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Wyoming Federal-Aid Highway Program (FAHP) Stewardship Agreement

In Cooperation Between
The Wyoming Department of Transportation (WYDOT)

And

The Federal Highway Administration (FHWA)
Wyoming Division

FEDERAL–AID HIGHWAY PROGRAM (FAHP)
STEWARDSHIP AGREEMENT

Dated December 21, 2010

Original Signed      12–21–10
John F. Cox
Director
Wyoming Department of Transportation
Original Signed      12–21–10
Joseph S. Dailey
Division Administrator
Federal Highway Administration

This agreement supersedes WYDOT and FHWA Stewardship Agreement issued January 5, 2007. Minor changes, clarifications, and regulatory updates to this agreement may occur with the mutual consent of both parties.

The provisions of this Agreement do not modify the FHWA’s non–Title 23 program oversight and project approval responsibilities for activities such as required under the Clean Air Act, the National Environmental Policy Act of 1969 (NEPA) and other related environmental laws and statutes, the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and the Civil Rights Act of 1964 and related statutes.

Table of Contents

Table of Contents

Glossary

Introduction

Part 1 – Federal–aid Project Delegation and Assumption by WYDOT

Part 2 – Oversight and Monitoring of the Federal–aid Highway Program

Part 3 — FAHP: Implemented and Administered

Program Areas

Appendix

Amendment to the Agreement

GLOSSARY

Assurances — A positive declaration from the State Department of Transportation (SDOT) intended to give confidence to Federal Highway Administration (FHWA) that those agreed upon delegated projects and/or other program areas implemented or assumed by the SDOT are being carried out in accordance with all Federal requirements.

Delegated Projects — Projects that do not require FHWA to review or approve most actions pertaining to design, plans, specifications, estimates, right–of–way certification statements, inspections, and final acceptance of Federal–aid projects. The SDOT assumes the responsibilities of FHWA and is responsible for the effective and efficient use of Federal funds.

Control Documents — Applicable laws, regulations, standards, specifications, manuals, guidelines, policies and procedures that are acceptable to FHWA for application and implementation of both Federal–aid projects and programs. The objective is to have controls in place and implemented to safeguard limited resources, control activities, reduce or minimize the potential of risk, fraud, waste and abuse, and provide reasonable assurance that the FAHP is administered effectively and efficiently.

Fraud, Waste, Abuse, and Illegal Acts —

  • Fraud — a type of illegal act involving the obtaining of something of value through willful misrepresentation. Fraud is described as a false representation of a material fact, whether by words or by conduct, by false or misleading allegations, or by concealment of that which should have been disclosed, which deceives another so that he/she acts, or fails to act to his/her detriment.
  • Waste — involves the taxpayers not receiving reasonable value for money in connection with any government funded activities due to an inappropriate act or omission by those with control over or access to government resources. Waste does not involve a violation of law. Waste relates primarily to mismanagement, inappropriate actions and inadequate oversight.
  • Abuse — involves behavior that is deficient or improper when compared with behavior that a prudent person would consider reasonable and necessary business practice given the facts and circumstances. Abuse also includes misuse of authority or position for personal financial interests or those of an immediate or close family member or business associate. Abuse does not necessarily involve fraud, violation of laws, regulations, or provisions of a contract or grant agreement.
  • Illegal Acts — are violations of laws or government regulations that have a direct and material effect on the determination of financial statement amounts.

Full Oversight Projects — Projects that require FHWA to review and approve most actions pertaining to project development and contract modification. Full oversight projects are typically those NHS non–delegated high risk projects due to new construction, reconstruction, restoration, or rehabilitation. (See the "Approval Action Responsibility Matrix")

Goal — A broad statement that amplifies the end toward which the effect is directed.

Non–Title 23 — The United States Codes governing programs such as National Environmental Policy Act (NEPA), Clean Air Act, Title VI of the Civil Rights Act, Council on Environmental Quality, Section 4(f), Disadvantaged Business Enterprises, Prevailing Wage Rates, and Acquisition of Right–of–Way that have a direct effect on implementing the Federal–aid Highway Program.

Objective — Specific strategies to arrive at a goal.

Oversight — A process undertaken by FHWA to review, examine, or evaluate SDOTs/MPOs activities, products, and assurances to ensure those activities, products, and assurances are in compliance or are consistent with Federal laws, regulations, and policies. This includes regular activities related to reviewing and approving SDOT manuals and procedures.

Peer Reviews/Innovation Sharing — A peer review is designed to have an outside team (i.e., consultant, other SDOT or Local Agency) meet with the host agency (i.e., SDOT or Local Agency) to discuss and review its management processes/practices in a particular program area. Information about the host agency and team members’ policies and procedures are exchanged and shared with the intent to improve the overall program processes. The information gathered from the exchange is presented to agency management for process improvement or shared with other SDOTs.

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness (outcomes) and efficiency (outputs) of the functional program areas and the overall Federal–aid Program. By itself, performance measurement does not explain the Federal–aid effectiveness; it is the interpretation of data that is collected that helps to measure the overall performance. Key terminologies of measures are defined as:

  • Compliance Measures — an outcome measure defined as the extent to which processes are performed in compliance with prescribed laws, regulations, policies or procedures.
  • Outcome — a measure of effectiveness. The degree to which a program is producing or achieving its intended desired results (e.g., reduction in injuries; percent of operations improved).
  • Output — a measure of efficiency. The direct products which provide some indication of the amount of work or activity completed (e.g., miles of highway inspected; number of audits conducted).
  • Service Quality Measures — an output most directly related to service delivery processes such as "turn around time" or expectations (e.g., average waiting time; customer rating of service).

Program Areas — Refers to the individual parts of the Federal–aid Highway Program. Core program areas of emphasis are Planning and Research, Environment, Design, Finance, Operations, Safety, Civil Rights, Pavements, Bridge (Structures), Contract Development, Construction, and Right–of–Way. Areas such as Safety, Finance, and Civil Rights are integrated throughout some of the core program areas.

Program Assessments — A systematic and ongoing method of gathering, analyzing, and using information from measured outcomes to improve the performance and outcome of an individual program area. The overall purpose of a program assessment is to determine how an individual program is working toward achieving its goal. The overall concept that drives this effort is one of continuous process improvement. Program assessments provide key activities for inclusion into the Division Performance Plan.

Program Monitoring — See "Oversight" on page 3.

Program Reviews/Process Reviews — A thorough analysis of key program components and the processes employed by the SDOT in managing a program. The reviews are conducted to ensure compliance with Federal requirements, identify opportunities for greater efficiencies and improvements to the program, and/or identify exemplary practices to share.

Project Reviews — Usually refers to the various phases of a construction project, these reviews are designed to focus on evaluating and improving current project activities and following up on unresolved issues from previous reviews.

Quality Improvement Reviews — These reviews are used to evaluate all phases throughout the life of a project. The primary purpose is to provide documentation and assure the Division that Federal–aid funds are being spent in accordance with Federal laws, regulations, and policies. In addition, QIRs will evaluate the effectiveness of the processes, procedures, and products developed by the SDOT in all phases of a project, as well as the internal operations of the Division.

Risk Management is a systematic process that involves the identification, assessment, planning, and management of threats and opportunities faced by FHWA programs, processes, and projects.

Risk is a future event that may occur and has a direct impact on a project or a program.

Risk Assessment — A systematic process for evaluating the potential exposure to loss for a particular program or process and the identification of potential countermeasures to control or reduce the perceived risk. The purpose of a risk assessment is to identify "high risk" areas in order to minimize the agency’s exposure to risk. "Risk" may be the ineffective performance of the program or the violation of Federal laws or regulations, or both. The most critical areas for the FHWA are those that have the potential for preventing the FHWA from performing its mission, and preventing the FHWA from achieving its strategic goals. Considering and addressing risk at the program level allows for effective management of critical FHWA functions and permits FHWA to effectively perform its mission. Risk assessments provide key activities for inclusion into the Division Performance Plan to mitigate the risk.

Risk Response Strategies are the specific strategies of avoidance, acceptance, transference, mitigation or enhancement, planned or implemented to cope with identified risks. The results are typically reported in a risk register and describe the prioritized risks, their likelihood and impact, including the corresponding response strategies. Since risk management activities can occur at the program, process, and project level, they may be conducted independently or jointly by Division and State staff at any level. The proposed response strategies often support the need for a program or process review.

Risk–based Approach is the process of identifying and measuring higher potential risk of Federal–aid Highway Programs, developing strategies to mitigate those risks, and focusing resources in areas that are deemed to be higher risk. Assuming limited resources and time, lower risk areas or programs will receive less attention and resources. Identification of risks may take place through risk assessments, tracking performance measures or indicators, and other tools. Processes and procedures should be developed and implemented to minimize risk where risk is high.

Stewardship — The efficient and effective management of the public funds that have been entrusted to the FHWA.

Target — An objective or goal a program area is trying to achieve in the future.

Title 23 — The United States Code governing the Federal–aid Highway Program.

Trend — Yearly measurements of progress toward reaching a program area target.

4R–3R–2R–1R — Basically:

4R — New construction or reconstruction
3R — Restoration or rehabilitation
2R — Resurfacing
1R — Preservation

Note: A more defined criteria of highway improvement types as defined in WYDOT’s Guides for Interstate, Non–Interstate NHS, and Non–NHS State Highways.

Introduction

Background

Stewardship agreements were first introduced and developed in response to the provisions in the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991. The initial agreements basically addressed how the State Departments of Transportation (SDOT) and Federal Highway Administration (FHWA) Division Office would handle the delegated authorities for certain project actions. Since the passage of the legislation Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA–LU), FHWA has developed a more sophisticated oversight program, monitoring the effectiveness and efficient use of funds covering all program areas of the Federal–aid Highway Program (FAHP).

Because of previous legislation, including SAFETEA–LU, FHWA is faced with a growing oversight mission with limited resources. Section 106 of Title 23, United States Code, requires:

  1. FHWA and the State enter into an agreement documenting the extent to which the State assumes the responsibilities of FHWA under Title 23, and
  2. FHWA establishes an oversight program to monitor the effectiveness and efficient use of funds authorized to carry out Title 23.

Congress has charged FHWA with administering the FAHP under Title 23, and other associated laws. FHWA’s responsibility for administering the FAHP is outlined in the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA–LU) of 2005. The law allows States to assume certain delegated responsibilities.

The FAHP has been administered jointly by FHWA and SDOTs and other highway program recipients for many years. These parties have been tasked with carrying out the FAHP efficiently and effectively to help accomplish national and mutual 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 independent oversight and approval actions, as well as many day–to–day actions that are routinely performed by either or both parties to ensure that the FAHP is administered effectively within the legislation.

Purpose of Agreement

The purpose of a Stewardship Agreement is to document how the FAHP is administered to ensure accountability across the State of Wyoming. The Agreement is divided into three parts:

  • Part 1: Federal–aid Project Delegation and Assumption by WYDOT
  • Part 2: Oversight and Monitoring of the Federal–aid Highway Program
  • Part 3: FAHP: Implemented and Administered
Authority

The authority to enter into an agreement with WYDOT is based on:

  • Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA–LU) of 2005. This act provides the authorizing legislation for the Federal–aid Highway Program. It amends Section 106, Title 23, United States Code, and establishes policy, authorizes funds, and provides authority for implementing the Act. Title 23, Section 106 (c) states:
    1. "Assumption by States of Responsibilities of the Secretary. —
      1. Non–interstate NHS projects. — For projects under this title that are on the National Highway System but not on the Interstate System, the State may assume the responsibilities of the Secretary under this title for design, plans, specifications, estimates, contract awards, and inspections of projects unless the State or the Secretary determines that such assumption is not appropriate.
      2. Non–NHS projects. — For projects under this title that are not on the National Highway System, the State shall assume the responsibilities of the Secretary under this title for design, plans, specifications, estimates, contract awards, and inspection of projects, unless the State determines that such assumption is not appropriate.
      3. Agreement. — The Secretary and the State shall enter into an agreement relating to the extent to which the State assumes the responsibilities of the Secretary under this subsection.
      4. Limitation on authority of the Secretary. — The Secretary may not assume any greater responsibility than the Secretary is permitted under this title on September 30, 1997, except upon agreement by the Secretary and the State."
  • FHWA Memorandum, Implementing Guidance — Project Oversight under Section 1305 of the Transportation Equity Act for the 21st Century (TEA–21) of 1998, August 20, 1998. The memorandum states FHWA’s position, considering the language in Section 106 (c) (4), that all States have the opportunity to assume the responsibilities of certain types of Interstate projects allowed under Section 106.
  • FHWA Order M1100.1A, FHWA Delegations and Organization Manual. This manual documents the official, approved delegations of authority vested in the FHWA by law, regulation, or delegation from the Secretary of Transportation, and the organizational responsibilities and functional statements for all formal organizational elements.

PART 1
Federal–aid Project Delegation and Assumption by WYDOT

Federal–aid Project Oversight by FHWA. In general, FHWA will maintain full oversight on Federal–aid routes designated as:

  • Interstate 4R and 3R projects, and
  • NHS non–Interstate 4R and 3R projects.

These projects are typically high risk (high impact and high likelihood) and high dollar amounts.

