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Louisiana Federal-Aid Highway Program Stewardship Agreement

H. Financial Management

  1. Program Overview

    While ISTEA and TEA-21 have maintained FHWA's stewardship of the Federal-aid highway program, the passing of SAFETEA – LU in 2005 and the Financial Integrity Review and Evaluation Order in 2006 have made significant changes to the financial management program area.

    LADOTD recognizes that the correctness and propriety of all Federal-aid claims are primarily it's responsibility. In fulfilling its responsibility the LADOTD must maintain and test adequate operating policies, procedures and a sound accounting system with proper internal controls together with suitable audit activities. FHWA recognizes a need for complete understanding of all pertinent financial and operating policies and procedures of LADOTD. It is FHWA's responsibility to provide technical assistance and advice in funding and financial areas.

  2. Methods of Oversight
    1. Program Approval Actions
      • FHWA will approve the accounting process used to develop the payroll additive rates and indirect cost rates.
      • FHWA will approve the resolution of OIG and State audit findings.
      • FHWA will approve the Federal-aid Current Billing.
    2. Project Approval Actions
      • FHWA will approve final vouchers, project authorization, and modified project agreements on all projects. (see Appendix C for Federal-aid Authorization Procedures.)
    3. Monitoring
      • FHWA will monitor all financial management and accounting activities primarily through periodic contacts and program level reviews in accordance with the FIRE Order.
        • Grant Financial Management Process Review
        • Improper Payments Information Act (IPIA) Review
        • Inactive Federal-aid Projects Review
        • Single Audit Review
      • Through periodic contact with LADOTD personnel FHWA will provide guidance and technical assistance in such areas as fiscal document processing, financial management, reimbursement and innovative financing.
      • FHWA will, to the maximum extent possible, utilize the work of Louisiana Legislative Auditors to limit the scope of FHWA reviews.
      • Risk assessment techniques will be used where appropriate to determine areas for review.
  3. Control Documents
    1. Applicable Laws, Regulations and Orders
    2. Approved Procedures/Agreements/Manuals
      • Indirect Cost Rate Proposal
      • Federal-Aid Policy Guide
      • Emergency Relief (ER) Payment Process Manual
      • FMIS Electronic Signature Process Manual
      • Payroll Additive Manual
  4. Business Standards
WORK ACTIVITYLADOTD ACTIONFHWA ACTIONREMARKS
Current BillingSubmits electronically to FHWA as often as desiredAct Upon within 2 hours of notificationSource documentation will be randomly sampled and reviewed by FHWA
Inactive Project ReviewReview, compile first response working papers, and schedule meeting with FHWA within 30 calendar days of notification / Finalize review work papers within 15 working days of FHWA meetingQuarterly Submit Inactive Project review work papers to LADOTD per FIRE Order / Meet with LADOTD on first response working papers 
LADOTD Single AuditEnsure audit is completed as required and copies of audit reports are submitted to FHWA within 30 calendar days of completed audit.Review and take action to ensure findings are resolved 
Project Authorizations/ Agreements and ModificationsPrepare and submit electronically to FHWA through FMIS.Review and approve or reject within 5 working days for delegated projects and 10 working days for full oversight projects 
Final Vouchers/Final AcceptancePrepare and submit electronically to FHWA through FMISReview and approve or reject within 5 working days for delegated projects and 10 working days for full oversight projects 
Monthly Status of FundsNonePrepare monthly and distribute to FHWA personnel and LADOTD by the 5th working day of the month. 
Indirect Cost RateAnnually prepare and submit ending budget year indirect cost rate proposal by June 30th.Review and act upon the submitted proposal within 60 calendar days. 
  1. Project Responsibilities
PROJECT ACTIVITYAGENCY RESPONSIBLE
Approval DocumentFull FHWA Oversight ProjectsState Administered (Delegated) Projects
Project AuthorizationFHWA
Project Delivery Team Leader
FHWA
Financial Manager
  1. Performance Indicators
WORK ACTIVITYPerformance Indicator
Inactive ProjectsTotal amount of inactive obligations to be less than five percent (5%) of the current fiscal years appropriation.

I. Construction & Contract Administration

  1. Program Overview

    Congress has charged the FHWA with administering the Federal-Aid Highway Program (FAHP) under Title 23, and other associated laws. FHWA is responsible for the inspection of construction projects utilizing federal aid funds. The primary purpose of FHWA review and administration in construction is to protect the public investment, assure effective quality controls, and to verify that the project is completed in reasonably close conformity with the plans, specifications and special provisions. ISTEA, TEA-21 and SAFETEA-LU allow the delegation of FHWA construction review, oversight and administration responsibilities, except those based on non-Title 23 Federal requirements, to the state DOT for certain types of projects.

    This section specifies the roles and responsibilities of FHWA and LADOTD on both full oversight and delegated projects.

  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, contract administration and inspection of all NHS projects which have been delegated to LADOTD as defined in Section II of this plan. 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: 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 (in-house or through consultant contracts) 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 of this plan, FHWA retains authority for the following Contract Administration 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. 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
      • (1) FHWA Project Responsibilities on Full Oversight Projects

        FHWA is responsible for project level oversight of Title 23 requirements on full oversight Interstate, NHS and Major projects as defined in Section II of this plan. In addition, FHWA is responsible for oversight of non-Title 23 U.S.C. requirements. Project level Contract Administration actions by FHWA include but are not limited to 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. Project Authorization.
        5. Contract Concurrence In Award
        6. Contract Change Order Approval (per EDSM III.1.1.1)
        7. Approval of Contract Time Extensions (per EDSM III.1.1.1)
        8. Approval Of Contract Claims Settlement
        9. Final Inspection
        10. Project Acceptance
        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. Approval of modifications to project agreements.
        15. 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 and Acquisition Policies Act of 1970
  3. Methods of Oversight
    1. Program Approval Actions
      • FHWA will approve any waivers to Buy America Act on all federal-aid projects.
      • FHWA will have specific approval authority for the authorization and obligation of Federal-Aid funds for all federal-aid projects.
      • FHWA will approve LADOTD Standard Specifications and Supplemental Specifications for all federal-aid projects.
    2. Project Approval Actions
      • FHWA will approve all project and construction authorizations.
      • FHWA will approve project agreements, modified project agreements and final vouchers on all projects.
      • FHWA will approve the plans, specifications and estimates on all full oversight projects.
      • FHWA will approve addenda on full oversight projects.
      • FHWA will concur in award on all full oversight projects.
      • FHWA will approve all Category 1 and 2 construction change orders on full oversight projects per LADOTD EDSM III.1.1.1.
        • Category 2 change orders are approved by the FHWA Area Engineer.
        • Category 1 change orders are approved by the Project Delivery Team Leader.
      • FHWA will approve all contract time extensions (except Category 3 change orders) on full oversight projects.
      • FHWA will approve all claim settlements on full oversight projects.
      • FHWA will make a final acceptance on all full oversight projects.
    3. Monitoring

      FHWA Division Office will:

      • FHWA will conduct routine project inspections on full oversight projects. The types of inspections to be conducted include:
        1. An initial inspection at the beginning of the project.
        2. Intermediate inspections to be conducted, as a minimum, quarterly.
        3. In depth inspections of specific phases of construction as deemed needed by FHWA.
        4. A final inspection.

