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CHAPTER 7: STEWARDSHIP & OVERSIGHT AGREEMENT PROGRAM AREAS
- AIR QUALITY PLANNING
- BRIDGE AND STRUCTURES
- CIVIL RIGHTS
- CONSTRUCTION AND CONTRACT ADMINISTRATION
- DESIGN
- EMERGENCY RELIEF
- ENVIRONMENT
- FINANCIAL MANAGEMENT
- INTELLIGENT TRANSPORTATION SYSTEMS
- LOCAL PUBLIC AGENCIES
- MAINTENANCE AND PRESERVATION
- PAVEMENT AND MATERIALS
- PLANNING
- RESEARCH, DEVELOPMENT, & TECHNOLOGY TRANSFER
- RIGHT-OF-WAY
- SAFETY
- SPECIFICATIONS
- TRAFFIC OPERATIONS
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AIR QUALITY PLANNING
- Program Overview:
The primary focus of air quality in transportation planning is the process that results in a demonstration of conformity. Under the 1990 Clean Air Act Amendments, FHWA cannot fund, authorize, or approve Federal actions to support programs or projects that are not first found to conform to the Clean Air Act requirements or are exempt activities under those requirements. The transportation conformity process integrates transportation planning and air quality planning by requiring that transportation plans, programs, and projects demonstrate that emissions resulting from their implementation are consistent with and conform to the purpose of the State Implementation Plan. The Division and FTA Region V, in consultation with USEPA Region V, make joint conformity determinations on Plans, TIPs, and amendments to Plans and TIPS.
Other air quality planning responsibilities include The Congestion Mitigation and Air Quality Improvement (CMAQ) program. The purpose of the CMAQ program is to fund transportation projects or programs that will contribute to attainment or maintenance of the National Ambient Air Quality Standards (NAAQS). The Division (jointly with FTA Region 5) determines eligibility for inclusion in this funding program on a project-by-project basis using criteria contained in 1999 Program Guidance issued jointly by the FHWA office of Planning and Environment and the FTA office of Planning. Key Division actions include project eligibility determinations and submittal of the annual State CMAQ Report to Headquarters.
- Applicable Laws, Regulations, and Procedures:
Conformity
- 42 USC 7401-7671q (Clean Air Act)
- 40 CFR 51
- 40 CFR 93
- Transportation Conformity Regulation (August 15, 1997)
- 23 CFR 450
- 23 USC 134 - Metropolitan Planning
- 23 USC 135 - Statewide Planning
- 49 USC 53 - Mass Transportation
CMAQ
- 23 USC 104
- 23 USC 110
- 23 USC 149
- Program Approval Actions:
The Division and FTA Region V, in consultation with USEPA Region V, make joint conformity determinations on Plans, TIPs, and amendments to Plans and TIPS for nonattainment and maintenance areas. Plans are updated on a four-yearcycle and must be amended when regionally significant transportation projects are added to the program. TIPs are also updated on a four-year cycle and must be amended when transportation projects are added to the program consistent with the MPO's policies and procedures.
- Project Approval Action:
ODOT submits requests to the Division office on a project-by-project basis to determine their eligibility for funding through the CMAQ program. The Division (jointly with FTA Region 5 and in consultation with USEPA Region 5) determines eligibility of projects using criteria contained in the 1999 Program Guidance issued jointly by the FHWA office of Planning and Environment and the FTA office of Planning. Projects are submitted randomly throughout the year fordeterminations of eligibility.
- Monitoring:
ODOT will monitor MPO Plan and TIP development activities to ensure that the work is being managed and performed satisfactorily and that conformity schedules are being met.
FHWA and ODOT consult with USEPA and Ohio EPA and work closely with each MPO in non-attainment and maintenance areas.
- Performance Indicators:
No areas in a conformity lapse.
- Business Standards:
FHWA will review and take action on CMAQ projects within 30-days of receipt. FHWA will review and comment on the draft and final conformity documentation for Metropolitan Transportation Plans and TIPs within 60 days. This 60-day timeframe includes the 30-day FHWA review/comment period and a 30-day period to coordinate with the FTA and USEPA. ODOT will involve FHWA in decisions involving special and unusual circumstances at the earliest reasonable time to ensure thorough and appropriate decisions can be made.
ODOT will provide the Division an annual report of the CMAQ program that meets the requirements of 23 USC 149 no later than January 31 of each calendar year. Additional guidance for preparing the annual report is discussed in the 1999 Program Guidance issued jointly by the FHWA office of Planning and Environment and the FTA office of Planning.
Activity/Requirement |
FHWA Action |
Frequency |
Conformity
•42 USC 7401-7671q (Clean Air Act)
•40 CFR 51
•40 CFR 93
•August 15, 1997 Transportation Conformity Regulation
•23 CFR 450
•23 USC 134 - Metropolitan Planning
•23 USC 135 - Statewide Planning
•49 USC 53 - Mass Transportation |
Conformity Determination |
Not less than every 4 years |
CMAQ Annual Report
•23 USC 149 (h) (2) |
Review ODOT’s report and submit to HQ |
Annually in February |
CMAQ Eligibility
•23 USC 104
•23 USC 149 (primarily) |
Eligibility Determinations |
Periodically – individual submissions by ODOT |
BRIDGE AND STRUCTURES
- Program Overview:
The FHWA is responsible for administering the Highway Bridge
Replacement and Rehabilitation Program (HBRRP). The purpose of
the Program 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
- Low water crossing replacement.
The FHWA is responsible for administering the National Bridge
Inspection Standards (NBIS) and National Bridge Inventory (NBI).
The NBIS requires that all highway bridges over 20 feet in length
be inspected at least once every two years. Certain structures,
such as box culverts, may be inspected at a lesser frequency if past
experience and favorable past experience and analysis justify the
increased interval of inspection. ODOT currently inspects all
highway bridges over 10 feet in length every year.
The NBI also requires the State to ensure that all bridges within its
borders, including county and municipal owned bridges, are
inspected in accordance with the NBIS. For bridges where the
inspection responsibility belongs to a county or municipality, ODOT
will annually provide a list of bridges that have not been inspected
to FHWA and the responsible agency, per Ohio Revised Code
5501.47, and ODOT and FHWA will work together to resolve the
issues. All bridges over 20 feet in length are also required to be
listed on the State's inventory and their inventory information is to
be submitted annually to FHWA to be included in the NBI.
Other Federal aid highway funds administered by FHWA may also
be used to construct or rehabilitate bridges. Project approval
actions are similar to those that apply to the HBRRP program
except the existing bridge need not be deficient.
Federal bridge funds may also be used for preventive maintenance
on bridges included in the national inventory that are not owned by
a federal agency (with pre-approval by FHWA). Other eligible
items include:
- Seismic retrofits,
- Scour countermeasures,
- Bridge painting,
- Bridge rail replacement or retrofit,
In order to improve the nation's defense mobility, FHWA and ODOT
have prioritized the elimination of vertical clearance deficiencies on
the 16' component of the Strategic Highway Network (STRAHNET).
FHWA and ODOT will coordinate on project-level decisions, based
on a statewide overview of the 16' component of the STRAHNET,
to eliminate vertical clearance deficiencies. ODOT management and
FHWA will conduct outreach to the District Offices explaining the
importance of eliminating this type of deficiency and the higher
standard applied to this deficiency with Design Exception requests.
- Applicable Laws, Regulations, and Orders
- Title 23 USC 144 Highway Bridge Replacement and
Rehabilitation Program
- Title 23 USC 151 National Bridge Inspection Program
- 23 CFR 650 Bridges, Structures, and Hydraulics
- Program Approval Actions
- FHWA will make an annual determination of compliance with
the NBIS.
- ODOT will submit the annual NBI data to FHWA
Headquarters.
- ODOT will submit bridge unit cost data, to be reviewed by
the FHWA Division Office and forwarded to FHWA
Headquarters.
- Project Approval Actions
- FHWA will approve eligible bridge projects according to
Section II of this Agreement.
- Unusual or complex bridge projects on the Interstate System
will require FHWA Headquarters review and approval of the
preliminary Type Size and Location (TS&L) report.
- Unusual, complex, or large bridges located off of the
Interstate or NHS system may be designated for FHWA
oversight.
- Exceptions to three design features associated with bridges
(structural capacity, bridge parapet/curb configuration, and
vertical clearance) within the limits of proposed projects
require the processing and approval of Design Exceptions.
Any vertical clearance deficiencies proposed to remain will
be coordinated with the military's Surface Deployment and
Distribution Command (SDDC) by FHWA for Federal-aid
projects and ODOT for non-Federal projects.
- Monitoring
FHWA Ohio Division Office will:
- Screen bridges for eligibility for HBRRP based on the
selection list.
- Review Preliminary Engineering Studies and Project Scopes
- Review Type Size and Location reports
- Review bridge design plans on FWHA Oversight Projects.
- Provide oversight of bridge construction.
- Review Critical Bridge Inspection reports.
- Review Quarterly reports for bridge posting, critical findings,
and inspection frequency.
- Review semi-annual scour critical Plan of Action (POA)
status.
- 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 the annual inventory of bridges with deficient vertical
clearances on the 16' component of the STRAHNET and
associated maps, and coordinate with ODOT on the program
of proposed projects.
- Following completion of a project or maintenance work,
ensure ODOT re-measures the vertical clearance of any
bridge possibly affected.
- Review Bridge Construction Unit costs submittal.
- Perform Bridge Maintenance Inspections.
- Provide technical assistance.
- Business Standards
- FHWA will review and comment on Preliminary Engineering
Studies and Project Scope Reports within 4 weeks of receipt.
- ODOT will submit the annual update of NBI data to FHWA by
April 1st of each year.
- ODOT will submit the Construction Unit Cost data by March
1st of each year.
- Performance Indicators
- Track % of bridges Floor Condition deficient.
- Track % of bridges General Appraisal deficient.
- Track % of bridges Wearing Surface deficient.
- Track % of bridges Paint Condition deficient.
- Reduce the number of bridges with deficient vertical clearance on
the 16' component of the STRAHNET.
- Approved Procedures/Agreements/Manuals
- ODOT Bridge Design Manual
- ODOT Location and Design Manual
- ODOT Standard Specifications
- ODOT Local Transportation Project Manual
- ODOT Bridge Inspection Manual
- FHWA Bridge Inspection Coding Guide
- AASHTO Standard Specifications for Highway Bridges
- AASHTO LRFD Bridge Design Specifications
- Technical Advisory T 5140.21, REVISIONS TO THE NATIONAL BRIDGE INSPECTION STANDARDS
PROJECT ACTIVITY APPROVAL CHART
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Reference Document |
FHWA Oversight:
I-4R≥$5 m;
I-3R≥$10m; Non-Interstate NHS≥$10m; ADHS Projects |
ODOT Oversight:
I-4R<$5m;
I-3R<$10m;
Non-Interstate NHS<$10m |
ODOT Oversight:
All
Non-NHS Projects |
Other Projects Subject to FHWA Oversight by Mutual Agreement Other Projects Subject to FHWA Oversight by Mutual Agreement |
HBRRP eligibility determinations |
23 CFR 650
Subpart D |
FHWA |
ODOT |
ODOT |
FHWA/ODOT |
Preliminary Engineering Studies and Project Scopes |
|
|
FHWA |
ODOT |
ODOT |
FHWA/ODOT |
TS & L |
23 USC 106
23 CFR 630 |
FHWA |
ODOT |
ODOT |
FHWA/ODOT |
Structural Plans |
23 USC 106
23 CFR 630 |
FHWA |
ODOT |
ODOT |
FHWA/ODOT |
Construction
Inspections |
FAPG G
6042.8 |
FHWA/ODOT |
ODOT |
ODOT |
FHWA/ODOT |
Exempt bridge
from Coast Guard
permit
requirements |
23 CFR
650.805 |
FHWA |
FHWA |
FHWA |
FHWA |
PROGRAM ACTIVITY APPROVAL CHART
PROGRAM |
REFERENCE |
AGENCY RESPONSIBLE |
NBIS Review |
23 CFR 650 Subpart C |
FHWA |
Inventory and maps of deficient
bridges on the 16' component of
the STRAHNET |
23 CFR 625 |
ODOT |
Bridge Unit Cost submittal |
23 CFR 650 Subpart D |
ODOT |
Innovative Bridge Research and
Deployment Program candidate
submittals |
23 USC 503 (b) |
ODOT |
National Historic Covered Bridge
Candidate submittals |
Section 1224 -
TEA21 |
ODOT |
Semi-Annual scour POA updates |
|
FHWA |
Reports for: Bridge Posting,
Critical Findings, and Inspection
Frequency |
|
ODOT |
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CIVIL RIGHTS
- Program Overview:
The FHWA Division Office is committed to effectively implementing and enforcing civil rights programs within ODOT in its planning, construction, and management of the multimodal Ohio transportation system. Federal law establishes the State as responsible for nondiscrimination as the recipient of Federal aid; however, the law does not allow the delegation of FHWA Civil Rights federal responsibilities to ODOT at any project level. If projects are managed by a sub-recipient, ODOT must ensure thatthe sub-recipient is well qualified and suitably equipped to perform the work (23 CFR 1.11). If sub-recipients are involved, ODOT 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. ODOT can delegate the activity but cannot delegate their responsibility.