On full oversight projects. the FHWA retains authority for the actions noted under the NHS Projects (Non–Delegated Projects) column of the "Project Approval Action Responsibilities Matrix" (see appendix). The specific roles and responsibilities on required actions such as reports, reviews, data, staffing information, and performance assurances are laid out in each program area.

Federal–aid Project Delegation and Assumption by WYDOT.
WYDOT will assume full project oversight on Federal–aid routes designated as:

  • Interstate 2R and 1R projects,
  • NHS Non–Interstate 2R and 1R, and
  • Non–NHS 4R, 3R, 2R and 1R.

These projects are typically low risk (low impact and low likelihood) and low dollar amounts.

For all delegated projects or programs assumed by WYDOT:

  • The WYDOT shall comply with Title 23 and certain non–Title 23 USC Federal–aid program requirements, such as metropolitan and statewide planning, environment, procurement of engineering and design related service contracts, Title VI of the Civil Rights Act, participation by disadvantaged business enterprises, prevailing wage rates, and acquisition of right–of–way, etc.
  • The WYDOT shall assure that right–of–way approval, utility approval, environmental approvals, railroad approval and related activities, design approval, design exceptions (NHS), PS&E approval, concurrence in award, and construction–related activities are performed in accordance with WYDOT policies, practices and standards, and in accordance with all requirements of Title 23 USC.
  • The WYDOT shall provide the necessary review and approval that are developed and administered by local agencies to assure compliance with Federal requirements. WYDOT will be responsible for determining that sub–recipients of Federal funds have adequate staffing, project delivery systems, and sufficient accounting control. WYDOT is ultimately accountable to FHWA for ensuring compliance with Federal–aid requirements on such projects.
  • In assuming full project oversight on Federal–aid routes designated as Interstate 2R and 1R projects, NHS Non–Interstate 2R and 1R, and Non–NHS 4R, 3R, 2R, and 1R, WYDOT agrees to comply with FHWA approved standards, policies, and standard specifications that are acceptable to FHWA for applications in the geometric and structural design of highways in accordance with 23 CFR 625.4, and 23 CFR 603, policies and procedures of the FHWA to obtain basic uniformity of traffic control devices on all streets and highways.

Maintenance. Title 23 of the United State Code defines maintenance as, "…the preservation of the entire highway, including surface, shoulders, roadsides, structures, and such traffic–control devices as are necessary for safe and efficient utilization of the highway." Title 23 further requires a SDOT to maintain, or cause to be maintained, each project constructed with Federal–aid funds, until such time that it no longer constitutes a part of the Federal–aid system. Therefore, maintenance activities will be the ultimate responsibility of WYDOT. It is FHWA’s role to see that maintenance of Federal–aid projects is adequate, and to provide technical assistance in disseminating information on successful maintenance techniques.

Although maintenance is required by statute, regulation, and project agreement for projects on which Federal–aid is spent, common maintenance is not eligible for Federal–aid. Traditional activities considered to be maintenance are snow plowing, vegetation control, pot–hole patching, up–keep of signal and lighting installations, cleaning and up–keep of rest–areas, control of right–of–way encroachment, etc. These types of maintenance activities are considered the obligation of the State or local jurisdiction under State charter.

While these maintenance type activities were at one time universally considered ineligible for Federal–aid, changes in highway legislation since 1991 have made them eligible for Federal–aid under certain conditions within the preventive maintenance program. Additional activities that are sometimes considered maintenance are sealing pavement joints, spot–repair of bridge coating systems, replacement of damaged highway signs, and pavement patching. These activities typically fall into the 2R (resurfacing) and 1R (preservation) highway improvement types.

WYDOT Assurances. In assuming full project oversight on Federal–aid routes designated as Interstate 2R and 1R projects, NHS Non–Interstate 2R and 1R, and Non–NHS 4R, 3R, 2R and 1R, WYDOT agrees to comply with FHWA approved standards, policies, and standard specifications that are acceptable to FHWA for applications in the geometric and structural design of highways in accordance with 23 CFR 625.4, and 23 CFR 603, policies and procedures of the FHWA to obtain basic uniformity of traffic control devices on all streets and highways. Accordingly, WYDOT agrees to provide assurances that they are carrying out their delegated responsibilities on all projects and programs.

FHWA Division Responsibility and Authority. Notwithstanding the provisions of the Agreement, FHWA retains overall responsibility for all aspects of the Federal–aid programs. Further, the Agreement does not preclude FHWA’s access to review State administered Federal–aid projects at any time, and the Agreement does not replace the provisions of Title 23, U.S.C. In addition, FHWA and by extension, WYDOT, including sub–recipients, are responsible for the effective and efficient use of Federal funds.

The FHWA Division will also retain responsibility and authority for the following actions and approvals.

  1. All Federal responsibilities for planning and programming oversight specified in 23 USC 134 and 135.
  2. Federal air quality conformity determinations required by the Clean Air Act.
  3. Obligation of funds.
  4. Waivers to Buy America requirements (FHWA Washington Headquarters [HQ] approval required as noted in Mr. Horne’s July 3, 2003 memorandum).
  5. SEP–14/SEP–15 methods (FHWA HQ approval required for experimental contracting/project delivery methods).
  6. Civil Rights program approvals.
  7. Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEA–LU.
  8. Addition of access points on the Interstate System.
  9. Use of Interstate airspace for non–highway–related purposes.
  10. Hardship acquisition and protective buying.
  11. Modifications to project agreements.
  12. Final vouchers.

Part 2
Oversight and Monitoring of the Federal–aid Highway Program

The FAHP has been administered jointly by the FHWA and WYDOT for many years. Both parties have been tasked to carry out the FAHP efficiently and effectively to help accomplish national and state mutual goals to maintain a national highway network, improve its operation and safety, and provide for national security while protecting and improving the environment.

FHWA’s responsibility for administrating the FAHP is outlined in SAFETEA–LU. Under existing statutes and regulations, WYDOT is responsible for ensuring that all Federal–aid projects are carried out in accordance with Federal requirements. In addition, 23 U.S.C Section106 specifically charges States with the responsibility for determining that sub–recipients of Federal funds (including local public agencies) have adequate project delivery systems for projects and sufficient accounting controls to properly manage Federal funds.

Also, 23 U.S.C. 106 requires FHWA to periodically review the monitoring of sub–recipients by States. The reviews must be comprehensive to ensure that all aspects of the LPA–administered projects are carried out in accordance with Federal requirements. In addition, the reviews should include sampling of LPA projects to validate compliance with established processes and procedures.

Each functional program area in this agreement will identify the various techniques used to ensure oversight of the FAHP by FHWA and WYDOT. Some techniques may be conducted by individuals or teams and be performed using FHWA Division Office staff, WYDOT staff, or by using combinations of peers from other FHWA or State agencies, stakeholders or organizations. However, certain oversight methods may be conducted only by FHWA staff for an independent evaluation. Independent oversight and monitoring techniques of the FAHP may include:

  • Program Monitoring
  • Program Assessments
  • Risk Assessment
  • Program Reviews (Process Reviews)
  • Project Reviews
  • Quality Improvement Reviews
  • Peer Reviews/Innovation Sharing

Techniques of oversight and monitoring of the FAHP will also include:

  • Risk–Based Approach to Oversight and Monitoring — With increasingly limited resources, time and staff, the Division office employs a risk–based approach for oversight in consultation with WYDOT of identifying and measuring higher potential risk of the various Federal–aid program areas. Identification of risks may take place through the various oversight and monitoring techniques of the FAHP, tracking performance measures or indicators, and other tools. The risk based–approach will develop strategies to mitigate risks, focusing resources in areas that are deemed to be higher risk, thus driving, guiding, and directing the Division annual work plan.
  • WYDOT’s Standards, Policies, and Specifications — WYDOT’s manuals, policies, processes, standards, and procedures are approved by the Division office for use on the Federal–aid project level and program area. These approvals are identified in each program area matrix and table of the agreement.
  • Fraud, Waste, and Abuse — Although the FAHP is a State–administered program FHWA and WYDOT are both responsible for its implementation, stewardship and oversight of the tax dollars devoted to highways (State and Federal funds) is the undertaking of both FHWA and WYDOT. As such, both agencies are responsible for identifying and preventing fraud, waste, and abuse.
  • Performance and Compliance Measures/Indicators — A mixture of different performance types and compliance measurements will be used to monitor and track trends of the effectiveness (outcomes) and efficiency (outputs) of the functional program areas and the overall Federal–aid Highway Program.

Part 3
FAHP: Implemented and Administered

PROGRAM AREAS
BRIDGE

Program Overview. The SDOT is required to inspect bridges on the National Bridge Inventory at least once every two years.

The bridge program includes four main areas: (1) hydraulics, (2) structures, (3) National Bridge Inspection Program (National Bridge Inspection Standards (NBIS)/National Bridge Inventory), and (4) Bridge Management.

Under the bridge management, 23 USC 144, FHWA is responsible for administering the Highway Bridge Program (HBP). The purpose of the HBP is to replace or rehabilitate public highway bridges over highways, railroads, waterways, or other topographical barriers, when it has been determined that a bridge is deficient because of structural or physical deterioration, or functional obsolescence. Reimbursable scopes of work include:

  • Replacement,
  • Rehabilitation, and
  • Bridge Preventive Maintenance

FHWA is also responsible for administering the National Bridge Inspection Standards (NBIS) and the National Bridge Inventory (NBI). The NBIS requires that all highway bridges carrying public roads over 20 feet in length be inspected.

The NBIS also requires the SDOT to ensure that all public highway bridges within its borders, including county and municipal owned bridges, are inspected in accordance with the NBIS. The SDOT has the responsibility of inspecting all public vehicular bridges within the State, except for those that are federally owned, tribally owned, and bridges not carrying public roads.

All bridges on public roads over 20 feet in length are also required to be listed on the SDOT’s inventory, and their inventory information is to be submitted annually to FHWA to be included in the NBI.

Federal HBP funds may also be used for preventive maintenance for Federal–aid bridges on the National Highway System (with pre–approval by FHWA) based on systematic benefit/cost analyses. Other eligible items include:

  • Seismic retrofits,
  • Scour evaluations, and
  • Scour countermeasures

Other Federal–aid highway funds administered by FHWA may also be used to construct or rehabilitate bridges.

Control Documents —

  • 23 U.S.C. Section 144, Highway Bridge Program
  • 23 U.S.C. Section 151, National Bridge Inspection Program
  • 23 C.F.R. Section 650, Bridges, Structures and Hydraulics
  • AASHTO "LRFD Bridge Design Specifications" is the required standard for all new bridges.

Oversight and Monitoring. The FHWA Wyoming Division Office will:

  • Screen bridges for eligibility for HBP based on the selection list.
  • Review Quarterly reports for bridge critical findings.
  • Perform special process reviews of specific program elements such as hydraulics, geotechnical, design, or construction on a periodic basis.
  • Perform annual reviews to establish compliance with the NBI.
  • Review Bridge Construction Unit costs submittal.
Work Activity Due Frequency Control Documents WYDOT Action FHWA Action Expected Outcome
NBIS Statewide Summary Report 01/01 Annually 23 CFR 650 Subpart C; HQ Memo 07/01/2003 Conducts and manages bridge inspection program Review and comment on report Submit to FHWA HQ HIBT–30 Proper safety inspection and evaluation of all state highway bridges (2011 will be last year for report)
NBI data submittal 04/01 Annually 23 CFR 650.315 Subpart C & D; Annual FHWA memo Prepare and maintain an inventory of all bridges subject to NBIS; submit to FHWA Division Review and verify data information; submit to FHWA HQ HIBT–30 Comprehensive inventory of all bridges subject to NBIS; Selection list of bridges eligible for HBP funding
Bridge Construction Unit Cost Submittal 04/01 Annually 23 CFR 650 Subpart D Annual Memo from HQ Prepare and submit to FHWA Division Review and verify data information; submit to FHWA HQ HIBT–30 Reliable information for determining bridge funding
Highway Bridge Program (HBP) funding eligibility determinations 23 CFR 650 Subpart D Develop bridge projects using the selection list. Make determination on eligibility for the use of HBP funds. Decrease in deficient bridges
Construction Inspections FAPG G 6042.8 Conduct with FHWA Conduct with WYDOT
Bridge Load Posting Submits quarterly report to FHWA on compliance Review Monitoring of NBIS compliance

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Bridge program areas may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

CIVIL RIGHTS

Program Overview. The Civil Rights Program is responsible for ensuring that everyone in the United States, regardless of his or her race, color, national origin, sex, age, disability, or religion shares in the benefits of the transportation investments in our highway programs.

Civil rights laws are comprehensive and complex and extend to every facet of the Federal–aid Highway Program. Moreover, our transportation investments not only help to build needed infrastructure for accessible, multi–modal connectivity, but also result in positive benefits to the general public through employment, contracting, and educational opportunities.

