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Stewardship and Oversight Agreement

3.7 Safety and Traffic Program

Section 1401 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) includes the program and policy language for implementing the new "core" Highway Safety Improvement Program (HSIP), which is codified as the new Section 148 of Title 23 of the United States Code (23USC148).

DelDOT has the responsibility for carrying out the State's Highway Safety Improvement Program in accordance with Section 148 of Title 23 of the United States Code (23USC148). The FHWA Delaware Division Office exercises its oversight responsibilities through review of the annual programs, review of program processes, and review of annual reports. FHWA and DelDOT will work together on safety issues related to geometric design, roadside safety, safety appurtenances, the highway safety improvement program, work zone safety and traffic control, pedestrian safety and bicycle safety, Safe Routes to School program (SRTS), and the Strategic Highway Safety Plan. In each instance, sharing of knowledge occurs through discussions, meeting/committee/task force participation, and by performing periodic reviews. The FHWA Delaware Safety Engineer currently participates with the State on the following task forces and teams:

Delaware Traffic Records Coordinating Committee
Strategic Highway Safety Plan Steering Committee
Section 402 Grant Review Committee
Highway Safety Improvement Program Committee

The following is a general description of the new "core" Highway Safety Improvement Program (HSIP) codified in 23 USC 148 that identifies program requirements.

Highway Safety Improvement Program (HSIP): The purpose of the HSIP shall be to achieve a significant reduction in traffic fatalities and serious injuries on public roads. To obligate "core" safety funds DelDOT must have in effect an HSIP under which the State: 1) develops and implements a Strategic Highway Safety Plan (SHSP) that identifies and analyzes highway safety problems and opportunities to reduce fatalities and serious injuries, 2) produces a program of projects or strategies to reduce identified safety problems, 3) evaluates the plan on a regular basis to ensure the accuracy of the data and priority of proposed improvements, 4) submits an annual report to the FHWA Division.

In accordance with 23 USC 148, the SHSP means a plan developed by DelDOT that:

  • analyzes and makes effective use of state, regional or local crash data
  • addresses engineering, management, operation, education, enforcement, and emergency medical services in evaluating highway projects
  • considers safety needs, and high fatality segments of all public roads in the State
  • considers results of State, regional or local transportation and highway safety planning processes
  • describes a program of projects or strategies to reduce or eliminate hazards
  • is approved by the Governor or responsible State agency
  • is consistent with the requirements of the Statewide planning process, sec. 135(g)

As part of the SHSP, the State shall:

  • have in place a crash data system with the ability to perform safety problem identification and countermeasure analysis
  • identify hazardous locations sections or elements that constitute a danger to motorists, bicyclists, and pedestrians
  • establish the relative severity of these locations
  • identify and adopt achievable strategic and performance-based goals
  • advance the capabilities of the State for traffic records data collection, analysis, and integration
  • determine priorities for the correction of hazardous road locations, sections, and elements as identified through crash data analysis
  • establish an evaluation process to assess results achieved by improvement projects

As a condition for obligating HSIP funds, under Section 148(c)(I)(D), DelDOT will prepare an annual report, in addition to the HSIP and rail-highway crossing safety report that describes not less than 5 percent of their public road locations exhibiting the most severe safety needs (5 Percent Report). SAFETEA-LU requires that the 5 Percent Reports include an assessment of potential remedies at the locations identified, the estimated costs of the remedies, and impediments to their implementation other than costs.

High Risk Rural Roads Program (HRRP): SAFETEA-LU introduced a new set-aside provision known as the High Risk Rural Roads Program (HRRRP), codified as 23 U.S.C. §148 (f). This program is a component of the HSIP and is set-aside after HSIP funds have been apportioned to the States. Projects may be selected on any public HRRR to correct or improve hazardous road locations or features. The State's HSIP, including the HRRR element, shall consider the safety needs on all public roads, whether state or locally owned. DelDOT is required to identify HRRR roadways (and expend the HRRR funds) according to the following definition:

"…any roadway functionally classified as a rural major or minor collector or a rural local road –

  • on which the accident rate for fatalities and incapacitating injuries exceeds the statewide average for those functional classes of roadway"

Highway-Rail Crossing Safety: Under SAFETEA-LU, highway-rail grade crossing safety (elimination of hazards and the installation of warning devices at railway-highway crossings) remains a component of the HSIP and is set-aside after HSIP funds have been apportioned to the States. The purpose of this program is to reduce the number of fatalities and injuries at public highway-rail grade crossings through the elimination of hazards and/or the installation/upgrade of warning devices at crossings. Most requirements of the program remain unchanged, including the requirement that the State must conduct and systematically maintain a survey of all highway-rail crossings to identify those that may require separation, relocation, or additional warning devices, and establish and implement a schedule of projects for this purpose.

Additionally, FHWA has oversight responsibility for the following Highway Safety-related activities.

Safe Routes to School Program: Section 1404 of SAFETEA-LU includes the program language for the Safe Routes to School Program. This program is managed by the DelDOT Planning Section. The purpose of the program shall be to enable and encourage children in primary and middle schools, including those with disabilities, to walk and bicycle to school; to make walking and bicycling to school safe and more appealing; and to facilitate the planning, development and implementation of projects that will improve safety, and reduce traffic, fuel consumption, and air pollution in the vicinity of schools. For infrastructure related projects, eligible activities are the planning, design, and construction of projects that will substantially improve the ability of students to walk and bicycle to school. These include sidewalk improvements, traffic calming and speed reduction improvements, pedestrian and bicycle crossing improvements, on-street bicycle facilities, off-street bicycle and pedestrian facilities, secure bike parking, and traffic diversion improvements in the vicinity of schools (within approximately 2 miles). Such projects may be carried out on any public road or any bicycle or pedestrian pathway or trail in the vicinity of schools.

DelDOT must set aside from its Safe Routes to School apportionment not less than 10 percent and not more than 30 percent of the funds for non-infrastructure related activities to encourage walking and bicycling to school. These include public awareness campaigns and outreach to press and community leaders, traffic education and enforcement in the vicinity of schools, student sessions on bicycle and pedestrian safety, health, and environment, and training, volunteers, and managers of safe routes to school programs. In order to receive program funds, DelDOT must use a sufficient amount of the funds to fund a full-time position for coordinator of the State's safe routes to school program.

159 Certification (Drug Offender's Driver's License Suspension) [Authority: 23 U.S.C. 159 and 315, 23 CFR 192]. Encourages States to enact and enforce drug offender's driver's license suspensions. States must comply with 23 U.S.C. 159 in order to avoid the withholding of Federal-aid highway funds. By January 1 of each year, the Governor shall submit written notification to FHWA Division Administrator whether the State has enacted and is enforcing a law or whether the State opposes such a law as per 23 U.S.C. 159. The DelDOT Finance Section submits this certification to the FHWA Division Office.

Work Zone Review of Conformance (Work Zone Safety and Mobility) [Authority: 23 U.S.C. 105, 106, 109, 115, 315, 320, 402(a) / Source 43 FR 47140, 10/12/78, 23 CFR 630 Subpart J Final Rule, 09/09/2004]. Provides guidance and establishes requirements for systematically addressing the safety and mobility impacts of work zones, and developing strategies to help manage these impacts on all Federal-aid highway projects. DelDOT shall work in partnership with the FHWA in the implementation of its policies and procedures to improve work zone safety and mobility. FHWA and DelDOT will review the State's policies and procedures for conformance with 23 CFR 630 Subpart J Final Rule. The State shall comply with all provisions of the 23 CFR 630 Subpart J Final Rule no later than October 12, 2007. FHWA is also responsible for performing an annual work zone self-assessment by June 1. The FHWA Division Office shall coordinate this effort with the appropriate personnel of DelDOT.

