|FHWA > Federal-aid Program Administration > Stewardship & Oversight > FHWA/NYSDOT SAFETEA-LU Agreement|
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FHWA/NYSDOT SAFETEA-LU Agreement
I. Background and Introduction
Congress has charged the Federal Highway Administration (FHWA) with administering the Federal-Aid Highway Program (FAHP) under Title 23, and other associated laws. In addition, the FHWA's responsibility for administering the FAHP has been clearly outlined in the following legislation: the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991; the Transportation Equity Act for the 21st Century (TEA-21) of 1998; and, the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005. These laws allow States to assume certain delegated responsibilities for FHWA in certain National Environmental Policy Act approvals and in the design, construction, award and inspection of certain Federal-aid projects.
The FHWA, New York State Department of Transportation (NYSDOT), and other highway program funds recipients have jointly administered the FAHP in New York State for many years. All parties have been tasked with carrying out the FAHP through the efficient and effective use of federal funds to help accomplish national, mutual, or local goals – to maintain a national highway network, improve its operation and safety, and provide for national security while protecting and improving the environment. Stewardship efforts include oversight and approval actions, as well as many day-to-day actions that are routinely performed by the aforementioned parties to ensure that the FAHP is administered in regulatory compliance and in ways that enhance the value of the program funds authorized by Congress. The following Agreement formalizes the roles and responsibilities of the FHWA and NYSDOT to address how the FAHP will be administered in New York State.
II. Intent and Purpose of Agreement
The Federal Highway Administration (FHWA) and the New York State Department of Transportation (NYSDOT) enter into this Agreement, effective as of December 19, 2006, for the purpose of administering the FAHP in New York State. Although this Agreement replaces the former FHWA/NYSDOT TEA-21 Agreement, it incorporates many of the principles found therein. In addition to defining the Title 23 roles and responsibilities of the FHWA and NYSDOT, this Agreement defines methods of oversight, control documents, and performance indicators, which will be used to efficiently and effectively deliver the Federal-aid program in New York State.
This Agreement provides basic policy concepts and approaches rather than specific procedures. Specific procedures are provided in manuals, policy statements, bulletins, standards, rules and regulations, and other publications listed in Appendix A. The Project Approval Matrix, Appendix B, lists specific project actions and the basis of delegation that are not identified in the main portion of the SAFETEA-LU Agreement, or Appendix A.
The provisions of the Agreement do not modify the FHWA's non-Title 23 program oversight and project approval responsibilities for activities required under the Clean Air Act; the National Environmental Policy Act of 1969 (NEPA) and other related environmental laws and statutes; the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970; and the Civil Rights Act of 1964 and related statutes.
Notwithstanding the Agreement, the FHWA retains overall responsibility for all aspects of the FAHP, does not preclude the FHWA's right to access and review Federal-aid projects at any time, and does not replace the provisions of Title 23, U.S.C.
III. Authority for Delegation
The principal statutory and regulatory basis for development, administration, and oversight of Federal-aid projects are Title 23, United States Code (U.S.C.), Transportation and Appropriations Act, and the Code of Federal Regulations (CFR), in particular 23 and 49 CFRs. The specific statutory basis for the delegation of Title 23 duties addressed by this Agreement is found under 23U.S.C. 106. Additionally, pursuant to New York State statutes and the delegation by the Governor of the State of New York, the Commissioner of NYSDOT is designated by the Governor to act on New York State's behalf for the following Federally aided highway programs:
The Commissioner of NYSDOT is also authorized under NYS Highway Law Section 80 to categorically use monies available under Federal-aid Highway Acts, in accordance with State appropriations thereof, for the broad variety of highway and other transportation purposes.
IV. NYSDOT and FHWA Roles and Responsibilities
The FHWA, in cooperation with the NYSDOT and local recipients, will continue to provide stewardship and oversight of the FAHP through general actions and concurrences in its day-to-day activities, including improvements to program procedures, training, technical assistance, and development and deployment of new technologies, as well as routine program/project approval. Each of these activities contributes to the intent that the FAHP operates with integrity and for the public's maximum benefit. Additionally, the FHWA still places the utmost importance on the integrity of the National Highway System and the actions that occur therein.
NYSDOT will assume FHWA's Title 23 oversight role and approval responsibilities for design, plans, specifications, estimates, contract awards and inspection of projects consistent with statutes and regulations and as specified in Table I, Appendix A, Appendix B, Appendix D, and Appendix E of this Agreement. This includes responsibility for ensuring that projects are developed and constructed in full compliance with Federal requirements, and that necessary corrective action is taken when actions and approvals are found to be in non-compliance with applicable Federal requirements. FHWA is available for consultation in such matters or may unilaterally become involved in determining corrective action.
