FHWA and Caltrans - Joint Stewardship and Oversight Agreement > Individual Program Overviews

INDIVIDUAL PROGRAM OVERVIEWS

Air Quality

The purpose of the air quality program is to ensure that, in areas that are classified as maintenance or non-attainment of the nation’s air quality standards, transportation planning and proposed projects are consistent with the air quality goals of the Clean Air Act. This is accomplished through the transportation conformity process. The air quality program has three primary components: regional conformity, project-level conformity and the Congestion Mitigation and Air Quality (CMAQ) funding program.

Bridges, Other Structures, Hydraulics and Geotechnical

The purpose of the bridge program is to assure that publicly accessible vehicle bridges are in good repair and safe for the traveling public. This is accomplished through two key components of the federal-aid highway bridge program: the National Bridge Inspection Program, which encompasses the National Bridge Inspection Standards (NBIS) and the National Bridge Inventory. The NBIS covers the minimum requirements for inspection programs, including such items as frequency of inspection and minimum qualifications for bridge inspection personnel. The Highway Bridge Program (HBP), formerly known as the Highway Bridge Replacement and Rehabilitation Program, is used to improve the conditions of the nation's existing bridges, including preventive maintenance to extend the useful life of bridges. The bridge program also encourages and promotes the use of a systematic process, such as a Bridge Management System (BMS), in determining cost-effective preventive maintenance activities to extend the service life of existing bridges.

In regard to the design and construction of all transportation projects, the purpose of the areas listed in this subpart is to assure that work done on the federal-aid system or funded through the FAHP is designed and constructed in accordance with approved standards. The hydraulics and geotechnical areas support bridge and roadway design, construction, and maintenance activities.

Civil Rights

The purpose of the civil rights program is to protect the rights of those employed in, benefiting from, or affected by the FHWA or the programs, policies and activities of its recipients, sub-recipients, or contractors. The seven major program areas include: Equal Employment Opportunity (EEO) Contractor Compliance; State Department of Transportation (DOT) Internal EEO; Disadvantaged Business Enterprise (DBE); Title VI of the Civil Rights Act; On-the-Job Training Supportive Services (OJT/SS); Disadvantaged Business Enterprise Supportive Services (DBE/SS); and Americans with Disabilities Act (ADA)/Section 504 of the Rehabilitation Act.

Construction

The purpose of the construction program is to facilitate the FHWA’s evaluation of the State’s use of federal-aid funds to assure effective quality controls and to verify that the project is completed in accordance with the plans, specifications, special provisions, and contracting requirements. In addition, the program focuses on the efficient and effective delivery of projects related to time, budget, and quality. For the purpose of construction program management, the term construction pertains primarily to all post-award activities (such as, but not limited to: Quality Control and Improvement, Contract Claims, Change Orders, Payment to Contractor). The main contract administration components include: Advertising, Competitive Bidding, Letting and Award of Contract, Project Construction Authorization, Quality of Materials (materials sampling and testing), Buy America Provisions, and Labor and Davis-Bacon.

Design

The purpose of the design program is to provide program level and project level federal oversight of design. The design phase is a part of the project development process that spans a period of time that begins with feasibility studies and ends with the completion of PS&E, resulting in a product that is buildable and biddable. The major components at the program level are the development and implementation of state design policies (such as Applications of Design Standards, Value Engineering, Interstate access control, context sensitive solutions) and standards (such as the Highway Design Manual, roundabouts, ADA, and all standard specifications) and assistance in the consistent application of those policies and standards on projects from inception through construction. The major components at the project level are review and approval of Interstate access requests and design exceptions, detailed design reviews and approval of PS&Es.

Emergency Relief

The purpose of the emergency relief (ER) program is to provide funds to the state for the repair or reconstruction of federal-aid highways that have sustained serious damage resulting from natural disasters or catastrophic failures from an external cause. Natural disasters such as floods, hurricanes, earthquakes, tornadoes, tsunamis, severe storms or landslides all potentially qualify under the program. Catastrophic failure refers to the sudden and complete failure of a major element or segment of the highway system that causes a disastrous impact on transportation. Regulations currently define eligible disasters as those where the cost of damage would exceed $700,000 in program assistance per year.

Environment

The purpose of the environmental program is to provide for a single, unified, environmental review process that results in effective and sound transportation decisions as called for by the NEPA of 1969. The key components of the environmental review process include the assessment of the social, economic, and environmental impacts of a proposed action or project; an analysis of a range of reasonable alternatives to the proposed project, based on the applicant’s defined purpose and need for the project; the consideration of appropriate impact mitigation; interagency participation, coordination and consultation; public involvement including opportunities to participate and comment; and documentation and disclosure.

