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Stewardship and Oversight Agreement
Federal Highway Administration – North Carolina and The North Carolina Department of Transportation
Joint Signature Page
The purpose of the Stewardship and Oversight Agreement (Agreement) is to formalize how the Federal-Aid Highway Program (FHP) will be administered in the State of North Carolina in accordance with Section 106 for Title 23 – United States Code. This agreement replaces the October 29, 1998 Stewardship and Oversight Agreement, including the June 22, 2001 update.
The intent of this Agreement is to delegate Federal Highway Administration's (FHWA) approval authority to North Carolina Department of Transportation (NCDOT) for certain preliminary engineering, construction contract administration, right-of-way, and utility activities on or related to Federal-aid projects. NCDOT will assume certain FHWA Title 23 oversight roles and approval responsibilities for delegated projects. This includes responsibility for ensuring that staff has appropriate training and knowledge to make sure that programs and projects are developed in conformance with Federal requirements.
The FHWA and the NCDOT have jointly administered the FHP for many years. These parties have been tasked with carrying out the FHP efficiently and effectively to help accomplish national and mutual or local goals–to maintain a national highway network, improve its operation and safety, and provide for national security while protecting the environment. Stewardship efforts include oversight and approval actions, as well as many day-to-day actions that are routinely performed by either or both of the parties to ensure that the FHP is administered in regulatory compliance and in ways that enhance the value of the program funds authorized by Congress.
Not withstanding any provision of this Agreement, FHWA retains overall responsibility for all aspects of the FHP in North Carolina. This Agreement does not preclude FHWA access to and review of any Federal-Aid project at any time and does not replace the provision of USC Title 23.
|Original signed by___________________|| ||Original signed by___________________|
|John F. Sullivan, III||Date||Eugene A. Conti, Jr.||Date|
|FHWA Division Administrator||NC Secretary of Transportation|
The purpose of the Stewardship and Oversight Agreement (Agreement) is to formalize how the FHP will be administered in the State of North Carolina in accordance with Section 106 of Title 23 – United States Code. This agreement replaces the October 29, 1998 Stewardship and Oversight Agreement, including its June 22, 2001 revision.
The intent of this Agreement is to delegate the Federal Highway Administration's (FHWA) approval authority to the North Carolina Department of Transportation (NCDOT) for certain preliminary engineering, construction contract administration and right-of-way activities on or related to Federal-aid projects. NCDOT will assume certain FHWA Title 23 oversight roles and approval responsibilities for delegated projects. This includes responsibility for ensuring that staff has appropriate training and knowledge to make sure that programs and projects are developed in conformance with Federal requirements.
FHWA retains overall program oversight responsibility for all aspects of the FHP in North Carolina.
Background and Introduction
Congress has charged the FHWA with administering the Federal-Aid Highway Program (FHP) under Title 23 United States Code (USC), and other associated laws. In addition, FHWA's responsibility for administering the FHP 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 responsibilities for the FHWA in certain National Environmental Policy Act approvals associated in the environmental analysis, design, contract award, construction inspection, and administration of the FHP.
The FHWA and the NCDOT have jointly administered the FHP for many years. These parties have been tasked with carrying out the FHP efficiently and effectively to help accomplish national, state, and local goals: maintain a national highway network, improve its operation and safety, and provide for national security while protecting the environment. Stewardship efforts include oversight and approval actions, as well as many day-to-day actions that are routinely performed by either or both of the parties to ensure that the FHP is administered in regulatory compliance and in ways that enhance the value of the program funds authorized by Congress.
Delegated Authority Projects – Projects that NCDOT assumes FHWA's authority for review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of Federal-aid projects on a project by project basis.
Full Oversight Projects – Projects that require FHWA to review and approval actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of Federal-aid projects on a project by project basis.
Oversight – The act of ensuring that the FHP is delivered consistent with federal and state laws, regulations, standards, and policies. Oversight is the compliance or verification component of FHWA's stewardship activities.
Risk Management – The systematic identification, assessment, planning, and management of threats and opportunities faced by FHP projects and programs.
Stewardship – The efficient and effective management of the public funds that have been entrusted to the FHWA to deliver the FHP as well as those public funds entrusted to the NCDOT for a safe and efficient transportation system.
Program and Project Responsibilities
The FHWA and NCDOT will review, monitor and approve activities in the designated areas of responsibility to verify compliance with applicable laws, regulations, standards, and policies as defined below and as detailed in the North Carolina Program Responsibility Matrix (Appendix B) and the North Carolina Project Responsibility Matrix (Appendix C).
Roles and Responsibilities for Full Oversight Projects
On projects where FHWA retains approval authority, the NCDOT will develop projects in accordance with State and Federal requirements. The FHWA will retain approval authority and will ensure compliance with Federal laws and regulationssuch as but not limited to the National Environmental Policy Act (NEPA), Section 4(f) of the Department of Transportation Act of 1966, the Clean Air Act, the Clean Water Act, Davis Bacon Act, Title VI of the Civil Rights Act, Disadvantaged Business Enterprises, and the Uniform Relocation Assistance and Acquisition Policies Act. In addition, FHWA shall assure that right-of-way approvals; utility approvals; environmental approvals; railroad approvals; design approvals; design exceptions; PS&E approval; concurrence in award; and construction-related activities are performed in accordance with State policies, practices and standards, and in accordance with all Federal-aid requirements.
Roles and Responsibilities for Delegated Authority Projects
On projects where FHWA's approval authority has been delegated to NCDOT, the following are the responsibilities assumed by NCDOT:
- The NCDOT assumes approval authority and will ensure compliance Federal laws and regulations such as but not limited to the National Environmental Policy Act (NEPA), Section 4(f) of the Department of Transportation Act of 1966, the Clean Air Act, the Clean Water Act, Davis Bacon Act, Title VI of the Civil Rights Act, Disadvantaged Business Enterprises, and the Uniform Relocation Assistance and Acquisition Policies Act.
- The NCDOT shall perform oversight activities to assure that right-of-way approvals; utility approvals; environmental approvals; railroad approvals; design approvals; design exceptions; PS&E approval; concurrence in award; and construction-related activities are performed in accordance with State policies, practices and standards, and in accordance with all FHP requirements.
- For delegated projects or programs that are developed and administered by local agencies, the NCDOT shall provide the necessary oversight to assure compliance with Federal-aid requirements. The NCDOT will be responsible for determining that sub-recipients of Federal funds have adequate staffing, project delivery systems, and sufficient accounting control. Ultimately, the NCDOT is accountable to the FHWA for ensuring compliance with Federal-aid requirements on such projects.
On projects where the FHWA's approval authority has been delegated to the NCDOT, the FHWA retains the authority for the following actions and approvals:
- All Federal responsibilities for planning and programming oversight specified in 23 USC 134 and 135.
- Federal air quality conformity determinations required by the Clean Air Act.
- Project authorization and obligation of funds.
- Waivers to Buy America requirements (FHWA Washington Headquarters (HQ)) approval required as noted in Mr. Horne's March 13, 2008 memorandum.
- SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
- Civil Rights program approvals.
- National Environmental Policy Act (NEPA) approvals.
- Addition or modification of access points on the Interstate System.
- Use of Interstate airspace for non-highway-related purposes.
- R/W approval actions as identified in the R/W manual.
- Hardship acquisition and protective buying.
- Non-competitive bidding approvals (23 CFR 172.5(a)(3)).
- Modifications to project agreements.
- Final project vouchers.
Projects Requiring a Financial Plan
In accordance with 23 USC 106(i), the North Carolina Department of Transportation will be required to prepare an annual financial plan on project segments receiving federal financial assistance with estimated total cost over $100 million (see guidance here). For those project segments with estimated total costs between $100 million and up to $500 million, the FHWA will not approve these financial plans, but they will be subject to review. As part of its ongoing stewardship and oversight responsibilities, the FHWA will need to assure that financial plans were completed in accordance with Title 23 requirements for content and timeliness. For those project segments over $500 million, the NCDOT will submit the financial plan to the FHWA Division Office for review and approval. Prior to the Divisions approval, the FHWA HQ-Major Projects Engineer will be given an opportunity to review and comment on the document.
