Printable version (pdf, 57 kb)

Letter of Agreement and Stewardship Plan

Federal Highway Administration and Hawaii Department of Transportation

January 5, 2007

Table of Contents

• Signed Letter of Agreement
• Stewardship Planning Committee Members
• Section 1: Background and Overview
• Section 2: Oversight Activities
• Section 3: HDOT-Highways Division Organization Chart
• Section 4: Project/Program Oversight
  • 4.1: Planning
  • 4.2: Environment
  • 4.3: Right-of-way
  • 4.4: Consultant Services
  • 4.5: Design
  • 4.6: Construction
  • 4.7: Maintenance
  • 4.8: Materials
  • 4.9: Structures
  • 4.10: Safety
  • 4.11: Traffic Engineering and Intelligent Transportation Systems
  • 4.12: Financial Management and Accounting
  • 4.13: Research and Technology Transfer
  • 4.14: Civil Rights
  • 4.15: Risk Assessment
• Section 5: Glossary
• Section 6: Acronyms

List of Illustrations

• Figure 1. Project Oversight Flowchart
• Figure 2. Hawaii DOT Organizational Diagram Highways Division

Signed Letter of Agreement

The Hawaii Department of Transportation (HDOT) and the Federal Highway Administration, Hawaii Division (FHWA) agree to follow the procedures set forth in the FHWA and HDOT Stewardship Plan, dated January 5, 2007, which is attached to and made a part of this agreement, to carry out their respective oversight responsibilities in the delivery of Federal-aid projects. This Letter of Agreement supersedes all past agreements, including the agreement signed February 24, 1993.

The Stewardship Plan (Plan) accomplishes a major goal of the respective agencies, in partnership, to further improve program and project delivery in the State of Hawaii. Since 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, FHWA's relationship with HDOT has changed from full project oversight and approval of every project or activity funded with FHWA funds to program oversight and some targeted project level approval. ISTEA, TEA-21 and SAFETEA-LU requires the FHWA Hawaii Division to share certain oversight responsibilities with its HDOT partner to a much greater extent than in the past and HDOT's acceptance has resulted in a greater program accountability due to less federal involvement in certain projects and programs.

Although stewardship roles have changed, accountability has not changed. FHWA remains responsible and accountable to Congress and the public. HDOT is also committed to being accountable and responsive to its constituents, the people of Hawaii.

This Plan embodies the shared vision:

"Together create a dynamic, Hawaii inspired, transportation system that improves the quality of life in Hawaii through a partnership based on mutual respect, trust, and cooperation that ensures the judicious use of public resources."

Narrative, matrix tables and flow charts in the Stewardship Plan outlines responsibilities and accountability for FHWA and HDOT. The purpose of the Plan is to clarify actions, prevent misinterpretation and avoid time delays.

The Stewardship Plan is a living document that can be modified to incorporate additional legislation, and other processes or changes that may impact the oversight responsibilities. The FHWA Hawaii Division Administrator or the Director of HDOT may initiate changes to this Stewardship Plan. Both parties, HDOT and FHWA, shall mutually agree upon all future changes.

It is the mutual objective of FHWA and HDOT to work toward providing the State of Hawaii the maximum flexibility as permitted by law and to implement the shared vision.

Stewardship Planning Committee Members

Steering Committee

FHWA: Jodi Chew, Richelle Takara
HDOT: Gary Choy, Gerald Dang

Working Groups

SECTION 1: BACKGROUND AND OVERVIEW

Congress has charged the Federal Highway Administration (FHWA) with administering the Federal-Aid Highway Program (FAHP) under Title 23, and other associated laws. In addition, FHWA's responsibility for administering the FAHP has been clearly outlined in the following legislations: the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991; the Transportation Equity Act of the 21st Century (TEA-21) of 1998; and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005. These laws allow States to assume certain delegated responsibilities for FHWA in certain National Environmental Policy Act approvals and in the design, construction, award and inspection of certain Federal-aid projects.

