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Project Approval and Oversight Agreement

A Partnership between the Federal Highway Administration Alabama Division and the Alabama Department of Transportation

The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991, the Transportation Equity Act for the 21st Century (TEA-21) of 1998 and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005 allow States to assume certain responsibilities for FHWA in the design, construction, award and inspection of certain Federal-aid projects.

Section 106 of Title 23, Project Approval and Oversight, requires an agreement between the Secretary of Transportation and the State relating to the extent to which the State assumes FHWA responsibilities for projects under Title 23 for project development (plans, specifications and estimates), contract awards, and inspections/final acceptance of Federal-aid highway projects.

The Project Approval and Oversight Agreement supersedes the previous agreement between the Alabama Department of Transportation (ALDOT) and the Federal Highway Administration, Alabama Division (FHWA). This agreement will become effective upon the signing by FHWA Alabama Division Administrator and ALDOT Director and remain in effect until both parties mutually agree to revise. FHWA and ALDOT agree to review the agreement on an annual basis.

Federal-aid Highway Program (FAHP) Requirements and Responsibilities

Table of Contents

  1. PURPOSE
  2. METHODS OF OVERSIGHT
  3. PROGRAM AND PROJECT RESPONSIBILITIES
  4. CONTROL DOCUMENTS
  5. DISPUTE RESOLUTION
  6. GLOSSARY
  7. APPENDIX A: Project and Program Responsibilities

Project Approval and Oversight Agreement a Partnership between FHWA and ALDOT

I. PURPOSE

Congress has charged the Federal Highway Administration (FHWA) with administering the Federal-Aid Highway Program (FAHP) under Title 23, and other associated laws. This Project Approval and Oversight Agreement (herein referred to as "Agreement") was developed to meet the requirements of Section 106 (c) (3) of Title 23 United States Code (USC) – Agreement. –"The Secretary and the State shall enter into an agreement relating to the extent to which the State assumes the responsibilities of the Secretary under this subsection."

The purpose of this agreement is to formalize the delegated responsibilities and agreements to address how the FAHP will be administered by the Alabama Department of Transportation (ALDOT). Stewardship is defined as the efficient and effective management of the public funds that have been entrusted to the FHWA; while oversight is the act of ensuring that the Federal highway program is delivered consistent with laws, regulations and policies. This agreement provides a road map to effectively and efficiently execute the Federal-aid program relating to programs/project delivery to include financial integrity.

II. METHODS OF OVERSIGHT

In monitoring the core functions/programs, various techniques may be utilized to assist in determining which reviews are to be conducted including risk assessments, and pre-determined schedules for regular reviews of specific programs or components. All evaluations are intended to evaluate procedures and policies used in delivering the FAHP, along with identifying deficiencies and opportunities for improvement. The FHWA Division Office may employ a risk management framework in consultation with the ALDOT to evaluate program areas to balance risk with consideration of staffing resources and funding. It is expected that the Division Office will coordinate with ALDOT at least annually in preparation for the annual FHWA Division Performance Plan and Risk Assessment. The following techniques may be used to provide oversight of the FAHP:

Program Assessments - This technique may take many forms including joint risk assessments, self-assessments and program assessments, such as the Financial Integrity Review and Evaluation (FIRE) program. All of these tools are based on the common concepts of identifying strengths, weaknesses and opportunities and the identification and sharing of "best" practices to continually improve the program.

Program Reviews - These reviews are a thorough analysis of key program components and the processes employed by the ALDOT in managing the program. The reviews are conducted to 1)ensure compliance with Federal requirements; 2) identify opportunities for greater efficiencies and improvements to the program; and/or 3) identify exemplary practices.

Program Management - This includes the daily stewardship of Federal-aid programs, including project and program oversight and program assistance. Program management ensures Federal program requirements are met while proactively seeking opportunities to add value in the course of routine program approval actions, participating on joint task forces, joint committees and joint quality improvement teams, and aiding and assisting the State and other transportation stakeholders in answering questions on program issues. The FHWA Division Office manages programs by completing required program level activities, promoting new program initiatives and concepts and continually assessing the program through routine involvement in program activities.