In accordance with Section 1904 of SAFETEA-LU, all project segments with estimated total costs greater then $500 million are require to have a project management plan. The NCDOT will submit the project management plan to the FHWA Division Office for review and approval. Prior to the Divisions approval, the FHWA HQ-Major Projects Team will be given an opportunity to review and comment on the document.
Other Public Agencies (If Applicable)
NCDOT is responsible for overseeing all locally administered Federal-aid projects, and will assure local public agency knowledge and compliance with State and Federal requirements.
FHP Project Oversight Responsibilities Chart
|Project/Work Type||FHWA||NCDOT Delegated Authority|
|NHS - Interstate Design|
-Adding or modifying an
-Projects to be added to
the interstate system
-Major or unusual structures utilizing innovative design standards, material, or construction methods as defined in FHWA Order 5520.1.
|Full oversight through concurrence in award.||N/A|
|NHS – Interstate|
| ||Assumed Oversight Authority|
|NHS – Non-Interstate Design|
-Adding or modifying an
-Projects to be added to
the NHS system
-Major or unusual structures utilizing innovative design standards, material, or construction methods as defined in FHWA Order 5520.1.
|Full oversight up to the approval of the final planning document.||Assumed Oversight Authority from the final planning document to PS&E.|
|NHS – Non-Interstate Construction|| ||Assumed Oversight Authority|
|NHS Intelligent Transportation System projects > $1 million dollars.||Full oversight up to the right of way (when applicable) or construction authorization.||Assumed Oversight Authority after authorization of right of way (when applicable) or construction authorization.|
|Interstate – 3R (Resurfacing, Restoration and Rehabilitation) and Preservation Projects which meet AASHTO Design Criteria and do not add capacity as defined per NCDOT process.||Oversight level in accordance with NCDOT process.||Oversight level in accordance with NCDOT process.|
|Non- NHS|| ||Assumed Oversight Authority|
|Locally Administered Projects|| ||Assumed Oversight Authority|
|Appalachian Development Highway System Corridors Completion Project||Full Oversight|| |
|Projects > $100 Million||Determined on case by case basis – contact FHWA Transportation Engineer|| |
|Projects > $500 Million (Major Projects)||Full Oversight|| |
Overview of Responsibilities by Program Area
The following describes the expectations of both NCDOT and FHWA in delivering the main elements of the Federal-aid highway program, based on regulations and national policies.
A. Bridges and Structures
Structures shall be designed and constructed in accordance to NCDOT's Structure Design Unit Design Manual; Bridge Policy Manual; Policy Memos; Structure Standards; and Guidance for Drainage Studies and Hydraulic Design. Changes in standards, policies, and procedures or process that affect structure projects on the NHS will be submitted to FHWA for approval.
Project activities related to design, construction, operation, and maintenance of structures will follow the general provisions of this agreement with the exception that major and unusual structures on the NHS as defined in FHWA Order 5520.1 will always be subject to full FHWA Oversight due to their high cost or complexity. Examples of unusual bridges include segmental concrete, FRP, Ultra High Performance Concrete, concrete spans greater than 160-feet, steel spans greater than 300-feet, movable bridges, or as determined by NCDOT or FHWA.
NCDOT will provide the FHWA Bridge Engineer the following on full oversight projects:
- Preliminary Bridge Survey Reports
- Structural Recommendations
- Final Plans
The FHWA will provide comments on any bridge at their discretion. The NCDOT will provide written responses to any written FHWA comments. Foundation and hydraulic reports will be made available to FHWA.
All Highway Bridge Program (HBP) projects remain subject to special eligibility requirements. Title 23 U.S.C. requirements for the inventory; inspection, and reporting of highway bridges are in no way altered by this agreement.
Eligibility for the HBP program is based on bridge inspection and inventory data submitted annually to the FHWA Office of Bridge Technology by the NCDOT. A "Selection List" of eligible bridges is furnished by FHWA to the NCDOT. The distribution of HBP funds to each State is based on unit cost data for bridges and the area of deficient bridges. The unit cost submission is prepared annually by the NCDOT and reviewed by the FHWA. The FHWA Division Bridge Engineer and the State Bridge Design Engineer are responsible for this program.
The National Bridge Inventory (NBI) program will be monitored on a continuing basis with an annual review of all phases of the program (inspections, bridge ratings and posting, maintenance, etc.) and by random reviews as determined appropriate by the FHWA. The FHWA Bridge Management and NCDOT Bridge Maintenance Engineer will meet on a regular basis to discuss input into all assigned programs.
B. Civil Rights
The FHWA has oversight for the Disadvantaged Business Enterprise (DBE) Program, the DBE Supportive Services Program, the On-the-Job Training (OJT) program, the OJT Supportive Services Program, the Internal Equal Employment Opportunity (EEO) Program, the EEO Contractor Compliance Program, the Title VI Program (including Environmental Justice and Limited English Proficiency), the Americans with Disabilities Act (ADA) Program, and the Historically Black Colleges and Universities (HBCU)/Minority Institutions of Higher Education (MIHE) Program.
The NCDOT is responsible for developing and maintaining the following program documents: the NCDOT Title VI plan, the DBE Program Plan, the NCDOT Affirmative Action Plan and the NCDOT Equal Employment Opportunity (EEO) Contract Compliance Plan.
The NCDOT will submit the following reports to FHWA: PR-1392, EEO-4, DBE Semi-Annual Awards or Commitments and Payments report, Affirmative Action Plan Update, Title VI Plan Update, EEO Contract Compliance Reports, OJT Training Program and OJT Supportive Services Report, and the HBCU Report. FHWA may also require other ad hoc reports as necessary.
In addition to ensuring that NCDOT submits all required reports, FHWA uses a variety of methods to accomplish its oversight of NCDOT's Civil Rights programs. FHWA conducts annual reviews of the state's Internal EEO program as well as the external EEO Contractor Compliance program. FHWA also performs periodic program and process reviews when warranted. FHWA may conduct site visits to Federal-aid projects to ensure that minorities, women, trainees/apprentices, and DBEs are being treated in a non-discriminatory manner, and that they are being provided equal opportunity and affirmative action in accordance with Federal laws and regulations.
The NCDOT has responsibility for the construction of all Federal-aid projects and for ensuring that such projects receive adequate supervision and inspection and are completed in conformance with approved plans and specifications. The primary objectives of the FHWA construction-monitoring program are:
- To evaluate NCDOT's control of the projects and the quality and progress of work
- To maintain a close working relationship with NCDOT construction staff
- To promote quality improvements
- To promote work zone safety
- To assure that projects are completed in reasonably close conformance with the approved plans and specifications and approved changes
- To ensure incorporation of environmental commitments
- FHWA will use the following types of inspections to obtain these objectives:
- Process Review/Product Evaluation (PR/PE) – comprehensive review of NCDOT's procedures and controls. The purpose of a PR/PE is to provide oversight of NCDOT construction and materials management activities and to determine compliance with Federal-aid requirements on a statewide or Region wide basis.
- Inspection-in-Depth – a thorough on-site review to evaluate a specific contract item, combination of items, or major phase of a project. Inspections-in-depth may be accomplished on an individual project basis or on several projects with the findings summarized as a region wide or statewide review.
- Project Inspection – an on-site review to evaluate NCDOT's activities, the quality and progress of the work, incorporation of environmental commitments, and if appropriate, to follow up on findings from previous inspections.
- Operational Review – The intent of these inspections is to observe a recently completed project with a multi-disciplinary team to identify opportunities for improvement that may be incorporated in future projects. These reviews also provide the opportunity to identify items that worked very well in addition to noting deficiencies.
