National Bridge Inspection Standards Review Process; Notice

National Bridge Inspection Standards Review Process; Notice

National Bridge Inspection Standards Review Process; Notice

Gregory G. Nadeau
Federal Highway Administration
May 12, 2014

[Federal Register Volume 79, Number 91 (Monday, May 12, 2014)]
[Notices]
[Pages 27032-27040]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-10800]

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DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

[FHWA Docket No. FHWA-2013-0021]

National Bridge Inspection Standards Review Process; Notice

AGENCY: Federal Highway Administration (FHWA), DOT.

ACTION: Notice.

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SUMMARY: This Notice finalizes guidance that describes the FHWA
internal procedures for review of State compliance with the National
Bridge Inspection Standards. It also describes how the FHWA will
implement the related statutory penalties against noncompliant States.
The FHWA proposed this guidance in a Notice on June 7, 2013. Here, the
FHWA updates and finalizes the guidance and responds to the 12
commenters.

[[Page 27033]]

FOR FURTHER INFORMATION CONTACT: For questions about the program
discussed herein, contact, Thomas D. Everett, Principal Bridge
Engineer, FHWA Office of Bridges and Structures, (202) 366-4675 or via
email at Thomas.Everett@dot.gov. For legal questions, please contact
Robert Black, Office of the Chief Counsel, (202) 366-1359, or via email
at Robert.Black@dot.gov. Office hours are from 8:00 a.m. to 4:30 p.m.,
e.t., Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Electronic Access and Filing

This notice, the notice requesting comment, related documents, and
all comments received may be viewed online through the Federal
eRulemaking portal at: http://www.regulations.gov. The Web site is
available 24 hours each day, 365 days each year. Please follow the
instructions. Electronic submission and retrieval help and guidelines
are available under the help section of the Web site. An electronic
copy of this document may also be downloaded from the Office of the
Federal Register's home page at: http://www.archives.gov and the
Government Printing Office's Web page at: http://www.access.gpo.gov/nara.

Purpose of This Notice

The FHWA is providing responses to comments received on the Notice
published at 78 FR 34424 on June 7, 2013, and publishing the internal
administrative processes FHWA uses to review State compliance with the
National Bridge Inspection Standards (NBIS) and implement statutory
penalties for noncompliance.

Background

For more than 30 years, the FHWA has annually assessed each State's
bridge inspection program to evaluate compliance with the NBIS as
codified at 23 CFR 650 Subpart C. Historically, the depth and scope of
the reviews varied based upon the FHWA's knowledge of the State's
inspection program and the experience of the FHWA staff. In 2009, the
Office of Inspector General (OIG) issued an audit report, National
Bridge Inspection Program: Assessment of FHWA's Implementation of Data-
Driven, Risk-Based Oversight,\1\ summarizing its review of the FHWA
oversight of the National Bridge Inspection Program. One of the five
OIG recommendations from this audit was for the FHWA to develop and
implement minimum requirements for data-driven, risk-based, bridge
oversight during bridge engineers' annual NBIS compliance reviews. In
Senate Report 110-418,\2\ strong support was given to the OIG
recommendations and the need for prompt action by FHWA. In addition,
the U.S. House of Representatives Conference Report 111-366,\3\
directed FHWA to improve its oversight of bridge safety and conditions.
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\1\ Report MH-2009-013; http://www.oig.dot.gov/sites/dot/files/pdfdocs/BRIDGE_I_REPORT_FINAL.pdf.
\2\ Senate Report 110-418; http://www.gpo.gov/fdsys/pkg/CRPT-110srpt418/pdf/CRPT-110srpt418.pdf.
\3\ House of Representatives Conference Report 111-366; http://www.gpo.gov/fdsys/pkg/CRPT-111hrpt366/pdf/CRPT-111hrpt366.pdf.
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In response to the OIG recommendations and congressional direction,
FHWA developed a new systematic, data-driven, risk-based oversight
process for monitoring State compliance with the NBIS. The process
utilizes 23 metrics, or measures, to define (1) the levels of
compliance, (2) items from the NBIS to be measured, and (3) how those
measurements would affect the levels of compliance. Each metric can be
traced directly to wording in 23 CFR Part 650, Subpart C. The 23
metrics were developed over a 2-year period by a committee which
consisted of FHWA Division, Resource Center, and Headquarters bridge
engineers. Refinements were made to the metrics based upon feedback
received during implementation. The finalized 23 metrics described in
this Notice are contained in the document entitled Metrics for the
Oversight of the National Bridge Inspection Program (April 1, 2013)
which is available on the docket (docket number FHWA-2013-0021) through
the Federal eRulemaking portal at: http://www.regulations.gov.
In 2010, the FHWA initiated a pilot program using the new process
in nine States. The FHWA made adjustments to the process following the
pilot in preparation for nationwide implementation in February 2011.
After the nationwide implementation, a joint FHWA/American
Association of State Highway and Transportation Officials (AASHTO) task
force was established in the fall of 2011 to identify possible
modifications and opportunities to improve the assessment process. One
of the first steps the task force completed was gathering input and
feedback on the assessment process from all States and interested
Federal agencies. The FHWA collected information from internal staff,
and AASHTO gathered information from the States. The information
collected was used to help identify and prioritize process
improvements. The joint task force efforts resulted in FHWA
implementing several improvements to the oversight process in April
2012.
On July 6, 2012, President Obama signed into law the Moving Ahead
for Progress in the 21st Century Act (MAP-21) (Pub. L. 112-141).
Section 1111 of MAP-21 amended 23 U.S.C. 144(h)(3)(A)(i) to include
provisions for the Secretary to establish, in consultation with the
States, Federal agencies, and interested and knowledgeable private
organizations and individuals, procedures to conduct reviews of State
compliance with the NBIS. The MAP-21 also modified 23 U.S.C. 144(h)(5)
to establish a penalty for States in noncompliance with the NBIS.
The FHWA developed and implemented the current process to review a
State's bridge inspection program for compliance with the NBIS prior to
the requirements of MAP-21, Section 1111. The development of the review
process included consultation with stakeholders through the pilot
project, the joint FHWA/AASHTO task force, as well as with individual
States and Federal agencies during the initial implementation of the
process in 2011. The FHWA will continue to use the current risk-based,
data-driven review process to evaluate State compliance with the NBIS
as required by 23 U.S.C. 144(h)(4)(A). The FHWA will implement the
specific penalty provisions in 23 U.S.C. 144(h)(5) using the process
described below.
On June 7, 2013, at 78 FR 34424, the FHWA published a Notice
requesting comment on the process the FHWA uses to conduct reviews of
State compliance with the NBIS and the associated penalty process for
findings of noncompliance. The NBIS Review Process Notice outlined the
data-driven, risk-based process used by each FHWA Division to review a
State's compliance with the NBIS. The yearly review of a State DOT's
highway bridge inspection program focuses on 23 metrics, or specific
measures required by the current NBIS regulations at 23 CFR 650 Subpart
C. The FHWA Division conducting the review looks at each of the 23
metrics and assigns them one of four compliance level ratings: 1.
Compliant (meets criteria); 2. Substantially compliant (meets most
criteria except for minor deficiencies); 3. Noncompliant (does not meet
one or more of the substantial compliance criteria); or 4.
Conditionally compliant (State is adhering to a FHWA approved plan of
corrective action for the metric).
If a State highway bridge inspection program receives a
``noncompliant rating'' for any metric, the State must address the
finding in 45 days or