III. PROGRAM AND PROJECT RESPONSIBILITIES

This Agreement does not modify the FHWA's non-Title 23 program oversight and project approval responsibilities for such activities as required under the Clean Air Act; the National Environmental Policy Act of 1969 (NEPA) and other related environmental laws and statutes; the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970; and the Civil Rights Act of 1964 and related statutes.

In accordance with 23 USC 106, FHWA and ALDOT mutually agree that ALDOT assumes FHWA project approvals primarily in design and construction for those projects meeting the scope for a delegated project. Please see Appendix A: Project and Program Responsibilities for a detailed listing of the various project activities for the core functions: construction, design, bridge, civil rights, environment, finance, planning, right-of-way, safety and ITS.

Full Oversight Projects – Projects that require FHWA to review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of Federal-aid projects on project by project basis. All Interstate projects and all New Construction and 4R projects on the non-Interstate NHS with Federal funding participation will have full FHWA oversight responsibility. In addition, all Appalachian Highway Development projects will be full oversight. Appendix A, Tables 1-3, defines four specific Project Categories based on the scope of work included in a project. This Table is to be utilized to assist in determining oversight responsibility and clarification of Full Oversight and Delegated Projects.

Delegated Projects – Projects exempt from FHWA review and approval pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of Federal-aid projects on a project-by-project basis. ALDOT assumes all FHWA responsibility for these activities. Generally, this will include preventive maintenance projects, 3R-type projects on the NHS (excluding interstate) and non-NHS.

For further refinement of the project categories for Full Oversight and Delegated Projects, see Appendix A, Tables 1-3.

FHWA is not precluded from reviewing or investigating any phase of the Federal-aid program including control documents on any Federal-aid projects, especially those that contain unique features or those with unusual circumstances. Furthermore, this Agreement does not preclude ALDOT requesting FHWA involvement in projects. This Agreement does not change any of the responsibilities of the FHWA regarding the requirements of the NEPA, Title VI of the Civil Rights Act, Fair Housing Act and the Uniform Relocation Assistance and Land Acquisition Policies Act.

Interstate Projects – Non-Federal Funds – Design exceptions and interchange modifications must be approved by the Division Administrator regardless of funding.

ALDOT Responsibilities

ALDOT's approval and oversight responsibilities on delegated project approvals are listed in Appendix A, Project and Program Responsibilities, and shall also, as a minimum, comply with the following:

a. All Title 23 and certain non-Title 23, USC Federal-aid program requirements, such as metropolitan and statewide planning, procurement of engineering and design-related service contracts, participation by disadvantaged business enterprises, prevailing wage rates, and Buy America, etc.

b. For NHS projects, assure that right-of-way approval, utility approval, environmental permit issuance, railroad approval and related activities, design approval, design exceptions, PS&E approval, concurrence in award, and construction-related activities are performed in accordance with federally-approved policies, practices and standards, and in accordance with all requirements of Title 23, USC.

c. For non-NHS projects, assure that right-of-way approval, utility approval, environmental permit issuance, railroad approval and related activities, design approval, design exceptions, PS&E approval, concurrence in award, and construction-related activities are performed in accordance with State policies, practices and standards, and in accordance with all requirements of Title 23, USC.

d. For projects administered by agencies other than ALDOT, provide sufficient oversight and certify projects are developed and administered to comply with Federal-aid requirements.

FHWA Responsibilities

FHWA retains approval authority for all projects and programs such as:

  1. Statewide and metropolitan transportation planning specified in 23 USC 134 and 135
  2. Federal air quality conformity determinations required by the Clean Air Act
  3. Federal-aid project agreement
  4. Waivers to Buy America requirements
  5. Special Experimental Project 14/ Special Experimental Project 15
  6. Civil Rights program approvals
  7. NEPA approvals
  8. Addition or modification of access points on the Interstate system
  9. Use of Interstate airspace for non-highway related purposes
  10. Hardship acquisition and protective buying
  11. Disposal of federally purchased Right-of-Way on the Interstate
  12. Final vouchers and weekly bills from ALDOT For a more detailed listing, see Appendix A, Project and Program Responsibilities.