The FHWA NC Division's method and level of construction oversight will be determined annually during the FHWA/NCDOT Work Plan development meeting.
NCDOT is responsible for conducting or contracting design work associated with NCDOT sponsored projects. In addition, the NCDOT is responsible for ensuring that all projects are designed in accordance with the applicable design standards pertaining to that project, including local public agency (LPA) projects. The NCDOT is responsible for ensuring that consultants are selected to conduct design work on NCDOT and LPA projects based on qualifications-based principles contained in 23 CFR 172.
The FHWA Transportation Engineers are responsible for design monitoring, review, and approvals for FHWA Full Oversight projects. Project reviews will take many forms including meetings with NCDOT design staff and consultants (where applicable) to identify standards, discuss issues, review draft or completed portions of plans, and through field reviews (preliminary and final field reviews). NCDOT Engineers are responsible for design monitoring, review, and approvals for NCDOT Oversight projects, including those conducted by LPAs. FHWA and NCDOT will cooperate in reviewing a sufficient number of NCDOT Oversight projects through the Stewardship Review process to ensure that all federal requirements are being complied with. In addition, the FHWA and the NCDOT will develop and implement an acceptable oversight and monitoring approach for LPA project design work.
NCDOT shall develop and submit for consideration all new or revised access justifications and design exception requests on the Interstate regardless of the funding source. The FHWA will review such requests and respond to the NCDOT in a timely manner.
Included in design is the requirement for compliance with the Americans with Disabilities Act (ADA) and Section 504 of the Rehabilitation Act. The NCDOT and the FHWA will ensure that all new construction projects that provide pedestrian facilities incorporate accessible pedestrian features to the extent technically feasible, without regard to cost. In addition, NCDOT will comply with the ADA and Section 504 by updating the transition plan addressing the needs of persons with disabilities and then schedule the required pedestrian accessibility upgrades on State owned transportation facilities.
FHWA has a direct oversight role in assessing the impacts of actions affecting the environment in accordance with the National Environmental Policy Act (NEPA). FHWA and NCDOT will work to ensure that all environmental factors are given full consideration along with engineering, social, and economic factors in program and project decision-making and are documented in the appropriate environmental documents that pertain to the projects under consideration. Under environmental stewardship, NCDOT is responsible for the environmental analyses for all federally funded transportation projects in State of North Carolina, including LPA projects. Through direct involvement or through project or program reviews, FHWA assures that appropriate evaluations are conducted, approval actions are timely, and public involvement is a major element of NCDOT's environmental activities.
FHWA retains formal approval of all environmental documents. The FHWA North Carolina Division Administrator retains approval authority of each Record of Decision (ROD), Draft Environmental Impact Statement (EIS), Final EIS, and Supplemental EIS, Environmental Assessments/Finding of No Significant Impacts (EAs/FONSIs), Reevaluations, Consultations, Section 4(f) Evaluations, Programmatic 4(f) Evaluations, and Categorical Exclusions (CEs). The FHWA North Carolina Division Administrator has delegated approval authority for the aforementioned documents to the FHWA Preconstruction and Environment Staff for review and approval. Certain CE activities have been pre-approved by FHWA, and NCDOT is responsible for confirming the class of action.
NCDOT is responsible for funds management and accountability for all federal-aid highway dollars that are apportioned and obligated in the State of North Carolina. This includes maintaining financial systems, policies and procedures that provide for the accountability of these funds.
The FHWA Financial Integrity Review and Evaluation (FIRE) program, FHWA Order 4560.1B, requires the Division to complete the following tasks each year to provide adequate documentation and support of its stewardship activities, as well as to provide the basis for its annual certification. These tasks include:
- A Grants Financial Management Process Review
- An Improper Payments Transaction Review;
- A Review of Inactive Projects with no activity of one year and unexpended balances of $500,000 or more, Inactive Projects with no activity of two years and unexpended balances of $50,000 or more, and Inactive Projects with no activity of three years and any unexpended balances;
- An Administrative Review;
- Resolution of any Single Audit findings; and
- Any Follow-up Audit Findings made by the Office of Inspector General.
NCDOT is responsible for providing documentation at the field and central office levels for completing these reviews. In addition, NCDOT staff is responsible for ensuring that completed federally funded projects are closed out in a manner not to exceed the Inactive Project timeframes and that unexpended funds are deobligated and made available for other projects.
G. Intelligent Transportation Systems/Operations
FHWA and NCDOT are responsible for assuring that all ITS systems comply with the appropriate Regional ITS architecture, that appropriate Systems Engineering Analyses are conducted and that there is sufficient oversight of ITS Integration Projects (earmarks). NCDOT will involve FHWA in ITS projects that foster regional integration of ITS components such as a regional traffic management center or a major corridor project.
- ITS Regional Architecture – NCDOT will ensure that all projects that contain ITS elements meet Title 23 requirements for conformity with the National or applicable Regional ITS Architecture and use of approved ITS standards. FHWA will evaluate compliance with applicable standards for NCDOT Oversight projects through a risk-based stewardship review program.
- Systems Engineering Analysis – NCDOT is responsible for ensuring that all ITS projects are based on a systems engineering analysis prior to receiving authorization to proceed to advertisement for construction. NCDOT and FHWA agree to ensure that systems engineering analyses are incorporated into project development procedures and that NCDOT is committed to the operations, management and maintenance of the overall system.
- ITS Integration Projects (earmarks) – FHWA will provide oversight of these projects as the level of cost, risk, and complexity dictates.
The FHWA and the NCDOT place a high priority on improving the mobility of North Carolina travelers through the advancement of pavement and materials technology. To accomplish this, the core elements of the program include the performance and durability, safety, and cost-effectiveness of pavements.
The FHWA's oversight is accomplished by active participation in Division Office Stewardship Reviews, Process Reviews, and various partnering activities with the NCDOT. The FHWA and the NCDOT strive to maintain good working relationships with Industry representatives that include the Aggregates, Hot Mix Asphalt, and Portland Cement Concrete Associations.
Iron and steel materials and products that are to be acquired using federal funds by the NCDOT or a LPA, contractors or subcontractors, that are of foreign origin under conditions of 23 CFR 635.410 shall have a request submitted to the FHWA Division Office for approval under a waiver of the "Buy America" provisions of federal law. It is noted that such waivers are rare and the NCDOT and LPAs should make every effort to acquire materials in accordance with these provisions.
I. Planning and Programming
Planning and programming is the initiation stage of the project selection, prioritization, programming, and development processes. FHWA provides technical expertise and assistance through participation in committees and teams set up by the NCDOT and MPOs. Planning and programming is broken down into two distinct elements, Statewide and Metropolitan planning, both leading to the establishment of project scope, budget and schedule.
- Statewide Planning and Programming is the responsibility of NCDOT and includes, but is not limited to the following: the NCDOT Statewide Transportation Plan (STP), North Carolina Statewide Transportation Improvement Program (NCSTIP), Roadway Inventory (ARID/LRS database), Mapping Program, Functional Classification, Urban Area Boundaries, National Highway System, the Traffic Monitoring Program, Highway Statistics Program, and the Highway Performance Monitoring System (HPMS) Program. The first four years of the NCSTIP shall be recognized as the federal Statewide Transportation Improvement Program (STIP). The FHWA issues eligibility findings for the CMAQ and Transportation Enhancement programs and coordinate/assist discretionary programs such as Scenic Byways, Recreational Trails, etc. The FHWA-NC Division takes the lead in conducting Motor Fuel Tax and Heavy Vehicle Use Tax (HVUT) reviews, but it is NCDOT's responsibility to ensure that reported figures are reasonable and reconciled with the North Carolina Department of Revenue. The FHWA shall review and approve the Statewide SPR Work Program.
