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Louisiana Federal-Aid Highway Program Stewardship Agreement

2007

Developed in Partnership by the Federal Highway Administration and the Louisiana Department of Transportation and Development

Table of Contents

1. Introduction
2. Delegations Under TITLE 23 SECTION 106
3. Roles and Responsibilities of FHWA and LADOTD
4. Stewardship Plan Program Areas
   1. PLANNING
   2. ENVIRONMENT
   3. DESIGN
   4. BRIDGE AND STRUCTURES
   5. INTELLIGENT TRANSPORTATION SYSTEMS (ITS)
   6. RIGHT-OF-WAY
   7. UTILITIES
   8. FINANCIAL MANAGEMENT
   9. CONSTRUCTION AND CONTRACT ADMINISTRATION
   10. MAJOR PROJECTS
   11. LOCAL AGENCIES AND TRIBAL GOVERNMENTS
   12. PAVEMENT AND MATERIALS
   13. MAINTENANCE
   14. TRAFFIC OPERATIONS
   15. SAFETY
   16. CIVIL RIGHTS
   17. EMERGENCY RELIEF
   18. EMERGENCY/SECURITY
   19. RESEARCH, DEVELOPMENT AND TECHNOLOGY

• Appendix A: Acronyms
• Appendix B: Definitions
• Appendix C
• Appendix D: Project Action Responsibility Chart
• Appendix E: Program Action Responsibility Chart

• LA-ARRA Stewardship Agreement
• LA-City-State Agreement

I. INTRODUCTION

Purpose

This Stewardship Agreement clarifies the roles and responsibilities of both the Federal Highway Administration (FHWA) and the Louisiana Department of Transportation and Development (LADOTD) in implementing the Federal aid highway program. In situations where the LADOTD has accepted the responsibility for project oversight through the delegations provided in 23 USC 106, the LADOTD is to have an action that takes the place of the prior role of FHWA.

Authority for Delegation

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 legislation: 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. 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 provisions of the Stewardship Agreement do not modify the FHWA's non-Title 23 program oversight and project approval responsibilities for activities such as required under the Clean Air Act; the National Environmental Policy Act of 1969 (NEPA) and other related environmental laws and statutes; the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970; and the Civil Rights Act of 1964 and related statutes, unless expressly permitted by SAFETEA-LU Section 6004 and 6005. Under Title 23 planning functions cannot be delegated.

Stewardship Expectations

The Stewardship Agreement is intended to result in the effective and efficient management of public funds and to ensure that the Federal aid highway program is delivered consistent with laws, regulations, policies and good business practices.

The delegation options of Section 106 are desirable for LADOTD for the streamlining of processes. Delegations are desirable for FHWA because reduced project-level involvement allows for more effective application of personnel resources.

II. DELEGATIONS UNDER TITLE 23 SECTION 106

The following table defines oversight responsibility for Federal-Aid projects in Louisiana.

Note 1: NHS-projects are defined by system, irrespective of Federal funding source.
Note 2: As defined by 23 CFR 940 an ITS project is any project that in whole or in part funds the acquisition of technologies or systems of technologies that provide or significantly contribute to the provision of one or more ITS User Services as defined in the National ITS Architecture.

Exceptions:

1. State Administered projects (delegated) may be selected for full oversight by mutual agreement between FHWA & LADOTD. The selection will be agreed upon by the FHWA Assistant Division Administrator and the LADOTD Chief Engineer. Examples of projects which may be selected: Complex emergency relief projects, Major or complex bridge structure projects, or projects which involve a high degree of public controversy or environmental impacts.
2. A full oversight project may be delegated by mutual agreement between FHWA & LADOTD. The selection will be agreed upon by the FHWA Assistant Division Administrator and the LADOTD Chief Engineer. Examples of projects likely to be selected: NHS projects which do not affect traffic such as landscaping, rest area construction, fencing, signing and enhancement projects.

Louisiana Stewardship Agreement

FHWA and LADOTD mutually agree to the delegations defined in this section of the Stewardship Agreement as allowed by Title 23 Section 106 and further agree to abide by the procedures, practices, and business standards outlined throughout this Stewardship Agreement.

It is further agreed that incremental changes may be made to this agreement with the concurrent approval of the Chief Engineer of the LADOTD and the Assistant Division Administrator of FHWA for Louisiana, while retaining the integrity of the overall Stewardship Agreement.

This agreement replaces and supercedes the existing stewardship agreement dated 01/08/1998 between the FHWA and the LADOTD.

Effective Date of this agreement: September 1, 2007

III. Roles and Responsibilities of FHWA and LADOTD

A. Delegated (State Administered) Projects

LADOTD Project Responsibilities on Delegated Projects

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

NHS Projects Delegated to LADOTD
LADOTD assumes oversight responsibility for the design, plans, specifications, estimates, design exceptions, contract award, and inspection of all NHS projects which have been delegated to LADOTD as defined in Section II. All NHS projects must comply with all Title 23 U.S.C. and non-Title 23 U.S.C. requirements.

Non-NHS Projects
LADOTD assumes oversight responsibility for the design, plans, specifications, 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 law, regulations, directives, safety standards, design standards, and construction standards, in lieu of many Title 23 U.S.C. requirements. Title 23 U.S.C. 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, use of convict produced materials, Buy America Act provisions and other requirements. All non-NHS projects must also comply with all non-Title 23 U.S.C. requirements.

Local Agency Projects
LADOTD is responsible for assuring that all local agency Federal-aid projects comply with all applicable Federal and State requirements. LADOTD is not relieved of this responsibility even though the project may be delegated to the local agency. In accordance with 23 CFR 1.11 and 635.105, LADOTD is responsible for ensuring that the local agency has adequate staffing, project delivery systems, and sufficient accounting control to administer the project. If it is determined that a local agency is not equipped to adequately administer the project then LADOTD will either administer the project for them or withhold funding for the project until the local agency makes the necessary changes required to administer the project in accordance with State and Federal requirements.

FHWA Project Responsibilities on Delegated Projects

For projects delegated to LADOTD, as defined in Section II, FHWA retains authority for the following actions and approvals:

1. All Federal responsibilities for planning and programming oversight specified in 23 USC 134 and 135.
2. Federal air quality conformity determinations required by the Clean Air Act.
3. Obligation of funds.
4. Waivers to Buy America requirements (FHWA Washington Headquarters (HQ) approval required as noted in Mr. Horne's July 3, 2003 memorandum).
5. SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
6. Environmental approvals except those specifically delegated under Section 6004.
7. Addition of access points on the Interstate System.
8. Use of Interstate airspace for non-highway-related purposes.
9. Hardship acquisition and protective buying.
10. All non-Title 23 U.S.C. requirements including but not limited to:
    1. National Environmental Policy Act (NEPA) of 1969
    2. Section 4 (f) of the DOT Act of 1966
    3. Clean Air Act Amendments of 1990
    4. Uniform Relocation Assistance and Real Properties Acquisition Policies Act of 1970
    5. See appendix F for additional non-title 23 U.S.C. requirements
11. FMIS Transactions
    1. Project Authorizations
       1. Preliminary Engineering
       2. Environmental studies
       3. Right-of-way
       4. Utilities
       5. Construction
    2. Modifications to project agreements.
    3. Final vouchers.