        These inspections will be conducted in company with either the LADOTD Project Engineer, the District Area Engineer or their representative. The FHWA Area Engineer will write a report documenting their findings and recommendations. These findings and recommendations will be discussed with the LADOTD Project Engineer. A copy of the inspection report will be forwarded by email to the:

        1. FHWA Project Delivery Team Leader
        2. LADOTD Chief Construction Engineer (or his representative)
        3. LADOTD District Area Engineer
        4. LADOTD Project Engineer
      • Attend monthly project CPM/Partnering meetings and other project meetings as needed.
      • Evaluate the State and local agencies' transportation construction programs, including their procedures and controls for assuring transportation improvements are constructed in accordance with approved standards and acceptable contracting methods through the use of process reviews. The type and scope of process reviews will be determined through risk assessments. FHWA and LADOTD personnel will work together on the reviews and jointly develop recommendations for improvements in the program.
      • Evaluate the quality of materials, equipment, construction practices, and work force used for the purpose of evaluating the quality of the constructed product. This will be accomplished through project inspections and review of the LADOTD Materials Certification after project completion.

      LADOTD will:

      • Provide adequate inspection, contract administration and materials QC/QA on all Federal-aid projects to ensure compliance with all FHWA and LADOTD requirements.
      • Provide adequate oversight of Locally Administered Federal-aid projects to ensure compliance with all FHWA and LADOTD requirements.
      • Submit a Materials Certification to FHWA for each full oversight project certifying that the materials incorporated into the project were in conformity with the approved plans and specifications.
      • Advise FHWA of any claims submitted on full-oversight projects. The process of reviewing and negotiating claim settlements on full-oversight projects will be coordinated with FHWA.
      • Advise the FHWA Area Engineer of pending change orders on full-oversight projects.
  4. Control Documents
    1. Applicable Laws, Regulations, and Orders
    2. Approved Procedures/Agreements/Manuals
  5. Business Standards
    • LADOTD will allow FHWA 2 weeks, from receipt date, to review PS&E's, construction plans and major change orders. The 2-week time frame may be reduced in emergency or unusual situations.
    • FHWA will allow LADOTD 2 weeks, from date of receipt, to respond to findings on FHWA inspection reports which require a written LADOTD response.
  6. Performance Indicators
    1. LADOTD Construction Internal Performance Measures
      1. Respond to 75% of all claims within 30 days of receipt.

        Input: # of claims to be processed and date received
        Output: number of claims responded to within 30 days
        Outcome: reduce claim processing time
        Efficiency: input/output

      2. Monitor that 90% of final estimates are submitted in a timely basis for each fiscal year.

        Input: # of finaled projects
        # of final estimates
        actual date of submittal
        required date of submittal
        Output: timely submittal of estimates
        Outcome: timely payments to contractors
        better legislative audit reports
        meet legal requirements
        Efficiency: # of estimates turned in on time/# of projects finaled
        Quality: reduce late estimate list

      3. Monitor that 95% of temporary work zone inspection deficiencies identified by HQ are addressed within 5 working days.

        Input: # of projects with deficiencies
        list of active projects
        # of projects with 5 day correction letter
        duration between deficiency identification and correction
        Output: identification of deficiency corrections
        Outcome: allows construction to identify problem areas
        safer work zones
        reduce liability for litigation
        Efficiency: # of projects with 5 day correction letter/# of projects with deficiencies
        Quality: statewide uniformity

      4. Perform follow-up inspection on 10% of projects with temporary work zone inspection deficiencies each fiscal year.

        Input: # of projects with deficiencies
        # of projects with 5 day correction letter
        Output: verification of corrections
        safer work zones
        reduced liability for litigation
        Outcome: allows construction to identify problem areas
        Quality: statewide adherence to policy

    2. Construction Program Performance Measures
      1. Monitor the percentage of 5% cost overruns/underruns on projects completed each Fiscal Year.

        Input: # of projects finaled per FY
        Output: # of projects greater than 5% overruns/underruns
        Outcome: tracking of project trends or area trends
        Quality: better control of future contract cost and construction estimates.

      2. Monitor percentage of contract time overruns/underruns on projects completed each Fiscal Year.

        Input: # of projects finaled per FY
        Output: # of projects that overrun/underrun by more than 5%.
        Outcome: tracking of project trends or area trends
        Quality: better control of future contract cost and construction time estimates.

      3. Monitor average time in days to approve Category 1 and 2 change orders.

        Input: # of change orders w/documentation (category 2 & 3)
        Department guidelines for change orders
        Output: # of change orders in compliance with Department guidelines
        Efficiency: # of change orders in compliance/# of change orders
        Quality: statewide uniformity

      4. Percentage of active construction projects with claims filed.

        Input: # of active construction projects
        Output: # of claims filed on active projects
        Outcome: tracking of trends, types and filers of claims
        Efficiency: Reduce # of claims filed on future projects.

  7. Project and Program Responsibilities
Program Activity Approval Chart
PROGRAMREFERENCEAGENCY RESPONSIBLE
Buy America23 CFR 635.410FHWA
Local Public Agency Projects **23 CFR 635.105LADOTD
Project/ Construction Authorization23 CFR 635.106 (a)FHWA
Quality Assurance (Program) reviewsFHWA

** See Local Agency Section

Project Activity Approval Chart
PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentFull FHWA Oversight ProjectsDelegated (State Administered) NHS ProjectsDelegated (State Administered) Non-NHS Projects
Approve exceptions to competitive bidding23 CFR 635.104 & 204FHWAFHWAFHWA
PS&E Approval23CFR635.205FHWALADOTDLADOTD
Authorization to advertise for receipt of bids.23 CFR 635.112FHWAFHWAFHWA
Addenda23CFR 635.112FHWALADOTDLADOTD
Approve advertising period of <3 weeks23 CFR 635.112FHWAFHWAFHWA
Concur in award of contracts23 CFR 635.114FHWALADOTDLADOTD
Concur in rejection of bids23 CFR 635.114FHWALADOTDLADOTD
Approve change orders23CFR 635.120FHWALADOTDLADOTD
Approve time extensions23 CFR 635.121FHWALADOTDLADOTD
Accept material certifications23 CFR 637.207FHWALADOTDLADOTD
Concur in settlement of claims23 CFR 635.124FHWALADOTDLADOTD
Concur in termination of contracts23 CFR 635.125FHWALADOTDLADOTD
Final Acceptance/Inspection23 USC 114a & 121FHWALADOTDLADOTD
Construction inspectionsFAPG G 6042.8FHWALADOTDLADOTD
Determination of cost effective methods23 CFR 635.204 & 104FHWAFHWAFHWA
Emergency Relief *23 CFR 668FHWALADOTDLADOTD
American Disabilities Act23 CFR 652
28 CFR 35& 36 49 CFR 27& 37
FHWALADOTDLADOTD

* See Emergency Relief Section

J. Major Projects

  1. Program Overview

    Section 1904 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) amended 23 U.S.C. 106 and made several significant changes to the requirements for Major Projects. The monetary threshold for classification as a Major Project was lowered from an estimated total cost of $1 billion to $500 million or greater. A Project Management Plan (PMP) and a Finance Plan are required for all Major Projects. In addition, projects with a total cost between $100 million and $500 million, while not classified as Major Projects, require the preparation of Financial Plans.

    The FHWA has expanded it role of traditional oversight to optimize its positive influence in the management of major projects. Division Administrators are responsible for effective cradle-to-grave stewardship management of major projects. Division Administrators in states with Major Projects are required to establish a Major Project Oversight Manager position. In Louisiana that position is the Mega Projects Engineer. In addition the FHWA Major Projects Team in Headquarters provides technical and management resources to the Divisions.

    Major Projects must be delivered in a manner that captures the public's trust and confidence in the State and Federal transportation agencies ability to effectively and efficiently deliver a quality, cost effective product. The public must perceive that the finished product was a wise investment of the very substantial amount of public resources. In order to insure major project success, it is imperative that good project management principles are used beginning early in the planning stage of a project. As the Major Project becomes more defined, the PMP and the Financial Plan become tools by which the project will be effectively managed. The PMP is a bridging document that assures major highway projects are managed continuously rather than by phases.