- Applicable Laws, Regulations, and Orders
- Title VI of the 1964 Civil Rights Act
- Equal Employment Opportunity Act of 1964
- Rehabilitation Act of 1973
- Age Discrimination Act of 1975
- Americans with Disabilities Acts of 1990
- Civil Rights Restoration Act of 1987
- 23 USC 140, 142, 324
- 49 CFR Part 21 &26
- 23 CFR Part 230, 633
- 13 CFR Part 121
- Executive Order 11246
- Executive Order 12898
- Program Approval Actions
PROGRAM ACTIVITIES
|
AGENCY RESPONSIBILITY |
Approval Action |
Reference Document |
Review |
Approve |
Remarks |
Disadvantaged Business Enterprise Program, Goal, and Supportive Service Plans. |
49 CFR Part 26
Title VI of the 1964 Civil Rights Act
23 CFR Part 230 Subpart B
13 CFR Part 121 SBA, Size Standards |
FHWA |
FHWA |
Coordination of approval with FHWA HQ Review Team. Division Administrator approves program and Goal. Division office reviews DBE/SS work plan. |
State Highway Agency Affirmative Action (External/ Internal) Plans |
23 USC 140
23 CFR Part 230 Subpart C
Title VI of the 1964 Civil Rights Act
Title VII
Equal Employment Opportunity Act of 1964
American with Disabilities Acts of 1990 |
FHWA |
FHWA |
Programs are reviewed annually and approved by the Division Administrator |
Contract Compliance Review Program |
Section 22(a.) 1968 Federal-Aid Highway Act (23 USC 140)
23 CFR Part 230 Subparts A & D
Title VI of the 1964 Civil Rights Act
Exec. Order 11246
23 CFR Part 633 |
ODOT |
FHWA |
Federal-aid highway contracts of $10,000 or more are monitored by ODOT. Contract compliance reviews/audits are conducted by ODOT. Reviews are audited by FHWA at annual review period. |
Equal Employment Opportunity On-the-Job Training/ Supportive Services Programs |
23 USC 140
23 CFR Part 230 Subpart A & C
Title VI of the 1964 Civil Rights Act
Equal Employment Opportunity Act of 1972
American with Disabilities Acts of 1990 |
FHWA/ ODOT |
FHWA |
OJT Training Programs are reviewed and monitored by ODOT and FHWA concurrence. FHWA reviews the Supportive Services work plan and approves each year. ODOT does not specify OJT participation per contract, and implements it on a voluntary program basis. |
Title VI/Non-discrimination |
Title VI of the 1964 Civil Rights Act
49 CFR Part 21
23 CFR Part 200
Section 504 of the Rehabilitation Act of 1973
49 CFR Part 27
Age Discrimination Act of 1975
Civil Rights Restoration Act of 1987
Uniform Relocation Act of 1987
23 USC 142
23 USC 324 |
FHWA |
FHWA |
Programs are developed by ODOT and reviewed and approved annually by FHWA Division Office |
- Project Approval Actions
Not applicable for Civil Rights Program.
- Monitoring
FHWA will review and approve ODOT's programs on an ongoing
basis through process and program reviews and through active
participation in continuous program evaluation and improvement.
Appropriate FHWA representatives will actively participate in
ODOT's 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 ODOT to help identify
trends and provide feedback and recommendations to ODOT.
- Performance Indicators
- Monitor number of pre-qualified DBEs.
- Monitor DBE program race-neutral contributions.
- Business Standards
WORK ACTIVITY |
ODOT ACTION |
FHWA ACTION |
REMARKS |
DBE Program Plan Revisions |
Prepare and Submit as Required |
Review and Act On (20 Days) |
Updates Accurately Reflect Appropriate Program Changes |
Title VI Program Update |
Prepare and Submit upon Completion |
Review and Act Upon (20 Days) |
Updates Accurately reflect ODOT's Title VI Program |
State Internal AA/EEO and Contract Compliance Program Reports (Title VII)
(Includes EEO-4 Report) |
Prepare and Submit Within One Year From the Date of Approval of the Preceding Program |
Review and Act Upon (20 Days) |
Report is Accurate and Meets CFR Requirements |
Annual Contractor
Employment Report-PR1392 |
Prepare and Submit No Later
Than September 25 |
Review and File.
Submit to
FHWA HQ |
|
Contractor Compliance
Review Schedule and
Reports |
Prepare and Submit Upon
Completion |
Review and Act
Upon (14 days) |
|
DBE and OJT Supportive Service Work Requests/ Reports |
|
Prepare and Submit per Contract |
Review and Act Upon (14 days) |
|
On-the-Job Training
Program |
Prepare and Submit (No Later
than March 1) |
Review and Act
Upon (20 Days) |
|
On-the-Job Training Goals
and Accomplishments |
Prepare and Submit (No Later
Than November 30) |
Review and Act
Upon (14 Days) |
Previous year's
accomplishments
and current year's
projection |
- Approved Procedures/Agreements/Manuals
- DBE Program Administration Document
- EEO/Contract Compliance Manual
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CONSTRUCTION AND CONTRACT ADMINISTRATION
- Program Overview:
The 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. The FHWA specific contract administration
responsibilities in accordance with Federal law include (but are not
limited to):
- Project Authorization
- Competitive Bidding
- Contract Awards
- Buy America provisions
By law, FHWA is responsible for the inspection of construction
projects utilizing federal aid funds. The primary purpose of FHWA
review and administration in construction is to protect the public
investment, assure effective quality controls, and to verify that the
project is completed in accordance with the plans, specifications
and special provisions. ISTEA and TEA-21 allow the delegation of
FHWA construction review, oversight and administration
responsibilities, except those based on non-Title 23 Federal
requirements to the state DOT. SAFETEA-LU does not substantially
change this delegation. The FHWA specific construction monitoring
responsibilities include stewardship in the following areas (but not
limited to):
- Quality Control and Improvement
- Contract Claims
- Change Orders
- Payment to Contractor
- Time Extensions
- Liquidated damages
FHWA also provides technical assistance in problem solving and
recommendations for improvements to State and local construction
programs to ensure that high quality products are constructed.
FHWA also provides sharing of identified state-of-the-art practices
and innovations in materials, equipment, construction practices and
contracting methods for the purposes of highlighting best practices.
- Applicable Laws, Regulations, and Orders
- 23 USC, 102, 106, 112, 114, 117, 121
- 40 USC 276(a) Davis-Bacon Act
- 23 CFR 635 Construction and Maintenance
- 23 CFR 637 Construction Inspection and Approval
- 29 CFR Parts 1, 3, 5, 6, & 7
- Program Approval Actions
- FHWA will have specific approval authority for the
authorization and obligation of Federal-Aid funds for all
federal-aid projects.
- FHWA will approve ODOT Standard Specifications and
Supplemental Specifications on a program basis to facilitate
project approvals.
- FHWA will approve the updates to the Liquidated Damages
specification every two years (Every even-numbered year).
- Project Approval Actions
- FHWA will approve all project and construction
authorizations.
- FHWA will approve project agreements, modified project
agreements and final vouchers on all projects.
- FHWA will conduct routine project and final inspections on
FHWA Oversight projects.
- For all other Federal NHS and non-NHS projects, FHWA may
conduct inspections, including finals, on a statewide
sampling basis through QIR and QAR reviews.
- Monitoring
FHWA Division Office will:
- Evaluate ODOT's transportation construction program,
including their staffing levels, procedures, and controls for
assuring transportation improvements are constructed in
accordance with approved standards and acceptable
contracting methods.
- Evaluate the quality of materials, equipment, construction
practices, and work force used for the purpose of evaluating
the quality of the constructed product.
- Track the cost of a sample of construction projects to
determine the relationship of the final cost to the amount bid
for the project.
- Gather information from the State DOT's on the usage and
costs of various construction materials including aggregates,
cements and bitumens, lumber and steel utilizing form
FHWA 47.
- Performance Indicators
- Track % of change orders for projects greater than $10 million.
- Track % of projects completed by the revised completion date.
- Business Standards
- FHWA will review and approve supplemental specifications,
PS&Es, construction plans and major change orders within
two weeks of receipt. The 2-week time frame may be
reduced in emergency or unusual situations.
- Form FHWA 45. ODOT will send "Bid Price Data" to FHWA
within 2 weeks of award of contract.
- Form FHWA 47 "Statement of Materials and Labor" is to be
sent to FHWA within 4 months of completion of the project
and receipt of final records on NHS projects greater than $1
million.
- Approved Procedures/Agreements/Manuals
- ODOT Location & Design (L&D) Manuals
- ODOT Construction Documentation Manual
- ODOT Construction and Materials Specifications
- ODOT Supplemental Specifications and Proposal Notes
- FHWA Contract Administration Core Curriculum Manual
- FHWA Construction Program Management and Inspection Guide
- Federal-Aid Policy Guide
PROJECT ACTIVITY APPROVAL CHARTS
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Reference Document |
FHWA Oversight:
I-4R≥$5m;
I-3R≥$10m;
Non-Interstate NHS≥$10m;
ADHS Projects |
ODOT Oversight:
I-4R<$5m;
I-3R<$10m;
Non-Interstate NHS<$10m |
ODOT Oversight:
All
Non-NHS Projects |
Other Projects Subject to FHWA Oversight by Mutual Agreement |
Approve exceptions to competitive bidding |
23 CFR 635.104& 204 |
FHWA |
FHWA |
FHWA |
FHWA |
Approve advertising period of <3 weeks |
23 CFR 635.112 |
FHWA |
FHWA |
FHWA |
FHWA |
Concur in award of contracts |
23 CFR 635.114 |
FHWA |
ODOT |
ODOT |
FHWA |
Concur in rejection of bids |
23 CFR 635.114 |
FHWA |
FHWA |
FHWA |
FHWA |
Approve change and extra work orders |
23 CFR 635.120 |
FHWA |
ODOT |
ODOT |
FHWA |
Approve time extensions |
23 CFR 635.121 |
FHWA |
ODOT |
ODOT |
FHWA |
Accept material certifications |
23 CFR 637.207 |
ODOT |
ODOT |
ODOT |
ODOT |
Concur in settlement of claims |
23 CFR 635.124 |
FHWA |
ODOT |
ODOT |
FHWA |
Concur in termination of contracts |
23 CFR 635.125 |
FHWA |
ODOT |
ODOT |
FHWA |
Final Acceptance/Inspection |
23 USC 114a & 121 |
FHWA |
ODOT |
ODOT |
FHWA |
Construction inspections |
FAPG G 6042.8 |
FHWA |
ODOT |
ODOT |
ODOT |
Determination of cost effective methods |
23 CFR 635.204& 104 |
FHWA |
FHWA |
FHWA |
FHWA |
Emergency Relief * |
23 CFR 668 |
FHWA |
FHWA |
FHWA |
FHWA |
PROGRAM |
REFERENCE |
AGENCY RESPONSIBLE |
Buy America |
23 CFR 635.410 |
FHWA |
Local Public Agency Projects ** |
23 CFR 635.105 |
ODOT |
Project/ Construction Authorization |
23 CFR 635.106 (a) |
FHWA |
Quality Assurance (Program) reviews |
|
FHWA |
FHWA Form 45 |
23 CFR 635.113 |
ODOT |
FHWA Form 47 |
23 CFR 6.35.126 |
ODOT |
Labor Compliance |
29 CFR Parts 1, 3, 5, 6, & 7 |
FHWA (Forwarded to HQ) |
* See Emergency Relief Section
** See Local Public Agencies section
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DESIGN
- Program Overview
On the program level, the FHWA Ohio Division Office approves design
standards for new construction, reconstruction, resurfacing,
restoration, or rehabilitation of the Interstate System and other
highways on the National Highway System (NHS) - excluding toll roads
- within the State of Ohio. The FHWA provides guidance to ODOT and
other public agencies on the implementation of and conformance to
federal laws, regulations, and policies pertaining to preliminary and
detailed design activities. The FHWA also shares technical information
and provides training opportunities to facilitate professional
development of engineering staffs from both the public and private
sectors. Jointly, ODOT and FHWA staffs conduct concentrated Quality
Assurance Reviews (QAR) of specific elements of design produced at
the project level.
On a project level, FHWA's common goal with ODOT is to develop
safe, cost-efficient designs that meet the appropriate standards.
Through full oversight on a limited number of major projects, and in
conformance with the thresholds and stipulations established in this
Agreement, the Ohio Division Office formally reviews and approves
various engineering-related submissions, participates in project
development decisions through routine review of design plans, and
determines the eligibility of federal-aid participation in the cost for
items of work.
Design activities conducted during the Planning and NEPA phases
begin with a conceptual outlook and elevate in detail as the project
advances. The technical information is used to compare and evaluate
the feasibility of alternatives. As a project advances and a preferred
alternative has been identified, design work is conducted in greater
detail to more fully delineate the footprint of the improvement and
more accurately verify and assess the impacts. Included in this effort,
as necessary, the Ohio Division Office will process and formally
evaluate proposed exceptions to minimum design criteria (Design
Exceptions) and Interchange Justification/Modification Studies
(IJS/IMS).
During the detail design phase, FHWA's Transportation Engineers
ensure the design parameters and environmental commitments
imposed on projects through the NEPA decision remain satisfied. With
support from technical specialists in the Division Office and other
offices, FHWA provides technical guidance to resolve issues as they
arise, and makes certain the various categories of Federal-aid funds
are properly invested in eligible items of work. These efforts are
accomplished through active participation in routine plan reviews and
ongoing coordination with ODOT's project-level staff. The final design
product is then ready for estimation and subsequent PS&E approval.
- Applicable Laws, Regulations, and Orders
- Title 23 USC, Chapter 1, Subchapter I, Section 109 - Standards
- 23 CFR 109 Limitation on Federal Participation
- 23 CFR 172 Administration of Engineering and Design Related Service Contracts
- 23 CFR 620 Engineering
- 23 CFR 625 Design standards for highways
- 23 CFR 627 Value engineering
- 23 CFR 630 Preconstruction procedures
- 23 CFR 636 Design-build contracting
- 23 CFR 645 Utilities
- 23 CFR 646 Railroads
- 23 CFR 470 Highway Systems
- 23 CFR 650 Bridges, structures, and hydraulics
- 23 CFR 652 Pedestrian and bicycle accommodations and projects
- 23 CFR 655 Traffic Operations (MUTCD)
- 23 CFR 658 Truck Size and Weight, Route Designations - Length, Width, and Weight Limitations
- 23 CFR 710 Right-of Way and Real Estate
- 23 CFR 752 Landscape and Roadside Development
- 28 CFR 35 Nondiscrimination on the Basis of Disability in State and Local Government Services
- 28 CFR 36 Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities
- 49 CFR 27 Nondiscrimination on the Basis of Disability in Programs or Activities Receiving Federal Financial Assistance
- 49 CFR 37 Transportation Services for Individuals with Disabilities (Americans with Disabilities Act)
- Program Approval Actions
- ODOT Standard Drawings are reviewed and approved by FHWA
on a program basis.