The FHWA and the State Departments of Transportation (SDOTs), the funds recipients, have jointly administered the FAHP for many years. With the enactment of ISTEA, the Stewardship Agreement was introduced and provided a documented provision that addressed how the SDOT and FHWA division office would handle the delegated authorities for certain project action. Since that time, and the passage of SAFETEA-LU, the overall program has evolved requiring a more comprehensive Agreement that covers all aspects of the FAHP. This new Agreement provides a road map to effectively and efficiently execute the Federal-aid program relating to program/project delivery. FHWA assistance is not just financial integrity; it is managerial and technical as well.

Stewardship goes beyond regulatory compliance or oversight. This Stewardship Plan (Plan) outlines the roles of both FHWA and HDOT. In order to distinguish stewardship from oversight the following definition will apply:

Stewardship: The efficient and effective management of the public funds that have been entrusted to the Federal Highway Administration.

Oversight: The act of ensuring that The Federal highway program is delivered consistent with applicable laws, regulations and policies.

This Stewardship Plan serves as a continuing plan of program oversight and responsibilities for each agency covering the following functional areas:

• Planning
• Environment
• Right-of-way
• Consultant Services
• Design
• Construction
• Maintenance
• Materials
• Structures
• Safety
• Traffic Engineering and Intelligent Transportation Systems
• Financial Management and Accounting
• Research and Technology Transfer
• Civil Rights
• Risk Management

The Plan takes into account FHWA's and HDOT's resources and capabilities, and the area of responsibilities and federal requirements where FHWA has an active role in the oversight process. The Plan sets the general framework for accomplishing FHWA's stewardship and oversight responsibilities. In general, FHWA will use Process Review/Product Evaluation (PR/PE) techniques to assess the capability and capacity of HDOT in those areas where HDOT has assumed FHWA's responsibilities. FHWA will also use these techniques to monitor and evaluate HDOT's fulfillment of the responsibilities outlined in this Plan.

In cases where project level activity is still an integral part of FHWA's stewardship and oversight efforts, early involvement in project decisions combined with an assessment of the quality of the products produced during the project development process will be the primary focus.

In addition the Plan includes the stewardship responsibilities for various programs with identified action by each agency. FHWA will use Program Activities as defined later in this Plan to monitor and evaluate program performance and effectiveness. This Plan incorporates mutual service standards that include agreed upon formats and procedures for HDOT and FHWA actions.

SECTION 2: OVERSIGHT ACTIVITIES

This Agreement between the HDOT and the Hawaii Division of the FHWA sets forth the respective roles and responsibilities of each party in the administration and oversight of the FAHP in the State of Hawaii.

Program Oversight

FHWA has full oversight of all Federal-aid programs. FHWA will manage and provide oversight of Hawaii's Federal-aid programs in various ways. The methods used will include:

• Routine day-to-day program actions and other interaction.
• Division participation on HDOT task forces, quality teams, implementation committees reviews with individuals, attendance at HDOT meetings, etc.
• PR/PE reviews.
• CPI activities will be undertaken in cooperation with HDOT as needed.

FHWA's PR/PE approach will comprise the traditional process of comprehensively reviewing and evaluating State and/or local agency policies, procedures, practices and controls for the development and implementation of Federal-aid projects and programs.

FHWA will provide technical assistance to HDOT and local agencies on any aspect of eligible Title 23 projects. Such technical assistance activities will be identified on a case-by-case basis in consultation with HDOT and other interested partners.

FHWA will work with HDOT in carrying out the program related stewardship responsibilities.

