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Federal-aid Program Administration

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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:

  • Congestion Mitigation and Air Quality Improvement (CMAQ),
  • Interstate Maintenance (IM),
  • National Highway System (NHS),
  • Highway Bridge Program (HBP),
  • Appalachian Development Highway System,
  • Federal Lands Highways,
  • National Corridor Planning and Development and Coordinated Border Infrastructure Program,
  • Construction of Ferry Boats and Ferry Facilities,
  • High Priority Projects Program (HPPP),
  • Surface Transportation Program (STP),
  • Transportation Enhancement Program (TEP),
  • Emergency Relief (ER),
  • National Scenic Byways Program,
  • Highway Safety Improvement Program (HSIP),
    • Railway Highway Crossing,
    • High Risk Rural Roads (HRRR),
  • Safe Routes to Schools (SRTS),
  • Transportation, Community, and System Preservation Program (TCSP),
  • State Planning and Research Program, and the
  • Statewide and Metropolitan Planning Program.

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

A. General

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.

Table I - Title 23 Project Approval Summary
Highway System TypeProject TypeFHWA ApprovalNYSDOT Approval
Interstate≥ $5 million 1X 
< $5 million 1 X
Non-Interstate≥ $100 million 2X 
Major and unusual structures 3X 
Freeways on new locationX 
EIS ProjectsX 
Appalachian Highways (Rt 15)X 
Route 17 segments to be designated as I-86X 
All others X
ITS ProjectsInterstate 4X 
Non-Interstate 4X 

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:

  1. 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.
  2. Program Reviews – These reviews are a thorough analysis of key program components and the processes employed by the NYSDOT in managing the program. The reviews are conducted to 1) ensure compliance with Federal requirements; 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.
  3. Program Management – This 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. FHWA division offices manage programs by completing required program level activities, promoting new program initiatives and concepts and continually assessing the program through routine involvement in program activities.

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.

VIII. Implementation

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.


_____________________________________ _________________________________
Thomas MadisonDateRobert ArnoldDate
CommissionerDivision Administrator
New York State Department of TransportationFederal Highway Administration
Albany, NYAlbany, NY


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.

  1. Public Involvement in the Development of Projects (including Title VI requirements related to minority group participation)

    Procedures for public involvement and public hearings are included in the following:

    1. NYSDOT Project Development Manual (PDM)
    2. NYSDOT Environmental Procedures Manual
    3. Adopted NYSDOT Public Involvement Procedures for Transportation Planning and Programming
  2. Project Development Process and Design Procedures

    The NYSDOT project development process and design procedures contained in the documents listed below are to be used to administer Federal-aid projects in New York State.

    1. NYSDOT Project Development Manual (PDM)
    2. NYSDOT Procedures for Locally Administered Federal Aid Projects
    3. NYSDOT Environmental Procedures Manual
    4. NYSDOT Bridge Manual
    5. NYSDOT Real Estate Forms Instruction Manual
    6. NYSDOT Engineering Instructions
    7. NYSDOT Engineering Bulletins
    8. NYSDOT Engineering Directives
    9. NYSDOT Real Estate Right of Way Manual
    10. FHWA Right of Way Project Development Guide
    11. FHWA Emergency Relief Manual
    12. NYSDOT Materials Bureau Materials Methods
    13. NYSDOT Geotechnical Engineering Bureau Manuals and Procedures
    14. NYSDOT Base Scope of Services Manual
    15. Transportation Research Board Special Report 209, Highway Capacity Manual
    16. AASHTO's Model Drainage Manual
  3. Application of Appropriate Design and Construction Standards

    Appropriate design and construction standards are provided by the application of the following:

    1. A Policy on Geometric Design of Highways and Streets, American Association of State Highway and Transportation Officials, (AASHTO)
    2. Transportation Research Board Special Report 209, Highway Capacity Manual
    3. NYSDOT Highway Design Manual
    4. NYSDOT Standard Sheets
    5. NYSDOT Policy and Standards for the Design of Entrances to State Highways (HDM Appendix 5A)
    6. NYSDOT Comprehensive Pavement Design Manual (CPDM)
    7. NYSDOT Standard Specifications for Highway Bridges
    8. NYSDOT Bridge Manual
    9. NYSDOT Bridge Detail Sheets
    10. NYSDOT Engineering Instructions
    11. NYSDOT Engineering Bulletins
    12. NYSDOT Engineering Directives
    13. NYSDOT Standard Specifications for Construction and Materials
    14. NYSDOT Manual of Uniform Traffic Control Devices
    15. National Manual on Uniform Traffic Control Devices
    16. NYSDOT Surveying Standards and Procedures Manual
    17. NYSDOT Materials Bureau Materials Methods
    18. NYSDOT MURK* 1B (Construction Inspection Manual)
    19. NYSDOT MURK* 2 (Materials Inspection Manual)
    20. NYSDOT Geotechnical Engineering Bureau Manuals and Procedures
    21. NYSDOT Special Specifications contained in PS&Es which have been approved in accordance with Appendix B
    22. NYSDOT CADD Standards and Procedure Manual
    23. AASHTO's Guide for Development of Rest Areas on Major Arterials and Freeways