B. Full Oversight Projects

FHWA Project Responsibilities on Full Oversight Projects

FHWA is responsible for project level oversight of Title 23 requirements on full oversight Interstate and NHS projects as defined in Section II of this stewardship plan. In addition, FHWA is responsible for oversight of non-Title 23 U.S.C. requirements. Project level actions by FHWA include the following:

1. Plan, Specifications & Estimates Approval
2. Approval Of Design Exceptions
3. Contract Concurrence In Award
4. Contract Change Order Approval
5. Approval Of Contract Claims Settlement
6. Final Inspection
7. Project Acceptance
8. All Federal responsibilities for planning and programming oversight specified in 23 USC 134 and 135.
9. Federal air quality conformity determinations required by the Clean Air Act.
10. Obligation of funds.
11. Waivers to Buy America requirements (FHWA Washington Headquarters (HQ) approval required as noted in Mr. Horne's July 3, 2003 memorandum).
12. SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
13. Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEA-LU.
14. Addition of access points on the Interstate System.
15. Use of Interstate airspace for non-highway-related purposes.
16. Hardship acquisition and protective buying.
17. All non-Title 23 U.S.C. requirements
18. FMIS Transactions
    1. Project Authorizations
    2. Modifications to project agreements.
    3. Final vouchers.

C. Other Project Involvement

FHWA will provide technical assistance to LADOTD 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 LADOTD and other interested partners.

FHWA and LADOTD will also work together on joint process reviews which may cover all types of Federal-aid projects.

D. FHWA Program Oversight

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

• Routine day-to-day program actions.
• Division participation on LADOTD task forces, research committees, process reviews and attendance at LADOTD meetings.
• Process reviews as determined through risk assessments.

FHWA Program Managers in each area will work with their LADOTD counterparts in carrying out the program related stewardship responsibilities.

For additional information on project and program oversight responsibility by LADOTD and FHWA, see the discussion and charts in the various program area sections in Chapter IV. These sections define:

• Methods of Oversight
• Control Documents
• Performance Indicators
• Program and Project Responsibilities

IV. STEWARDSHIP PLAN PROGRAM AREAS

A. Planning

1. Program Overview

   1. Work Programs

      Title 23 CFR, Part 420, Planning and Research Program Administration contains the policies and procedures for administering activities and studies undertaken by States and Metropolitan Planning Organizations (MPOs) funded through their respective Work Program or as separate projects not included in a Work Program.

      • (1) Statewide Planning and Research (SPR) Work Program

        Louisiana DOTD prepares the Work Program annually. FHWA provides pre-program guidance, draft review comments, if any, approves the Work Program, and authorizes SPR funds. FHWA monitors the work throughout the year using day-to-day involvement as appropriate. Louisiana DOTD submits Annual Accomplishments and Expenditure Reports to FHWA.

      • (2) MPO's Unified Planning Work Program (UPWP)

        The UPWP is prepared annually by each MPO and reviewed by Louisiana DOTD, FHWA and Federal Transit Administration (FTA). FHWA and FTA comments are provided to the MPO jointly with Louisiana DOTD's, or may be provided individually through the MPO's Technical Advisory Committee review process. FHWA authorizes Urban Planning Funds upon joint FHWA/FTA approval of the UPWP's. These funds are traditionally referred to as "PL" funds. Louisiana DOTD and FHWA monitor the Work Program through quarterly status and expenditure reports, and by participation in MPO meetings.

   2. Statewide Transportation Planning

      Title 23 CFR, Part 450, Subpart B, addresses the requirements of the statewide transportation planning process.

      • (1) Statewide Long Range Transportation Planning

        Louisiana DOTD develops a Statewide Long Range Transportation Plan which considers all modes of transportation. The Plan covers at least a 20-year planning horizon (20-years into the future), considers the eight planning factors as outlined in the CFR, and provides an opportunity for public comment. These factors are outlined below:

        1. Support the economic vitality of the metropolitan area (or State), especially by enabling global competitiveness, productivity and efficiency;
        2. Increase the safety of the transportation system for motorized and non-motorized users;
        3. Increase the security of the transportation system for motorized and non-motorized users;
        4. Increase the accessibility and mobility options available to people and for freight;
        5. Protect and enhance the environment, promote energy conservation, and improve quality of life
        6. Enhance the integration and connectivity of the transportation system, across and between modes, for people and freight;
        7. Promote efficient system management and operation; and
        8. Emphasize the preservation of the existing transportation system.

      • (2) Statewide Transportation Improvement Program (STIP)

        Louisiana DOTD develops a STIP containing all projects to be funded by FHWA and FTA for a four (4) year period. The STIP is updated biannually by Louisiana DOTD and submitted to FHWA and FTA for approval every other year. Projects contained in the STIP must be consistent with the Statewide Transportation Plan and the MPO TIPs, and must include public involvement and provide interested parties a reasonable opportunity to comment on the proposed program. Along with the STIP, Louisiana DOTD will certify that the projects in the STIP are based on a planning process that meets the requirements of 23 U.S.C. 134 and 135, 49 U.S.C. 5303, and 23 CFR 450.

   3. Metropolitan Transportation Planning

      • (1) MPO Long Range Transportation Plan

        Title 23, CFR Part 450, Subpart C, addresses metropolitan planning requirements. Each MPO must update their Long Range Transportation Plan every 5 years which: covers at least a 20-year planning horizon, includes long range and short range strategies which lead to an integrated intermodal plan; includes a financial plan which compares estimated revenues with costs of construction, maintenance, capital purchases and operations; considers the eight planning factors; and provide an opportunity for public comment.

      • (2) MPO Transportation Improvement Program (TIP)

        Each MPO, in cooperation with the State and its public transit operators will prepare and update a TIP each year covering at least four (4) years. The TIP shall include all projects requiring FHWA and FTA approval; include a priority list of projects to be carried out in the first four (4) years; identify each project or phase; and be financially constrained. The TIP development process must provide a reasonable opportunity for public comment. Highway and transit projects must be selected in accordance with the specific funding programs.

   4. Traffic Monitoring

      Title 23 CFR, Part 500 provides the regulatory guidance for the development and operation of a traffic monitoring system for highways including traffic counting, vehicle classification, and weigh-in-motion programs. The system is guided by the "AASHTO Guidelines for Traffic Data Programs," augmented by the FHWA "Traffic Monitoring Guide" and the "Highway Performance Monitoring System Field Manual."

   5. Highway Performance Monitoring System (HPMS)

      Title 23 CFR, Part 420 addresses the policy for states to provide data that support FHWA's responsibilities to the Congress and to the public. The Highway Performance Monitoring System Field Manual provides instructions for collecting and reporting quality and timely data in the condition and performance of the highways and streets.

