Skip to contentUnited States Department of Transportation - Federal Highway AdministrationSearch FHWAFeedback

Federal-aid Program Administration

< Previous

Federal-aid Highway Program Stewardship and Oversight Agreement

Iowa Department of Transportation And Federal Highway Administration Iowa Division

APPENDIX A

FHWA REVIEWED/APPROVED IOWA DOT MANUALS, POLICIES, SPECIFICATIONS, GUIDES, AND PROCEDURES

Appendix A: State Manuals, Policies, Specifications, Guides, and Procedures

Administration

  • Iowa DOT Policies and Procedures (PPM)
  • 300.04 – Prequalification of Architectural, Engineering, and Related Professional and Technical Firms
  • 300.12 – Negotiated Contracts for Architectural, Engineering, and Related Professional and Technical Services
  • 420.05 – Value Engineering
  • 500.02 – Can-Do ProcessM
  • 500.03 – Wetlands
  • 500.06 – Utility Adjustment for Highway Improvement Projects
  • 500.07 – Highway Traffic Noise Analysis and Abatement
  • 500.11 – Construction/Maintenance Contract Lettings
  • 500.15 – Process for New or Revised Interchanges
  • 500.17 – Cultural Resource Protection
  • 500.18 – Work Zone Safety and Mobility
  • 510.02 – Project Development Public Involvement Plan

Iowa Administrative Code Chapter 111 – Real Property Acquisition And Relocation Assistance Chapter 112 – Primary Road Access Control Chapter 115 – Utility Accommodation Chapter 116 – Junkyard Control Chapter 117 – Outdoor Advertising Chapter 132 – Iowa Scenic Byway Program

Bridge and Structural Design

Guidelines for Preliminary Design of Bridges and Culverts English and Metric CADD Standards Reinforcing Bar Dimensions and Details Bridge Design Manual Reinforced Concrete Box Culvert Design Criteria Rating
(1)
Bridge Inspection Training Manual, July 1991
(2)
Inspection Manual for Sign Structure
(3)
Load Ratings for Standard Bridges, Final Report for HR239- Phase III
(4)
Bridge Maintenance Inspection and Evaluation, White, Minor, and Derucher, 2nd Ed, 1992

Iowa DOT Bridge Standard Plans

Construction

Construction Manual, Chapter 2 and 5

Contracts

  • Bid Item Description Book – letting guidelines
  • Contract Compliance Plan (Plan on compliance for Contract Compliance for EEO/AA) Disadvantaged Business Enterprise (DBE) Plan DBE Plan required by 49 CFR
  • Part 26 Title VI Plan Affirmative Action Plan ADA Transition Plan (to bring our system into compliance for ADA) Construction Contract time Determination Procedures Required by 23 CFR
  • 635.121 Liquidated Damages Procedures required by 23 CFR 635.127

Location and Environment

National Programmatic Agreement "Implementation of Transportation Enhancement Activities" July 2002 – State of Iowa Programmatic Agreement "Procedures for Implementation of Section 106 Requirements" Categorical "No Historic Properties Affected" PMOU Programmatic Categorical Exclusion Agreement July 31, 1996 – Merged NEPA/404 process (Can-Do Reference Manual Chapter 7) March 1, 2001 – FHWA/Iowa DOT agreement authorizing Iowa DOT to make initial consultation with State Historic Preservation Officer August 7, 1986 – Informal Section 7 consultation delegated by FHWA to all State highway or transportation agencies

Local Systems

Federal-aid Project Development Guide Instructional Memorandums (IMs) to Local Public Agencies (LPAs) Policy for Accommodating Utilities on the County and City Non-Primary Federal-aid Road System

Maintenance

Materials

Iowa DOT Office of Materials Instructional Memoranda Iowa DOT Office of Materials Laboratory Manual

Modal

Planning

  • Guidelines for Development of the Iowa Statewide Transportation Improvement Program (STIP)
  • Process for New or Revised Interstate Access in Iowa
Right-of-Way

Uniform Manual, Real Property Acquisition, and Relocation Iowa DOT Right of Way Manual

Roadway Design

  • Iowa DOT Design Manual (English and Metric)
  • Iowa DOT Standard Road Plans Manual (English and Metric)
  • Iowa DOT Road Design Details (English and Metric)

Specifications

  • Iowa DOT Standard Specifications for Highway and Bridge Construction (English and Metric)
  • Iowa DOT General Supplemental Specifications for Highway and Bridge Construction