[[Page 27034]]

prepare a Plan of Corrective Action (PCA) to remedy the noncompliance.
The PCA describes the process and timelines to correct the
noncompliance. The FHWA must approve the PCA. For deficiencies
identified in a substantial compliance determination for a metric, the
State prepares an Improvement Plan (IP) that documents the agreement
with FHWA for corrective action to correct the deficiencies. The IP is
usually limited to 12 months or less. Through these measures, the FHWA
is assured that the State DOT is addressing parts of its highway bridge
inspection program that do not comply with the NBIS regulations at 23
CFR Part 650 Subpart C.
To simplify the reporting of the results of the review, especially
for the benefit of parties unfamiliar with the process, FHWA assigns a
performance rating for each of the 23 metrics of satisfactory, actively
improving, or unsatisfactory. A satisfactory rating means that the
State is adhering to the NBIS regulations with perhaps a few minor,
isolated deficiencies that do not affect the overall effectiveness of
the program. A rating of actively improving means that there is a PCA
in place to improve noncompliant metrics. The FHWA will rate the State
bridge inspection program as unsatisfactory if metrics rated as
noncompliant do not have a PCA or a State is not actively complying
with an existing PCA.
The FHWA received 15 sets of comments in response to the Notice
published June 7, 2013, from 12 different commenters representing 8
State Transportation Departments, 1 Federal agency, 1 private
engineering firm, 1 professional organization, 1 private citizen and
AASHTO.