    * MURK - Manual of Uniform Record Keeping

    The Department will apply design and construction standards for new construction, reconstruction, resurfacing (selected maintenance resurfacing), restoration, or rehabilitation of highways on the NHS in accordance with 23 CFR Part 625.

  4. NYSDOT's Highway Safety Improvement Program

    The Department will administer a Highway Safety Improvement Program on a continuing basis according to 23 CFR Part 924, 23 CFR Part 1204, 23 USC and the following:

    1. NYSDOT Highway Safety Improvement Program: Procedures & Techniques
    2. NYSDOT Safety Investigation Procedures Manual
    3. NYSDOT Safety Program Manual
  5. Intelligent Transportation Systems

    The Department (and sub-recipients) will comply with the requirements of 23 CFR Part 940. The FHWA New York Division Policy for Implementing ITS Projects provides further guidance on these requirements (see Appendix D).

  6. Quality Control/Quality Assurance of Construction and Materials

    The quality of construction is assured through the application of the following:

    1. NYSDOT Standard Specifications for Construction and Materials
    2. NYSDOT Standard Sheets
    3. NYSDOT Bridge Detail (BD) Sheets
    4. NYSDOT Steel Construction Manual
    5. NYSDOT Prestressed Concrete Construction Manual
    6. NYSDOT MURK 1A (Contract Administration Manual)
    7. NYSDOT MURK 1C (Safety and Health Manual)
    8. NYSDOT MURK 2A (Materials Inspection Manual)
    9. NYSDOT MURK1B (Construction Inspection Manual)
    10. Environmental Commitments and Obligations Package for Construction (ECOPAC)
    11. NYSDOT Materials Bureau Materials Methods
    12. NYSDOT Geotechnical Engineering Bureau Manuals and Procedures

    The economy of construction is assured through the Department's competitive bidding procedures and through value engineering policies.

  7. Roadway Signing, Pavement Marking and Other Traffic Control Devices

    Provisions for conforming signing, pavement marking, ITS and traffic control devices are provided through application of the following:

    1. NYSDOT Manual of Uniform Traffic Control Devices (NYCRR Title 17, Vol. B)
    2. National Manual on Uniform Traffic Control Devices
    3. NYSDOT Highway Design Manual
    4. NYSDOT Project Development Manual – Appendix 6
    5. NYSDOT Engineering Instructions
    6. NYSDOT Office of Operations Management Instructions
    7. NYSDOT Engineering Bulletins
    8. Transportation Research Board Special Report 209, Highway Capacity Manual
    9. NYSDOT Right-of-Way Mapping Procedure Manual
    10. ITS Regional Architecture Plans (as established in conjunction with FHWA)
    11. ITS Systems Engineering Procedures (as established in conjunction with FHWA)
    12. NYSDOT Standard Sheets
  8. Economic, Social and Environmental Impacts

    Minimization of adverse economic, social, and environmental impacts is accomplished through adherence to the following:

    1. NYSDOT Project Development Manual (PDM)
    2. NYSDOT Environmental Procedures Manual
    3. NYSDOT Economic Development Policy
    4. The Clean Air Act, Section 176C, 309
    5. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and as amended
    6. NYS Eminent Domain Procedure Law
    7. New York State Environmental Quality Review Act (SEQRA)
    8. NYSDOT Highway Design Manual
    9. NYSDOT MURK 1A (Contract Administration Manual)
    10. NYSDOT MURK 1B (Construction Inspection Manual)
  9. Equal Employment Opportunity

    The Department's policy with respect to equal employment opportunity and non-discrimination is as provided in the following:

    1. NYSDOT Standard Specifications for Construction and Materials
    2. Federal-aid Contract Provisions
    3. Federal Equal Employment Opportunity Provision
    4. NYSDOT MURK 1A (Contract Administration Manual)

    Disadvantaged Business Enterprise (DBE) Program is administered in accordance with 49 CFR Part 26.