IV. CONTROL DOCUMENTS

In assuming certain programs/project-level roles and responsibilities under 23 USC 106 and other applicable laws and regulations, ALDOT agrees to comply with 23 CFR and related Federal regulations and policies. The FHWA retains responsibility for all aspects of Federal-aid programs, and this Agreement does not preclude FHWA's access to and review of all records related to the FAHP or projects at any time. Control documents establish project development and project implementation procedures and are incorporated into project contract documents. The following ALDOT control documents are to be generally adhered to in the development and administration of Federal-aid projects. These documents shall be reviewed and approved by FHWA as required by law.

  • ALDOT Testing Manual
  • ALDOT Procedure for Selection of Architect and/or Engineering Services
  • ALDOT Utilities Manual
  • ALDOT Standard Specifications for Highway Construction
  • ALDOT General Application Special Provision
  • ALDOT Standard Highway Drawings
  • ALDOT Special Drawings
  • ALDOT 3-R Standards
  • ALDOT Bridge Bureau Structures Design and Detail Manual
  • ALDOT Right-of-Way Administrative Manual
  • ALDOT Right-of-Way Appraisal Manual
  • ALDOT Right-of-Way Relocation Manual
  • ALDOT Right-of-Way Negotiation Manual
  • ALDOT Right-of-Way Property Management Manual
  • ALDOT Title VI Plan
  • ALDOT Affirmative Action Plan
  • ALDOT DBE Program

The following documents provide guidance in the development of federal-aid projects.

  • ALDOT Construction Manual
  • ALDOT policies related to Federal-aid project delivery

Laws, Regulations, and Policies:

ALDOT will follow all applicable Federal-aid laws and regulations, including the following, as well as, any other applicable laws and regulations.

  • Title 23 U.S.C. – Highways
  • 23 CFR – Code of Federal Regulations Highways
  • 49 CFR – Code of Federal Regulations Transportation
  • NCHRP 350 Report
  • National Environmental Policy Act of 1969 (NEPA)
  • Clean Air Act
  • Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
  • Civil Rights Act of 1964
  • FHWA Order 4560.1A Financial Integrity & Evaluation (FIRE) Program
  • Federal-Aid Policy Guide (FAPG)
  • A Policy on Geometric Design of Highways and Streets – AASHTO (Green Book)
  • Standard Specifications for Highway Bridges – AASHTO
  • LRFD Bridge Design Specifications – AASHTO
  • A Policy on Design Standards – Interstate System – AASHTO
  • Manual on Uniform Traffic Control Devices (MUTCD)

V. DISPUTE RESOLUTION

The purpose of this Agreement is to establish the extent to which ALDOT assumes the responsibilities of FHWA under Title 23 as provided by law. FHWA provides oversight and guidance necessary to assure compliance with Federal rules and regulations.

It is recognized, however, that there may be times when disputes occur over the interpretation of this agreement and/or Federal law and regulations. While most requests for Federal approval and most FHWA requests to ALDOT result in a positive response, there are occasions when agreement cannot rapidly be reached by both parties. It is expected that nearly all issues should be resolved at the lowest working levels between FHWA and ALDOT staff where the issue originated. The FHWA Alabama Division and ALDOT will work as partners to resolve disputes so as to deliver the Federal-aid Highway Program in Alabama in a timely manner. In resolving any dispute, United States Code (USC) and the Code of Federal Regulations (CFR) shall take precedence over any statements, terms, or conditions in this agreement. Should negotiations to resolve the issue not be reached at the various levels within FHWA and ALDOT, the FHWA Division Administrator and the ALDOT Director will determine the final outcome.

VI. GLOSSARY

Each of the identified core functions are described in the following sections of the Agreement. The Agreement specifically addresses how the delegated authorities will be carried out by ALDOT and FHWA and the required documented assurance that ALDOT and the Division are properly carrying out their respective responsibilities.

Full Oversight Projects – Federal-aid projects that require FHWA to review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of projects on a project-by-project basis.

Delegated Projects – Projects that do not require FHWA to review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of Federal-aid projects on a project-by-project basis. ALDOT assumes all FHWA responsibility for these activities.

Intelligent Transportation System (ITS) – Means electronics, communications, or information processing, used singly or in combination to improve the efficiency or safety of a surface transportation system. ITS encompasses a broad range of wireless and wire line communications-based information and electronics technologies. When integrated into the transportation system's infrastructure and in vehicles themselves, these technologies relieve congestion, improve safety, and enhance American productivity. A full definition of ITS is defined per 23 CFR Part 940.3.