- ODOT Standard Specifications for Road and Bridge Construction
are reviewed and approved on a program basis.
- FHWA accepts ODOT's consultant selection procedures, which
are frequently applied in the design area.
- Project Approval Actions
- FHWA will review and approve all FHWA Oversight projects and
mutually agreed upon projects, final plans, estimates, and
special provisions. Various project approval actions applicable
to design are included in the Project Activity Approval Chart
below.
- Monitoring
- FHWA will monitor project design through step-by-step
involvement in projects subject to FHWA Oversight. Please
refer to the Project Activity Approval Chart below for specific
FHWA activities.
- For Federal-aid projects not subject to FHWA oversight, Design
Exceptions will be monitored and reviewed on a periodic basis.
- Performance Indicators
- Monitor number of projects delivered based on the locked program.
- Monitor plan quality.
- Business Standards
- FHWA will review and approve Design Exceptions within two
weeks of receipt.
- FHWA Division Office will review and approve Interchange
Justification/Modification Studies within 30 days of receipt for
those actions not requiring FHWA Headquarters approval.
Additional time will be needed for those requiring FHWA
Headquarters approval.
- FHWA will review and approve Plans, Specifications, &
Estimates (PS&E) within two weeks of receipt.
- FHWA will provide written comments to ODOT on proposed
changes to the Location & Design Manuals within 30 days of the
request.
ODOT and FHWA will share respective delivery and response time
data, as well as other relevant information on a quarterly basis.
- Approved Procedures/Agreements/Manuals
- ODOT Location & Design Manuals
- ODOT Geotechnical Engineering Policy
- ODOT Geotechnical Engineering Standard Procedure
- ODOT Manual for Abandoned Underground Mines
- ODOT Manual of Procedures for Earthwork Construction
- Programmatic Agreement for Utility Agreements (ODOT/FHWA)
- ODOT Utilities Manual
- Ohio MUTCD
- ODOT Right-of-Way Operations Manual
- ODOT LPA Manual
- ODOT Construction and Material Specifications
- Federal-Aid Policy Guide
PROJECT ACTIVITY APPROVAL CHART
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action or Responsibility |
Reference Document |
FHWA Oversight: I-4R≥$5 m; I-3R≥$10m; Non-Interstate NHS≥$10m; ADHS Projects |
ODOT Oversight: I-4R<$5m; I-3R<$10m; Non-Interstate NHS<$10m |
ODOT Oversight: All Non-NHS Projects |
Other Projects Subject to FHWA Oversight by Mutual Agreement |
Limitation on Federal Participation |
23 CFR 1.9 |
FHWA |
FHWA |
FHWA |
FHWA |
Design standards, policies and standard specifications, for applications to geometric and structural design |
23 CFR 625 |
FHWA |
FHWA |
ODOT |
ODOT |
New or Modified Access to the Interstate System |
23 USC 111; Fed Reg February 11, 1998 |
FHWA |
FHWA |
FHWA |
FHWA |
Design exceptions |
23 CFR 625.3(f) |
FHWA |
ODOT ** |
ODOT **** |
ODOT **** |
Value engineering |
23 CFR 627.5 |
FHWA |
ODOT |
ODOT |
FHWA & ODOT |
Monitoring federal-aid highway design projects |
23 CFR 630.106 & 112 |
FHWA |
FHWA & ODOT |
FHWA & ODOT |
FHWA & ODOT |
PS&E review and approval / project authorization |
23 CFR 630.205 |
FHWA |
ODOT *** |
ODOT *** |
FHWA |
Maintenance of Traffic Plans |
23 CFR 630.1002 |
FHWA |
ODOT |
ODOT |
FHWA & ODOT |
Traffic Control (MUTCD) |
23 CFR 655 |
FHWA |
ODOT |
ODOT |
FHWA |
Federal-aid Highway Systems |
23 CFR 470 |
FHWA |
FHWA |
NA |
NA |
R/W Acquisition and Access |
23 CFR 710 |
FHWA |
ODOT |
ODOT |
FHWA & ODOT |
Design-Build |
23 CFR 636 SEP-14 |
FHWA |
ODOT |
ODOT |
FHWA |
Utilities |
23 CFR 645.113 |
FHWA |
ODOT * |
ODOT |
ODOT |
Hydraulics design, erosion, and sediment control design |
23 CFR 650.115 23 CFR 650.211 |
FHWA |
ODOT |
ODOT |
FHWA & ODOT |
Pedestrian and bicycle accommodations and design |
23 CFR 652.13 |
FHWA |
ODOT |
ODOT |
FHWA & ODOT |
ADA criteria and design |
23 CFR 652 28 CFR 35 & 36 49 CFR 27 & 37 |
FHWA |
FHWA & ODOT |
FHWA & ODOT |
FHWA & ODOT |
* Except on Interstate, where FHWA approval is required.
** Except Federal-aid Projects on the Interstate System.
*** FHWA provides the final authorization electronically through FMIS.
**** Except for deficiencies associated with the Interstate System.
Major Projects - Project Management Plans
Work Activity |
ODOT Action |
FHWA Action |
Major Projects (total
cost≥$500 million) -
Project Management Plans |
Prepare Project Management
Plans (PMP) in accordance with
SAFETEA-LU and FHWA-HQ
Project Management Plan
Guidance. PMPs must be
completed and approved prior
to issuing ROD or FONSI and
prior to issuing request for
authorization of Federal-aid
funds for right-of-way
acquisition or construction. |
Review and
approve |
Top
EMERGENCY RELIEF
- Program Overview
Emergency Relief (ER) is a special program that uses non-formula
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 necessarily restore the facility to predisaster
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 threshold of $700,000. Individual sites must have
estimated repairs in excess of $5,000 in total cost to be eligible.
- Applicable Laws, Regulations, and Orders
- Title 23, Section 125
- 23 CFR 668
- Program Approval Actions
- The ODOT must specifically request assistance under the ER
program for each natural disaster or catastrophic event. This
should be initiated with a letter of intent to seek ER funds as
soon as it is evident that there is eligible damage. (See the
FHWA ER Manual for sequence of events.)
- FHWA will respond to written requests for ER assistance with
a letter of acknowledgement and brief instructions on how to
proceed.
- Following an ODOT/FHWA/Local Public Agency (if applicable)
site-by-site inspection, ODOT and FHWA will jointly prepare a
Damage Survey Report to support the request for ER funding.
The ODOT will then forward the report formally to FHWA with
the request for ER funding.
- FHWA will respond to the report with a determination of ER
eligibility. The list of sites outlined in the report constitutes
the program of projects required prior to authorization of
permanent repairs.
- Project Approval Actions
- FHWA's Acknowledgement Letter will establish a date of
eligibility for those emergency repairs and protective measures
that must be undertaken immediately. This type of work is
categorically excluded from NEPA by definition. Contracts to
do this type of emergency repair may be accomplished with
abbreviated procedures; however, this permission will be
indicated on the completed Damage Survey Report for each
site.
- FHWA's Determination of Eligibility letter will inform the ODOT
of the projects which are to be considered full involvement by
FHWA and which projects are to be state administered.
Because of the nature of the ER program, thresholds and
criteria used normally to determine federal oversight may not
be applicable for a particular disaster or damaged site.
- For ER projects requiring federal oversight, normal Federalaid
procedures and requirements will apply.
- All ER projects that do not fall into the category of emergency
repairs required to protect the facility from further damage or
keep the route open for the safe flow of traffic, require
environmental approval per the established programmatic
agreements between FHWA and ODOT.
- FHWA will provide waivers of Federal-aid requirements on ER
Projects when requested by ODOT on a project-by- project
basis, if warranted by conditions and/or work characteristics.
- Monitoring
- FHWA will jointly inspect with ODOT (and LPAs where
applicable), the damaged sites during the development of the
disaster estimate. Depending on the extent of damage, FHWA
may elect to perform a sampling of site inspections.
- FHWA will conduct final inspections of all ER projects requiring
federal oversight.
- FHWA will conduct final inspection of additional ER projects
using a sampling method.
- Performance Indicators
- Track cost of ER projects from Damage Survey Report (DSR)
to final completion.
- Business Standards
- FHWA will respond to an ODOT Letter of Intent to seek ER
funds within 3 working days with an Acknowledgement Letter.
- The ODOT and FHWA will complete a reasonable survey of the
damage and a Damage Survey Report within 4 to 8 weeks of
the event. This may vary depending on the area of impact of
the disaster.
- FHWA will respond to ODOT requests for ER disaster eligibility
supported by the Damage Survey Report within 2 weeks with
a Determination of Eligibility.
- Approved Procedures/Agreements/Manuals
- FHWA Emergency Relief Manual
Top
ENVIRONMENT
- Program Overview
For projects using Federal Highway Trust Funds, the FHWA is the
lead federal agency in integrating the full range of environmental
requirements under a single, unified process that results in
effective and sound transportation decisions.
The FHWA Ohio Division Office has delegated approval authority to
ODOT for Level 1, 2, and 3 categorical exclusions, programmatic
Section 4(f) evaluations for projects being processed with a Level
1, 2, and 3 categorical exclusion and for Section 106. These
delegations are described in the Programmatic Categorical
Exclusion Agreement between FHWA and the ODOT (3/6/03), the
Programmatic Agreement for Applicability Determination and
Programmatic Section 4(f) Between FHWA and the ODOT
(10/10/01) and the Section 106 Programmatic (7/17/06). FHWA
retains its stewardship and oversight responsibility for these
projects through biennial quality improvement reviews.
The Ohio Division retains approval authority Environmental Impact
(EIS) Statement-Record of Decision (ROD), Environmental
Assessment (EA)-Finding of No Significant Impact (FONSI), level 4
categorical exclusion (CE) decisions, Section 4(f) evaluations
(programmatic and individual) for projects being processed with a
Level 4 categorical exclusion, EA or EIS. An EIS is applicable to
projects that significantly affect the environment. An EA is
applicable to projects where the significance of the environmental
impact is not clearly established. A CE is applicable to projects that
do not have a significant environmental effect (excluded from the
requirement to prepare an EIS or an EA).
- Applicable Laws, Regulations, and Orders
- Title 1, Clean Air Act Amendments of 1990
- Section 404 of the Clean Water Act
- Section 7 of the Endangered Species Act
- 42 USC 4321-4347, National Environmental Policy Act as
amended (P.L. 91-190) (P.L. 94-83?
- 49 USC 303 and 23 USC 138, Section 4(f)
- 16 USC 4601 Land & Water Conservation Fund Act, Section
6(f)
- 23 USC 109(h), FHWA Environmental Guidelines
- 23 USC 128 and 23 CFR 140, Public Hearings/Public
Involvement
- 23 CFR 771, 772, 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
- SAFETEA-LU Sections 6001, 6002, 6007, & 6009, and
implementing guidance and regulations
- Program Approval Actions
- ODOT has been delegated programmatic approval authority
for specific categorical exclusions.
- ODOT has been delegated programmatic approval authority
for specific Section 4(f) evaluations.
- ODOT has been delegated programmatic approval authority
for Section 106 determinations and specific consultation
actions.
- ODOT also acts as FHWA's non-federal representative for
informal Section 7 ESA consultation.
- ODOT public involvement procedures have been approved
by FHWA (November 2002).
- Project Approval Actions
- As early as practicable in a project's development, the ODOT
and FHWA will collaborate on the proper environmental
(NEPA) classification for a project: Class I = EIS, Class II =
CE, Class III = EA.
- For all projects that require an action be taken by FHWA,
FHWA and ODOT will work together in the project preengineering
phase to ensure compliance with NEPA and
other applicable laws before an alternative is selected. The
level of involvement is commensurate with the level of
environmental impacts or project complexity.
- FHWA will review and approve Level 4 Categorical Exclusions
and associated Programmatic Section 4(f) Evaluations, EAs,
EISs, Section 4(f) Individual Evaluations, net benefit Section
4(f) evaluations, and Section 4(f) de minimis determinations
which are prepared by ODOT.
- FHWA is also an active member of individual project teams
and helps guide the project planning.
- All documents requiring legal sufficiency review (Final EIS
and Final Section 4(f) Evaluations) are sent to the Office of
Chief Counsel in Olympia Fields, IL by the Division Office
prior to approving these documents. The goal is to provide
legal sufficiency review comments to the Division Office
within 30 days after receipt of the document. Environmental
re-evaluations are conducted through informal consultation
and formal written documentation, when appropriate.
- Monitoring
- The FHWA will monitor compliance with environmental
requirements through project-by-project approval actions,
biennial quality assurance reviews of the ODOT district
offices, and biennial quality improvement reviews of the
ODOT Office of Environmental Services. Additional
monitoring may be done on a program-wide basis using
process reviews.
- Performance Indicators
- Track % of NEPA documents completed on schedule.
- Track % of EAs and EIS' completed on schedule.