  10. Competitive Bidding and Payment of Prevailing Wage Rates on Construction Contracts

    1. NYSDOT Manual of Administrative Procedure
    2. NYSDOT Supplemental Bulletins
    3. NYSDOT MURK 1A (Contract Administration Manual)
    4. NYSDOT Standard Specifications
  11. Design and Construction Claim Settlements

    Design and Construction claim settlements on State construction contracts will be processed in accordance with:

    1. NYSDOT Manual of Administrative Procedure
    2. NYSDOT Standard Specifications for Construction and Materials
    3. NYSDOT MURK 1A (Contract Administration Manual)
  12. Federal-aid Contract Provisions

    1. Negotiated Contracts - The Department provides the required Federal-aid contract provisions as prescribed in 23 CFR, Part 172 Subpart A - Administration of Engineering and Design Related Contracts and in the NYSDOT Manual of Administrative Procedures (7.1) Consultant Acquisition Procedures and, for local projects, through Project Agreement requirements.
    2. Construction Contracts - The Department provides the required Federal-aid contract provisions as prescribed in 23 CFR, Part 633, Subparts A and B - Required Contract Provisions. Also, NYSDOT Standard Specifications for Construction and Materials and addendums. In addition, Form FHWA 1273 containing those provisions is included in each proposal with Federal-aid.
  13. Locally Administered Federally Funded Projects

    Locally administered Federal-aid projects are administered in accordance with NYSDOT's "Procedures for Locally Administered Federal-Aid Projects."

  14. Federal-Aid Financial Procedures

    Project Authorization/Agreement:

    A signed NYSDOT Request for Federal-aid Authorization/Agreement will be submitted to FHWA for all Federal-aid projects.

    NYSDOT will electronically verify that the fiscal authorization has occurred by reviewing the Financial Management Information System (FMIS) transaction and Electronic Data System (EDS) status logs.

    NYSDOT will comply with the provisions contained in 23 CFR 630.307. The project specific data submitted with the Request for Authorization/Agreement is sufficient for FHWA to obligate all projects in the FMIS at the time of approval; no further FHWA Project Agreement or NYSDOT Agreement Estimate is required.

    When project funding adjustments are required due to bid adjustments or cost overruns/underruns, NYSDOT will submit a signed Request for an Amended Project Authorization/modified agreement which cites the reason for the change.

  15. National Bridge Inspection Standards(NBIS)

    The Department shall inspect and inventory bridges in accordance with the following:

    1. NYS Code of Rules and Regulations, Part 165, Uniform Code of Bridge Inspection
    2. NYSDOT Bridge Inspection Manual
    3. NYSDOT Bridge Inventory Manual
    4. National Bridge Inspection Standards (23 CFR 650)
    5. Recording and Coding Guide for Structure Inventory and Appraisal of the Nation's Bridges (FHWA-PD-96-001)
    6. NYSDOT Bridge Diving Inspection Manual
    7. FHWA's Bridge Inspector's Reference Manual (BIRM)
  16. State Planning and Research Program

    The Department will comply with the following in carrying out the research, development, and technology transfer portion of the State Planning and Research Program:

    1. NYSDOT State Planning and Research Management Process: Policies and Procedures for Research, Development, and Technology Transfer
Appendix B - SAFETEA-LU Project Approval Matrix


Performance Indicators

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
In Accordance with
The Federal ITS Architecture and Standards Rule
23 CFR Part 940
November 8, 2006

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:

  • Installation of isolated rural traffic signals
  • Isolated speeding or red-light running electronic ticketing system
  • Isolated curve warning sensor system

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:

  • Identification of portions of the regional architecture being implemented;
  • Identification of participating agencies roles and responsibilities;
  • Requirements definitions;
  • Analysis of alternative system configurations and technology options to meet requirements;
  • Procurement options;
  • Identification of applicable ITS standards and testing procedures; and
  • Procedures and resources necessary for operations and management of the system.

2.2. Guidance related to the above bullets can be found in the following documents:

  • Systems Engineering for ITS, An Introduction for Transportation Professionals, FHWA/FTA, October 2006;
  • ITS Project Scoping Guidance, NYSDOT, PDM Appendix 6, December 2004; and
  • Best Practices for ITS Standards Specifications, NYSDOT, Draft Final, December 7, 2005.

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.

  • If this is the first ITS project in a region without an existing architecture, the timeframe for developing a Regional ITS architecture begins. The region is allowed 4 years, from the date the project advances to final design, to create a Regional ITS Architecture that is "Ready for Use".

