, best management practices, and a heightened 
sensitivity to environmental impacts. This relationship provides a 
strong foundation for the FHWA to encourage the use of environmental 
management systems by the FLMAs. For example, the National Park Service 
currently has an initiative underway to implement a service-wide EMS 
approach. The FHWA and the NPS can evaluate ways to coordinate the use 
and development of the EMS with the transportation management systems 
through the joint development of the management system implementation 
plan called for in this rulemaking. A similar approach can be used with 
all of the FLMAs.
    Any EMS developed by the FHWA, or by a FLMA, will not have an 
adverse effect on any of the management systems in this proposed 
rulemaking. Instead, such an EMS may help foster a movement toward the 
use of a comprehensive asset management system that incorporates EMS, 
along with the transportation management systems proposed in this 
rulemaking, and others not covered in this proposed action, such as a 
maintenance management system. The role of the EMS in a more 
comprehensive approach would demonstrate a commitment to environmental 
stewardship that goes beyond the individual project level or the 
development of a multi-project transportation program. The EMS should 
be a fundamentally important business tool that pervades all aspects of 
FLMA transportation decision-making. The FHWA will continue to advance 
its EMS and promote the EMS initiatives of the FLMAs through 
implementation planning for the transportation management systems. In 
addition, the FHWA will continue to promote the use of EMSs in the 
construction, operation, and maintenance of transportation facilities.
    In developing the management system implementation plans, the need 
for data elements that address the environmental performance measures 
can be evaluated in relationship to individual agency plans to 
implement an EMS. This could provide an opportunity for the ongoing 
collection of environmental information, if appropriate and necessary. 
At a minimum, this would provide an opportunity to link existing 
environmental data to the transportation management systems using a 
geographic information system common to both systems.
    From the FHWA's stewardship perspective regarding the Federal Lands 
Highway Program, EMS is most appropriately pursued as part of sound 
FLMA business management planning. Thus, the FHWA has decided not to 
address the EMS requirement in this proposed rulemaking action.

Summary of Comments Received on the ANPRM Pertaining to the FS and the 
Forest Highway Programs

    The following discussion summarizes the comments received on the 
ANPRM and the FHWA's response to these comments. This discussion 
provides the public a general sense of the issues addressed in the 
comments. As previously stated, this NPRM is intended for the 
development of management systems. Therefore, this summary contains 
only comments and responses related to the management systems. There 
are instances where reference is made to transportation planning issues 
because the management systems serve as a guide to planning activities.

Rule Development

    Comments: The majority of comments supported the FHWA's proposal to 
develop ``separate rules'' pertaining to the FS and the FH programs, 
the NPS

[[Page 1090]]

and the Park Roads and Parkways program, the FWS and the Refuge Roads 
program, and the BIA and the Indian Reservations Roads program. The 
commenters in favor of this proposal point out the fact that 
transportation planning functions for the different Federal lands 
highways are performed by various Federal, State, Tribal and local 
entities, depending on ownership of the roadways and responsibilities 
for constructing and maintaining the facilities.
    The Wisconsin DOT and the Kentucky Transportation Cabinet offered 
an opposite view. These two State DOTs requested that we develop only 
one general rule applicable to all four agencies. The Wisconsin DOT 
suggested that this rule be flexible so that it recognizes the 
different approaches used by the States. The Kentucky Transportation 
Cabinet recommended that the rule should require the Federal land 
management agencies (FLMAs) to develop Memoranda of Understanding or 
Agreements that would address the consistency between Federal land 
transportation planning procedures and those required under 23 U.S.C. 
134 and 135. The Kentucky Transportation Cabinet was concerned that the 
additional rules might jeopardize existing procedures already in 
effect.
    Response: Following the recommendations from the majority of 
commenters, the FHWA, in consultation with each appropriate Federal 
land management agency, developed a separate rule pertaining to each 
agency: the FS, the NPS, the FWS, and the BIA. The variance among the 
rules allows for the significant differences in the ownership, 
jurisdiction, and maintenance responsibilities that the FLMAs exercise 
over the subject roadways addressed in the rule. To ensure uniformity, 
the FHWA coordinated the development of each NPRM, so that similar text 
and format are contained in each of the rules.