  2. Project Management Plans

    SAFETA-LU requires Project Management Plans (PMP) on all Major Projects receiving Federal-aid funding. Per FHWA Major Project Guidance dated January 19, 2007, a draft PMP must be submitted to FHWA prior to approval of a FONSI or ROD at the completion of the NEPA process. LADOTD will prepare and submit a PMP to FHWA for approval in accordance with FHWA Project Management Plan Guidance. It is the intent of FHWA and LADOTD to work closely on the development of the PMP in the early stages of the NEPA process.

  3. Financial Plans

    Financial Plans are required on all Major Projects and all other Federal-aid projects with a total estimated cost of >$100 million per SAFETEA-LU. FHWA Financial Plan Guidance requires that the Financial Plan must be approved by FHWA prior to the authorization of construction funds. The Financial Plan may be submitted earlier at the states discretion. Annual Financial Plan updates are required to be submitted to FHWA for approval. It is the intent of FHWA and LADOTD to work closely on the development of the Financial Plan in the early stages of the project.

  4. Roles and Responsibilities of FHWA and LADOTD

    1. FHWA Project Responsibilities on Major Projects

      FHWA is responsible for project level oversight of Title 23 requirements on Major projects. In addition, FHWA is responsible for oversight of non-Title 23 U.S.C. requirements. Project level Contract Administration actions by FHWA include the following:

      1. Approval of Project Management Plans
      2. Approval of Finance Plans and updates.
      3. Plan, Specifications & Estimates Approval
      4. Approval Of Design Exceptions
      5. Project Authorization.
      6. Contract Concurrence In Award
      7. Contract Change Order Approval (per EDSM III.1.1.1)
      8. Approval of Contract Time Extensions (per EDSM III.1.1.1)
      9. Approval Of Contract Claims Settlement
      10. Final Inspection
      11. Project Acceptance
      12. Waivers to Buy America requirements (FHWA Washington Headquarters (HQ) approval required as noted in Mr. Horne's July 3, 2003 memorandum).
      13. SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
      14. Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEA-LU.
      15. Approval of modifications to project agreements.
      16. Approval of final vouchers.
      17. 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. Civil Rights Act of 1964
        4. Uniform Relocation Assistance and Real Properties and Acquisition Policies Act of 1970
        5. Disadvantaged Business Enterprise Program (DBE)
    2. LADOTD Roles and Responsibilities on Major Projects

      In addition to the normal design and contract administration responsibilities that LADOTD has on Federal-aid projects (see the Construction and Contract Administration, Design, and Bridge sections of this stewardship plan) LADOTD is required to submit Financial Plans and Project Management Plans for FHWA approval on Major Projects.

  5. Methods of Oversight
    1. Program Approval Actions
      • FHWA will make a determination of whether a project qualifies as a Major Project during the NEPA process.
      • FHWA will review and approve all Financial Plans submitted by LADOTD for Major Projects and Federal-aid projects with an estimated construction cost of >$100 million. FHWA will also approve the required annual updates to the Finance Plan.
      • FHWA will review and approve all Project Management Plans submitted by LADOTD for Major Projects.
    2. Project Approval Actions
      • The FHWA Mega Projects Engineer will approve all project and construction authorizations on Major Projects.
      • The FHWA Mega Projects Engineer will approve project agreements, modified project agreements and final vouchers on all Major projects.
      • The FHWA Mega Projects Engineer will approve the plans, specifications and estimates on all Major projects.
      • The FHWA Mega Projects Engineer will approve addenda on Major projects.
      • The FHWA Mega Projects Engineer will concur in award on Major oversight projects.
      • The FHWA Mega Projects Engineer will approve all Category 1 and 2 construction change orders on Major projects.
      • The FHWA Mega Projects Engineer will approve all contract time extensions on Major projects.
      • The FHWA Mega Projects Engineer FHWA will approve all claim settlements on Major projects.
      • The FHWA Mega Projects Engineer will make a final acceptance on all Major projects.
    3. Monitoring

      FHWA Division Office will:

      • Monitoring of the NEPA process will be carried out in accordance with Section IV-B Environment.
      • Monitoring of the Design process will be carried out in accordance with Section IV-C Design and IV-D Bridge and Structures.
      • Monitoring of the Construction and Contract Administration process will be carried out in accordance with Section IV-I Construction and Contract Administration.

      In addition:

      • The FHWA Mega Projects Engineer will attend monthly project CPM/Partnering meetings and other project meetings as needed.
      • The FHWA Mega Projects Engineer will lead joint FHWA/LADOTD process review teams on Major Projects. The type and scope of process reviews will be determined through risk assessments. FHWA and LADOTD personnel will work together on the reviews and jointly develop recommendations for improvements as needed.
      • The FHWA Mega Projects Engineer will submit quarterly construction progress reports on Major projects to FHWA management as required.
      • On TIFIA project the Mega Projects Engineer will coordinate TIFIA reporting requirements with the FHWA Major Projects Team.

      LADOTD will:

      • Provide adequate inspection, contract administration and materials QC/QA on all Major projects to ensure compliance with all FHWA and LADOTD requirements.
  6. Control Documents
    1. Applicable Laws, Regulations, and Orders
    2. Approved Procedures/Agreements/Manuals
  7. Business Standards
    • LADOTD will allow FHWA 30 days, from receipt date, to review Finance Plans and Project Management Plans.
    • FHWA will allow LADOTD 30 days, from date of receipt, to respond to comments on Finance Plans and Project Management Plans.
    • Business standards for Section IV-G Environment will apply to Major Projects.
    • Business standards for Sections IV-D Design and IV-A Bridge and Structures will apply to Major Projects.
    • Business standards for Section IV-C Construction and Contract Administration will apply to Major Projects.
  8. Performance Indicators

    The Quarterly Construction Progress reports prepared by the Mega Projects Engineer on Major Projects will track the following measurements of performance.

    • Schedule
      • Construction Progress vs Time elapsed.
      • Construction Progress vs Scheduled Progress

      This will be used to measure the percentage of the construction work completed compared to the contract time which has elapsed and will provide management a tool for identifying delays due to plan errors, utility or ROW issues, materials or poor production. Once the source of delays are identified the project management team will develop mitigation strategies to minimize the delays to the project completion.

    • Budget and Cost Overruns
      Any actual or potential cost overruns will be identified and tracked. Cost overrun mitigation measures will be developed by the project management team.

  9. Major Project and Program Responsibilities
PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentMajor Projects
Finance Plan Preparation23 USC 106(h)LADOTD
Finance Plan Approval23 USC 106(h)FHWA
Project Management Plan Preparation23 USC 106(h)LADOTD
Project Management Plan Approval23 USC 106(h)FHWA
Approve exceptions to competitive bidding23 CFR 635.104 & 204FHWA
PS&E Approval23CFR 635.205FHWA
Authorization to advertise for receipt of bids.23 CFR 635.112FHWA
Addenda23CFR 635.112FHWA
Approve advertising period of <3 weeks23 CFR 635.112FHWA
Concur in award of contracts23 CFR 635.114FHWA
Concur in rejection of bids23 CFR 635.114FHWA
Approve change orders23CFR 635.120FHWA
Approve time extensions23 CFR 635.121FHWA
Accept material certifications23 CFR 637.207FHWA
Concur in settlement of claims23 CFR 635.124FHWA
Concur in termination of contracts23 CFR 635.125FHWA
Final Acceptance/Inspection23 USC 114a & 121FHWA
Construction inspectionsFAPG G 6042.8FHWA
Buy America23 CFR 635.410FHWA
FHWA Form 4523 CFR 635.113FHWA
FHWA Form 4723 CFR 635.126LADOTD/FHWA

K. Local Agencies and Tribal Governments

  1. Program Overview

    The Louisiana Department of Transportation (LADOTD) is responsible for all Title 23 and non-Title 23 requirements of the Federal-aid program. Since Title 23 U.S.C. does not recognize local entities as direct recipients of Federal-aid funds, local agencies cannot take the place of the LADOTD in the context of the Federal-aid highway program. Although the LADOTD cannot delegate responsibility, activities can be delegated and the local entities held accountable to the LADOTD. In those cases where activities are delegated to Cities or Parishes, the LADOTD will take review and assurance actions necessary to assure local compliance with all requirements of Federal laws. The FHWA will work in partnership with the LADOTD on these review and assurance actions.