When eligibility for Federal participation in the programming, development, and construction of Federal-aid projects is in question, NYSDOT will consult with FHWA. FHWA and NYSDOT may also agree to unique or special procedures in Federal-aid programs on either a program or project basis.
B. Project Categories and Agency Roles
Table I identifies the project types the FHWA retains oversight on and those that have been delegated to NYSDOT. A detailed list of delegated project approvals related to these project types is provided in Appendix B.
This Agreement assigns FHWA/NYSDOT approval roles for Federal-aid projects based on consideration of risk, environmental class, and scope of work. Through this approach, it is envisioned that the FHWA and NYSDOT will be able to better allocate their collective resources in delivering the FAHP in New York State. This approach will also provide the FHWA the opportunity to have full oversight responsibilities for projects with higher risk and cost regardless of highway system classification.
1 Estimated construction cost based on current Engineer's Estimate. NYSDOT assumes oversight on all 1R, element specific, VPP, sign replacement, Type II (retrofit) noise abatement, rest area, pavement marking, and guardrail replacement contracts no matter what the contract amount is. For a full list of element specific work types, refer to Appendix 7 in NYSDOT's Project Development Manual.
2 Based on cost to complete design, right-of-way, and construction stages.
3 This project category includes tunnels and the following bridge types: segmental, cable-stayed, suspension, and movable. It also includes the four major East River Bridges and the East River Bridge Preventive Maintenance contracts in New York City.
4 FHWA assumes oversight on all ITS projects and elements according to the FHWA NY Division Policy for Implementing ITS Projects. See Appendix D.
General agency responsibilities pertaining to the categories of Federal-aid projects are described below.
1. All Projects
FHWA will retain approval authority for all project actions required under non-Title 23 provisions (NEPA, Civil Rights, Buy America, etc.), except as provided by the Programmatic CE Agreement that was approved in July 1996 (see Appendix E).
2. Interstate Projects
FHWA will retain approval authority for all Interstate projects > $5 Million except for project types listed in Table I and for approval actions identified in Appendix B.
3. Non-Interstate Projects
The FHWA delegates to and NYSDOT assumes the approval authority for design, plans, specifications, estimates, contract awards and inspections under Title 23 for Federal-aid projects as permitted by 23 U.S.C. 106, as listed in Table I, and as identified in Appendix B.
4. Local Projects
Pursuant to 23 CFR 635.105 and 23 U.S.C. 106, NYSDOT may delegate to project sponsors the approval authority for design, acquisition of right-of-way, bid advertisement, opening and award, construction and administration of contracts for projects eligible for Federal-aid funding in accordance with its "Procedures for Locally Administered Federal-Aid Projects". A project sponsor is defined as a county, city, town, village or other public agency, public authority or nonprofit organization that is authorized and designated under an agreement with NYSDOT to design, acquire right-of-way, advertise, open bids, award, and administer contracts for federal-aid projects.
Upon delegating these duties, the NYSDOT shall provide the necessary review and approval to assure that sub-recipients of Federal funds have adequate supervision, project delivery systems, and sufficient accounting control to comply with Federal requirements. Delegation of specific approval responsibilities to project sponsors will not relieve NYSDOT of its overall stewardship responsibilities of the FAHP.
V. Methods of Stewardship/Oversight
The FHWA and NYSDOT may individually or jointly initiate process/program reviews and evaluations of the FAHP. The reviews can be conducted by individuals or teams and can be performed using FHWA Division Office staff, NYSDOT staff, using combinations of peers from other FHWA or State agencies, other stakeholder groups, or organizations. FHWA and NYSDOT management will jointly develop an annual work plan to identify specific stewardship and oversight techniques, which will be used to evaluate the FAHP in New York State. This plan, which will also include specific performance indicators (see Section VII, Performance Indicators), will be adopted by the beginning of each federal fiscal year and will include the following techniques:
VI. Control Standards
NYSDOT will comply with the provisions of 23 U.S.C., 23 CFR, and 49 CFR, as appropriate, through the administration of State laws, regulations, standards, and directives. NYSDOT will develop Federal-aid projects in accordance with the standards and guides identified in 23 CFR part 625, as well as other FHWA policies identified in the Federal Register, and/or NYSDOT policies, procedures and standards approved by the FHWA (where necessary). NYSDOT policies, procedures and standards are provided in manuals and guidance as identified in Appendix A. Additions to Appendix A will occur as additional policies and guidance are developed by program areas, in consultation with FHWA, and implemented by NYSDOT.