- Metropolitan Planning and Programming is the responsibility of the MPOs that are supported and monitored by NCDOT and the FHWA-NC Division. To ensure that a cooperative process occurs at the MPO level, NCDOT will establish a presence at MPO Policy Board and Technical Committee meetings. Transportation Management Areas (TMAs, areas over 200,000 population) are monitored through joint FHWA/Federal Transit Administration (FTA) Certification Reviews conducted every four years. Similar on-site Planning Reviews are also accomplished for non-TMA MPOs and will be conducted jointly by FHWA and NCDOT on an as needed basis. The NCDOT will work with the FHWA for review/approval of the MPO Unified Planning Work Programs (UPWPs) to assure outstanding planning issues are addressed and key deadlines are met.
In addition, FHWA is responsible for initiating formal air quality conformity consultation and issuing conformity findings/determinations on MPO Transportation Plans and Transportation Improvement Programs (TIPs) in non-attainment or maintenance areas consistent with the requirements of the Environmental Protection Agency (EPA)/DOT regulations. Project level conformity is demonstrated by NCDOT within the context of NEPA documents. Amendments to Long Range Transportation Plans (LRTP) and TIPs that affect regional transportation emissions require new conformity determinations and findings to be made by the MPO and the FHWA respectively. NCDOT will ensure that a conformity-finding letter is obtained from FHWA before TIPs/projects can be approved or amended into the North Carolina Statewide Transportation Improvement Program.
FHWA and NCDOT will ensure that the North Carolina Statewide Transportation Plan meets all Federal Planning Regulations. In addition, the STIP and MPO's LRTP and TIPs must include a financial plan using the appropriate financial projections. All updates and amendments to the STIP are subject to FHWA approval.
J. Research, Development and Technology Transfer (RD&T) Program
The purpose of the program is to implement the provisions of 23 U.S.C. Chapter 5 for research, development, and technology transfer programs, and studies undertaken with FHWA planning and research funds. The primary requirements of the program as provided in section 420 of 23 CFR include development & maintenance of an FHWA approved program manual, development of annual work program, oversight of program activities, submission of performance and expenditures reports, conducting peer reviews, and maintenance of program certification. The FHWA NC Division currently has full oversight responsibility of the RD & T program. This oversight is both administrative and technical. Such oversight responsibility requirements are typically fulfilled by Division staff by proactively participating in the development of the annual program, thoroughly reviewing the annual program prior to its approval, thoroughly reviewing individual proposals prior to approval, and thoroughly reviewing the annual report. Division diligently participates in ongoing program activities such as NCDOT Research Advisory Board meetings, Local Technical Assistance Program (LTAP) Advisory Board meetings, routine technical and policy meetings, peer review meetings, and technology transfer events, etc. The NCDOT fully exercises its flexibility in the use of funds and determination of eligible activities that meet the requirements of Section 420 of the CFR.
K. Right-of-Way (ROW)
The administration of the ROW function is primarily the responsibility of NCDOT through the NCDOT Right-of-Way Branch. This includes all aspects of the land acquisition process as follows: Abstracting, Appraising, Acquisition, Buying, Condemnation, Negotiations, Post Acquisition, Property Management, Records, Management and Retention, Residential and Business Relocation, ROW Engineering, and State and Local Contracts. FHWA together with NCDOT ensure that Outdoor Advertising Control requirements are addressed and enforced.
All protective purchasing, hardship acquisition and advance acquisition of ROW shall be coordinated and approved by the FHWA Division Office in advance of executing any purchase agreements using federal funds. All relinquishment and disposal of any ROW that is associated with Interstates and not incorporated into a project shall be coordinated and approved by the FHWA Division Office prior to disposal or sale. Any request to waive enhancement funds on a facility that was federally funded will be coordinated and approved by the FHWA prior to waiving the enhancement fee. Changes in access control or disposal of right of way that are not associated with the interstate are to be reviewed and the approval determined by NCDOT except in those instances where the property will be conveyed at less than Fair Market Value. Conveyance of any Federally funded property right, including access control, at less than fair market value as determined by a qualified, licensed Real Estate Appraiser, shall require the approval of FHWA.
Safety is an integral part of the total highway engineering program, requiring consideration during planning, programming, project development, construction, construction operations and maintenance. Therefore, the general requirements for highway engineering safety are embedded into this agreement as part of other NCDOT and FHWA Oversight requirements. Highway safety is also a comprehensive activity because it must be addressed through coordination and communication efforts with all disciplines that are responsible for highway engineering, vehicle and driver/occupant safety.
Highway Safety Improvement Program (HSIP) – NCDOT will manage, enhance, and evaluate the overall HSIP in accordance with 23 CFR, Section 924, with quality improvement reviews by the FHWA Division on a three year cycle, or otherwise needed.
Reports – NCDOT will annually submit required reports on the progress made and on the effectiveness of the highway safety program. These reports are comprised of the HSIP report (which includes the High Risk Rural Roads report), the highway-railway crossing report, and the 5% report. All of these reports are to be submitted on or before August 31st of each year.
Strategic Highway Safety Plan (SHSP) – NCDOT has met the requirement to develop an SHSP prior to October 1, 2006. NCDOT and FHWA will lead the implementation of the SHSP and work collaboratively to update and improve the plan on a bi-annual basis, or otherwise needed.
Crash Data Systems and Analysis – NCDOT will and FHWA will actively participate in the North Carolina Traffic Records Coordinating Committee (TRCC) to develop a comprehensive, state-wide data system. The data from this system will be able to be integrated with NCDOT's roadway inventory so that all public roads will be included in the 5% report by 2009. FHWA will work in partnership with the National Highway Traffic Safety Administration (NHTSA) to ensure that all Federal requirements are met and will adopt a review cycle through the TRCC and by actively participating in the reviews.
Required Safety Programs – NCDOT and FHWA will maintain a written agreement on how safety will be addressed on 3R and preventive maintenance projects in accordance with FHWA requirements. FHWA will review the use of the safety planning factor as part of our HSIP reviews and MPO certification process. FHWA and NCDOT will perform process improvement reviews as needed of other safety program elements as needed, such as Safe Routes to School, High Risk Rural Roads, design standards, MUTCD compliance, work zones, etc.
Focused Safety Programs – As part of the SHSP, safety emphasis areas will be established based on safety data. FHWA and NCDOT will ensure that action plans and strategies are developed and tracked for each emphasis area and where appropriate projects are implemented that will significantly reduce the number of fatal and serious injury highway crashes.
Methods of Oversight
In order to ensure that the Stewardship and Oversight agreement stays current, this agreement references (see Appendices) the appropriate documents (policies, work plans, manuals, memorandums, etc.) will be updated on a periodic basis. On an annual basis, NCDOT and FHWA will meet to identify the focus/trend areas for the upcoming year. This will be accomplished through process reviews and risk assessments. During this meeting, an "Annual Work Plan" will be developed to drive the focus of oversight for the upcoming year.
In addition to this annual meeting, NCDOT and FHWA will monitor the FHP through the following:
- Program Assessments – This technique may take many forms including joint risk assessments, self-assessments and program assessments. All of these tools are based on the common concepts of identifying strengths, weaknesses and opportunities and the identification and sharing of "best" practices to continually improve the program.
- Program Reviews – These reviews are a thorough analysis of key program components and the processes employed by NCDOT in managing the program. The reviews are conducted to: 1) ensure compliance with Federal requirements (e.g., mandatory reviews); 2) identify opportunities for greater efficiencies and improvements to the program; and/or 3) identify exemplary practices. They can be referred to, or known as, program improvement reviews, program assessments, process reviews, program/product evaluations, or continuous process improvement initiatives.
- Program Management – Program management includes the daily stewardship of Federal-aid programs, including project and program oversight and program assistance. Program management ensures Federal program requirements are met while proactively seeking opportunities to add value in the course of routine program approval actions, participating on joint task forces, joint committees and joint quality improvement teams, and aiding and assisting the State and other transportation stakeholders in answering questions on program issues.