The legislated Civil Rights Programs are complex and unique in that they encompass both internal and external civil rights matters specific to transportation. The FHWA Division Civil Rights Program is responsible for the following external and internal programs:

  1. Title VI (including Executive Orders on Environmental Justice and Limited English Proficiency)
  2. Section 504 of the Rehabilitation Act of 1973, as amended
  3. Americans with Disabilities Act (ADA) of 1990
  4. Disadvantaged Business Enterprises (DBE)
  5. On–the–Job Training (OJT)
  6. State Internal Equal Employment Opportunity (EEO, Title VII)
  7. Tribal Employment Rights Office (TERO)
  8. EEO Contractor Compliance
  9. Supportive Services

Federal law establishes the State as responsible for nondiscrimination as the recipient of Federal–aid. If projects are managed by a sub–recipient, the SDOT must ensure that the sub–recipient is qualified and equipped to perform the work. If sub–recipients are involved, the SDOT is obligated to ensure nondiscrimination in all programs and activities, and in the provisions of all services and benefits, as a basis for continued receipt of FHWA funds. The SDOT can delegate the activity, but cannot delegate the responsibility.

The responsibility for approving the core basic State Civil Rights Program documents and determining whether their implementation is in compliance with law and regulation rests with FHWA. Based on current US Department of Justice and US Department of Transportation regulations, FHWA has been delegated enforcement authority under the Americans with Disability Act (ADA) and is required to monitor the compliance of the self–evaluation and Transition Plan of Federal–aid recipients. ADA Transition Plans will be monitored as part of FHWA oversight of program access, generally beyond a project specific requirement. Most public agencies are covered by both ADA and Section 504, since any amount of Federal money accepted by a public entity requires the entire program to be accessible to persons with disabilities.

Tribal Governments — The SDOT will require contractors to work with the Tribal Employment Rights Office (TERO) for hiring non–core workers on Federal–aid projects or portions of Federal–aid projects on or near boundaries of a reservation. The SDOT will negotiate with tribal officials to address TERO fees and regulations that the department will enforce while the contractor is working on or near a reservation.

Control Documents —

  • 23 U.S.C. and Title 23 C.F.R., Civil Rights Special Provisions & Contract Administration Provisions: The provisions of this Agreement do not modify FHWA’s non–Title 23 USC program oversight and project approval responsibilities for activities such as required by the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970, and the Civil Rights Act of 1964 and related statutes, unless expressly permitted by SAFETEA–LU Sections 6004 and 6005. These include: Civil Rights Act of 1964; Americans with Disability Act of 1990; Civil Rights Restoration Act of 1987; Executive Order 12898; Section 504 of the Vocational Rehabilitation Act of 1973; and various parts of Title 49 C.F.R.

Oversight and Monitoring. The purpose of FHWA oversight is to monitor the implementation and effectiveness of WYDOT’s Civil Rights Office program areas that include internal affirmative action/equal employment opportunity, contract compliance, small business development, Disadvantaged Business Enterprise (DBE), Americans with Disabilities Act (ADA) and the Title VI Compliance Programs. FHWA will be an advocate of the civil rights program and provide training, technical assistance, and active participation in WYDOT initiated civil rights meetings and review activities. Title 23 U.S.C. outlines specific information that must be available for the review and analysis by the United States Comptroller General in their efforts to determine the impact of administering the DBE program. In order to satisfy these requirements, SDOTs are required to maintain a bidder’s list and to collect and report DBE commitment and achievement data as well as actual payments to DBEs to FHWA Division Offices, semi–annually. FHWA will review and approve WYDOT’s programs on an ongoing basis through process, quality assurance, and program reviews, and through active participation in continuous program evaluation and improvement. In addition, FHWA will monitor civil rights activities on a program–wide basis and in conjunction with management reviews in other various disciplines (planning, environment, right–of–way, design, consultant contracting, etc.). Appropriate FHWA representatives will actively participate in WYDOT initiated reviews, task forces, and other civil rights initiatives upon request and to the extent feasible. Finally, FHWA will analyze civil rights reports submitted by WYDOT to help identify trends and provide feedback and recommendations for improvement to WYDOT.

Work Activity Due Frequency Control Document WYDOT Action FHWA Action Expected Outcome
Report on Supportive Services (On–the–Job–Training [OJT]) 01/15 Quarterly (for DBE) Annually for OJT 23 CFR 230.121(e); 23 CFR 230.111, 113 Prepare and submit to FHWA Division Only Annual reports are sent to HQ HCR–20 for approval information Only applies if OJT/SS funding was received.
Report on Supportive Services (DBE) 01/30 Quarterly (for DBE) Annually for OJT 23 CFR 230.121(e); 23 CFR 230.111, 113 Prepare and submit to FHWA Division Only Annual reports are sent to HQ HCR–20 for approval information Only applies if OJT/SS funding was received.
OJT Goals & Accomplishments 01/30 Annually 23 CFR 230.111(b) Only applies if OJT/SS funding was received.
Report on Supportive Services (On–the–Job–Training (DBE)) 04/30 Quarterly (for DBE) Annually for OJT 23 CFR 230.121(e); 23 CFR 230.111, 113 Prepare and submit to FHWA Division Only Annual reports are sent to HQ HCR–20 for approval information Increase the overall effectiveness of training programs. Only applies if OJT/SS funding was received.
Disadvantaged Business Enterprise (DBE) Awards & Commitment 06/01 & 12/01 Semiannually 49 CFR 26 Appendix B Prepare and submit to FHWA Division Recommendation sent to HQ HCR–20 for approval information A nondiscrimination in the award and administration of DOT–assisted contracts; to remedy past and current discrimination against disadvantaged business; a "level playing field" in which DBEs can compete fairly for DOT–assisted contracts.
Report on Supportive Services (On–the–Job–Training (DBE)) 07/30 Quarterly (for DBE) Annually for OJT 23 CFR 230.121(e); 23 CFR 230.111, 113 Prepare and submit to FHWA Division Only Annual reports are sent to HQ HCR–20 for approval information Only applies if DBE/SS funding was received.
State DBE Program Goals 08/01 Every 3–years 49 CFR 26.45(f)(1); Annual Procedures Memo from HQ Prepare and submit to FHWA Division Review and create explanation of approval, forward for legal review. Upon legal sufficiency, send formal approval letter to WYDOT, and forward a copy of all correspondence to HCR for info.
State Employment Practices Report (EEO–4) 08/15 Annually 23 CFR 309 & 311(a)(1) Prepare and submit to FHWA Division Report sent to HQ HCR quarterly for informational purposes and recommendation sent to HQ HCR annually for approval Internal State equal employment opportunities
Annual Contractor Employment Report (Construction Summary of Employment Data (Form PR–1392) 09/15 Annually 23 CFR 230.121(a) Prepare and submit to FHWA Division Copy sent to HQ HCR Available EEO data to submit to U.S. Senate Committee on Public Works
State Internal EEO Affirmative Action Plan, Plan Updates (Title VII), Accomplishments and Goals 10/01 Annually Submit as necessary 23 CFR 230.311 Prepare and submit to FHWA Division Courtesy copy to HQ HCR State assurances in accordance with Title VI
Title VI Plan, Accomplishments, Updates and Next Year’s Goals 10/01 Annually. Accomplishments can be addressed, however goals are restricted by the State personnel process. 23 CFR 200.9(b)(11) Prepare and submit to FHWA Division Courtesy copy to HQ HCR–1 State assurances in accordance with Title VI
Contractor Compliance Review Reports Within 15 days of compliance review As accomplished 23 CFR 230.413 Prepare and submit to FHWA Division Division office must concur within 15 days after receipt of compliance review report. Contractors are meeting or exceeding utilization of minorities and women, have an approved training plan, and have trainees in adequate numbers.
Report on Supportive Services (On–the–Job–Training (DBE)) 10/30 Quarterly (for DBE) Annually for OJT 23 CFR 230.121(e); 23 CFR 230.111, 113 Prepare and submit to FHWA Division Only Annual reports are sent to HQ for approval information Only applies if OJT/SS funding was received.
Americans with Disabilities Act Complaint Reviews As requested As requested Executive Order 11246 N/A Conduct evaluation & mediate for correction If no resolution reached, remand to HQ HCR w/report Contractors meet contractual equal opportunities requirements under E.O. 11246, and 23 U.S.C

Performance Measures – A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Civil Rights program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

CONSTRUCTION

Program Overview. 23 USC 101 (a)(3) defines the term "construction" as the supervising, inspecting, actual building, and incurrence of all costs incidental to the construction or reconstruction of a highway.

FHWA must be able to assure Congress and the American public that Federal–aid highway construction funds are expended in accordance with laws, regulations, and policies and that the public is getting a quality product. Accountability resides with the Division Administrator. Assurance can only be made when the Division Office has, as part of the stewardship programs, adequate construction involvement to be familiar with the construction program and its delivery.

By inference from 23 USC 114, FHWA has oversight responsibility for Federal–aid construction work: "The construction of any highways or portions of highways located on the Federal–aid system shall be undertaken by the respective State transportation departments or under their direct supervision…such construction shall be subject to the inspection and approval of the Secretary." The primary purpose of FHWA review and administration in construction is to protect the public investment, assure effective quality controls, and to verify that the project is completed in accordance with the plans, specifications, and special provisions.

A fundamental component of construction program management is contract administration and construction quality. Contract administration is broadly defined as taking a PS&E and producing a desired end product. Construction quality management involves traditional quality assurance measures employed to control and verify construction, material, and product quality. It also encompasses broader topics of continuous quality improvement such as optimization of decision–making processes, innovative contracting practices for enhancing quality, performance feedback mechanisms, and specification improvements and design refinements.

Quality construction is critical to the construction program. Completed construction projects represent tangible products by which the public measures the success of the SDOT in delivering its program objectives. The public ultimately defines the success of construction projects based on the level of delivered quality, which may include a variety of issues such as safety characteristics, operational efficiency during and after construction, materials quality and long–term durability, and financial value. The proper use and knowledge of effective construction quality management applications, at the program and the project level, can provide FHWA with confidence that completed Federally funded construction work meets the above objectives for success.

FHWA is required to assure compliance with Federal–aid contract provisions on all projects that utilize Federal–aid funds. Federal responsibility includes assurance that specific procedures are followed in the advertisement and award of Federal–aid contracts. FHWA specific contract administration responsibilities in accordance with Federal law include (but are not limited to) competitive bidding, contract awards, and project authorization.

Federal regulations allow the delegation of FHWA construction review, oversight and administration responsibilities, except those based on non–Title 23 USC Federal requirements. FHWA specific construction monitoring responsibilities include partnership in the following areas (but not limited to) contract claims, change orders, and liquidated damages.

Control Documents —

  • 23 U.S.C. Sections 101, 106, 114, 121 apply to all Federally funded projects
  • 23 C.F.R. Sections 635, 637 apply to all Federally funded projects
  • FHWA Technical Advisory 5080.4 (TA 5080.4), Preparing Engineer’s Estimate and Reviewing Bids

Oversight and Monitoring. FHWA Division Office will:

  • Evaluate WYDOT and local agencies’ transportation construction programs, including their procedures and controls to assure transportation improvements are constructed in accordance with approved standards and acceptable contracting methods.
  • FHWA will conduct routine project and final inspections on all NHS non–delegated projects.
  • For all other Federal–aid projects, FHWA may conduct inspections, including final inspections, on a statewide sampling basis.

WYDOT will:

  • Provide a final report on completed projects.
  • Provide a Materials Certification on all completed projects.

Project Approval Action Responsibilities Matrix. The specific roles and responsibilities on approval and oversight on all projects for FHWA and WYDOT are outlined in the "Project Approval Action Responsibilities Matrix" (see appendix).

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Construction program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

DESIGN

Program Overview. Project design is a phase of project development that begins in the planning stage, occurs through the environmental stage, and comes to completion with approval of the PS&E.

To increase involvement and input in early project planning and scoping, the FHWA Division participates in District Needs Tours and Reconnaissance Inspections on non–delegated projects. This allows FHWA to get a better understanding of early conceptual project planning and design considerations, and to participate in that transition zone between the transportation planning process and the earliest stage of project development. It will also provide FHWA an opportunity for early input into the design considerations/parameters based on identified planning and environmental issues. This process will tie in with the long–range planning and management systems as a means of selecting projects. This is considered an important step toward improving the partnership association and cooperation in joint stewardship.

Periodic in–depth reviews may be undertaken by FHWA, or by both FHWA and WYDOT. These reviews will be scheduled as part of the FHWA annual work plan following discussions with WYDOT. Such reviews may focus on design standards, as well as design exceptions, that the SDOT has executed. Other elements, such as pavements, structures, safety, materials, construction zone signing, and utilities, may be selected for review. In addition, the SDOT’s internal plan development and review process could be included.

Generally, non NHS projects are not subject to FHWA oversight in the project–level design process. The FHWA Division Office conducts limited checks for eligibility, and limits involvement in project–level design to issues directly related to environmental determinations and provides response to WYDOT requests for technical assistance.