Response to Comments

General

The FHWA would like to clarify that the internal administrative
process described in this Notice is presently followed by FHWA in its
review of compliance with the NBIS regulation. The process described in
this Notice does not change the current statutory or regulatory
requirements of the NBIS.
In accordance with the requirements of MAP-21, FHWA will be
updating the NBIS regulation. Comments concerning proposed changes to
the NBIS received in this Notice will be considered in the update to
the NBIS.
1. Several States and AASHTO commented that significant effort and
resources have been directed towards the review process, but question
if it is improving overall bridge safety.
The National Bridge Inspection Program ensures the safety of the
Nation's bridges. The FHWA's review process merely verifies whether
States and Federal agencies are meeting the minimum requirements of the
NBIS, which were established to ensure overall bridge safety.
Unfortunately, FHWA has discovered several issues regarding
compliance with the NBIS. Examples include the following:
Critical inspection findings that were not being
addressed;
Overdue inspections;
Scour critical bridges without plans of action (POA) as
identified in 23 CFR 650.313(e)(3);
Scour critical bridges for which the POA was not properly
implemented;
Unqualified team leaders performing inspections;
Bridges not being load rated for State legal loads and/or
routine permits; and
Inadequate or nonexistent inspection procedures.
The FHWA recognizes that the review process requires significant
effort from FHWA, States, and Federal agencies. As compliance with the
NBIS rises to the level expected by the public and Congress, this
effort should decrease. Presently, the burden placed on FHWA, a State,
or a Federal agency as a result of the review process is commensurate
with the level of compliance with the regulation.
2. The Bureau of Land Management suggested a separate evaluation
process for Federal bridge owners, with FHWA in a supporting role.
The NBIS apply equally to all States and Federal agencies. Our goal
is national consistency; therefore, it is necessary and appropriate
that all agencies are held to the same standards.
3. The Iowa DOT suggested that the FHWA should review State and
local agencies separately.
The Federal-aid highway program is State-administered and federally
assisted. The fundamental relationship under the law is between FHWA
and the State. States may delegate functions defined in the NBIS;
however, the responsibility for NBIS compliance remains with the State.
The FHWA oversight process reviews both State and local agencies,
but the resolution of review findings is between FHWA and the State.
4. Iowa and South Dakota DOTs commented that if a State cannot take
action against a bridge owner, action should not be taken against a
State for that bridge. Iowa went on to comment that FHWA should take
action directly against the bridge owner.
The Federal-aid highway program is State-administered and federally
assisted. The fundamental relationship under the law is between FHWA
and the State. States may delegate functions defined in the NBIS;
however, the responsibility for NBIS compliance remains with the State.
5. The South Dakota DOT commented that the metrics requirements for
bridge inspections described in the Notice are likely to result in
additional resources being dedicated to bridge inspection, decreasing
funds available for structure preservation and replacement needs. The
South Dakota DOT stated that ``the additional requirements have
resulted in an approximately 44% increase in bridge inspection costs
for local governments in South Dakota.''
The review process proposed did not establish any new regulatory
requirements. The 23 metrics are requirements of the NBIS that have
been in place since 2004. The metrics are FHWA's means of objectively
determining how well a State DOT has complied with the NBIS. The costs
of the inspection program should not increase for States that were in
compliance with the NBIS requirements prior to implementation of the
review process.
6. The Virginia DOT commented that the overall NBIS review process
is acceptable, but recommended that FHWA ``periodically update the NBIS
review process based on lessons learned from the review of different
State programs and as issues or conflicts arise.''
The FHWA agrees with the comment. The review process was updated
for the 2013 and 2014 review cycles based on lessons learned.
7. The Idaho DOT raised concerns about stability of the review
process because the metrics have changed since the 2011 implementation.
The FHWA implemented the changes for the 2013 and 2014 review
cycles to address the comments received from the joint FHWA/AASHTO task
force and lessons learned. The FHWA anticipates the metric review
process established in this Notice will remain stable.
8. The Idaho, North Dakota, and Missouri DOTs, and AASHTO commented
that the consistency in FHWA Divisions' performance of the review
process can be improved.
The FHWA considers consistency in the review process a priority. To
improve consistency in the review process, FHWA has and will continue
to clearly document processes; train staff; provide feedback to field
offices; hold frequent teleconferences with field staff; utilize
standardized reports, forms, and

[[Page 27035]]

checklists; conduct annual quality assurance reviews; and provide
targeted technical assistance. Quality assurance reviews indicate that
there has been marked improvement in the consistency of the FHWA's
assessment of State compliance with the NBIS since the process was
introduced in 2011.
9. The North Dakota and Iowa DOTs commented that the review process
leaves little room for engineering judgment.
The review process is completely aligned with the NBIS, which
establish minimum national standards for bridge inspection programs.
Engineering judgment is appropriately applied by bridge owners in
deciding when it is warranted to exceed the NBIS minimum standards.
10. The Professional Engineers in California Government (PECG)
commented that they firmly believe that the inspection function,
especially on critically important infrastructure such as bridges, is
inherently governmental in nature and should be performed by public
servants. The PECG recommended that FHWA require States to use their
own professional staff to perform bridge inspection functions except in
very narrowly defined circumstances.
The FHWA does not believe, under the authority of 23 U.S.C. 144,
that it can prohibit States from using qualified private consultants to
perform inspection duties. The FHWA can set the inspection standards
that States must meet in inspecting bridges, but it cannot, without
statutory direction, dictate to the States who they must hire to
perform inspections.
11. The PECG commented that the bridge inspection organization
metric should disallow the State from further delegating bridge
inspection responsibilities to local governments.
Many local governments own and maintain the highway bridges within
their territorial limits. The State is responsible for ensuring that
these bridges are inspected in accordance with all aspects of the NBIS.
If a State DOT does not believe the local governmental entity is
complying with the NBIS regulations, then the State can address the
problem in many different ways. Each State has its own legal
relationship between it and local governmental entities.