Addressing the Management Systems Requirements

    Comments: Many States believe that the management systems should 
only be developed as needed and should relate to systems that are 
already implemented by States and local agencies. It was recommended 
that the FHWA encourage the Federal agencies to explore and use the 
States' existing systems. The States also recommended the systems be 
tailored to fit local conditions, and be applicable solely to the 
portion of the Federal lands highways owned and maintained by Federal 
agencies. Many of the States are concerned that the implementation of 
the management systems may affect the current working relationships 
among State, Tribal, local, and Federal agencies. The Wisconsin DOT 
encouraged the FHWA to work with the FLMAs and State Transportation 
Departments to clarify ownership discrepancies between Federal and 
State data. They suggested that the FLMAs have accurate data reflecting 
the amount of mileage the agencies own by location. Further, these data 
have to agree with data reported by States in the Highway Performance 
Monitoring System (HPMS) database.\2\
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    \2\ The HPMS was developed in 1978 as a national highway 
transportation system database. It includes limited data on all 
public roads, more detailed data for a sample of the arterial and 
collector functional system, and certain summary information for 
urbanized, small urban and rural areas. Additional information about 
this database is available online at the URL: http://www.fhwa.dot.gov/ohim.
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    Response: The stakeholders' concerns presented above were 
considered in the development of this NPRM. Each of the proposed 
management system rules calls for the FHWA, in cooperation with the 
FLMA, to develop an implementation plan or implementation procedures 
for each of the management systems. In addition, flexibility is 
provided to determine criteria for the need and applicability of each 
of the FLMA's management systems. These implementation plans will 
provide the opportunity to relate the FLMA management systems to 
systems already implemented by States and local agencies. It will also 
allow the management systems to be tailored to fit a broad range of 
local conditions, and to avoid inefficient duplication of management 
systems already in use by the States. Development of the implementation 
plans will provide an opportunity to strengthen the working 
relationships among Federal, State, Tribal and local agencies, as well 
as define responsibility for and ownership of data. In fact, throughout 
the proposed regulation, we use the term ``tri-party partnership'' to 
refer to the joint, cooperative, shared partnership among the Federal 
Lands Highway Division, the State Department of Transportation and the 
Forest Service that carry out the FH program.
    Comments: The Wisconsin DOT also stated that the FHWA should 
clarify that this rule and the National Highway System (NHS) 
Designation Act of 1995, Public Law 104-59, 109 Stat. 568, do not make 
the implementation of management systems mandatory.
    Response: While it is correct that the Public Law 104-59 made the 
management systems optional for States and Metropolitan Planning 
Organizations (MPOs), except for the congestion management systems in 
MPOs with a population greater than 200,000, section 1115(d) of TEA-21 
applies to the Federal land management agencies, not directly to the 
States; however, the States may be requested to provide information. 
The TEA-21, enacted on June 9, 1998, amended 23 U.S.C. 204 to specify, 
``The Secretary and the Secretary of each appropriate Federal land 
management agency shall, to the extent appropriate, develop by rule 
safety, bridge, pavement, and congestion management systems for roads 
funded under the Federal lands highways program.'' Therefore, the 
development and implementation of the management systems, where 
appropriate, is mandated by law for the Federal land management 
agencies.

Approach to Structure of Proposed Regulation

    In the development of this proposed rule, the FHWA has attempted to 
minimize the level of data collection and analyses required. The FHWA 
now solicits comments on the extent to which this strategy has been 
achieved. Any comments suggesting that the strategy has not been 
successful should identify the specific reasons why requirements and/or 
provisions are burdensome. Suggestions to lessen burdens are welcome.

Section-by-Section Analysis

Subpart A

Section 971.100 Purpose

    This section states that subpart A provides definitions for terms 
used in this rule.

Section 971.102 Applicability

    This section states that the definitions in subpart A are 
applicable to this rule.

Section 971.104 Definitions

    This section incorporates the terms defined in 23 U.S.C. 101(a), 49 
U.S.C. 5302, and 23 CFR part 450. It also includes additional 
definitions for terms used in this part.
    The phrase ``Federal lands'' or ``Indian lands,'' as applicable, 
would be added to the definitions of ``bridge management system 
(BMS),'' ``congestion management system (CMS),'' ``pavement management 
system (PMS),'' and ``safety management system (SMS)'' to indicate the 
distinction between the Federal or Indian lands, and Federal-aid 
management systems (refer to 23 CFR part 500 for definitions of the 
Federal-aid management systems). The

[[Page 1091]]

management system definitions also specify their applicability to the 
BIA, FS, FWS and NPS, as appropriate.

Subpart B

Section 971.200 Purpose

    This section states the purpose of this proposed regulation, which 
is to fulfill the requirements set forth by the TEA-21.

Section 971.202 Applicability

    This section defines the applicability of the management systems.

Section 971.204 Management Systems Requirements

    This section sets forth general requirements for all four 
management systems. Additional requirements applicable to specific 
systems are in Sec. Sec.  971.208 through 971.214.
    Paragraph (a) states that the tri-party partnership shall develop, 
establish, and implement the management systems as described in this 
subpart. In addition, paragraph (a), along with paragraph (d), provides 
flexibility in the development of the management systems. To ensure the 
management systems are developed, implemented, and operated 
systematically, paragraph (b) requires the development of procedures 
that will include the following: Consideration of management system 
results in the planning process; system analysis; a description of each 
management system; operation and maintenance of management systems and 
databases; and data collection, processing, analysis, and updating. 
Paragraph (c) ensures that the database has a geographical reference 
system so that information can be geolocated. Paragraph (e) requires a 
periodic evaluation of the effectiveness of the management systems, 
preferably as part of the transportation planning process. Paragraph 
(f) ensures that transportation investment decisions based on 
management system results would be used at the State area level.

Section 971.206 Funds for Establishment, Development, and 
Implementation of the Systems

    This section provides that the funds available for the FH program 
can be used for development, establishment, and implementation of the 
management systems in accordance with legislative provisions for the 
funds.