Control Documents —

  • AASHTO "A Policy on Geometric Design of Highways and Streets" is the required standard for multi–lane limited access NHS facilities.
  • AASHTO "A Policy on Design Standards for the Interstate System" is the required standard for Interstate facilities.
  • 23 U.S.C. Sections 101–104, 106, 109–116, 123, 127–130, 137, 138, 144, 215, 306, 308, 311, 315, 319, 320
  • 23 C.F.R. Part 625 Design Standards for Highways
  • 23 C.F.R. 626 Pavement Policy
  • 23 C.F.R. 627 Value Engineering
  • 23 C.F.R. 630 Pre–construction Procedures
  • 23 C.F.R. 636 Design–Build
  • 23 C.F.R. 637 Quality Assurance Procedures for Construction
  • 23 C.F.R. 645 Utilities
  • 23 C.F.R. 646 Railroads
  • 23 C.F.R. 650 Bridges
  • 23 C.F.R. 652 Pedestrian and Bicycle Accommodations and Projects
  • 23 C.F.R. 655 Traffic Operations, Manual on Uniform Traffic Control Devices (MUTCD)
  • 23 C.F.R. 658 Truck Size and Weight, Route Restrictions — Length, Width and Weight Limitations
  • 23 C.F.R. 750 Highway Beautification
  • 23 C.F.R. 752 Landscape and Roadside Development
  • 33 C.F.R. 401 Construction of Bridges, Causeways, Dams or Dikes Generally; Exceptions
  • 33 C.F.R. 511–524 Alteration of Bridges

Oversight and Monitoring. The overall purpose of monitoring the design program is to establish procedures for assuring that projects are designed in accordance with applicable rules and regulations. It is FHWA policy that FHWA personnel make sufficient reviews of Federal–aid highway projects to assure that they are designed in accordance with applicable standards and in consideration of appropriate cost–effectiveness strategies. All full oversight projects will be monitored through the use of individual project approval actions and project design reviews. All other monitoring of design will primarily be done on a program–wide basis using process review procedures.

The monitoring of delegated (non–full oversight) projects to WYDOT will include the review of a sufficient number of project designs to assure projects are constructed in accordance with applicable rules and regulations. Design and operation reviews of a sample of completed Federal–aid projects will be made to assure the adequacy of current design practice.

FHWA Full Oversight (Non Delegated NHS Projects – Interstate: 4R, 3R; Non–Interstate: 4R, 3R). There are three types of design reviews that will be undertaken by FHWA for full oversight projects.

  1. Reconnaissance Inspections: The purpose of this inspection is to develop the scope of a project, set the type of environmental document required, and identify any required/needed studies. Early involvement maximizes FHWA’s ability to participate in WYDOT design decisions where FHWA engineers will be able to determine when major, complex, or unusual design features are involved and whether onsite field inspection and/or a higher level of expertise on specific issues is required.
  2. Plan Development Inspections: These inspections follow WYDOT’s plan development flowchart and include Preliminary Plan, Grading, ROW and Engineering, ROW and Utility, and Final Plan inspections.
  3. Plans, Specifications and Estimates (PS&SE) Reviews: These are the last reviews in the preparation of project documents, allowing project authorization to take place. The reviews may utilize a checklist approach and should generally not involve a design review.

Delegated Projects to WYDOT. In those instances where WYDOT has been delegated the authority to act for FHWA in design monitoring, a similar type of program of independent reviews may be conducted.

Project Approval Action Responsibilities Matrix. The specific roles and responsibilities on approval and oversight on all projects for FHWA and WYDOT are outlined in the "Project Approval Action Responsibilities Matrix" (see appendix).

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Design program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

EMERGENCY RELIEF (Projects)

Program Overview. The Emergency Relief (ER) program uses allocated funds for the repair or reconstruction of Federal–aid highways that have suffered serious damage as a result of (1) natural disasters or (2) catastrophic failures from an external cause. This program supplements the commitment of resources by States, their political subdivisions, or other Federal agencies to help pay for unusually high expenses resulting from extraordinary conditions.

ER funds are not intended to cover all damage repair costs nor interim emergency repair costs that will restore the facility to pre–disaster conditions. Disasters must be of such magnitude as to be considered extraordinary to be considered for ER funding. To be considered extraordinary, the estimated Federal portion of the damage must meet a combined threshold of $700,000. Individual sites must reach a threshold of $5,000 in total cost to be eligible. This threshold is to distinguish a qualifying disaster site from maintenance.

Control Documents —

  • 23 USC 125
  • 23 CFR 668
  • FHWA Emergency Relief Manual

Oversight and Monitoring.

  • The FHWA will inspect separately or co–inspect with WYDOT a sample of the damage sites during the development of the disaster estimate.
  • FHWA will conduct final inspections of ER projects that it determines to be full oversight.
  • FHWA may conduct final inspection of additional ER projects on a sample or random basis.
Work Activity WYDOT Action FHWA Action Expected Outcome
Request ER funding assistance/request Letter of intent to seek ER funds for each natural disaster or catastrophic event, as soon as it is evident that there may be eligible damage. (See FHWA Emergency Relief Manual for sequence of events.) Initiates ER assistance
Letter of acknowledgement Respond to written requests with a letter of acknowledgement (within three working days) and brief instructions on how to proceed. A letter of acknowledgement which:
  • Establishes a beginning date of potential eligibility for immediate emergency repairs,
  • describe protective measures that must be undertaken immediately,
  • Express repairs are categorically excluded from NEPA by definition,
  • States contracts to do emergency repair may be accomplished through abbreviated procedures, but care should be taken to include applicable Federal–aid requirements.
Site Inspection Conducts inspection of a site that has suffered serious damage as a result of (1) natural disasters or (2) catastrophic failures from an external cause. Provides data for support for ER request funding through Damage Survey Summary Report
Damage Survey Summary Report Prepares a Damage Survey Summary Report, with associated estimates of cost within 4–6 weeks of event. Submits report to FHWA in support of the request for ER funding. Responds to the report with a determination of ER eligibility within 10 working days.
  • A list of sites outlined in the report which constitutes a program of projects which is required prior to authorization of permanent repairs.
  • Which projects are to be considered Full Oversight by FHWA and which projects may proceed under delegated authority.
  • Identify which project Federal–aid oversight procedures will apply
  • projects that do not fall into the ER category of work, and may need work immediately to protect the facility from further damage or keep the route open for the safe flow of traffic (first response type work) and will require environmental approval by FHWA. See Chapter G, Environment.
ENVIRONMENT

Program Overview. Before any project can move forward to construction, FHWA and the SDOT must address and comply with laws related to the environment. These laws cover social, economic, and environmental concerns ranging from community cohesion to threatened and endangered species. Transportation planning and project development should consider the desires of communities, and take into account the impacts on both the natural and human environments. Transportation projects are closely looked at to see how they might impact the community, the natural environment, and our health and welfare. To get through this detailed process, the SDOT, FHWA, and FTA use the National Environmental Policy Act (NEPA) process to evaluate impacts associated with each individual project.

The FHWA Division Office will work with the SDOT to produce good decision documents that identify all substantial impacts and also minimize those impacts to the natural and man–made environment. The Environment Program is committed to protecting and preserving the environment through good working relationships with resource agencies, more meaningful consideration of environmental and community issues in planning decisions, and the adoption of regional approaches to mitigation. Through stewardship, the SDOT and FHWA Division Office have made substantial contributions to the environment and to communities through planning and programs that support wetland mitigation, habitat restoration, historic preservation, protection of 4(f) resources, bicycle and pedestrian facilities, context–sensitive solutions (CSS), wildlife crossings, and more.

FHWA will take the lead in coordinating with other Federal agencies. For all projects that require an action be taken by FHWA, FHWA Division Office and the SDOT will work together to ensure compliance with NEPA and other applicable laws before an alternative is selected (location/design approval). The level of involvement is commensurate with the level of the environmental impacts, controversy or project complexity.

Control Documents —

  • Title 1, Clean Air Act
  • Section 404 of the Clean Water Act
  • Section 7 of the Endangered Species Act
  • National Environmental Policy Act, 42 USC 4321–4347, as amended (P.L. 91–190), (P.L. 94–83)
  • 49 USC 303 and 23 USC 138, Section 4(f) and 6(f)
  • 23 USC 109 (h), FHWA Environmental Guidelines
  • 12 USC 128 and 23 CFR 140, Public Hearings/Public Involvement
  • 23 CFR 771, 772, 774, and 777, FHWA Environmental Regulations
  • 36 CFR 800 Section 106 of the National Historic Preservation Act
  • 40 CFR 1500, Council on Environmental Quality
  • Executive Order 11514, Protection and Enhancement of Environmental Quality, as amended by Executive Order 11991
  • Executive Order 11990, Protection of Wetlands
  • Executive Order 12898, Environmental Justice

Oversight and Monitoring. FHWA will monitor compliance with Federal environmental requirements through project–by–project approval actions, and may occasionally monitor implementation. Additional monitoring may be done on a program–wide basis using Process Reviews. Monitoring will also be accomplished through participation with WYDOT in Quality Assurance Reviews.

Environmental Process Actions and Review Timeframes
Work Activity Due Frequency Control Documents WYDOT Action FHWA Action Expected Outcome
Cooperating Agency Status Report 01/01 Annually CEQ Requirement – 2002 Memorandum to Federal Agencies N/A Provide CEQ update on agencies that have been requested to be cooperating agencies in the environmental review process and acceptance/declination. Submit to HEPE
Section 4(f) DeMinimis 01/01 04/01 07/01 10/01 Quarterly SAFETEA–LU Section 6009 N/A Submit to HEPE Environmental mitigation measures is part of the NEPA process; no action is required by 771.105(d).
Endangered Species Act Cost Report 03/01 Annually Prepare and submit to FHWA Division Forward to HEPN–30
Exemplary Ecosystem Initiatives Applications 04/01 Annually N/A Prepare and submit to HEPN–30
Environmental Excellence Awards Nominations 04/22 Annually HQ Memo Soliciting Applications N/A Prepare and submit to HEPN–30
Wetland Performance Data 09/01 Annually Prepare and submit to HEPN–30
National Noise Barrier Inventory 11/01 Every 3 years Coordinate w/FHWA Division Forward to HEPN–20
Noise Policy As requested As requested HQ Memo – July 2010
SAFETEA–LU 6009 Implementation Quarterly Quarterly (Calendar Year – Jan, Apr, Jul, Oct) 23 USC 138(b) N/A Monitor implementation of new Section 4(f) provisions, specifically projects determined to have de minimis impacts. Submit to HEPE.
EIS Status Updates Quarterly Quarterly (Fiscal Year – Oct, Jan, Apr, Jul) FHWA Strategic Goal – EIS Timeliness N/A Monitor time required to complete EIS’s. Determine projects which have exceeded recommended timeline (3 years). Identify projects which should be listed as dormant. Submit to HEPE.
Programmatic Categorical Exclusion (CE) Prepare and Approve Periodic Review Approved CE
CE Prepare and submit to FHWA for approval Approve CE (14 working days) Approved CE
Administrative Draft Environmental Assessment (EA) Prepare and submit to FHWA for comment Review and Comment (21 working days) Comments
EA Prepare, sign and submit to FHWA for approval Approve EA for circulation or return for revision (14 working days) Approved EA or instructions for revision
Finding of No Significant Impact (FONSI) Prepare FONSI request including findings of facts and conclusions and submit to FHWA Prepare and Issue FONSI or notify WYDOT of need for EIS (14 working days) FONSI or consider NOI
Notice of Intent (NOI) Prepare Draft Notice of Intent and forward to FHWA Review and revise NOI and publish in the Federal Register (21 working days) Published NOI in the Federal Register
Cooperating Agency Request Letters Prepare draft request letters Review, revise and distribute request letters (14 working days) Cooperating Agency identified and contacted in writing.
Administrative Draft Environmental Impact Statement (DEIS) Prepare and submit to FHWA for review Review and comment (30 calendar days) Written comments
DEIS Prepare, sign, and submit to FHWA for approval Approve DEIS or return for revision (21 working days) DEIS or instructions for revision
Administrative Draft Final Environmental Impact Statement (FEIS) Prepare and submit to FHWA for review Review and comment (45 working days) Written Comments
FEIS Legal Sufficiency Prepare and submit to FHWA for review Request Legal Sufficiency review (10 working days) FEIS Legal Sufficiency
FEIS Prepare, sign, and submit to FHWA for approval Approve FEIS or return for revision (21 working days) FEIS or instructions for revision
Record of Decision (ROD) Prepare a Draft ROD and submit to FHWA Review, Revise, and Issue ROD (30 working days) ROD
Programmatic Section 4(f) Evaluation Prepare and submit for FHWA approval Approve Programmatic Section 4(f) Evaluation or return for revision (14 working days Approved Section 4(f) Evaluation or instructions for revision
Administrative Draft Section 4(f) Evaluation Prepare and submit to FHWA for review Review and comment (14 working days) Comments
Section 4(f) Legal Sufficiency Prepare and submit to FHWA for review Request Legal Sufficiency review (10 working days) Section 4(f) Legal Sufficiency
Final Section 4(f) Evaluation Prepare and submit for FHWA approval Review and approve or return for revision (14 working days) Final Section 4(f) Evaluation or instructions for revision
Section 106 Effect Determination Prepare and submit to FHWA for Determination Make determination and forward to the State Historic Preservation Office (SHPO) (14 working days) Effect Determination
Section 106 Memorandum of Agreement (MOA) Negotiate and execute MOA with WYDOT, SHPO and FHWA Sign MOA or return for revision (14 working days) Executed Section 106 MOA or instructions for revision
Administrative Draft written Re–evaluation Prepare and submit to FHWA for review Review and comment (30 working days) Comments
Written Re–evaluation Prepare and submit to FHWA for approval Approve Re–evaluation or return for revision (14 working days) Re–evaluation or instructions for revision

Project Approval Action Responsibilities Matrix. The specific roles and responsibilities on approval and oversight on all projects for FHWA and WYDOT are outlined in the "Project Approval Action Responsibilities Matrix" (See appendix).