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:

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

User ServiceDeployment Variations  
Travel and Traffic Management
Pre-Trip Travel InformationReal-time information available to travelers at home, office, etc.Integrated data for all modes available in one repositoryRoute, time, and mode recommendations made
En Route Driver InformationGeneral in-vehicle display of static sign information along with driver advisories for current congestion, incident, conditions, etc.Sign information tailored to current conditions and driver advisory information filtered/tailored to meet driver's specific needsSign information tailored to vehicleand current conditions along with predictive driver advisories integrated with route guidance service.
Route GuidanceAutonomous route guidance supplying static directionsReal-time route guidance based on current conditions.Coordinated real-time route guidance to achieve network-wide optimizations
Ride Matching and ReservationMatch private vehicle owners/ operators with potential ridersInclude commercial transit providers as match optionsInclude support for ride share financial transactions
Traveler Services InformationFixed Yellow pages" service optimized for traveler queries "Mobile service providing information based on location/needIntegrated electronic reservation/payment service
Traffic ControlEnhanced freeway controlEnhanced network controlIntegrated area-wide control
Incident ManagementAutomated incident detection. May rely on traffic monitoring, direct reports, or both.Automated detection, verification, response plan recommended to operatorComplete incident management automation. Minimal man-in-loop operator control.
Travel Demand ManagementDemand monitoring and public awareness informationHOV and parking facility administrationDynamic user fee based on time, route, number of passengers, emissions, etc.
Emissions Testing and MitigationRoadside pollution assessmentArea-wide pollution monitoringIntegrated area-wide air quality strategies
Highway-Rail IntersectionStandard traffic control devices at Highway-Rail IntersectionsCoordination with railroads to enhance traffic managementImmobile vehicle detection and emergency notification
Public Transportation Management
Public Transportation ManagementCentralized schedule monitoring and managementAdd off-line analysis/ planning and personnel management supportIntegrate with traffic control to enhance real-time schedule adherence capability
En Route Transit InformationCurrent route/schedule information available. Limited interaction.Integrated multi-modal information with decision supportIntegrated with electronic payment service (ticket/fare card purchase)
Personalized Public TransitReservation-based rider request capabilityVehicle assignment with optimized vehicle schedulesReal-time vehicle assignment
Public Travel SecurityPhysical security, surveillance, screening, threat sensors, automated operator authentication, and alarm systemsOperator/traveler initiated silent alarm (vehicle-based)Alarm capability integrated with personal communications services
Electronic Payment
Electronic Payment ServicesElectronic toll collectionElectronic fare collection/ Electronic parking paymentIntegrated electronic payment service supporting all modes
Commercial Vehicle Operations
Commercial Vehicle Electronic ClearanceUse historical data and WIM to preclear carriers with annual registrationExtended service which preclears those with temporary permitsVehicle and driver condition automatically monitored and considered in preclearance.
Automated Roadside Safety InspectionOn-line access to historical safety records for identified vehiclesVehicle-based diagnostics collected and monitoredDriver status and condition monitored and considered
On-Board Safety and Security MonitoringSafety and security monitoring with automated driver notificationExtended to supply notification to carrierExtended to supply notification to enforcement agencies
Commercial Vehicle Administrative ProcessesElectronic purchase of annual credentials from base stateAdd purchase of temporary credentials/permits from other statesAutomated mileage and fuel reporting
Hazardous Material Security and Incident ResponseEnforcement and HAZMAT response teams provided with cargo informationOperational focal point to coordinate with other agenciesReal-time HAZMAT incident response coordination
Freight MobilityCommercial vehicle and freight equipment location and status monitoringIntegrated route guidance and monitoring for route deviationsSpecific specialized fleet capabilities
Emergency Management
Emergency Notification and Personal SecurityMotorist initiated distress signalAutomated distress signal initiated by vehicle collisionContent added to message for special uses (e.g., HAZMAT)
Emergency Vehicle ManagementVehicle dispatch supportRoute guidance directing driver to the sceneIntegration with traffic control to optimize travel times.
Disaster Response and EvacuationDisaster response and evacuation assistance to local agencies by other local, state and federal agenciesCoordinated response and evacuation by local , state and federal agenciesIntegrated planning, response and evacuation by local , state and federal agencies
Advanced Vehicle Safety Systems
Longitudinal Collision AvoidanceDriver warning of potential longitudinal collisionsTemporary partial control in collision avoidance situationFull control, integration with lateralcontrol service
Lateral Collision AvoidanceBlind spot warning and/or partial controlLane holding warning and/or partial controlFull control, integration with longitudinal control service
Intersection Collision AvoidanceSignalized intersection violation (e.g., run red light) detection and control overridePotential intersection collision warning/partial controlFully automated intersection control
Vision Enhancement for Crash AvoidanceIndependent vision enhancement serviceIntegrated with in-vehicle signing/other collision avoidance services 
Safety ReadinessEnhanced vehicle condition monitoringUnsafe road conditions monitoringImpaired driver monitoring and control override
Pre-Crash Restraint DeploymentSensor-based detection and restraint deploymentVehicle to vehicle coordination and restraint deploymentPersonalized restraint based on occupant characteristics
Automated Vehicle OperationIn-vehicle collision-avoidance precursors to AHSMinimum roadside intelligenceFully automated vehicle operations
Information Management
Archived Data FunctionMinimal Historical repository of data, with limited availabilityFull data archive with cleansing and online analysis functions to multiple usersFully automated archive, virtually distributed
Maintenance and Construction Management
Maintenance and Construction OperationsTracking of maintenance and construction vehiclesWeather agencies or environmental sensors in the pavement provide information used for scheduling maintenance and construction activitiesCoordination of multiple centers responsible for a wide range of maintenance and construction activities