NCHRP 350 (Standards, Policies, and Standard Specifications) [Authority: 23 U.S.C. 109, 315, and 402, Sec. 1073 of Pub. L. 102-240, 105 Stat. 1914, 2012; 49 CFR 1.48 (b) and (n); 23 CFR 625.4(a) Chapter 5.1 - Performance Requirements, 7/93 & 8/28/98 FHWA Policy Memos]. The National Cooperative Highway Research Program (NCHRP) Report 350 established crash testing requirements for highway hardware in both permanent and in work zone applications. States must comply with NCHRP Report 350 criteria and the subsequent AASHTO/FHWA agreements dated July 1, 1998.

MUTCD (Manual on Uniform Traffic Control Devices) [Authority: 23 U.S.C. 101(a), 104, 105, 109(d), 114(a), 135, 217, 307, 315, and 402(a) ; Source: 48 FR 46776, 10/14/83; 23 CFR 655 Subpart F]. The MUTCD, approved by FHWA, is the national standard for all traffic control devices installed on any street, highway, or bicycle trail open to public travel in accordance with 23 U.S.C. 109(d) and 402(a). Where state or other Federal agency MUTCD's or supplements are required, they shall be in substantial conformance with the national MUTCD.

The following activities do not involve an FHWA oversight role with the State. Rather, this is a specific list of activities that FHWA Delaware Division and DelDOT needs to be aware of, either for funding purposes or for general information.

154 Certification (Open Container Laws) [Authority: 23 U.S.C. 154, 23 CFR 1270, 3/31/00 NHTSA/FHWA Guidance Memo] States must comply with 23 U.S.C. 154 in order to avoid transfer of Federal-aid highway funds. The State of Delaware currently does not comply with this law so each year 3% of the NHS, STP and IM funds apportioned to the State are transferred to the 402 Highway Safety Program that is administered by the Office of Highway Safety.

164 Certification (Repeat Intoxicated Driver Laws) [Authority: 23 U.S.C. 164, 23 CFR 1275, 3/31/00 NHTSA/FHWA Guidance Memo]. States must comply with 23 U.S.C. 164 in order to avoid transfer of Federal-aid highway funds. The State complies with this requirement. Reporting requirement is to NHTSA by the Office of Highway Safety.

Section 163: 0.08 Blood Alcohol Concentration (BAC) Incentives/Penalties. TEA-21 instituted an incentive program to encourage States to establish 0.08 percent BAC as the legal limit for drunk driving offenses. States may use these grant funds for any project eligible under Title 23. Beginning in FY 2004, States not having passed a 0.08 BAC law will be subject to a penalty equal to 2.0% of their Federal-aid apportionments. The penalty increases by an additional 2.0% in each subsequent year to a maximum of 8.0%. The State complies with this requirement.

Section 157: Seat Belt Use Incentives. TEA-21 instituted an incentive program to encourage States to increase seat belt use rates. States must establish their seat belt use rates in accordance with guidelines issued by the Secretary of Transportation. States may use these grant funds for any safety project eligible under Title 23.

Performance/Compliance Indicators:
Given the emphasis on the safety program through SAFETEA-LU, it is important that FHWA be able to demonstrate that the program is being effectively carried out, and that the projects being implemented are achieving results. The ultimate measure of the success of this program is a significant statewide decline, in real terms, in the number of fatalities and serious injuries. To ensure that the program is being implemented as intended and that it is achieving its purpose, DelDOT will provide annual progress reports on the HSIP implementation and effectiveness in accordance with and as required by 23 U.S.C. §148(g). Since the HRRR Program is a component of the HSIP, information on the HRRR Program will be provided through this provision. The report should provide information on the HRRR Program in three parts: basic program implementation information, methods used to select HRRR, and detailed information assessing the HRRR Program. While 23 U.S.C. §148(g) also includes a requirement to address railway-highway crossings, this information should be collected in a separate report required under 23 U.S.C. § 130(g). At the option of the State, the three reports required under Section 148 (the HSIP report including High Risk Rural Roads, the railway-highway crossing report and the 5 Percent Report (Section 148 (C) (1) (D)) may be submitted separately, or combined into one report with three distinct sections. DelDOT will prepare these reports in conformance with FHWA guidance and submit to the FHWA Division Office by August 31. The FHWA Division Office will forward these reports to the FHWA Office of Safety (HSA) by September 30 of each year. The 5 Percent Reports will then be made available to the public via posting on the USDOT web site as required by Section l48(g)(3). These reports will be submitted to the FHWA Division Office electronically.

Safety Programs Summary Table
Work Activity DelDOT Action FHWA Action Outcome
HSIP Report (including HRRP) Rail-Highway Crossing Report 5 Percent Report Prepare annual program and report, and Submit to FHWA
(no later than by 8/31) Annually
Review and comment on the program and annual report within 14 days. Submit to HQ by Sept. 30 HSIP Program Approval and Report
DE Strategic Highway Safety Plan (SHSP) Evaluate annually and update bi-annually beginning in September 2007 Review and comment within 14 days. Updated SHSP ensuring accuracy of data and priority of proposed improvements
159 Certification
(Drug Offender's License Suspension Certification)
Prepare annual certification and Send to FHWA (no later than 1/1) Review certification, and Forward to FHWA HQ.
Take appropriate action
Law enacted, opposition stated, or funds withheld
Work Zone Safety and Mobility Process Review Conduct Process Review every two years1 Conduct review for conformance of 23 CFR 630 Subpart J Final Rule ongoing Assessment of work zone procedures
NCHRP 350 (NCHRP 350 Testing Criteria) Comply with NCHRP 350 and AASHTO/FHWA agreement Actions and Process reviews ongoing Crashworthy devices
MUTCD
(Traffic Control Devices on all public roads)
DelDOT practices comply with MUTCD Actions and Review of MUTCD issues ongoing Uniformity of Traffic Control Devices

1Prior to 2008, DelDOT will conduct review annually.

Safety and Traffic Program Performance/Compliance Indicators:

Objective 1: To implement comprehensive, integrated and data-driven safety programs at the State and local-level that covers all public roadways.

Indicators:

  1. Number of strategies implemented to improve the quality and timeliness of the Safety data.
  2. Continued implementation of the Strategic Highway Safety Plan
  3. Implementation of the new core Highway Safety Improvement Program

Objective 2: To implement countermeasures to reduce highway-related fatalities.

Indicators:

  1. Reduction in fatalities and/or fatality rate compared to annual and long-range strategic performance goals. (2005 baseline: 134 fatalities/1.42 per HMVMT)
  2. Reduction in pedestrian fatalities and/or fatality rate compared to annual and long-range strategic performance goals. (2005 baseline: 11 fatalities/.1164 per HMVMT)
  3. Reduction in intersection fatalities and/or fatality rate compared to annual and long-range strategic performance goals. (2005 baseline: 30 fatalities/.3175 per HMVMT)
  4. Reduction in run off the road fatalities and/or fatality rate compared to annual and long-range strategic performance goals. (2005 baseline: 95 fatalities/1.0 per HMVMT)

Objective 3: Mitigate congestion and improve system reliability in work zones through actions targeted at key causes of congestion in Delaware.

Indicators:

  1. Compliance with the requirements of the work zone final rule
  2. Improvement on Work Zone Self Assessment scores (2003 baseline 33.33)

Reporting: Annually by October 31 for the previous Federal FY ending September 30 or when the data becomes available.

3.8 CIVIL RIGHTS PROGRAM

Background

The FHWA Division Office is committed to working with DelDOT to effectively implement and enforce the Civil Rights Program within the design, planning, construction, and management of the multimodal transportation system which receives Federal funding or assistance from the FHWA in Delaware. DelDOT is obligated to ensure nondiscrimination in all programs and activities, and in the provision of all services and benefits, as a basis for continued receipt of FHWA funds according to Title VI of the Civil Rights Act and codified Federal regulations that outline these acts.