HDOT Responsibilities

As a condition to accepting Federal-aid highway funds, HDOT agrees to follow all applicable project and program requirements. In addition, as party to this agreement, HDOT assumes project oversight responsibilities, in accordance with the following:

• NHS Projects on the Interstate – HDOT assumes oversight responsibility for the design, plans, specifications, estimates, contract award and inspection for all NHS projects with an estimated construction cost of $5 million or less on the Interstate System. All Interstate projects must comply with all Title 23 U.S.C. and non-Title 23 U.S.C. requirements.
• Other NHS Projects (not on the Interstate System) – HDOT assumes oversight responsibility for the design, plans, specifications, estimates, contract award and inspection of projects on the NHS with an estimated construction cost of $10 million or less. All NHS projects must comply with all Title 23 U.S.C. and non-Title 23 U.S.C. requirements.
• Non-NHS Projects – HDOT assumes oversight responsibility for the design, plans, specifications, estimates, contract award and inspection of projects not on the NHS. Non-NHS projects are required to be designed, constructed, operated and maintained in accordance with State laws, regulations, directives, safety standards, design standards, and construction standards, in lieu of many Title 23 requirements. Requirements that are applicable to all Federal-aid projects include, but are not limited to, transportation planning, procurement of professional services, Davis-Bacon wage rates, advertising for bids, award of contracts and Buy America Act provisions. All non-NHS projects must also comply with all non-Title 23 U.S.C. requirements.
• Local Agency Projects – HDOT is responsible for assuring that all local agency Federal-aid projects comply with all applicable Federal and State requirements.

FHWA Responsibilities

While ultimately accountable for all Federal-aid highway projects, FHWA is responsible for full project level oversight as indicated below:

• Special Projects – FHWA will retain full oversight responsibility for (1) Innovative Financing; (2) Innovative Contracting; and (3) Interstate Route H-3 Completion Projects.
• NHS projects on the Interstate and Certain Other Projects – FHWA will have full oversight on NHS projects on the Interstate System with an estimated construction cost greater than $5 million. FHWA will conduct project level oversight of Title 23 U.S.C. and non-Title 23 U.S.C. requirements on full oversight projects. FHWA will take approval action on project plans, specifications, estimates, contract awards and inspection of projects.
• Other NHS Projects (not on the Interstate System) – FHWA will have full oversight on NHS projects with an estimated construction cost greater than $10 million. FHWA will conduct project level oversight of Title 23 U.S.C. and non-Title 23 U.S.C. requirements on full oversight projects. FHWA will take approval action on project plans, specifications, estimates, contract awards and inspection of projects
• Non-Title 23 Responsibility – FHWA will continue to be responsible for the oversight of applicable non-Title 23 requirements. Such oversight will be conducted through a combination of both project and program level activities.

In consultation with HDOT, FHWA may become involved with the project level oversight of any Federal-aid project, including those for which HDOT has assumed oversight responsibility. In addition, any Federal-aid project may be included in the project sampling for program level review activities.

Figure 1. PROJECT OVERSIGHT FLOWCHART

Description of Figure 1:
Does the Federal-aid project use Innovative Financing/Innovative Construction. If yes, then full federal oversight. If no, ask "is it interstate completion?" If yes, then full federal oversight. If no, ask "is it Emergency Relief?" Then full federal oversight. If no, ask "is it on the NHS?" If no, then it is state administered. If yes, ask "is the construction greater than $10 million." If yes, then full federal oversight. If no, ask "is it on the interstate?" If no, it is state administered. If yes, ask "is construction estimated greater than $5 million?" If no, then state administered. If yes, then full federal oversight.

Note: If either agency wants to place a project in the other category, the proposing agency shall bring up the issue to the other agency at the STIP stage or at the beginning of the project.

Section 3: HAWAII DOT ORGANISATIONAL DIAGRAM

Figure 2. HAWAII DOT ORGANISATIONAL DIAGRAM (see discription below)

Description of Figure 2:
HDOT Organizational Chart (Top Level Down)
First Level: Director of Transportation
Second Level: Deputy Directors, Office of Special Compliance Programs, Deputy Director Staff Services, Office of Civil Rights, Public Affairs Office, Statewide Transportation Planning Office
Third Level: Airports Division, highways Division, Harbors Division
Fourth Level: Engineering Services Office State Services Office, Motor Vehicle Safety Office
Fifth Level: Planning Branch, Design Branch, Right-of-Way, Materials Testing and Research Branch, Construction and Maintenance Branch, Traffic Branch
Sixth Level: OAHU District, Kanu District, Maui District, Hawaii District

