APPENDIX B: PROJECT RESPONSIBILITIES LIST

Overview

The Project Responsibility List identifies the responsible agency for project level actions. It is organized by columns listed as High Profile and Delegated Projects. Within each column, activities are listed and the appropriate Approval Authority (FHWA or Caltrans) is identified. The FHWA will maintain approval authority for activities that cannot be delegated and activities that may pose a risk to individual projects. The activities with highlighted cells or the * symbol under the High Profile projects column, which show FHWA, may be delegated to Caltrans if the particular activity is of low risk to the project or the FAHP.

Project Responsibility List
APPROVAL ACTION	Approval Authority
	High Profile Projects	Delegated Projects NHS/Non-NHS
ADMINISTRATION
Financial Management
All Vouchers (progress payments and final)	FHWA	FHWA
Federal-aid Project Agreement and Modification—Preliminary Engineering through Construction [23 CFR 630.110]	FHWA	FHWA
Funding Eligibility Determinations	FHWA*	Caltrans (4)
Obligate funds	FHWA	FHWA
Section 1.9 Waiver [23 CFR Section 1.9]	FHWA	FHWA
PROJECT DEVELOPMENT
ROW
Accept ROW certificate 3 as a condition of PS&E approval [23 CFR 635.309(c)(3)]	FHWA	FHWA
Accept ROW certificates 1 and 2 as a condition of PS&E approval [23 CFR 635.309(c)(1)&(2)]	FHWA*	Caltrans
Air space agreements / Non-highway use and occupancy not on the Interstate [23 CFR 710.405]	FHWA*	Caltrans
Air space agreements / Non-highway use and occupancy on the Interstate [23 CFR 710.405]	FHWA	FHWA
Control of Access [23 CFR 620.203(h)]	FHWA	FHWA
Functional Replacement [23 CFR 710.509]	FHWA	FHWA
Junkyard Control [23 CFR 751.25]	FHWA	FHWA
Outdoor Advertising Sign Removal Projects [23 CFR 750.307]	FHWA	FHWA
Protective Buying and Hardship Acquisition [23 CFR 710.307, 503]	FHWA	FHWA
Public Interest Finding (PIF) - Disposal of federally funded ROW [23 CFR 710.403, 409]	FHWA	FHWA
Railroad Agreement [23 CFR 646.216 (3)(d)]	FHWA*	Caltrans
Relinquishment of a Highway Facility for continued highway purposes [23 CFR 620.201, 202, 203]	FHWA	FHWA
Request for Credits for Early Acquisition of ROW [23 CFR 710.501]	FHWA	FHWA
Request for Direct Federal Acquisition [23 CFR 710.603]	FHWA	FHWA
Request for Federal Land Transfer [23 CFR 710.601]	FHWA	FHWA
Request for Waivers [49 CFR 24.204(b)]	FHWA	FHWA
Utility Agreement [23 CFR 645.113, 119]	Caltrans	Caltrans
Utility Relocation [23 CFR 645 subparts A and B]	FHWA	Caltrans
Withholding of Payments [23 CFR 710.203(c), 23 CFR 1.36]	FHWA	FHWA
Environment
Categorical Exclusion (CE) [23 CFR771.117 (c) and (d): SAFETEA-LU 6004; 23 CFR 771.117 all other CEs: SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Certification of Public Hearing [23 CFR 771.111(h)(2)(vi)]	Caltrans	Caltrans
Draft Environmental Impact Statement (DEIS) [23 CFR 771.123; 23 CFR 771.123 (e); SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Environmental Assessment (EA) Availability to the Public [23 CFR 771.1199(c); SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Final Environmental Impact Statement (FEIS) [23 CFR 771.125; 23 CFR 771.125(c); SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
FEIS Legal Sufficiency [23 CFR 771.125(b); SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Finding of No Significant Impact [23 CFR 771.121; SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Noise Abatement [23 CFR 772]	Caltrans	Caltrans
Project-Level Transportation Conformity for CE processed under SAFETEA-LU 6004 MOU [40 CFR 93]	Caltrans (1)	Caltrans (1)
Project-Level Transportation Conformity for CE, EA and Environmental Impact Statement (EIS) processed under SAFETEA-LU 6005 MOU [40 CFR 93]	FHWA	FHWA
Record of Decision [23 CFR 771.127; SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Re-evaluation on Approved Environmental Documents [23 CFR 771.129; SAFETEA-LU 6004 & 6005]	Caltrans (1)	Caltrans (1)
Section 4(f) De Minimis Determination [SAFETEA-LU 6004, 6005 & 6009, 49 USC 303]	Caltrans (1)	Caltrans (1)
Section 4(f) Individual [23 CFR 771.135; SAFETEA-LU 6004 & 6005]	Caltrans (1)	Caltrans (1)
Section 4(f) Programmatic [23 CFR 771.135; SAFETEA-LU 6004 & 6005]	Caltrans (1)	Caltrans (1)
Supplemental EIS [23 CFR 771.130; SAFETEA-LU 6005]	Caltrans (1)	Caltrans (1)
Preliminary Design
Consultant Selection [23CFR 172.5]	FHWA	Caltrans (2)
Financial Plans for projects from $100M to $499M [SAFETEA-LU 1904]	Caltrans	Caltrans
Major ITS Project Development [23 CFR 940.11]	FHWA	FHWA
Major Projects and TIFIA Loan Projects - Project Management Plan and Financial Plan Approval [SAFETEA-LU 1904]	FHWA	FHWA
Minor ITS Project Development [23 CFR 940.11]	Caltrans	Caltrans