- Performance Indicators – Performance indicators/measures are incorporated and used to help assess performance in administering FHP requirements and to help determine whether funds are being effectively utilized to improve the transportation system. The indicators/measures will also serve as a tool in conducting annual risk assessments and may trigger program reviews or program management techniques such as project inspections and/or project document reviews. Indicators/measures will be updated monthly, quarterly, or annually depending on the indicator/measure.
Federal-aid projects and programs will comply with the provisions of Title 23 USC and all appropriate Federal and State laws, regulations, standards and policies. Any revisions or additions to standards, specifications, policies and procedures, manuals affecting the administration of Federally funded projects will be reviewed by FHWA. Design standards for non-NHS projects do not require FHWA approval.
FHWA shall work jointly with NCDOT to develop performance/compliance indicators that periodically gauge the health (effectiveness) of the delegated responsibility and NCDOT performance. The Annual Work Plan development meeting will be a forum to develop, and revise these standards. Emphasis at this meeting should be related to performance and maintenance to assess if NCDOT is meeting performance targets.
This agreement supersedes all previously executed Stewardship and Oversight Agreements between the FHWA and NCDOT. This agreement will take effect upon execution and will apply immediately to all new and current Federal-aid projects under design. Federal-aid projects under construction will retain their current oversight classification through construction.
Appendix A : Control Documents
- NCDOT Supplement to the MUTCD
- Annual NCDOT Highway Safety Improvement Program
- North Carolina Strategic Highway Safety Program
- North Carolina Top 5% Most Hazardous Highway Locations
- Design Exceptions Preparation Guidelines
- Right of Way Manual
- Construction Standards Specifications
- Highway Design Branch – Design Manual
- April 29, 1999 FHWA Memorandum: FHWA FHWA/NCDOT Design Oversight Agreement – Request for Authorization Notes and Project Numbering
- March 25, 1999 Memorandum: North Carolina Division Office Design Monitoring Plan
- March 25, 1999 Memorandum: North Carolina Division Office Construction Monitoring Plan
- A Policy on Geometric Design of Highways and Streets (2008)
- A Policy of Design Standards Interstate System - January 2005
- Project Development and Environmental Analysis Procedures Manual
- NCDOT Structural Design Unit Design Manual – March 2000
- Guidelines for Drainage Studies and Hydraulic Design
Appendix B: North Carolina Program Responsibilities
|#||Activity||Authority||FHWA Action||NCDOT Action||Frequency||Reference Document/Remarks|
|R = Review, A = Approve, C = Compliance, D = Develop, P = Provide|
|1||20 yr Statewide transportation plan||23 CFR 450.214||R for C||D||As updated||Adopted 9/2004|
|2||4 yr STIP & amendments||23 CFR 450.216, 220||R & A w/ FTA||D||As requested by State (at least every 4 yrs.)|
|3||SPR and PL funded work programs||23 CFR 420||R & A||D, P||Annually by July 1.|
|4||SPR/PL program performance/ expenditure reports||23 CFR 420.117 (a)(b)(1) & (c)||R for C and send to HQ||D, P||Annually by Sept. 30|
|5||State PL funds formula||23 CFR 420.109(a)||R & A||P||As needed or as revised by State||Laset approved by NCDOT and FHWA on 9/12/2005.|
|6||State certification of planning process||23 CFR 450.218 (a)||R for C||D||In conjunction with STIP approval (at least biennially)|
|7||Public involvement for State planning process||23 CFR 450.210||R for C||D||As needed or as revised by State|
|8||Functional classification of highways/streets||23 CFR 470.105||R & A||P||As needed or as revised by State||FHWA - Highway Functional Classification - Concepts, Criteria and Procedures; Federal Aid Policy Guide. NCDOT guidelines: NCDOT intranet|
|9||Interstate additions & revisions
||23 CFR 470.111, 115(a)||R & Recommend action to HQ||D, P, C||As requested by State||Under development|
|10||NHS, Strahnet, revisions||23 CFR 470.113, 115(a)||R & Recommend action to HQ||P||As requested by State|
|11||NHS revisions||23 CFR 470.113, 115(a)||R & Recommend action to HQ||R,D,P||As requested by State|| |
|12||Public Lands discretionary funds application||HQ memo soliciting applications||R & Recommend action to HQ|| ||Periodic (usually annually, date varies)|| |
|1||Unified Planning Work Program for Transportation Management Areas (TMA)||23 CFR 450.308||R & A||P||At least every 4 yrs (Currently this is done annually by June 30)|
|2||Unified Planning Work Program for Attainment Areas||23 CFR 450.308||R & A||P||At least every 4 yrs (Currently this is done annually by June 30)||Last approved by|
|3||Transportation plan for non-attainment metropolitan areas||23 CFR 450.322||R for C||P||Every 4 yrs|
|4||Transportation plan for attainment metropolitan areas||23 CFR 450.322||R for C||P||Every 5 yrs|
|5||Transportation Improvement Plan (TIP) and corollary STIP amendments for non-attainment areas||23 CFR 450.324 - 330||R & A||D, P||As requested by State - at least every 4 yrs|
|6||TIP and corollary STIP amendments for attainment areas||23 CFR 450.324 - 330||R & A||D, P||As requested by State - at least every 4 yrs|
|7||FHWA/FTA TMA planning certification||23 CFR 450.334||R for C||Every 4 yrs||Conducted with FTA. NCDOT is included and participates|
|8||Metro planning area boundary changes||23 CFR 450.312||R for C||P||As needed/revised by MPO/State|
|9||MPO/State certification of MPO planning process||23 CFR 450.334||R for C||P||In conjunction with TIP approval (at least every 4 yrs)|
|10||Motor Fuel Tax (MFT) Evasion Project funds request||HQ memo soliciting applications||R & A||D, P||Periodic (as requested by HQ)|
|1||Interstate system traffic volume review||10/24/95 HQ Memo||Conduct||Annually by Sept. 1|
|2||HPMS data submission||23 CFR 1.5, 23 CFR 420.105(b), 23 usc 315, 23 USC 502(g)||R for C (State sends direct to HQ w/copy to Div.)||P||Annually by June 15||FHWA HPMS Field Manual; OHPI website|
|3||HPMS data review||FHWA HPMS Field Manual Guidelines, Sept. 2006||Conduct||Annually by Sept. 1||FHWA HPMS Field Manual; OHPI website|
|4||Highway statistics reports (various)||FHWA Guide to Reporting Highway Statistics||R for C (State sends direct to HQ w/copy to Div.)||D, P||Annually or per FHWA guide|
|5||Highway taxes and fees report||HQ memo of request||R for C and send to HQ||D, P||Periodically (As requested by HQ)|
|6||Monthly fuel report (PR 511M)||Chapter 2 of FHWA Guide to Reporting Highway Statistics||R for C (State sends direct to HQ w/copy to Div.)||D, P||Monthly|
|7||Public road mileage certification||23 CFR 460.3(b) & FAPG NS 23 CFR460, 23 usc 402( c )||R for C and send to HQ||P||Annually by June 1|