Section 4 - PROJECT/PROGRAM OVERSIGHT

• 4.1: Planning
• 4.2: Environment
• 4.3: Right-of-way
• 4.4: Consultant Services
• 4.5: Design
• 4.6: Construction
• 4.7: Maintenance
• 4.8: Materials
• 4.9: Structures
• 4.10: Safety
• 4.11: Traffic Engineering and Intelligent Transportation Systems
• 4.12: Financial Management and Accounting
• 4.13: Research and Technology Transfer
• 4.14: Civil Rights
• 4.15: Risk Assessment

SECTION 4.1 - PLANNING

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title 23 –United States Code (U.S.C.) Highways and non-Title 23 U.S.C. requirements.
• 23 CFR 420: Planning & Research
• 23 CFR 450: Statewide Transportation Planning; Metropolitan Transportation Planning
• 23 CFR 460: Public Road Mileage for Apportionment of Highway Safety Funds
• 23 CFR 470: Highway Systems
• 23 CFR 669: Enforcement of Heavy Vehicle Use Tax
• Guide to Reporting Highway Statistics - HPMS
• Heavy Vehicle Travel Information System Field Manual
• SAFETEA-LU Section 1117 – TCSP Program
• CMAQ Guidelines (February 2004)
• Federal Register, Volume 60:96 p. 26759 (May 18, 1995) – Scenic Byways
• July 24, 2001 FHWA HQ Memo

MONITORING

The overall effectiveness of the stewardship agreement pertaining to the Transportation Planning Program will be determined through a performance evaluation related to the timely production of required documents, plan implementation, and the quality and timeliness of other products produced as part of the program. Timely review and approval of the administrative paperwork is necessary to authorize the program and to ensure the state's accountability for the use of state and federal moneys.

The HDOT and FHWA Transportation Planning Program Stewardship Agreement performance objectives will be evaluated through actions such as but not limited to the following:

• Joint HDOT/FHWA reviews of the various Highway Performance Monitoring System (HPMS) data, traffic data, and various required statistical reports. FHWA Headquarters (Office of Policy and Information - HPPI) evaluates and checks HPMS data and conducts field reviews of the HPMS data in conjunction with the Division Office.
• Joint HDOT/FHWA (may also include FTA) planning team reviews MPO annual self-certification, discuss work program emphasis areas and schedules in coordination with OMPO.
• Quarterly review meetings between HDOT Planning Staff (STP & HWY-P) and FHWA to evaluate HDOT's progress in meeting work objectives contained in the SPR work program, overall planning program, and data collection and analysis processes.

SECTION 4.2 - ENVIRONMENT

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• 23 CFR Part 771 – Environmental Impact and Related Procedures
• 23 CFR Part 772 – Procedures for Abatement of Highway Traffic Noise and Construction Noise
• 23 CFR Part 777 – Mitigation of Impacts to Wetlands and Natural Habitat
• National Environmental Policy Act
• Section 106 of the National Historic Preservation Act
• 36 CFR Part 800, Protection of Historic Properties
• Section 7 of the Endangered Species Act
• HDOT Noise Analysis and Abatement Policy
• Public Involvement/Public Hearing Procedures for Federal-aid Highway Actions
• Hawaii Revised Statues Chapter 343 Environmental Impact Statements (HRS 343)
• Hawaii Administrative Rules, Chapter 11-200 Environmental Impact Statements
• Hawaii Revised Statues Chapter 341 Environmental Quality Control (HRS 341)
• Hawaii Administrative Rules, Chapter 11-201 Environmental Council Rules of Practice and Procedures
• Hawaii Revised Statues, 6E
• Act 50, Session Laws of Hawaii 2000 (cultural practices)
• Comprehensive Exemption List for the State of Hawaii Department of Transportation, November 11, 2000

MONITORING

Environment: Monitoring will be accomplished by the FHWA through project-by-project monitoring and environmental document approvals.