Section 971.208 Federal Lands Pavement Management System (PMS)

    Paragraph (a) defines the applicability of the PMS. Paragraph (b) 
permits the use of the American Association of State Highway and 
Transportation Officials' (AASHTO) ``Pavement Management Guide'' \3\ as 
a guide for the development of the PMS. Paragraph (c) provides 
flexibility for the development of the PMS.
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    \3\ ``Pavement Management Guide,'' AASHTO, 2001, is available 
for inspection as prescribed at 49 CFR part 7. It may be purchased 
on line at http://www.transportation.org.publications/bookstore.nsf 
or mail addressed to the American Association of State Highway and 
Transportation Officials (AASHTO), Publication Order Dept., P.O. Box 
96716, Washington, DC 20090-6716.
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    This section further sets forth components that must be included in 
a PMS. They include requirements for a basic framework composed of data 
collection and maintenance, network level analysis, and reporting 
requirements.

Section 971.210 Federal Lands Bridge Management System (BMS)

    Paragraph (a) defines the applicability of the BMS. Paragraph (b) 
permits the use of the AASHTO's ``Guidelines for Bridge Management 
Systems'' \4\ as a guide for the development of the BMS.
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    \4\ ``Guidelines for Bridge Management Systems,'' AASHTO, 1993, 
is available for inspection as prescribed at 49 CFR part 7. It may 
be purchased on line at http://www.transportation.org/publications/bookstore.nsf or mail addressed to the American Association of State 
Highway and Transportation Officials (AASHTO), Publication Order 
Dept., P.O. Box 96716, Washington, DC 20090-6716.
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    The section sets forth components that must be included in a BMS. 
They consist of data collection and maintenance, network level 
analysis, investment analysis, and reporting requirements.

Section 971.212 Federal Lands Safety Management System (SMS)

    Paragraph (a) defines the applicability of the SMS. Paragraph (b) 
permits the use of the FHWA publication entitled ``Safety Management 
Systems: Good Practices for Development and Implementation.''\5\
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    \5\ ``Safety Management Systems: Good Practices for Development 
and Implementation,'' FHWA and NHTSA, May 1996, may be obtained at 
the FHWA, Office of Safety, Room 3407, 400 Seventh St., SW., 
Washington, DC 20590, or electronically at http://safety.thwa.dot.gov/media/documents.htm. It is available for 
inspection and copying as prescribed at 49 CFR part 7.
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    Because of the strong emphasis the TEA-21 has on safety, paragraph 
(c) requires the SMS to be used to ensure that safety is considered and 
implemented as appropriate in all phases of transportation planning, 
programming and project implementation. Paragraph (d) states that the 
level of complexity of a SMS depends on the nature of the facilities 
involved.
    Paragraphs (e) and (g) set forth components that must be included 
in a SMS. They include data collection and maintenance, identification 
and correction of potential safety problems, coordination, and 
reporting.
    To provide flexibility, paragraph (f) states that the extent of SMS 
requirements set forth in this proposed rule for low volume roads may 
be tailored to be consistent with the functional classification of the 
roads. However, each functional classification should include adequate 
requirements to ensure effective safety decisionmaking.

Section 971.214 Federal Lands Congestion Management System (CMS)

    This section defines congestion and addresses the criteria and the 
need for CMS coverage for portions of the FH network outside the 
boundaries of transportation management areas (TMAs). In addition, it 
specifies that the tri-party partnership shall consider CMS results in 
selecting implementation strategies to address congestion. Paragraph 
(c)(1) requires consideration of strategies that reduce automobile 
travel and improve the efficiency of the existing transportation 
system.
    Paragraph (c)(2) further sets forth components to be included in a 
CMS. They include the following: identification and documentation of 
measures for congestion; identification of the causes of congestion; 
development of evaluation processes; identification of benefits of 
congestion management; determination of methods to monitor and evaluate 
performance of the overall transportation system after strategies are 
implemented; and consideration of example strategies provided in the 
proposed rule.

Rulemaking Analyses and Notices

    All comments received before the close of business on the comment 
closing date indicated above will be considered and will be available 
for examination using the docket number appearing at the top of this 
document in the docket room at the above address. The FHWA will file 
comments received after the comment closing date in the docket and will 
consider late comments to the extent practicable. In addition to late 
comments, the FHWA will also continue to file in the docket relevant 
information becoming available after the comment closing date, and 
interested persons should continue to examine the docket for new 
material. A final rule may be published at any time after close of the 
comment period.

[[Page 1092]]

Executive Order 12866 (Regulatory Planning and Review) and U.S. DOT 
Regulatory Policies and Procedures

    The FHWA has determined preliminarily that the proposed rule would 
be a significant regulatory action within the meaning of Executive 
Order 12866, and under the regulatory policies and procedures of the 
U.S. Department of Transportation, because of the substantial public 
interest anticipated in the transportation facilities of the National 
Forests and Grasslands. The FHWA anticipates that the economic impact 
of any action taken in this rulemaking process will be minimal. Any 
changes proposed here are not anticipated to adversely affect any 
sector of the economy in a material way. Though the proposed action 
here will impact the FS, it will not likely interfere with any action 
taken or planned by the FS or another agency, or materially alter the 
budgetary impact of any entitlement, grants, user fees, or loan 
programs.
    Based upon the information received in response to this proposed 
action, the FHWA intends to carefully consider the costs and benefits 
associated with this rulemaking. Accordingly, comments, information, 
and data are solicited on the economic impact of the proposal described 
in this document or any alternative proposal submitted.