ITS Project – Means any project that in whole or in part funds the acquisition of technologies or systems of technologies that provide or significantly contribute to the provision of one or more ITS user services as defined in the National ITS Architecture.

Major ITS Project – Any ITS project that implements part of a regional ITS initiative that is multi-jurisdictional, multimodal, or otherwise affects regional integration of ITS systems.

Unusual Bridges and Structures – New or complex designs with unique operational or design features, exceptionally long spans, design procedures that depart from currently recognized acceptable practices.

Major Projects – Projects with an estimated total cost greater than $500 million or projects approaching $500 million with a high level of interest by the public, Congress, or the USDOT.

Major Change – A major change is any change which will significantly affect the cost of the project to the Federal Government, or alter the termini, character or scope of work. On all projects with FHWA full oversight, in accordance with 23 CFR 635.120, all major changes in the plans and contract provisions shall have a formal written FHWA approval in advance of their effective dates. A major change is any change which will significantly affect the cost of the project to the Federal Government (change in contract cost of more than $100,000), or alter the termini, character or scope of work. However, when emergency or unusual conditions justify, the Division Administrator may give tentative advance approval orally to such changes or extra work and ratify such approval with formal approval as soon therein as practicable. Formal approval means approval in writing or the electronic transmission of such approval.

Non-Major Plan Change – On all projects with FHWA full oversight, non-major changes shall have a formal (written) FHWA approval, but approval may be given retroactively.

3R – Resurfacing, restoration, and rehabilitation (RRR) projects, other than those on the Interstate System and other freeways, shall be construction in accordance with standards which preserve and extend the service life of highways and enhance highway safety. 3R work includes placement of additional surface material and/or other work necessary to return an existing roadway, including shoulders, bridges, the roadside, and appurtenances to a condition of structural or functional adequacy.

New Construction, 3R and 4R – See Appendix A-1, Tables 1- 3 for detailed definitions by project category. For example, the Table defines new construction, 4R- and 3R-type work and preventive maintenance activities.

VII. APPENDIX A

Project Approval and Oversight Agreement a Partnership between The Federal Highway Administration Alabama Division and The Alabama Department of Transportation

Project and Program Responsibilities

The following tables identify various project activities for the core functions. The project activities identify the approved action and the agency responsible. This document is not all encompassing, therefore, reference documents should be reviewed or contact the FHWA Division Office and ALDOT for further information.

Each of the identified core functions are described in the following sections of the Agreement. The Agreement specifically addresses how the delegated authorities will be carried out by ALDOT and FHWA and the required documented assurance that ALDOT and the Division are properly carrying out their respective responsibilities.

Table 1 – FHWA Oversight of Interstate, APD and Major ITS Projects
New Construction Full Oversight 4R Full Oversight 3R Full Oversight Preventative Maintenance Full Oversight
Table 2 – FHWA Oversight of Non-Interstate NHS and Non-NHS Projects
New Construction Full Oversight Non-Interstate NHS 4R 3R Full Oversight Delegated Preventative Maintenance Delegated Non-NHS All Projects Delegated
Table 3 – Project Category Definitions
Pavement Bridge Traffic OperationsM

Project Category New Construction 4R 3R Preventative Maintenance Thin Overlays Full Build-up on New Location Pavement Replacement (Full Depth) Structural Overlays Pavement Patching Full Bridge Replacement Superstructure Replacement Deck Overlay/ Replacement Deck Patching New Bridges Including Bridge Replacement Superstructure/Substructure Widening that adds a lane width or more Rail Replacement (incl. minor deck widening) Substructure Repair Superstructure Painting Interchange Reconstruction Traffic Operation & Safety Projects New roadways on new location or new Interchange/Access Add Through Lanes Add Auxiliary Lanes Pavement Marking & Signing For projects with a combination of 3R and 4R activities, the project will be considered 4R. ITS Projects and projects with an ITS element, refer to Appendix A-15.