Metrics Section Comments

12. The North Dakota and Michigan DOTs commented that the terms
used to define the four compliance levels for each metric may lead to
confusion for parties not familiar with the process. Instead they
recommend using the performance level terms.
The FHWA agrees that the four compliance levels could be
misinterpreted by parties unfamiliar with the process. The FHWA
proposed in the Notice, and has used the terms ``satisfactory,''
``actively improving,'' and ``unsatisfactory'' for clarity. The plain
language avoids confusion in expressing to parties unfamiliar with the
process if a State is complying with the metrics. Satisfactory equates
to ``compliant'' and ``substantially compliant''; Actively Improving
equates to ``Conditionally Compliant''; and Unsatisfactory equates to
``Noncompliant.''
13. The Idaho and Iowa DOTs commented that the thresholds for
compliance are not attainable.
The NBIS are required by Federal law and are defined in regulation.
The compliance thresholds identified in the 23 metrics are provisions
of the NBIS. The FHWA can change compliance requirements only through a
rulemaking process, which is not the intent of this Notice. In
accordance with MAP-21, FHWA will update the NBIS. At that time,
consideration will be given to recommendations for changes to the
regulation as part of the rulemaking process.
14. The Iowa DOT commented that many of the issues found are
National Bridge Inventory (NBI) data entry errors and the findings of
the review should be based on findings of inspection problems.
The NBI is a very important part of the NBIS. Quality data within
the NBI is vital to ensuring that bridge safety is being appropriately
monitored, reported, and maintained. It is also necessary to maintain
quality data in order to comply with the Office of Management and
Budget guidelines established under Section 515 of the Treasury and
General Government Appropriations Act for Fiscal Year 2001 (Pub. L.
106-554 app. C; 114 Stat. 2763, 2763A-154), commonly known as the
Information Quality Act. It is FHWA's position that NBI data submitted
by the State should be correct. If it is determined that the source of
a compliance issue is data entry errors, in most cases, FHWA can make a
final determination of ``compliant'' once the data issues have been
corrected.
15. The North Dakota DOT commented that the review process
emphasizes the metrics, ``rather than increasing the effectiveness of
the program or determining how the bridge inspection program can be
improved.''
The annual review is conducted to verify compliance with the
requirements of the NBIS. Compliance with all aspects of the NBIS would
reflect a highly effective bridge inspection program. The findings of
the review are used to address areas which are not in compliance.
16. The North Dakota DOT questioned if all the metrics have equal
value and weight.
Yes. The joint FHWA/AASHTO task force discussed this point and
agreed that each part of the NBIS is important and should carry equal
value and weight.
17. The Michigan DOT commented that it is not clear when the
Minimum Assessment Level will be performed.
As identified in the Review Cycle and Schedule section of the
Notice, a minimum level review will be performed if an intermediate or
in-depth level review is not performed that year. Each metric will have
an intermediate level review performed at least once over a 5-year
cycle.
18. The Michigan DOT raised the concern that FHWA Division Bridge
staff changes will adversely affect FHWA's ability to perform the
Minimum Assessment Level.
The FHWA has internal guidance which addresses review requirements
when there is a change in staff. This guidance takes into consideration
the risk associated with the inspection program and the new FHWA
Division Bridge staff knowledge of the program.
19. The Michigan DOT is also concerned that FHWA may not have
adequate staff to implement this oversight process in a timely manner.
The FHWA has made this process a priority and has hired additional
staff to help implement the process. The FHWA notes that the review
process is now in its third year.
20. The Iowa and Michigan DOTs questioned how FHWA will assess
element level data for National Highway System (NHS) in the metrics.
The current FHWA review process does not assess element level
inspection data. Once FHWA begins collecting element level data for
bridges on the NHS, the assessment process will be revisited to
determine the criteria to be used to ensure that quality element data
is being reported. We anticipate that the assessment will be very
similar to that currently used in the assessment of other data
currently reported in the NBI.
21. The South Dakota DOT commented that Metric 1 states under
Compliance Levels that a State will be in noncompliance with this
metric if it is out of compliance with any of the other 22 metrics.
South Dakota's interpretation of Metric 1 is incorrect. The
commentary

[[Page 27036]]