Appendix D - Attachment B

NameNYSDOT Regions
Michael Schauer1, 8, 10 and statewide program coordination
Jerome Zell2, 3, 4, 5, 6, 7, and 9
Arthur O'Connor11

Appendix D - Attachment C

ITS Regional Architecture, Systems Engineering, and Standards – Resources
Classroom (CR)/Web-based (WB) Training

Regional Architecture
  1. Introduction to the National ITS Architecture NHI#13015 thru CITE (WB) free
  2. Deploying the National ITS Architecture NHI#137013 (CR)
  3. Turbo Architecture Software Training NHI#137029A (CR)
  4. Regional ITS Architecture Development Process Seminar/Workshop (CR)
  5. Using and Maintaining Your Regional ITS Architecture Seminar/Workshop (CR-Under Dev)
Systems Engineering
  1. Introduction to Systems Engineering for Transportation NHI#137024 (CR) & CITE (WB or Blended)
  2. Managing High Technology Projects in Transportation NHI#137026 (CR) & CITE (WB or Blended)
  3. ITS Procurement NHI#137020 (CR)
  4. ITS Software Acquisition NHI#137019 (CR)
  5. Configuration Management for Traffic Management Systems NHI#137042 (CR)
  6. Advanced (Applied) Systems Engineering for Advanced Transportation Projects CITE (WB)
  7. Interoperability: ITS System Architecture and Standards CITE (WB)
  1. DMS (VMS) Procurement Workshop (CR) contact:
  2. ITS Standards Overview (CR)
  3. Center-to-Center (CR)
  4. Dynamic Message Signs (CR)
  5. Advanced Transportation Controller and Actuated Signal Control (CR)
  6. IEEE 1512 Family of Standards: Message Sets for Traffic Incident Mgmt. (CR)
Other ITS Resources

Regional Architecture

Systems Engineering
  • Systems Engineering Guidance CD Rom (Oct 2006)
  • Systems Engineering web site
  • Systems Engineering for ITS: An Introduction for Transportation Professionals (Nov 2006)
  • From the USDOT/JPO Electronic Document Library (EDL):
  • Developing Functional Requirements for ITS Projects, April 2002, EDL #13621;
  • A Guide to Configuration Management for Intelligent Transportation Systems, April 2002, EDL #13622;
  • Building Quality Intelligent Transportation Systems Through Systems Engineering, April 2002, EDL #13620
ITS Standards

CITE can be accessed at

Appendix D - Attachment D

New York State ITS Regional Architectures
RegionStatusWhere to Access
New York StatewideReady for Use
Albany-Schenectady-TroyReady for Use
BinghamtonReady for UseRefer to Region 9 ITS coordinator.
Buffalo-So. OntarioReady for Use
ElmiraReady for UseRefer to Region 6 ITS coordinator
IthacaReady for UseRefer to Region 3 ITS coordinator.
Long IslandReady for Use
Lower Hudson ValleyReady for UseRefer to Region 8 ITS coordinator.
New York CityReady for Use (password required)
RochesterReady for UseRefer to Region 4 ITS coordinator.
SyracuseReady for UseRefer to Region 3 ITS coordinator.
NYSDOT Region 6Under DevelopmentRefer to Region 6 ITS coordinator.
I-81 Border areaPending developmentRefer to Region 7 ITS coordinator.
I-87 Border areaUnder developmentRefer to Region 7 ITS coordinator.


Firas Ibrahim
Office of Program Administration
E-mail Firas

Updated: 07/13/2011

United States Department of Transportation - Federal Highway Administration