    1. Local Government

      LADOTD is permitted to delegate certain activities, under its supervision, to local agencies (cities, counties, private organizations, or other state agencies) under federal regulation 23 CFR 1.11 and 635.105. Projects on the NHS will follow the processes and procedures identified in the Stewardship Plan for NHS projects.

      Non-NHS projects administered through LADOTD will be designed, constructed, operated, and maintained in accordance with State laws, regulations, directives, safety standards, design standards, and construction standards. 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 comply with applicable non-Title 23 U.S.C. requirements.

      By written City/State agreement with the local agency, LADOTD may delegate all or some project activities to local agencies. Those activities include, but are not limited to:

      • Environmental studies
      • Procurement of consultant services
      • Preliminary design
      • Surveying
      • Right of Way acquisition
      • Work by local forces or utility companies
      • Preparation of plans, specifications and estimates
      • Preparation of bid proposal package
      • Contract administration
      • Inspection

      LADOTD will determine if the local agency is qualified, adequately staffed, and able to administer a project before delegating these activities. LADOTD will review each project on a case-by-case basis. A written action plan stating how LADOTD is going to verify compliance of the local entities with Federal requirements is to be submitted with the request for authorization for each project which LADOTD intends to allow the local entities to perform the delegated activities. The plan is to specify the activities to be delegated and the actions taken by LADOTD in ensuring compliance with established procedures.

      On all projects, a City/State agreement will be executed between LADOTD and the local agency that outlines the responsibility of both LADOTD and the local agency.

      LADOTD retains its responsibilities under Federal law and regulations for all delegated activities. LADOTD will provide the necessary processes, approvals, oversight, and review to ensure that delegated projects receive adequate supervision and inspection, and that they are completed in conformance with approved plans and specifications and applicable federal requirements.

    2. Tribal Governments

      LADOTD will consult with the tribal governments during the planning and environmental processes of projects to assure tribal concerns regarding the preservation of environmental, scenic, cultural or historic values are addressed.

  2. Methods of Oversight
    1. Program Approval Actions

      LADOTD will assure that:

      • To the extent permitted in 23 U.S.C. Section 109(o), non-NHS projects administered through LADOTD will follow state laws, rules, and standards for state-aid funded projects, in lieu of Title 23 requirements.
      • Projects will be developed in accordance with LADOTD Local Government and LADOTD Design Manuals.
      • Procurement of consultant services, to be reimbursed with federal aid, will be performed in accordance with LADOTD procedures and State Statutes.
      • LADOTD will enforce compliance with applicable Title 23 U.S.C. requirements and all non-Title 23 U.S.C. federal regulations such as NEPA, Civil Right (DBE), Davis Bacon Wage Rates, Buy America, right-of-way acquisition laws, and other applicable requirements as required by state statute and FHWA regulations.
      • Projects will be constructed in accordance with the current edition of LADOTD's Standard Specifications.
      • Local agencies are qualified, adequately staffed, and able to administer a project before delegating project activities to the local agency.
    2. Project Approval Actions
      • LADOTD and FHWA will assure that appropriate consultation with Tribal Governments is achieved during the NEPA process to address tribal concerns regarding the preservation of environmental, scenic, cultural or historic values.
      • A City/State Agreement will be executed for each locally administered project.
      • Environmental clearance must be obtained from FHWA (or determined to be a categorical exclusion by definition or a pre-determined programmatic categorical exclusion) prior to the design or right-of-way processes on all projects using Federal aid funds.
      • LADOTD will retain approval authority for the following actions.
      • Design Exception approval
      • Right of Way certification
      • Plan Approval
      • DBE Goals
      • PS&E approval
      • Award of Contract
      • Construction Change Orders
      • Labor compliance enforcement
      • Final Inspection and Acceptance
      • Project Audit
      • Full Oversight projects will require FHWA approval actions as detailed in the Design and Construction and Contract Administration sections of this Stewardship Plan.
    3. Monitoring

      All Federal-aid highway projects are subject to review at any time by LADOTD and or FHWA. FHWA's primary monitoring method in this program area will be process reviews. The decision to conduct a process review will be determined through the FHWA Division Office risk assessment process.

  3. Control Documents
    1. Applicable Laws, Regulations, and Orders
      • 23 U.S.C. 106(c)(2)
      • 23 U.S.C. 109(o)
      • 23 CFR 1.11
      • 23 CFR 635
    2. Approved Procedures/Agreements/Manual
      • LADOTD Local Government Manual
      • LADOTD Road and Bridge Design Manuals
      • LADOTD Standard Specifications for Roads and Bridges
      • LADOTD Materials Sampling Manual
      • LADOTD Construction Contract Administration Manual
      • FHWA's Contract Administration Manual
      • Federal Aid Policy Guide (FAPG). See website for this guidance.
  4. Project Responsibilities

    See the Project and Program Responsibilities chart in the Construction and Contract Administration section of this stewardship plan for the required LADOTD approval actions on State Administered projects.

L. Pavement and Materials

  1. Program Overview

    Pavement: 23 CFR 626 requires that pavements on the National Highway System (NHS) be designed in accordance with current and predicted traffic needs in a safe, durable and cost effective manner. LADOTD is expected to use structural design procedures that are fundamentally sound and appropriate for their conditions.

    Materials: Subsection (a) of 23 U.S.C. 109 requires that the FHWA ensure that the plans and specifications for all proposed Federal-aid highway projects provide for facilities that will adequately serve the existing and planned future traffic in a manner that is conducive to safety, durability, and economy of maintenance. To fulfill this requirement for all Federal-aid highway projects, the FHWA Louisiana Division prime objectives are to:

    • Maintain a close working relationship with LADOT materials, research and construction staff.
    • Promote improvements when new approaches or technologies are developed and where deficiencies are identified.
    • Ensure that the materials incorporated in the construction work and the construction operations controlled by sampling and testing are in conformity with the approved plans and specifications.