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Environmental program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

FINANCE MANAGEMENT PROGRAM

Program Overview. The FHWA Division Finance Program is responsible for the financial elements of the Federal–aid highway trust fund, funding solutions at program and/or project levels, and quality financial management initiatives.

FHWA has implemented the Financial Integrity Review and Evaluation (FIRE) Program (FHWA Order 4560.1a) that requires each FHWA Division Office to establish an effective oversight program to ensure that Federal–aid funds are properly managed and effectively used in accordance with Federal policies, and that safeguards are in place to minimize fraud, waste, and abuse. The FIRE Program is a review and oversight program that each FHWA Division Office is required to perform in support of FHWA’s annual certification of internal and financial controls to support the financial statements. In addition, the FIRE program ensures that proper internal controls are established and followed, with objectivity and a separation of financial duties in conducting the Agency’s day–to–day operations.

The FHWA Division’s Financial Management is responsible for completing the FIRE activities on an annual basis. The SDOT conducts various audits (involving respective program staff, as applicable) to ensure compliance, economy, effectiveness, efficiency, and the proper use of Federal–aid funds.

The Fiscal Management Information System (FMIS) is FHWA’s major financial information system for tracking Federal–aid highway projects on a project–by–project basis. It contains data related to all highway projects financed with Federal–aid highway funds. FHWA uses this information for planning and executing program activities, evaluating program performance, and depicting financial trends and requirements related to current and future funding. The data integrity of FMIS is completely dependent upon the quality of the information entered into the system; accordingly, project related actions must be reported both promptly and accurately as project activities are authorized and advanced. Electronic data sharing allows the SDOT to transmit FMIS data electronically and FHWA to review and electronically approve the data. This process provides faster approvals and better control of funds. Both the SDOT and FHWA have the ability to access FMIS information to obtain current funding and project related reports.

Financial Control Documents —

  • Title 23 — U.S.C. Highways
  • Title 23 — C.F.R.
  • OMB Circular A–133, Single Audit Act of 1984
  • OMB Circular A–87, Cost Principles for State, Local and Indian Tribal Governments
  • OMB Circular — A–102, Grants and Cooperative Agreements with State and Local Governments
  • Title 49 — C.F.R.; 49 C.F.R. Part 18, Uniform Administrative Requirements for Grants and Cooperative agreements to State and Local Governments, commonly referred to as the "Common Rule"
  • Cash Management Improvement Act of 1990
  • FHWA Order 4560.1a, Financial Integrity Review and Evaluation (FIRE) Program, dated May 19, 2006
  • OMB Circular A–123, Management Accountability and Control
  • Department of Transportation (DOT) Order 8000.1C, Office of Inspector General Audit and Investigation Report Findings, Recommendations, and Follow–up Action, dated July 20, 1989
  • Improper Payments Information Act of 2002
  • Fiscal Management Information System (FMIS) Interface Connection Security Agreement, dated February 7, 2003
  • Rapid Approval and State Payment System (RASPS) Interface Connection Security Agreement, dated January 29, 2003
  • Cash Management Improvement Act Agreement

Oversight and Monitoring. In accordance with the FIRE Program, FHWA will conduct financial management oversight to ensure and certify that Federal funds are properly managed and effectively used in accordance with Federal laws, regulations, and policies; and, that safeguards are in place to minimize fraud, waste and abuse.

FHWA will monitor all financial management and accounting activities primarily through daily contact and program level process reviews. Reviews will encompass both WYDOT and local agencies. Through day–to–day contact with WYDOT personnel, FHWA will provide guidance and technical assistance in such areas as fiscal document processing, financial management, and reimbursement issues. Input will be provided to WYDOT auditors during the development of audit plans. Risk assessment techniques will be used where appropriate to determine areas for review.

Financial Management Program Summary Table
Work Activity WYDOT Action FHWA Action Expected Outcome
Current Billing Submits electronic request via RASPS for federal reimbursement as often as desired in coordination with FHWA Division Financial Management reviews electronically within 2 business days of receipt or as coordinated with FHWA Electronic Financial Transfer (EFT) payment posted to WYDOT’s account
Project Authorization/Agreement Submits electronic authorization request via FMIS. Division Financial Management reviews project agreement in accordance with current standard operating procedure for eligibility and electronically approves FMIS authorization to obligate funds Electronic approval of project agreement
Transfer of Funds between categories and between agencies utilizing forms FHWA–1575 and FHWA–1576. Review and recommend approval of transfer request to FHWA/FTA. FHWA reviews, approves, and forwards funds transfer request to appropriate HQ personnel to adjust funding records. Funds transferred as requested and determined eligible.
Project Funds Management/Monitoring of Inactive Obligations Compliance with Final Rule, 23 C.F.R. Part 630. Review inactive projects for potential release of funds Review balance of unexpended obligations on inactive projects Balance of unexpended obligations on inactive projects at or below 5% of annual apportionments
OMB A–133 Audits Assure that audit findings relating to Transportation are resolved. Approve action plan and confirm resolution of single audit findings reported to the Federal Clearing House Audit findings are resolved timely.
Other Audits Findings Assure that audit findings relating to Transportation are resolved. Monitor activities to ensure that corrective actions are taken. Audit findings are resolved timely.
Improper Payments Assure that adequate controls are in place to detect improper payments Conduct review of billing transactions in accordance with the FIRE program. Improper payments detected. Only allowable costs billed.
Process Reviews Assure that findings are resolved. Monitor activities to ensure that corrective actions are taken. Findings are resolved timely.
Project close out Completes finals process and submits request to close out projects using established procedures. Close out projects when complete Projects closed out timely.

Project Approval Action Responsibilities Matrix. The specific roles and responsibilities on approval and oversight on all projects for FHWA and WYDOT are outlined in the "Project Approval Action Responsibilities Matrix" (See appendix).

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Design program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

Intelligent Transportation Systems (ITS)

Program Overview. The ITS program improves transportation safety and mobility through the integration of advanced communications technologies into the transportation infrastructure and in vehicles.

Two of the ITS components employed in Wyoming are: traveler information system (511 and WyoRoad Information), and Dynamic Message Signs. The 511 is an easy to remember 3–digit telephone number, available nationwide, that provides current information about travel conditions allowing travelers to make better choices – choice of time, choice of mode of transportation, and choice of route.

Dynamic Message Signs (DMS) are also used to inform motorists of any incidents that occur on Wyoming highways, and is one of the tools used by Wyoming Transportation Management Centers (TMC). Dynamic Message Signs are also used to vary the speed limit during poor weather conditions.

WYDOT works cooperatively with FHWA to take a lead role in development of Intelligent Transportation Systems (ITS) initiatives in Wyoming and actively pursues ITS deployment, integration, research, and operational testing. WYDOT has an established multi–disciplinary ITS Statewide Committee, of which FHWA is a member, to provide a technical screening and ITS oversight function as well as lead WYDOT efforts in managing an ITS Strategic Plan and a Statewide ITS Architecture.

WYDOT and FHWA work cooperatively with the two Metropolitan Planning Organizations (MPOs) in Wyoming to promote ITS planning and integration of ITS at the local level. WYDOT and FHWA also work cooperatively to assure that ITS projects are consistent with the National ITS Architecture and standards.

Control Documents —

  • 23 C.F.R. Section 940, ITS Architecture & Standards
  • 23 C.F.R. Section 655, Traffic Operations, Traffic Control Devices

Oversight and Monitoring. Individual project monitoring activities are included in the design and construction sections of this agreement. Program–wide process reviews will also be utilized to assess the ITS program.

Work Activity WYDOT Action FHWA Action Expected Outcome
Systems Engineering Analysis Report Prepare/review and Submit to FHWA Full Federal Oversight Jobs:
Approve (10 days)
State Administered Jobs: Review
Analysis report, documented decisions, and communication between devices.
Regional ITS Architectures (All) Prepare and Approve Ready for use Concurrence as Ready for Use (45 days) Regional ITS Architecture
Update of Regional ITS Architecture (All) Prepare and Approve Ready for Use Concurrence (14 days) Updated Regional ITS Architecture
Traffic Incident Reporting Notify the Public and FHWA of major events that impede traffic as soon as practical. Notify FHWA HQ of major events when required. Good public relations

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Design program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

LOCAL PUBLIC AGENCY PROJECTS

Program Overview. As with all grant programs, when a grantee (recipient) passes Federal funds through to a subgrantee (subrecipient) to carry out a project, it is the responsibility of the grantee to ensure that the subgrantee is aware of all Federal laws and regulations that apply to the project and that the subgrantee complies with them. In the case of the Federal–aid highway program, the SDOT is generally the recipient of Federal–aid funds and is responsible for ensuring that subrecipients (e.g., local governments, Metropolitan Planning Organizations (MPOs), universities, non–profit entities, etc.) comply with the applicable Federal laws and regulations.

The SDOT is responsible for the requirements of the Federal–aid program, whether these requirements stem from Title 23, or other laws and regulations. Since Title 23 U.S.C. does not recognize local entities as direct recipients of Federal–aid funds, local agencies cannot take the place of the SDOT in the context of the Federal–aid highway program. Although the SDOT cannot delegate responsibility, activities can be delegated and the local entities held accountable to the SDOT. When activities are delegated to local agencies, the SDOT will assure local compliance with the requirements of Federal laws. The FHWA will work in partnership with the SDOT on these reviews and assurance actions. The SDOT may, at the request of a local public agency, consider requests to approve the use of local standards plans and specifications and local procedures for projects administered by the local public agency.

The SFOT is permitted under Federal regulation 23 CFR 1.11 and 23 CFR 635.105 to delegate certain activities under its supervision to local agencies (cities, counties, MPOs, or other State/Federal agencies) for projects not located on the NHS. The SDOT and FHWA reserve the right to permit a Local Public Agency (LPA) to complete a project located on the NHS. If a LPA agency is allowed to complete a capacity–type project on the NHS, they will follow the processes and procedures identified in this agreement for NHS projects. Delegation on the Interstate is highly discouraged and considered only on a case by case basis.

Non–NHS projects administered through the SDOT will be designed, constructed, operated, and maintained in accordance with State or local laws, regulations, directives, safety standards, design standards, and construction standards. Title 23 U.S.C. requirements that are applicable to all Federal–aid projects include, but are not limited to, transportation planning, procurement of professional services, Davis–Bacon wage rates, advertising for bids, award of contracts, use of convict–produced materials, and Buy America Act provisions. All delegated projects must comply with applicable Federal requirements.

An agreement will be executed between the SDOT and the LPA outlining the responsibility of each party. The responsibilities outlined include, but are not limited to:

  • Environmental studies (except environmental approval)
  • Procurement of consultant services
  • Preliminary design
  • Final design
  • Surveying
  • Right–of–Way engineering
  • Right–of–Way appraisal
  • Right–of–Way acquisition
  • Right–of–Way relocation
  • Right–of–Way demolition
  • Work by local forces or utility companies
  • Preparation of plans, specifications, and estimates
  • Preparation of bid proposal package
  • Advertisement for letting
  • Contracting
  • Contract administration
  • Inspection

Under the Local Public Agency (LPA) Program, the SDOT delegates the design and environmental study activities, as well as contract administration and inspection to the local public agency. However, FHWA approves all environmental documents since this cannot be delegated as a non–Title 23 action. The LPA is responsible for making payment to the contractor.

The SDOT will determine if the LPA is qualified, adequately staffed, and able to administer the project before delegating all or a portion of a project. The SDOT will review each request on a case–by–case basis.

The SDOT retains its responsibilities under Federal laws and regulations for delegated activities. The SDOT will provide the necessary processes, approvals, oversight, and review to ensure delegated projects receive adequate supervision and inspection, and are completed in conformance with approved plans and specifications and applicable Federal requirements. As resources allow, the SDOT will offer training, advice, or other assistance as may be needed by an LPA to aid it in successfully completing its Federal–aid project.

The SDOT retains responsibility for the following:

  • NEPA review
  • Design review
  • Design Exception approval
  • Establishing DBE Goals
  • Construction oversight
  • Final Inspection and Acceptance
  • Project Audit
  • Providing Right–of–Way and Environmental Certifications to FHWA

Control Documents —

  • 23 USC 106
  • 23 USC 109
  • 23 CCFR 1.11
  • 23 CFR 635

Program Approval Actions. To the extent permitted in 23 USC 109, non–NHS projects administered through WYDOT will follow State or local laws, rules, and standards for State–aid funded projects, in lieu of Title 23 requirements.

