FHWA and Caltrans - Joint Stewardship and Oversight Agreement > Agency and Responsibilities

AGENCY ROLES AND RESPONSIBILITIES

Overview

In an effort to enhance the continuing partnership between the FHWA and Caltrans, this Agreement focuses on the individual and joint agency roles and responsibilities. More specific details about Caltrans and the FHWA’s roles, responsibilities, and performance measures for each program area are described in the respective program overviews and summarized in Appendix A: Program Responsibility List; Appendix B: Project Responsibilities List; and, Appendix C: List of Measures.

Roles and Responsibilities

Federal Highway Administration

The FHWA will maintain overall responsibility for the FAHP within the parameters of 23 USC 106, except for the assignment of environmental responsibilities under SAFETEA-LU Sections 6004 and 6005 (23 USC 326 and 327).¹ In addition, the FHWA is ultimately responsible for ensuring financial integrity and compliance with applicable federal laws and regulations. The FHWA remains accountable to the public and Congress for the FAHP and ensuring that it is delivered in an efficient and effective manner regardless of approval authority or responsibility delegated to Caltrans. The FHWA maintains authority for the actions and approvals in the following categories:

• Addition and modification of access points on the Interstate System;
• Civil Rights Act of 1964;
• Mandatory design exceptions on the Interstate (relating to the 13 controlling criteria);
• Environmental approvals not specifically assigned under Sections 6004 and 6005 of SAFETEA-LU;
• Federal air quality conformity determinations required by the Clean Air Act;
• Progress payments and final vouchers;
• Hardship acquisition and protective buying;
• Project agreements and modifications to project agreements;
• Obligation of funds;
• Planning and programming pursuant to 23 USC 134 and 135;
• Special Experimental Projects (SEP-14 and SEP-15);
• Use of Interstate airspace for non-highway related purposes;
• Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (UA), as amended; and,
• Waivers to Buy America requirements.

Projects for which defined approval authority is delegated to Caltrans are not subject to further approvals by the FHWA, unless it is jointly agreed. However, the FHWA reserves the right to perform reviews of all programs and projects at any time, while maintaining a focus on efficient project delivery. The reviews may include projects or programs with unique features, high-risk elements, unusual circumstances, and those included in process reviews.

California Department of Transportation

Caltrans, through the specific delegation allowed under federal law, has authority for monitoring, reviewing, and/or approving activities that are eligible for FAHP funds. Caltrans, in conformance with 23 USC 106, accepts responsibilities for the delegated duties in this Agreement. Additionally, per SAFETEA-LU Sections 6004 and 6005, Caltrans has been assigned the FHWA’s authority and responsibility for compliance with the National Environmental Policy Act (NEPA) and other federal environmental laws. Specific authorities, responsibilities and exceptions are defined in the Memoranda of Understanding (MOUs) for these delegations and assignments.

Caltrans is responsible for administering the FAHP in a manner that ensures efficient and effective use of the FAHP funds and compliance with federal laws and regulations. Caltrans will administer the FAHP by being responsible for:

• Duties delegated to it pursuant to 23 USC 106;
• Ensuring and verifying, as needed, compliance with all federal laws, regulations and requirements;
• Identifying areas that are either non-compliant with federal requirements or have a high risk for becoming non-compliant (through a structured assessment process);
• Taking appropriate action when non-compliant findings are made;
• Implementing safeguards and/or improvements to reduce the risk of non-compliance;
• Continually assessing the FAHP through routine involvement;
• Conducting reviews and offering conflict resolution processes where necessary;
• Reviewing and approving activities under this Agreement related to federal-aid funds usage; and,
• Ensuring compliance with the executed MOUs assigning federal responsibilities and supporting all required reviews and audits of activities under SAFETEA-LU Sections 6004 and 6005.

Caltrans will exercise its FHWA delegated authority by further delegating federal authority to local agencies to the greatest extent possible for those federal-aid projects that are located off of the State Highway System, as outlined in the Caltrans Local Assistance Procedures Manual. Caltrans is responsible and accountable to the FHWA for locally administered federal-aid projects including delegated activities. In addition, Caltrans is responsible to the FHWA for assuring that local agencies have adequate project delivery systems in place and sufficient accounting controls to properly manage FAHP funds. For those projects advertised, awarded, and administered by the local agencies on the State Highway System, Caltrans will ensure that state standards and project development procedures are followed.

Caltrans will provide the necessary review and approval to assure that locally administered federal-aid projects, as delegated by Caltrans, comply with federal requirements. Caltrans will achieve this by:

• Providing local agencies with accurate federal-aid project development procedures and program guidelines;
• Conducting prioritized Process Reviews, Maintenance Reviews, Plans, Specifications and Estimates (PS&E) Reviews, Field Reviews including project verification on all projects by Caltrans on or after final inspection by local agency, and special audits;
• Providing continuous federal-aid project training;
• Participating in formal program audits;
• Implementing quality assurance measures over those quality control activities delegated to local agencies; and,
• Holding statewide meetings and conferences, such as the City-County-State-Federal Co-Op Committee meeting, to receive local agency and Caltrans district feedback.

Joint Roles and Responsibilities

Caltrans and the FHWA 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 Program Responsibilities (Appendix A) and the Project Responsibilities (Appendix B) lists. The overall health of the FAHP in California is a joint responsibility that requires both agencies to be proactive in monitoring and improving the program, as well as taking necessary corrective actions when needed. Caltrans and the FHWA will work together to:

• Enable decisions that will achieve broad national and state transportation goals;
• Manage financial resources to assure full and efficient use of federal apportionments, allocations and obligation authority;
• Implement joint business processes to assure timely reviews, approvals, and decisions to efficiently deliver products;
• Review and maintain existing Caltrans manuals and other guidance to assure project compliance with federal applicable laws, regulations, directives, and standards; and,

Work together and with other stakeholders, as appropriate, to develop innovative methods for efficient delivery of the FAHP.

Previous | Table of Contents | Next

For feedback on this website, contact our webmaster.