Regulatory Flexibility Act

    In compliance with the Regulatory Flexibility Act (5 U.S.C. 601-
612), the FHWA has evaluated the effects of this proposed action on 
small entities and has determined that the proposed action would not 
have a significant economic impact on a substantial number of small 
entities. Commenters are encouraged to evaluate any options addressed 
here with regard to the potential for impact.

Unfunded Mandates Reform Act of 1995

    This proposed rule would not impose a mandate that requires further 
analysis under the Unfunded Mandates Reform Act of 1995 (Public Law 
104-4, March 22, 1995, 109 Stat. 48). This proposed rule will not 
result in the expenditure by State, local and Tribal Governments, in 
the aggregate, or by the private sector, of $100 million or more in any 
one year (2 U.S.C. 1532). This rulemaking proposes to provide for the 
development and implementation of pavement, bridge, safety, and 
congestion management systems for transportation systems providing 
access to and within the National Forests and Grasslands. These roads 
are funded under the FLHP; therefore the proposed rule is not 
considered an unfunded mandate. Further, in compliance with the 
Unfunded Mandates Reform Act of 1995, the FHWA will evaluate any 
regulatory action that might be proposed in subsequent stages of the 
proceeding to assess the effects on State, local, and Tribal 
Governments and the private sector.

Executive Order 13132 (Federalism)

    This proposed rule has been analyzed in accordance with the 
principles and criteria contained in Executive Order 13132, dated 
August 4, 1999. The FHWA has determined that this proposed action would 
not have sufficient Federalism implications to warrant the preparation 
of a Federalism assessment. The FHWA has also determined that the 
proposed action would not preempt any State law or State regulation or 
affect the States' ability to discharge traditional State governmental 
functions. However, commenters are encouraged to consider these issues, 
as well as matters concerning any costs or burdens that might be 
imposed on the States as a result of actions considered here.

Executive Order 12372 (Intergovernmental Review)

    Catalog of Federal Domestic Assistance Program Number 20.205, 
Highway Planning and Construction. The regulations implementing 
Executive Order 12372 regarding intergovernmental consultation on 
Federal programs and activities apply to this program.

Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et 
seq.), Federal agencies must obtain approval from the Office of 
Management and Budget (OMB) for each collection of information they 
conduct, sponsor, or require through regulations. The FHWA has 
determined that this proposed rule contains a requirement for data and 
information to be collected and maintained in the four management 
systems that are to be developed. In order to streamline the process, 
the FHWA intends to request that the OMB approve a single information 
collection clearance for all of the data in the four management systems 
at the time that the requirements in this proposal are made final. The 
FHWA is sponsoring this proposed clearance on behalf of the U.S. Forest 
Service.
    The FHWA estimates that a total of 8,900 burden hours would be 
imposed on non-Federal entities to provide the required information for 
the FS management systems. Respondents to this information collection 
include State Transportation Departments, Metropolitan Planning 
Organizations (MPOs), Tribal governments, regional transportation 
planning agencies, and county and local governments. The Forest Service 
would bear the burden of developing the management systems in a manner 
that would incorporate any existing data in the most efficient way and 
without additional burdens to the public. The estimates here only 
include burdens on the respondents to provide information that is not 
usually and customarily collected.
    Where a substantial level of effort may be required of non-Federal 
entities to provide management system information, the effort has been 
benchmarked to the number of miles of State or locally owned roads or 
the number of State or locally owned bridges within the jurisdiction of 
the FS. This approach has been applied to the PMS, BMS and SMS. Since a 
substantial portion of the FS system is State or locally owned roads, 
considerable effort may be required of States, and county and local 
governments in providing pavement, bridge and safety information. The 
total annual burden estimate for these three systems is 6,100 hours. 
Burden estimates are 2,200 hours per year for the PMS; 1,700 hours per 
year for the BMS; and 2,200 hours per year for the SMS.
    For implementation of the CMS, the non-Federal burden, if 
applicable, would likely fall to the MPOs, and represents the need for 
the FS to coordinate its management systems with the MPOs for that 
portion of its transportation system that is within an MPO area. For 
estimating purposes, approximately 70 MPOs nationwide may be burdened 
by the proposed regulation. Forty hours of burden were assigned to each 
of the 70 MPOs, resulting in a total annual burden estimate of 2,800 
hours attributable to the FS CMS.
    The FHWA is required to submit this proposed collection of 
information to the OMB for review and approval and, accordingly, seeks 
public comments. Interested parties are invited to send comments 
regarding any aspect of these information collection requirements, 
including, but not limited to: (1) Whether the collection of 
information is necessary for the performance of the functions of the 
FHWA, including whether the information has practical utility; (2) the 
accuracy of the estimated burden; (3) ways to enhance the quality, 
utility, and clarity of the collected information; and (4) ways to 
minimize the collection burden without reducing the quality of the 
information collected.

[[Page 1093]]

National Environmental Policy Act

    The FHWA has analyzed this proposed action for the purpose of the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321-4347) and has 
determined that this proposed action would not have any effect on the 
quality of the environment. An environmental impact statement is, 
therefore, not required.