for Metric 1 states that ``[i]f other metrics are noncompliant, a
careful evaluation should be done to determine whether or not those
noncompliance issues stem from the organizational structure itself. If
so, then a finding of substantial compliance or noncompliance would be
appropriate.''
22. The Michigan DOT commented that FHWA should consider combining
the Metrics 2-5 which assess qualifications into to one metric--
Qualifications of Personnel.
These metrics are separate to maintain clear and consistent
alignment with the NBIS regulation. Each position in a State DOT's
bridge inspection organization is important, and Metrics 2-5 are
measuring differing qualifications.
23. A commenter from Aason Engineering did not agree with what he
interpreted to be a ``new bridge inspection frequency criteria stating
that a bridge must be inspected no more than 30 days past the required
frequency time.'' He claimed that ``[i]n years past, [he] had the
flexibility to inspect bridges at any time during May through
October.''
This comment validates one of the reasons the metric-based review
process was implemented. The inspection interval criteria defined in
the NBIS have not changed. The 2004 NBIS Final Rule clarified that
there is not a 30-day grace period for the inspection interval. Prior
to FHWA's implementation of this review process, this was not uniformly
understood or applied. In general, the concerns that commenters made
for inspection schedule flexibility will be considered in the NBIS
regulation update required by MAP-21.
24. The Virginia DOT commented that using the National Bridge
Inventory (NBI) condition code for a substructure rating of poor or
worse to place the bridges in the high risk requirement for underwater
inspections is overly broad. The high-risk designation should be based
on the condition of the substructure below water.
If a bridge substructure has a low condition rating, the FHWA
cannot determine from the NBI data if the defect is above or below
water. Therefore, to err on the side of safety, these bridges will be
included in the higher risk category.
25. The Michigan DOT commented that Metric 12 should not require an
additional check of team leader qualifications. Since the State
provides a list of team leaders, Metric 12 should be a brief check to
verify that a team leader was performing the inspection.
The FHWA agrees with this comment. It is the intent that Metric 12
only verify that a team leader is on site. Some States do not maintain
a list of active team leaders, in which case it must be confirmed that
the person responsible for the inspection is a qualified team leader.
26. The South Dakota DOT recommended deleting the requirement to
load rate existing box culverts and pipes.
The NBIS require that all bridges, including bridge-length box
culverts and pipes, be load rated in accordance with the AASHTO Manual
for Bridge Evaluation. A change to Metric 13--Load Rating, does not
change the underlying regulation requirement or the AASHTO Manual for
Bridge Evaluation. The FHWA encourages South Dakota DOT to address such
technical recommendations to the AASHTO Subcommittee on Bridges and
Structures. If the Subcommittee changed this point in the Manual, the
FHWA may consider changing the requirement in the NBIS.
27. The Iowa DOT commented on Metric 15--Bridge Files, that when
the State has delegated inspection responsibility to local agencies,
the State's only option to address deficiencies is to notify local
agencies of documentation requirements. The Iowa DOT recommended that
notification constitute State compliance because it believes that
``[t]here is no reasonable plan of action that can be taken to
guarantee all bridge files will have all the significant documents.''
The FHWA disagrees that merely informing the owner of the
documentation requirements adequately addresses noncompliance issues.
Additional steps are needed to verify that corrective actions taken
have effectively addressed the noncompliance issues. In the example
provided, it is not the FHWA's expectation that the State would check
every bridge file. There are several possible solutions to this, one of
which could be statistical sampling.
28. The North Dakota DOT commented that ``[t]here are instances
where grading performance and determining compliance is based on past
performance and situations that existed prior to the metrics being
developed. For many older county bridges, the information required is
not, and will not be available.''
The metrics are based upon the requirements of the NBIS. The NBIS
have existed for many years and have remained essentially unchanged
since 2004. The metrics did not create new requirements nor did they
modify the existing NBIS. It is understood that there may be situations
where historical information may not be available; this should only
impact Metric 15--Bridge Files. This issue is discussed in the
commentary for Metric 15.
29. The Iowa DOT commented that Metric 17--Inspection Procedures,
Underwater, should differentiate ``between bridges that require divers
and ones that don't. For bridges that require divers, the inspection
should be reviewed to make sure the divers had inspection training, the
inspection was performed within the frequency required, and the final
report contains adequate information.''
The NBIS definition of ``underwater inspection'' includes
clarification that an underwater inspection generally requires diving,
and cannot be accomplished visually by wading or probing. Metric 17
assesses only those bridges which require an underwater inspection
under that definition. Inspector qualifications and inspection
reporting are reviewed in other metrics.
30. The Iowa DOT commented that the tolerances for Metric 22 should
be made available to the States.
The FHWA agrees with this comment. The field review form used to
assess Metric 22 provides the associated tolerance for each item. This
form has been added to the Docket and is available from FHWA Division
offices.
31. The Iowa DOT requested the specific data checks FHWA uses for
the annual NBI submittal.
The FHWA agrees with the comment and made data checks available at
http://www.fhwa.dot.gov/bridge/nbi.cfm. The FHWA strongly recommends
that States check their data by running the data check programs made
available to them at the above mentioned Web site or identified in the
annual call for NBI data.
32. The North Dakota DOT commented that the `` `one size fits all'
philosophy is not appropriate. A county bridge in North Dakota with
less than 200 ADT is treated the same as a bridge located in another
part of the country with over 50,000 ADT.''
The FHWA disagrees. When it comes to safety of the traveling
public, the timely and proper inspection of all bridges is important.
33. The North Dakota DOT commented that ``[r]isk does not seem to
be factored into the importance of each metric. The inspection
frequency for an 80 year old bridge is the same as a bridge that was
just constructed.''
The NBIS establish the minimum bridge inspection standards for the
Nation and the thresholds are identified in the regulations, as
reflected in the 23 metrics. This comment will be considered when FHWA,
in accordance

[[Page 27037]]

with MAP-21, updates the NBIS to consider a risk-based approach to
determine the frequency of bridge inspections.
34. The Michigan DOT commented that ``[f]or duration and completion
dates of [Plans of Corrective Action (PCAs)], the code is silent on
implementation timeliness. The Michigan DOT believes the FHWA should
include language and/or guidance that the States are to work with their
local FHWA Division on implementing the appropriate timeframes on a
case by case basis.''
As stated in the Findings of Noncompliance section of the Notice,
the PCA must contain the duration and completion dates for each action
and be approved by FHWA. As each issue of noncompliance is unique, it
is FHWA's expectation that the Division will coordinate with the State
on the review and approval of those dates. For national consistency, a
Bridge Safety Engineer from FHWA Headquarters office will review each
PCA.
35. California and Iowa suggested removing the requirement for a
written reply for a finding of substantial compliance.
The FHWA disagrees with this suggestion. If a State is not in full
compliance with the regulation, there should be documentation of a plan
to achieve full compliance.
36. California suggested that FHWA submit a signed, written report
to the State for findings of noncompliance or conditional compliance by
December 31.
The FHWA agrees that there should be a signed document for metrics
determined to be noncompliant or in conditional compliance. The process
has been changed to incorporate this comment.