CONSTRUCTION
CONSTRUCTION PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Approve cost effectiveness and emergency determinations for contracts awarded by other than competitive bidding23 CFR 635FHWAFHWAFHWA
Approve advertising period less than three weeks23 CFR 635.112(b)FHWAFHWAFHWA
Authorize advertising for bids23 CFR 630FHWAFHWAFHWA
Concur in award of contract23 CFR 635FHWAALDOTALDOT
Concurrence in Termination of Contract23 CFR 635FHWAALDOTALDOT
Approve changes and extra work (approve major changes greater than $100,000, scope of work or alter termini)23CFR 635FHWAALDOTALDOT
Concur in contract time extensions/suspensions23 CFR 635FHWAALDOTALDOT
Concur in rejection of all bids23 CFR 635FHWAALDOTALDOT
Final inspection/acceptance of completed work23 CFR 635FHWAALDOTALDOT
CONSTRUCTION PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
FHWA-45 and FHWA-4723 CFR 635.126FHWANHS over $1 million ALDOTNot Required
Project Authorization23 CFRFHWAFHWAFHWA
Buy America Requirements (Waivers)23 CFR 635.410FHWAFHWAFHWA
DESIGN
DESIGN PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Approve plans, specifications and estimates23 CFR 630FHWAALDOTALDOT
Design standards, policies, and standard specifications23 CFR 625FHWAFHWAALDOT
Approve exceptions to design standards23CFR 625FHWAALDOTALDOT
Interstate System Access Change23CFR 625FHWAFHWAN/A
Approve the use of proprietary products, processes23 CFR 635FHWAFHWAFHWA
Concur in use of publicly furnished materials (force account)23 CFR 635FHWAFHWAFHWA
Design-Build23 CFR 636FHWAFHWAFHWA
Authorize request for preliminary engineering (PE)23 CFR 630FHWAFHWAFHWA
Approve utility agreements23 CFR 645FHWAALDOTALDOT
DESIGN
DESIGN PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Approve railroad agreements23 CFR 646ALDOTALDOTALDOT
Approve use of consultants by utility companies23 CFR 645ALDOTALDOTALDOT
Approve exceptions to maximum railroad protective insurance limits23 CFR 646FHWAFHWAFHWA
DESIGN PROGRAM ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Manual for Uniform Traffic Control Devices. (MUTCD)23 CFR 655 (f)FHWAFHWAFHWA Headquarters maintains MUTCD. FHWA Alabama Division monitors statewide compliance.
Value Engineering (VE) Program23 CFR 627.5FHWAFHWAVE Analysis required for all NHS projects with and estimated cost of $25 million or more.
Value Engineering Studies23 CFR 627.5FHWAALDOTFor oversight projects, notify FHWA of upcoming VE studies and provide completed study for review.
BRIDGE
BRIDGE PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Preliminary Bridge Plans23 USC 106FHWAALDOT – except for Unusual Bridges and Structures on the InterstateALDOT
Exempt bridge from Coast Guard permit requirements23 CFR 650FHWAFHWAFHWA
BRIDGE PROGRAM ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Highway Bridge and Replacement and Rehabilitation Projects23 CFR 650FHWAFHWA1. States submit HBRRP candidate bridge projects to Division. Division reviews for eligibility of bridge and eligibility of approach work. Division approves project. 2. FHWA solicits annual updated bridge construction unit cost data (BCUC). State submits updated bridge construction costs. Division reviews to ensure submittal is complete and accurate and submits to FHWA HQ.
National Bridge Inspection Standards Compliance (NBIS)23 CFR 650FHWA/ALDOTFHWA1. States are required to inspect (or insure inspection) of all "bridges" on all public roads and maintain an inventory of these bridges. 2. States annually submit updates to the FHWA for incorporation into the National database. 3. State/Division annually reviews bridge owners for NBIS compliance. 4. Division submits annual compliance report to FHWA HQ and copies the State.
Innovative Bridge Research and Deployment Program Candidates (IBRD)SAFETEA-LU 5202FHWAFHWAFHWA HQ solicits candidates from States through Divisions. State prepares and submits candidates to Division. Divisions review to ensure submittal is complete and eligible and submits to HQ. FHWA HQ notifies States, through Divisions, of selected candidates.
CIVIL RIGHTS
CIVIL RIGHTS PROGRAM ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentAction
C=Comment A=Approve R= Review
Delegated ToRemarks