Executive Order 13175 (Tribal Consultation)

    The FHWA has analyzed this proposed action under Executive Order 
13175, dated November 6, 2000, and believes that the proposal will not 
have substantial direct effects on one or more Indian tribes; will not 
impose substantial direct compliance costs on Indian tribal government, 
and will not preempt tribal law. The requirements set forth in the 
proposed rule do not directly affect one or more Indian tribes. 
Therefore, a tribal summary impact statement is not required.

Executive Order 12988 (Civil Justice Reform)

    This proposed action meets applicable standards in section 3(a) and 
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize 
litigation, eliminate ambiguity, and reduce burden.

Executive Order 13045 (Protection of Children)

    We have analyzed this proposed action under Executive Order 13045, 
Protection of Children from Environmental Health Risks and Safety 
Risks. This proposed rule is not economically significant and does not 
involve an environmental risk to health and safety that may 
disproportionately affect children.

Executive Order 12630 (Taking of Private Property)

    This proposed rule will not affect a taking of private property or 
otherwise have taking implications under Executive Order 12630, 
Governmental Actions and Interference with Constitutionally Protected 
Property Rights.

Executive Order 13211 (Energy Effects)

    This proposed rule has been analyzed under Executive Order 13211, 
Actions Concerning Regulations That Significantly Effect Energy Supply, 
Distribution or Use. The FHWA has determined that it is not a 
significant energy action under that order because, although this 
proposed action is considered a significant regulatory action under 
Executive Order 12866, it is not likely to have a significant adverse 
effect on the supply, distribution or use of energy.

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 in 23 CFR Part 971

    Bridges, Grant programs--transportation, Highway safety, Highways 
and roads, National forests, Public lands, Transportation.
    For reasons set forth in the preamble, the Federal Highway 
Administration proposes to amend chapter I of Title 23, Code of Federal 
Regulations, as set forth below.

    Issued on: December 20, 2002.
Mary E. Peters,
Federal Highway Administrator.
    1. Add part 971 to subpart L to read as follows:

PART 971--FOREST SERVICE MANAGEMENT SYSTEMS

Subpart A--Definitions
Sec.
971.100 Purpose.
971.102 Applicability.
971.104 Definitions.
Subpart B--Forest Highway Program Management Systems
971.200 Purpose.
971.202 Applicability.
971.204 Management systems requirements.
971.206 Funds for establishment, development and implementation of 
the systems.
971.208 Federal lands Pavement Management System (PMS).
971.210 Federal lands Bridge Management System (BMS).
971.212 Federal lands Safety Management System (SMS).
971.214 Federal lands Congestion Management System (CMS).

    Authority: 23 U.S.C. 204, 315; 42 U.S.C. 7410 et seq.; 49 CFR 
1.48.

Subpart A--Definitions


Sec.  971.100  Purpose.

    The purpose of this subpart is to provide definitions for terms 
used in this part.


Sec.  971.102  Applicability.

    The definitions in this subpart are applicable to this part, except 
as otherwise provided.


Sec.  971.104  Definitions.

    Alternative transportation systems means modes of transportation 
other than private vehicles, including methods to improve system 
performance such as transportation demand management, congestion 
management, and intelligent transportation systems. These mechanisms 
help reduce the use of private vehicles and thus improve overall 
efficiency of transportation systems and facilities.
    Elements means the components of a bridge important from a 
structural, user, or cost standpoint. Examples are decks, joints, 
bearings, girders, abutments, and piers.
    Federal lands bridge management system (BMS) means a systematic 
process used by the Forest Service (FS), the Fish and Wildlife Service 
(FWS) and the National Park Service (NPS) for collecting and analyzing 
bridge data to make forecasts and recommendations, and that provides 
the means by which bridge maintenance, rehabilitation, and replacement 
programs and policies may be efficiently and effectively considered.
    Federal lands congestion management system (CMS) means a systematic 
process used by the FS, FWS and NPS for managing congestion that 
provides information on transportation system performance, and 
alternative strategies for alleviating congestion and enhancing the 
mobility of persons and goods to levels that meet Federal, State and 
local needs.
    Federal Lands Highway program (FLHP) means a federally funded 
program established in 23 U.S.C. 204 to address transportation needs of 
Federal and Indian lands.
    Federal lands pavement management system (PMS) means a systematic 
process used by the FS, FWS and NPS that provides information for use 
in implementing cost-effective pavement reconstruction, rehabilitation, 
and preventive maintenance programs and policies and that results in 
pavement designed to accommodate current and forecasted traffic in a 
safe, durable, and cost-effective manner.
    Federal lands safety management system (SMS) means a systematic 
process used by the FS, FWS and NPS with the goal of reducing the 
number and severity of traffic accidents by ensuring that all 
opportunities to improve roadway safety are identified, considered, 
implemented and evaluated as appropriate, during all phases of highway 
planning, design, construction, operation and maintenance, by providing 
information for selecting and implementing effective highway safety 
strategies and projects.