Penalty Provision Comments

37. The Missouri DOT suggested that the August 1 date triggering
noncompliance penalties and the August 1 date for submitting an
analysis of actions needed to correct the noncompliance should not be
the same date.
States are notified by December 31 of a noncompliance issue and
have 45 days to address areas of noncompliance or develop a PCA as
defined in 23 U.S.C. 144(h)(4)(B). The penalty provision applies when a
State remains noncompliant from the December 31 notification until
August 1. During this 7-month period FHWA will continue to work with
the State to resolve the issue. The State will be aware well in advance
of August 1 that an analysis is needed. In addition, by having the
analysis completed by August 1, there will be time to dedicate
apportioned funds as of October 1, as required by the statute.
38. The Iowa DOT commented on the penalty for noncompliance. In its
view, ``[s]hifting funds away from needed bridge repair,
rehabilitation, or replacement projects seems to be counter intuitive
to providing safe bridges for the traveling public. A Non-Compliance
issue may have less impact on the safety of the traveling public than
cancelled or delayed projects.''
The FHWA recognizes the challenges associated with improving bridge
conditions through repair, rehabilitation, and replacement while also
maintaining the overall safety for the traveling public. Priority must
be given to keeping existing bridges in safe operational condition,
which is assured through regular inspections in accordance with the
NBIS. When noncompliance occurs, the decision as to the source of funds
to be used to address the issue of noncompliance belongs to the State.
As with any shifting of funding for unforeseen issues, States should
have a process for assessing and amending the State Transportation
Improvement Program and, if needed, the appropriate Transportation
Improvement Plan so that critical safety needs do not go unaddressed.
39. The Iowa DOT commented that the ``FHWA would be better served
if they provided assistance to a State or Local agency that has a
compliance issue, rather than imposing penalties. Providing assistance
to correct problems would be looked upon more favorably than simply
imposing penalties.''
The FHWA has a longstanding history of working with our State
partners to resolve issues of noncompliance. The penalty provision
established by Congress only applies when a State remains noncompliant
from the December 31 notification until August 1, without developing an
acceptable PCA. The FHWA will work aggressively with any State that
faces noncompliance in order to exhaust all options for avoiding the
penalty.
40. The Iowa DOT commented that the analysis plan identified in the
penalty for noncompliance should be approved by the FHWA Division
office.
The FHWA agrees with this comment. Division offices will be
responsible for approving the analysis. This responsibility has been
clarified in the description of the process within the Notice.
41. The Iowa DOT questioned if the funding is split 80 percent
Federal/20 percent State or 100 percent Federal for the noncompliance
penalty.
Under 23 U.S.C. 144(h)(5)(A), the FHWA will require noncompliant
States to dedicate their apportioned National Highway Performance
Program (NHPP) and Surface Transportation Program (STP) funds to
correct the noncompliance. The Federal share payable on account of any
project or activity carried out under the NHPP and STP is specified
under 23 U.S.C. 120. In general, the Federal share payable on account
of any project on the Interstate System is 90 percent and for other
projects is 80 percent. In the case of a State that does not develop
and implement a State asset management plan consistent with 23 U.S.C.
119(e), the Federal share payable on account of any project carried out
under the NHPP is 65 percent.
42. The California DOT and a private citizen questioned if there is
a process for States to appeal the compliance determination.
Appeals of compliance determinations should be directed to the
local FHWA Division Office.

Review Process Overview

Each FHWA Division Office annually assesses State compliance with
23 individual metrics that are directly aligned with the existing NBIS
regulation. The risk-based assessment process followed during this
annual assessment utilizes objective data and employs statistical
sampling of data and inspection records. The FHWA Division Office uses
the established criteria contained in the Metrics for the Oversight of
the National Bridge Inspection Program for assessing compliance for
each metric. The State is notified by FHWA of any metric which has a
finding of noncompliance no later than December 31. In accordance with
the requirements of 23 U.S.C. 144(h)(4)(B) as established by MAP-21,
within 45 days of the FHWA notification of noncompliance, the State
will correct the noncompliance or submit to the FHWA a PCA which
outlines how noncompliant findings will be corrected. The FHWA will
have 45 days to review, comment, and, if appropriate, accept the PCA.
The FHWA will make final compliance determinations for each of the 23
metrics no later than March 31. If a State remains in noncompliance for
any of the 23 metrics on August 1 following a final determination of
noncompliance, FHWA will implement a penalty provision which requires
the State to dedicate funds to correct the noncompliance, in accordance
with 23 U.S.C. 144(h)(5). This annual process allows FHWA to assess
whether each State's bridge inspection program

[[Page 27038]]

complies with the NBIS and to implement any required penalties for
metrics which remain in noncompliance in a nationally consistent
manner.

Metrics

The metrics, or specific measures required by the current NBIS
regulations, are examined to assess each State's compliance with the
NBIS. The following is a list of the 23 metrics which are existing
requirements of the NBIS and have been established to provide an
assessment of compliance with the NBIS. The complete metrics document
entitled Metrics for the Oversight of the National Bridge Inspection
Program (April 1, 2013) is available on the docket (docket number FHWA-
2013-0021) through the Federal eRulemaking portal at: http://www.regulations.gov. Each metric is equally important; noncompliance by
the State DOT with any metric can result in FHWA assessing a penalty.

Metric 1: Bridge inspection organization: 23 CFR 650.307
Metric 2: Qualifications of personnel--Program manager: 23 CFR
650.309(a) & 650.313(g)
Metric 3: Qualifications of personnel--Team leader(s): 23 CFR
650.309(a) & 650.313(g)
Metric 4: Qualifications of personnel--Load rating engineer:
23 CFR 650.309(c)
Metric 5: Qualifications of personnel--Underwater bridge
inspection diver: 23 CFR 650.309(d)
Metric 6: Routine inspection frequency--Lower risk bridges: 23
CFR 650.311(a)
Metric 7: Routine inspection frequency--Higher risk bridges:
23 CFR 650.311(a)
Metric 8: Underwater inspection frequency--Lower risk bridges:
23 CFR 650.311(b)
Metric 9: Underwater inspection frequency--Higher risk
bridges: 23 CFR 650.311(b)
Metric 10: Inspection frequency--Fracture critical member: 23
CFR 650.311(c)
Metric 11: Inspection frequency--Frequency criteria: 23 CFR
650.311(a)(2), (b)(2), (c)(2), (d)
Metric 12: Inspection procedures--Quality inspections: 23 CFR
650.313(a) & (b)
Metric 13: Inspection procedures--Load rating: 23 CFR
650.313(c)
Metric 14: Inspection procedures--Post or restrict: 23 CFR
650.313(c)
Metric 15: Inspection procedures--Bridge files: 23 CFR
650.313(d)
Metric 16: Inspection procedures--Fracture critical members:
23 CFR 650.313(e)(1)
Metric 17: Inspection procedures--Underwater: 23 CFR
650.313(e) & (e)(1)
Metric 18: Inspection procedures--Scour critical bridges: 23
CFR 650.313(e)
Metric 19: Inspection procedures--Complex bridges: 23 CFR
650.313(f)
Metric 20: Inspection procedures--Quality Control/Quality
Assessment: 23 CFR 650.313(g)
Metric 21: Inspection procedures--Critical findings: 23 CFR
650.313(h)
Metric 22: Inventory--Prepare and maintain: 23 CFR 650.315(a)
Metric 23: Inventory--Timely updating of data: 23 CFR
650.315(a), (b), (c) & (d)

