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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

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

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

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

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

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