Title VI Plan Update23 CFR 200.9R & AFHWAAnnually by March 31
State Internal EEO Affirmative Action Plan (Title VII) Accomplishment and Goals23 CFR 230.311R & AFHWAAnnually by April 15
EEO Contract Compliance Review Reports (Form FHWA 86)23 CFR 230.409, 230.413R & AFHWAAs submitted by ALDOT
Uniform Report of DBE Awards or Commitments and Payments49 CFR 26 Pt. 26, App. CR for C and send to HQFHWAJune 1 (for period Oct. 1Mar.31) December 1 (for period Apr. 1-Sept. 30)
Disadvantaged Business Enterprise (DBE) Program Revisions49 CFR 26.21 (b)R & AFHWAAnnually by Dec 31 As needed or as requested by ALDOT
State's DBE Program Goals49 CFR 26.41R & AFHWAAnnually by Aug 1
Supportive Services Funds Requests23 CFR 230.113R for C and send to HQFHWAAs requested by ALDOT
CIVIL RIGHTS PROGRAM ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentAction C=Comment A=Approve R= ReviewDelegated ToRemarks
Annual Contractor Employ- ment Report (Construction Summary of Employment Data Form PR-1392)23 CFR 230.121 (a)R for C and send to HQFHWAAnnually by Sept 30
Report on Supportive Services (On-the-Job-Training), (OJT), & (DBE)23 CFR 230.121 (e)R for C and send to HQFHWAQuarterly by April15, July 15, Oct. 12 and Jan. 15
OJT Goals & Accomplishments23 CFR 230.111 (b)R for CFHWAAnnually by Jan. 31
Report on Supportive Services (OJT & DBE)23 CFR 230.111, 113R for CFHWAAnnually by Jan 31
Historically Black College & University (HBCU) ReportPresidential Executive Order 12876, dated Nov. 1, 1993Prepare report and submit to HQFHWAAnnually by Nov 15
American with Disabilities Act Review ComplaintVoluntary Agreement with Justice Dept.Conduct evaluation; correct or recommend action to HQFHWAAs requested by HQ
ADA Review ALDOT's ADA Transition Plan23 CFR 35.150Conduct evaluation; correct or recommend actionFHWAAnnually by Aug 1
ENVIRONMENT
ENVIRONMENT PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Categorical Exclusion23 CFR 771FHWAFHWAFHWA
Environmental Assessment23 CFR 771FHWAFHWAFHWA
Environmental Impact Statement23 CFR 771FHWAFHWAFHWA
Section 4 (f) Statement23 CFR 771FHWAFHWAFHWA
Section 106 Compliance36 CFR 800FHWAFHWAFHWA
FINANCE
FINANCE PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Authorize projects and record obligation of Federal-aid Highway FundsTitle 23 U.S.C. Sections 118 and 120FHWAFHWAFHWA
Review and approve the participation of Federal-aid funds in costs incurred prior to authorization23 CFR Part 1.9FHWAFHWAFHWA
Approve Federal-aid Current Billing PaymentsTitle 23 U.S.C. Section 121FHWAFHWAFHWA
Review sample of billing transactions for "improper" payments twice per year.FIRE Order 4560.IFHWAFHWAFHWA
Review selected Federal-aid financial process, annuallyFIRE Order 4560.IFHWAFHWAFHWA
Ensure that ALDOT's Financial Management System adequately accumulates costs charged to FHWA projectsTitle 23 U.S.C. Section 302FHWAFHWAFHWA
FINANCE PROGRAM ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Project Funds Management (works closely with ALDOT on quarterly reviews of inactive obligations)FIRE Order 4560.I.AALDOT/ FHWAALDOT/ FHWAALDOT/FHWA
Ensure timely reimbursement of Federal-aid Highway Funds and the transfer of Federal-aid Highway Funds.Cash Management Improvement ActFHWAFHWAFHWA
Review/approve transferability of Federal-aid Highway FundsTitle 23 U.S.C. Section 126FHWAFHWAFHWA
Approval of ALDOT's Indirect Cost Rates2 CFR Part 225FHWAFHWAN/A
Control findings and cited costs resulting from reviews, audits, and Federal-aid Ineligibility Notifications – Form 1367.FIRE Order 4560.I.AFHWAFHWAN/A
INTELLIGENT TRANSPORTATION SYSTEMS
ITS PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentAll ITS Funded Projects (Earmarks)Major ITS ProjectsOther ITS Projects (Not a major ITS project)
ITS Regional Architecture/ Architecture Changes23 CFR 940FHWAFHWAFHWA
Plans, Specifications and Estimates (Systems Engineering Analysis)23 CFR 940FHWAFHWAFHWA and ALDOT
Initial and Intermediate Inspections23 CFR 940At FHWA DiscretionAt FHWA DiscretionALDOT
Final Inspections23 CFR 940FHWAAt FHWA DiscretionALDOT
Project Acceptance23 CFR 940FHWAAt FHWA DiscretionALDOT
Process Reviews (For example; ITS projects, organizational structure, policies and procedures)At FHWA DiscretionAt FHWA DiscretionALDOT