Each metric consists of four parts: (1) NBIS component to be
reviewed; (2) evaluation criteria; (3) compliance levels; and (4)
assessment levels.

(1) NBIS Component To Be Reviewed

This section of the metric identifies the relevant provisions of
the NBIS and focuses on a key inspection area for which compliance will
be assessed.

(2) Evaluation Criteria

This section of the metric identifies the criteria for evaluation
of compliance.

(3) Compliance Levels

Each of the 23 metrics is annually assessed by FHWA and assigned
one of four compliance levels--compliant, substantially compliant,
noncompliant, or conditionally compliant--based upon specific
thresholds or measures for each compliance level for each metric. These
specific thresholds or measures are contained in the NBIS Oversight
Program document entitled Metrics for the Oversight of the National
Bridge Inspection Program (April 1, 2013). The degrees of compliance
are described as follows:
Compliant--Adhering to the NBIS regulation.
Substantially Compliant--Adhering to the NBIS regulation with minor
deficiencies, as set forth in the Metrics for the Oversight of the
National Bridge Inspection Program (April 1, 2013). These deficiencies
do not adversely affect the overall effectiveness of the program and
are isolated in nature. Documented deficiencies are provided to the
State with the expectation that they will be corrected within 12 months
or less, unless the deficiencies are related to issues that would most
efficiently be corrected during the next inspection. An Improvement
Plan describing the expected corrective action is required. Metrics
which are determined to be substantially compliant will not invoke the
penalty for noncompliance.
Noncompliant--Not adhering to the NBIS regulation. In general,
failing to meet one or more of the substantial compliance criteria for
a metric. Identified deficiencies may adversely affect the overall
effectiveness of the program. Failure to adhere to an approved PCA is
also considered noncompliance. Metrics which remain as noncompliant
will invoke the penalty for noncompliance.
Conditionally Compliant--Taking corrective action in conformance
with an FHWA-approved PCA to achieve compliance with the NBIS.
Deficiencies, if not corrected, may adversely affect the overall
effectiveness of the program. Metrics which are determined to be
conditionally compliant will not invoke the penalty for noncompliance.
The following definitions apply to actions taken to address
findings of substantial compliance and noncompliance, respectively:
Improvement Plan (IP)--A written response by the State which
documents the agreement for corrective actions to address deficiencies
identified in a substantial compliance determination. The completion
timeframe for such agreements is limited to 12 months or less, unless
the deficiencies are related to issues that would most efficiently be
corrected during the next inspection cycle.
Plan of Corrective Action (PCA)--A documented actions agreement
prepared and submitted by the State and approved by FHWA describing the
process and timelines to correct noncompliant NBIS metrics. The term
``corrective action plan'' in MAP-21 is interchangeable with PCA. An
agreed-upon PCA for a noncompliant metric removes the possibility of a
penalty based upon that metric.
For each of the 23 metrics, FHWA will assign the following
performance levels:
Satisfactory--Adhering to the intent of the NBIS regulation. There
may be minor deficiencies, but these deficiencies do not adversely
affect the overall effectiveness of the program and are isolated in
nature.
Actively Improving--A PCA is in place to improve the areas
identified as not meeting the requirements of the NBIS.
Unsatisfactory--Not adhering to the NBIS. Deficiencies exist that
may adversely affect the overall effectiveness of the inspection
program.

(4) Assessment Levels

The assessment levels represent a key part of the data-driven,
risk-based

[[Page 27039]]

approach to compliance review that FHWA has implemented. The FHWA will
conduct the yearly compliance review for each metric at one of three
assessment levels. Assessment levels define the scope of FHWA's review
necessary to make a compliance determination for a specific metric.
There are three assessment levels:
Minimum Assessment Level--A review based on information from past
assessments and the FHWA Division Bridge Engineer's knowledge of the
current practice as it relates to the metric. For some metrics, a
minimum level assessment is enhanced with interviews and/or data
review. The minimum assessment can range from a very brief
consideration of the metric with respect to any changes in the program
since the last assessment to a more detailed look at summary data from
bridge inventories, pertinent lists, and a review of historical trends.
Intermediate Assessment Level--Verifying the minimum level
assessment through random sampling of inspection records, analysis of
bridge inventories, site visits, interviews, and documentation. The
intermediate level assessment involves Tier 1 random sampling using a
margin of error (MOE) of 15 percent and a level of confidence (LOC) of
80 percent to review bridge records or as directed in the individual
metrics. A Tier 2 random sampling, utilizing a MOE of 10 percent and
LOC of 80 percent, is used when the results of the Tier 1 sample are
inconclusive.
In-depth Assessment Level--Supplementing the intermediate
assessment with larger random sample sizes, more interviews, and
research of records and documentation, and/or history. The in-depth
assessment involves a Tier 1 random sampling using an MOE of 15 percent
and LOC of 90 percent or as directed in the individual metrics. A Tier
2 random sampling, utilizing an MOE of 10 percent and LOC of 90
percent, is used when the results of the Tier 1 sample are
inconclusive.
Random samples are selected from the population identified for the
specific metric.
A copy of the metrics document entitled Metrics for the Oversight
of the National Bridge Inspection Program (April 1, 2013) is available
on the docket (docket number FHWA-2013-0021) through the Federal
eRulemaking portal at: http://www.regulations.gov.