The Civil Rights Specialists, on behalf of the FHWA Division Office, review and approve all Civil Rights program documents, and provide comments and recommendations to DelDOT. The FHWA Division Office Civil Rights Specialists provide training, technical assistance and interpretation, as needed, on the laws, executive orders, civil rights authorities, and regulatory requirements.

Operating Environment

The objectives of the FHWA Division Office's Civil Rights Program are to: (1) perform scheduled program reviews with the State; (2) provide technical assistance and guidance to DelDOT; (3) ensure that program documents and other required reports are accurate, completed in a timely manner, and when appropriate, approved; and (4) serve as a resource to DelDOT in its civil rights program and policy development meetings. Successful implementation of the civil rights activities will require support from the FHWA Division Administrator and Assistant FHWA Division Administrator. Technical assistance may be required from the Resource Center and the Washington Office of Civil Rights. The civil rights program elements are required through a collection of regulations, laws, and executive orders, and approval actions are outlined in these elements.

DelDOT has developed a Civil Rights Program with responsibilities in the following program areas:

  • Nondiscrimination - Title VI, Environmental Justice and Limited English Proficiency (LEP)
  • Section 504 of the Rehabilitation Act and Americans with Disabilities Act (Section 504/ADA)
  • State Internal Equal Employment Opportunity and Affirmative Action Program
  • State External Contractor Compliance Program
  • On the Job Training (OJT) Program and OJT Supportive Services (OJT/SS)
  • Disadvantaged Business Enterprise (DBE) and DBE Supportive Services (DBE/SS)

Guided by laws (such as Title VI of the Civil Rights Act of 1964), statutes, regulations (essentially 49 CFR Part 21 and 26 and 23 CFR 200 and 230), policies, executive orders and other related instruments, the FHWA Division Office will perform oversight on DelDOT's Civil Rights activities in the respective program areas.

Applicable Guidelines:

  • 23 CFR 230 Subpart D; 23 USC 140; FHWA Order 4710.8
  • FHWA-1391/1392, Federal Aid Highway Construction Contractor's Annual EEO Report: 23 CFR 230.121, FHWA Notice N 4720 dated 8-27-91
  • DBE Program: 49 CFR 26
  • DBE Supportive Services (DBE/SS): 49 CFR 26; 23 USC 140(c); 23 CFR 230.201-207
  • On the Job Training (OJT) Program: 23 CFR 230 Subpart A
  • OJT Supportive Service (OJT/SS): SAFETEA-LU Section 5204(e); 23 CFR 230.113; 23 USC 140(b)
  • Title VI Program: 23 CFR 200; 23 USC 324; Age Discrimination Act of 1975
  • Environmental Justice in Minority Population & Low Income Population: Executive Order 12898
  • Limited English Proficiency (LEP): Executive Order 13166
  • Affirmative Action and State Internal EEO Program: 23 USC 140(a)-(d); Federal-aid Highway Act of 1968; Federal-aid Highway Act of 1970; 23 CFR 230 Subpart C; 23 CFR 1.9; 23 CFR 1.36
  • Americans with Disabilities Act (ADA): Section 504 of the Rehabilitation Act of 1973; 49 CFR 27; 29 CFR USC 794 and Americans with Disabilities Act of 1990; 28 CFR 35; 42 USC 12101
  • Indian Outreach Program: 23 USC 140(c); 23 CFR 230.201-207
  • Minority Institutions of Higher Education (MIHE): Presidential Executive Order 12667; 13021; 12900.
  • AASHTO/Transportation and Civil Engineering (TRAC) Program: 23 USC 140(b); FHWA Notice N 4720.9 dated 9/16/97; SAFETEA-LU Section 5204(e);
  • Dwight David Eisenhower Transportation Fellowship Program (DDETFP): Established by Public Law 102-240, Section 6001 (ISTEA) & re-authorized in TEA-21; Executive Orders 12667; 13021; 12900.
  • Garrett Morgan Transportation Futures Program: Educational initiative of the U.S. Department of Transportation under the authority of the Secretary: SAFETEA-LU Section 5204(d)
  • Urban Youth Corps (UYC): TEA-21 Section 1108(g); 42 USC 12572; 42 USC 12656
  • Welfare to Work: SAFETEA-LU Section 5204(e)
  • National Summer Transportation Institute (NSTI): SAFETEA-LU Section 5204(e)
  • SAFETEA-LU: Section 1904(g)(4); 23 USC 106 (g)(4)

Oversight Activities

As an essential component of FHWA, the FHWA Division Office is deeply committed to ensuring that our customers and partners enjoin discrimination, as well as foster equal opportunity and affirmative action in all their programs, practices and activities. We will endeavor to ensure that our immediate customer, DelDOT, is in compliance with all the nondiscrimination, equal opportunity, and equal employment opportunity requirements. This will be achieved through collaborative, proactive and preventive measures, to include leadership, partnering, open communication, frank discussions, reviews, constructive feedback, technical assistance, and training.

The FHWA Division Office will perform oversight on DelDOT and Civil Rights activities in the respective program areas. The FHWA Division Office will analyze civil rights reports submitted by DelDOT to help identify trends and will provide feedback and recommendations. The FHWA Division Office will periodically monitor DelDOT's oversight responsibility regarding the administration of projects by sub-recipients for determining that sub-recipients of Federal funds have adequate project delivery systems for projects and sufficient accounting control to properly manage Federal funds.

Civil Rights Program
Title VI, Environmental Justice and Limited English Proficiency Program
FHWA Division Office Roles and Responsibilities DelDOT's Roles and Responsibilities
  1. Conduct nondiscrimination reviews (process and on-site in both the central office and districts) to determine program impact, effectiveness, and to ascertain compliance;
  1. Submit signed Title VI Assurances;
  1. Interpret and clarify Title VI laws and related authorities including Executive Orders and directives;
  1. Establish a civil rights unit with adequate staff; and, designate a Title VI coordinator empowered to establish, implement, and enforce policies and procedures ensuring they have direct access to the head of DelDOT;
  1. Review and approve DelDOT's Title VI Program document and annual updates;
  1. Develop procedures for prompt processing and disposition of Title VI complaints;
  1. Ensure that DelDOT's Program adheres to the requirements of the prevailing implementation approach (e.g., the systematic, interdisciplinary approach) and directives;
  1. Ensure that civil rights personnel are trained in compliance investigations;
  1. Take lead and/or participate in activities related to controversial issues of alleged discrimination;
  1. Collect statistical data (race, color national origin, sex) of participants in and beneficiaries of State highway programs, (i.e. relocates, impacted citizens, and affected communities);
  1. Participate in compliance reviews of recipients, sub-recipients, including MPO's; conduct desk reviews on select compliance reviews conducted by DelDOT;
  1. Conduct annual reviews of all pertinent programs and Title VI reviews of sub-recipients, (cities, counties, consultants, universities, etc.);
  1. Perform evaluations on select program areas;
  1. Conduct training programs on Title VI and related statutes;
  1. In coordination with the Headquarters Office of Civil Rights, investigate, process, and assist in the resolution of Title VI complaints;
  1. Prepare a yearly Title VI Accomplishment Report; and, submit an annual updated Title VI Implementation Plan to FHWA Division office;
  1. Provide training, technical assistance and guidance on Title VI issues and requirements;
  1. Develop Title VI information for dissemination to the general public, where appropriate, in languages other than English;
  1. Ensure that DelDOT accomplishes its previous year's goals;
  1. Establish procedures for pre-grant and post-grant approval reviews;
  1. Review and provide comments on Title VI issues in EIS's, and EA's.
  1. Establish procedures to identify and eliminate discrimination; promptly resolve deficiencies and reduce remedial actions to writing.
Internal Equal Employment Opportunity/Affirmative Action Program (AAP)
FHWA Division Office Roles and Responsibilities DelDOT's Roles and Responsibilities
  1. Ensure that DelDOT has an approved EEO Program that is being implemented in accordance with regulations;
  1. Administer an EEO program and develop an affirmative action plan;
  1. Review and approve DelDOT's affirmative action plan;
  1. Conduct an annual workforce analysis to assess progress and shortfalls;
  1. Ensure that DelDOT's annual updates of its AAP plan are submitted;
  1. Submit an annual update to the FHWA Division office for approval;
  1. Monitor DelDOT's progress in meeting its hiring goals and target dates for underutilized areas;
  1. Process discrimination complaints, investigate and resolve complaints;
  1. Participate in state program reviews (on-site as well as process) for impact, effectiveness and compliance;
  1. Conduct an annual program evaluation to monitor the EEO program and to assess goals and objectives and results accomplished;
  1. Ensure that DelDOT administers a complaint process that is effective and efficient;
  1. Secretary of Transportation should: (1) Issue a firm statement of personal commitment, legal obligations and importance of EEO as an agency goal, and (2) assign specific responsibility and accountability to each executive, manager, and supervisor.
  1. When necessary or requested, provide technical assistance on the development of compliance and process review guidelines;
  1. Evaluate and monitor progress in meeting its hiring goals and target dates for underutilized areas;
  1. Ensure that DelDOT demonstrates that their own employment policies and practices are nondiscriminatory and representative of the local civilian labor force;
  1. Coordinate, facilitate, and promote partnerships with external entities that represent the inclusion and promotion of the minority and female population (e.g., Historically Black Colleges and Universities, Minority Institutions of Higher Education, etc.).
  1. Provide guidance on interpretation of regulations and other EEO laws (such as Title VII of the Civil Rights Act of 1964);
 