- Business Standards
Work Activity |
ODOT Action |
FHWA Action |
Result |
Level 1, 2, or 3 Categorical Exclusion (CE) |
Prepare and Approve |
Periodic Audit |
Approved CE |
Level 4 CE |
Prepare, approve and submit to FHWA for approval |
Approve CE (30 days) |
Approved CE or instructions for revision |
Draft Environmental Assessment (EA) |
Prepare and submit to FHWA for comment |
Review and Comment (30 days) |
Comments |
EA |
Prepare, approve and submit to FHWA for approval |
Approve EA for circulation or return for revision (15 days) |
Approved EA or instructionsfor revision |
Work Activity |
ODOT Action |
FHWA Action |
Result |
Finding of No Significant Impact (FONSI) |
Prepare FONSI request and submit to FHWA |
Prepare and Issue FONSI or notify ODOT of need for EIS (30 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 (15 days) |
Published NOI in the Federal Register |
Cooperating and Participating Agency Request Letters |
Prepare and distribute request letters to State and Local agencies |
Prepare and distribute request letters to Federal agencies (15 days) |
Cooperating & Participating Agencies identified |
Preliminary Draft Environmental Impact Statement (DEIS) |
Prepare and submit to FHWA for review |
Review and comment (30 days) |
Written comments |
DEIS |
Prepare, approve, and submit to FHWA for approval |
Approve DEIS or return for revision (30 days) |
DEIS or instructions for revision |
Draft Final Environmental Impact Statement (FEIS) |
Prepare and submit to FHWA for review |
Review and comment (30 days) |
Written Comments |
FEIS Legal Sufficiency |
Prepare and submit to FHWA for review |
Request Legal Sufficiency review (15 days) |
FEIS Legal Sufficiency |
FEIS |
Prepare, approve, and submit to FHWA for approval |
Approve FEIS or return for revision (15 days) |
FEIS or instructions for revision |
Record of Decision (ROD) |
Prepare a Draft ROD and submit to FHWA |
Review, Revise, and Issue ROD
(30 days) |
ROD |
Major Projects (total cost≥$500 million) – Project Management Plans |
Prepare Project Management Plans (PMP) in accordance with SAFETEA-LU and FHWA-HQ Project Management Plan Guidance. PMPs must be completed and approved prior to issuing ROD or FONSI and prior to issuing request for authorization of Federal-aid funds for right-of-way acquisition or construction. |
Review and approve |
Approved PMP |
Programmatic Section 4(f) Evaluation with Level 1, 2,or 3 CE |
Prepare and approve,submit to FHWA for opportunity to object |
No action required. Division can object to ODOT's approval within 15 days |
Approved Section 4(f) evaluation |
Work Activity |
ODOT Action |
FHWA Action |
Result |
Draft Programmatic Section 4(f) Evaluation with Level 4 CE |
Prepare and submit for FHWA approval |
Approve ProgrammaticSection 4(f) Evaluation or return for revision
(15 days) |
Approved
Section 4(f) Evaluation or instructions for revision |
Draft Individual Section 4(f) Evaluation |
Prepare and submit to FHWA for review |
Review and comment (30 days) |
Comments |
Section 4(f) Legal Sufficiency |
Prepare and submit to FHWA for review |
Request Legal Sufficiency review (30 days) |
Section 4(f) Legal Sufficiency |
Final Section 4(f) Evaluation |
Prepare and submit for FHWA approval; acquire SHPO concurrence |
Review and approve or return for revision (15 days) |
Final Section 4(f) Evaluation or instructionsfor revision |
Section 106 Adverse Effect Determination |
Make determination and forward to the Advisory Council on Historic Preservation |
No action required. |
Adverse EffectDetermination |
Section 106 Memorandumof Agreement (MOA) |
Negotiate MOA with SHPO and consulting parties. If ACHP requests participation, FHWA and ACHP will be signatories to MOA. |
No action required, except when ACHP is a party to MOA. |
Executed Section 106 MOA or instructions for revision |
Draft written
Re-evaluation |
Prepare and submit to FHWA for review |
Review and comment (30 days) |
Comments |
Written Re-evaluation |
Prepare and submit to FHWA for approval |
Approve Re-evaluation or return for revision
(15 days) |
Re-evaluationor instructionsfor revision |
ODOT and FHWA will share respective delivery and response time data, as well as
other relevant information on a quarterly basis.
- Approved Procedures/Agreements/Manuals
- ODOT Project Development Process Manual
- ODOT Location and Design Manual
- ODOT Planning and Environmental Process Manual
- ODOT Public Involvement Guide
- ODOT Ecological Manual
- ODOT Permit Manual
- ODOT Cultural Resources Manual
- Programmatic Categorical Exclusion Agreement between
FHWA and ODOT (3/6/03)
- Programmatic Agreement for Applicability Determination and
Programmatic Section 4(f) Between FHWA and ODOT
(10/10/01)
- Programmatic Section 106 Agreement between FHWA,
ACHP, SHPO, and ODOT (7/17/06)
Top
FINANCIAL MANAGEMENT
- Program Overview
On August 10, 2005, the President signed into law the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEALU)
and represents the largest surface transportation investment in our
Nation's history. SAFETEA-LU builds on ISTEA and TEA-21 supplying the
funds and refining the programmatic framework for investments needed to
maintain and grow our nation's vital transportation infrastructure.
SAFETEA-LU also provides greater emphasis on financial integrity, project
delivery, and major project oversight. Annual reviews are required of State
DOT financial management systems, minimum standards for estimating
project costs are to be developed, and annual reviews of State project
delivery systems are to be conducted. All major projects exceeding $100
million in total cost are required to have finance plans. These new provisions
are designed to strengthen the oversight of projects and increase the
accountability of the State in the project delivery process. Additionally,
SAFETEA-LU affords the ODOT new financing options and greater fund
transfer flexibility.
ODOT recognizes that sound federal financial management stewardship and
oversight encompasses the entire Federal-aid program from the
authorization to proceed with preliminary engineering though construction
and debt retirement. Further, that the correctness and propriety of all
Federal-aid claims are its primary responsibility whether the primary cost
document originates within ODOT or with some third party. This
responsibility is fulfilled by ODOT maintaining adequate and tested financial
and operating policies and procedures and a sound accounting system with
proper internal controls together with suitable audit activities.
FHWA is responsible for overall program oversight and ensuring compliance
with Federal requirements in the delivery of the Federal aid highway
program to protect the public investment and ensure accountability in
Federal-aid expenditures. FHWA's responsibility is implemented through this
agreement and oversight/stewardship activities performed by the FHWA Ohio
Division.
In addition, FHWA recognizes a need for complete understanding of all
pertinent financial and operating policies and procedures of ODOT. It is
FHWA's responsibility to provide technical assistance and advice in funding
and financial areas in a timely manner to meet the processing needs of
ODOT.
The culmination of ODOT's and FHWA Financial Management Stewardship
and Oversight is the annual Federal Managers' Financial Integrity Act
(FMFIA) certification, completed by FHWA OH Division, of internal and
financial controls to substantiate the financial statements.
- Applicable Laws, Regulations and Orders
The Federal-aid highway program is a State administered, Federal assisted
program. Federal-aid highway funds are authorized by Congress to assist
the States in providing for construction, reconstruction, and improvement of
highways and bridges on eligible Federal-aid highway routes and for other
special purpose programs and projects. Below is a list of applicable laws,
regulations, and policies used in implementing the Federal-aid program:
- 23 USC
- 23 CFR
- 49 USC
- 49 CFR
- 48 CFR
- Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy
for Users (SAFETEA-LU)
- Transportation Equity Act for the 21st Century
- Chief Financial Officer Act of 1990
- Federal Managers' Financial Integrity Act of 1992
- Cash Management Improvement Act of 1990
- 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)
- OMB Circular A-123 (Management Accountability and Control)
- OMB Circular A-127 (Financial Management Systems)
- OMB Circular A-133 (Audits of States, Local Governments, and Non-
Profit Organizations)
- Financial Integrity Review and Evaluation (FIRE) Program Order and
Toolkit
- FHWA SAFETEA-LU Implementing Guidance Memorandums
- Program Approval Actions
- FHWA will approve the accounting process used to develop the payroll
additive rates and indirect cost rates.
- FHWA will approve the resolution of OIG and State audit findings
- FHWA will approve the Federal-aid Current Billing
- Project Approval Actions
- FHWA will approve final vouchers, project agreements, and modified
project agreements on all projects.
- FHWA will approve finance plans for major projects exceeding $500
million in total project costs.
- Monitoring
FHWA will monitor all financial management and accounting activities
through process reviews, improper payment reviews, inactive Federal-aid
projects reviews, and Federal-aid billing reviews, as prescribed by the FHWA
Financial Integrity Review and Evaluation (FIRE) program. FHWA will
conduct verification activities to assure that the laws, regulations, policies
and agreements are followed by ODOT in carrying out the assumed
responsibilities.
Reviews will encompass both ODOT and Local Agencies. Through periodic
contact with ODOT personnel, FHWA will provide guidance and technical
assistance in such areas as project finance plan preparation, fiscal document
processing, cost eligibility determinations, financial management and
reimbursement.
FHWA will, to the maximum extent possible, utilize the work of ODOT and
State auditors to limit the scope of FHWA reviews. Risk assessment
techniques will be used where appropriate to determine areas for review.
Additionally, FHWA will promote best practices in financial management and
project funds management to improve the efficiency in the administration of
the Federal-aid program. FHWA will also promote the use of innovative
finance techniques that are effective in leveraging funds, reducing project
costs, or expediting project completion.
- Performance Indicators
- Reduce unexpended obligations on inactive projects, where appropriate.
- No lapsing funds in Federal Fiscal Year.
Business Standards
WORK ACTIVITY |
ODOT ACTION |
FHWA ACTION |
REMARKS |
Rapid Approval State Payments System (RASPS) Billing |
Submits electronically as often as desired |
Act upon within the established deadline. |
Source documentation will be randomlysampled and reviewed by FHWA |
Federal-aid Billing Review |
Responds to requests for information and documentation tovalidate Federal-aid billing transactions from FHWA within 5 working days |
Provide a listing of transactions being reviewed. Upon completion of review provide ODOT with results of Federal-aid Billing Review. |
Results of review used to support annual FMFIA certification. |
| SIB Annual Report |
Prepare annually within
90 days from the end
of the Federal FY |
Review the report and
take appropriate action. |
|
Major Projects (total cost≥$500 million) - Financial Plans |
Prepare financial plans in accordance with SAFETEA-LU and FHWA-HQ Project Financial Plan Requirements Guidance Memorandum.Financial plan must be completed and approved prior to request for authorization of
Federal-aid funds for construction |
Review and approve, as appropriate. |
Some Financial Plans in this category will require FHWA-HQ approval. |
Other Projects (total
cost between $100
million & $500 million)
- Financial Plans |
Prepare financial plans
in accordance with
SAFETEA-LU and
FHWA-HQ Project
Financial Plan
Requirements Guidance
Memorandum.
Financial plan are to be
completed prior to
request for
authorization of
Federal-aid funds for
construction |
Review financial plans
as part of
stewardship and
oversight responsibility |
|
Project Funds Management |
Review quarterly a designated list of inactive projects and submit to FHWA by last day of the month following the end of the quarter certification that the obligations are: (1) proper and valid; (2) the funds are |
Review and take appropriate action to provide reasonable assurance that the obligation amount is valid. Follow-up to ensure unneeded fundsare de-obligated promptly. |
Results of review used to support annual FMFIA certification. |
| |
being used effectively; and, (3) unused funds are properly safeguarded and/or de-obligated to minimize misuse. |
|
|
| Funds TransferRequests |
Prepare and submit Funds TransferRequests |
Review and take appropriate action within 5 working days |
Endorsed Funds Transfer Requests are submitted to FHWA-HQ for further processing. |
| ODOT Single Audit |
Ensure audit is completed as required and copies of audit reports are submitted |
Review and take action to ensure findings are resolved |
Results of review used to support annual FMFIA certification. |
| ODOT Sub-Recipient/ Single Audits |
Review and take action to ensure findings are resolved, submit summary listing to FHWA |
Review and take action to ensure compliance |
|
Final Vouchers/Final
Acceptance |
Prepare and submit |
See Contract
Administration Section |
|
| Monthly Status of Funds, i.e. Advance Construction, etc. |
Prepare and submit |
Review and monitor
provide appropriate
feedback to ODOT. |
|
Year End Document for
Utilization of Federalaid
Funds |
Prepare and submit by September 15th |
Review and act upon within 5 working days |
Documents that require processing must be submitted to ODOT Planning by
September 1 |
| Consultant Audits |
Annually conduct audits & submit listing of audits completed |
Review listing. Sample
periodically to ensure
compliance. |
|
- Approved Procedures/Agreements/Manuals
- ODOT Funds Management Allocation Manual
- Transportation Review Advisory Council (TRAC) Policies and Procedures
- ODOT Capital Programs Business Rules
- ODOT Procedure for Construction Budget Estimating
- ODOT Toll Revenue Credits Policy and Procedures
- ODOT Federal Highway Funding Policy
- ODOT Infrastructure Capitalization Policy
- ODOT Cost Accounting Policy
- ODOT State Highway Capital Improvement Bond and Grant Anticipation
Revenue Vehicles (GARVEE) Bond Policy
- ODOT Auditing Policy
- Infrastructure Capitalization Procedure
Top
INTELLIGENT TRANSPORTATION SYSTEMS
- Program Overview
ODOT works cooperatively with FHWA in development and
implementation of Intelligent Transportation Systems (ITS)
initiatives in Ohio. ODOT has established a multi-disciplinary ITS
Core Team, of which FHWA is a member, to provide a technical
screening and ITS oversight function.
ODOT and FHWA work cooperatively with the Metropolitan
Planning Organizations (MPOs) of the metropolitan areas of
Akron/Canton, Cincinnati, Cleveland, Columbus, Dayton/Springfield,
Toledo, and Youngstown, to promote ITS planning, regional
architecture use, and adoption and integration of ITS at the local
level. The seven metropolitan areas each have a regional ITS
architecture and are actively implementing planning studies related
to ITS deployment. ODOT and FHWA will work cooperatively to
assure that ITS projects are consistent with the National ITS
Architecture, incorporate ITS Standards and are fully integrated.
A primary ITS goal of ODOT is to ensure that transportation
facilities operate efficiently and that no opportunities to provide
integrated ITS features are overlooked during reconstruction.
