U.S. Department of Transportation
Federal Highway Administration
1200 New Jersey Avenue, SE
Washington, DC 20590
202-366-4000
Arizona Division
FHWA and ADOT will work collaboratively to manage the FAHP, and review, monitor, and approve activities as necessary in the designated areas of responsibility to comply with applicable laws, regulations, directives, and standards as defined in the FHWA Project Responsibility Chart (Table 2).
Table 2 - Project Responsibility Chart
| FHWA APPROVAL AUTHORITY | ||||
|---|---|---|---|---|
| Full Oversight Projects (N, X, S and F) |
Delegated Projects (A, T and D) |
|||
| FHWA to Receive * | FHWA to Approve | FHWA to Receive * | FHWA to Approve | |
| Environment | ||||
| Programmatic Categorical Exclusions (CE) [23 CFR 771.117] | Yes | Yes | ||
| Non-Programmatic CEs [23 CFR 771.117] | Yes | Yes | Yes | Yes |
| Environmental Assessments (Draft, FONSI) [23 CFR 771.119] | Yes | Yes | Yes | Yes |
| Environmental Impact Statements (NOI, Draft, Final, ROD) [23 CFR 771.123] | Yes | Yes | Yes | Yes |
| Re-evaluations (Programmatic CEs) [23 CFR 771.129] | Yes | Yes | ||
| Re-evaluations (Non-Programmatic CEs, EAs, EISs) [23 CFR 771.129] | Yes | Yes | Yes | Yes |
| Section 4(f) Determinations [23 CFR 774] | Yes | Yes | Yes | Yes |
| 180-day Statue of Limitations [SAFETEA-LU 6002] | Yes | Yes | Yes | Yes |
| Section 106 Actions [36 CFR 800] | Yes | Yes | Yes | Yes |
| Section 7 Consultation | Yes | Yes | Yes | Yes |
| Design | ||||
| Initial Project Assessment | Yes | Yes | ||
| Project Assessment Summary of Comments | Yes | Yes | ||
| Final Project Assessment | Yes | Yes | ||
| Corridor Studies/Feasibility Studies/Alternative Analysis | Yes | Yes | ||
| Design Concept Report Draft and Final (All NHS projects and for all projects with EIS or EA not on NHS) | Yes | Yes | ||
| Major Design Criteria | Yes | Yes | ||
| Final Geotechnical Reports | Yes | |||
| Final Materials Memo | Yes | Yes-NHS Only | ||
| Final Drainage Report | Yes | |||
| Structures selection (Initial and Final) | Yes | |||
| Design Exception Approval | Yes | Yes | Yes-NHS Only | Yes-NHS Only |
| Interstate Change of Access Report | Yes | Yes | Yes | Yes |
| 15%, 30%,60%, 95% Plans | Yes | |||
| Utility Clearance Letter | Yes | |||
| Right of Way Clearance Letter | Yes | |||
| Local Agency Request to Self Bid and/or Administer a project | Yes | Yes | Yes | Yes |
| Material and Product Public Interest Finding [23 CFR 635.411] | Yes | Yes | Yes | |
| Department Furnished Material Public Interest Finding [23 CFR 635.407] | Yes | Yes | Yes | |
| Use of Department Forces Public Interest Finding [23 CFR 635.205] | Yes | Yes | Yes | Yes |
| ITS Project - Systems Engineering and Regional Architecture compliance [23 CFR 940.11] | Yes | Yes | ||
| Major Projects | ||||
| Cost Estimate Review [23 USC 106(h)] | Yes | Yes | ||
| Financial Plan [23 USC 106 (h)] - Major project > $100 Million | Yes | Yes | ||
| Financial Plan [23 USC 106 (h)] - Major project ≥ $500 Million | Yes | Yes | ||
| Annual Update to Financial Plan - Major Project ≥ $500 Million | Yes | Yes | ||
| Project Management Plan [23 USC 106 (h)] | Yes | Yes | ||
| Right of Way | ||||
| Disposal of Federally Funded Right-of-Way [23 CFR 710.409] | Yes | Yes | Yes | Yes |
| Interstate Control of Access [23 CFR 710.403] | Yes | Yes | Yes | Yes |
| Request for Credits [23 CFR 710.507] | Yes | Yes | Yes | Yes |
| Direct Federal Acquisition Request [23 CFR 710.603] | Yes | Yes | Yes | Yes |
| Federal Land Transfer Request [23 CFR 710.601] | Yes | Yes | Yes | Yes |
| ROW Relinquishment Request [23 CFR 620 (b), 23 CFR 710.401, 23 CFR 710.403] | Yes | Yes | Yes | Yes |
| Withholding of Payments [23 CFR 710.203(c), 23 CFR 1.36] | Yes | Yes | Yes | Yes |
| Hardship Acquisition and Protective Buying [23 CFR 710.503] | Yes | Yes | Yes | Yes |
| Airspace Leasing on the Interstate [23 CFR 710.405] | Yes | Yes | Yes | Yes |
| PS&E Development through Award | ||||
| Buy America Waiver [23 CFR 635.410] | Yes | Yes | Yes | Yes |
| Innovative Contracting Requirements [SEP 14&15] | Yes | Yes | Yes | Yes |
| PS&E (plans, specifications and estimates) [23 CFR 630.201] | Yes | Yes | ||
| Shortened advertising periods [23 CFR 635.112] | Yes | Yes | ||
| Addendums during advertising periods [23 CFR 635.112] | Yes | Yes | ||
| Authorization of funds (PE, Construction, Procurement, ROW, Utilities) [23 CFR 630.106] | Yes | Yes | Yes | Yes (Note 1) |
