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Stewardship and Oversight Agreement for Arizona

Project Level Oversight

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.

Performance Indicators

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.

Dispute Resolution Procedure

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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Page last modified on November 17, 2014.
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