    Furthermore, the FHWA is required, by means of an approved quality assurance program (23 CFR 637.201, Quality Assurance Procedures for Construction), to assure the quality of materials incorporated into Federal-aid highway projects on the National Highway System (NHS). For Federal-aid projects on the NHS, the primary objectives are to:

    • Assure that the materials incorporated in the construction work, and the construction operations controlled by sampling and testing are in conformity with the approved plans and specifications.
    • Provide oversight of construction materials and compliance with Federal requirements on a statewide basis.
    • Assure adequate and qualified staff to maintain LADOTD's quality assurance responsibility as part of its Quality Control/Quality Assurance (QC/QA) program.
    • Assure compliance with, and assist in, maintaining the LADOTD Transportation Certification and Technician Qualification Program
  2. Methods of Oversight
    1. Program Approval Actions
      • The LADOTD Standard Specifications for Roads and Bridges are approved by the FHWA Louisiana Division Office on a program basis to facilitate project approvals.
      • Special Provisions are submitted to the FHWA Division Office for approval for use on National Highway System (NHS) projects.
      • Supplemental Specifications are amended by LADOTD by including current Special Provisions into the Supplemental Specifications. These are approved by FHWA on a program basis (typically 3 month intervals).
      • FHWA approves all LADOTD Materials Test Procedures and modifications to the test procedures for use on the NHS.
      • FHWA approves all revisions to the Materials Sampling Manual for use on the NHS.
      • FHWA approves revisions of Standard Plans for use on the NHS.
      • Louisiana must develop and maintain a quality assurance program that will assure that materials and workmanship incorporated into each Federal aid highway construction project on the NHS are in conformity with the requirements of the approved plans and specifications. The program must be approved by FHWA.
    2. Project Approval Actions
      • FHWA will approve all special provisions, supplemental specifications or other changes in project specifications for materials on the NHS.
      • FHWA will approve all Structural Thickness Designs on Interstate projects and on other NHS projects that are complete reconstruction or add capacity.
    3. Monitoring
      • FHWA will monitor the acceptance and testing of materials in accordance with LADOTD's Standard Specifications for Roads and Bridge Construction and the LADOTD Field Sampling and Testing Manual on all Federal-aid projects through process reviews and on full oversight project through construction inspections.
  3. Control Documents
    1. Applicable Laws, Regulations, and Orders
    2. Approved Procedures/Agreements/Manuals
  4. Business Standards
    • LADOTD will provide 2 weeks for FHWA to review and respond to Supplemental Specifications, Special Provision revisions, Project Materials Specifications and Structural Designs for NHS projects.
    • LADOTD will provide 30 days for FHWA to review and respond to substantial changes in its Quality Assurance Program.
    • Time to review and approve a complete revision of the Standard Specifications will be negotiated prior to the activity.
    • See Quality Assurance Program Summary Table for more business standard detail.
  5. Performance Indicators

    Performance Goals

    • International Roughness Index (IRI) data on the National Highway System (NHS) and on the Strategic Highway Network System (STRAHNET) is obtained each year from LADOTD's Pavement Management's distress data. The IRI data is posted in our Division Office tracking system. Records are kept each year for the percent of vehicle miles (VMT) with an IRI = 170 inches per mile. The national goal is that 95 % of the VMT have an IRI less than 170 inches per mile by the year 2008.
    • IRI records are also kept as mentioned above for the percent of VMT with an IRI = 95 inches per mile having a national goal of 58.5 % by the year 2008.

    Performance Indicators

    • Percentage of vehicle miles traveled (VMT) with an IRI ≤ 170 inches per mile for rural and urban on all of the NHS, for the Interstate System alone, for the NHS excluding the Interstate and the STRAHNET system.
    • Percentage of VMT with an IRI ≤ 95 inches per mile.
  6. Program Responsibilities
Quality Assurance Program Summary Table
Activity/ItemAll NHS
Exemption Not Applicable
Non-NHS
Exempt
LADOTD ActionFHWA ActionLADOTD ActionFHWA Action
Quality Assurance Program

Materials Test Procedures and Materials Sampling Manual updates.

Maintain
(on going)
Review and Act Upon
(10 Working Days)
LADOTD prepares and approvesNo action
Inspector/Technician Certification and Qualification ProgramDevelop and implementReview and Act Upon when updated (10 Working Days)Required by LADOTDNo action
AASHTO On-Site Assessment of Materials Testing LaboratoryMaintain accreditation, submit inspection report, approve District Laboratory testing facilitiesReview, make recommendations for consideration (as necessary)Required by LADOTDNo action
Louisiana's Standard Specifications for Road and Bridge Construction (Supplemental and Special Provision Issues)Maintain
(on going)
Review and Act Upon
(10 Working Days)
Required by LADOTDNo action
Project Structural DesignsDevelopReview and Act Upon
(10 Working Days)
Required by LADOTDNo action

M. Maintenance

  1. Program Overview

    Title 23 of the United State Code defines maintenance as, "…the preservation of the entire highway, including surface, shoulders, roadsides, structures, and such traffic-control devices as are necessary for safe and efficient utilization of the highway." Title 23 further requires a State transportation department to maintain each project constructed with Federal-aid funds until such time that it no longer constitutes a part of the Federal-aid system. It is FHWA's role to see that maintenance of Federal-aid projects is adequate and to provide technical assistance in disseminating information on successful maintenance techniques.

    For the most part, though maintenance is required by statute, regulation and project agreement for projects on which Federal-aid is spent, common maintenance is not eligible for Federal-aid. Traditional activities considered to be maintenance are mowing, vegetation control, pot-hole patching, up-keep of signal and lighting installations, cleaning and up-keep of rest-areas, control of right-of-way encroachment, etc. These types of maintenance activities are considered the obligation of the State or local jurisdiction under State charter. This section of the Stewardship Plan pertains to the activities and the management of those activities that are required to be accomplished by the LADOTD (or caused to be accomplished by the LADOTD) to fulfill its obligation under Title 23 without Federal-aid reimbursement.

    Preventative Maintenance activities that are eligible for federal participation include, but are not limited to, sealing pavement joints, spot-repair of bridge coating systems, replacement of damaged highway signs, and pavement patching.

  2. Methods of Oversight
    1. Program Approval Actions

      FHWA approval is not required on a program level for maintenance activities unless special or unusual circumstances exist.

    2. Project Approval Actions
      • FHWA approval is not required on a project level for maintenance activities unless special or unusual circumstances exist. The maintenance agreement, which is a part of the project agreement for each Federal-aid project, is a project level action in which the LADOTD agrees to maintain the constructed facility.
      • Preventative maintenance projects which are eligible for Federal participation will go through the same process as other Federal-aid construction projects. See the Design and Construction and Contract Administration sections of this stewardship plan.
    3. Monitoring

      FHWA will review road and bridge maintenance through a sampling of field observations, annual reviews and process reviews as necessary. Any review may include appropriate representatives from local, State, and Federal Agencies or may be conducted solely by FHWA. Any specific instances of inadequate maintenance or concerns regarding LADOTD's overall maintenance program will be brought to the attention of LADOTD by FHWA.

      • Routine Travel Surveillance
        FHWA Area Engineers will make observations of the general maintenance conditions of Federal-aid highway during normal official travel. Any maintenance deficiencies noted will be forwarded to the LADOTD Assistant District Administrator for Operations and the District Area Engineer for the area. These notifications may be made by email or verbally with a follow-up email for documentation. The District will respond by email indicating the action being taken to resolve the deficiency.

      • Annual Interstate Maintenance Reviews
        Each FHWA Area Engineer will make a review of the condition of the Interstate Routes in their respective areas. The review should be made in the company of the LADOTD District Area Engineer or their representative. A report documenting the findings and recommendations of that review will be emailed to the LADOTD Assistant District Administrator for Operations Administrator and the District Area Engineer. The District will respond in writing indicating the actions being taken to resolve any deficiencies noted.

      • Bridge Maintenance
        See Section D- Bridge and Structures for information on the NBIS program.

      • Process Reviews

        Maintenance oriented process reviews may be conducted jointly by FHWA and LADOTD as needed. The scope and subject of these reviews will be determined using risk assessment techniques and will be agreed to by FHWA and LADOTD.