SECTION 4.3 - RIGHT-OF-WAY

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Constitution of the United States of America, Article V, the Fifth Amendment.
• Constitution of the United States of America, Article XIV, the Fourteenth Amendment.
• Constitution of the United States of America, Decisions of The United States Supreme Court.
• Title 23 U.S.C. – Highways.
• Title 42 U.S.C. (The Public Health), Chapter 51 (Uniform Relocation Assistance and Real Property Acquisition Policies for Federal and Federally Assisted Programs) – The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Public Law 91-646, 84 Stat. 1894-1907, 91st Congress, S.1, January 2, 1971 [Uniform Act; Uniform Relocation Act or URA], as amended.
• Title 49 U.S.C. – Transportation.
• 23 CFR Section 635.309 – Authorization
• 23 CFR Part 710 – Right-of-Way and Real Estate
• 23 CFR Part 750 – Highway Beautification
• 23 CFR Part 751 – Junkyard Control and Acquisition
• 23 CFR Part 752 – Landscape and Roadside Development
• 23 CFR Part 771 – Environmental Impact and Related Procedures
• 23 CFR Part 772 – Procedures for Abatement of Highway Traffic Noise and Construction Noise
• 23 CFR Part 777 – Mitigation of Environmental Impacts to Privately Owned Wetlands
• 49 CFR Part 24 – Uniform Relocation Assistance and Real Property Acquisition Policies for Federal and Federally Assisted Programs
• Federal-Aid Policy Guide, December 9, 1991 (FAPG), as revised.
• Right-of-Way Project Development Guide, FHWA-PD-92-020, September 1992 (Revised May 18, 2000).
• Constitution of the State of Hawaii Section 20 (Eminent Domain), Article I (Bill of Rights).
• Chapter 101, HRS -- Eminent Domain.
• Chapter 171, HRS -- Management and Disposition of Public Lands.
• Chapter 264, HRS –Highways.
• Departmental Staff Manual, Department of Transportation, State of Hawaii, July 30, 1993 (DSM), as revised.
• Procedures Manual, Highways Division, Department of Transportation, State of Hawaii, March 1969 (HDPM -- Outdated).
• Right-of-Way Manual, Right-of-Way Branch, Highways Division, Department of Transportation, State of Hawaii, December 2005 (ROW Manual – Revised and submitted to FHWA by January 1, 2006).

MONITORING

Although there are no exemptions under the law for any functions covered in 49 CFR 24, there is a dual concern (a) to protect the rights of property owners and displaced persons and (b) 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 conducted jointly with HDOT personnel whenever possible will be the method for evaluating compliance and effectiveness of the program areas, activities, approving action and products.

Certain ROW 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 ROW program. Joint reviews of these topics and their application will be conducted as needed.

Local Public Agencies (LPA), i.e. counties, are required to comply with the Uniform Act and its governing regulations found in 49 CFR 24 in the same manner as HDOT. As stipulated in 23 CFR 710.201(b), State Transportation Agencies are responsible for assuring that ROW acquisition programs and projects by LPAs are made in compliance with Federal and State laws and regulations.

HDOT has ultimate responsibility for assessing, ensuring and assuring LPA adherence to and conformance with applicable Federal, and State, regulations. HDOT exercises its oversight responsibilities of LPAs by scheduling annual, or more frequent, visits to conduct process reviews and provide technical assistance and overall guidance.

SECTION 4.4 – CONSULTANT SERVICES

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title 23 –United States Code (U.S.C.) Highways and non-Title 23 U.S.C. requirements.
• Title 23 - Code of Federal Regulations (CFR), applies to all NHS projects, regardless of oversight responsibilities.
• Section 103D-304, Hawaii Revised Statues (HRS), as amended
• Chapter 3-122, Subchapter 7, Hawaii Administrative Rules
• Department Staff Manual (DSM) Part 7 Procurement, Chapter 17 Professional Service

MONITORING

The monitoring of consultant procedures for all Federal-Aid projects will be reviewed by FHWA and HDOT on an annual basis in compliance with applicable manuals, processes, and procedures.