  1. In cooperation with DelDOT, process, address, or resolve complaints of EO/EEO discrimination filed by external customers (contractors, associations, etc.) against DelDOT;
 
  1. Provide or coordinate training on how to conduct effective program and onsite compliance reviews, develop affirmative action plans and analyze statistical data;
 
  1. Coordinate activities or provide guidance on programmatic initiatives such as Summer Internships and Institutes, Welfare to Work, Urban Youth Corps, Garrett A. Morgan Technology and Transportation Futures;
 
  1. Coordinate, facilitate, and promote partnerships with external entities that represent the inclusion and promotion of the minority and female population (e.g., Historically Black Colleges and Universities, Minority Institutions of Higher Education, etc.).
 
Contract Compliance Program
FHWA Division Office Roles and Responsibilities DelDOT's Roles and Responsibilities
  1. Annually participate in contract compliance reviews with DelDOT;
  1. Develop and implement a program to ensure that contractors comply with equal opportunity requirements;
  1. Monitor, review, and approve all DelDOT's contract compliance reports;
  1. Ensure that the required contract provisions are included in all Federal-aid contracts valued at $10,000 or more (FHWA 1273);
  1. Review and approve DelDOT's Contract Compliance Program;
  1. Conduct compliance reviews of prime and subcontractors;
  1. Ensure that annual Contract Compliance Program updates are submitted;
  1. Enforce nondiscrimination clauses in required contract provisions as needed;
  1. Ensure that DelDOT accomplishes its previous year's goals and/or that good faith efforts are demonstrated;
  1. Prepare annual update on goals and accomplishments of the contractor compliance program to include OJT;
  1. Provide technical assistance to DelDOT on the development of contract compliance and process review guidelines;
  1. Provide training on how to conduct effective program and onsite compliance reviews;
  1. Provide guidance on interpretation of regulations, Executive Orders, EEO laws, and other related instruments;
  1. Investigate complaints of alleged discrimination filed by contractor employees or other external customers such as subcontractors, contractors, contractor organizations, etc.;
  1. Provide or coordinate training on how to conduct effective program and onsite compliance reviews;
  1. Establish procedures in setting annual OJT goals for FHWA approval;
  1. Coordinate activities or provide guidance on programmatic initiatives such as Women in Highway Construction, Urban Youth Corps and Welfare to Work;
  1. Promote partnerships among and with a variety of external partners and customers such as State DOT's, contractor organizations, minority firms and organizations, etc.
  1. In cooperation with DelDOT investigate complaints of alleged discrimination filed by contractor employees or other external customers such as subcontractors, contractors, contractor organizations etc.;
 
  1. Encourage and promote partnerships among and with a variety of external partners and customers such as State DOT's, Contractor organizations, minority firms and organizations; etc.
 
Disadvantaged Business Enterprise Program (DBE)
FHWA Division Office Roles and Responsibilities DelDOT's Roles and Responsibilities
  1. Provide interpretation and clarification on provisions of the new DBE Regulation and other related instruments;
  1. Develop and implement a DBE Program that achieves its goals and objectives;
  1. Review and approve DelDOT's DBE Program;
  1. Carry out all administrative requirements; and, maintain a signed and dated policy statement expressing commitment to the DBE program;
  1. Monitor the implementation of the DBE Program through continual involvement, to ensure the stated objectives and program requirements are observed;
  1. Employ a DBE Liaison Officer to implement all aspects of the DBE program to ensure compliance with the regulations;
  1. Review and approve DelDOT's proposed DBE goals and methodology;
  1. Establish prompt payment mechanisms and incorporate them into the DBE program;
  1. Monitor on a quarterly basis, DelDOT's activities toward accomplishing its DBE goal including Race Neutral and Race Conscious accomplishments;
  1. Develop and maintain a bidders list;
  1. Review DelDOT's semi-annual reports on DBE awards and commitments for accuracy and completeness;
  1. Develop monitoring and enforcement mechanisms to ensure that the work committed to DBE firms at contract award is actually performed by DBEs;
  1. Participate in on-site reviews of selected Federal-aid projects to determine DBE program compliance on the part of the DBE prime and/or sub and non-DBE prime;
  1. Develop an annual overall goal for DBE participation on Federally assisted contracts;
  1. Monitor DBE hearings and certification appeals held on contractors;
  1. Administer or participate in statewide Unified Certification Program to ensure that "only firms that fully meet" the eligibility standards participate in the program;
  1. Perform program review and/or evaluation of a selected program element;
  1. Develop and implement certification procedures that include on-site reviews, decisions within 90 days, due process in removal of eligibility, hearing and appeals process, etc.;
  1. Provide technical assistance, training, guidance, information, best practices, and other resources on the DBE program as requested by DelDOT personnel;
  1. Develop and implement mechanisms to ensure that program participants (i.e. contractors, subcontractors, sub-recipients, consultants, etc.) comply with DBE requirements;
  1. Investigate or participate in investigations of allegations of discrimination;
  1. Develop and implement a DBE Program that achieves its goals and objectives.
  1. Provide interpretation and clarification on provisions of the new DBE Regulation and other related instruments.
 