Traffic & Safety

  • Comprehensive Highway Safety Plan
  • Iowa DOT Traffic and Safety Manual

Finance

APPENDIX B

AASHTO AND RELATED MANUALS, POLICIES, SPECIFICATIONS, AND GUIDES

Appendix B: AASHTO and Related Manuals, Policies, Specifications, and Guides

General

  • AASHTO Green Book: A Policy on Geometric Design of Highways and Streets AASHTO Highway Capacity Manual AASHTO – Guide for the Planning, Design, and Operation of Pedestrian Facilities
  • AASHTO – Guide for the Development of Bicycle Facilities AASHTO – Very Low Volume Local Road Policy

Bridge and Structural Design

  • Structural Welding Code–Reinforcing Steel, ANSI/AWS D1.4-92, 1992. American Association of State Highway and Transportation Officials (AASHTO)
  • Standard Specifications for Highway Bridges 17th Ed. 2002. AASHTO LRFD Bridge Design Specifications English Units 4th Ed. 2007. AASHTO Standard Specifications for Structural Supports for Highway Signs,
  • Luminaries and Traffic Signals 2001, w/ 02 & 04 Interims.
  • American Welding Society (AWS) D1.5-2002 Bridge Welding Code w/ 03 & 05 interims AASHTO LRFD Bridge Construction specifications, 2nd ed, 2004. AASHTO Specifications for Design of Pedestrian Bridges, 1997 Recording and Coding Guide for the Structure Inventory and Appraisal of the
  • Nation's Bridges, Report No. FHWA-PD-96-001, December 1995 Manual Condition Evaluation of Bridges, 2000, w/ 01 & 03 interims AASHTO Guide Specifications for Horizontally Curved Girders, 2002 AASHTO Guide Specifications for Bridge Temporary Works, 1995 AASHTO Construction Handbook for Bridge Temporary Works, 1995 AASHTO, Guide Specifications for Highway Bridge Fabrication with HPS70W
  • Steel. AASHTO Guide Specifications for Seismic Isolation Design, 2000 AASHTO Guide Specifications for The Design of Stress-Laminated Wood Decks,
  • 1991
  • AASHTO Guide Specifications and Commentary for Vessel Collision Design Of Highway Bridges, 1991 AASHTO Guide Specifications for Strength Evaluation of Existing Steel And
  • Concrete Bridges, 1989
  • AASHTO Guide Specifications for Structural Design of Sound Barriers, 1989 w/ 1992 & 2002 interims
  • AASHTO Guide Specifications for Fatigue Design of Steel Bridges, 1989 AASHTO Guide Specifications for Strength Design of Truss Bridges (Load Factor Design), 1986
  • AASHTO Guide Specifications for Fracture Critical Non-Redundant Steel Bridge Members, 1978
  • AASHTO – NSBA Steel Bridge Collaboration AASHTO – Guide Specifications – Thermal Effects in Concrete Bridge Superstructures, 1989.
  • PCI Design Handbook Precast and Pre-stressed Concrete 6th Edition, 2004 Formwork for Concrete, 6th Ed., 1995 ACI Detailing Manual – 1994. CRSI Design Handbook – 1996 Metric Properties of Structural Shapes (AISC) Highway Structures Design Handbook – Steel Volumes I and II (AISC) Four LRFD Design Examples of Steel Highway Bridges, SI units, Vol. II, Chapter
  • 1A, Highway Structures Design Handbook, National Steel Bridge Alliance Manual of Steel Construction

Construction

Contracts

Location and Environment

Local Systems

Maintenance

Materials

Standard Specifications for Transportation Materials and Methods of Sampling and Testing, parts I and II, AASHTO 1995 American Society for Testing and Materials (ASTM) American Welding Society (AWS) Code American Wood Preserver's Association (AWPA) American Institute of Steel Construction (AISC) Society of Automotive Engineers (SAE) Industrial Fasteners Institute (IFI) American Society of Mechanical Engineers (ASME)

Modal

Planning

  • NCHRP Report 365 – Travel Estimation Techniques for Urban Planning – Barton-Aschman Associates Inc.
  • Trip Generation, 7th Edition – Institute of Transportation Engineers
  • NCHRP Report 255 – Highway Traffic Data for Urbanized Area Project Planning and Design – JHK & Associates

Right-of-Way

Roadway Design

AASHTO – A Policy on Design Standards Interstate System, AASHTO – Roadside Design Guide

Traffic and Safety

Manual of Uniform Traffic Control Devices NCHRP 350 Standards, Policies, and Standard Specifications

APPENDIX C

FEDERAL LAWS, REGULATIONS, AND POLICIES (APPLICABLE TO FEDERAL-AID PROJECTS)