Annual Review Schedule and 5 Year Review Cycle

In accordance with 23 U.S.C. 144(h)(4), the FHWA will annually
review State compliance with the NBIS.

Annual Review Schedule

Each FHWA Division Office will conduct an annual assessment of the
State's compliance with the NBIS. Key dates are as follows:
(a) April 1--The FHWA begins annual NBIS assessment.
(b) By December 31--The FHWA makes a compliance assessment,
referred to as the ``December 31 Compliance Determination'' for each
metric and issues a signed report to each State detailing issues of
noncompliance.
(c) March 31--Final compliance determination completed for all
metrics. The final determination is based on the resolution of
compliance issues or development of an acceptable PCA following the
December 31 notification.
The proposed schedule may need to be modified on a case-by-case
basis when unique and unexpected extenuating circumstances arise. The
FHWA will address this issue on a case-by-case basis when it arises.

5-Year Review Cycle

The FHWA will take the following actions as part of the 5-year
review cycle:
(a) Assess each of the 23 metrics annually at the minimum level if
an intermediate or in-depth level is not to be performed that year.
(b) Assess each of the 23 metrics at the intermediate or in-depth
level at least once within the 5-year cycle.
(c) Adopt a 5-year plan which identifies the review strategy and
schedule based upon the consideration of risk. The assessment level for
each metric will vary at the discretion of the FHWA Division Office
from minimum, intermediate, or in-depth, or as directed at the national
level. The FHWA will update the 5-year plan as necessary based on the
risks identified during the annual metric assessments.
(d) In year five, examine the 5-year review history to identify
trends in each metric area, to identify any gaps in the program or
review process, and to develop a review strategy for the next 5 years.
(e) At the completion of a PCA, assess the metric at the
intermediate level or in-depth level.
The determination of either an intermediate or in-depth level
review after completion of a PCA is at the discretion of the FHWA
Division Office.

Findings of Noncompliance

The FHWA Division Office will issue a signed report to the State
detailing the issues of noncompliance for a metric determined to be
noncompliant by December 31 of the review period. The report will list
the regulatory code and title for each noncompliance deficiency,
identify the deficiency, and specify that the deficiency has to be
corrected, or a PCA submitted, within 45 calendar days of notification.
The State will have 45 days to either correct the issue of
noncompliance or submit a PCA to FHWA as required by 23 U.S.C.
144(h)(4)(B). The PCA should, at a minimum, include the following
information:
(a) Identify area of noncompliance;
(b) Identify the date FHWA notified State of noncompliance;
(c) Identify actions to be taken to address areas of noncompliance;
(d) Estimate duration and completion date for each action;
(e) Define frequency and reporting format which will be used to
monitor; progress towards successful completion of the PCA; and
(f) Identify what the State considers to be successful completion
of PCA.
After the State submits a PCA, FHWA will have 45 calendar days to
review and if appropriate, accept the submitted PCA. Upon FHWA
acceptance of the PCA, the final compliance determination for the
associated metric will be conditionally compliant. If the PCA is not
submitted to FHWA in 45 calendar days after notification of
noncompliance, or the PCA does not address the issues of noncompliance,
the final compliance determination for the associated metric will be
noncompliant.
Where an issue of noncompliance with the NBIS is identified outside
the review procedures above, FHWA will notify the State of the
noncompliance and will work with the State to establish a timeframe in
which the issue of noncompliance must be addressed or an acceptable PCA
submitted.

Penalty for Noncompliance

The FHWA will continue to encourage the State to address the
noncompliance issues following the final noncompliance determination
and expiration of the period allowed to develop a PCA. If a State
remains in noncompliance for any of the 23 metrics on August 1
following a final compliance determination of noncompliance, FHWA will
require the State to dedicate funds to correct the noncompliance, in
accordance with 23 U.S.C. 144(h)(5). The State must submit an analysis
of actions needed to correct the noncompliance to the FHWA Division
Office no later than August 1. The analysis must identify the actions
to be taken, estimate a duration and completion date for each action,
and itemize an amount of funds to be

[[Page 27040]]

directed for each action. The analysis plan will require the approval
of the FHWA Division Office. The FHWA will require on October 1 of that
year, and each year thereafter as may be necessary, the State to
dedicate funds apportioned to the State under sections 23 U.S.C. 119
and 23 U.S.C. 133 to correct the issue of noncompliance.

Authority: 23 U.S.C. 144 and 315; 23 CFR 1.32, and 650 Subpart
C; 49 CFR 1.85.

Issued on: May 5, 2014.
Gregory G. Nadeau,
Deputy Administrator, Federal Highway Administration.
[FR Doc. 2014-10800 Filed 5-9-14; 8:45 am]
BILLING CODE 4910-22-P