DBE and On the Job Training (OJT) Supportive Services Program (SS)
FHWA Division Office Roles and Responsibilities DelDOT's Roles and Responsibilities
  1. Review and approve detailed DBE Supportive Services (DBE/SS) and OJT/SS work statements;
  1. Develop DBE/SS and OJT/SS work statements and submit to FHWA for approval;
  1. Evaluate the impact of supportive services on DBEs in terms of work activity, success/failure, and proficiency;
  1. Ensure that DBE/SS and OJT/SS provider(s) develop and achieve performance goals and objectives;
  1. Review DelDOT's progress report on Supportive Services, offer constructive comments and feedback when necessary;
  1. Continually monitor and evaluate Supportive Services programs so that needed improvements can be identified and instituted;
  1. When applicable conduct investigations of alleged complaints of discrimination;
  1. Collect data on participants and submit progress reports and annual accomplishments reports to FHWA;
  1. Continually monitor and evaluate supportive services programs so that necessary improvements can be identified and instituted;
  1. Monitor training opportunities on FHWA projects ensuring that these training opportunities are provided in a nondiscriminatory manner;
  1. Ensure that DelDOT is providing training opportunities on FHWA projects and that these training opportunities are provided in a nondiscriminatory manner;
  1. Monitor training goals; and, evaluate the contractor's efforts for addressing any contract violations that may occur.
  1. Ensure that DelDOT has approved procedures for assigning training goals, monitoring and evaluating the contractor's efforts, and for addressing contract violations that may occur;
 
  1. Conduct periodic process reviews/evaluations to identify areas where process improvements/changes are needed;
 
  1. Provide technical assistance, training, guidance, information, best practices, and other resources on the program as maybe requested by DelDOT personnel.
 
Section 504/American with Disabilities Act Program (ADA)M
FHWA Division Office Roles and Responsibilities DelDOT's Roles and Responsibilities
  1. Ensure that recipients/sub-recipients of Federal funds are informed of their responsibilities to provide reasonable accommodation in their employment practices; and provide accessibility in their programs, activities, and facilities (e.g., public rights-of-way);
  1. Develop and implement a Transition Plan that outlines which structural modifications must be made to those programs and services that are not accessible (including a curb ramp installation schedule for pedestrian facilities that DelDOT owns, operates, or maintains);
  1. Ensure that recipients/sub-recipients of Federal funds are applying appropriate accessibility standards to all transportation facilities;
  1. Conduct self-evaluations of current services, policies, and practices and analyze the effects thereof to determine needed modifications to achieve program accessibility;
  1. Investigate/process ADA complaints; and ensure that all complaints filed under Section 504 or the ADA are processed in accordance with established complaint procedures;
  1. Make reasonable accommodation and ensure existing facilities are accessible;
  1. Provide technical assistance, training, guidance, information, best practices, and other resources on the ADA program as requested by DelDOT personnel.
  1. Investigate/process ADA complaints; and, administer the DelDOT internal complaint procedure to resolve proven complaints in a timely fashion;
 
  1. Ensure the wide dissemination of a non-discrimination notice stating that DelDOT does not discriminate on the basis of disability regarding admission and access to its programs and activities, and regarding its employment practices;
 
  1. Ensure compliance with Title II of ADA and Section 504 of all sub-recipients;
 
  1. Identify essential functions of the position of ADA Coordinator, employ an ADA Coordinator, and make the ADA Coordinator's name, office address and telephone number available to interested persons;
 
  1. Install curb ramps when roadways or crosswalks are newly constructed or altered;
 
  1. Ensure that facilities and equipment are readily accessible, and meet accessibility standards for new construction or alterations;
 
  1. Provide auxiliary aids (e.g., sign language interpreters, readers, Braille, large print text) upon request for participation in DelDOT programs and services;
 
  1. Ensure that pedestrian overpasses, underpasses, ramps, and rest areas on interstate highways meet accessibility standards;
 
  1. Provide training on the ADA program to personnel of DelDOT and sub recipients of Federal funds.
Civil Rights Program Summary Table
Activity* DelDOT Action FHWA Action** Product
Annual Contractor Employment Report – 1391/1392 (Established with the State, usually one year after the last plan approval) Prepare/Submit Review/File
Submit to U.S. DOT within 10 days
Report submitted to U.S. DOT
State Internal EEO/AA Program Plan (Established with the State, usually a five year plan) Prepare/Submit Review/Approve within 10 days Approved EEO/AA Program Plan
State Internal EEO/AA Program Plan Updates, accomplishments and next years goals (Established with the State, one year after the last plan approval) Prepare/Submit Review/Approve within 10 days Approved EEO/AA Program Plan Updates
State Internal
Employment Practice EEO-4 Report (due to FHWA on August 1st)
Prepare/Submit Review/File
Submit to U.S. DOT within 10 days
Report submitted to U.S. DOT
Contractor Compliance Program Plan*** (Established with the State, usually a five year plan) Prepare/Submit Review/Approve
within 10 days
Approved Contractor Compliance Program Plan
Contractor Compliance Program Plan Updates, accomplishments and next year's goals (Established with the State, one year after the last plan approval) Prepare/Submit Review/Approve
within 10 days
Approved Contractor Compliance Program Plan Updates
Contractor Compliance Review Schedule and Reports (Within 15th day after the completion of the review) Prepare/Submit Review/Approve within 10 days Approved review report
OJT Goals and Accomplishments (due to FHWA on January 30th) Prepare/Submit Review/Approve within 10 days Approved OJT Goals
OJT Classifications (As submitted by State) Prepare/Submit Review/Approve within 10 days Approved OJT Classification
Title VI Program Plan (Established with the State, usually a five year plan) Prepare/Submit Review/Approve
within 10 days
Approved Title VI Program Plan
Title VI Program Plan Updates, accomplishments and next year's goals, (Established with the State, one year after the last plan approval) Prepare/Submit Review/Approve within 10 days Approved Title VI Program Plan updates
Title VI Complaints and Investigative Reports (60 days from the date complaint was received) Prepare/Submit Review/File Submit to U.S. DOT within 10 days Report on file
Title VI Compliance Reviews (Quarterly) Prepare/Submit Review/Approve within 10 days Approved review report
DBE Program Plan (On an annual basis when there are program revisions or changes) Prepare/Submit by DelDOT Review/Approve
within 10 days
Approved DBE Program Plan
DBE Program Goals and Methodology (due to FHWA on August 1st) Prepare/Submit by DelDOT Review/File
Submit to U.S. DOT within 10 days
DBE program Goals and Methodology on file
DBE Semi-Annual Report Awards/Commitment;(June 1st (Oct 1st – Mar. 31st), Dec. 1st (Apr. 1st – Sept. 30th)) Prepare/Submit Review/Approve & Submit to U.S. DOT within 10 days Approved DBE report and submitted to U.S. DOT
DBE and OJT Supportive Services Work statements (Annually – established by DelDOT) Prepare/Submit Review/Approve
Submit to U.S. DOT for funding approval
DBE and OJT Supportive Services Work statements submitted to U.S. DOT
DBE/SS and OJT/SS Reports (Quarterly (15th day after the quarter ends)) Prepare/Submit Review/Approve Approved DBE/SS and OJT/SS reports
Historically Black College/Minority Institution of Higher Education Report (Annually – established by DelDOT) Prepare/Submit Review/File
Submit to U.S. DOT
Report submitted to U.S. DOT

* Text in ( ) denotes due date to FHWA.
** Action refers to comments and/or approvals; working days.
*** Accomplishments for the On-the-Job Training program are included in the contractor compliance plan.

Civil Rights Program Performance/Compliance Indicators:

Objective: To deliver and steward Federal-aid highway program with high performance and integrity.
Indicators:

  1. State Internal/Affirmative Action Program – Number and % of minority and female representation in DelDOT workforce in each EEO Category and net changes compared from previous two years.
  2. DBE Program – Percentage of DBE participation compared to the statewide goal.
  3. Contractor Compliance Program – Number of contractor compliance reviews and reduction in significant findings from previous three years.
  4. Title VI (EJ, LEP, and ADA) Program – Number of complaints filed under all sections of the Civil Rights program and reduction in complaints findings from previous three years.

Reporting: Annually by October 31 for the previous Federal FY ending September 30.