ODOT and FHWA have formed partnerships in support of safety
and congestion relief initiatives with other State and local agencies,
including fire and law enforcement.
- Applicable Laws, Regulations, and Procedures
- 23 USC Chapter 1
- SAFETEA-LU
Title I Subtitle B section 1201, and
Title V Subtitle C - TEA - 21 Title V Subtitle C
- 23 CFR Part 940
- Program Approval Actions
- Regional ITS architectures for each of the Transportation
Management Areas (TMA) must be developed and maintained to
document the ITS integration strategies and guide the
development of specific projects and programs. FHWA will serve
as a technical resource during the development and revisions of
the regional architectures and will be furnished a copy of the
adopted regional architectures and any amendments. It will be
up to the owners of the regional architecture to decide whether
they want to request FHWA concurrence or acknowledgement of
the regional architecture.
- Project Approval Actions
- All ITS projects (stand alone or ITS incorporated in other work)
need to accommodate the interface requirements and
information exchanges specified in the regional ITS architecture
and there must be a commitment to the operations,
management and maintenance of the overall system. ODOT will
make a determination of conformity of ITS Projects with the
regional ITS architecture. FHWA will concur in the determination
of conformity with the regional ITS architecture consistent with
the project level oversight described in this Agreement.
- All ITS projects need to be developed based on a systems
engineering analysis. ODOT will make a determination of
conformity of ITS Projects with the systems engineering analysis
requirement. FHWA will concur in the determination of
conformity with the systems engineering analysis consistent with
the project level oversight described in this Agreement.
- All ITS projects need to use applicable ITS standards and
interoperability tests that have been officially adopted, by
rulemaking, by US DOT. ODOT will make a determination of
conformity of ITS projects with the ITS standards requirement.
FHWA will concur in the determination of conformity with the
ITS standards requirement consistent with project level oversight
described in this Agreement.
- Congressionally Designated Projects (i.e. ITS Integration
Program) are normally non-construction projects and will be
advanced/approved on a case-by-case basis. Typically, the
projects are designated by earmark in appropriations acts with
specific implementation processes issued by FHWA Washington
Headquarters for each appropriation cycle.
- Monitoring
- FHWA will review project development and review and approved
PS&Es for major ITS projects and other projects selected for
FHWA oversight.
- FHWA will provide ongoing technical assistance on the use of
regional ITS architectures, systems engineering analysis, and
ITS standards, include these areas in routine risk assessment
evaluations, and work cooperatively with ODOT to use process
review techniques to assess and improve processes and
procedures.
- FHWA will participate in project steering committees or other
ongoing oversight processes for all major ITS projects and
congressionally designated ITS projects.
- Business Standards
- ODOT will provide FHWA with copies of ITS regional
architectures or amendments within 30 days of adoption. If the
owners of the regional architectures choose to have FHWA
concur in the Architecture, FHWA will be allowed 3 weeks, from
receipt date, to review and act on the document.
- FHWA will follow prescribed processing requirements for
individual project actions related to regional architecture
conformity, systems engineering analysis completion, and
standards conformity as defined in this partnership agreement.
- FHWA will follow prescribed processing requirements for ITS
"Earmark" projects as defined in Washington Headquarters
instructions issued with each appropriations cycle.
- Approved Procedures/Agreements/Manuals
- Ohio Procedures for Implementing ITS Regulations (23 CFR 940)
- under development
- Regional ITS Architectures for the metropolitan areas of
Akron/Canton, Cincinnati, Cleveland, Columbus,
Dayton/Springfield, Toledo, and Youngstown
- Regional ITS Architecture Guidance (FHWA/FTA)
PROJECT ACTIVITY APPROVAL CHART - ITS Infrastructure Projects
ODOT assumes the FHWA responsibility for all reviews and approvals for design,
construction and final inspection of all ITS projects that are not major ITS
projects. This applies to all ITS projects on NHS and on non-NHS facilities.
FHWA will retain full Federal oversight for major ITS projects, unless it is
determined during project-by-project consultation and mutual agreement by
FHWA and ODOT that ODOT assumes FHWA responsibility.
Definitions:
- ITS Project
An ITS project is one that funds the acquisition of technologies or systems of
technologies that significantly contribute to the provision of one or more ITS
user services as defined in the National ITS Architecture.
- Major ITS Project
Major ITS project means any ITS project that implements part of a regional
ITS initiative that is multi-jurisdictional, multi-modal, or otherwise affects
regional integration of ITS systems.
- Minor ITS Project
A minor ITS project means any ITS project that is not a major ITS project as
defined above.
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Reference Document |
Major ITS Projects |
Minor ITS Projects |
Other Projects by Mutual Agreement |
Regional Architecture Conformity Determination |
23 CFR 940.11 |
FHWA |
ODOT |
FHWA |
Systems Engineering AnalysisDetermination |
23 CFR 940.11 |
FHWA |
ODOT |
FHWA |
ITS Standards Determination |
23 CFR 940.11 |
FHWA |
ODOT |
FHWA |
Special instructions for ITS Projects:
"ITS projects" can be stand-alone construction projects or may be larger projects
that include ITS features. The above listed approval actions apply whether the
ITS project is advanced on either a stand-alone or included basis. All other
stewardship and oversight functions such as environmental determination, right
of way clearance, etc. are project size, system and work type dependent with no
other special processing requirements for ITS purposes beyond routine
stewardship and oversight
PROJECT ACTIVITY APPROVAL CHART - ITS Integration and Deployment Projects (Earmark Projects)
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Reference Document |
Major ITS Projects |
Minor ITS Projects |
Other Projects by Mutual Agreement |
Case-by-case determination |
Instructions issued annually by Headquarters |
FHWA and ODOT |
FHWA and ODOT |
FHWA and ODOT |
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LOCAL PUBLIC AGENCIES
- Program Overview
The Ohio Department of Transportation (ODOT) is responsible for all
requirements of the Federal-aid program, except non-Title 23 actions, as
described in Section II of this Agreement. Since Title 23 U.S.C. does not
recognize local entities as direct recipients of Federal-aid funds, ODOT is
ultimately responsible and accountable for ensuring that Federal-aid
requirements are met on all Local Public Agency (LPA) projects. Although
the ODOT cannot delegate responsibility, activities can be delegated and the
local entities held accountable to the ODOT. In those cases where activities
are delegated to LPAs, the ODOT will review and take actions necessary to
assure local compliance with all requirements of State and Federal laws,
regulations, and policies. The FHWA will work in partnership with the ODOT
on these review and assurance actions.
1. Local Public Agencies
ODOT is permitted to delegate certain activities, under its supervision,
to LPAs under federal regulation 23 CFR 1.11 and 635.105. The Ohio
Revised Code, Section 5501.03 (C) authorizes ODOT to act as agent
and to accept federal funds on behalf of public agencies for
transportation projects. Public agencies include political subdivisions,
other state agencies, boards, commissions, and transit and port
authorities. Nearly all transportation projects under the jurisdiction of
local agencies are projects off the NHS, or eligible projects on non-
Federal-aid public roads or facilities. FHWA project oversight for LPA
projects will follow the guidance in Sections II and V of this
Agreement.
Non-NHS projects administered through ODOT will be designed,
constructed, operated, and maintained in accordance with State laws,
regulations, directives, safety standards, design standards, and
construction standards as permitted under 23 USC 109(o), in lieu of
NHS-based Title 23 U.S.C. requirements (23 USC 106). 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 (as applicable),
advertising for bids, use of convict-produced materials, Buy America
Act provisions, and other requirements. All Federal-aid projects must
comply with applicable non-Title 23 U.S.C. requirements, as described
in Section II of this Agreement.
By written agreement with the local agency, ODOT may delegate all
or some project activities to local agencies, whether or not Federal-aid
is used for the activity. Those activities include, but are not limited
to:
- Environmental studies
- Procurement of consultant services
- Design
- Surveying
- Right of Way acquisition
- Work by railroads or utility companies
- Preparation of plans, specifications and estimates
- Preparation of bid proposal package
- Advertisement for letting
- Contracting
- Contract administration
- Inspection
ODOT retains its responsibilities under Federal law and regulations for
all delegated activities. ODOT will provide the necessary processes,
approvals, oversight, and review to ensure that delegated projects
receive adequate supervision and inspection, and that they are
completed in conformance with approved plans and specifications and
applicable federal requirements.
The following activities will not be delegated to local agencies:
- NEPA Review and Approval
- Design Exception Approval
- Right of Way Certification
- DBE Goals and Waivers
- Final Inspection and Acceptance
- Sole Source and Proprietary Justification Approval
- Labor Compliance Enforcement
- Rejection of Bids
- Project Cost Eligibility
- Federal-aid Payments
- Applicable Laws, Regulations, and Orders
- 23 U.S.C. 106(c)(2)
- 23 U.S.C. 109(o)
- 23 U.S.C. 112
- 23 CFR 1.11
- 23 CFR 635 (for NHS routes only)
- ORC 5501.03(C)
- Program Approval Actions
To the extent permitted in 23 U.S.C. Section 109(o), non-NHS projects
administered by ODOT or LPAs will follow state laws, rules, and standards for
state-aid funded projects, in lieu of Title 23 requirements. For LPAadministered
projects, ODOT shall maintain a Local Program Administration
manual that encompasses the requirements of local governments to utilize
Federal-aid funds. FHWA will review and concur in any additions,
modifications, or changes to such manual. ODOT administered projects will
follow ODOT procedures.
- Project Approval Action
ODOT shall assume the responsibility and represent FHWA in behalf of
administering the Federal-aid system to local governments. The following is
a list of some specific project related actions that shall be performed on
projects that use Federal-aid; however, this list is not a comprehensive list
and is subject to change due to Federal law, regulation, and policy
modification.
- Environmental clearance must be obtained from FHWA or acquired
through ODOT prior to the final design or right-of-way actions.
- Projects will be developed in accordance with ODOT LPA and Location
&Design Manuals, the appropriate AASHTO publication, or other
ODOT-approved standards. ODOT will ensure that there are LPA
written design standards or otherwise the LPAs must use AASHTO
standards.
- ODOT shall review and approve design exceptions and sole source
requests by local agencies.
- ODOT shall review plans, specifications, and estimates of projects
prior to construction authorization for compliance with applicable
State and Federal law, regulation, and policy.
- Procurement of consultant services, to be reimbursed with Federalaid,
will be performed in accordance with ODOT procedures and State
Statutes.
- Project funding will be in accordance with Federal and State
requirements.
- Projects will be let in accordance with State Statutes.
- ODOT shall concur on award of projects let and awarded by local
agencies.
- Projects will be constructed in accordance with the current edition of
ODOT's Standard Specifications or written local specifications. ODOT
will ensure that there are LPA written local specifications or otherwise
the LPAs must use ODOT Standard Specifications. ODOT oversight of
the construction of local projects includes but not limited to the review
and approval of billings; review and approval of change orders, time
extensions, and claims; and final project acceptance.
- For FHWA Oversight projects, review and approval actions will be
undertaken as described elsewhere in this Agreement.
- Monitoring
- FHWA shall review and concur with the ODOT LPA Manual for the
administration of the Federal-aid program to local agencies.
- FHWA may request data at any time to support the administration of the
Federal-aid program.
- FHWA will periodically perform Quality Improvement Reviews (QIR) to
improve the efficiency and accountability of the program.
- Business Standards
FHWA will review and comment on revisions to the LPA Manual and Policy
within 30 days.
Project level approvals will follow agreed business standards described
elsewhere in this Agreement.
ODOT will involve FHWA in decisions involving special and unusual
circumstances at the earliest reasonable time to ensure thorough and
appropriate decisions are made collectively.
- Approved Procedures/Agreements/Manual
- ODOT Locally Administered Transportation Projects Manual of
Procedures
- ODOT Location & Design Manuals
- ODOT Standard Specifications for Construction and Materials
- Ohio MUTCD
- FHWA Contract Administration Manual
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MAINTENANCE AND PRESERVATION
- Program Overview
Title 23 USC defines maintenance as, " ...the preservation of the entire
highway, including surface, shoulders, roadsides, structures, and such trafficcontrol
devices as are necessary for safe and efficient utilization of the
highway." Title 23 further requires a State transportation department to
maintain each project constructed with Federal-aid funds until such time that
it no longer constitutes a part of the Federal-aid system. It is FHWA's role to
see that maintenance of Federal-aid projects is adequate and to provide
technical assistance in disseminating information on successful maintenance
techniques.
Routine maintenance is not eligible for Federal-aid. Preventive maintenance
activities are eligible for Federal-aid provided ODOT demonstrates to FHWA's
satisfaction that the activity is a cost-effective means of extending the useful
life of a Federal-aid highway.
This section of the Agreement pertains to maintenance activities and the
management of maintenance activities that are required to be accomplished
by the ODOT (or caused to be accomplished by the ODOT) to fulfill its
obligation under Title 23 without Federal-aid reimbursement.
- Applicable Laws, Regulations, and Orders
- 23 USC 101 (a) (14)
- 23 USC 109 (o)
- 23 USC 116 Maintenance
- 23 CFR 1.27 Maintenance
- 23 CFR 633.208 Maintenance (Appalachian Contracts)
- MUTCD
- ORC Titles: 1, 3, 7, 15, 27, 41, 45, 49, 55, 57, and 61
- Program Approval Actions
There is no reporting or approval actions associated with maintenance
activities or the management of maintenance activities that are required to be
accomplished by the ODOT (or caused to be accomplished by ODOT).
Preventive Maintenance eligibility determinations will be made by FHWA.
- Project Approval Actions
FHWA approval is not required on a project level for maintenance activities
unless special or unusual circumstances exist. The maintenance agreement,
which is part of the project agreement, is a project level agreement in which
ODOT agrees to maintain the constructed facility.