|8||Traffic Monitoring System||23 CFR 500 subpart B||R for C||P||As needed or revised by State||FHWA HPMS Field Manual; OHPI website|
|9||Heavy Vehicle Use Tax Payment Certification||23 CFR 669.7||R for C and send to HQ||P||Annually by July 1|
|10||Heavy Vehicle Use Tax Payment Review||23 CFR 669.21 & FAPG NS 23 CFR 669||Conduct||Every 3 years|
|1||Congestion Management Process||23 CFR 450.320||R for C||Assist TMA's||As needed/revised by MPO/State|
|2||Traffic surveillance and control||23 CFR 655.411||R for C||As needed w/PS&E submission (full oversight projects)|
|3||Conformity with National ITS Architecture||23 CFR 940||R for C||Developed and is in the process of being updated (3/24/08)||As needed w/PS&E submission (full oversight projects that affect regional integration)||National ITS Architecture: http://www.iteris.com/itsarch ; ITS Strategic Deployment Plans: http://www.ncdot.org/about/transgoals/transtech ; Guidance for ITS Project Oversitght ans Stewardship: http://staffnet/fhwa.dot.gov/newsitems/memoguidance/htm ; ITS Project Implementation Guidance: http://staffnet.fhwa.dot.gov/documents/itsguide.htm|
|4||Vehicle Size & Weight enforcement certification||23 CFR 657.13||R for C||Developed by NCSHP in coordination w/ NCDOT||Annually by Jan 1||website: http://vsw.fhwa.dot.gov ; program overview: gttp://ops.fhwa.dot.gov/freight/sw/overview/index.htm ; FAQ: http://vsw.fhwa.dot.gov/qa/index.jsp|
|5||Vehicle Size & Weight enforcement plan||23 CFR 657.11||R & A||Developed by NCSHP in coordination w/ NCDOT||Annually by July 1, w/approval by Oct 1||website: http://vsw.fhwa.dot.gov ; program overview: gttp://ops.fhwa.dot.gov/freight/sw/overview/index.htm ; FAQ: http://vsw.fhwa.dot.gov/qa/index.jsp|
|6||National Truck Network Modifications||23 CFR 658.11||R & recommend action to HQ||D||As requested by State||Very rare - in last 25 years, less than 10 additions nation wide|
|7||Federal/State Motor Fuel Tax Compliance Project||TEA-21 Section 111 HQ notice of allocation of funds and amended project agreements form||R & A||Periodically (As requested by HQ)|
|1||Transportation plan conformity determination for non-attainment areas||23 CFR 450.322(d) 40 CFR 51 and 93||R & A||A |
(in rural areas)
|Every 4 years or in conjunction with TIPS|
|2||TIP conformity determination for non-attainment||23 CFR 450.330(b) 40 CFR 51 and 93||R & A||D, P||At least every 4 yrs. (usually every 2 yrs)|
|3||CMAQ funds report||10/31/06 HQ CMAQ Interim Program Guidance||R for C and send to HQ||D, P||Annually by Feb 1|
|4||CMAQ funds eligibility determination||10/31/06 HQ CMAQ Interim Program Guidance||R & A||D, P||As requested by State||Project by project determination|
|5||MPO/state air quality agency agreements||23 CFR 450.310(h)||R for C||D, P||As needed or revised by MPO/State|
|1||Environmental document determination (CE-I & IIA projects)||23 CFR 771.117, CE documentation requirements||Periodically R for C (State determines and documents)||D||As submitted by State||http://www.fhwa.dot.gov/ncdiv/docs/doc_ce.pdf|
|2||Environmental document determination (CE-II B & C projects)||23 CFR 771.117||R & A||D||As submitted by State||http://www.fhwa.dot.gov/ncdiv/docs/doc_ce.pdf|
|3||Environmental document determination (all other projects)||23 CFR 771.115||R & A||D, P||As submitted by State|
|4||Environmental Assessment||23 CFR 771.119||R & A||D, P||As submitted by State|
|5||Finding of No Significant Impact (FONSI)||23 CFR 771.121||R & A||D, P||As submitted by State|
|6||Draft Environmental Impact Statement (EIS)||23 CFR 771.123||R & A||D, P||As submitted by State|
|7||Final EIS||23 CFR 771.125||R & A||D, P||As submitted by State|
|8||Record of Decision (ROD)||23 CFR 771.127||R & A||D, P||30 days after publishing final EIS|
|9||EIS written re-evaluations||23 CFR 771.129||R & A||D, P||If no action is taken within 3 years after final EIS as submitted by State|
|10||Section 4(f) programmatic||23 CFR 771.135||R & A||D, P||As submitted by State|
|11||Section 4(f) individual||23 CFR 771.135||R & A||D, P||As submitted by State|
|12||Section 106 actions||23 CFR 800||R & A||D, P||As submitted by State|
|13||Public involvement and interagency coordination||23 CFR 771.111||R for C||D, P||Project by project|
|14||State public involvement program approval||23 CFR 771.111(h), 40CFR 1500-150||R & A||D, P||One time|
|15||Certification of hearings||23 CFR 771.111||R for C||D, P||Project by project|
|16||NEPA/404 Merger Agreement||NEPA & Clean Water Act Section 404||R & A||As needed or requested by State|
|17||Environmental Streamlining MOU||TEA-21 Section 1309||R & A||As needed or requested by State|
|18||Noise Policy||06/12/95 HQ memo||R & A||D,P, A||As needed or requested by State||Jointly Approved.|
|20||Scenic Byways discretionary funds application||HQ memo soliciting applications||R & Recommend action to HQ||D, P||Periodic (usually annually, date varies)|
|21||Defense Access Roads||23 CFR 660 Subpart E||R||R||As needed|
|1||Title VI Plan accomplishments and next year's goals||23 CFR 200.9||R for C||P||Annually by Oct. 1|| |
|2||Title VI Plan update||23 CFR 200.9||R & A||D, P||As needed|| |
|3||State internal EEO affirmative action plan (Title VII) accomplishments and goals||23 CFR 230.311||R & A||P||Annually by Dec. 12|| |
|4||State internal EEO (Title VII) plan update||23 CFR 230.311||R & A||D, P||Annually by Dec. 12|| |
|5||EEO Contract Compliance review reports (form FHWA 86)||23 CFR 230.409, 230.413||R for C||D, P||As submitted by State|| |
|6||State Employment Practices Report (EEO-4)||23 CFR 311||R for C and send to HQ||D, P||Annually by Dec. 12|| |
|7||DBE Awards & Commitment (form DOT 4630)||49 CFR 26 Subpart C||R for C and send to HQ||D, P||Semiannually on Dec. 1 & June 1|| |
|8||Disadvantaged Business Enterprise (DBE) Program revisions||49 CFR 26.21(b)||R Send to Legal||D, P||As needed or as requested by State|| |
|9||State's DBE program goal methodology||49 CFR 26.41||R & A||D, P||Annually by Aug 1|| |
|10||Supportive services funds requests||23 CFR 230.113||R & A||D, P||As requested by State|| |
|11||Annual Contractor Employment Report (Construction Summary of Employment Data (form PR-1392))||23 CFR 230.121(a)||R for C and send to HQ||D, P||Annually by Oct. 1|| |
|12||OJT goals & accomplishments||23 CFR 230.111(b)||R for C||P||Annually by Jan 30|| |
|13||Report on supportive services (OJT & DBE)||23 CFR 230.111, 113||R for C||D, P||Quarterly|| |
|14||Historically Black College & University (HBCU) Report||Pres. Exec. Order 12876, dated Nov. 1, 1993||Prepare report & submit to HQ||N/A||As requested by HQ|| |
|15||Americans with Disabilities Act complaint investigation||Voluntary agreement with Justice Dept.||Conduct investigation & recommend action to HQ||N/A||As requested by HQ|| |
|16||Environmental Justice||Pres. Exec. Order 12898, Feb. 11, 1994||R for C||N/A||TMA certification Review conducted every four years|| |