New/Modified Interstate Access Determination of Engineering and Operations Acceptability [Feb 1998 Federal Register, Vol#28 - (minor access changes delegated to Caltrans, see letter dated September 15, 1994]	FHWA (Caltrans)	FHWA (Caltrans) / N/A
PIF – Airspace Clearance FAA [CFR 620.104]	FHWA	FHWA / N/A
PIF - Use of Negotiated Consultant Contracts [23 CFR 172.5(3)]	FHWA*	Caltrans
Detailed Design
Approve preliminary plans for major and unusual structures	FHWA	Caltrans
Design Exceptions, non-Interstate (all other projects) [23 CFR 625.3]	Caltrans	Caltrans/ Local (3)
Design Exceptions on the Interstate (13 controlling Criteria) [23 CFR 625.3]	FHWA	FHWA/NA
Experimental Features (Pilot and Demo) aka CEWP, design/sequencing	FHWA	FHWA
New/Modified Interstate Access Control Change - Final Approval [Feb 1998 Federal Register, Vol#28]	FHWA	FHWA
PIF – Statewide and project specific use of proprietary products and processes [23 CFR 635.411]. If statewide, FHWA approval.	FHWA*	Caltrans
PIF and Cost Justification Letter - Statewide and Project Specific - Concur in use of publicly furnished materials and expenses [23 CFR 635.407]. If statewide, FHWA approval.	FHWA*	Caltrans
ROW encroachments - Use and occupancy of acquired ROW [23 CFR 710.401, HDM 504.8]	FHWA	FHWA
Value Engineering [23 CFR 627, SAFETEA-LU 1904]	Caltrans	Caltrans/ Local (3)
PS&E and Advertising
Authorize advertising for bids [23 CFR 635.112]	FHWA*	Caltrans
Authorize utility or railroad force account work [23 CFR 645.113 & 646.216]	FHWA*	Caltrans
Bid Analysis (Engineer Estimates)	FHWA*	Caltrans (2)
Consultant Agreements [23 CFR 172.7 - 172.9]	FHWA*	Caltrans (2)
Exempt bridge from Coast Guard permit requirements [23 CFR 650.805]	FHWA	FHWA
Hiring of consultant to serve in a "management" role [23 CFR 172.9(d)]	FHWA*	Caltrans
Noise - Reasonable and Feasible Determination for PS&E approval [23 CFR 772.11(g)]	Caltrans (1)	Caltrans
PIF - Advertising period less than three weeks [23 CFR 635.112]	FHWA*	Caltrans
PIF - Use of contracting method other than competitive bidding [23 CFR 635.104 & 204]	FHWA*	Caltrans
PIF - Use of Force Account [23 CFR 635.204, 205]	FHWA*	Caltrans
PIF - Use of Mandatory Borrow/Disposal Sites [23 CFR 635.407]	FHWA*	Caltrans
PIF - Use of Publicly Owned Equipment [23 CFR 635.106]	FHWA*	Caltrans
PS&E [23 CFR 630.205, 23 USC 106]	FHWA*	Caltrans (2)
Supplemental Work Item Justification	FHWA	Caltrans
Utility and railroad agreements [23 CFR 645.113 & 646.216]	FHWA*	Caltrans (2)
Warranties [23 CFR 635.413]	FHWA	FHWA
Construction
Accept Materials Certification [23 CFR 637.207]	FHWA*	Caltrans (2)
Addenda during advertising period [23 CFR 635.112(c)]	FHWA*	Caltrans (2)
Buy America Waiver [23 CFR 635.410, ISTEA Sec. 1041(a) & 1048(a), 41 CFR 10 (a-d)] Submit to HQ if >$50K.	FHWA	FHWA
Concur in award of contract [23 CFR 635.114]	FHWA*	Caltrans (2)
Concur in rejection of all bids [23 CFR 635.114]	FHWA*	Caltrans (2)
Concur in settlement of contract claims [23 CFR 635.124; C&M Manual, Chapter 2]	FHWA*	Caltrans (2)
Concur in termination of contracts [23 CFR 635.125]	FHWA*	Caltrans (2)
Construction engineering by local agency [23 CFR 635.105]	FHWA*	Caltrans
Contract time extensions [23 CFR 635.120 & 121]	FHWA*	Caltrans (2)
Final inspection/acceptance of completed work [23 USC 114(a)]	FHWA*	Caltrans (2)
Incentive/Disincentive Amount Justification [23 CFR 635.127]	FHWA*	Caltrans (2)
Innovative Contracting Requirements [SEP 14 & 15]	FHWA	FHWA
Liquidated Damages (rates subject to FHWA approval) [23 CFR 635.127]	FHWA*	Caltrans
Major changes and extra work [23 CFR 635.120]	FHWA*	Caltrans
Minor changes and extra work [23 CFR 635.120]	FHWA*	Caltrans (2)
Subcontracting Requirements [23 CFR 635.116(b)]	FHWA*	Caltrans (2)
Research
Experimental Features [FAPG Ch. 6, Sect G 6042.4]	FHWA	FHWA
Emergency Relief
ER Damage Assessments and Reports on the SHS [23 CFR 668, 23 USC 120 and 125]	FHWA	FHWA
ER Damage Assessments and Reports off the SHS [23 CFR 668; 23 USC 120 and 125; ER Q&A, Question #5 Revised DAF and #8 Coordination with Other Agencies]	FHWA/ Caltrans	Caltrans
(1) Caltrans has assumed responsibility for these items under the Section 6004 and 6005 MOUs. The FHWA will reassume responsibility should any of the applicable agreements be terminated or expire. Additionally, the FHWA remains responsible for several projects that have been excluded from the assumption of NEPA responsibilities by Caltrans. (2) Activity is delegated to the local agency. (3) Caltrans approval for On-Federal Aid system, local agency approval for Off-Federal Aid system. (4) Subject to the FHWA's Random Sampling Verification Process.

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