Local public agency Federal–aid projects will comply with the oversight requirements found elsewhere in this agreement, summarized as follows:

  • Projects will be developed in accordance with WYDOT or local public agency procedures. Deviations from geometric design standards will be handled as design exceptions in accordance with the procedures.
  • Procurement of consultant services, to be reimbursed with Federal–aid, will be performed in accordance with WYDOT procedures or WYDOT approved local procedures and State statutes.
  • Project funding will be in accordance with Federal and State requirements.
  • Projects will be let in accordance with State or local statutes and Federal regulations.
  • WYDOT will enforce compliance with applicable Title 23 USC requirements and all non–Title 23 USC Federal regulations such as NEPA, Civil Rights (DBE), Davis Bacon Wage Rates, Buy America, right–of–way acquisition laws, and other applicable requirements, as required by State statute and FHWA regulations.
  • Projects will be constructed in accordance with the current edition of WYDOT’s Standard Specifications, or other adopted local specifications.

Project Approval Action.

  • An agreement between the local public agency and Tribal Governments may be developed for each Federal–aid project on or partially on and near a reservation. Terms and conditions of the agreement are included in contract documents (i.e. TERO special provisions, etc.).
  • Environmental clearance must be obtained from FHWA prior to beginning the final design and prior to acquiring right–of–way on all projects requiring a Federal action.
  • For Federally funded projects, WYDOT will review and when appropriate approve local public agency standards and procedures within 60 working days of a submitted request.
  • WYDOT will provide FHWA ten working days to review and approve project authorizations.
  • WYDOT will consult with FHWA in decisions involving special and unusual circumstances at the earliest reasonable time to ensure thorough and appropriate decisions are made.

Oversight and Monitoring. All Federal–aid highway projects are subject to review at any time by WYDOT and/or FHWA. FHWA’s primary monitoring method in this program area will be process reviews or program evaluations. The decision to conduct a process review or program evaluation will consider the FHWA Division Office/WYDOT risk–assessment process.

FHWA may select LPA projects for Full Oversight in consultation with WYDOT. All ITS projects will be full oversight including LPA projects.

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Design program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

PAVEMENTS AND MATERIALS

Pavement Overview: 23 CFR 626 requires that pavements be designed in accordance with current and predicted traffic needs in a safe, durable and cost–effective manner. The regulations do not specify the procedures to be followed to meet this requirement. The SDOT is expected to use a design procedure that is appropriate for their conditions.

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

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

The SDOT is required by the Code of Federal Regulations (23 CFR 637) to have a quality assurance program for Federal–aid highway construction projects on the National Highway System. Quality assurance is an all–encompassing term that includes quality control, acceptance, independent assurance, dispute resolution, and the use of qualified laboratories and qualified personnel. FHWA is required, by means of an approved quality assurance program, to assure the quality of materials incorporated into Federal–aid highway projects on the National Highway System (NHS). For Federal–aid projects on the NHS, the primary objectives are to:

  • Assure that the materials incorporated in the construction work, and the construction operations controlled by sampling and testing are in conformity with the approved plans and specifications.
  • Provide oversight of construction materials and compliance with Federal requirements on a statewide basis.
  • Assure adequate and qualified staff to maintain WYDOT’s quality assurance responsibility as part of its Quality Control/Quality Assurance (QC/QA) program.
  • Assure compliance with, and assist in, maintaining the WYDOT Transportation Technician Qualification Program

Control Documents —

  • Title 23 U.S.C. Sections 106, 109, 114
  • 23 C.F.R. Section 625.4, Standards, policies, and standard specifications
  • 23 C.F.R. Section 626, Pavement Policy
  • 23 C.F.R. Section 635, Construction and Maintenance
  • 23 C.F.R. Section 637, Construction Inspection and Approval

Oversight and Monitoring. FHWA will monitor the effectiveness of the quality assurance program though project inspections and process reviews. FHWA will share the results of the reviews with WYDOT. FHWA and WYDOT will jointly determine if any changes to the quality assurance program are needed. FHWA will review and approve all changes to the quality assurance program.

Pavement Management and Design Program Summary Table
Work Activity WYDOT Action FHWA Action Expected Outcome
Pavement Management System (PMS) Develop and Implement Review, Comment, and Make recommendations for consideration PMS best practices are used and quality data collected and used
Pavement Design Guide, Policy and Procedures Develop Review, Comment, Make recommendations for consideration, and Approve. Conduct process reviews. Pavement Manual
Materials Acceptance Program Summary Table
Work Activity WYDOT Action FHWA Action Expected Outcome
Quality Assurance Program Prepare Develop, implement, monitor and revise Approve Quality Assurance Procedure for Construction. Assure materials and workmanship incorporated into Federal–aid projects are in conformance with the requirements of approved plans and specifications
Qualified Technician Program Prepare and revise Approve Qualified technician performing acceptance test on all WYDOT projects
Qualified Laboratory Program Require AASHTO accreditation Approve
AASHTO accreditation inspection reports Maintain accreditation, Submit inspection report, Approve outside testing facility Review for acceptable results and file comments as necessary WYDOT has an accredited laboratory to perform testing
Independent Assurance Program Prepare and revise Approve All material is accepted by qualified testers and equipment that has been evaluated by the IA program.
Materials Specifications and supplemental Prepare and submit Approve Improved material specifications
Project specifications changes and supplemental Submit to FHWA Approve Improved construction specifications

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Pavement and Material program areas may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

PLANNING AND PROGRAMMING

Program Overview. Transportation planning is a field involved with the evaluation, assessment, and design of transportation facilities (generally streets, highways, sidewalks [footways], bike lanes and public transit.). Transportation planning has followed the rational planning model of defining goals and objectives, identifying problems, generating and evaluating alternatives, and developing plans. In addition, transportation planning assesses future funding requirements for the transportation system to meet projected travel demand.

Transportation planning also includes data collection and reporting. Data is required to support FHWA’s responsibilities to Congress. This data includes, but is not limited to, information required for preparing proposed legislation and reports to the Congress; evaluating the extent, performance, condition, and use of the Nation’s transportation system; analyzing existing and proposed Federal–aid funding methods and levels and the assignment of user cost responsibility; maintaining a critical information base on fuel availability, use, and revenues generated; and calculating apportionment factors.

Key products from the transportation planning process require MPOs and SDOTs to develop long range transportation plans and transportation improvement programs. FHWA and Federal Transit Administration (FTA) Region Office are jointly responsible for required approval actions such as review and approval of the State Transportation Improvement Program (STIP) and its amendments.

FHWA provides technical expertise and assistance through participation in meetings set up by the MPOs and the SDOT that address data collection and analysis issues as well as coordination on individual topics of interest. In addition, FHWA conducts reviews of planning processes and products such as Highway Performance Monitoring System (HPMS) data, the Safe Routes to School Program, Heavy Vehicle Use Tax Enforcement, Motor Fuel, etc. FHWA participates in statewide and MPO planning activities as necessary to develop a planning finding as part of the STIP approval. FHWA and SDOT work together in the project planning phase and other applicable laws before location and design approval. Project coordination is facilitated by frequent consultation and meetings.

Note: Heavy Vehicle Use Tax, Motor Fuel Tax, 500 Series Financial Reports, and Vehicle Size and Weight Enforcement are typically handled by the FHWA Planning Section. At WYDOT, Heavy Vehicle Use Tax is handled by Motor Vehicle Services, Motor Fuel Tax is handled by Budget and Administration, 500 Series reports are processed by Budget and Vehicle Size and Weight Enforcement is handled by Wyoming Highway Patrol.

Control Documents —

  • Title 23 U.S.C. Section 134 and 135
  • Title 23 C.F.R. Part 450, Statewide Planning and Programming and Metropolitan Planning and Programming.
  • Title 23 C.F.R. Part 420, Planning and Research Program Administration
  • Title 49 C.F.R. Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreement to State and Local Governments.
  • SAFETEA–LU (Public Law 109–59) Section 1404. Safe Routes to School Program

Oversight and Monitoring. Process Reviews and other methods of oversight will be utilized, as appropriate, to support FHWA approval actions and to monitor those programs and products in which has an interest.

Transportation Planning and Programming Summary Table:
Work Activity Control Documents WYDOT Action FHWA Action Expected Outcome
Developing a Statewide 20–Year Long Range Transportation Plan 23 CFR 450.214 Update, prepare and forward to FHWA and FTA Review and provide comments during update and development. (20 days) An official, statewide, multimodal transportation plan covering a period of nor less than 20–years developed through the statewide transportation planning process. STIP development is based on this official plan
Statewide Transportation Improvement Program (STIP) Approval 23 CFR 450.220(a),(b), (c) and 450.216 Prepare and submit STIP and required documentation by August 31st to FHWA and FTA (At least every 4–years) Joint review, comment, and approval with FTA by 9/30. (15 days) An approved STIP with a statewide prioritized listing/program of transportation projects consistent with the long range statewide plan, metropolitan plans, and TIPs, in order for projects to be eligible for Federal funding
STIP Amendments 23 CFR 450.216 TIP/STIP amendments are accepted once a month for inclusion in a monthly STIP amendment package. This schedule applies to all months except September. (September is the time for review of the next year’s STIP.) Joint approval with FTA, if needed. Amendments are processed no later than 10 working days. WYDOT is able to proceed with authorization of Federal–aid projects
Statewide Planning & Research (SPR) Work Program 23 CFR 420.111 Prepare Work Program and submit to Division by June 1 of odd years. Prepare and Submit Annual Program Draft – submitted by 5/15 Final – submitted by 6/15 Review, comment and approve (15 days, no later than 6/30) An approved Statewide Annual Work Program which describes the proposed work with estimated cost that documents eligible activities to be undertaken by SDOT and/or their sub–recipients with FHWA planning & research funds, which authorizes and funds SPR program
SPR Work Program Amendments 23 CFR 420.111 Submit to FHWA as needed Review, comment, and make determination (10 days) Addition/reduction of contributions to existing projects and participation in new projects
Public Involvement for the State Planning Process 23 CFR 450.210 Develop and adopt a plan every 5 years. Review for compliance and comment Documented Public Involvement process that provides opportunities for public review and comment at key decision points.
Functional Classification of Highways 23 CFR 470.105(b) Prepare and submit classification request to FHWA Review and approve as appropriate (10 days). Submit Interstate & NHS requests to HQ An official record for Federal–aid highways and the basis for designation of the National Highway System
Urban Area Boundaries 23 CFR 470.105(a) Prepare and submit to FHWA Review and approve (10 days) Urban Area Boundaries with a population of 5000 or more based on Bureau of Census, used for planning purposes and for authorizing funds between rural and urban areas.
State self–certifications of Planning Process 23 CFR 450.218 SDOT will certify that the transportation planning process is being carried out IAW all applicable requirements Review jointly with FTA and approve STIP or STIP amendments An approved STIP and planning process is carried out IAW all applicable requirements
Planning Finding for STIP 23 U.S.C. §135 and 23 C.F.R. §450 Subparts A,B, and C Review and certify planning process in accordance with Federal requirements at time of STIP submittal Review and make joint planning finding with FTA As part of STIP approval
PL Distribution Formula and Update 23 CFR 420.109 Prepare in consultation with MPOs and submit to FHWA Review and approve Approved formula and distribution of metropolitan planning funds to MPOs
Metropolitan 20 Year Long Range Transportation Plans 23 CFR 450.322 Review the MPO approved plan and forward to FHWA and FTA Review for compliance An official multimodal transportation plan addressing no less than 20–years planning horizon that is developed, adopted, and updated by the MPO through the metropolitan transportation planning process.
Metropolitan Planning Area Boundary and Changes 23 C.F.R. §450.312 Prepare and Submit. Copies to FHWA and FTA Review for compliance (14 days) to ensure that the boundaries meet statutory requirements Boundaries for which metropolitan transportation planning process is carried out
Transportation Improvements Program (TIP) amendments for Non–attainments areas 23 CFR 450.324–330 (b)) (As requested by MPO at least every four years) MPO submits to SDOT, FTA and Division by July 1 of odd years; Review A prioritized listing/program of transportation projects that is developed and formally adopted by a MPO , consistent with the metropolitan transportation plan, and required for projects to be eligible for Federal funding.
MPO/State certification of MPO Planning Process 23 CFR 450.334 (In conjunction with TIP approval) SDOT and MPO certify that the metropolitan planning transportation process is being carried out IAW all applicable requirements Review jointly with FTA and approve STIP or STIP amendments An approved STIP and planning process is carried out IAW all applicable requirements
Metropolitan Unified Planning Work Program (UPWP) 23 CFR 450.314 Cooperate with MPO in plan preparation, review adopted plan and forward to FHWA Draft – March 20 Final – June 1 Review and make determination UPWPs per 23 C.F.R. §450.314. Approval by 6/30 for Casper MPO; 9/30 for Cheyenne MPO FHWA responds to WYDOT’s request for approval of PL funds and authorizes program
Unified Planning Work Program Amendments 23 CFR 450.314 Forward the MPO amendment and recommendation for approval Make determination within 10 days. Amended UPWP Budget or program scope can be authorized
HPMS Data Submittal/Process Review 23 USC 307 (h); 23 CFR 1.5; HPMS Field Manual Prepare and submit per HPMS field manual 6/15 Review data and forward to HQ by June 15; answer HQ comments by 11/1 Accurate data on the extent, condition, performance, use, and operating characteristics of the highways in Wyoming
500 Series Finance Reports/Process Review 23 CFR 420.105; Guide to Reporting Highway Statistics (WYDOT Budget) Prepare and Submit per A Guide to Reporting Highway Statistics Review and forward reports to HQ by due dates Accurate annual reports containing analyzed statistical data on motor fuel; motor vehicles; driver licensing; highway–user taxation; State and local government highway finance; highway mileage, and Federal–aid for highways
Public Road Mileage Certification 23 CFR 460.3 Prepare and submit certification Review and recommend acceptance then forward to HQ by June 1 Accurate road mileage for utilization in statutory formula for the apportionment of highway safety funds under 23 U.S.C. 402(c)
Heavy Vehicle Use Tax 23 CFR 669.7 Governor or designee certifies each year that it is obtaining proof of payment of the heavy vehicle use tax (WYDOT Operations) Review and submit certification to HQ by July 15. Conduct compliance review every 3–years. Submit report to HQ. Evidence that an effective program is being conducted by the State and to ensure that the State is not registering vehicles which have not been accounted for under the tax collection procedures instituted by the IRS
Traffic Monitoring System FHWA Traffic Monitoring Guide Verify and Update System Components; Submit to Division Quarterly Reports Recommend improvements; comment on quarterly reports Accurate data and information on traffic volume, vehicle classification, and truck weight on the State highways
FHWA Grant and Specialty Programs:
  • TCSP
  • Federal Lands
  • Scenic Byways
SAFETEA–LU Section 1117 Apply for and administer funds. Review and approve grant applications. Submit to WYDOT identified lists of funded projects. Administer and authorize projects and obligate funds. Approved grant and specialty program projects
Vehicle Size & Weight Enforcement Certification 23 CFR 657.13 State Patrol annually submit electronically to Division by December Projection of enforcement activities for next Federal fiscal year. Review and approve final submittal by January 1 A certificate to enable Federal–aid funds to be apportioned and not be reduced
Vehicle Size & Weight Enforcement Plan 23 CFR 657.11 State Patrol annually report to FHWA Division on enforcement activities for next Federal fiscal year. Coordinate draft with FHWA Division annually by May 31. Submit electronically to Division by 7/1. Review draft and comment; approve final submittal by July 1. Effective October 1. A Plan for the maintenance of an effective enforcement process of vehicle size and weight laws to assure that violations are discouraged and that vehicles traversing the highway system do not exceed the limits by law, to prevent premature deterioration of the highway pavement and structures and to provide a safe infrastructure.
CMAQ Annual Report 23 USC 149 (h) (2); CMAQ Guidance 4/28/99 Prepare and submit to FHWA Division Quarterly
01/01
04/01
07/01
10/01
Review and submit to HQ HEPN–10; Division provides information on CMAQ projects including: amount of obligation, project description and location, and air quality benefits. The report must be submitted via the web–based CMAQ Tracking System. Status of Air Quality
CMAQ Eligibility 23 USC 104; 23 USC 149 Submit individual submissions to FHWA Eligibility Determinations