[[Page 1094]]

    Forest highway (FH) means a State-designated road under the 
jurisdiction of, and maintained by, a public authority and open to 
public travel, that provides access to or within a National Forest or 
Grassland.
    Forest Highway program means the public lands highway funds 
allocated each fiscal year as is provided in 23 U.S.C. 202 for projects 
that provide access to and within the National Forest system as 
described in 23 U.S.C. 202(b).
    Forest Highway program transportation improvement program (FHPTIP) 
means a staged, multiyear, multimodal program of transportation 
projects in a State area consistent with the Forest Highway 
transportation plan and developed through the tri-party Forest Highway 
planning processes pursuant to 23 U.S.C. 204.
    Forest Service transportation plan means the official Forest 
Highway multimodal, transportation plan that is developed through the 
tri-party Forest Highway transportation planning process pursuant to 23 
U.S.C. 204.
    Highway safety means the reduction of traffic accidents on public 
roads, including reductions in deaths, injuries, and property damage.
    Intelligent transportation system (ITS) means electronics, 
communications, or information processing used singly or in combination 
to improve the efficiency and safety of a surface transportation 
system.
    Life-cycle cost analysis means an evaluation of costs incurred over 
the life of a project allowing a comparative analysis between or among 
various alternatives. Life-cycle cost analysis promotes consideration 
of total cost, including maintenance and operation expenditures. 
Comprehensive life-cycle cost analysis includes all economic variables 
essential to the evaluation including user costs such as delay, safety 
costs associated with maintenance and rehabilitation projects, agency 
capital costs, and life-cycle maintenance costs.
    Metropolitan planning area means the geographic area in which the 
metropolitan transportation planning process required by 23 U.S.C. 134 
and 49 U.S.C. 5303-5306 must be carried out.
    Metropolitan planning organization (MPO) means the forum for 
cooperative transportation decisionmaking for the metropolitan planning 
area pursuant to 23 U.S.C. 134 and 49 U.S.C. 5303.
    National Forest System means all the lands and waters reported by 
the Forest Service as being part of the National Forest System, 
including those generally known as National Forests and National 
Grasslands.
    Operations means those activities associated with managing, 
controlling, and regulating highway traffic.
    Secretary means the Secretary of Transportation.
    Serviceability means the degree to which a bridge provides 
satisfactory service from the point of view of its users.
    State means any one of the fifty States, the District of Columbia, 
or Puerto Rico.
    Transportation facilities means roads, streets, bridges, parking 
areas, transit vehicles, and other related transportation 
infrastructure.
    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 Federal Transit Administration 
(FTA). The TMA designation applies to the entire metropolitan planning 
area(s).
    Tri-party means the joint, cooperative, shared partnership among 
the Federal Lands Highway Division (FLHD), State Department of 
Transportation (State DOT), and the Forest Service (FS) to carry out 
the FH program.

Subpart B--Forest Highway Program Management Systems


Sec.  971.200  Purpose.

    The purpose of this subpart is to implement 23 U.S.C. 204 which 
requires the Secretary and the Secretary of each appropriate Federal 
land management agency to develop, to the extent appropriate, safety, 
bridge, pavement, and congestion management systems for roads funded 
under the FLHP.


Sec.  971.202  Applicability.

    The provisions in this subpart are applicable to the FHWA, the 
Forest Service and the State DOTs that are responsible for satisfying 
these requirements for management systems pursuant to 23 U.S.C. 204.


Sec.  971.204  Management systems requirements.

    (a) The tri-party partnership shall develop, establish and 
implement the management systems as described in this subpart. The 
management systems may be tailored to meet the FH program goals, 
policies, and needs.
    (b) The tri-party partnership shall develop and implement 
procedures for the acceptance of the existing, or the development, 
establishment, implementation and operation of new management systems. 
The procedures shall include:
    (1) A process for ensuring the output of the management systems are 
considered in the development of the FH program transportation plans 
and transportation improvement programs, and in making project 
selection decisions under 23 U.S.C. 204;
    (2) A process for the analyses and coordination of all management 
systems outputs to systematically operate, maintain, and upgrade 
existing transportation assets cost-effectively;
    (3) A description of each management system;
    (4) A process to operate and maintain the management systems and 
their associated databases; and
    (5) A process for data collection, processing, analysis, and 
updating for each management system.
    (c) All management systems will use databases with a common or 
coordinated reference system, that can be used to geolocate all 
database information, to ensure that data across management systems are 
comparable.
    (d) Existing data sources may be used by the tri-party partnership 
to meet the management system requirements.
    (e) The tri-party partnership shall develop an appropriate means to 
evaluate the effectiveness of the management systems in enhancing 
transportation investment decisionmaking and improving the overall 
efficiency of the affected transportation systems and facilities. This 
evaluation is to be conducted periodically, preferably as part of the 
FS planning process.
    (f) The management systems shall be operated so investment 
decisions based on management system outputs can be accomplished at the 
State area level.


Sec.  971.206  Funds for establishment, development, and implementation 
of the systems.

    The FLHP FH program funds may be used for development, 
establishment, and implementation of the management systems. These 
funds are to be administered in accordance with the procedures and 
requirements applicable to the funds.


Sec.  971.208  Federal lands Pavement Management System (PMS).

    In addition to the requirements provided in Sec.  971.204, the PMS 
must meet the following requirements:
    (a) The tri-party partnership shall have PMS coverage of all FHs 
and other associated facilities, as appropriate, funded under the FLHP.