Special Instructions for ITS Projects: An individual traffic signal is not considered an ITS project. A traffic signal system is defined as an interconnected string of traffic signals. Engineering judgment and analysis are required to determine if a traffic signal project should be considered an ITS project. The ALDOT ITS Section will meet monthly with the FHWA Division Office to review all traffic signal projects in the scoping stage that may qualify as ITS projects. ITS projects can be independent construction projects or may be part of larger construction projects that include ITS User Services.

PLANNING
PLANNING PROGRAM ACTIVITIES (Statewide)AGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Statewide 20-Year Long-Range Transportation Plan (LRTP)23 CFR 450.214FHWAALDOTFHWA reviews and comments on LRTP, but no official approval action is taken.
Statewide Transportation Improvement Program (STIP)23 CFR 450.216FHWAFHWAMinimum 4 year period; updated at least every 4 years. Annual fiscal constraint analysis.
State Planning and Research23 CFR 420.111FHWAFHWAAnnually developed work program
Highway Performance Monitoring System (HPMS) Annual Data Submittal from State and Field Verification Review and Report23 CFR 420.105 (b)FHWANoneFHWA HQ requires a Field Verification review to be conducted by the Division Offices. Based on this review, the Division Office recommends the acceptance of the HPMS data for funding apportionment and allocation purposes.
Vehicle (Truck) Size & Weight Enforcement and Certification23 CFR Part 657FHWAFHWAALDOT is responsible for enforcing vehicle size and weight laws. ALDOT is required to develop a plan for maintenance of an effective enforcement process. The ALDOT plan is approved by the FHWA and will then serve as a basis by which the annual State certification of enforcement will be judged.
PLANNING PROGRAM ACTIVITIES (Statewide)AGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Motor Fuel Triennial ReviewJuly 24, 2001, HQ MemorandumFHWANone 
Highway Functional Classification23 CFR 470.105FHWAFHWAIn conjunction with decennial census and as needed otherwise.
Major Project – Financial Plan and Project Management Plan23 USC 106 (h)FHWAFHWA 
Certification of Public Road Mileage23 CFR 460.3FHWANoneDue Date June 1
Heavy Vehicle Use Tax (HVUT) – Annual Certification by ALDOT and Triennial FHWA Office Review23 CFR 669.21FHWANoneAlabama Department of Revenue (ADOR) required to certify that HVUT is being collected. FHWA HQ recommends a review be completed every 3 years.
Highway Statistics: 500 Series Reports23 CFR 420.105 (b)FHWANoneALDOT submits data to FHWA on a monthly basis.
Traffic Volume Monthly Automated Traffic Recorder Data23 CFR 1.5FHWANoneALDOT submits data to FHWA on a monthly basis.
Annual Truck Weight Characteristics Data – Weigh-in-Motion and Classification Data23 CFR 1.5FHWANoneALDOT annually submits required Truck Weight Characteristics Data directly to HQ.
PLANNING PROGRAM ACTIVITIES (Statewide)AGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Pedestrian and Bicycle Accommodations23 CFR 652FHWAALDOTALDOT
Metropolitan 20-Year Long-Range Transportation Plan (LRTP)23 CFR 450.322FHWAFHWA reviews and comments on Metropolitan LRTP's, but no official approval action is taken by FHWA, other than concurrence in Conformity Determination in air quality nonattainment and maintenance areas.
Metropolitan Transportation Improvement Program (TIP)23 CFR 450.324FHWAGovernorMinimum 4 year period; updated at least every 4 years. FHWA reviews and com-comments on TIP's. All TIP's are included in the STIP by reference which is approved by FHWA.
Metropolitan Unified Planning Work Program (UPWP)23 CFR 450.314FHWAFHWAAnnually developed program. FHWA reviews, comments on, and approves UPWP's from each MPO.