3.9 Right-of-Way Program

All Federal, State, and Local public agencies (and others receiving Federal financial assistance for public programs and projects requiring the acquisition of real property) must comply with the policies and provisions set forth in the Uniform Act and its amendments. The current regulations implementing the Uniform Act were first published in the Federal Register of March 2, 1989, and are codified in the Code of Federal Regulations, Title 49, Part 24. These regulations contain the standards and procedures that acquiring agencies must follow in their appraisal, acquisition, and relocation assistance programs.

Additionally, state and local public agencies using federal funds for transportation programs administered under Title 23 U.S.C. must adhere to the regulations contained in Title 23 U.S.C. 710 in the administration of their Right-of-Way (R/W) programs.

The following oversight functional areas involving the Federal-aid R/W program are covered under 49 CFR (24), which has no provision for exemptions under Title 23 U.S.C.:

  • Appraisal
  • Acquisition
  • Relocation

The work activities listed below are covered under 23 CFR (parts are listed in parenthesis) and require specific approval and/or oversight by FHWA:

  • State R/W operations manual (710.201)
  • R/W authorization (710.307)
  • Air rights on the interstate (710.405) & NHS (710.201)
  • Airspace leases/joint use agreements (710.407)
  • Sale/transfer of excess R/W (710.409)
  • Early acquisition, protective buying, and hardship (710.501 & 503)
  • Functional replacement (710.509)
  • Federal land transfers (710.601)
  • Highway beautification (750)
  • Indirect costs (part 710.203 (d) subpart B)

The work activities listed below are covered in 23 CFR and do not require specific program or project approvals, but are not exempted from FHWA oversight under Title 23 U.S.C.:

  • Direct eligible costs including administrative, legal and court settlements (710.203 (b))
  • Real property donations (710.505)

Even though there are no exemptions under the law for any functions covered in 49 CFR 24, for practical purposes there are two levels of review of those elements. One level depends on whether the project involves R/W acquisition and has Federal-aid in other phases of work but none in R/W. The second level depends on whether there is Federal-aid in the R/W project phases. Although the R/W regulations must be followed under both levels, there is less concern about the reasonableness of the actual dollar expenditures in those projects containing no Federal-aid in the R/W. The primary concerns with these projects are to protect the rights of property owners and displaced persons.

For the second level of projects, there is a dual concern for the rights of property owners and displaced persons and the stewardship of the Federal dollars. Continuous review of the State's activities has proven to be an effective means of assuring that the rights of owners and displaced persons are protected as well as monitoring the expenditure of Federal funds. This will be continued under this stewardship plan. Process reviews and program evaluations will be conducted when needs or trends are identified at either of the above project levels. The reviews will be conducted jointly with DelDOT personnel whenever possible.

Local Public Agencies (LPAs), i.e., cities and counties, are required to comply with the Uniform Act and its governing regulations found in 49 CFR 24 in the same manner as DelDOT. As stipulated in 23 CFR 710.201(b), State Transportation Agencies are responsible for assuring that R/W acquisitions by LPAs are made in compliance with Federal and State laws and regulations.

Attached Right-of-Way Program Summary Table identifies the agencies responsible for each R/W program area activity, approving action, and product under this Agreement. If any problems are identified, a process review may be scheduled. Periodic product evaluations will be conducted to ensure that the current process is producing a quality product in conformance with policy. Process reviews will be the method for evaluating compliance and effectiveness in each of the program areas.

Certain R/W activities are not covered specifically by either 49 or 23 CFR but are a combination of sound business practice and the occasional national emphasis areas, which affect the R/W program. Joint reviews of these topics and their application will be conducted as needed.

Right-of-Way Program Summary Table
Activity DelDOT Action FHWA Action Product
R/W Authorizations and Agreements (23 CFR 635.309) Requests Electronic Signature and or Stamp– All Projects (5 days) Authorization & Agreements (1240)
R/W Certification (23 CFR 710.311) Approval Non-NHS & Exempt Projects Review and approve Interstate & NHS Projects within (5 days) Certificates
Air Rights (23 CFR 710.405) Request on NHS Review and Approve (15 days) Airspace Agreement
Leases/joint use agreements (23 CFR 407) NHS – Request to FHWA Review and Approve – NHS (10 days) Lease/Agreements
Disposal of Excess R/W (23 CFR 710.409) NHS & Less than fair market value – Request to FHWA Review and Approve – NHS & Less Than Fair Market Value (10 days) Property Sale and Revenue to Transportation Fund
Access Control – Disposal and Changes Transfer (23 CFR 710.401) Request (Interstate) Review and Approve - Interstate
(10 days)
Disposition/Change
Federal Land Transfer (23 CFR 710.601) Prepare Request Review and Approve
(60 days)
Transfer Deeds
Early Acquisition, Hardship, Protective Buying (23 CFR 710.501, (23 CFR 710.503) Request Approval Review, Approve, and Authorize
(10 days)
Property Ownership
R/W Operations Manual
Changes resulting from FHWA HQ (23 CFR 710.201)
Draft and Submit changes/revisions within 60 days of notification from FHWA Review and Approve
(15 days)
Updated Manual
R/W Operations Manual
Changes not directed by FHWA HQ (23 CFR 710.201)
Notify FHWA of proposed change/revisions Review and Approve
(10 days)
Updated Manual
Highway Beautification Operations Manual (23 CFR 750.304) Prepare Manual Review and Approve
(15 days)
Manual
Functional Replacement Request Approval Authorization & Oversight within (10 days) Functional Replacement

All days are working days unless otherwise specified.

Right-of-Way Program Performance/Compliance Indicators:
Objective: To deliver and provide stewardship of the Federal-aid highway program with high performance and integrity.

Indicators:

  1. Number of relocation offers accepted with and without administrative settlements.
  2. Effectiveness of incentive payments for clearing the R/W.
  3. Percentage of R/W acquisition cases filed for condemnation
  4. Percentage of appraisal accepted without need for update.
  5. Number of violations issued for illegal signs.

Reporting: Annually by October 31 for the previous Federal FY ending September 30.

3.10 Intelligent Transportation Systems (ITS) Program/Projects

TEA-21 directed changes in the stewardship responsibilities for the Intelligent Transportation Systems (ITS) program and projects. TEA-21 clarified the use of Federal-Aid categories for ITS. NHS and Surface Transportation Program (STP) Funds may be spent on infrastructure-based ITS capital improvements while Congestion Mitigation Air Quality (CMAQ) Funding may be spent on programs and projects that implement ITS strategies.

The applicable legislation for ITS projects is 23 CFR 940 Intelligent Transportation System Architecture and Standards. This section of 23 CFR describes the regulations that must be followed for ITS projects and regular Federal-aid projects that contain ITS components.

ITS Regional Architecture ⋏ 23 CFR 940.9 An ITS regional architecture shall be developed to guide the development of specific projects and programs.

Systems Engineering Analysis ⋏ 23 CFR 940.11 All ITS projects shall be based on a systems engineering analysis. The applicable regional ITS architecture shall be used in the development of ITS projects. The analysis should be on a scale commensurate with the project scope.

Project Administration ⋏ 23 CFR 940.13 Prior to authorization of Federal-aid funds for construction or implementation, DelDOT shall demonstrate that ITS projects conform to the system engineering and conformity requirements provided in 23 CFR 940.11 and that there is a commitment to the operations, management and maintenance of the overall system.

Intelligent Transportation System Program/Projects
Summary Table
ACTIVITY DelDOT ACTION FHWA ACTION OUTCOME
Systems Engineering Requirements Prepare/Review and Submit Full Federal Oversight: Approve (10 days) Systems Engineering Requirements Form or work plan that describes the systems engineering process
Update of Statewide Architecture Prepare and Approve Ready for Use Concurrence (15 days) Updated Statewide Architecture
Task Order/FS-1 Approval Prepare/Review and Submit Concurrence (3 days) Projects Implemented

Note: FHWA will retain full oversight for all ITS projects.