   6. Highway Statistics Reports

      Title 23 CFR, Part 420 addresses the policy for states to provide data that supports FHWA's responsibilities to the Congress and to the public. The "Guide to Reporting Highway Statistics" manual provides instructions for compiling and reporting: motor fuel consumption, motor fuel tax revenues, motor vehicle registrations and fees, driver licenses and fees, highway income and expenditures, debt service, and highway capital outlay and maintenance expenditures which traditionally is referred to as the "500 series reports".

   7. Certification of Public Road Mileage

      Title 23 CFR, Part 460 addresses the policies and procedures for identifying and reporting public road mileage for utilization in the statutory formula for the apportionment of Highway Safety funds under 23 U.S.C. 402(c). By June 1 of each year, the Governor or LADOTD Secretary certifies the public road mileage in the state as of the end of the previous calendar year. In Louisiana, the LADOTD Secretary has been selected as the Governor's designee.

   8. Certification of Enforcement of Heavy Vehicle Use Tax

      Title 23 CFR, Part 659 prescribes requirements for states to follow in order to annually certify that proof of payment of the Federal Heavy Vehicle Use Tax is obtained before individuals can register their heavy trucks. By July 1 of each year, the Governor or LADOTD Secretary certifies that Louisiana is obtaining proof of payment of the Heavy Vehicle Use tax as a condition of registration. The 12-month certification period ends May 31. In Louisiana, the LADOTD Secretary has been selected as the Governor's designee.

2. Method of Oversight

   1. Program Approval Actions

      FHWA approval is on a yearly basis for the programs listed above and where noted on the following chart. As a condition for receipt of federal funds, LADOTD agrees to develop plans and work programs for statewide, metropolitan, and other transportation planning activities. FHWA will review these plans and programs to assure they meet applicable laws and regulations.

      Programs requiring oversight include:

      1. State and metropolitan planning sub-programs under the State Planning and Research Program (SPR).
      2. Statewide transportation planning process, including the STIP.
      3. Metropolitan Planning Organization (MPO) transportation planning process.

      LADOTD must also submit other planning related reports to FHWA. The reports include information on public road mileage for apportionment of highway safety funds; information collected from the Highway Performance Monitoring System; and information relating to the identification of Federal-aid highways, the functional classification of roads and streets, the designation of urban area boundaries, and the designation of routes on the Federal-aid highway systems.

      FHWA will serve on the MPOs Committees as an advisor and not as a voting member. Through FHWA/LADOTD's involvement with the MPOs, both agencies will continue to stress the importance of the public involvement process and will assist in applying appropriate levels of environmental consideration during the planning process to result in a more feasible, efficient, and acceptable transportation planning product.

   2. Project Approval Action

      Projects not originally included in an approved work program or TIP/STIP will need individual project approval from FHWA. An amendment to the appropriate planning document also needs to be processed.

   3. Monitoring

      LADOTD will monitor all SPR activities, including those of sub-recipients (local governments including county, municipalities, etc.) to assure the work is being managed and performed satisfactorily and that time schedules are being met. LADOTD will submit a report annually to FHWA documenting the results of its monitoring process.

      The State shall continually evaluate, revise, and periodically update the long-range statewide transportation plan, as appropriate, using the procedures in this section for development and establishment of the long-range statewide transportation plan. Copies of any new or amended long-range statewide transportation plan documents shall be provided to the FHWA and the FTA for informational purposes.

      FHWA and LADOTD periodically monitor MPO plans and activities to ensure they are in conformance with all applicable federal and state guidelines.

3. Document Control

   1. Applicable Laws, Regulations, and Procedures

      • Title 23 CFR, Part 420
      • Title 23 CFR, Part 450, Subpart B
      • Title 23 CFR Part 450, Subpart C
      • Title 23 CFR, Part 460
      • Title 23 CFR, Part 470
      • Title 23 CFR, Part 500
      • Title 23 CFR, Part 659
      • See the FHWA Planning, Environment and Realty website for additional information and guidance.

   2. Approved Procedures/Agreements/Manual

      • Joint FTA/FHWA Planning Memorandum of Agreement (MOA)

4. Business Standards

   LADOTD will provide FHWA at least 30 days to review and comment on the draft and final Statewide Transportation Improvement Program (STIP), Metropolitan TIPs, State Planning and Research (SPR) Work Program, the MPO UPWPs and the Statewide and Metropolitan Long Range Transportation Plans.

   LADOTD will involve FHWA in decisions involving special and unusual circumstances at the earliest reasonable time to ensure thorough and appropriate decisions can be made collectively.

5. Program Approval Responsibilities

B. Environment

1. FHWA and LADOTD Roles and Responsibilities

   For projects using Federal Highway Trust Funds, the FHWA is the lead federal agency in integrating the full range of environmental requirements under a single, unified process that results in effective and sound transportation decisions.

   Under current law and regulation, FHWA may delegate responsibility to the LADOTD for activities to address the various environmental laws, Executive Orders, and regulations, but it may not delegate environmental approval authority. Therefore the LADOTD is obligated to submit most environmental documents to FHWA for approval. The exception being Programmatic Categorical Exclusions (PCE). PCE's are approved by LADOTD in accordance with the FHWA/LADOTD agreement for Programmatic Categorical Exclusions.

   These documents include among others: Environmental Impact (EIS) Statement-Record of Decision (ROD), Environmental Assessment (EA)-Finding of No Significant Impact (FONSI), and categorical exclusion (CE) decisions for projects not specifically defined as categorically excluded from environmental documentation in regulation. LADOTD processes Programmatic Category Agreements projects given prior approval by FHWA under letter agreements dated 3/2/95 & 8/30/95.