  3. Control Documents
    1. Applicable Laws, Regulations, and Orders
    2. Approved Procedures/Agreements/Manuals
      • LADOTD Maintenance Operations Manual
      • AASHTO Maintenance Manual
  4. Business Standards
    • FHWA will send LADOTD a report documenting the findings of the annual Interstate maintenance review within 30 days after the inspection.
    • LADOTD will respond in writing (letter or email) to the annual FHWA Interstate Maintenance review within 60 days of receipt of the report.
    • LADOTD will respond to emails regarding deficiencies noted during routine travel within two weeks of receipt of the notification.
    • LADOTD is to provide the FHWA Division Project Delivery Team Leader any updates to the LADOTD Maintenance Operations Manual.
  5. Performance Indicators
    The condition of the federal-aid routes will be tracked through the pavement management and bridge management programs. See the Pavements and Materials and Bridge and Structures sections.

  6. Project Activity Approval Responsibility
    Any bridge or pavement preventative maintenance projects eligible for federal participation will be subject to the same oversight rules as other projects. See the Design and Construction and Contract Administration sections.

N. Traffic Operations

  1. Program Overview
    Traffic Operations is a cross cutting program area that touches many aspects of the highway program. Traffic operations contributes heavily to project development through engineering analysis of vehicle and pedestrian movement that are needed to produce sound project level decisions affecting safe and efficient highway operations. It is also an area that contributes heavily to the operations and physical maintenance of highway facilities by providing techniques, procedures, management practices/systems and inventory tools.

    Examples of traffic operations studies and analyses that are inherent to project development include:

    • Traffic signal warranting and operational studies
    • Capacity, traffic operations and geometric analysis
    • Queue analysis
    • Temporary traffic control studies
    • Lighting studies
    • Pedestrian and bicycle facility studies (including ADA analysis)
    • Crash analysis and countermeasure development

    Examples of traffic operations areas contributing to operations and maintenance of highways include:

    • Device (such as signs, signal systems, pavement marking, etc.) and system inventory/management
    • Construction and maintenance work zone operations
    • Traffic signal timing and operation
    • Contra-flow and other evacuation & emergency operations plans
    • Unique intersection designs (roundabouts, displaced left-turns, etc.)
  2. Methods of Oversight
    1. Program Approval Actions
      LADOTD, in cooperation with FHWA, will monitor, review and implement policies, guides and standards issued by organizations that provide the key technical documents that support the Traffic Operations program area. LADOTD shall keep FHWA informed of the status of adoption of key technical documents such as the MUTCD and any locally developed interpretations or applications of policies, standards and guidance (per 23 CFR 655).

    2. Project Approval Actions

      FHWA works with LADOTD to determine appropriate application and use of the tools that are available. FHWA also provides technical support in interpreting and applying available tools and in having access to the state of the practice information that allows timely advancement and innovation in traffic operations.

      Individual studies performed in support of project decision-making are the responsibility and prerogative of LADOTD with no specific FHWA approval actions required, except in the case of freeway interchange addition or modification (23 CFR 625).

      FHWA's specific approval of traffic operations elements of project development will occur coincident with environmental approvals when the traffic operations studies are supporting alternative selection decisions.

      FHWA's specific approval of traffic operations elements of project plans will be approved coincident with PS&E approval dependent on the project's exemption status.

      FHWA's approval of traffic analyses that support interchange/access modification will be approved coincident to the interchange/access modification.

    3. Monitoring
      • FHWA will conduct routine project and final inspections of traffic operations aspects on Interstate completion and new/reconstruction Interstate projects. For all other Federal NHS and non-NHS projects, FHWA may conduct inspections, including finals, on a statewide sampling basis through annual QI&A reviews.
      • FHWA will conduct routine evaluation of Federal-aid projects to assure traffic operations components are being adequately maintained.
      • FHWA will provide ongoing technical assistance in the area of traffic operations, will include this area in routine risk assessment evaluations, and will work cooperatively with LADOTD to use process reviews to assess and improve processes and procedures.
      • FHWA will review and approve LADOTD's workzone policies and standards for conformance with FHWA Work Zone Rule (23 CFR 630)
  3. Control Documents
    1. Applicable Laws, Regulations, and Orders
    2. Approved Procedures/Agreements/Manuals
  4. Business Standards
    • LADOTD will notify FHWA of adoption or significant locally produced application of regulatory provisions including the MUTCD, AASHTO Policy and Work Zone Safety and Mobility Regulations within 30 days of adoption.
    • FHWA will follow prescribed processing requirements for individual project actions related to Traffic Operations as defined in the partnership agreement.
    • LADOTD will fully involve FHWA in all aspects of freeway interchange addition or change studies and proposals.
  5. Project Responsibilities
PROJECT ACTIVITY APPROVAL CHART – Physical Operations
PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentFull Oversight ProjectsDelegated ProjectsNon-NHS Projects
Device Maintenance23 CFR 1.27LADOTDLADOTDLADOTD
Device and System Inventory and Management23 CFR 1.27LADOTDLADOTDLADOTD
Construction and Maintenance Work Zone Operations23 CFR 630LADOTDLADOTDLADOTD
Signalized Intersection Operation23 CFR 1.27LADOTDLADOTDLADOTD
PROJECT ACTIVITY APPROVAL CHART – Physical Operations
PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentFull Oversight ProjectsDelegated ProjectsNon-NHS Projects
Traffic Signal Study23 CFR 625LADOTDLADOTDLADOTD
Capacity, Traffic and Geometric Study23 CFR 625LADOTDLADOTDLADOTD
Lighting Study23 CFR 625LADOTDLADOTDLADOTD
Pedestrian and Bicycle Facility Study23 CFR 625 and 652LADOTDLADOTDLADOTD
Crash and Countermeasure Analysis23 CFR 625LADOTDLADOTDLADOTD
Signing Study23 CFR 625LADOTDLADOTDLADOTD
Pavement Marking Study23 CFR 625LADOTDLADOTDLADOTD
Speed Study23 CFR 625LADOTDLADOTDLADOTD
Interstate System Access Revision Study23 CFR 625FHWA Approval RequiredFHWAFHWA
Access Control Study23 CFR 625LADOTDLADOTDLADOTD
MUTCD Implementation and Compliance23 CFR 655LADOTDLADOTDLADOTD
Highway- Rail Grade Crossing Study23 CFR 646LADOTDLADOTDLADOTD
Parking Facility Study23 CFR 625LADOTDLADOTDLADOTD

O. SAFETY

  1. Program Overview
    SAFETEA-LU established a new core Highway Safety Improvement Program that is structured and funded to make significant progress in reducing highway fatalities. It creates a positive agenda for increased safety on roadways by almost doubling the federal funds for infrastructure safety and requiring strategic highway safety planning, focusing on results. Other programs target specific areas of concern, such as work zones, older drivers, and pedestrians, including children walking to school, further reflect SAFETEA-LU's focus on safety.

    1. Highway Safety Improvement Program (HSIP)
      The Highway Safety Improvement program is established as a core program, separately funded for the first time under SAFETE-LU, with flexibility provided to allow States to target funds to their most critical safety needs. Funds are set aside in the HSIP for the Railway-Highway Crossing program, and for construction and operational improvements on high-risk rural roads.

      LADOTD performs HSIP components of Planning, Implementation, and Evaluation to accomplish requirements of the program. These components involve: identification of high-crash locations, developing and implementing an annual program of projects to improve safety at these locations, and an annual report to FHWA on progress and effectiveness. FHWA is involved in all three components, both formally and through informal technical assistance.

      As part of the HSIP, States are required to submit an annual report describing not less than 5 percent of their highway locations exhibiting the most severe safety needs [Section 148(c)(1)(D)]; their most hazardous locations, progress in implementing highway safety improvement projects, and their effectiveness in reducing fatalities and injuries. The intent of this provision is to raise the public awareness of the highway safety needs and to challenge each State.