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Transportation Planning and Programming program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

RESEARCH, DEVELOPMENT AND TECHNOLOGY (RD&T)

Program Overview. The purpose of the RD&T program is to implement the provisions of 23 USC 504 and 505 for research, development, and technology transfer programs and studies undertaken with FHWA planning and research funds.

The SDOT is encouraged to develop, establish, and implement an RD&T program, funded with Federal and SDOT resources that anticipates and addresses transportation concerns before they become critical problems. Further, the SDOT is encouraged to include in this program development and technology transfer programs to share the results of their own research efforts and promote the use of new technology.

To promote effective use of available resources, the SDOT is encouraged to cooperate with other SDOTs, the FHWA, and other appropriate agencies to achieve RD&T objectives established at the national level and to develop a technology transfer program to promote and use those results. This includes contributing to cooperative RD&T programs such as the National Cooperative Highway Research Program (NCHRP), the Transportation Research Board (TRB), and transportation pooled fund studies as a means of addressing national and regional issues and as a means of leveraging funds.

The SDOT is allowed the authority and flexibility to manage and direct their RD&T activities as presented in their work programs and to initiate RD&T activities supported by FHWA planning and research funds, subject to the limitation of Federal funds and to compliance with program conditions.

The SDOT has the primary responsibility for managing RD&T activities supported with FHWA planning and research funds carried out by other State agencies and organizations and for ensuring that funds are expended.

The SDOT must develop, establish, and implement a management process that ensures effective use of available FHWA planning and research funds for RD&T activities on a statewide basis. The SDOT is permitted to tailor its management process to meet State or local needs.

State Planning and Research (SPR) Program. The main requirements under 23 CFR 420 are to create a SPR Work Program, monitor planning and research activities, submit performance and expenditure reports, conduct peer exchanges, develop and maintain an FHWA approved research and development management process, and maintain program certification.

The SPR Work Program consists of two parts: (1) Part I, Planning, and (2) Part II, Research. The SDOT is responsible for preparation and overall coordination of the Work Program in accordance with 23 CFR 420. The SPR Program operates on a Federal fiscal year basis with program approval every year. Amendments and revisions are submitted by the SDOT to FHWA for approval, as required.

Local Technical Assistance Program (LTAP). The LTAP was created to provide educational training, technical assistance and related support services for rural, small urban, tribal governments, consultants and contractors that do work for local agencies on roads, bridges, and public transportation. The LTAP program is regulated under 23 USC 504(b)(b).

The LTAP Center Advisory Committee determines the direction for the LTAP program. The Committee, consisting of Federal, State, and local government officials and other interested representatives, typically meets twice a year. The Advisory Committee reviews program progress and provides direction on program needs and strategies.

The LTAP Center coordinates with the SDOT and FHWA to draft an LTAP Work Plan. The SDOT and FHWA review the draft plan and provide comments and suggestions. The final version is then approved by FHWA.

In Wyoming, the University of Wyoming, Civil Engineering Department, was established as the Wyoming LTAP Center.

Control Documents —

  • 23 U.S.C. applies to all technology transfer activities.
  • 23 C.F.R. Part 420, Planning and Research Administration

Oversight and Monitoring. FHWA exercises its oversight responsibilities through review of the annual work program prior to approval actions, review of individual proposals, and review of annual reports. Division participates in ongoing program activities such as routine technical and policy meetings, participation in peer exchanges, and participation in technology transfer events, etc. WYDOT has considerable flexibility in the use of funds and determination of eligible activities that meet the requirements of 23 C.F.R. Part 420.

Work Activity WYDOT Action FHWA Action Expected Outcome
Statewide Planning & Research (SPR) Work Program Prepare and Submit Annual Program
Draft — submitted by 9/15
Final — submitted by 9/30
Approved within 15 calendar days, no later than 6/30 Authorized and Funded Program
SPR Work Program Amendments Submit to FHWA as needed Review, comment, and approve (10 days) Addition/reduction of contributions to existing projects and participation in new projects
WYDOT Research Manual Prepares in coordination with FHWA as noted in 23 C.F.R. §420.209 Review, Comment (if appropriate), and Approve (20 days) Documentation that describes the management, process, and procedures for selecting and implementing RD&T activities
Certification of SPR Research Program Prepare certification statement with SPR Work Plan submittal (by 9/15) Review, Comment, and Approve with SPR Work Plan (by 9/30) Certified compliance with 23 C.F.R. §420.209
Projects Using Experimental Features Collects and disseminates information about projects Disseminate information and encourage implementation of successful features Evaluation and implementation of new technologies
Local Technical Assistance Program (LTAP) annual work plan. Provide assistance and guidance Review and approve Identified intended technology assistant activities for the year.
Transportation Technology Transfer Center will prepare a Program Assessment Report and Center Assessment Report to FHWA HQ Provide assistance and guidance No action required by Division Documents accountability and assess the achievements of the past year.

Performance Measures   A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Research, Development and Technology program areas may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

RIGHT–OF–WAY

Program Overview. The Right–of–Way program conducts appraisals and acquisitions of property rights necessary for the construction and improvement of State roads. In conjunction with these duties, the program also coordinates the relocations of businesses and families displaced by highway projects. In addition, the program tracks the management and disposition of residue parcels and surplus right–of–way.

The Right–of–Way program is responsible for ensuring that land acquired and people relocated for highway projects are accomplished according to the Uniform Act. Requirements provide for fair market value to be paid for real estate, and reimbursements paid for relocating homeowners/tenants and business owners. Program responsibilities also cover other programs such as Federal land transfers, outdoor advertising, encroachment permits, and junkyard control.

Control Documents —

  • 42 U.S.C. Section 61, Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended
  • 23 U.S.C. Section 108, Advance Acquisition of Real Property
  • 23 U.S.C. Section 111, Agreements relating to use of and access to rights–of–way — Interstate System
  • 23 U.S.C. Section 156, Proceeds from the Sale or Lease of Real Property
  • 23 U.S.C. Section 323, Donations and Credits
  • 49 C.F.R. Section 24, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally–Assisted Programs
  • 23 C.F.R. Section 620, Subpart B, Relinquishment of Highway Facilities
  • 23 C.F.R. Section 635.309, Right–of–Way Certification
  • 23 C.F.R. Section 710, Right–of–Way and Real Estate
  • 23 C.F.R. Section 750, Highway Beautification

Oversight and Monitoring. Monitoring will be accomplished on a program–wide basis using Process Reviews and/or Joint Quality Assurance Reviews with WYDOT Office of ROW personnel. Monitoring of compliance with Title 23 C.F.R. requirements will be limited to the Interstate system unless specific instances of non–compliance are called to FHWA’s attention, or FHWA assistance is specifically requested by WYDOT.

  • Even though there are no delegations under the law for any functions covered in 49 CFR 24, for practical purposes, there are two levels of review of those elements. One level depends on whether the project involves ROW acquisition, and has Federal–aid in the ROW project phases. Although the ROW regulations must be followed in each instance, the decision on the value of just compensation will be the responsibility of WYDOT.
  • For the second level of projects, there is a dual concern for the rights of property owners and displaced persons, and the stewardship of Federal dollars. Continuous review of the State’s activities will assist in assuring that the rights of owners and displaced persons are protected, as well as monitoring the expenditure of Federal funds.
  • Local Public Agencies (LPAs), i.e., cities and counties, are required to comply with the Uniform Act and its governing regulations found in 49 CFR 24 in the same manner as WYDOT. As stipulated in 23 CFR 710, WYDOT is responsible for assuring that ROW acquisitions by LPAs are made in compliance with the WYDOT Right–of–Way Manual, and Federal and State laws and regulations.
  • FHWA is responsible for in–depth reviews of WYDOT’s program for appraisal, acquisition, and relocation. Review of the ROW activities will be conducted through periodic joint FHWA/WYDOT process reviews, peer reviews and/or spot–checking reviews accomplished jointly by FHWA ROW personnel and WYDOT, as determined through a risk–assessment process. The purpose of the reviews is to assist in complying with State and Federal requirements, and to assure adequacy of program oversight and accountability of public resources. State and LPA ROW program activity, as well as WYDOT’s oversight of LPA ROW activity, is subject to review at any time.
  • Review and technical assistance in the Highway Beautification program are also provided by FHWA.
Right–of–Way Process Actions and Review Timeframes
Work Activity WYDOT Action FHWA Action Expected Outcome
Appraisals Review, Certification, and Approval — All Projects Oversight — All Projects (10 working days) Appraisal Reports
Engineering Prepare, Review and Approve — All Projects Oversight — All Projects (10 working days) ROW Plans and Legal Descriptions
Acquisitions Performance and Approval — All Projects Oversight — All Projects (10 working days) Property Ownership/Title, Easements
Relocations Performance and Approval — All Projects Oversight — All Projects (10 working days) Relocations
ROW Authorizations and Project Agreements Prepare — All Projects Approve — Full Oversight Projects (10 working days) Authorization & Project Agreements
ROW Certification Approve Non–NHS & NHS < $3 million Approve Interstate & NHS > $3 million (10 working days) Certificates
Functional Replacement Approval and Oversight Concur (30 calendar days) Functional Replacement of Real Property
Air Rights — Interstate Request Review and Approve (10 working days) Airspace Agreement
Airspace Leases/Joint Use Agreements/Licenses/Consent to Common Use Approve & Oversight Non–Interstate Approve — Interstate (10 working days) Leases/Agreements/Licenses
Disposal of Excess ROW Prepare Request Review and Approve All Requests (15 working days) Property Sale, Abandonment, or Relinquishment & Revenue from Sale to Highway Fund
Federal Land Transfer Prepare Request Review and approve (4 months) Transfer Deeds
Early Acquisition, Hardship, Protective Buying, Corridor Preservation Prepare Submission Review, Approve, and Authorize (10 working days) Property Ownership
ROW Operations Manual Prepare and Certify Manual Review and Approve (60 calendar days) Manual
Highway Beautification Prepare Request Review and Approve (10 working days) Manual
Administrative, Legal, and Court Awards Approve Stewardship & Oversight Property Acquisition
Access Control — Disposal and Changes Request or approve as per WYDOT Policy Review and Approve all on Interstate (20 working days) * Disposition/Change
Encroachments Prepare Request Review and Approve (10 working days) Appropriate ROW management
Early Acquisition Cost Prepare Request Review and Approve (10 working days) Reimbursement/Matching Credit

*FHWA may need up to 30 working days for new interchange requests.