VII. Performance Indicators
Specific performance indicators will be used to track the health of the FAHP and will be generated, reassessed, and/or revised, as appropriate, at least on an annual basis. Furthermore, the indicators will be incorporated into the annual work plan, which was discussed under Section V, Methods of Stewardship/Oversight. These indicators will be used to track performance trends, assess the overall delivery of the Federal-aid program, identify opportunities, and implement measures to bring about improvements in the processes and methods of oversight. The first set of indicators will be formulated by 02/01/07, included in Appendix C, and applicable to the FAHP in FFY '07.
The pertinent NYSDOT policies and procedures for accomplishing the intent of this Agreement are listed in the Appendices.
This Agreement supersedes the FHWA/NYSDOT TEA-21 Agreement that was executed between the FHWA and NYSDOT in December 1999. This Agreement will take effect as of the effective date stated in Section I and, upon execution, will apply to all new Federal-aid projects and all existing Federal-aid projects under design that have not yet been authorized for construction. Federal-aid projects under construction will retain their current exemption classification through completion.
FHWA and NYSDOT agree to periodic reviews of this Agreement to reflect changes in Federal or State laws, regulations, and requirements. Changes to the Agreement will require an updated version of the agreement and the approval of the signatory agencies. However, since changes will continually occur to the contents of the documents referenced in Appendix A, and acknowledging that policy and guidance updates developed and implemented by NYSDOT program areas are made in consultation with FHWA, changes to the contents of the documents in Appendix A will not require an updated Agreement. Addition and deletion of documents to Appendix A will be automatically incorporated into the signed agreement as amendments through written correspondence between NYSDOT and FHWA.
APPROVED AND EXECUTED:
NYSDOT Policies, Procedures and Standards
This appendix lists, by topic, specific procedures, manuals, policy statements, bulletins, standards, rules, regulations and other publications used to administer the Federal-aid Highway Program in New York State. Additions to this Appendix will occur as additional policies and guidance are developed in consultation with FHWA, approved by the FHWA (where necessary), and implemented by NYSDOT. FHWA and NYSDOT may also agree to unique or special procedures in Federal-aid programs on either a program or project basis.
This appendix will include the initial set of performance indicators to track the health of the FAHP in FFY '07 as described under Section VII, Performance Indicators, in the main text of the agreement. It also will describe who will champion the data collection for each of the indicators and the database(s), if applicable, from which the data will be compiled. Base line data, if available, for each of these indicators will be compiled and provided to the Director of the Design Quality Assurance Bureau and to the FHWA by a to-be-determined date. Data for each of the performance indicators should be compiled and provided to the entities described above by October 31 of each fiscal year.
FHWA NY Division Policy for Implementing ITS Projects
1. A Systems Engineering Analysis (SEA) shall be performed for any Intelligent Transportation System (ITS) project using Federal Funds, and is recommended for all ITS projects regardless of the funding source. This includes ITS elements that may be included in a larger highway, bridge, or safety project.
1.1. ITS Projects: Any project that, in whole or in part, funds the acquisition of technologies or systems of technologies that provide or significantly contribute to the provisions of one or more user services, as defined in the National ITS Architecture. See Attachment A for a list of ITS User Services. ITS Projects develop data sharing and/or interoperability between systems, or install systems that have the potential for data sharing or interoperability in the future. 23 CFR Section 940.11 applies to all ITS projects using Federal-Aid funds.
1.2. Non-ITS Projects: Listed below are examples of projects that have no reasonable opportunity for future integration, and therefore are not subject to the requirements of the rule:
2. The following steps summarize the minimum SEA requirements for ITS projects. Contact Federal Highway Administration (FHWA) Intelligent Transportation Systems (ITS) Specialist for any questions on these ITS requirements or procedures. (Attachment B)
2.1. A SEA is a process that will help to control costs, reduce risk, maintain the project schedule, and satisfy users' needs. The depth of the SEA will vary and will be commensurate with the scope and complexity of the ITS project. It shall address at a minimum:
2.2. Guidance related to the above bullets can be found in the following documents:
See Attachment C for additional resources and training opportunities.
3. According to the FHWA-NYSDOT Oversight and Stewardship Agreement, under SAFETEA-LU, FHWA will have Full Oversight of all ITS projects and ITS elements, to assure consistency with the federal regulations.
For non-ITS type projects that include ITS Elements, FHWA will review and approve the ITS related portions of the Design Report, and Plans, Specifications, and Estimate (PS&E).
For minor ITS Projects and Elements, FHWA may waive Full Oversight. FHWA shall make such a determination at or before the time of Design Approval.