2. Methods of Oversight
   1. Program Approval Actions
      • LADOTD has been delegated programmatic approval authority for specific categorical exclusions.
      • LADOTD also acts as FHWA's nonfederal representative for informal Section 7 ESA consultation and Section 106 consultation.
      • LADOTD public involvement procedures are to be approved by FHWA.
   2. Project Approval Actions
      • As early as practicable in a project's development, the LADOTD and FHWA will collaborate on the proper environmental (NEPA) classification for a project.
      • For all projects that require an action be taken by FHWA, FHWA and LADOTD will work together in the project pre-engineering phase to ensure compliance with NEPA and other applicable laws before an alternative is selected. The level of involvement is commensurate with the level of environmental impacts or project complexity. Projects that meet the approved Programmatic Categorical Exclusion agreement between FHWA and LADOTD are documented in accordance with FHWA and LADOTD agreements. Other Categorical Exclusions, EAs, EISs, Programmatic Section 4(f) Evaluations and Section 4(f) Evaluations are prepared by LADOTD and submitted to FHWA for review and approval.
      • FHWA is an active member, as appropriate, of individual project teams and helps guide the project planning.
      • All documents requiring legal sufficiency review (Final EIS and Final Section 4(f) Evaluations) are sent to the Office of Chief Counsel in Atlanta, GA. by the Division Office prior to approving these documents. The goal of the Office of Chief Counsel is to provide legal sufficiency review comments to the Division Office within 30 days after receipt of the document. Environmental re-evaluations are conducted through informal consultation and formal written documentation, when appropriate.
      • A copy of the DEIS will also be sent to the Office of Chief Counsel in Atlanta, GA. by the Division Office for comments.
   3. Monitoring
      • The FHWA will monitor compliance with environmental requirements through project-by-project approval actions.
      • Additional monitoring may be done on a program-wide basis using FHWA process reviews. Areas to be identified and evaluated for review are based upon the annual FHWA risk assessment process.
3. Control Documents
   1. Applicable Laws, Regulations, and Orders
      • Title 1, Clean Air Act Amendments of 1990
      • Section 404 of the Clean Water Act
      • Section 7 of the Endangered Species Act
      • 42 USC 4321-4347, National Environmental Policy Act as amended (P.L. 91-190)(P.L. 94-83)
      • 49 USC 303 and 23 USC 138, Section 4(f).
      • 16 USC 460L 4-11: PL 88-578
      • 23 USC 109(h), FHWA Environmental Guidelines
      • 23 USC 128, Public Hearings/Public Involvement
      • 23 CFR 771, 772, and 777, FHWA Environmental Regulations
      • 36 CFR 800 Section 106 of the National Historic Preservation Act
      • 40 CFR 1500, Council on Environmental Quality
      • Executive Order 11514, Protection and Enhancement of Environmental Quality, as amended by Executive Order 11991
      • Executive Order 11990, Protection of Wetlands
      • Title VI of the Civil Rights Act of 1964
      • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, 1994
      • SAFETEA-LU Sections 6002, 6004, 6007, 6008 and 6009
      • See the FHWA Planning, Environment and Realty website for additional information and guidance.
   2. Approved Procedures/Agreements/Manuals
      • LADOTD Roadway Design Manual
      • Agreement for Programmatic Categorical Exclusions
      • LADOTD Stage 1 Planning/Environmental Manual of Standard Practice

4. Performance Indicators

   The FHWA Division office tracks and reports the following information regarding the time to process NEPA documents.

   Environmental Assessments (EA)

   • Time from Logical Termini approval to approval of Draft EA.
   • Time from Logical Termini approval to Public Hearing.
   • Time from Logical Termini approval to approval of FONSI.

   Environmental Impact Statements (EIS)

   • Time from Notice of Intent to approval of Draft EIS
   • Time from Notice of Intent to approval of Final EIS
   • Time from Notice of Intent to approval of Record of Decision (ROD)

   Categorical Exclusions (CE)

   • Time from date CE is received by the Division to date CE is approved.
5. Work Activities Chart

* See Major Projects section.

6. Project Responsibilities

C. Design

1. Program Overview

   It is the FHWA Division policy to make sufficient and timely design reviews of Full Oversight projects, as defined in Section II of this agreement, to assure that they are designed in accordance with applicable standards and appropriate cost-effective measures. In addition, FHWA will periodically perform process reviews jointly with LADOTD that will include Full Oversight, State Administered and Locally Administered projects. These reviews may cover all areas of the design process from consultant selection to final plan preparation. The subject and scope of these reviews will be as determined by FHWA and LADOTD using risk assessment techniques.

2. Roles and Responsibilities of FHWA and LADOTD
   1. Delegated (State Administered) Projects

      • (1) LADOTD Project Responsibilities on Delegated Projects

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

        NHS Projects Delegated to LADOTD
        LADOTD assumes oversight responsibility for the design, plans, specifications, estimates, design exceptions, contract award, and inspection of all NHS projects which have been delegated to LADOTD as defined in Section II. All NHS projects must comply with all Title 23 U.S.C. and non-Title 23 U.S.C. requirements.

        Non-NHS Projects
        LADOTD assumes oversight responsibility for the design, plans, specifications, 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 law, regulations, directives, safety standards, design standards, and construction standards, in lieu of many Title 23 U.S.C. requirements. Title 23 U.S.C. 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, use of convict produced materials, Buy America Act provisions and other requirements. All non-NHS projects must also comply with all non-Title 23 U.S.C. requirements.

        Local Agency Projects
        LADOTD is responsible for assuring that all local agency Federal-aid projects comply with all applicable Federal and State requirements. LADOTD is not relieved of this responsibility even though the project may be delegated to the local agency. In accordance with 23 CFR 1.11 and 635.105, LADOTD is responsible for ensuring that the local agency has adequate staffing, project delivery systems, and sufficient accounting control to administer the project. If it is determined that a local agency is not equipped to adequately administer the project then LADOTD will either administer the project or withhold funding for the project until the local agency makes the necessary changes required to administer the project in accordance with State and Federal requirements.

      • (2) FHWA Project Responsibilities on Delegated Projects

        For projects delegated to LADOTD, as defined in Section II, FHWA retains authority for the following actions and approvals:

        1. FMIS Transactions
           1. Project Authorizations
           2. Modifications to project agreements.
           3. Final vouchers.
        2. Waivers to Buy America requirements (FHWA Washington Headquarters (HQ) approval required as noted in Mr. Horne's July 3, 2003 memorandum).
        3. SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
        4. Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEA-LU.
        5. Addition of access points on the Interstate System.
        6. Use of Interstate airspace for non-highway-related purposes.
        7. Hardship acquisition and protective buying.
        8. All non-Title 23 U.S.C. requirements including but not limited to:
           1. National Environmental Policy Act (NEPA) of 1969
           2. Section 4 (f) of the DOT Act of 1966
           3. Uniform Relocation Assistance and Real Properties Acquisition Policies Act of 1970
   2. Full Oversight Projects

      • FHWA Project Responsibilities on Full Oversight Projects

        FHWA is responsible for project level oversight of Title 23 requirements on full oversight Interstate and NHS projects as defined in Section II. In addition, FHWA is responsible for oversight of non-Title 23 U.S.C. requirements. Project level actions by FHWA include the following:

        1. FMIS Transactions
           1. Project Authorizations
           2. Modifications to project agreements
           3. Final vouchers
        2. Plan, Specifications & Estimates Approval
        3. Approval Of Design Exceptions
        4. Contract Change Order Approval
        5. Project Acceptance
        6. Waivers to Buy America requirements (FHWA Washington Headquarters (HQ) approval required as noted in Mr. Horne's July 3, 2003 memorandum).
        7. SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
        8. Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEA-LU.
        9. Addition of access points on the Interstate System.
        10. Use of Interstate airspace for non-highway-related purposes.
        11. Hardship acquisition and protective buying.
        12. All non-Title 23 U.S.C. requirements including but not limited to:
            1. National Environmental Policy Act (NEPA) of 1969
            2. Section 4 (f) of the DOT Act of 1966
            3. Uniform Relocation Assistance and Real Properties Acquisition Policies Act of 1970
3. Methods of Oversight
   1. Program Approval Actions
      • LADOTD Standard Drawings are approved by FHWA on a program basis.
      • LADOTD Standard Specifications for Road and Bridge Construction are approved on a program basis.
      • LADOTD's consultant selection procedures are approved by FHWA.
   2. Project Approval Actions
      • FHWA will approve final design plans on Full Oversight projects as part of the PS&E package submitted by LADOTD for construction authorization.
      • FHWA will approve Design Exceptions on Full Oversight Projects.
      • FHWA will approve the Scope and Fee package on consultant contracts for full oversight projects.
      • Various project approval actions applicable to design are included in the PROJECT ACTIVITY APPROVAL CHART below.
   3. Monitoring
      • FHWA will participate in Pre-design/Environmental meetings on Full Oversight projects.
      • FHWA will review preliminary engineering required for NEPA documents on all Federal-Aid projects.
      • FHWA will participate in Plan-in-hand reviews for Full Oversight projects. The Area Engineer and or Bridge Engineer will submit comments and recommendations to LADOTD in writing.
      • FHWA will review Advance Check Prints for Full Oversight projects. The Area Engineer and or Bridge Engineer will submit comments and recommendations to LADOTD in writing.
      • FHWA will participate in Value Engineering (VE) studies during the design phase for projects with an estimated cost >$25 million ($20 million for bridge projects) and other VE studies as selected by LADOTD.
      • FHWA and LADOTD will jointly perform process reviews related to road design, design exceptions, consultant selection and any other areas related to the design program. The subject of these reviews will be determined through risk assessment methods and agreed to by FHWA and LADOTD. These process reviews may include both NHS and non-NHS projects.
4. Control Documents
   1. Applicable Laws, Regulations, and Orders
      • Title 23 USC, Chapter 1, Subchapter I, Section 109 – Standards
      • 23 CFR 620 Engineering
      • 23 CFR 625 Design Standards for Highways
      • 23 CFR 627 Value Engineering
      • 23 CFR 630 Preconstruction Procedures
      • 23 CFR 636 Design-build Contracting
      • 23 CFR 645 Utilities
      • 23 CFR 470 Highway Systems
      • 23 CFR 650 Bridges, Structures, and Hydraulics
      • 23 CFR 652 Pedestrian and Bicycle Accommodations and Projects
      • 23 CFR 655 Traffic Operations
      • 23 CFR 710 Right-of Way and Real Estate
      • 28 CFR 35 Nondiscrimination on the Basis of Disability in State and Local Government Services
      • 28 CFR 36 Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities
      • 49 CFR 27 Nondiscrimination on the Basis of Disability in Programs or Activities Receiving Federal Financial Assistance
      • 49 CFR 37 Transportation Services for Individuals with Disabilities [Americans with Disabilities Act (ADA)]
   2. Approved Procedures/Agreements/Manuals
      • LADOTD Roadway Design Procedures and Details Manual
      • LADOTD Hydraulics Manual with Supplement
      • LADOTD Standards Manual for Accommodating of Utilities, Driveways and Other Facilities on Highway Right-of-Way.
      • LADOTD Real Estate Operations Manual
      • LADOTD Local Public Agency Manual
      • LADOTD Standard Specifications for Roads and Bridges
      • AASHTO A Policy on Geometric Design of Highways and Bridges
      • Federal Aid Program Guide (FAPG) See website for this guidance.
5. Business Standards
   • LADOTD will provide FHWA 2 weeks, from receipt date, to review/approve Plans, Specifications & Estimates (PS&E's).
   • FHWA will provide the LADOTD written comments (Letter or email) on Plan-in-hand prints and Advance Check Prints within 30 days of receipt or within 2 weeks after the Plan-in-hand field review. These comments will be sent to the LADOTD Project Manager for the project.
   • LADOTD will respond to FHWA comments in writing (Letter or email) within 30 days of receipt.
   • FHWA will review/approve Scope and Fee Packages for consultant contracts within 1 week of receipt.
   • FHWA will respond to LADOTD on changes to the Design Manual within 30 days of request.
6. Performance Indicators
   • Design Program Performance Indicators
     • Percentage of available federal funds obligated each fiscal year
     • Percentage of available federal funds obligated per program each fiscal year.
     • Percentage of construction estimates within 5% of the low bid.
     • Number of construction change orders required due to plan errors on projects. Both in-house and consultant designed projects will be tracked.
   • LADOTD/FHWA Internal Performance Indicators
     • Percentage of PS&Es approved by FHWA within 2 weeks of receipt.
     • Percentage of project submittals in which FHWA sends comments to DOTD within 30 days of receipt.
     • Percentage of project submittals in which DOTD responds to FHWA comments within 30 days of receipt.
     • Percentage of scope and fee packages reviewed by FHWA within 1 week of receipt.
7. Project Responsibilities

* Includes Locally Administered projects.
** Except on Interstate, where FHWA approval is required.

D. Bridge and Structures

1. FHWA and LADOTD Program Overview

   The FHWA Division Office is responsible for oversight of the federal assisted LADOTD administered federal-aid highway program refered to within this section as either the Highway Bridge Program (HBP) or Highway Bridge Replacement and Rehabilitation Program (HBRRP). The purpose of the Highway Bridge Program is to improve the condition of eligible public highway bridges over waterways, other topographical barriers, other highways, and railroads through replacement and rehabilitation of bridges that the LADOTD and FHWA determine are structurally deficient or functionally obsolete and through systematic preventive maintenance of bridges.

   Definition: A bridge as referenced within this section is a structure including supports erected over a depression or an obstruction, such as water, highway, or railway, and having a track or passage for carrying traffic or other moving loads, and having an opening measured along the center of the roadway of more than 20 feet between under copings of abutments or spring lines or arches, or extreme ends of openings for multiple boxes; it may also include multiple pipes, where the clear distance between openings is less than half of the smaller contiguous opening.

   Scope of work eligible for federal-aid highway bridge program fund reimbursement includes:

   • Replacement of the bridge with a comparable facility,
   • Rehabilitation of the bridge, or
   • the following highway bridge activities which might be proposed on a highway bridge eligible for replacement or rehabilitation:
     • Painting, seismic retrofits, systematic preventive maintenance, scour countermeasures installation, and environmentally acceptable minimally corrosive anti-icing and de-icing compositions.

   Federal-aid highway bridge program eligibility consists of a bridge being classified structurally deficient or functionally obsolete and with a qualifying sufficiency rating. Bridges meeting this classification criterion are referred as being on the "Selection List". The classification is derived from the established criteria which utilizes certain bridge condition or appraisal ratings. The sufficiency rating is derived from the bridge inventory and is assigned to each bridge in accordance with the approved AASHTO sufficiency rating formula. The sufficiency rating value will determined if the bridge is eligible for replacement and/or rehabilitation. Under a preventive maintenance concept the following activities; seismic retrofits, systematic preventive maintenance, or scour counter measures installation can be carried out without regard to whether the bridge is eligible for rehabilitation or replacement.

   Other federal-aid highway funds administered by FHWA may also be used to replace or rehabilitate bridges. Project approval actions are similar to those that apply to the Highway Bridge Program except the existing bridge need not be classified structurally deficient or functionally obsolete and is not required to have a qualifying sufficiency rating.