[[Page 1095]]

    (b) The PMS may be based on the concepts described in the AASHTO's 
``Pavement Management Guide.'' \1\
---------------------------------------------------------------------------

    \1\ ``Pavement Management Guide,'' AASHTO, 2001, is available 
for inspection as prescribed at 49 CFR part 7. It may be purchased 
online at http://www.transportation.org/publications/bookstore.nsf 
or mail addressed to the American Association of State Highway and 
Transportation Officials (AASHTO), Publication Order Dept., P.O. Box 
96716, Washington, DC 20090-6716.
---------------------------------------------------------------------------

    (c) The PMS may be utilized at various levels of technical 
complexity depending on the nature of the transportation network. These 
different levels may depend on mileage, functional classes, volumes, 
loading, usage, surface type, or other criteria the tri-party 
partnership deems appropriate.
    (d) The PMS shall be designed to fit the FH program goals, 
policies, criteria, and needs using the following components, at a 
minimum, as a basic framework for a PMS:
    (1) A database and an ongoing program for the collection and 
maintenance of the inventory, inspection, cost, and supplemental data 
needed to support the PMS. The minimum PMS database shall include:
    (i) An inventory of the physical pavement features including the 
number of lanes, length, width, surface type, functional 
classification, and shoulder information;
    (ii) A history of project dates and types of construction, 
reconstruction, rehabilitation, and preventive maintenance. If some of 
the inventory or historic data is difficult to establish, it may be 
collected when preservation or reconstruction work is performed;
    (iii) A condition survey that includes ride, distress, rutting, and 
surface friction (as appropriate);
    (iv) Traffic information including volumes and vehicle 
classification (as appropriate); and
    (v) Data for estimating the costs of actions.
    (2) A system for applying network level analytical procedures that 
are capable of analyzing data for all FHs and other appropriate 
associated facilities in the inventory or any subset. The minimum 
analyses shall include:
    (i) A pavement condition analysis that includes ride, distress, 
rutting, and surface friction (as appropriate);
    (ii) A pavement performance analysis that includes present and 
predicted performance and an estimate of the remaining service life 
(performance and remaining service life to be developed with time); and
    (iii) An investment analysis that:
    (A) Identifies alternative strategies to improve pavement 
conditions;
    (B) Estimates costs of any pavement improvement strategy;
    (C) Determines maintenance, repair, and rehabilitation strategies 
for pavements using life-cycle cost analysis or a comparable procedure;
    (D) Provides for short and long term budget forecasting; and
    (E) Recommends optimal allocation of limited funds by developing a 
prioritized list of candidate projects over a predefined planning 
horizon (both short and long term).
    (e) For any FHs and other appropriate associated facilities in the 
inventory or subset thereof, PMS reporting requirements shall include, 
but are not limited to, percentage of roads in good, fair, and poor 
condition.


Sec.  971.210  Federal Lands Bridge Management System (BMS).

    In addition to the requirements provided in Sec.  971.204, the BMS 
must meet the following requirements:
    (a) The tri-party partnership shall have a BMS for the FH bridges 
funded under the FLHP and required to be inventoried and inspected 
under 23 CFR part 650, subpart C, National Bridge Inspection Standards 
(NBIS).
    (b) The BMS may be based on the concepts described in the AASHTO's 
``Guidelines for Bridge Management Systems.''\2\
---------------------------------------------------------------------------

    \2\ ``Guidelines for Bridge Management Systems,'' AASHTO, 1993, 
is available for inspection as prescribed at 49 CFR part 7. It may 
be purchased on line at http://www.transportation.org/publications/bookstore.nsf or mail addressed to the American Association of State 
Highway and Transportation Officials (AASHTO), Publication Order 
Dept., P.O. Box 96716, Washington, DC 20090-6716.
---------------------------------------------------------------------------

    (c) The BMS shall be designed to fit the FH program goals, 
policies, criteria, and needs using the following components, as a 
minimum, as a basic framework for a BMS:
    (1) A database and an ongoing program for the collection and 
maintenance of the inventory, inspection, cost, and supplemental data 
needed to support the BMS. The minimum BMS database shall include:
    (i) The inventory data required by the NBIS (23 CFR 650.311);
    (ii) Data characterizing the severity and extent of deterioration 
of bridge elements;
    (iii) Data for estimating the cost of improvement actions;
    (iv) Traffic information including volumes and vehicle 
classification (as appropriate); and
    (v) A history of conditions and actions taken on each bridge, 
excluding minor or incidental maintenance.
    (2) A system for applying network level analytical procedures at 
the State or local area level, as appropriate, and capable of analyzing 
data for all bridges in the inventory or any subset. The minimum 
analyses shall include:
    (i) A prediction of performance and estimate of the remaining 
service life of structural and other key elements of each bridge, both 
with and without intervening actions; and
    (ii) A recommendation for optimal allocation of limited funds 
through development of a prioritized list of candidate projects over 
predefined short and long term planning horizons.
    (d) The BMS may include the capability to perform an investment 
analysis as appropriate, considering size of structure, traffic volume, 
and structural condition. The investment analysis may:
    (1) Identify alternative strategies to improve bridge condition, 
safety and serviceability;
    (2) Estimate the costs of any strategies ranging from maintenance 
of individual elements to full bridge replacement;
    (3) Determine maintenance, repair, and rehabilitation strategies 
for bridge elements using life cycle cost analysis or a comparable 
procedure; and
    (4) Provide short and long term budget forecasting.
    (e) For any bridge in the inventory or subset thereof, BMS 
reporting requirements shall include, but are not limited to, 
percentage of non-deficient bridges.