Federal-aid Highway Program Stewardship and Oversight Agreement – Iowa

Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Accommodation of Utilities 645 Subpart B   Applies to all projects on Federal-aid highways.
Nonsegregated Facilities 633A42 USC § 2000d et seq.41 CFR 60.1.8Title VI of the Civil Rights Act of 1964All contracts and subcontracts of $10,000 or more.
Disadvantaged Business Enterprise140(c)200 & 230 13 CFR 121 13 CFR 124 48 CFR 1 Parts 19, 26, and 52 49 CFR Part 26 (DBE) 49 CFR Part 21 (Title VI) 49 CFR 18.36 Applies as necessary to meet State DBE program goals.
Equal Employment Opportunity140 (a), (b), (c), & (d)1.9 1.36 230 Subpart A, C, & D 231.311 41 CFR 60-1 41 CFR 60-4Executive Order 11246 Executive Order 11375 Federal Aid Highway Act 1968 Federal Aid Highway Act 1970 
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
On-the-Job Training140(a) & (b)230A 230.111 (b) 230.113  SAFETEA-LU Section 5204(e)Applies to all Federal-aid highway construction projects.
Use of Convict Labor and Convict Produced Material114(b)635.117(a) 635.417    Applies to all Federal-aid highway construction projects on Federal-aid highways.
Nondiscrimination101,200, 230A,29 USC 79428 CFR 35The Civil Rights Act ofAll contracts and subcontracts of
 109(h),230D,42 USC29 CFR 16301964, Title VI$10,000 or more.
 140, &635.1072000e41 CFR 60The Age Discrimination 
 32465242 USC49 CFR 21, 23and Employment Act of 
   3601-361928 CFR 50.31967 
   42 USC49 CFR 1.48The Age Discrimination 
   4601-465549 CFR 25Act of 1975 
   42 USC49 CFR 27The American 
   12101- 12213 Disabilities Act of 1990 
   49 USC 322 Title VII Fair Housing Act FHWA Order 4710.8 Executive Order 11246, 11375, & 13166 Section 504, Rehabilitation Act of 1973 
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Payment of Predetermined Minimum Wage113633 Subpart A 635.30940 USC 276(a) & (c)29 CFR 1, 3, 5Davis-Bacon Act Copeland Anti-Kickback ActProjects within the ROW of a Federal-aid highway exceeding $2,000.
Statements and Payrolls 635.11840 USC 276(a) & (c) 18 USC 87429 CFR 3, 5Davis-Bacon Act Copeland Anti-Kickback ActProjects within the ROW of a Federal-aid highway exceeding $2,000.
Subletting or Assigning the Contract 633 & 635.116   All projects on NHS
Safety: Accident Prevention (OSHA compliance) 635.10840 USC 33329 CFR 1926OSHAApplies to all Federal-aid construction projects.
False Statements Concerning Highway Projects 633A, 635.11918 USC 1020  Applies to all Federal-aid construction projects.
Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion 635.112(g) 49 CFR 29  
Certification Regarding the Use of Contract Funds for Lobbying 635.112(g)49 USC 322A49 CFR 20 Contracts and subcontracts exceeding $100,000.
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Buy America313635.410  STAA Section 165Applies to all Federal-aid highway
     ISTEA Section 1041(a)construction projects. Requires use of
     & 1048(b)domestic iron and steel with provisions for waivers. http://www.fhwa.dot.gov/construction/cqit/buyam.cfm
Indian Preference on140635.11742 USC FHWA Notice 4720.7Any project meeting "Guidance"
Federal-aid Projects (Labor & Employment)  2000e  criteria
Non-Collusion Certification23 USC 11223 CFR 635.112(f)   Applies to all Federal-aid highway construction projects.
Standardized Changed Conditions Contract Clauses23 USC 112(e)23 CFR 635.109   Applies to all Federal-aid highway construction projects with possible exception of design-build
Drug-Free Workplace   49 CFR 29  
Publicly Owned Equipment 635.106  OMB Circular A-87Applies to all Federal-aid highway construction projects.
Contractor Purchased for State Ownership302140 49 CFR Part 18 Applies to all Federal-aid highway construction projects.
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Equipment Rental Rates 140.910 48 CFR Part 31 49 CFR 18.32OMB Circular A-87 FAPG NS 23 CFR 635.120Applies to all Federal-aid highway construction projects.
Foreign Contractor and Supplier Restriction   49 CFR 30 Applies to all Federal-aid highway construction projects.
Salvage credits   49 CFR 18.36 Applies to all Federal-aid highway construction projects.
Method of112(a) &635.104 49 CFR 18.36Brooks ActApplies to all Federal-aid highway
Construction (low bid(b)635 Subpart  Technical Advisoryconstruction projects.
for construction B  T5080.4 & T5080.6 
contracts)      
Owner Force Account / Cost Effective Justification112B635B    
Alternate Bids 635.411(b)    
Bonding and112635.110 49 CFR Part 29  
Prequalification   Suspended, debarred 49 CFR 18.36  
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Advertising for Bids112635.112 49 CFR Part 20 (Lobbying) 49 CFR Part 29 49 CFR 18.36  
Contract Time 635.121  Technical Advisory T5080.15, Construction Contract Time Determination ProceduresApplies to Federal-aid highway construction projects on the NHS.
Bid Opening and Tabulation 635.113 49 CFR 18.36 49 CFR 18.35  