   The FHWA is responsible for administering the National Bridge Inspection Standards (NBIS) and National Bridge Inventory (NBI). In order to participate in the bridge program LADOTD must inspect, or cause to be inspected, all highway bridges located on public roads that are fully or partially located within the State's boundaries, except for bridges that are owned by Federal agencies. LADOTD is to ensure that all public bridges within its borders including parish (county) and municipal owned bridges are inspected, load rated, and reported in accordance with the NBIS requirements.

   The NBIS requires that all public highway bridges meeting the definition of a bridge included above be inspected at regular intervals not to exceed twenty-four months (2 years). Certain bridges might require inspection at less than twenty-four months intervals based on LADOTD established criteria. Fractural critical members require inspection not to exceed twenty-four months (2 years) and underwater structural element inspection are require at regular intervals not to exceed sixty months (5 years). Note: Certain structures, may be inspected at greater than twenty-four month intervals, not to exceed forty-eight months, with written formal FHWA approval when past experience and favorable past inspection findings and analysis justify the increased interval of inspection.

2. Methods of Oversight

   1. Program Actions
      • FHWA Louisiana Division office will make an annual determination of compliance with the NBIS by performing a joint FHWA/LADOTD NBIS process review on annually predetermined number of LADOTD Districts along with reviewing those LADOTD District's bridge maintenance.
      • FHWA Louisiana Division office (sometimes with assistance from other FHWA offices) will provide technical or program assistance concerning structure, geotechnical, or hydraulic items.
      • LADOTD will program bridge projects from the Selection List of eligible bridges.
      • LADOTD will inspect and load rate or cause to inspect and/or load rate all public highway bridges in accordance with the NBIS requirements within the State of Louisiana except for bridges that are owned by Federal agencies.
      • LADOTD will submit the annual NBI data to FHWA Headquarters and FHWA Louisiana Division Office.
      • LADOTD will submit the annual bridge construction unit cost data for federal-aid highway system and non federal-aid highway system bridges to the FHWA Louisiana Division Office for review. The FHWA Louisiana Division office will review and submit the information to the FHWA Headquarters.
      • LADOTD will administer and manage the highway bridge program. FHWA Louisiana Division office will provide program assistance.
      • LADOTD will manage the non-Federal-aid highway (off the state maintained system) bridge replacement or rehabilitation program. FHWA Louisiana Division office will provide program assistance.
      • LADOTD will carry out a Value Engineering (VE) analysis for all Federal-aid highway funded projects with an estimated total cost of $25 million or more ($20 million for bridge projects).
      • FHWA Louisiana Division office will assist or provide any National Scour Evaluation, Bridge Discretionary, Innovative Bridge Research and Deployment (IBRD), or other federal-aid bridge related program information, as directed by the particular program guidance.
      • LADOTD is responsible for making the debris from the demolition of eligible HBP bridges and overpasses available for beneficial use.
   2. Project Actions (Also see Sections: H-Construction & Contract Administration, C- Design, and L- Maintenance)
      • FHWA Louisiana Division office will approve eligible bridge project actions and oversight for bridges that are on the NHS according to this section stewardship chart and/or as defined in Section II.
      • Unusual or complex bridge projects on the Interstate System will require FHWA Headquarters review and approval of the preliminary Type, Size, and Location (TS&L) report. FHWA Louisiana Division office will coordinate these efforts with LADOTD cooperation and participation.
      • Unusual, complex, or major bridges as indicated in Part II located off the Interstate or NHS system may by mutual agreement be designated for full or increased FHWA oversight ranging from technical assistance, preliminary plan review and approval, PS&E approval, or up to construction oversight, if deem appropriate. The LADOTD Chief Engineer and the Louisiana FHWA Division Assistant Division Administrator will make the degree of oversight determination.
      • FHWA Louisiana Division office will participate, when invited, in the Louisiana Transportation Research Center (LTRC) structure, geotechnical, or hydraulic related research projects.
      • FHWA Louisiana Division office will approve specific bridge site cost effective determination which might differ some the sufficiency rating type of eligible action.
   3. Monitoring
      FHWA Louisiana Division Office will:
      • Screen bridges for eligibility for the Highway Bridge Program using the Selection List.
      • Review environmental documents containing bridge facilities as part of the FHWA Division office interdisciplinary review.
      • Review major bridge (as defined within Part II) project feasibility reports.
      • Review special, complex, or fracture critical bridge inspection reports.
      • Review wave and storm surge analysis and design of coastal bridges for Interstate, NHS major structures, or critical bridges (i.e. emergency or evacuation route bridges).
      • Review NBIS reports for bridge posting, critical findings, and inspection frequency.
      • Review semi-annual scour evaluation reports and assist in getting underwater inspection contracts performed.
      • Perform special process reviews of specific program elements such as hydraulics, geotechnical, bridge design, bridge construction or other elements on a periodic basis or as a result of using risk assessment techniques.
      • Perform annual reviews to establish compliance with the NBIS and bridge maintenance efforts.
      • Review annual Bridge Construction Unit costs and NBI submittal.
3. Control Documents
   1. Applicable Laws, Regulations, and Orders
      • Title 23 USC 144 Highway Bridge Replacement and Rehabilitation Program
      • Title 23 USC 151 National Bridge Inspection Program
      • 23 CFR 650 Bridges, Structures, and Hydraulics
      • 23 CFR 625 Design Standards for Highways
      • 23 CFR 627 Value Engineering
      • 23 CFR 630 Preconstruction Procedures
      • 23 CFR 636 Design Build
   2. Approved Procedures/Agreements/Manuals
      • LADOTD E.D.S.M. IV.4.1.2 Louisiana Bridge Maintenance – Bridge Inspection & Load Rating Standards
      • LADOTD Geotechnical Design Manual
      • LADOTD Hydraulics Manual
      • LADOTD Bridge Design Manual
      • LADOTD LRFD Bridge Design Manual
      • LADOTD Standard Specifications for Roads and Bridges
      • LADOTD Bridge Inspection Procedures
      • LADOTD Bridge Maintenance Directives
      • AASHTO A Policy on Geometric Design of Highways and Bridges
      • FHWA Bridge Inspection Coding Guide
      • FHWA Bridge Inspector's Reference Manual
      • AASHTO Standard Specifications for Highway Bridges
      • AASHTO Manual for Condition Evaluation of Bridges
      • AASHTO LRFD Bridge Design Specifications
      • AASHTO LRFD Movable Highway Bridges Design Specifications
      • AASHTO Guide Specification and Commentary for Vessel Collision Design of Highway Bridges
      • AASHTO LRFD Bridge Construction Specifications
      • AASHTO Manual for Condition Evaluation and Load and Resistance Factor Rating (LRFR) of Highway Bridges
      • Technical Advisory T 5140.21, REVISIONS TO THE NATIONAL BRIDGE INSPECTION STANDARDS
      • Technical Advisory T 5140.23, EVALUATING SCOUR AT BRIDGES
4. Performance/Compliance Indicators
   • Compliance Indicators
     • Submittal of the annual NBI updated data to FHWA HQ by April 1st of each year.
     • Submittal of the annual Bridge Construction Unit Cost data to FHWA HQ by April 1st of each year.
   • Performance Indicators
     • Percentage of NHS bridges "surface area" classified as deficient or structurally obsolete.
     • Percentage of non-NHS bridges "surface area" classified as deficient or structurally obsolete.
5. Project and Program Responsibilities

E. Intelligent Transportation Systems (ITS)

1. FHWA Program Overview

   Congress enacted the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), which ended the ITS Deployment Program at the close of fiscal year 2005, but continued ITS research at $110 million annually through fiscal year 2009. In addition to authorized ITS funding, ITS projects are eligible for regular Federal-aid highway funding.