|1||State R/W Manual changes||23 CFR 710.201||R & A||D, P||Jan. 1, 2001 & every 3 years thereafter|| |
|2||Uniform Relocation Assistance and Real Property Acquisition Report - (OMB Form 2125-0030)||49 CFR 24.9(c) and Appendix B||R||D, P||Every 3 years|| |
|3||Requests for waivers||49 CFR 24.204(b)||R & A||D, P||As submitted by State|| |
|4||Local Public Agency Oversight||23 CFR 710.201(h)||Periodically R for C (State takes action)||D, P||As needed|| |
|5||Real Property Acquisition Report (form FHWA 1434)||FHWA Order 6540.1||Prepare & submit to HQ||D, P||Annually by Nov. 28|| |
|6||Use of R/W Air Space authorization request (on Interstate system)||23 CFR 710.405||R & A||D, P||Project by project|| |
|7||Use of R/W Air Space authorization request (off Interstate system)||23 CFR 710.405||Periodically R for C (State takes action)||D, P||As needed|| |
|8||Access Break / R/W Disposal authorization request (if on Interstate system or fair market value not charged)||23 CFR 710.401 & 409||R & A||D, P||Project by project|| |
|9||Access Break / R/W Disposal authorization request (if not on Interstate system and fair market value charged)||23 CFR 710.409||Periodically R for C (State takes action)||D, P||As needed|| |
|10||Functional Replacement||23 CFR 710.509||Periodically R for C (State takes action)||N/A||As needed|| |
|11||Outdoor Advertising policies and procedures revisions||23 CFR 750.304||R & A||D, P||As needed or submitted by State|| |
|12||Outdoor Advertising sign removal projects||23 CFR 750.307||R & A||D, P||Project by project|| |
|13||Outdoor Advertising report (form FHWA 1424)||23 CFR 750.308||R for C and submit to HQ||D, P||As needed|| |
|14||Lead Agency Uniform Act monitoring activities||49 CFR 24.603||R for C||D, P||As needed|| |
|15||Develop R/W oversight agreement||23 CFR 710.201(i)||R & A||D, P||Updated as needed|| |
|1||Experimental Project work plans||23 CFR 635.411 (a) (3)||R & A||D,P||NHS|
Project by project
|2||LTAP centers work plan and budget||FHWA LTAP Field Manual; HQ memo allocating funds||R & A||D,P||Annually by March 31|| |
|3||RD&T work program||23 CFR 420.209||R & A||D,P||Annually by June 30|| |
|1||Highway Safety Improvement Program Process||23 CFR 924.5||R & A||D,P||Updated as needed||FHWA Guidance: 4/4/06|
|2||Highway Safety Improvement Program Report||23 CFR 924.7||R for C and forward to HQ||D,P||Annually by Aug. 31||FHWA Guidance: 4/5/06|
|3||402 Highway Safety Program Plan||12/22/99 guidelines||R for C||P||Annually by Sept. 1||Implemented thru NC-GHSP 23 CFR 460|
|4||Work Zone Safety Process review of effectiveness||23 CFR 630.1008||R & A||P||Annually by Sept. 30||FHWA/NCDOT windsheild rev.|
|5||Project crash data||23 CFR 924.9||R||D||Continuous||NC Traffic Recrds Coord. Comm.|
|6||Seat belt law||23 CFR 1215.6||R for C||P||Annually (each fiscal year)||Through NC-GHSP|
|7||Drug offender DL suspension law & enforcement certification||23 USC 159, 23 CFR 192.5||Accept and forward copy to HQ||P||Annually by Jan 1||Through NC-GHSP|
|8||Zero tolerance law & enforcement certification||23 CFR 1210.5||Accept copy from NHTSA||P||Update as amended||Through NC-GHSP|
|9||High Speed Rail Passenger Corridor Grade Crossing Program funding request||TEA –21 Section 1103 ©||R for C||P||Annually by Aug. 31||Through NC Rail Div.|
|DCM||Design, Construction, & Maintenance|
|Non-Project Specific Activities|
|1||Design Exception Policy||23 CFR 625.3||R & A||D,P||As needed|| |
|2||Contracting Procedures Consultant Selection||23 CFR 172.5||R & A||D,P||As updated|| |
|3||Design Standards/ Standard Specifications||23 CFR 625||R & A||D,P||When changes occur||FHWA represented on implementation. This may be adequate to assess major changes.|
|4||Year-end Value Engineering Rpt||FAPG G 6011.9||R & send to HQ||D,P||Annually by Nov. 30|| |
|5||Bid Opening/Tabulations||23 CFR 635.113||Periodically R for C (State takes action)||D,P||Per letting|| |
|6||Interstate Maintenance certification||23 CFR 635.507||R & Accept||D,P||Annually by Sept. 30|| |
|7||Utility Agreement Alternate Procedure||23 CFR 645.119||R and A||D,P||One time|| |
|8||Utility Accommodation Policy||23 CFR 645.215||R & A||D,P||When changes occur|| |
|9||Railroad Agreement Alternate Procedure||23 CFR 646.220||R & A||D,P||One time|| |
|10||Defense Access Roads||23 CFR 660 Part E||R||D, P||As needed|| |
|11||Concurrence in Award||23 CFR 635.114||A|| ||As needed|| |
|PM||Pavement & Materials|
|1||Pavement Design Policy||23 CFR 626.3||R||D,P||As needed|| |
|1||NBIS Review Statewide report||23 CFR 650 Subpart C||R for C||N/A||Annually 12/31|| |
|2||HBP Unit Cost submittal||23 CFR 650 Subpart D||R & A||D,P||Annually by April 1|| |
|3||HBP discretionary candidate submittals||23 CFR 650 Subpart D||R & A||Annually by July 1|| |
|4||Preliminary Bridge Survey Reports, Structure Recommendations and PS&E reviews (full oversight projects)||23 CFR 630, 23 USC 106, and W.O. 11/13/98 memo||R & A||D,P||Project by project|| |
|5||Innovative Bridge Research and Deployment Program eligibility determination||23 USC 503(b)||R & A and submit to HQ||D,P||Annually (date varies)|| |
|6||Construction inspections||FAPG G 6042.8||R for C||As needed|| |
|7||Scour Report||Memo 2/5/1990||R & A, Submit to HQ||D, P||4/15 & 11/15|| |
|1||Transfer of funds as requested by State||23 USC 104 (c) and 119 (f)||R & A||D,P||As needed||23 USC 126; 23 USC 104 (c and g); 23 USC 119 (b and c)|
|1||EM - Emergency Communications||Executive Order 12656 and FHWA Order 1910.2C||P||Continuously|| |
|2||National Security Coordination||Executive Order 12656 and FHWA Order 1910.2C||Support HQ||C||As needed|| |
|3||Emergency preparedness training||Executive Order 12656 and FHWA Order 1910.2C||P||As needed|| |
|4||Capability to carry out emergency programs and plans||Executive Order 12656 and FHWA Order 1910.2C||R||D||Continuously|| |
|5||Appoint two Division Emergency Coordinators||Executive Order 12656 and FHWA Order 1910.2C||P||As needed|| |
|6||SHA capability to carry out emergency plans and programs||Executive Order 12656 and FHWA Order 1910.2C||R||D||Continuously|| |
|7||Emergency Highway Traffic Regulation (EHTR) plans||EO 12656 dated 11/18/88. ("A Guide for Emergency Highway Traffic Regulation" (FHWA-SA-88-023))||R & A or Accept (send copy to HQ)||P||As needed|| |
|1||Project Finance Plan||23 U.S.C 106(h)|
23 U.S.C 106(i)
|R||D,P||Project by Project|| |
|2||Project Management Plan||23 U.S.C. 106(h)||R (HQ) Concurrence)||D,P||Project by Project|| |
|1||Request for Qualifications||23 CFR 636||R||D,P||Project by Project|| |
|2||Request for Proposals - Industry Draft Form||23 CFR 630|
23 CFR 635.112(i)
|A||D,P||Project by Project|| |
|3||Concurrence in Award||23 CFR 635.114||A||D,P||Project by Project||Per Draft Design Build Procurement and FHWA Concurrence policy.|
|1||Privately operated information centers at rest areas (Leases or agreements)||FAPG 23 CFR 752||R & A|| ||As needed|| |