Reimbursement Construction Engineer Costs1121.11, 172, 635.105(b)40 USC 1101-1104 Brooks Act 
Change Orders 635.102, 635.120 & 635.121   Applies to Federal-aid construction projects on the NHS.
Claims 635.124   Applies to Federal-aid construction projects on the NHS.
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Liquidated Damages 635.127   Applies to Federal-aid construction projects on the NHS.
Incentive / Disincentive Clauses 635.127 (d, f)  Technical Advisory T5080.10 Incentive/Disincentive (I/D) for Early Completion 
Project Supervision and Staffing114 & 302635.105    
Work Hours  40 USC 327330 Contract Work Hours & Safety Standards Act 
Consultants112172 140 Subpart H40 USC Chapter 11, 1101-110449 CFR 18 2 CFR 225 (OMB Circular A-87) 48 CFR part 31 48 CFR Chapter 99 Cost Accounting StandardsBrooks Act Generally Accepted Accounting Principles (GAAP) 
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
FHWA 1273114, 315633 49 CFR 1.48  
Proprietary Materials112635.411   Applies to all Federal-aid highway construction projects.
State Preference112635.409   Applies to all Federal-aid highway construction projects.
State Owned / Furnished/ Designated Materials112635.407   Applies to all Federal-aid highway construction projects.
Engineer's Estimate106630 A&B  FHWA's "Guidelines On Preparing Engineer's Estimate, Bid Reviews And Evaluation" January 20, 2004Applies to all Federal-aid highway construction projects on the NHS.
General Materials Requirements 635 Subpart D    
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Implementation of the Clean Air Act and Federal Water Pollution Control Act 633 & 777 33 USC 1251, 1368, & 1386 42 USC 185740 CFR 15 30 CFR 404 All contracts and subcontracts of $100,000 or more.
Environment 771, 772, 774, & 77742 USC 432140 CFR 1500 50 CFR 402National Environmental Policy Act Section 4(f) of the Department of Transportation Act and implementing regulations; Section 106 of the National Historic Preservation Act and implementing regulations 36 CFR 800; Section 404 of the Clean Water Act; and Section 7 of the Endangered Species Act, 
Policy on Lands, Wildlife and Waterfowl Refuges & Historic Sites 77149 USC Sec. 303   
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Right-of-Way 1.23 & 710,42 USC 460149 CFR 24Uniform Relocation 
  750  Assistance and Real Property Acquisition Policies Act of 1970 
Endangered Species   50 CFR 402  
Farm Lands Protection   7 CFR 658Farm Lands Protection Act 
Historic Preservation   36 CFR 800National Historic Preservation Act 
Flood Plain 650 & 77133 USC 401,ExecutivePublic Law 97-424, 
Management  491Order 11988Transportation Assistance Act of 1982 National Flood Insurance Program 
Erosion Control 650B  Federal Water Pollution Control Act 
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Procedures for Abatement of Highway Traffic Noise and Construction Noise 772    
Bridge Replacement & Rehabilitation Program144646 Subpart B 650.405    
Navigational Clearances for Bridges 650 Subpart H    
National Bridge Inspection Standards 650 Subpart C   Applies to all highway bridges on public roads.
Metric    Omnibus Trade and Competitiveness Act of 1968 
Standard Specifications and Plans 630B   Applies to all Federal-aid highway construction projects on the NHS.
Emergency Relief120, 125668  FHWA's Emergency Relief Manual 
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Traffic Control109(d)655 Subpart F  Manual of UniformApplies to all public roads
Devices    Traffic Control Devices Iowa Administrative Code 761, Chapter 130 
Work Zones402(a)630 Subpart J 630 Subpart K 634   23 CFR 634 applies to federal-aid highway system
Highway Safety Improvement Program148, 40292449 USC 408   
Highway Safety Laws153, 154,192, 1206, 49 CFR 1.48,  
 158, 159,1210, 1215, 49 CFR 1.50  
 161, 163,1225, 1252, 49 CFR 501  
 164, 4021270, 1275    
ITS Architecture101, 106, 109, 133, 315, 508940 49 CFR 1.48  
Crashworthiness Standards109625, 655(f)  FAPG NS 23 CFR 625 NCHRP Report 350 
Railroad Insurance109(e), 120(d), 130, 315646A    
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Pavement Design 626    
Quality Assurance Procedures for Construction 637 Subpart B    
Administrative Requirements302Subchapter A, Part 1 420.115 49 CFR 18 49 CFR 19 2 CFR parts 1, 180, 215, 220, 225, & 230OMB Circular A-102 OMB Circular A-110 OMB Circular A-21 OMB Circular A-87 OMB Circular A-122 
Audits112(b)(2)140-Subpart H 48 CFR 31, Federal Acquisitions Regulations 49 CFR 18.26 2 CFR parts 220, 225, 230, andOMB Circular A-133 
Records Retention   49 CFR 18.42  
Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Project Agreement106630 Subpart A 420.115    
Advance Construction115630G    
State Infrastructure Bank610   NHS Act of 1995 
Funds Management 630 Subpart A 49 CFR 18. 49 CFR 19SAFETEA-LU section 1904 
Funds Transfers103(d) 104 119(b)   SAFETEA-LU section 1108 FHWA HPP & TI Implementing Guidance 
Major Projects106   TEA-21 SAFETEA-LU 