Certification Review of TMA's – MPO's with population of 200,000 or greater23 CFR 450.334FHWAFHWAJoint FHWA/FTA Planning regulations require these reviews be completed every 4 years. FHWA/FTA jointly certify that the requirements in 23 CFR 450 are being met.
Transportation Planning Certification Reviews in non-TMA'sNot requiredFHWANonePlanning process reviews in nonTMA's on 1 year cycle.
PLANNING PROGRAM ACTIVITIES (Metropolitan)AGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Urban Area Boundaries23 CFR 1.7FHWAFHWAIn conjunction with decennial Census and as needed otherwise.
Annual Self-Certification of non-TMA's – MPO's with population of 50,000 to 200,00023 CFR 450.334FHWAFHWASelf-certifications are included in the metropolitan TIP's for non-TMA's. TIP's are included by reference in the FHWA-approved STIP.
Clean Air Act Conformity Determinations: Nonattainment and Maintenance Areas23 CFR 450.312 (d) and 40 CFR Part 51FHWAFHWADetermination completed at time of TIP and LRTP updates.
Congestion Management Process in TMA's23 CFR 450.320FHWANoneRequired to be a part of planning process in TMA's. Reviewed as part of certification reviews.
Congestion Mitigation and Air Quality (CMAQ) Improvement ReportNot required by law, but by HQ guidanceFHWANonePrepared annually.
PL Funds Distribution Formula23 CFR 420.109FHWAFHWAIn conjunction with decennial Census and as needed otherwise.
RIGHT OF WAY
RIGHT OF WAY PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS Responsible AgencyNON-NHS Responsible AgencyComments
Authorize all Federal-aid ROW Projects23 CFR 710.203FHWAFHWA 
Accept ROW certificate as condition of PS&E approval23 CFR 635.309 (b) and (c)FHWAALDOT 
Approve hardship and protective buying23 CFR 710.503FHWAFHWA 
Functional replacement of real property in public ownership23 CFR 710.509FHWAALDOT 
Leasing of real property acquired with Title 23 funds23 CFR 710.407FHWAALDOT 
Disposal of excess ROW/access rights on Federal-aid projects23 CFR 710.409FHWAALDOT 
Relinquishment of highway facility to another government agency for continued highway use23 CFR 620, Subpart B (If Federally-funded project)FHWAALDOT 
Use of airspace on the Interstate for non-highway purposes23 CFR 710.405FHWAN/A 
SAFETY
SAFETY PROGRAM ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentReviewApproveRemarks
Traffic Safety in Highway & Street Work Zones23 CFR Part 630FHWAFHWAAnnual Reviews
Highway Safety Features (Roadside Safety and Hardware)FHWA Policy Memorandum 07/25/1997FHWA HQFHWA HQFHWA HQ reviews and approves new or modified roadside safety hardware for use on Federal-aid highways.
Section 402 Highway Safety Plan23 CFR 1200FHWAFHWAReviewed and approved by August 31 – ADECA
Highway Safety Improvement Program (including SRTS and HRRPP)23 CFR Part 924FHWAFHWAAnnual HSIP, 5% and Rail Grade Crossing Program Reports by August 31.
Strategic Highway Safety Plan (SHSP)SAFETEA-LU Section 1401 (c) (a) (A)FHWAFHWAPlan approved by Division December 2006.
SHSP Implementation Plan23 CFR Part 924.11FHWAFHWAEligibility determinations.
NHTSA split letter for Primary Seat Belt Use Law Grant23USC 157FHWA ALDOTALDOTApprove split of funds as available
Crash Data Quality23 CFR Part 924.9FHWAFHWAContinual review
High Risk Rural Roads (HRRRP) ProgramSAFETEA-LUFHWAFHWA 
SAFETY
SAFETY PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentNHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS Projects
Rail-Highway Projects23 CFR Part 646 Subpart B – Railway-Highway ProjectsFHWAFHWAFHWA

Contact

Peter Kleskovic
Office of Program Administration
202-366-1564
E-mail Peter

 
 
Updated: 05/10/2011

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FHWA
United States Department of Transportation - Federal Highway Administration