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Right–of–Way program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

SAFETY

Program Overview. The safety program develops and assists with implementation of a strategic plan to reduce the number of fatalities and incapacitating injuries that result from roadway crashes. The State DOT and the FHWA Division Office work together to implement the safety program.

The State DOT has the responsibility for implementation of the State’s Highway Safety Improvement Program (HSIP). FHWA exercises its oversight responsibilities through review of the annual programs, review of program processes, and review of annual reports. The State DOT and FHWA will work together on safety issues related to project development, the Highway Safety Improvement Program (HSIP), pedestrian and bicycle safety, High Risk Rural Road Program, and the Wyoming Strategic Highway Safety Plan (SHSP).

As a condition for obligating HSIP funds, under 23 U.S.C. Section 148(c)(1)(D), the SDOT will prepare an annual report. In addition to reporting the evaluations and activities of the HSIP, HRRR, and rail–highway crossing safety improvement programs, the report will describe not less than 5 percent of the most severe safety needs on public roads.

Control Documents —

  • 23 C.F.R. Section 924, 23 U.S.C. Section 148 Highway Safety Improvement Program
  • 23 USC Section 130, Railroad/Highway Crossing Program requirements apply to all public rail–highway grade crossings on public highways.
  • 23 USC 154 (23 CFR 1270), 23 USC 164 (23 CFR 1275), 23 USC 159, Behavioral Penalties

Oversight and Monitoring. Individual project monitoring activities are included in the design and construction sections of this agreement. Program–wide process reviews will also be utilized. WYDOT will evaluate and submit an annual report for the HSIP in accordance with the annual instructions.

Work Activity WYDOT Action FHWA Action Expected Outcome
HSIP Report (including HRRP)

Rail–Highway Crossing Report

5 Percent Report

23 USC 148(c)(1)(D)
Prepare annual program and report, and Submit to FHWA (no later than by 8/31 annually) Review and comment on the program and annual report. Submit to HQ by Sept. 30 Review and comment on the program and annual report. Submit to HQ by Sept. 30 HSIP Program Approval and Report
Strategic Highway Safety Plan (SHSP) Prepared by WYDOT Participate in revisions to the SHSP.
Reviews the SHSP for compliance.
Obligation of funds apportioned under 23 U.S.C. 148 in a strategic manner.
23 U.S.C. 159 Certification
(Drug Offender’s License Suspension Certification)
Prepare annual certification and send to FHWA before Jan 1. Review certification, and Forward to FHWA HQ. Take appropriate action Law enacted or opposition stated
23 U.S.C 154 (Open Container) & 164 Certification (Repeat Offender) Prepare annual shift letter and send to FHWA by October 30. Prepare annual split letter and submit to NHTSA & FHWA by December 29. Review split and shift letters and forward to FHWA HQ. Take appropriate action. Law enacted or opposition stated and funds transferred.
Manual for Assessing Safety Hardware (MASH) and National Cooperative Highway Research Program 350 (NCHRP 350 Testing Criteria) Install devices compliant with MASH or NCHRP–350 and AASHTO/FHWA agreement when devices exist Actions and Process reviews Crashworthy devices installed

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Safety program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

Traffic Operations

Program Overview. The Traffic Operations program improves transportation safety and mobility and supports project development through traffic analyses, uniform traffic control devices, and adequate work zones. The traffic program provides the motoring public with the necessary regulatory, warning, guidance, informational, and temporary signing on State maintained roadways.

Control Documents —

  • 23 CFR 630, Subpart J, Work Zone Safety and Mobility
  • 23 CFR 630, Subpart K, Temporary Traffic Control Devices
  • 23 CFR 655, Traffic Operations, Traffic Control Devices

Oversight and Monitoring. Individual project monitoring activities are included in the design and construction sections of this agreement. Program–wide process reviews will also be utilized. WYDOT will perform annual statewide reviews on work zones and programmatic improvements to the policies and processes for the maintenance of traffic through work zones and submit an annual report to FHWA.

Work Activity WYDOT Action FHWA Action Expected Outcome
Work Zone Safety and Mobility Process Review Conduct Process Review every two years (WYDOT Policy 13–4) Conduct review for conformance of 23 C.F.R. §630 Subpart J Assessment of work zone procedures
Work Zone Self Assessment Participate in annual work zone self assessment Complete annual Work Zone Self Assessment and submit to FHWA HQ Assessment of work zone procedures
Traffic Management Plans (TMP) for Significant Projects Develop TMP that considers temporary traffic control and public information when projects will violate standard specification 107.11.3 Review TMP for compliance with 630.1012 Mitigation of work zone impacts
Adopt Changes to the Manual on Uniform Traffic Control Devices (MUTCD) WYDOT adopts changes;
WYDOT practices comply with MUTCD
Actions and Review of MUTCD issues ongoing; Approve state supplements (if issued by WYDOT) Uniformity of Traffic Control Devices; Improved Traffic Operations; Increased Nominal Safety
MUTCD Requests to Experiment Submit experimental work plan to FHWA Division, study and report findings from experimental device Review, if acceptable forward with recommendation to FHWA Headquarters. (10 days to review) Acceptable request to experiment leading to a MUTCD change
Traffic Incident Management Self Assessment Assist FHWA in conducting annual assessments Conduct annually Program recommendations possible

Performance Measures — A mixture of different types of gauges or measurements designed to monitor and track trends of the effectiveness and efficiency of the Traffic Operations program area may be found at the following link:

http://www.dot.state.wy.us/wydot/administration/strategic_performance

Appendix

PROJECT APPROVAL ACTION RESPONSIBILITY MATRIX
APPROVAL ACTION AGENCY RESPONSIBILITY
NHS PROJECTS
(NON–DELEGATED PROJECTS)
Interstate: 4R, 3R
Non–Interstate: 4R, 3R
NHS PROJECTS
(DELEGATED PROJECTS)
Interstate: 2R, 1R
Non–Interstate: 2R, 1R
NON–NHS PROJECTS
(ALL PROJECTS DELEGATED)
(4R,3R,2R,1R)

Footnotes:

  1. Informational copy to FHWA (Record keeping and reporting)
  2. Exceptions for vertical clearance are subject to coordination with the Military Traffic Management Command for the "26,000 mile priority network" (mainly the Interstate). See FDM 11–44–1. Coordination will be accomplished through the FHWA
  3. Approvals, if any, will be those required by State laws, regulations, policies, and procedures. However, this does not relieve the WYDOT from responsibility for these areas, nor from compliance with non–Title 23 Federal requirements, which may remain applicable.
  4. On a case–by–case basis.
PROGRAMMING
Verify project in STIP FHWA WYDOT WYDOT
Verify eligibility for proposed funding category FHWA WYDOT WYDOT
FINANCIAL MANAGEMENT
Obligate funds FHWA FHWA FHWA
Approve vouchers submitted FHWA FHWA FHWA
Approve Federal–aid Project Agreement (PR–2) and modifications submitted FHWA FHWA FHWA
Funds obligated supported by documented cost estimate (23 CFR 630.106) WYDOT WYDOT WYDOT
Process to adjust project cost estimate (23 CFR 630.106) WYDOT WYDOT WYDOT
Perform validation and provide to FHWA justification or documentation of inactive project obligations (23 CFR 630.106) WYDOT WYDOT WYDOT
Authorize advance construction and conversions (23 CFR 630.703 & 709) FHWA FHWA FHWA
Authorize administrative settlements costs — Contract claims (23 CFR 140.505) FHWA FHWA FHWA
Authorize advance payments on FAHP projects (49 CFR 18.21e) FHWA FHWA FHWA
DESIGN
Approve exceptions to design standards (23 CFR 625.3(f)) FHWA WYDOT(1, 2) WYDOT
Interstate System Access Change FHWA NA NA
Public interest finding with respect to airport–highway clearance (23 CFR 620.104) FHWA WYDOT(3) NA
Approve preliminary plans for major and unusual structures (23 USC 109 (a)) FHWA WYDOT(1) WYDOT
Approve use of publicly owned equipment (23 CFR 635.106) FHWA FHWA FHWA
Approve the use of proprietary products, processes (23 CFR 635.411) FHWA FHWA FHWA
Concur in use of publicly furnished materials (23 CFR 635.407). FHWA FHWA FHWA
ENVIRONMENT
All approval actions required by Federal laws and regulations including non–Title 23 FHWA FHWA FHWA
Categorical Exclusions – Section 6004 and 6005 FHWA FHWA FHWA
RIGHT–OF–WAY
Authorize Right–of–Way activities (23 CFR 710.307) (If a federal–aid project) FHWA FHWA FHWA
Accept Right–of–Way certificate as a condition of PS&E approval (23 CFR 635.309(b)(c)) FHWA WYDOT WYDOT
Approve Hardship and Early Acquisition
(23 CFR 501 & 503 (If a federal–aid project)
WYDOT WYDOT WYDOT
Approve air space agreements
(23 CFR 710.405)
FHWA FHWA NA
Encroachments – Approve non–highway use and occupancy
(23 CFR 710.401)
WYDOT WYDOT NA
Approve disposal of federally funded right–of–way (23 CFR 710.409) (Interstate) FHWA WYDOT NA
PS&E AND ADVERTISING
Approve plans, specifications and estimates (23 CFR 630.205) FHWA WYDOT WYDOT
Authorize utility or railroad force account work (23 CFR 645.113 & 646.216) WYDOT1 WYDOT WYDOT
Approve utility and railroad agreements (23 CFR 645.113 & 646.216) WYDOT WYDOT WYDOT
Approve use of consultants by utility companies (23 CFR 645.109(b)) WYDOT WYDOT WYDOT
Approve exceptions to maximum railroad protective insurance limits (23 CFR 646.111) FHWA FHWA FHWA
Exempt bridge from Coast Guard permit requirements (23 CFR 650.805) FHWA FHWA FHWA
Authorize advertising for bids (23 CFR 635.112) FHWA FHWA FHWA
Approve hiring of consultant to serve in a "management" role
(23 CFR 172.5(a))
FHWA WYDOT WYDOT
Approve consultant agreements
(23 CFR 172.7 – 172.9)
FHWA FHWA FHWA
CONSTRUCTION
Approve cost effectiveness and emergency determinations for contracts awarded by other than competitive bidding
(23 CFR 635.104 &.204)
FHWA FHWA FHWA
Approve construction engineering by local agency (23 CFR 635.105) FHWA4 WYDOT WYDOT
Approve advertising period less than three weeks (23 CFR 635.112) FHWA FHWA FHWA
Approve addenda during advertising period (23 CFR 635.112) FHWA WYDOT WYDOT
Concur in award of contract (23 CFR 635.114) FHWA FHWA FHWA
Concur in rejection of all bids (23 CFR 635.114) FHWA FHWA FHWA
Approve major amendments (23 CFR 635.120) FHWA WYDOT WYDOT
Approve contract time extensions (23 CFR 635) FHWA WYDOT WYDOT
Concur in use of mandatory borrow/disposal sites (23 CFR 635.407) FHWA FHWA FHWA
Accept materials certification (23 CFR 637.207) WYDOT1 WYDOT1 WYDOT1
Concur in settlement of contract claims
(23 CFR 635.124)
FHWA FHWA FHWA
Concur in termination of contracts (23 CFR 635.125) FHWA FHWA FHWA
Waive Buy America provisions (23 CFR 635.410) FHWA FHWA FHWA
Participate in Post Construction Reviews FHWA FHWA FHWA
Submit to FHWA: (1) Material Certification; (2) Completion Report WYDOT WYDOT WYDOT
CIVIL RIGHTS
All approval actions required by Federal laws and regulations. FHWA FHWA FHWA

In Cooperation Between
The Wyoming Department of Transportation (WYDOT)

And

The Federal Highway Administration (FHWA)
Wyoming Division

FEDERAL-AID HIGHWAY PROGRAM (FAHP) STEWARDSHIP AGREEMENT
Dated December 21, 2010

Amendment 1
Dated January 12, 2011

This is Amendment 1 to the Federal-aid Highway Program (FAHP) Stewardship Agreement dated December 21, 2010.

The specific change made through this amendment is to the Congestion Management and Air Quality reporting requirements listed on page 36 of the Agreement. The requirement shown on page 36 of the original agreement requires quarterly reports on 01/01, 04/01, 07/01, and 10/01 of each year. The reporting requirement has changed to a single annual report due on 02/01 of each year. This amendment meets the data and reporting requirements of the Wyoming Division and maintains the reporting requirements that have been in place between the Wyoming Division and the Wyoming Department of Transportation since the inception of the Congestion Management and Air Quality program. The amendment was requested by the Wyoming Department of Transportation.

This Amendment will be in effect when signed by both parties. The signed Amendment is to be filed with the original Federal-aid Highway Program (FHAP) Stewardship Agreement dated December 21, 2010. Future amendments will also be filed with the original Agreement and numbered consecutively.

Original Signed      01–12–11
John F. Cox
Director
Wyoming Department of Transportation
Original Signed      01–12–11
Joseph S. Dailey
Division Administrator
Federal Highway Administration

Contact

Firas Ibrahim
Office of Program Administration
202-366-1564
E-mail Firas

 
 
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Updated: 12/18/2014
 

FHWA
United States Department of Transportation - Federal Highway Administration