Page C-15 September 2008 Federal-aid Highway Program Stewardship and Oversight Agreement – Iowa

Appendix C: Federal Laws, Regulations, and Policies (Applicable to all Federal-aid Projects unless noted in the column labeled "Remarks")7
SUBJECT23 USC23 CFROTHER USCOTHER CFROTHER LAWS AND GUIDANCEREMARKS
Value Engineering106(e)627  SAFETEA-LUApplies to projects on the Federal-aid system estimated to cost over $25 million and bridge projects estimated to cost over $20 million

APPENDIX D

IOWA PERFORMANCE MEASURES FOR STEWARDSHIP AND OVERSIGHT AGREEMENT

Appendix D: Iowa Performance Measures for Stewardship and Oversight Agreement

Reported by Iowa DOT to FHWA by August 1.

  • Ratio of wetland acres replaced to acres impacted by highway construction.
  • Percent of Highway Safety Improvement Program Funding investment obligated each year.
  • Percent change of International Roughness Index (IRI) from previous year for the NHS.
  • Number of shoulder miles of new paved shoulders on primary highways for the NHS >3000ADT.
    • Average Pavement Condition Index (PCI) for:
      1. Planning Class 1 (Interstate)
      2. Planning Class 2 (CIN)
  • SI&A values of Iowa DOT bridge system.
  • Percent of state projects clearances obtained six weeks prior to letting where DOT is the contracting authority.
  • Implement portions of Top 5 Percent Safety Report.
  • Implement portions of Comprehensive Safety Plan.
  • Develop a 20 Year Long Range Transportation Plan.
  • Percent of International Fuel Tax Agreement (IFTA) quarterly reports filed annually.
  • Percent of Oversize permit requests filed electronically. Reported by FHWA to Iowa DOT by November 1.
  • FMIS Transaction Times – Report statistics on time from Iowa DOT submittal to FHWA approval of FMIS transactions.
  • Time to close full oversight projects – Report statistics on time from initial authorization/obligation to project is closed in FMIS.

APPENDIX E

PROGRAMMATIC AGREEMENT FOR INHERENTLY LOW-RISK OVERSIGHT PROJECTS ON THE INTERSTATE SYSTEM

Programmatic Agreement for Inherently Low-Risk Oversight Projects On the Interstate System between the Federal Highway Administration Iowa Division Office (FHWA) and the Iowa Department of Transportation (DOT)

WHEREAS, the FHWA has the responsibility for administering Federal requirements with respect to all projects constructed with funds made available under title 23, United States Code, including responsibilities relating to design, plans, specifications, estimates, contract awards, contract administration, and inspections;

WHEREAS, there are some projects on the Interstate System that are routine and inherently low risk that are generally non-controversial and in which the State DOTs have a high-level of experience and documented procedures and processes in place for ensuring compliance with federal requirements;

WHEREAS, it is mutually desirable to both the FHWA and Iowa DOT to streamline the approval process of these routine and inherently low risk projects;

WHEREAS, 23 U.S.C. 106(c)(4) provides that the Secretary of the United States Department of Transportation may not assume any greater responsibility than the Secretary is permitted on September 30, 1997;

WHEREAS, on September 30, 1997, 23 U.S.C. 106(b) permitted the States to approve, on a project-by-project basis, plans, specifications, and estimates for projects to resurface, restore, and rehabilitate highways on the National Highway System (NHS), and further permitted the States to request that the Secretary no longer review and approve highway projects on the NHS with an estimated construction cost of less than $1,000,000;

NOW THEREFORE, the FHWA and Iowa DOT hereby agree as follows:

  1. Inherently low risk oversight projects include those that are routine, low risk projects and generally non-controversial in which the State DOTs have a high-level of experience and documented procedures and processes in place for ensuring compliance with federal requirements.