Intelligent Transportation System Program/Projects Performance/Compliance Indicators
ITS Architecture

  1. DelDOT will submit a bi-annual report that details the ITS elements and information flows that have been added to the Delaware Statewide ITS Architecture. The first report will be submitted beginning September 30, 2009.

Objective: Mitigate the impacts of congestion and improve system reliability.

Indicators:

  1. Percent of ITS projects in STIP implemented.
  2. Reduction in travel time delay. (2006 Baseline 12.2% in a.m., 14.7% in p.m.)

Reporting: Annually by October 31 for the previous Federal FY ending September 30.

3.11 Materials Quality Assurance Program

Background

The FHWA Division Office's Quality Assurance (QA) monitoring program is structured around 23 CFR 637. The overall purpose of the QA monitoring program is to assure the quality of materials and construction in all Federal aid highway projects on the National Highway System.

For Federal-aid projects on the NHS, the primary objectives of our QA monitoring program are:

  1. Maintain a close working relationship with DelDOT's materials and construction staff.
  2. Promote improvements when new approaches or technologies are developed and where deficiencies are identified.
  3. Assure that the materials incorporated in the construction work, and the construction operations controlled by sampling and testing are in conformity with the approved plans, specifications, special provisions, and the Materials and Construction Manuals.
  4. Provide oversight of construction materials, and compliance with federal requirements on a state-wide basis.
  5. Assure adequate and qualified staff to maintain Quality Assurance and Independent Assurance (IA) program.

Operating Environment

Section 106 of Transportation Equity Act for the 21st Century further enhances flexibility on Project Approval and Oversight from that provided under ISTEA of 1991. FHWA will monitor DelDOT's Quality Assurance Program for materials used in Construction on non-exempt Federal-aid projects. Details of oversight provided for monitoring DelDOT's Materials QA Program for Construction are included in the Materials Manual. For exempt NHS projects, DelDOT will monitor the QA Program for Construction as if FHWA were fully involved except DelDOT does not need to send materials certification to FHWA.

Oversight Activities

The FHWA Division Office will review and approve DelDOT's Materials Quality Assurance Program as included in the Materials Manual on an on-going basis. The Materials Quality Assurance Program includes Acceptance Program, Independent Assurance Program, Materials Certification of non-exempt projects, AASHTO Accreditation Inspection Reports, Qualified Laboratory Program and Qualified Sampling & Testing Personnel Program. Additionally, by being a member of the individual task forces/teams/committees, FHWA will have an ongoing involvement in the development and implementation of the Materials Quality Assurance Program.

In general, the FHWA Division Office will monitor the implementation and effectiveness of the Quality Assurance Program through process reviews. Individual process reviews will be identified in the State Division Office's annual Strategic Plan. Additionally, FHWA Division Office Pavement & Materials Engineer will accompany area engineers for project inspections of non-exempt projects.

Materials Quality Assurance Program Summary Table
  NHS Full oversight & NHS Exempt Exempt
Activity/Item DelDOT Action FHWA Action DelDOT Action FHWA Action
Quality Assurance Program
Materials test methods and updates, Materials quality assurance manual, Sampling and testing frequency guide
Prepare (on going) and submit to FHWA Approve within 14 working days DelDOT prepares and approves. Accepted based on approval for full oversight projects
Qualified Technician Program Develop/ implement and submit to FHWA Approve within 14 working days Required by DelDOT Accepted based on approval for full oversight projects
Qualified Laboratory Program Develop/ implement and submit to FHWA Approve within 14 working days Required by DelDOT Accepted based on approval for full oversight projects
AASHTO accreditation inspection reports Maintain accreditation, submit inspection report Review, make recommendations for consideration (as necessary) within 14 working days Required by DelDOT Accepted based on approval for full oversight projects
Independent Assurance Program (system-based approach) Prepare annual report and submit to FHWA Review, Comment, recommendations for consideration (annual) within 14 working days DelDOT prepares and approves Accepted based on approval for full oversight projects
Public Interest Findings (PIF) with respect to materials (if applicable) Prepare and submit to FHWA Approve within 14 working days Prepare and submit Approve in 14 working days
Qualified Product List (QPL) (if applicable) Develop and submit to FHWA Review and make recommendations within 14 working days Prepare and approve Review and make recommendations within 14 working days

Note: FHWA will approve Materials Certification for NHS full oversight projects. Materials certification for NHS exempt projects will be prepared and approved by DelDOT.

Materials Quality Assurance Performance/compliance Indicators:

Objective: Improve pavement smoothness on NHS

  1. Improve pavement smoothness on NHS compared to annual and long-range strategic performance goals of DelDOT and FHWA. DelDOT Materials & Research will start recording data in Federal FY Year 2008.
  2. Compliance with requirements of 23 CFR, subpart B.

Reporting: Annually by October 31 for the previous Federal FY ending September 30.

3.12 Pavement Management and Design Program

Background

Pavement Management: Title 23 U.S.C. 303(a) directs the U.S. Secretary of Transportation to issue regulations for State development, establishment and implementation of system for managing highway pavements; Pavement Management System (PMS), bridges on and off federal-aid highways; Bridge Management System (BMS), highway safety; Safety Management System(SMS), traffic congestion; Congestion Management System (CMS), public transportation facilities and systems; Information Management System (IMS) and traffic monitoring system (TMS) for highways and public transportation facilities and equipment. If DelDOT elects to implement one or more of the systems, it will cooperate with Metropolitan Planning Organizations (MPO) for urbanized areas of the State in implementing and developing a management system.

DelDOT has an operational PMS. This system is operated by the Pavement Management Section, within Maintenance and Operations.

Pavement Design: 23 U.S.C. 109 requires that pavement be designed in accordance with current and predicted traffic needs in a safe, durable and cost effective manner. The regulations do not specify the procedures to be followed to meet this requirement. Rather each State Highway Agency is expected to use a design procedure, which is appropriate for their conditions. DelDOT follows the design procedure that is outlined in the AASHTO Guide for Design of Pavement Structures.

Oversight Activities

The FHWA Division Office through participation in various task forces meetings will ensure that pavement-related activities, including new and rehabilitated pavement design and construction, pavement management, research, technology transfer, HPMS, vehicle weight enforcement program, etc., are well coordinated among functional/administrative areas of the FHWA Division Office.

The FHWA Division Office will review and provide comments on DelDOT's pavement design/rehabilitation procedures, policy and guidelines on an ongoing basis. Additionally, by being a member of the individual task forces, teams, and committees, FHWA will have an ongoing involvement in the development, update and implementation of pavement design procedures.

In general, the FHWA Division Office will monitor the implementation, operation and effectiveness of the PMS and DelDOT's pavement design process through reviews. The FHWA Division Pavement & Materials Engineer will conduct oversight of the Pavement Management System.

Pavement Management and Pavement Design Program Summary Table
Activity/Item DelDOT Action FHWA Action Product
Pavement Management System (PMS) Develop and submit plan to FHWA, including updates (Pvmt Mgmt) Review, Comment, Make Recommendations for Consideration (on going basis) Pavement Management Manual
Annual Rehabilitation Project List Provide candidate locations and final location list to FHWA (Pvmt Mgmt) Review and provide comments as needed within 14 working days List of Projects
Conduct joint review of design and recommendations Provide necessary documentations to FHWA (Pvmt Mgmt and/or M&R) Review, Comment, Make Recommendations for Consideration (annual) Process reviews Report
Pavement design guide, policy and procedures as per AASHTO Design Manual. Develop and submit to FHWA (M&R) Review, Comment, Make Recommendations for Consideration (on going basis) Approve originals and updates within 14 working days Pavement Manual

Pavement Management and Pavement Design Program Performance/Compliance Indicators:

  1. Adoption of mechanistic-empirical pavement design procedures and progress compared to annual and long-range strategic performance of DelDOT and FHWA.
  2. Accomplishment of objectives established in the yearly system preservation program budget allocation plan.