- Monitoring
As a condition of receipt of Federal funds, ODOT is required to maintain or
cause to be maintained the Federally funded roadways and associated
appurtenances in the state of Ohio. FHWA will review road and bridge
maintenance through a sampling of field observations, process reviews,
program reviews, and Quality Improvement Reviews. Any specific instances
of inadequate maintenance or concerns regarding ODOTs overall
maintenance program will be brought to the attention of ODOT by FHWA.
ODOT, in compliance with 23 USC, formally conveys its maintenance
obligation to the Locals through the use of various agreements.
- Business Standards
ODOT shall provide FHWA County Work Plan summary data upon request.
FHWA shall notify ODOT of instances of inadequate maintenance or concerns
of ODOT's overall maintenance program.
ODOT shall advise the FHWA Maintenance Program Manager of any major
updates or changes to the ODOT Maintenance Program.
- Approved Procedures/Agreements/Manuals
Not Applicable
MAINTENANCE ACTIVITIES |
AGENCY RESPONSIBLE FOR MAINTENANCE/MONITORING |
Interstate
(outside of corporation limits) |
Interstate (inside ofcorporation limits) |
State Highways (outside of corporation limits) |
State highways (inside corporation limits) |
Local Highways (outside and inside of corporation limits) |
FHWA/ODOT |
FHWA/ODOT/Locals |
FHWA/ODOT |
FHWA/ODOT/Locals |
FHWA/ODOT/Locals |
Top
PAVEMENT AND MATERIALS
- Program Overview
Pavement: 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. ODOT is
expected to use a design procedure that is appropriate for their
conditions.
Materials: Subsection (a) of 23 U.S.C. 109 requires that the FHWA
ensure that the plans and specifications for all proposed Federal-aid
highway projects provide for facilities that will adequately serve the
existing and planned future traffic in a manner that is conducive to
safety, durability, and economy of maintenance. To fulfill this
requirement for all Federal-aid highway projects, the FHWA OH
Division prime objectives are to:
- Maintain a close working relationship with ODOT 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.
Furthermore, the 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 ODOT's
quality assurance responsibility as part of its Quality
Control/Quality Assurance (QC/QA) program.
- Assure compliance with, and assist in, maintaining the ODOT
Transportation Technician Qualification Program
- Applicable Laws, Regulations, and Orders
- Title 23 USC, 106, 109, 114
- 23 CFR 625.4 Standards, policies, and standard specifications
- 23 CFR 626 Pavement Policy
- 23 CFR 635 Construction and Maintenance
- 23 CFR 637 Construction Inspection and Approval
- Program Approval Actions
- The ODOT Construction and Material Specifications are
approved by FHWA on a program basis to facilitate project
approvals (typically on a 2-4 year cycle).
- Supplemental Specifications are approved by FHWA on a
program basis.
- Each State must develop a quality assurance program that
will assure that materials and workmanship incorporated into
each Federal aid highway construction project on the NHS
are in conformity with the requirements of the approved
plans and specifications. The program must be approved by
FHWA.
- Project Approval Actions
- FHWA will approve changes in project specifications for
materials on FHWA Oversight projects.
- FHWA will approve Supplemental Specifications for specific
FHWA Oversight projects.
- Monitoring
- FHWA will monitor ODOT's Quality Assurance Program
through construction inspections on FHWA Oversight
projects, as well as process reviews.
- FHWA will monitor the acceptance and testing of materials in
accordance with ODOT's Construction and Material
Specifications and the ODOT Sampling and Testing Manual
on Federal-aid projects through construction inspections and
process reviews.
- Performance Indicators
- Track % of pavement conditions acceptable - General system.
- Track % of pavement conditions acceptable - Priority System.
- Track % of pavement conditions acceptable - Urban System.
- Business Standards
- FHWA will review and respond within 2 weeks to ODOT for
Supplemental Specifications revisions and project materials
specifications.
- FHWA will review and respond within 30 days to ODOT for
substantive changes in its Quality Assurance Program.
- Time to review and approve a complete revision of the
Standard Construction and Material Specifications will be
negotiated prior to the activity.
- See Quality Assurance Program Summary Table for more
business standard details.
- Approved Procedures/Agreements/Manuals
- ODOT Construction and Material Specifications
- ODOT Sampling and Testing Manual
- ODOT Pavement Design and Rehabilitation Manual
- FHWA Contract Administration Manual
ALL NHS - ALL NON-NHS |
Activity/Item |
ODOT Action |
FHWA Action |
ODOT Action |
FHWAAction |
Quality Assurance Program
Materials test methods and updates, Field Sampling and Testing Manual |
Maintain
(on going) |
Review and Act Upon
(10 Working Days) |
ODOT prepares and approves |
No action |
Transportation Technician Qualification Program |
Develop and implement |
Review and Act Upon when updated (10Working Days) |
Required by ODOT |
No action |
Qualified LaboratoryProgram |
Develop and implement |
Review and Act Upon when updated (10Working Days) |
Required by ODOT |
No action |
AASHTO accreditation inspectionreports, use ofoutside testing facility |
Maintain accreditation, submit inspection report, approve outside testing facility |
Review, make recommendations for consideration (as necessary) |
Required by ODOT |
No action |
Ohio Construction and Material Specifications (Supplemental Issues) |
Maintain
(on going) |
Review and Act Upon
(10 Working Days) |
Required by ODOT |
No action |
Material or Product Selection: proprietary products, recycled materials, public interestfindings (23 CFR 635.411) |
Develop and prepare |
Review and approve onFHWA Oversight projects only |
Developand prepare |
No action |
Top
PLANNING
- Program Overview
- Work Programs
Title 23 CFR, Part 420, Planning and Research Program
Administration contains the policies and procedures for
administering activities and studies undertaken by States
and Metropolitan Planning Organizations (MPO) funded
through their respective Work Program or as separate
projects not included in a Work Program.
- Statewide Planning and Research (SPR) Work Program
ODOT prepares the Work Program annually. FHWA
provides pre-program guidance, draft review comments,
approves the Work Program, and authorizes SPR funds.
FHWA monitors the work throughout the year using dayto-
day involvement as appropriate. ODOT submits
progress reports to FHWA.
- MPO's Unified Planning Work Program (UPWP)
The UPWP is prepared annually by each MPO and
reviewed by ODOT, FHWA and Federal Transit
Administration (FTA). FHWA and FTA comments are
provided to the MPO jointly with ODOT's, or may be
provided individually through the MPO's Technical
Advisory Committee review process. FHWA authorizes
Urban Planning Funds upon joint FHWA/FTA approval of
the UPWPs. These funds are traditionally referred to as
"PL" funds. ODOT and FHWA monitor the Work Program
through progress and annual reports and by participation
in MPO meetings.
- Statewide Transportation Planning
Title 23 CFR, Part 450, Subpart B, addresses the
requirements of the statewide transportation planning
process.
- Statewide Long Range Transportation Planning
Ohio DOT develops a Statewide Long Range
Transportation Plan which considers all modes of
transportation. The Plan (Access Ohio) covers at least a
20-year planning horizon, considers the eight planning
factors as outlined in the CFR, and provides an
opportunity for public comment.
- Statewide Transportation Improvement Program (STIP)
Ohio DOT develops a STIP containing all projects to be
funded by FHWA and FTA for a four (4) year period. The
STIP is updated biennially by Ohio DOT and submitted to
FHWA and FTA for approval every year. Projects
contained in the STIP must be consistent with the
Statewide Transportation Plan and the MPO TIPs, and
must include public involvement and provide interested
parties a reasonable opportunity to comment on the
proposed program. Along with the STIP, Ohio DOT will
certify that the projects in the STIP are based on a
planning process that meets the requirements of 23
U.S.C. 134 and 135, 49 U.S.C. 5303, and 23 CFR 450.
- Metropolitan Transportation Planning
- MPO Long Range Transportation Plan
Title 23, CFR Part 450, Subpart C, addresses
metropolitan planning requirements. Each MPO must
update their Long Range Transportation Plan every 4
years for non-attainment and maintenance areas and
every 5 years for attainment areas which: covers at least
a 20-year planning horizon, includes long range and
short range strategies which lead to an integrated
Intermodal plan; includes a financial plan which
compares estimated revenues with costs of construction,
maintenance, capital purchases and operations;
considers the eight planning factors; and provides
opportunity for public comment.
- MPO Transportation Improvement Program (TIP)
Each MPO, in cooperation with the State and its public
transit operators will prepare and update a TIP each year
covering at least four (4) years. The TIP shall include all
projects requiring FHWA and FTA approval; include a
priority list of projects to be carried out in the first four
(4) years; identify each project or phase; and be
financially constrained by year. The TIP development
process must provide a reasonable opportunity for public
comment. Highway and transit projects must be selected
in accordance with the specific funding programs.
- Consolidated Planning Grant (CPG)
In 1997, the ODOT agreed to be a CPG pilot state and
continues to be the lead Agency for carrying out all State
and metropolitan planning activities between Ohio and
the MPOs.
The CPG program allows ODOT and MPOs to develop
annual Unified Planning Work Programs (UPWPs) that will
address intermodal transportation needs. Since all
Federal FHWA and FTA planning funds, , are pooled in
the CPG, this process eliminates the need of keeping
track of the different categories of federal planning funds
as they are spent on various UPWP activities. The
accounting and billing process is simplified; and ODOT,
as a lead agency, draws down the necessary funds to
cover the expenditures as substantiated by MPO invoices
and ODOT reimbursement payments.
- Traffic Monitoring
Title 23 CFR, Part 500 provides the regulatory guidance for
the development and operation of a traffic monitoring
system for highways including traffic counting, vehicle
classification, and weigh-in-motion programs. The system is
guided by the "AASHTO Guidelines for Traffic Data
Programs," augmented by the FHWA "Traffic Monitoring
Guide" and the "Highway Performance Monitoring System
Field Manual."
- Highway Performance Monitoring System (HPMS)
Title 23 CFR, Part 420 addresses the policy for states to
provide data that support FHWA's responsibilities to the
Congress and to the public. The "Highway Performance
Monitoring System Field Manual" provides instructions for
collecting and reporting quality and timely data in the
condition and performance of the highways and streets.
- Highway Statistics Reports
Title 23 CFR, Part 420 addresses the policy for states to
provide data that supports FHWA's responsibilities to the
Congress and to the public. The "Guide to Reporting
Highway Statistics" manual provides instructions for
complying and reporting: motor fuel consumption, motor
fuel tax revenues, motor vehicle registrations and fees,
driver licenses and fees, highway income and expenditures,
debt service, and highway capital outlay and maintenance
expenditures which traditionally is referred to as the "500
series reports."
- Certification of Public Road Mileage
Title 23 CFR, Part 460 addresses the policies and procedures
for identifying and reporting public road mileage for
utilization in the statutory formula for the apportionment of
Highway Safety funds under 23 U.S.C. 402(C). By June 1 of
each year, the Governor or ODOT Director certifies the
public road mileage in the state as of the end of the previous
calendar year. In Ohio, the ODOT Director has been
selected as the Governor's designee.
- Certification of Enforcement of Heavy Vehicle Use Tax
Title 23 CFR, Part 659 prescribes requirements for states to
follow in order to annually certify that proof of payment of
the Federal Heavy Vehicle Use Tax is obtained before
individuals can register their heavy trucks. By July 1 of each
year, the Governor or ODPS Director certifies that Ohio is
obtaining proof of payment of the Heavy Vehicle Use tax as
a condition of registration. The 12 month certification period
ends May 31. In Ohio, the ODPS Director has been selected
as the Governor's designee.
- Applicable Laws, Regulations, and Procedures
- Title 23 CFR, Part 420
- Title 23 CFR, Part 450, Subpart B
- Title 23 CFR Part 450, Subpart C
- Title 23 CFR, Part 460
- Title 23 CFR, Part 470
- Title 23 CFR, Part 500
- Title 23 CFR, Part 659
- Program Approval Actions
FHWA approval is on an annual basis for all the programs listed
above and where noted on the following chart. As a condition for
receipt of federal funds, ODOT agrees to develop plans and work
programs for statewide, metropolitan, and other transportation
planning activities. FHWA will review these plans and programs to
assure they meet applicable laws and regulations.
Programs requiring oversight include:
- State and metropolitan planning sub-programs under the State
Planning and Research Program.
- Statewide transportation planning process, including the STIP.
- Metropolitan Planning Organization transportation planning
process.
ODOT must also submit other planning related reports to FHWA.
The reports include information on public road mileage for
apportionment of highway safety funds; information collected from
the Highway Performance Monitoring System; and information
relating to the identification of Federal-aid highways, the functional
classification of roads and streets, the designation of urban area
boundaries and the designation of routes on the Federal-aid
highway systems.
FHWA will serve on the MPOs Technical Advisory Committees as an
advisor and not as a voting member. Through FHWA/ODOT's
involvement with the MPOs, both agencies will continue to stress
the importance of the public involvement process and will assist in
applying appropriate levels of environmental consideration during
the planning process to result in a more feasible, efficient, and
acceptable transportation planning product.
- Project Approval Action
Projects not originally included in an approved work program or
TIP/STIP will need individual project approval from FHWA. An
amendment to the appropriate planning document also needs to be
processed.
- Monitoring
ODOT will monitor all SPR activities, including those of subrecipients
(local governments including county, municipalities, etc.)
to assure the work is being managed and performed satisfactorily
and that time schedules are being met. ODOT will submit a report
annually to FHWA documenting the results of its monitoring
process.
ODOT will review its long-range transportation plan every 5-years
to assure it still meets the goals and objectives in the plan. If
necessary, the ODOT will update or rewrite the long range
transportation plan.
FHWA and ODOT periodically monitor MPO plans and activities to
ensure they are in conformance with all applicable federal and state
guidelines.
FHWA conducts certification reviews of Transportation Management
Areas (TMA) on a four (4) year cycle and periodic reviews of the
non-TMAs.
- Performance Indicators
- Track % deviation from STIP - Total Program.
- Track % deviation from STIP - ODOT Program.
- Track % deviation from STIP - Local Program.