    These projects would not:

    • Include complex or unique engineering features
    • Be a portion of a non-low risk oversight project
    • Add mainline capacity
    • Jeopardize the long-term safety or operation of the Interstate System
    • Include projects that are classified as "major projects"
    • Involve new partners (public/private partnerships)
    • Involve new, innovative contracting methods
    • Be viewed as high risk
    • Pavement and/or bridge preventive maintenance.
    • Pavement and/or bridge rehabilitation.
    • Pavement and/or bridge resurfacing.
    • Pavement and/or bridge reconstruction in-kind to current standards – defined as removal and replacement of existing pavement structure or the overlay of an existing pavement structure.
    • Rest areas rehabilitation or replacement at the same location with no revisions to access control.
    • Signing, landscaping, and lighting.

    This is not to be considered an all inclusive listing. If projects other than those listed above are determined by Iowa DOT to satisfy the qualifications for a low risk oversight project, Iowa DOT may request a low risk oversight project determination from the Iowa Division on a case-by-case basis.

    1. For the inherently low risk oversight projects as defined in paragraph 1, FHWA is granting its approval, in advance of the actual delivery of the projects, for these projects' designs, plans, specifications, estimates, contract awards, contract administration, and inspections. These advance approvals are not deemed to occur until after the completion of the National Environmental Policy Act (NEPA) process and the satisfaction of other related environmental laws and procedures.
    2. For the inherently low risk oversight projects as defined in paragraph 1, if a design exception is required, the approval of the design exception will be retained by FHWA.
    3. For the inherently low risk oversight projects as defined in paragraph 1, FHWA's oversight will be satisfied by a risk management framework and process/program reviews. It is understood that FHWA's approval of funds for these projects at either the pre-construction or construction phase constitutes a determination that the project in question is eligible for Federal-aid and that the appropriate federal requirements have been met to date or defined steps are to be taken to ensure that requirements will be met. Notwithstanding this determination, FHWA continues to retain overall responsibility for all aspects of Federal-aid programs and, as such, shall be granted full access to review any aspect or record of a Federal-aid project at any time.