4. In identifying portions of the applicable ITS Architecture that are being implemented, use the following guidelines:
4.1. When an ITS project falls within the boundaries of a Regional or the Statewide ITS Architecture (See Attachment D for existing ITS Architectures), document the functions and information flows, directly from the architecture, into the project design document.
4.2. If some or all of the proposed project functions, and/or information flows, do not exist in the Regional ITS Architecture, a project level architecture shall be developed. New functions and/or information flows identified shall be incorporated into the current Regional Architecture. Changes to the Regional Architecture must be coordinated with and documented by the agency maintaining that architecture.
4.3. If a proposed ITS project falls outside the boundaries of any existing Regional ITS Architecture, a project level architecture must be created, in accordance with 23 CFR 940.11(e). This decision should be based upon geographic, stakeholder, and system function considerations.
5. ITS Architecture maintenance responsibilities are understood as follows:
5.1. The NYSDOT Main Office will maintain the Statewide ITS Architecture.
5.2. The NYSDOT Regions shall develop and implement procedures and responsibilities for maintaining Regional ITS Architectures within their areas. It is expected that Metropolitan Planning Organizations (MPOs) will play a key role in this effort.
6. The use of Turbo Architecture software is recommended to create, maintain, and document ITS architectures. The software offers an interview process to assist in creating an architecture, and provides for easy updates, diagram generation, and project architecture imports. Training is available and can be coordinated through the FHWA NY Division or Metro Office.
7. ITS Standards, which have been approved through Standards Development Organization (SDO) ballot, should be implemented on projects unless there is justification for not doing so. This will need to be approved by the FHWA NY Division or Metro Office. The following may be considered with potential justifications for not using an approved standard:
7.1. The lack of a reasonable number of manufacturers producing compliant devices,
7.2. The lack of a demonstrated acceptable field experience with devices meeting the standards,
7.3. The need to maintain compatibility with an existing significant investment in non-compliant devices, where there is no reasonable option for dual compliant/backward compatible devices, and where this is consistent with existing regional or statewide standards implementation plans.
Guidance about the appropriate standards, their status, and information for various ITS applications can be found at the USDOT website: http://www.standards.its.dot.gov/learn_Application.asp
8. The SEA shall be submitted to FHWA during the preliminary engineering phase, with other required documentation, for Design Approval of the ITS project or elements. See Attachment E for the systems engineering "V" diagram mapped to New York's project development process.
9. Consultant Scope of Services for ITS software development shall be submitted for FHWA review and approval.
10. PS&Es and bidding results shall be submitted for FHWA review and approval/concurrence prior to contract letting and award
11. FHWA NY Division or Metro Office shall be kept informed of milestones in the construction and system development for ITS projects, so that timely project review, final inspection, and acceptance may be provided. These shall include but not be limited to preconstruction meeting with the contractor, testing of hardware and software, and other intermediate milestones of importance. Also all orders-on-contract and time extensions will need to be approved by FHWA.
Appendix D - Attachment A
Appendix D - Attachment B
Appendix D - Attachment C
ITS Regional Architecture, Systems Engineering, and Standards – Resources
|New York State ITS Regional Architectures|
|Region||Status||Where to Access|
|New York Statewide||Ready for Use||http://www.dot.state.ny.us/traffic/itsarch/Regions/Central/central.htm|
|Albany-Schenectady-Troy||Ready for Use||http://www.consystec.com/newyork/capitaldistrict/capital/capitalintro.html|
|Binghamton||Ready for Use||Refer to Region 9 ITS coordinator.|
|Buffalo-So. Ontario||Ready for Use||http://www.dot.state.ny.us/traffic/itsarch/Regions/NITTEC/nittec.htm|
|Elmira||Ready for Use||Refer to Region 6 ITS coordinator|
|Ithaca||Ready for Use||Refer to Region 3 ITS coordinator.|
|Long Island||Ready for Use||http://www.informny.com/its/Region10-ITS-Architecture.pdf|
|Lower Hudson Valley||Ready for Use||Refer to Region 8 ITS coordinator.|
|New York City||Ready for Use||http://www.consystec.com/ (password required)|
|Rochester||Ready for Use||Refer to Region 4 ITS coordinator.|
|Syracuse||Ready for Use||Refer to Region 3 ITS coordinator.|
|NYSDOT Region 6||Under Development||Refer to Region 6 ITS coordinator.|
|I-81 Border area||Pending development||Refer to Region 7 ITS coordinator.|
|I-87 Border area||Under development||Refer to Region 7 ITS coordinator.|