Reporting: Annually by October 31 for the previous Federal FY ending September 30.

3.13 Preventive Maintenance Program

Section 116 of 23 U.S.C. requires States to maintain, or cause to be maintained any project constructed as part of a Federal-aid system (Interstate system and NHS). FHWA is responsible for maintenance of all Federal-aid projects.

FHWA staff will observe Delaware's highway conditions during their routine travel activities. Also, the staff may perform in-depth maintenance reviews when appropriate. All significant maintenance deficiencies observed during official travel will be called to the attention of the appropriate DelDOT personnel. Follow-up actions, if necessary, will be taken by FHWA Division Office staff to ensure maintenance issues are properly addressed. The oversight activities of DelDOT's routine maintenance program will apply to NHS and non-NHS routes.

A Preventive Maintenance (PM) activity shall be eligible for Federal assistance if the State demonstrates to FHWA that the activity is a cost-effective means of extending the useful life of a Federal-aid highway. FHWA staff will assist DelDOT in developing PM programs, identify eligible activities, and provide information on best practices and technologies. The preventive maintenance (PM) will include all eligible maintenance activities within Federal-aid R/W. DelDOT should develop statewide PM programs for eligible activities and submit to FHWA for review and comment, if Federal funds are to be used for statewide maintenance activities. In the absence of a statewide program, DelDOT will seek FHWA's approval on case by case or by activity basis. The FHWA Division Office would review the activities and provide its determination on effectiveness.
The oversight activities of the State's preventive maintenance program will apply equally to NHS and non-NHS routes. The FHWA Division Office will review and monitor DelDOT's program and projects for preventive maintenance and Federal-eligibility.
FHWA Preventive Maintenance monitoring activities will be a continuous process and will be done mostly on programmatic basis. Annual process reviews may be developed and conducted. The items for process reviews will be influenced by either FHWA Division Office's or DelDOT's observations of perceived strengths and/or weaknesses in the State's preventive maintenance program or activities. Deficiencies observed will be reported to the appropriate DelDOT personnel. Follow-up activities, if necessary, will be performed by the FHWA Division Office.

Preventive Maintenance Program Summary Table
Activity DelDOT Action FHWA Action Outcome
Routine Maintenance of Federal-aid Highways Adequately maintain highways Conduct windshield & in-depth inspections, report findings to DelDOT personnel Deficiencies reported
Preventive Maintenance (individual activities) Identify individual PM activities in various areas Review & provide recommendations within 15 days PM activities defined
Preventive Maintenance (program) Develop a PM Program and update annually Review & provide recommendations within 15 days
Assist DelDOT in developing and implementing PM
Develop a PM Program
Monitor Federally funded PM & rehabilitation accomplishments Prepare annual accomplishment report Review & recommend changes to plan, information Annual report & improved program
PM Technology Transfer Identify and propose Technology Transfer activities Assist DelDOT with identification, marketing, and implementation Improved PM program

Preventive Maintenance Program Performance/Compliance Indicators

Objective: Provide longer lasting highway infrastructure through systematic preservation program that is based on the sound management practices (e.g. asset management)

Indicators:

  1. Number of assets/areas with preventive maintenance programs
  2. Number of projects implemented based on the preventive maintenance programs
  3. Conformity with the FHWA Preventative Maintenance Eligibility memo dated 10/8/2004

Reporting: Annually by October 31 for the previous Federal FY ending September 30. It is anticipated that a more formalized preventive maintenance program will be in place sometime in Federal FY 2008 and that DelDOT will begin reporting in October, 2009 provided the plan is in place.

3.14 Research, Development and Technology Transfer (RD&T) Program

The purpose of the program is to implement the provisions of 23 U.S.C. Chapter 5 for research, development, and technology transfer programs, and studies undertaken with FHWA planning and research funds. The primary requirements of the program as provided in section 420 of 23 CFR include development and maintenance of an FHWA approved program manual, development of annual work program, oversight of program activities, submission of performance and expenditures reports, conducting peer reviews, and maintenance of program certification.

The FHWA Division currently has full oversight responsibility of the RD&T program. This oversight is both administrative and technical. Such oversight responsibility requirements are typically fulfilled by FHWA Division Office staff by proactively participating in the development of the annual program, thoroughly reviewing the annual program prior to its approval, thoroughly reviewing individual proposals prior to approval, and thoroughly reviewing the annual report. The FHWA Division Office diligently participates in ongoing program activities such as DelDOT Research Advisory Board meetings, LTAP Advisory Board meetings, routine technical and policy meetings, peer review meetings, and technology transfer events, etc. DelDOT fully exercises its flexibility in the use of funds and determination of eligible activities that meet the requirements of Section 420 of the CFR.

Research, Development and Technology Transfer (RD&T) Program Summary Table
Activity DelDOT Action FHWA Action Outcome
DelDOT Research Manual Prepare in coordination with FHWA as noted in 23 CFR 320.209 Review/approve Research Manual
Annual Work program Prepare & Submit by 6/1 Review and approve within 20 days Annual research work program
Amendments to work program Submit to FHWA as needed Review and approve within 10 days Modified Work program
LTAP Review, approve, and submit to FHWA for approval by 6/1 Review and approve within 10 days Annual LTAP work program
Pooled Fund Studies Select and request authorization of funds in FMIS Authorize funds within 5 days Partnership established
NCHRP Request authorization of funds in FMIS Authorize funds within 5 days NCHRP sponsored
TRB Request Authorization of funds Authorize funds in 5 days TRB sponsored
UTC Annual Work program Submit for comments Provide comments in 10 days UTC Annual Work program
Peer Exchange Sponsor/host Participate/support Report submitted for information
Annual Performance & Expenditures report Prepare and submit within 90 days after the end of reporting period Review Annual Report
Certification of Research Management Process Prepare and submit with annual work program Review and approve with annual work program within 20 days Certified compliance with 23 CFR
New Products/Experimental Features Evaluate/recommend Approve/provide technical assistance Reports due within 90 days of completion

RD&T Program Performance/Compliance Indicators

Objective 1: To adopt innovations and new technologies meeting DelDOT's strategic goals and objectives and/or supporting FHWA's strategic goals and objectives.

Indicators:

  1. Number of innovative technologies implemented through either research or technology transfer that meet DelDOT's and/or support FHWA's strategic goals and objectives
  2. Percent of research studies/activities that support FHWA and/or DelDOT's priorities
  3. Number of technology transfer training courses/workshops conducted, including those through UTC T2 Center.

Reporting: Annually by October 31 for the previous Federal FY ending September 30.

3.15 Miscellaneous Program

This section summarizes miscellaneous programs and activities that may not be covered under other sections.

Activity DelDOT Action FHWA Action Outcome
Emergency Relief (ER) Program Conduct site review and prepare application for ER funds. (DelDOT response lead section) Conduct site review
(10 days)
Site approval and ER fund allocation
Requests under SEP-14 and SEP-15 Program
(Still experimental)
Prepare request Review/forward request with recommendation to HQ Request approved/disapproved
Warranty Projects
(NHS projects only)
Prepare request on case by case or program basis (DelDOT lead section) Review and approve specifications Warranty specifications
Emergency Preparedness Prepare program/plans Information EP program/plan

Miscellaneous Program Performance/Compliance Indicators:

Not Applicable

Previous

Contact

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

 
 
Updated: 04/07/2011
 

FHWA
United States Department of Transportation - Federal Highway Administration