|2||Education and Training of State and Local highway agency employees||23 USC 321 (b) and (c)||R & A|| ||As requested|| |
Appendix C: North Carolina Project Responsibility
| || ||NHS Projects (full oversight)||NHS Projects (State Assumed Authority)||Non-NHS Projects (State Assumed Authority)|
|1||Traffic surveillance and control||23 CFR 655.411||FHWA||FHWA||NCDOT|| |
|1||Environmental document determination (all other projects)||23 CFR 771.113||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|2||Environmental Assessment||23 CFR 771.119||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|3||Finding of No Significant Impact (FONSI)||23 CFR 771.121||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|4||Draft Environmental Impact Statement (EIS)||23 CFR 771.123||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|5||Final EIS||23 CFR 771.125||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|6||Record of Decision (ROD)||23 CFR 771.127||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|7||EIS written re-evaluations||23 CFR 771.129||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|8||Supplemental EIS||23 CFR 771.129||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|9||Section 4(f) programmatic||23 CFR 771.135||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|10||Section 4(f) individual||23 CFR 771.135||FHWA||FHWA||FHWA||NCDOT prepares documentation and submits to FHWA for review and approval|
|11||Section 106 actions||23 CFR 800||FHWA||FHWA||FHWA||FHWA/ NCDOT Delegation agreement|
|12||Public involvement and interagency coordination||23 CFR 771.111||FHWA||FHWA||FHWA|| |
|13||Certification of hearings||23 CFR 771.111||FHWA||FHWA||FHWA||NCDOT submits to FHWA prior to approval of FONSI and ROD|
|14||NEPA/404 Merger Agreement||NEPA & Clean Water Act Section 404||FHWA||FHWA||FHWA||Joint Interagency Agreement|
|15||Secton 6002 Compliance||23 USC §139||FHWA||FHWA||FHWA|| |
|1||EEO Contract Compliance review reports||23 CFR 230.409, 230.413||FHWA||FHWA||FHWA|| |
|1||Requests for waivers||49 CFR 24.204(b)||FHWA||FHWA||FHWA|| |
|2||Local Public Agency Oversight||23 CFR 710.201(h)||FHWA||NCDOT||NCDOT|| |
|3||Use of R/W Air Space authorization request (on Interstate system)||23 CFR 710.405||FHWA||FHWA||FHWA|| |
|4||Use of R/W Air Space authorization request (off Interstate system)||23 CFR 710.405|| ||NCDOT||NCDOT|| |
|5||Access Break / R/W Disposal authorization request (if on Interstate system or fair market value not charged)||23 CFR 710.401 & 409||FHWA||FHWA||FHWA|| |
|6||Access Break / R/W Disposal authorization request (if not on Interstate system and fair market value charged)||23 CFR 710.409|| ||NCDOT||NCDOT|| |
|7||Functional Replacement||23 CFR 710.509||FHWA||NCDOT||NCDOT|| |
|1||Experimental Project work plans||23 CFR 635.411 (a) (3)||FHWA||FHWA||FHWA|
|2||LTAP centers work plan and budget||FHWA LTAP Field Manual; HQ memo allocating funds||FHWA||FHWA||FHWA|| |
|3||RD&T work program||23 CFR 420.209||FHWA||FHWA||FHWA|| |
|1||Hazard Elimination Projects||23 CFR 924.11||FHWA||NCDOT||NCDOT||Transportation Engineer oversight|
|2||Highway/Rail Grade Crossing Improvement Projects||23 CFR 924.11||FHWA||NCDOT||NCDOT||Transportation Engineer oversight|
|DCM||Design, Construction, & Maintenance|
||Full Oversight Projects (Note: For all other Federal-aid projects, NCDOT assumes responsibility for the following actions.)|
|1||Consultant Settlements||23 CFR 172.5||FHWA||NCDOT||NCDOT|| |
|2||Projects Near Airports||23 CFR 620.103||FHWA||NCDOT||NCDOT|| |
|3||Highway Facility Relinquishment||23 CFR 620.203||FHWA||FHWA||FHWA|| |
|4||Design Exception Request||23 CFR 625.3||FHWA||NCDOT||NCDOT|| |
|5||Plans, Specifications, & Estimates (PS&E)||23 CFR 630B, 23 CFR 633.102 23 USC 106||FHWA||NCDOT||NCDOT|| |
|6||Competitive Bidding||23 CFR 635.104, 23 USC 112||FHWA||FHWA||FHWA|| |
|7||Use of Public Owned Equipment||23 CFR 635.106||FHWA||NCDOT||NCDOT|| |
|8||Changed Conditions||23 CFR 635.109||FHWA||NCDOT||NCDOT|| |
|9||Concurrence in Award||23 CFR 635.114, 23 USC 112(d)||FHWA||NCDOT||NCDOT|| |
|10||Changes and Extra Work||23 CFR 635.120||FHWA||NCDOT||NCDOT|| |
|11||Claims||23 CFR 635.124||FHWA||NCDOT||NCDOT|| |
|12||Public Agency Furnished Material||23 CFR 635.407||NCDOT||NCDOT||NCDOT|| |
|13||Warranties||23 CFR 635.413||FHWA||FHWA||NCDOT|| |
|14||Utility Agreement||23 CFR 645.113||FHWA||FHWA||FHWA|| |
|15||Railroad Agreement||23 CFR 646.216||FHWA||FHWA||FHWA|| |
|16||Project Agreements (oversight projects)||23 CFR 630 Subpart A||FHWA||NCDOT||NCDOT|| |
|17||Convict Produced Material (all projects)||23 CFR 635.417||FHWA||NCDOT||NCDOT|| |
|18||Authorization to Advertise||23 CFR 635.309||FHWA||NCDOT||NCDOT|| |
|19||Project Authorizations||23 CFR 630.106||FHWA||NCDOT||NCDOT|| |
|20||Advanced Construction||23 CFR 630.705||FHWA||NCDOT||NCDOT|| |
|21||Payroll (all projects)||23 CFR 635.118||NCDOT||NCDOT||NCDOT|| |
|22||Termination of Contract (all projects)||23 CFR 635.125||FHWA||FHWA||FHWA|| |
|23||Buy America waiver (all projects)||23 CFR 635.410||FHWA||FHWA||FHWA|| |
|24||Alternative Contracting Requests||Special Experiment Projects (SEP) - 14||FHWA||FHWA||FHWA||NCDOT Design-Build Policy|
|25||Alternative Contracting Requests||Special Experiment Projects (SEP) -15||FHWA||FHWA||FHWA||Federal Register: October 6, 2004 (Volume 69, Number 193)]|
|26||Proprietary products||23 CFR 635.411||FHWA||FHWA||NCDOT|| |
|27||Construction Inspections|| ||*NCDOT||NCDOT||NCDOT||*FHWA may select projects for conducting construction inspections during the annual NCDOT/FHWA risk meeting.|
|PM||Pavement & Materials|
|1||Materials Acceptance||FAPG 23 CFR 637B||FHWA||NCDOT||NCDOT|| |
|1||Preliminary Bridge Survey Reports, Structure Recommendations and PS&E reviews (full oversight projects)||23 CFR 630, 23 USC 106, and W.O. 11/13/98 memo||FHWA||NCDOT||NCDOT|| |
|2||Major or unusual Structures||11/13/98 Memo||FHWA||FHWA||NCDOT|| |
|1||Project Agreements (Exempt Projects)||23 CFR 630 Subpart C||FHWA||FHWA||FHWA|| |
|2||Fed-aid billing reimbursement of eligible expenditures||23 CFR 140 and 635.122||FHWA||FHWA||FHWA|| |
|1||Emergency Relief (ER) damage assessments & reports||23 CFR 668. 105, 23 USC 120 and 125||FHWA||FHWA||FHWA||NCDOT documents all ER work.|
|1||Privately operated information centers at rest areas (Leases or agreements)||FAPG 23 CFR 752||FHWA||FHWA||FHWA|| |
Appendix D: Performance Indicators
- Number of highway fatalities
- Lane departure fatalities
- Intersection fatalities
- Pedestrian fatalities
- Speed related fatalities
- Deficient Bridges
- % of STIP delivered
- Percent change in total project cost: award to completion
- Cost escalation from planning to final acceptance
- Number of EISs active
- Size of program
- Inactive projects
- FIRE Reviews
- %DBE Participation
- Number of active projects subject to full oversight
- Number of active major projects
- Number of process reviews