Sec.  971.212  Federal Lands Safety Management System (SMS).

    In addition to the requirements provided in Sec.  971.204, the SMS 
must meet the following requirements:
    (a) The tri-party partnership shall have an SMS for transportation 
systems providing access to and within National Forests and Grasslands, 
and funded under the FLHP.
    (b) The SMS may be based on the guidance in ``Safety Management 
Systems: Good Practices for Development and Implementation.''\3\
---------------------------------------------------------------------------

    \3\ ``Safety Management Systems: Good Practices for Development 
and Implementation,'' FHWA and NHTSA, May 1996, may be obtained at 
the FHWA, Office of Safety, Room 3407, 400 Seventh St., SW., 
Washington, DC 20590, or electronically at http://safety.fhwa.dot.gov/media/documents.htm. It is available for 
inspection and copying as prescribed at 49 CFR part 7.
---------------------------------------------------------------------------

    (c) The tri-party partnership shall utilize SMS to ensure that 
safety is considered and implemented, as appropriate, in all phases of 
transportation system planning, design, construction, maintenance, and 
operations.
    (d) The SMS may be utilized at various levels of complexity 
depending on the nature of the facility and/or network involved.

[[Page 1096]]

    (e) The SMS shall be designed to fit the FH program goals, 
policies, criteria, and needs and shall contain the following 
components:
    (1) An ongoing program for the collection, maintenance and 
reporting of a database that includes:
    (i) Accident records with detail for analysis such as accident type 
using standard reporting descriptions (e.g., right-angle, rear-end, 
head-on, pedestrian-related, etc.), location, description of event, 
severity, weather and cause;
    (ii) An inventory of safety appurtenances such as signs, 
delineators, and guardrails (including terminals);
    (iii) Traffic information including volume and vehicle 
classification (as appropriate); and
    (iv) Accident rates by customary criteria such as location, roadway 
classification, and vehicle miles of travel.
    (2) Development, establishment, and implementation of procedures 
for:
    (i) Routine maintenance and upgrading of safety appurtenances 
including highway rail crossing safety devices, signs, highway 
elements, and operational features, where appropriate;
    (ii) Identifying, investigating, and analyzing hazardous or 
potentially hazardous transportation system safety problems, roadway 
locations and features;
    (iii) Establishing countermeasures and setting priorities to 
correct the identified hazards and potential hazards.
    (3) Identification of focal points for all contacts at State, 
regional, Tribal and local levels to coordinate, develop, establish, 
and implement the SMS among the agencies.
    (f) While the SMS applies to appropriate transportation systems 
providing access to and within National Forests and Grasslands funded 
under the FLHP, the extent of system requirements (e.g., data 
collection, analyses, and standards) for low volume roads may be 
tailored to be consistent with the functional classification of the 
roads. However, adequate requirements should be included for each 
roadway to provide for effective inclusion of safety decisions in the 
administration of the FH program.


Sec.  971.214  Federal Lands Congestion Management System (CMS).

    (a) For purposes of this section, congestion means the level at 
which transportation system performance is no longer acceptable due to 
traffic interference. For portions of the FH network outside the 
boundaries of TMA's, the tri-party partnership shall:
    (1) Develop criteria to determine when a CMS is to be implemented 
for a specific FH; and
    (2) Have CMS coverage for the transportation systems providing 
access to and within National Forests, as appropriate, that meets 
minimum CMS criteria.
    (b) The tri-party partnership shall consider the results of the CMS 
when selecting the implementation of strategies that provide the most 
efficient and effective use of existing and future transportation 
facilities.
    (c) In addition to the requirements provided in Sec.  971.204, the 
CMS must meet the following requirements:
    (1) For those FH transportation systems that require a CMS, in both 
metropolitan and non-metropolitan areas, consideration shall be given 
to strategies that reduce private automobile travel and improve 
existing transportation efficiency. Approaches may include the use of 
alternative mode studies and implementation plans as components of the 
CMS.
    (2) A CMS will:
    (i) Identify and document measures for congestion (e.g., level of 
service);
    (ii) Identify the causes of congestion;
    (iii) Include processes for evaluating the cost and effectiveness 
of alternative strategies to manage congestion;
    (iv) Identify the anticipated benefits of appropriate alternative 
traditional and nontraditional congestion management strategies;
    (v) Determine methods to monitor and evaluate the performance of 
the multi-modal transportation system; and
    (vi) Appropriately consider the following example categories of 
strategies, or combinations of strategies for each area:
    (A) Transportation demand management measures;
    (B) Traffic operational improvements;
    (C) Public transportation improvements;
    (D) ITS technologies; and
    (E) Additional system capacity.

[FR Doc. 03-103 Filed 1-7-03; 8:45 am]
BILLING CODE 4910-22-P