APPENDIX F

PROJECT ACTION RESPONSIBILITY

Appendix F: Project Action Responsibility

PROJECT ACTIONAGENCY RESPONSIBLE
NHS PROJECTS (Oversight by FHWA)NHS PROJECTS (Delegated Projects)Non-NHS PROJECTS (Delegated Projects)
PROGRAMMING AND PROJECT AUTHORIZATION/AGREEMENT PROCESS
Verify project in STIPFHWAIowa DOTIowa DOT
Verify eligibility for proposed funding categoryFHWAIowa DOTIowa DOT
Approve HBP for bridges not on Selection ListFHWAFHWAFHWA
FINANCIAL MANAGEMENT
Obligate Federal funds and Approve Federal-aid Project Agreement (PR-2)FHWAFHWAFHWA
Approve Federal vouchersFHWAFHWAFHWA
PRELIMINARY DESIGN
Project Concept StatementIowa DOT(1)Iowa DOT(1)Iowa DOT
Consultant Selection and Agreements PPM 300.12FHWAIowa DOTIowa DOT
Approve exceptions to design standards [23 CFR 625.3(f)]FHWAIowa DOT(2,3)Iowa DOT
Changes in Access to the Interstate System (IJR)FHWANANA
Modification to Interstate that does not result in a change of access (Technical Memorandum provided to FHWA for information and review)Iowa DOTIowa DOTIowa DOT
Public interest finding with respect to airport-highway clearance (23 CFR 620.104)FHWAIowa DOT(4)NA(4)
Participation limits in bridges over railroad (23 CFR 646 Subpart B)FHWAIowa DOTIowa DOT
Approval of TS&LFHWAIowa DOTIowa DOT
DETAILED DESIGN
Approve preliminary plans for major and unusual structures [23 USC 109(a)]FHWA(5)Iowa DOT(2)Iowa DOT
Approve retaining right-of-way encroachmentsIowa DOTIowa DOTIowa DOT
Approve use of negotiated contractsFHWAIowa DOTIowa DOT
Approve use of publicly owned equipment (23 CFR 635.106)FHWAIowa DOTIowa DOT
Approve the use of proprietary products, processes (23 CFR 635.411)FHWAIowa DOTIowa DOT
Concur in use of publicly furnished materials (23 CFR 635.407)FHWAIowa DOTIowa DOT
PS&E AND ADVERTISING
Approve plans, specifications and estimates (23 CFR 630.205)FHWAIowa DOTIowa DOT
Authorize(7) advance construction and conversions (23 CFR 630.703 & 709)FHWAFHWAFHWA
Authorize(7) utility or railroad force account work (23 CFR 645.113 & 646.216)FHWAFHWAFHWA
Approve utility and railroad agreements (23 CFR 645.113 & 646.216)Iowa DOTIowa DOTIowa DOT
Approve use of consultants by utility companies [23 CFR 645.109(b)]Iowa DOTIowa DOTIowa DOT
Approve exceptions to maximum railroad protective insurance limits (23 CFR 646.111)FHWAIowa DOTIowa DOT
Exempt bridge from Coast Guard permit requirements (23 CFR 650.805)FHWAFHWAFHWA
Authorize(7) advertising for bids (23 CFR 635.112)FHWAFHWAFHWA
Approve hiring of consultant to serve in a "management" role [23 CFR 172.9(d)]FHWAIowa DOTIowa DOT
Approve consultant agreements (23 CFR 172)FHWAIowa DOTIowa DOT
ENVIRONMENT
All approval actions required by Federal laws and regulations except as noted on next three linesFHWAFHWAFHWA
Programmatic Categorical ExclusionsIowa DOTIowa DOTIowa DOT
Initial Consultation with State Historic Preservation Officer per FHWA March 1, 2001 letterIowa DOTIowa DOTIowa DOT
Informal Section 7 Consultation per FHWA 1986 letterIowa DOTIowa DOTIowa DOT
RIGHT-OF-WAY
State ROW operations manual (23 CFR 710.201)FHWAFHWAFHWA
Authorize(7) Right-of-Way activities (23 CFR 710.307) (If a Federal-aid project)FHWAFHWAFHWA
Accept Right-of-Way certificate as a condition of PS&E approval [23 CFR 635.309(b)(c)]FHWAIowa DOTIowa DOT
Approve Hardship and Protective Buying [23 CFR 710.501 & 710.503] (If Federal-aid project)FHWAFHWAFHWA
Approve air space agreements [23 CFR 710.405]FHWAFHWANA(4)
Approve non-highway use and occupancy [23 CFR 710.407]FHWAFHWANA(4)
Approve disposal of federally funded right-of-way [23 CFR 710.409]FHWAFHWANA(4)
CONSTRUCTION
Approve cost effectiveness and emergency determinations for contracts awarded by other than competitive bidding (23 CFR 635.104 & 204)FHWA(6)Iowa DOT(6)Iowa DOT(6)
Approve construction engineering by local agency (23 CFR 635.105)FHWAIowa DOTIowa DOT
Approve advertising period less than three weeks (23 CFR 635.112)FHWAIowa DOTIowa DOT
Approve addenda during advertising period (23 CFR 635.112)FHWAIowa DOTIowa DOT
Concur in award of contract (23 CFR 635.114)FHWAIowa DOT(2)Iowa DOT
Concur in rejection of all bids (23 CFR 635.114)FHWAIowa DOT(2)Iowa DOT
Approve changes and extra work (23 CFR 635.120) (Construction Manual, Chapter 2)FHWAIowa DOTIowa DOT
Approve contract time extensions (23 CFR 635) (Construction Manual, Chapter 2)Iowa DOTIowa DOTIowa DOT
Concur in use of mandatory borrow/disposal sites (23 CFR 635.407)FHWAIowa DOTIowa DOT
Accept materials certification (23 CFR 637.207)FHWAIowa DOTIowa DOT
Concur in settlement of contract claims (23 CFR 635.124) (Construction Manual, Chapter 2) (Standard Specification 1109)FHWAFHWAIowa DOT
Concur in termination of contracts (23 CFR 635.125)FHWAIowa DOT(2)Iowa DOT
Waive Buy America provisions (23 CFR 635.410)FHWAFHWAFHWA
Final inspection/acceptance of completed work [23 USC 114(a) and 23 USC 121]FHWAIowa DOTIowa DOT
CIVIL RIGHTS
Approval actions as required by Federal laws and regulationsFHWAFHWAFHWA
Endnotes: (1) FHWA provided copy for review and comment. (2) Informational copy to FHWA (record keeping and reporting). (3) Exceptions for vertical clearance are subject to coordination with the Military Traffic Management Command for the "26,000 mile priority network" (mainly; the Interstate). Coordination may be accomplished through FHWA. (4) Approvals, if any, will be those required by State laws, regulations, policies, and procedures. However, this does not relieve Iowa DOT from responsibility for these areas, nor from compliance with non-Title 23 Federal requirements, which may remain applicable. (5) Typically approved by FHWA Headquarters Bridge Division unless Iowa Division Office has substantial experience with this bridge type. (6) Authorization document in FMIS should reference approvals of this type in State remarks section. (7) The term authorize in this table refers to a FMIS action.