   LADOTD works cooperatively with FHWA to take a lead role in development of Intelligent Transportation Systems (ITS) initiatives in Louisiana and actively pursues ITS deployment, integration, research and operations.

   LADOTD and FHWA work cooperatively with all Louisiana Metropolitan Planning Organizations (MPOs) to promote ITS planning, regional architecture use, and adoption and integration of ITS at the local level.

   LADOTD and FHWA will work cooperatively to assure that ITS projects are consistent with the National and Regional ITS Architectures, incorporate ITS Standards, fully integrated and have applied a systems engineering process.

   A primary ITS goal of LADOTD is to ensure that transportation facilities operate efficiently and that no opportunities to provide integrated ITS features are overlooked during reconstruction.

2. Methods of Oversight
   1. Program Approval Actions
      • Regional ITS architectures for each of the MPOs, statewide and rural areas shall be developed and maintained to document the ITS integration strategies and guide the development of specific projects and programs. FHWA will serve as a technical resource during the development, maintenance and use of the regional architectures and shall be furnished a copy of the adopted regional architectures and any amendments. Regional architectures will conform to the latest version of the National Architecture.
   2. Project Approval Actions

      • All ITS projects (stand alone or ITS incorporated in other work) shall conform with and adhere to the applicable Regional Architecture as documented in 23 CFR 940. LADOTD shall make and document a commitment to the operations, management and maintenance of deployed systems.

        LADOTD shall make a determination of conformity of ITS Projects with the regional ITS architecture. FHWA will concur in the project level determination of conformity with the applicable regional ITS architecture.

        Note: As defined in 23 CFR 940, an ITS project is any project that in whole or in part funds the acquisition of technologies or systems of technologies that provide or significantly contribute to the provision of one or more ITS User Services as defined in the National ITS Architecture. The National Architecture can be found at www.its.dot.gov.

        The following are examples of common activities that do or do not qualify as an ITS project based on the User Services:

      Activity	ITS Project?	User Service #	User Service Description/Comments
      Contra-flow Operations	Yes	5.3.11 5.3.11.4(a), (b),(e),(f),(g)	Evacuation Coordination shall provide an Evacuation Transportation Management (ETM) function to assist evacuation coordination personnel as they manage evacuation operations. The ETM system shall provide the control of devices as required by the evacuation management plan, including traffic signals, DMS, turning restriction signs, lane closure devices and road closure devices.
      Traffic Signal System (Interconnected)	Yes	1.6.3.3.1	The Device Control system shall include the capability to control traffic signalization, including rapid modification of signalization parameters to respond to traffic requirements. (The Device Control system includes other devices in the field, i.e. master controllers, parent devices, etc.)
      Individual Traffic Signal	No		There are no User Services for traffic control devices not controlled by another system or device.
      Data Archiving & Warehousing	Yes	7.1.0	ITS shall provide an Archived Data Function to control the archiving and distribution of ITS data.
      Motorist Assistance Patrol	Yes	8.1.2	Maintenance and Construction Operations shall provide a Roadway Management (RWM) function to monitor traffic, road surface, and environmental conditions and forecast traffic and road surface conditions to support management of routine and hazardous road condition remediation and to communicate changes in conditions. The RWM function shall support a number of different services, including but not limited to incident response.
      TMC Operations Personnel	Yes	1.6.0	ITS shall include a Traffic Control (TC) function. Traffic Control provides the capability to efficiently manage the movement of traffic on streets and highways. Four functions are provided, which are, (1) Traffic Flow Optimization, (2) Traffic Surveillance, (3) Control, and (4) Provide Information.

      • All ITS projects shall be developed based on a systems engineering analysis. LADOTD shall make a determination of conformity of ITS Projects with the systems engineering analysis requirement. FHWA will concur in the project level determination of conformity with the systems engineering analysis consistent with partnership agreement procedures for involvement.
      • All ITS projects shall use applicable ITS standards and interoperability tests that have been officially adopted, by rulemaking, by US DOT. LADOTD shall make a determination of conformity of ITS projects with the ITS standards requirement. FHWA will concur in the project level determination of conformity with the ITS standards requirement consistent with partnership agreement procedures for involvement.
      • Projects advanced under TEA – 21 Section 5208 (ITS Integration Program) will be advanced/approved on a case-by-case basis. Typically, the projects are designated by earmark in appropriations acts with specific implementation processes issued by FHWA Washington Headquarters for each appropriation cycle.
      • FHWA will approve the PS&E package for ITS projects.
      • FHWA will approve all project authorizations, modified project agreements and final vouchers.
      • FHWA will concur in award on all ITS projects.
      • FHWA will approve all Category 1 and 2 change orders per EDSM III.1.1.1.
   3. Monitoring
      • FHWA will provide ongoing technical assistance on the use of regional ITS architectures, systems engineering analysis, ITS standards and other technical areas, include these areas in routine risk assessments evaluations, and work cooperatively with LADOTD to use process review techniques to assess and improve processes and procedures.
      • FHWA will participate in project and program steering committees or other ongoing oversight processes for ITS.
3. Control Documents
   1. Applicable Laws, Regulations, and Procedures
      • TEA - 21 Title V Subtitle C
      • SAFETEA-LU Title V Subtitle C
      • 23 CFR Part 940 ITS Architecture and Standards
      • 23 CFR Part 635 Construction and Maintenance
      • 23 CFR Part 636 Design Build Contracting
   2. Approved Procedures/Agreements/Manuals
      • LADOTD and MPO ITS Strategic Plans
      • LADOTD and MPO Regional ITS Architectures
      • LADOTD Systems Engineering Guide
      • Miscellaneous LADOTD Policy and Guidance documents
4. Performance/Compliance Indicators
   • LADOTD will provide FHWA with copies of ITS regional architectures or amendments within 30 days of adoption.
   • FHWA will follow prescribed processing requirements for individual project actions related to regional architecture conformity, systems engineering analysis completion, and standards conformity as defined in the partnership agreement.
   • FHWA will follow prescribed processing requirements for ITS Integration Program projects as defined in Washington Headquarters instructions issued with each appropriations cycle.
5. Project Responsibilities

Special instructions for ITS Projects:

"ITS projects" can be independent construction projects or may be part of larger construction projects that include ITS User Services. The above listed approval actions apply whether the ITS project is advanced on either a standalone or included basis. All other stewardship and oversight functions such as environmental determination, right of way clearance, etc. are project size, system and work type dependent with no other special processing requirements for ITS purposes beyond routine stewardship and oversight.