SECTION 4.5 -DESIGN

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title 23 –United States Code (U.S.C.) Highways and non-Title 23 U.S.C. requirements.
• Title 23 - Code of Federal Regulations (CFR), applies to all NHS projects, regardless of oversight responsibilities.
• A Policy on Geometric Design of Highways and Streets, AASHTO, as amended.
• Project Development Manual, Highways Division, Design Branch, as amended.
• Design Criteria for Highway Drainage, Highways Division, as amended.
• Design Exception Procedures.
• FHWA Checklist and Guidelines for Review of Geotechnical Reports and Preliminary Plans and Specifications, as amended
• Pavement Design Manual, Highways Division, Materials Testing and Research Branch, as amended
• Pavement Preventive Maintenance Guidelines, Highways Division, Materials Testing and Research Branch, as amended

MONITORING

DESIGN:

1. Design monitoring of all Federal-aid projects will be accomplished by the FHWA through the project-by-project monitoring of eligibility determinations and environmental document approvals.
2. Design monitoring of all Federal-aid projects will be through either periodic project status meetings (monthly status reports and/or quarterly over-the-shoulder reviews).

SECTION 4.6 - CONSTRUCTION

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title 23 –United States Code (U.S.C.) Highways and non-Title 23 U.S.C. requirements
• Title 23 - Code of Federal Regulations (CFR)
• 49 USC
• Highways Division Procedures Manual Volume 10 – Construction
• Hawaii Standard Specifications for Road, Bridge, and Public Works Construction ("Standard Specifications")
• Hawaii Revised Statues (HRS)
• Administrative Rules, Title 19, Highways Division

MONITORING

FHWA in conjunction with the HDOT will do construction documentation reviews and construction site inspections including prefinal and final inspections on a statewide sampling basis.

SECTION 4.7 - MAINTENANCE

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title 23 –United States Code (U.S.C.) Part 116

SECTION 4.8 - MATERIALS

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• 23 CFR Section 637 – Construction Inspection and Approval for all Federal-aid projects on the National Highway System (NHS)

MONITORING

FHWA will review and approve HDOT's Materials Quality Assurance Program on an on-going basis. The Materials Quality Assurance Program includes the Materials Acceptance Program, Qualified Technician Program, Qualified Laboratory Program, Independent Assurance Program, Materials Certification Program, and AASHTO Accreditation.

In general, FHWA will monitor the implementation and effectiveness of the Materials Quality Assurance Program through Process reviews.

SECTION - 4.9 STRUCTURES

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• 23 CFR Part 650 – Bridges, Structures, and Hydraulics
  • Subpart B – Erosion and Sediment Control on Highway Construction Projects
  • Subpart C – National Bridge Inspection Standards
  • Subpart D – Highway Bridge Replacement and Rehabilitation Program
• 23 USC 144, Highway Bridge Replacement and Rehabilitation Program
• 23 USC 151, National Bridge Inspection Program
• 23 USC 116(d), Preventive Maintenance
• FHWA Hawaii Division and Hawaii Department of Transportation, Bridge Preservation Program Guidelines, January 2005
• Hawaii Department of Transportation, Bridge Inspection Program (To be developed)
• FHWA Hydraulic Engineer Circulars #18, #20, and #23

MONITORING

• FHWA will perform an annual review, supplemented by other special reviews of specific program elements as appropriate, to evaluate State and each County's compliance with the National Bridge Inspection Standards (NBIS).
• The selection of State bridges for replacement, rehabilitation or preventive maintenance activities will be reviewed by FHWA and HDOT prior to programming.
• The selection of each County's bridges for replacement or rehabilitation will be reviewed by FHWA and HDOT prior to programming.
• FHWA and HDOT will perform an annual review to evaluate each County's compliance with the National Bridge Scour Evaluation Program (NBSE).

SECTION 4.10 - SAFETY

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• 23 USC 130 - Railway-Highway Crossing Program
• 23 USC 152 - Hazard Elimination Program (replaced by 23 USC 148)
• 23 CFR 924 - Highway Safety Improvement Program (elevated to core program; 23 USC 148)
• 23 USC 148 - HSIP, High-Risk Rural Roads Program (HRRR), Strategic Highway Safety Plan (SHSP)

MONITORING

Individual project related approval actions are included in the Design and Construction sections of this plan. HDOT will evaluate and submit an annual HSIP report and evaluation by August 31 of each year.