      The "5 percent reports" will then be made available to the public via posting on the USDOT web site as required by Section l48(g)(3). The Division Offices will forward the reports to the FHWA Headquarters Office of Safety (HSA) no later than September 30 each year for subsequent inclusion on a USDOT web site.

      The submitted reports should be compatible with USDOT web site requirements. HyperText Markup Language (HTML) is the publishing language of the World Wide Web. Information submitted in the form of HTML files (i.e. Web pages) need to be coded to meet the industry standards for HTML and the requirements of Section 508 of the Rehabilitation Act.

      State Strategic Highway Safety Plans (SHSP) - SHSPs will be used in the Highway Safety Improvement Program to identify and analyze highway safety problems and opportunities, include projects or strategies to address them, and evaluate the accuracy of data and the priority of proposed improvements. The SHSP must be based on accurate and timely safety data, consultation with safety stakeholders, and performance-based goals that address infrastructure and behavioral safety problems on all public roads. States are also required to develop an evaluation process to assess results and use the information to set priorities for highway safety improvements. The Governor or a responsible State agency approves the plan. States with SHSPs have additional flexibility to use up to 10% of their HSIP funds for behavioral and other safety projects if they meet rail grade crossing and infrastructure safety needs as defined in their SHSPs.

      For Resurfacing, Restoration, Rehabilitation (3R) and System Preservation type projects, a systematic safety analysis using crash data will be required. Should there be an abnormal crash history, mitigation utilizing low cost safety improvements will be considered by the LADOTD for addressing safety issues within or adjacent to the project limits. Items not meeting geometric design criteria will be evaluated following design exception criteria in conformance with 23CFR 625. On existing pavement maintenance projects, if any new substandard features are created, or existing ones made worse, this must be covered by a design exception, since such action in effect changes the project as built.

      Under this Stewardship agreement, FHWA will provide ongoing technical assistance in the planning, implementation, and evaluation of safety components of 3 R projects, including routine risk assessment evaluations, and will work cooperatively with LADOTD to use process review techniques to assess and improve procedures. Adjustments, revisions and updates to this agreement will be made as needed or warranted.

    2. Safe Routes to School
      The SRTS Program was established in August 2005 as part of the most recent federal transportation re-authorization legislation--SAFETEA-LU. This law provides multi-year funding for the surface transportation programs that guide spending of federal gas tax revenue. Section 1404 of this legislation provides funding (for the first time) for State Departments of Transportation to create and administer SRTS programs which allow communities to compete for funding for local SRTS projects.

      The Program provides funds to the States to substantially improve the ability of primary and middle school students to walk and bicycle to school safely. The purposes of the program are:

      1. to enable and encourage children, including those with disabilities, to walk and bicycle to school
      2. to make bicycling and walking to school a safer and more appealing transportation alternative, thereby encouraging a healthy and active lifestyle from an early age; and
      3. To facilitate the planning, development, and implementation of projects and activities that will improve safety and reduce traffic, fuel consumption, and air pollution in the vicinity (approximately 2 miles) of primary and middle schools (Grades K-8).

      Each State administers its own program and develops its own procedures to solicit and select projects for funding. The program establishes two distinct types of funding opportunities: infrastructure projects (engineering improvements) and non-infrastructure related activities (such as education, enforcement and encouragement programs).

    3. Work Zone Safety
      The objective of the National Highway Work Zone Safety Program (NHWZSP) is to enhance safety and operational efficiency of highway work zones for highway users — motorists, pedestrians, motorcyclists, bicyclists, including the elderly highway users — and highway workers. The safe and efficient flow of traffic through work zones is a major concern to transportation officials, industry, the public, businesses, and commercial motor carriers. The FHWA has developed the National Highway Work Zone Safety Program (NHWZSP) to reduce the fatalities and injurious crashes in work zones, and to enhance traffic operation and safety within work zones.

      The Work Zone Safety and Mobility Rule were published on September 9, 2004 in the Federal Register. All state and local governments that receive federal-aid funding are required to comply with the provisions of the rule no later than October 12, 2007. The rule updates and broadens the former regulation at 23 CFR 630 Subpart J to address more of the current issues affecting work zone safety and mobility. The changes to the regulation will encourage broader consideration of the safety and mobility impacts of work zones across project development, and the implementation of strategies that help manage these impacts during project delivery.

      A number of provisions to address the safety of motorists, pedestrians, and highway construction workers in highway construction work zones are included. A new grant program, funded at $5 million per year beginning in 2006, will fund work zone safety training, including a National Work Zone Safety Information Clearinghouse, and improved work zone traffic control devices, including high-visibility garments for workers.

    4. High Risk Rural Roads
      The HSIP, codified as section 148 of title 23, U.S.C., (23 U.S.C. §148), was elevated to a core program as a result of the passage of the SAFETEA-LU, Public Law 109-59. The SAFETEA-LU introduced a new set-aside provision known as the High Risk Rural Roads Program (HRRRP), codified as 23 U.S.C. §148 (f). This program represents a significant step toward recognizing the need to reduce fatalities on rural roads, which account for almost two-thirds of the over 43,000 roadway fatalities in the U.S. To make headway in reducing fatalities and serious injuries, regardless of ownership, safety on rural roads must improve.

      Local highway agencies often do not have the resources needed to adequately address safety problems on the roads they maintain. The FHWA Local and Tribal Safety Program provides national leadership in identifying, developing, and delivering safety programs and products to local officials and tribal governments to improve highway safety on local and tribal roads. Rural road safety is a particular concern, because the majority of highway fatalities take place on rural roads.

      Transportation professionals employ assessments/audits to scrutinize roadways for safety issues-and reduce crashes, injuries, fatalities, and costs in the process. A Road Safety Assessment/Audit (RSA) is a formal safety performance examination of an existing or future road or intersection by an independent, multidisciplinary team. It qualitatively estimates and reports potential road safety issues and identifies opportunities for improvements in safety for all road users.

    5. Other Safety Issues
      Other provisions address specific safety issues, including bicycle and pedestrian safety, improved traffic signs and pavement markings targeted to older drivers and pedestrians.

    6. 402 State and Community Highway Safety Grant Program
      Section 402(b) sets forth the minimum requirements with which each State's highway safety program must comply. Highway Safety Funds are used to support State and community programs to reduce deaths and injuries on the highways. In each State, funds are administered by the Governor's Representative for Highway Safety; 402 funds can be used for a variety of safety initiatives including conducting data analyses, developing safety education programs, and conducting community-wide pedestrian safety campaigns. Since the 402 Program is jointly administered by NHTSA and FHWA, Highway Safety Funds can also be used for some limited safety-related engineering projects.

      The Louisiana Highway Safety Commission (LHSC) prepares an annual Highway Safety Plan (HSP) as the planning component of the program, submits a certification statement, and issues a benchmark report. Federal approval is provided by NHTSA in the form of a letter acknowledging LHSC's submission. NHTSA is the lead agency in working with LHSC on using the results of the evaluation process. FHWA provides technical support to LHSC, LADOTD or NHTSA in the 402 program.

    7. [23 USC] Section 154 (Open Container) and 164 (Repeat Offender) Penalty Transfer Program
      A percentage of the State's Federal-aid funds from the Interstate Maintenance Program, Surface Transportation Program and/or National Highway System Program are transferred annually from those programs for highway safety purposes. These funds are eligible only for projects involving alcohol countermeasures or hazard elimination safety construction. This program is unique in that the transferred funds are taken from the FHWA apportionments and placed in the NHTSA Section 402 apportionment for fiscal delivery. These penalty transfer funds are transferred back to the DOTD Safety Section to be used for Safety improvement projects.