F. Right-of-Way

1. Program Overview

   The purpose of this section is to address the right-of-way (ROW) functional areas of appraisal, acquisition and relocation, the principal activities used to acquire space for highway projects. These right-of-way activities are covered under Title 49 CFR (24), which has no provision for exemptions under Title 23 U.S.C. Therefore, the rules of Title 49 and Title 23 apply in the situation where Federal aid is being used to fund the right-of-way activity and/or if Federal-aid is being used to fund the project.

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

   • ROW certification
   • State ROW operations manual
   • ROW authorization
   • Air rights on the interstate
   • Airspace leases/joint use agreements
   • Sale/transfer of excess ROW
   • Early acquisition, protective buying, and hardship
   • Functional replacement
   • Highway beautification

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

   • Direct eligible costs including administrative, legal and court settlements.
   • Real property donations
2. Methods of Oversight

   1. Program Approval Actions

      The approval of the LADOTD Right-of-Way Operations manual is a program approval action required by 23 CFR 710.201(c).

   2. Project Approval Actions

      FHWA project-level approval actions include:

      • authorization of federally aided right-of-way activities
      • early acquisition approval
      • acceptance of project right-of-way certifications, etc.

      See the Project Activity Approval Chart for more detail.

   3. Monitoring
      • Even though there are no exemptions under the law for any functions covered in 49 CFR 24, for practical purposes there are two levels of review of those elements. One level depends on whether the project involves ROW acquisition and has Federal-aid in the ROW project phases. Although the ROW regulations must be followed under both levels, attention must still be given to the reasonableness of the actual dollar expenditures made for ROW activities on those projects where there is no Federal-aid in the ROW activities.
      • For the second level of projects, there is a dual concern for the rights of property owners and displaced persons and the stewardship of the federal dollars. Continuous review of the State's activities has proven to be an effective means of assuring that the rights of owners and displaced persons are protected as well as monitoring the expenditure of federal funds. A high level of FHWA involvement will be continued under this stewardship plan on projects that have Federal-aid in the ROW activities.
      • Local Public Agencies (LPAs), i.e., cities and counties, are required to comply with the Uniform Act and its governing regulations found in 49 CFR 24 in the same manner as LADOTD. As stipulated in 23 CFR 710.201(b), LADOTD is responsible for assuring that ROW acquisitions by local public agencies are made in compliance with Federal and State laws and regulations.
      • FHWA is responsible for in-depth reviews of LADOTD's program for appraisal, acquisition, and relocation. Review of the ROW activities will be conducted through periodic joint FHWA/LADOTD process reviews and spot-checking reviews accomplished jointly by FHWA ROW personnel and LADOTD as determined through a risk assessment process. The purpose of the reviews is to address known problems; assist in complying with State and Federal requirements; and to assure adequacy of program oversight and accountability of public resources. State and local agency right-of-way program activity, as well as the LADOTD's oversight of local agency ROW activity is subject to review at any time.
      • Review and technical assistance in the Highway Beautification program are also provided by FHWA.
      • Right-of-Way Operations Manual
        • LADOTD is responsible for full compliance with FHWA requirements.
        • Future changes to a manual, because of new FHWA requirements or changes in State law, etc., will be submitted to FHWA for acceptance within a reasonable period of time.
        • In-house administrative manual changes should be transmitted to FHWA for informational purposes.
        • In accordance with 23 CFR 710.201(c), LADOTD shall certify to the FHWA every five years that the Right-of-Way Operations Manual is current and in compliance with federal and state laws and regulations. This was last accomplished 01/01/2006.
3. Control Documents
   1. Applicable Laws, Regulations, and Orders
      • 49 CFR 24, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs
      • 23 CFR 620, Subpart B, Relinquishment of Highway Facilities
      • 23 CFR 635.309, Right-of-Way Certification
      • 23 CFR 710, Right-of-Way and Real Estate
      • 23 CFR 750, Highway Beautification
      • 23 CFR 751, Junkyard Control and Acquisition
      • See the FHWA Realty website for additional information and guidance.
   2. Approved Procedures/Agreements/Manuals
      • LADOTD ROW Operations Manual
      • LADOTD Local Public Agency Manual
4. Performance Indicators

   LADOTD identifies the needs of their external customers (property owners) through the use of customer satisfaction surveys. After the property is acquired and the displacees are relocated, each LADOTD district agent sends the property owner and/or displacee a survey, along with a self-addressed stamped envelope. Surveys are returned to LADOTD Headquarters office, where responses are filed and then routed to the specific district if responses require attention.

5. Business Standards

6. Project Responsibilities

* Interstate or below fair market value
** Interstate and as per LADOTD Policy

G. Utilities

1. Program Overview

   The purpose of this section is to address the policies, procedures and reimbursement provisions for the adjustment and relocation of utility facilities on Federal-aid projects. These activities are covered under Federal regulation 23 CFR 645 Subpart A.

   This program also addresses the policies and procedures for accommodating utility facilities and private lines on the right-of-way of Federal-aid highway projects. These activities are covered under Federal regulation 23 CFR 645 Subpart B.

2. Methods of Oversight

   1. Program Approval Actions

      FHWA will approve the LADOTD Standards Manual for Accommodating Utilities, Driveways and Other Facilities on Highway Right-of-way and any revisions to that manual.

   2. Project Approval Actions

      FHWA will approve authorizations of funds for all Federal-aid utility relocation projects.

      Utility Relocation Authorization Procedures

      1. The LADOTD Headquarters Utility Section will send a letter requesting funding to Project Finance and copy FHWA. The letter will contain the following information.
         • Certification that the project has environmental clearance.
         • Certification that project is on the STIP.
         • A cost estimate with each utility listed.
      2. Project Control will prepare the authorization request and forward to FHWA for approval.
      3. FHWA will review and approve the authorization in FMIS.
      4. Once all utility agreements have been signed the LADOTD Headquarters Utility Section will send a Utility Release letter to Project Finace and copy FHWA. Authorization of the construction project (when applicable) cannot be approved until the Utility Release letter has been received.
   3. Monitoring
      • Review of the Utilities Relocation and Accommodation activities will be conducted through periodic joint FHWA/LADOTD process reviews. The scope and frequency of these reviews will be agreed upon by FHWA and LADOTD.
      • FHWA Area Engineers will review the progress and adequacy of utility relocations in the field during routine construction inspections on Federal-aid oversight projects.
3. Control Documents
   1. Applicable Laws, Regulations, and Orders
      • Louisiana Administrative Code, Title 70, Part II Utilities
      • 23 CFR 645 Subparts A and B
      • 23 USC 101,109, 111, 116, 123 and 315
   2. Approved Procedures/Agreements/Manuals
      • LADOTD Standards Manual for Accommodating Utilities, Driveways and Other Facilities on Highway Right-of-Way.
      • FHWA Utility Program Guide: Utility Relocation and Accommodation on Federal-Aid Highway Projects
      • FHWA Utility Program Website
      • AASHTO publication "A Guide for Accommodating Utilities Within Highway Right-of-Way".
      • AASHTO publication "Roadside Design Guide".
4. Project and Program Responsibilities

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