SECTION 4.11 TRAFFIC ENGINEERING AND INTELLIGENT TRANSPORTATION SYSTEMS

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• 23 CFR Part 630, Subpart J –Work Zone Safety and Mobility
• 23 CFR Part 655 – Traffic Operations
• 23 CFR Part 940 – Intelligent Transportation System (ITS) Architecture and Standards
• Manual on Uniform Traffic Control Devices (MUTCD)
• National ITS Architecture and Standards
• National ITS Program Plan
• Regional ITS Architectures
• Work Zone Safety and Mobility Policy, Processes and Procedures (to be developed)
• FHWA Policy Memorandum: Program Guidance on High Occupancy Vehicle (HOV) Lanes, March 28, 2001
• Hawaii Administrative Rules, Title 19, Subtitle 5, Chapter 128 Design, Placement, and Maintenance of Traffic Control Devices
• Hawaii Administrative Rules, Title 19, Subtitle 5, Chapter 129 Use of Traffic Control Devices at Work Sites on or Adjacent to Public Streets and Highways

MONITORING

DESIGN:

1. Design monitoring of all Federal-aid projects will be accomplished by the FHWA through the project-by-project monitoring of eligibility determinations and environmental document approvals.
2. Design monitoring of all Federal-aid projects will be through either periodic project status meetings (monthly status reports and/or quarterly over-the-shoulder reviews).

SECTION 4.12 - FINANCIAL MANAGEMENT AND ACCOUNTING

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title 23 USC 302 State Transportation Department
• Title 23 CFR Section 1.36 – Compliance with federal laws and regulations
• Title 49 CFR Part 18 – Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments [Office of Management and Budget (OMB) Circular A-102]
• Title 23 CFR Section 630.106 – Authorization to Proceed and Project Monitoring
• OMB Circular A-87 – Cost Principles for State, Local, and Indian Tribal Governments
• OMB Circular A-123 – Management's Responsibility for Internal Control
• OMB Circular A-133 – Audits of States, Local Governments, and Non-Profit Organizations
• Hawaii Revised Statues
• Session Laws of Hawaii, Regular and Special Sessions
• State of Hawaii Accounting Manual
• Financial Accounting and Management Information System (FAMIS) Procedures Manual
• Departmental Staff Manual (DSM)
• Department of Transportation, Highways Division Procedures Manual

PROGRAM APPROVAL ACTIONS

MONITORING

FHWA provides guidance and financial management technical assistance to alleviate issues and concerns in the administration of the federal-aid program through daily contact with HDOT personnel. The FHWA will continue to monitor or perform all financial management activities including:

1. risk assessment;
2. financial management review;
3. improper payments review;
4. inactive federal-aid project review;
5. administrative reviews;
6. single audit review, including sub-grantee reviews.

SECTION 4.13 - RESEARCH AND TECHNOLOGY TRANSFER

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• 23 USC 307 –
• 23 CFR Part 420 – Planning and Research Program Administration
• 23 USC Part 501-508
• FHWA Transportation Pooled Fund Program Procedures (http://www.tfhrc.gov/site/procedures.pdf )
• FHWA Policy Memo of 11/3/1994 – "State Planning and Research Administration; Guidelines"
• FHWA Policy Memo of 1/16/1997 – "Use of State Planning and Research (SPR) Funds for Tech Certification Program Course Development"
• FHWA Policy Memo of 1/26/2001 – "FHWA Development and Coordination of the Research and Technology Program"
• FHWA Order of 9/19/2001 – "Processing Research Projects Under TEA-21 Section 5001"
• HDOT Research, Development & Technology Transfer Program Manual, December 2004
• FHWA Guidelines for Projects Using Experimental Features
• A Guide to Federal-Aid Programs and Projects, FHWA-IF-99-006, Local Technical Assistance Program (LTAP) [formerly: Rural Technical Assistance Program (RTAP)]
• LTAP Handbook
• Administration of FHWA Planning and Research Funds, FHWA-PD-98-053
• LTAP Handbook
• 49 CFR 18
• Guidance on Use of FHWA Planning and Research Funds for Travel and Training
• FHWA, State DOT, and MPO Rights to Copyrighted and Patented Items Developed with FHWA Planning and Research Funds
• Procurement Rules; Chapter 103D, HRS
• Departmental Staff Manual
• Administrative Rules
• HDOT Research, Development & Technology Transfer Program Manual, December 2004
• Procurement Rules; Chapter 103D, HRS
• Departmental Staff Manual
• Administrative Rules
• HDOT Research, Development & Technology Transfer Program Manual, December 2004