APPENDIX G GLOSSARY

Appendix G: Glossary

CFR – Code of Federal Regulations

FMIS – FHWA's Fiscal Management Information System that is used for project authorization and obligation and is FHWA's major financial information system.

FMIS Final Voucher – Joint project closure document that closes the FMIS record, also referred to as the project closure document for FHWA.

FMIS Project Closure – Joint, final FMIS action taken on a project that closes the FMIS record, also referred to as the final voucher for FHWA.

Grant – An award of financial assistance, including cooperative agreements, in the form of money, or property in lieu of money, by the Federal Government to an eligible grantee. The term does not include technical assistance, which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, interest subsidies, insurance, or direct appropriations. In addition, the term does not include assistance, such as a fellowship or other lump sum award, which the grantee is not required to account for.

Grantee – The government to which a grant is awarded and which is accountable for the use of the funds provided. The grantee is the entire legal entity even if only a particular component of the entity is designated in the grant award document.

Inherently Low Risk Oversight Projects – Routine, low risk projects and generally noncontroversial in which the State DOTs have a high-level of experience and documented procedures and processes in place for ensuring compliance with federal requirements.

Interstate Reconstruction – Additional mainline capacity, modification and/or creation of new access points, removal and replacement of the pavement structure or the overlay of an existing pavement structure more than 4" thick, modification or creation of rest areas/weigh stations, or removal and replacement of any significant part of the substructure or superstructure of an existing bridge.

Major Projects – Those projects receiving Federal financial assistance with an estimated cost of $500 million or more or projects that have been identified by the United States Department of Transportation Secretary as being "Major" because of special interest.

Non-Title 23 Requirements – Requirements of the grantee and subgrantee of the Federal-aid program that are not contained with Title 23 of United States Code. Examples of these requirements include but are not limited to Environmental, Civil Rights, Davis-Bacon wage rates, procurement of engineering and design related services, and Disadvantaged Business Enterprises that apply to all projects and are subject to review regardless of oversight process.

Process Reviews/Program Evaluations (PR/PE) – A review conducted whose primary purpose is to provide a monitoring and control technique that documents procedures and processes and further assures that Federal-aid funds are being spent in accordance with Federal laws, regulations, and policies. In addition, PR/PEs evaluate the effectiveness of the processes, procedures, and products developed by Iowa DOT in all phases of a project, as well as the internal operations of the FHWA Iowa Division.

Program Assessment – The evaluation of a program's strengths and weaknesses to make the program more effective by looking at all factors that affect and reflect program performance

Risk Assessment – The evaluation of risk for likelihood and impact.

Risk Management – The systematic identification, assessment, and management of threats and opportunities on projects and programs.

State Administered Program or Projects – Programs or Projects where FHWA has delegated and Iowa DOT has assumed responsibility for all necessary approvals and activities are in accordance with State policies, practices and standards, and Title 23, USC. Iowa DOT's assumption of FHWA's responsibility for review and approval authority does not alter the applicability of Federal laws on Federal-aid projects.

Subgrant – An award of financial assistance in the form of money, or property in lieu of money, made under a grant by a grantee to an eligible subgrantee. The term includes financial assistance when provided by contractual legal agreement.

Subgrantee – The government or other legal entity to which a subgrant is awarded and which is accountable to the grantee for the use of the funds provided.

Title 23 Requirements – Requirement of the grantee and subgrantee of the Federal-aid program that are contained within Title 23 of United States Code such as bidding requirements, planning, design standards, emergency relief, and so on.

USC – United States Code


7 Source: FHWA Contract Administration Core Curriculum Participants Manual & Reference Guide

< Previous

Contact

Firas Ibrahim
Office of Program Administration
202-366-1564
E-mail Firas

 
 
Updated: 04/07/2011
 

FHWA
United States Department of Transportation - Federal Highway Administration