      Alcohol countermeasure projects are fully administered by NHTSA, through the Louisiana Highway Safety Commission. FHWA provides support and funding for media blitz and awareness campaigns involving alcohol countermeasures.

    8. Other Safety Activities
      FHWA provides general technical support to LADOTD in the following safety-related areas:

      • Participates as a team member in LADOTD-led safety focused task forces and teams that are formed as needed to address perceived needs or problems.
      • Provides technical support in handling of special 23 USC Section program areas:
        • Section 154 (Open Container)
        • Section 159 Certification (Revocation or Suspension of Drivers' Licenses for Drug Offenders)
        • Section 163 (0.08 blood alcohol)
        • Section 164 (Repeat Offender)
  2. Methods of Oversight
    1. Program Approval Actions
      • 23 USC Sections 48 (previously Sec. 130 & 152): LADOTD will submit for FHWA approval a programming process and amendments, a program of projects and program evaluation report under the Highway Safety Improvement Program (HSIP), including Hazard Elimination Projects and Rail Crossing Improvement Projects.
      • 23 USC Section 154 (Open Container): LADOTD must submit a notification to FHWA and NHTSA identifying how the Open Container penalty transferred funds will be used. It will also include any Section 154 Penalty Transfer Projects advanced as hazard elimination safety construction projects based on Section 148 criteria in the annual program of projects under the Highway Safety Improvement Program.
      • 23 USC Section 159 Certification (Revocation or Suspension of Drivers' Licenses for Drug Offenders): LADOTD will submit an annual certification to FHWA indicating either opposition to or enactment/enforcement of a law requiring the revocation or suspension of drivers' licenses of individuals convicted of drug offenses.
      • 23 USC Section 163 (0.08 blood alcohol): LADOTD must annually jointly notify FHWA and NHTSA of the intended use of the Section 163 incentive funds.
      • 23 USC Section 164 (Repeat Offender): LADOTD must submit a notification to FHWA and NHTSA identifying how the Repeat Intoxicated Drivers penalty transferred funds will be used. LADOTD will include all Section 164 penalty transfer projects in the annual Highway Safety Plan (HSP) developed under Section 402. It will also include any Section 164 Penalty Transfer Projects advanced as hazard elimination safety construction projects based on Section 148 criteria in the annual program of projects under the Highway Safety Improvement Program.
      • 23 USC Section 402: FHWA will coordinate with NHTSA on program based Federal actions necessary under the Section 402 Program.
    2. Project Approval Actions
      • FHWA will verify that projects are in the current HSIP, and approve project agreements, modified project agreements and final vouchers on all Section 130 and 148 projects.
      • FHWA will collaborate with NHTSA on any project level action required for Section 402 projects.
      • Section 164 Penalty Transfer Projects, though handled by NHTSA due to transfer to Section 402, will be handled by FHWA similar to Section 148 projects, following partnership agreement procedures except that no financial actions will be taken by FHWA. LADOTD will include the Section 164 Penalty Transfer Projects being advanced under Section 148 Program criteria in the annual program of projects under the Highway Safety Improvement Program. FHWA will verify that projects are listed in the annual HSIP and HSP.
    3. Monitoring
      The FHWA Safety Programs focus on high risk areas, such as road departure, intersections and pedestrian safety, in order to make the biggest difference in improving traffic safety. FHWA is actively pursuing improved roadway safety through a multi-faceted approach in the fields of engineering, education, enforcement, and coordination with public safety agencies (police and fire services). FHWA monitors these high risk areas by summarizing crash and safety data obtained from LADOTD.

      FHWA provides national safety leadership through: conducting innovative safety research; setting national highway safety guidelines; and promoting proven or promising safety technologies.

      • FHWA may conduct inspections, including finals, on a statewide sampling basis through annual reviews.
      • FHWA will provide ongoing technical assistance in the planning, implementation, and evaluation components of the HSIP, will include the safety program as an area of routine risk assessment evaluations, and will work cooperatively with LADOTD to use process review techniques to assess and improve procedures.
      • FHWA will support NHTSA in monitoring of Section 402 Program activities by participating in periodic management reviews conducted by NHTSA and by working cooperatively with LADOTD.
    4. Control Documents
      1. Applicable Laws, Regulations, and Orders
        • April 4, 2006- Highway Safety Improvement Program Reporting Requirements [Title 23, Section 148(g)]
        • April 10, 2006- Highway Safety Improvement Program reporting "5 Percent Report" [Title 23, Section 148 (c)(1)(D)]
        • May 9, 2006- Guidance on 23 USC 130 Annual Reporting Requirements for Rail-Highway Crossings
        • 23 USC Sections 130, 148, 159, 163, 164, 315, 402
        • 23 CFR Part 924 and Part 1200
    5. Performance Indicators

      Performance Goals
      Reduce the number of highway-related Fatalities and Injuries in Louisiana.

      Performance Indicators
      FHWA actively tracks data in the above emphasis areas:

      • Roadway Departure (Statewide)-- Crashes, Fatalities, Injuries;
      • Roadway Departure (Rural Interstate)-- Crashes, Fatalities, Injuries;
      • Bicycle-- Crashes, Fatalities, Injuries;
      • Pedestrian-- Crashes, Fatalities, Injuries;
      • Work Zone-- Crashes, Fatalities, Injuries;
      • Railroad-- Fatalities, Injuries;
      • Intersection-- Fatalities, Injuries.
  3. Project Responsibilities
PROJECT ACTIVITY APPROVAL CHART – Section 130 & 148 Projects
PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentFull FHWA Oversight ProjectsState Administered (Delegated) Projects
ROW Clearance23 CFR 635.309FHWALADOTD
Contract Changes & Extra Work23 CFR 635.120FHWALADOTD
Environmental Determination23 CFR 771FHWAFHWA
Obligation of Funds23 USC 106FHWAFHWA
Final Construction Inspection23 USC 106FHWALADOTD
Final Voucher23 USC 106FHWAFHWA

LADOTD provides Safety Railroad improvement projects in conformance with 23 CFR 646.22-00 and utilizing the General procedures contained in Section 646.216

Section 130 projects are currently funded 100% Federal share in conformance with 23 USC 120(c).

All railroad traffic control devices proposed shall comply with the latest edition of the Manual on Uniform Traffic Control Devices for Streets and Highways.

PROJECT ACTIVITY APPROVAL CHART – Section 154 & 164 Projects
PROJECT ACTIVITIESAGENCY RESPONSIBLE
Approval ActionReference DocumentFull FHWA Oversight ProjectsState Administered (Delegated) Projects
ROW Clearance23 CFR 635.309LADOTDLADOTD
Contract Changes & Extra Work23 CFR 635.120LADOTDLADOTD
Environmental Determination23 CFR 771FHWAFHWA
Obligation of Funds23 USC 106NHTSANHTSA
Final Construction Inspection23 USC 106LADOTDLADOTD
Final Voucher23 USC 106NHTSANHTSA

Under the provisions of section 154(c) of title 23, U.S.C., and section 164 of title 23, U.S.C., 3 percent of the amount required to be apportioned to the States will be transferred to the State's Safety Program, as outlined in section 402 of title 23, U.S.C. Amounts transferred were subject to determination by the States, according to section 154(c)(5) of title 23, U.S.C., and section 164(b)(5) of title 23, U.S.C.

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Contact

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

 
 
Updated: 01/21/2014
 

FHWA
United States Department of Transportation - Federal Highway Administration