| Concurrence in Award [23 CFR 635.114] | Yes | Yes | ||
| Bid Rejections [23 CFR 635.114] | Yes | Yes | Yes | Yes |
| Executed Contract (Copy to FHWA) | Yes | Yes | ||
| Final Plans (Copy to FHWA) | Yes | |||
| Construction | ||||
| Partner Conference Invitation (Notification) | Yes | |||
| Prior Approval of Contract Modifications-Change Orders, Force Account [23 CFR 635.120] | Yes | Yes | ||
| Contract Modifications - Change Orders, Force Accounts [23 CFR 635.120] | Yes | Yes | ||
| Letter of Agreements [23 CFR 635.120] | Yes | |||
| Contract Time Extensions [23 CFR 635.121] | Yes | Yes | ||
| Major Changes Orders (Over $ 1 million or 20% of project cost or major change of scope) | Yes | Yes | Yes | Yes |
| Termination of contracts [23 CFR 635.125] | Yes | Yes | Yes | Yes |
| Notify FHWA of Final Project Inspections | Yes | |||
| Materials Certification | Yes | Yes | ||
| Final ADOT Acceptance Letter from District Construction to Contractor [23 USC 114a] | Yes | Yes | ||
| Emergency Relief (ER) | ||||
| Authorization for emergency repair at specific locations within 180 days | Yes | Yes | Yes | Yes |
| Authorization for any permanent work which would follow normal federal-aid procedures | Yes | Yes | Yes | Yes |
| Financial Management | ||||
| Authorization of funds (PE, Construction, Procurement, ROW, Utilities) [23 CFR 630.106] | Yes | Yes | Yes | Yes (Note 1) |
| Determination of Eligibility for Safety Projects | Yes | Yes | Yes | Yes |
| Determination of Eligibility (variances) on Bridge Projects | Yes | Yes | Yes | Yes |
| Modified Project Agreement | Yes | Yes | Yes | Yes |
| Final Acceptance Memo from ADOT Finance to FHWA | Yes | Yes | ||
| Final Voucher | Yes | Yes | Yes | Yes |
* FHWA will provide comments to ADOT as appropriate
Note 1: Indicate the following on the authorization cover letter: Right-of-Way, Utility, Envioronmental Clearance dates (inlcuding details on type of clearance) and whether a PIF or Design Exception was needed. If a design exception was approved please provide approval date. Additionaly, if a local agency requested to self administer the project provide date of FHWA's concurrence.
Specific performance indicators will be used to track the health of the FAHP. These performance indicators will be developed cooperatively between the FHWA Arizona Division and ADOT. The performance indicators will be developed, reassessed, and/or revised as necessary on an annual basis. These indicators will be used to track performance trends, assess the overall delivery of the FAHP, evaluate compliance with Federal-aid highway procedures, identify opportunities, and implement processes to bring about improvement to the FAHP in Arizona. Current performance indicators can be found in Appendix A. Each year the indicators will be reviewed and evaluated to determine if the performance indicators are still the best representation of program health and enable true monitoring of the program, or if they need to be redefined.
While most requests by ADOT for FHWA approval result in a positive response within the anticipated turn-around time, there are occasions when the agencies will disagree. This section of the Agreement provides a template for escalating issues that have reached an impasse at the operations level.[1]
It is expected that nearly all issues should be resolved between FHWA area engineers, or program specialists, and the ADOT representative who submitted the request. Since time is nearly always an important factor, escalation to the next level should be accomplished by the respective units, as soon as it has been determined that the issue cannot be resolved at the level at which a question or issue is at an impasse.
| ADOT | FHWA |
|---|---|
| Resident Engineer / Project Manager | Area Engineer / Program Specialist |
| District Engineer / Assistant State Engineer | Area Engineer / Program Specialist |
| Deputy State Engineer | Senior Engineering Manager |
| State Engineer | Assistant Division Administrator |
Should none of the above negotiations result in a satisfactory resolution, the FHWA Division Administrator and the ADOT Director will determine the final outcome. All decisions reached must be in compliance with all federal laws and regulations.
1 This template represents the ADOT ITD structure. Equivalent positions may be used to represent the appropriate ADOT Division Structure..
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