- Business Standards
ODOT will provide FHWA at least 30 days to review and comment
on the draft and final Statewide Transportation Improvement
Program, Metropolitan TIPs, State Planning and Research Work
Program, the MPO UPWPs and the Statewide and Metropolitan
Long Range Transportation Plans.
ODOT will involve FHWA in decisions involving special and unusual
circumstances at the earliest reasonable time to ensure thorough
and appropriate decisions can be made collectively.
- Approved Procedures/Agreements/Manual
The ODOT is required to submit to FHWA and FTA, for joint
approval, a Statewide Transportation Improvement Program. Under
SAFETEA-LU, the ODOT is required to update the STIP and submit
for approval to FHWA and FTA at least every 4-years.
ODOT and the MPOs shall annually certify to FHWA that the
planning process is addressing the major issues facing the area and
is being conducted in accordance with all applicable requirements.
This certification is submitted with the annual Unified Planning
Work Programs.
- Joint FTA/FHWA Planning Memorandum of Agreement (MOA)
- ODOT's MPO Administrative Manual.
PROGRAM ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Ref.
Source |
Review |
Approve |
Remarks |
20-YR Statewide TransportationPlan |
23 CFR 450.214 |
FHWA |
ODOT |
FHWA reviews and comments on LRTP but no official approval action is taken. |
Statewide TransportationImprovement Prog. (STIP) |
23 CFR 450.216 |
FHWA |
FHWA/FTA |
Minimum 4 year period; update required every 4years; |
State Planning& Research (SPR) Work Program |
23 CFR 420.11 |
FHWA |
FHWA |
ODOT annuallydevelops work program. |
Highway Performance Monitoring System (HPMS) Annual Data Submittal from State and Field Verification Review and Report |
23 U.S.C. 307 (h) |
FHWA |
None |
FHWA HQ required Field Verification review to be conducted bythe Division Offices. Based on this review, the Division Office recommends the acceptance of theHPMS data for funding apportionment and allocationpurposes. ODOT submits HPMS Submittal by June 15th of each year. |
Certification ofPublic Road Mileage |
23 CFR 460.3 |
FHWA |
None |
Due by June 1st of each year. |
Heavy Vehicle Use Tax Annual Certification byState & TriennialDivision Office Review |
23 CFR 669.21 |
FHWA |
None |
State Department of Revenue required to certifythat HVUT is being collected. FHWA HQ recommends a review be completed every 3years. |
Highway Statistics: 500 Series Reports |
23 CFR 420.105 |
FHWA |
None |
ODOT is required to submit several HighwayStatistics forms annually. |
Traffic volume MonthlyAutomated Traffic Recorder Data |
23 CFR 1.5 |
FHWA |
None |
ODOT submits required ATR data reports directly to FHWA HQ. |
Annual Truck Weight Characteristics Data |
23 CFR 1.5 |
FHWA |
None |
ODOT annuallysubmits required data directlyto FHWA HQ. |
Metropolitan 20-Year LongRange TransportationPlan (LRTP) |
23 CFR 450.322 |
FHWA & ODOT |
MPO |
FHWA & ODOT reviews and comments on Metropolitan LRTPs but no official approval action is taken by FHWA. |
Metropolitan Transportation Improvement Program (TIP) |
23 CFR 450.324 |
FHWA & ODOT |
Governor or Designee |
Minimum 4 year period; updatedat least every 4 ears.FHWA reviewsand comments on TIPs. All TIPsare developed bythe MPO and included in the STIP byreference which is approved by FHWA. |
Metropolitan Unified PlanningWork Program |
23 CFR 450.314 |
FHWA & ODOT |
FHWA/
ODOT |
MPOs annually develop andsubmit work program by MPO. FHWA & ODOT reviews and comments on UPWPs from each MPO. |
TMA Planning Certification Process Reviews in MPOs greater than 200,000. |
23 CFR 450.334 |
FHWA & ODOT |
FHWA |
TMA Planning process reviews in Akron, Canton, Cincinnati, Cleveland, Columbus, Dayton, Toledo, andYoungstown are completed on a 4-year cycle. |
Vehicle (Truck) Size and WeightEnforcement Certification |
23 CFR Part 657 |
FHWA |
FHWA |
State is responsible forenforcing vehicle size and weight laws. State is required to developa plan for maintenance of an effective enforcement process. Each State plan isapproved byFHWA and will then serve as a basis bywhich the annual State certification of enforcement will be judged. In Ohio, this Certification is completed by the State Highway Patrol. |
Top
RESEARCH, DEVELOPMENT, & TECHNOLOGY TRANSFER
- Program Overview
The purpose of the program is to implement the provisions of 23
U.S.C. 504 and 505 for research, development, technology transfer,
programs, and studies undertaken with FHWA planning and
research funds.
- 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, which is prepared by ODOT's Planning Division and
(2) Part II, Research, which is prepared by ODOT's Office of
Research. ODOT is responsible for preparation and overall
coordination of the Work Program in accordance with 23
CFR 420. The SPR Program operates on a state fiscal year
basis with program approval every 2 years. Amendments
and revisions are submitted periodically for approval.
- Local Technical Assistance Program (LTAP)
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
U.S.C. 504(b). The Ohio LTAP center is located within the
Ohio Department of Transportation.
The Ohio LTAP conducts biennial surveys of local agency
training needs. The survey results are used as the basis for
developing the curriculum of technical workshops and
deployment training courses offered during the next two
years.
- Applicable Laws, Regulations, and Procedures
- 23 USC applies to all research and technology transfer
activities
- Title 23, CFR, Part 420 and 450 apply to State Planning and
Research Program Administration
- ODOT Research, Development and Technology Transfer
Manual of Procedures
- ORC, Section 5501
- Program Approval Actions
ODOT will administer the research program in accordance with the
ODOT Research, Development and Technology Transfer Manual of
Procedures, which has been reviewed and approved by the Division
Office. Significant changes to this manual shall be submitted to the
FHWA Division Office for approval.
The research work program is submitted to the Division Office as
Part II of the ODOT's Planning and Research Work Program.
Currently, the Division Office approves the research work program
on a biennial basis. The ODOT's research work program shall meet
the requirements of 23 CFR, Part 420.209(a)-(c).
Ohio LTAP coordinates with the FHWA to draft an annual Work Plan
based on the State fiscal year. FHWA reviews the draft LTAP Work
Plan. FHWA comments are incorporated into the draft and the final
version is approved by FHWA.
- Project Approval Action
ODOT will identify and implement research projects that address
high priority transportation issues. An interactive process involving
ODOT management and Research Advisory Committee (RAC)
members as described in the ODOT Research Program Manual shall
be used for the identification and prioritization of projects to be
included in the research work program. ODOT shall determine the
funding level at which the identified and prioritized projects will be
supported with FHWA research funds.
Other types of projects, including Experimental Features,
Demonstration Projects, Application Projects, Test and Evaluation
Projects and Special Projects, will be approved by the FHWA
Division Office.
- Monitoring
In regards to the SPR, the FHWA exercises its oversight
responsibilities through review of the work program prior to
approval actions, review of SPR Work Program amendments prior
to approval, and ongoing participation of its technical specialists in
research study technical panels. As appropriate, FHWA personnel
may participate in peer exchanges.
The ODOT will submit, annually, to the FHWA Division Office
performance and expenditure reports that meet the requirements
of 23 CFR, Part 420.117, (a)-(c).
The ODOT will host a peer exchange and report their findings to
the FHWA Division Office in accordance with 23 CFR, Part 420.209.
The interval between peer reviews will not exceed three years. In
addition, the ODOT program manager participates in peer
exchanges hosted by other States and uses the knowledge gained
to improve the research program.
FHWA participates in the ODOT RAC process which reviews
research program progress and provides recommendations on
program priorities and projects.
FHWA provides oversight to the LTAP program through review of
the annual work plan.
- Performance Indicators
- Track number of research studies that have results
implemented.
- Business Standards
FHWA will review and provide comments on the draft and final
State Planning and Research Work Program within 30 days.
ODOT will involve FHWA in decisions involving special and unusual
circumstances at the earliest reasonable time to ensure thorough
and appropriate decisions can be made collectively.
FHWA will review and approve the LTAP annual work plan within 14
days.
- Approved Procedures/Agreements/Manual
- ODOT State Research, Development, and Technology
Transfer Manual of Procedures.
PROGRAM APPROVAL CHART
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Ref.
Source |
Review |
Approve |
Remarks |
State Planning & Research
(SPR) Work Program Part II |
23 CFR 422.09 |
FHWA |
FHWA |
Annually developed work program |
LTAP |
23 USC 504(b)(1) and (2) |
FHWA |
FHWA |
Annually developed work plan. |
Top
RIGHT-OF-WAY
- Program Overview
The purpose of this section is to address the right-of-way (ROW)
functional areas of appraisal, acquisition and relocation, the
principal activities used to acquire space for highway projects.
These right-of-way activities are covered under Title 49 CFR (24),
which has no provision for exemptions under Title 23 U.S.C.
Therefore, the rules of Title 49 and Title 23 apply in the situation
where Federal aid is being used to fund the right-of-way activity
and/or if Federal-aid is being used to fund the project.
The work activities listed below are covered under 23 CFR and
require specific approval and/or oversight by FHWA:
- ROW certification
- State ROW operations manual
- ROW authorization
- Air rights on the interstate
- Airspace leases/joint use agreements
- Sale/transfer of excess ROW
- Early acquisition, protective buying, and hardship
- Functional replacement
- Highway beautification
The work activities listed below are covered in 23 CFR and do not
require specific program or project approvals, but are not
exempted from FHWA oversight under Title 23 U.S.C.:
- Direct eligible costs including administrative, legal and court
settlements.
- Real property donations
- Applicable Laws, Regulations, and Orders
- 49 CFR 24, Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs
- 49 CFR 18, Uniform Administrative Requirement for Grants
and Cooperative Agreements to State and Local
Governments
- 23 CFR 1.23, Use of Right of Way
- 23 CFR 620, Subpart B, Relinquishment of Highway Facilities
- 23 CFR 635.309, Right-of-Way Certification
- 23 CFR 646.216, Railroad RW
- 23 CFR 710, Right-of-Way and Real Estate
- 23 CFR 750, Highway Beautification
- 23 CFR 751, Junkyard Control and Acquisition
- Program Approval Actions
The approval of the ODOT Right-of-Way Operations manual is a
program approval action required by 23 CFR 710.201(c).
- Project Approval Actions
FHWA project-level approval actions include authorization of
federal-aid right-of-way activities, early acquisition approval,
acceptance of project right-of-way certifications, etc. See the
Project Activity Approval Chart for more detail.
- Monitoring
- Even though there are no exemptions 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. The second
level relates to where Federal-aid funds are not used in right
of way but are used for construction. Although the ROW
regulations must be followed under both levels, less
attention is given to the reasonableness of the actual dollar
expenditures made for ROW activities on those projects
where there is no Federal-aid in the ROW activities, provided
they meet the minimum criteria of 49 CFR 24.
For the first level of projects, there is a dual concern for
the rights of property owners and displaced persons and the
stewardship of the federal dollars. However, it should be
stated that for all practical purposes, the ODOT R/W staff
does not distinguish whether Federal funds are in the R/W
phase and essentially treats all acquisitions the same.
Continuous review by FHWA of the State's activities is
accomplished through two primary review techniques. The
first is through Quality Assurance Reviews (QARs) which are
initiated by ODOT but in which FHWA personnel participates.
The second is through Quality Improvement Reviews (QIRs)
which are initiated by FHWA and cover topics of a particular
function which are selected through a Risk assessment.
- 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
ODOT. As stipulated in 23 CFR 710.201(b),ODOT is
responsible for assuring that ROW acquisitions by local
public agencies are made in compliance with Federal and
State laws and regulations. However, FHWA continues to
also monitor this process through periodic QIRs and both
ODOT and local agency right-of-way program activity, as
well as the ODOT's oversight of local agency ROW activity is
subject to review by FHWA at any time. Review and
technical assistance in the Highway Beautification program
are also provided by FHWA.
- Right-of-Way Operations Manual
- ODOT is responsible for full compliance with FHWA
requirements.
- Future changes to a manual, because of new FHWA
requirements or changes in State law, etc., will be
submitted to FHWA for acceptance within a
reasonable period of time.
- In-house administrative manual changes should be
transmitted to FHWA for informational purposes.
- In accordance with 23 CFR 710.201(c), ODOT shall
certify to the FHWA every five years that the Right-of-
Way Operations Manual is current and in compliance
with federal and state laws and regulations.
- Performance Indicators
- Monitor % of Right-of-Way acquisition cases filed for
appropriation.