MONITORING

SPR – Part 2 Research
FHWA exercises its oversight responsibilities through review of the annual program prior to approval actions, review of SPR Work Program amendments prior to approval, and ongoing participation of its technical specialists in pooled fund study technical panels. As appropriate, FHWA personnel participate in peer exchange reviews.

The FHWA Division Research and Technology Engineer oversee the administrative aspects and coordinates with the Division Office specialists for technical aspects.

FHWA reviews and approves an updated version of the manual when there are significant changes in the management process or new Federal regulation/policy are enacted.

LTAP
FHWA & HDOT exercises their oversight responsibilities through review of the annual work plan prior to approval actions, review of work plan amendments prior to approval, participation in the Advisory Board, and participation or planning of various LTAP-related activities.

SECTION 4.14 - CIVIL RIGHTS

APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES

• Title VI Program: Title VI of the Civil Rights Act of 1964, Executive Order 12898 (Environmental Justice in Minority & Low Income Populations).
• DBE Program: U.S. Department of Transportation, Title 49, Code of Federal Regulations, Part 26
• ADA Program: Americans with Disabilities Act of 1990, Title II; Section 504 of the Rehabilitation Act of 1973.
• EEO Program: Title VI of the Civil Rights Act of 1964; Title I of the Americans with Disabilities Act of 1990.
• Other related Civil Rights laws, rules and regulations.

MONITORING

Monitoring will include: reviewing of reports and program updates prepared by HDOT; analyzing such reports and updates to help identify trends, providing feedback and recommendations to HDOT; and participating, as appropriate, in HDOT task forces pertaining to civil rights initiatives. Additional monitoring activities include: review and recommendations to the counties regarding Title VI.

SECTION 4.15 - RISK MANAGEMENT

MONITORING

FHWA will employ a risk assessment process in consultation with HDOT to review and evaluate program areas that endeavor to balance risk with consideration of limited staffing resources, funding, and highway needs within the state. It will be the function of the Management Team to mutually endorse the results, agree to the recommendations, identify the necessary resources needed, and make resources available, either through administrative or legislative action, as soon as practical to address the recommendations from the program/process evaluations. The formal Risk Assessment will take place every two years (the odd number years). The Management Team will review the Risk Assessment every year to confirm its applicability.

SECTION 5 – GLOSSARY

Control Document – Applicable standards, policies and standard specifications that are acceptable to FHWA for application in the geometric and structural design of highways.

Core Functions – Activities that make up the main elements of the Division's Federal-aid oversight responsibilities based on regulations and national policies. Core functions in the Division Office are Planning, Environment, Right-of-Way, Design, Construction, Finance, Operations, System Preservation, Safety and Civil Rights.

Delegated Projects – Projects that do not require FHWA 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.

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 a project by project basis.

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 Administration.

Oversight – The act of ensuring that the Federal highway program is delivered consistent with laws, regulations and policies.

Performance/Compliance Indicators – These indicators track performance trends, health of the Federal-aid Highway Program and compliance with Federal requirements.

Risk Management – The systematic identification, assessment, planning and management of threats and opportunities faced by FHWA projects and programs.

Stewardship – The efficient and effective management of the public funds that have been entrusted to the FHWA.

SECTION 6 – ACRONYMS

Laws and Regulations

Plans, Programs, Projects and Systems