For projects using FAHP funds or requiring federal action, the FHWA is the lead federal agency. However, the FHWA and Caltrans have entered into two MOUs that assign many of the project-level environmental review process authorities and responsibilities to Caltrans. Caltrans and the FHWA California Division agreed to the assignment of responsibilities to Caltrans for categorical exclusions (CEs) under Section 6004 of SAFETEA-LU. This assignment is described in the Section 6004 MOU dated June 2, 2007. Caltrans has also taken full advantage of the NEPA assignment allowed by Section 6005 of SAFETEA-LU. The Section 6005 MOU dated June 29, 2007, details the scope of this assignment of responsibilities to Caltrans. Pursuant to the assignment of responsibilities under Sections 6004 and 6005, Caltrans serves as the lead federal agency. However, the FHWA remains the lead federal agency for specific projects and certain categories of projects listed in the Section 6005 MOU as being exempt from this assignment.

Finance

The purpose of the finance program is to provide financial oversight for the FAHP to ensure the most effective and efficient use of FAHP funds; ensure that funds are utilized consistent with transportation and appropriations laws, regulations and policies; and provide reasonable assurance of accurate and reliable financial statements. The program also includes innovative financing tools, such as Grant Anticipation Revenue Vehicle (GARVEE), Advanced Construction, Flexible Match, Tapered Match, Transportation Infrastructure Finance & Innovation Act (TIFIA) loans, SEP-14 and SEP-15.

Intelligent Transportation Systems

The purpose of the ITS program is to provide project oversight and approval responsibilities for ITS software/hardware system developments that affect regional integration. Only the technical review and approval of the systems engineering products is affected for these types of projects. All ITS projects require a Systems Engineering Review Form. A Systems Engineering Management Plan is also required for all ITS system developments before system design begins.

Additionally, the Transportation Equity Act for the 21 st Century (TEA-21) ITS Integration earmark projects are still a large part of the ITS program in California, even though SAFETEA-LU did not continue this TEA-21 program. These earmark projects require pre-award activities to ensure that the projects being pursued meet program purposes, non-federal match, and other requirements.

Planning

The purpose of the planning program is to ensure that Caltrans, the metropolitan planning organizations (MPOs) and public transportation operators carry out a continuing, comprehensive and coordinated transportation planning and programming process in the state and metropolitan areas. Program components include the Overall Work Program (OWP) prepared annually by each MPO; the Statewide Long Range Transportation Plan developed by Caltrans; the Statewide Transportation Improvement Program (STIP) that contains all projects to be funded by the FHWA and the Federal Transit Administration (FTA) for a four-year period; the MPO long-range transportation plans and Transportation Improvement Programs (TIPs); and, the federal certification reviews of Transportation Management Areas (TMAs). The planning program is administered jointly with the FTA in accordance with the MOU between the two federal agencies dated July 15, 2004.

Research, Development and Technology

The purpose of the federal-aid research program, also known as the State Planning and Research (SPR) Part 2, is to solve problems identified by the states. State Departments of Transportation are encouraged to develop, establish, and implement research, development and technology transfer programs that anticipate and address transportation concerns before they become critical problems.

Right-Of-Way

The purpose of the right-of-way (ROW) program is to provide for the acquisition of property, relocation of people, replacement housing, business relocation and accommodation, and adjustment and relocation of utilities in accordance with federal laws and regulations. The program consists of four core elements: 1) acquisition and appraisal, 2) relocation assistance, 3) program management, and 4) Highway Beautification Act implementation. From planning through fencing, signing and lighting, ROW functions play critical roles.

Safety

The purpose of the safety program is to assure the development, implementation and effectiveness of the California Strategic Highway Safety Plan (SHSP) through continual interaction with safety stakeholders. The SHSP is a statewide-coordinated safety plan that provides a comprehensive framework for data-driven decision making with specific goals and objectives for reducing highway fatalities and serious injuries on all public roads. The SHSP integrates the 4Es—engineering, education, enforcement and emergency medical services. It strategically establishes statewide goals, objectives, and key emphasis areas developed in consultation with federal, state, local and private sector safety stakeholders.

Traffic Operations

The purpose of traffic operations is to provide critical engineering analysis of vehicle and pedestrian movements that are needed to produce sound project level decisions affecting safe and efficient highway operations. It is also an area that contributes heavily to the operations and physical maintenance of highway facilities by providing techniques, procedures, management practices/systems and inventory tools. Other key areas within traffic operations are Traffic Incident Management Systems, Work Zone Traffic Control, Freeway and Arterial Management Operations, and Traffic Control and Standards.

Transportation System Preservation

The purposes of the system preservation program are to manage and improve the condition of the pavement and bridges and to ensure the structural integrity and cost effectiveness of the transportation system. The program consists of five major program areas: Pavement Management System (PMS); BMS; rehabilitation monitoring program; Highway Performance Monitoring System (HPMS); and, asset management.

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