- Business Standards
| Work Activity |
ODOT Action |
FHWA Action |
Result |
| Appraisals |
Review, Certification,
and Approval – All
Projects |
|
Appraisal Reports |
| Acquisitions |
Performance and
Approval – All
Projects |
|
Property
Ownership/Title,
Easements |
| Relocations |
Performance and
Approval – All
Projects |
|
Relocations |
ROW Authorizationsand Agreements |
Requests |
Authorize – All Projects (7 days) |
Authorization & Agreements |
ROW Certification |
Approve |
Approve (7 days) |
Certificates |
Functional Replacement |
Approval and Oversight |
Concur (14 days) |
Functional Replacement of Real Property |
Air Rights – Interstate |
Request |
Review and Approve (14 days) |
Airspace Agreement |
Airspace Leases/JointUse Agreements |
Approve & Oversight Non-Interstate |
Approve – Interstate (14 days) |
Leases/Agreements |
Disposal of Excess ROW |
Approve Non-Interstate, with no Federal funds in R/W |
Review and Approve Interstate or if Federal funds used and less than Fair Market Value |
Property Sale & Revenue to Transportation Fund |
Federal Land Transfer |
Prepare Request |
Review and Approve (90 days) |
Transfer Deeds |
Early Acquisition, Hardship, Protective Buying |
Prepare Submission |
Review, Approve, and Authorize (14 days) |
Property Ownership |
ROW Operations Manual |
Prepare Manual |
Review and Approve (30 days) |
Manual |
Highway Beautification |
Prepare Request |
Review and Approve (30days) |
Manual |
Administrative, Legal,and Court Awards |
Approve |
Stewardship & Oversight |
Property Acquisition |
Access Control – Disposal and Changes |
Approve Non-Interstate, with no Federal funds in R/W |
Review and Approve all Interstate or ifFederal funds used and less than Fair Market Value (14 days) |
Disposition/Change |
Early Acquisition Cost |
Approve |
Concur (14 days) |
Reimbursement/Matching Credit |
- Approved Procedures/Agreements/Manuals
- ODOT ROW Operations Manual
- ODOT Local Public Agency Manual
PROJECT ACTIVITY APPROVAL CHART
PROJECT ACTIVITIES |
AGENCY RESPONSIBLE |
Approval Action |
Reference Document |
Interstate |
Non-InterstateNHS |
Non-NHS Projects |
Other Projects Subject to FHWAOversight byMutual Agreement |
Appraisals |
49 CFR 24 |
ODOT |
ODOT |
ODOT |
ODOT |
Acquisitions |
23 CFR 710 |
ODOT |
ODOT |
ODOT |
ODOT |
Relocations |
49 CFR 24 |
ODOT |
ODOT |
ODOT |
ODOT |
ROW Authorizationsand Agreements |
23 CFR 710 |
FHWA |
FHWA |
FHWA |
FHWA |
ROW Certification |
23 CFR 710
23 CFR 635 |
FHWA |
FHWA |
ODOT |
FHWA |
Functional Replacement (Federal Funds in ROW) |
23 CFR 710 |
FHWA |
FHWA |
FHWA |
FHWA |
Air Rights – Interstate |
23 CFR 710 |
FHWA |
N/A |
N/A |
N/A |
Airspace Leases/Joint Use Agreements |
23 CFR 710 |
FHWA |
ODOT
FHWA* |
ODOT
FHWA* |
FHWA |
Disposal of Excess ROW |
23 CFR 620
23 CFR 710 |
FHWA |
ODOT
FHWA* |
ODOT
FHWA* |
FHWA |
Federal Land Transfer |
23 CFR 710 |
FHWA |
FHWA |
FHWA |
FHWA |
Early Acquisition, Hardship, Protective Buying |
23 CFR 710 |
FHWA |
FHWA |
FHWA |
FHWA |
Administrative, Legal, and Court Awards |
23 CFR 710 |
ODOT |
ODOT |
ODOT |
ODOT |
Access Control – Disposal and Changes |
23 CFR 620
23 CFR 710 |
FHWA |
ODOT
FHWA* |
ODOT
FHWA* |
FHWA |
* Below fair market value if Federal funds used in R/W
Top
SAFETY
- Program Overview
- Strategic Highway Safety Plan (SHSP)
Title 23 USC Section 148 requires that each state develop and
implement an SHSP to ensure that the state focuses its resources
on the most critical safety needs while addressing them from the
perspectives of the "4E's" - engineering, education, enforcement
and emergency medical services. Federal, State, local, and other
stakeholder representatives comprise a Steering Committee which
is responsible for developing and updating the SHSP. This
document is required to be updated periodically (4-5 years but may
be updated as needed) to ensure that it remains reflective of the
State's safety problems. FHWA approves the process for the initial
approval and serves as a member of the State's steering
committee.
- Highway Safety Improvement Program (HSIP)
Title 23 USC Section 148 establishes a program area for purposes
of hazard elimination and rail-highway crossing safety. This
program also includes addressing safety on High Risk Rural Roads.
ODOT performs HSIP components of Planning, Implementation,
and Evaluation to accomplish requirements of the program for
highway locations; Ohio Rail Development Commission (ORDC)
[statutorily, ORDC is an independent agency within ODOT]
performs this for rail-highway grade crossing portion of this
program. These components involve: identification of high-crash
locations, developing an annual program to address the locations,
and an annual report on progress and effectiveness. FHWA is
involved in all components with both agencies, both formally and
through informal technical assistance.
- Safe Routes to School (SRTS)
Section 1404 of SAFETEA-LU established this program to: (1) to
enable and encourage children, including those with disabilities, in
grades K - 8 to walk and bicycle to school; (2) to make bicycling
and walking to school a safer and more appealing transportation
alternative, thereby encouraging a healthy and active lifestyle from
an early age; and (3) to facilitate the planning, development, and
implementation of projects and activities that will improve safety
and reduce traffic, fuel consumption, and air pollution in the vicinity
of schools. FHWA is a member of the ODOT SRTS Advisory
Committee, both formally and through technical assistance.
- Section 164 (Repeat Offender) Penalty Transfer Program
A percentage of the State's Federal-aid funds from the Interstate
Maintenance Program, Surface Transportation Program and/or
National Highway System Program are transferred annually from
those programs for highway safety purposes. These funds are
eligible only for projects involving alcohol countermeasures or
hazard elimination safety construction. This program is unique in
that the transferred funds are taken from the FHWA
apportionments and placed in the National Highway Traffic Safety
Administration (NHTSA) Section 402 apportionment for fiscal
delivery.
Alcohol countermeasure projects are fully administered by NHTSA.
Safety construction projects are partially administered by FHWA
and partially administered by NHTSA. FHWA verifies eligibility of
these projects and does a consistency review of the annual HSIP
program to the Section 402 Program. Although funding for the
safety construction projects is administered by NHTSA, FHWA
remains involved in the same manner as described for the HSIP
and 402 programs.
- 402 Highway Safety Program
Title 23 USC Section 402 establishes a program area for roadway
safety that is "non-construction" oriented. FHWA-funded activities
target identification and surveillance of crash locations; highway
design, construction, and maintenance; traffic engineering services;
and pedestrian and bicycle safety
NHTSA has been delegated the lead role in handling financial and
administrative aspects of FHWA's portion of the program.
ODPS prepares an annual Highway Safety Plan (HSP) as the
planning component of the program, submits a certification
statement, and issues a benchmark report. Federal approval is
provided by NHTSA in the form of a letter acknowledging ODOT's
submission. NHTSA is the lead agency in working with ODOT on
using the results of the evaluation process, with FHWA available to
provide technical support either to ODPS or NHTSA in the area of
roadway safety.
- Crash Data Collection and Analysis
Title 23 USC 148 requires each state to use data covering all public
roads in order to ensure that ODOT is making funds available to
the appropriate local political authorities to improve safety at these
locations. FHWA serves member of the State's Traffic Records
Coordinating Committee, which is charged with improving the
quality and timeliness of crash data from all law enforcement
agencies within the state.
- Applicable Laws, Regulations, and Orders
- 23 USC Sections 130, 148, 159, 163, 164, 315, 402
- 23 CFR Part 646, Part 924 and Part 1200
- Program Approval Actions
- 23 USC Sections 130 and 148: ODOT provides an annual
program evaluation report under the Highway Safety
Improvement Program (HSIP), including Hazard Elimination
Projects, High Risk Rural Roads, identification of the top 5%
of the state's most hazardous locations, and Rail Crossing
Improvement Projects. FHWA reviews the State's
submission for compliance with the approved guidance
regarding the annual reporting requirements.
- 23 USC Section 148: ODOT will submit Ohio's SHSP to
FHWA for approval that the State has followed the
prescribed process for coordination with its safety partners
as outlined. FHWA will review, and approve, the State's
submission using the SHSP Checklist developed by FHWA
HQ.
- 23 USC Section 148: ODOT will submit an implementation
plans for each emphasis area of Ohio's SHSP to FHWA for
approval. FHWA will review the implementation plans to
ensure that they meet both State & National emphasis
areas.
- 23 USC Section 159: ODPS will submit an annual
certification to FHWA indicating either opposition to or
enactment/enforcement of a law requiring the revocation or
suspension of drivers' licenses of individuals convicted of
drug offenses. FHWA will ensure that the certification
language meets the requirements of 23 CFR 192.
- -23 USC Section 163: ODOT must annually jointly notify
FHWA and NHTSA of the intended use of the Section 163
incentive funds. FHWA will coordinate with NHTSA to
ensure that the funds will be expended in accordance with
this regulation
- 23 USC Section 164: ODOT & ODPS must submit a
notification to FHWA and NHTSA identifying how the Repeat
Intoxicated Drivers penalty transferred funds will be used.
ODPS will include all Section 164 penalty transfer projects in
the annual Highway Safety Plan (HSP) developed under
Section 402. It will also include any Section 164 Penalty
Transfer Projects advanced as hazard elimination safety
construction projects based on Section 148 criteria in the
annual program of projects under the Highway Safety
Improvement Program.
- 23 USC Section 402: FHWA will coordinate with NHTSA on
program based Federal actions necessary under the Section
402 Program.
- Project Approval Actions
- FHWA will verify that projects are in the current HSIP, and
approve project authorizations, modified project agreements
and final vouchers on all Section 130 and 148 projects.
- FHWA will collaborate with NHTSA on any project level
action required for Section 402 projects.
- Section 164 Penalty Transfer Projects, though handled by
NHTSA due to transfer to Section 402, will be handled by
FHWA similar to Section 148 projects, following partnership
agreement procedures except that no financial actions will
be taken by FHWA.
- Monitoring
- FHWA participates as a team member in ODOT-led task
forces and teams that are formed as needed to address
perceived needs or problems.
- FHWA participates as a member of the ODOT Traffic Control
Review Team that is responsible for assessing work zone
traffic control practices and safety, as well as new traffic and
safety-related technology and devices
- FHWA may conduct inspections, including finals, on a
statewide sampling basis through annual and process
reviews
- FHWA will provide ongoing technical assistance in the
planning, implementation, and evaluation components of the
HSIP, and will work cooperatively with ODOT to use process
reviews to assess and improve procedures.
- FHWA will support NHTSA in monitoring of Section 402
Program activities by participating in periodic management
reviews conducted by NHTSA and by working cooperatively
with ODOT
- ODOT will monitor the Safety and Congestion Work Plan
- Performance Indicators
- Reduce highway fatality rate.
- Reduce frequency of crashes 10% by 2015.
- Complete all high crash location studies by June 30th of each year.
- Business Standards
- FHWA will review and approve future revisions to the SHSP
and the process used to develop such revisions for
compliance with 23 USC 148 within 30 days.
- FHWA will approve revisions to the HSIP within 2 weeks
- Approved Procedures/Agreements/Manuals
- ODOT Highway Safety Program (ODOT Policy 122-002(P))
Section 130 Projects - Rail-Highway Grade Crossings:
The ORDC uses the "simplified" procedure contained in 23 CFR 646.218 for
advancing all rail/highway grade crossing projects to the construction stage.
ODOT will work with the railroad and local road authority (when necessary) to
develop a fully executed agreement, right of way certification and detail estimate
for the project. Upon authorization by FHWA, ORDC will authorize the railroad to
proceed with construction for each location.
Section 130 projects are funded with a 90% Federal share and 10% State or
Local match. It is ORDC and FHWA policy to assure that adequate warning devices are
selected and installed when Federal funds are used at rail/highway grade
crossings. The determination of adequacy is made cooperatively between the
railroad company, the road authority having jurisdiction over the highway, ODOT
and FHWA. As a condition of the construction funding request submitted to
FHWA, ODOT and FHWA agree that FHWA obligation of funds serves as Federal
approval of a determination of adequacy pursuant to 23 CFR 646.214(b).
Top
SPECIFICATIONS
- Program Overview
Specifications provide for the basis of payment and facilitate the
administration of contracts. Specifications delineate the means and methods
for the work. They establish levels of acceptability. They serve as the basis
for project decisions. In sum specifications serve as the basis for delivering
the highway product to the end user. Specifications include: the
Construction and Material Specification Book (C&MS), Supplemental
Specifications, Supplements, and Proposal Notes.
The regulations do not require ODOT to have standard specifications.
However, the regulations do require that the PS&E for Federal-aid
construction projects on the National Highway System be approved on a
project-by-project basis prior to advertisement of the project. The FHWA
approval of standard specifications is done as a convenience to simplify the
PS&E review process. Once approved, the standard specifications can be
used on Federal-aid projects without further review. In the absence of
pre-approved standard specifications all of the required specification
information would have to be included and approved as part of the PS&E
package for each project.
ODOT does not differentiate between NHS and Non-NHS projects when it
comes to the development and implementation of Specifications, a single set
of Specifications is used. State standard Specifications are developed in
accordance with ODOT's Standard Procedure: 510-005(SP).
- Applicable Laws, Regulations, and Orders
- 23 USC 106 and 109
- 23 CFR 625
- 23 CFR 630 Subpart B
- 23 CFR 635.127 Federal-Aid Policy Guide Non-Regulatory Supplement NS
23 CFR 630B
- FHWA, Technical Advisory T 5080.16, Development and Review of
Specifications
- Program Approval Actions
- The ODOT Construction and Material Specifications are approved by
FHWA on a program basis to facilitate project approvals.
- FHWA will approve updates to the Liquidated Damages Specification
C&MS 108.7 every two years in accordance with the provisions at 23 CFR
635.127.
- Project Approval Actions
- Non-standard Construction and Material Specifications are approved on a
project-by-project basis at the time of PS&E, in accordance with the
agreed level of project oversight
- Monitoring
- The FHWA will participate in the various specification committees.
- FHWA will assess the performance of individual specifications via the
conduct of program and project reviews conducted in accordance with this
Agreement.
- Business Standards
- FHWA will perform a quality control review of proposed specifications and
provide comments to ODOT within 30 days of receipt.
- FHWA will approve revised specifications within 14 days of receipt.
- Approved Procedures/Agreements/Manuals
- ODOT, Construction and Materials Specification Development Policy, 27-
005
- ODOT, Construction and Materials Specification Development Standard
Procedures, 510-005(SP)
- ODOT, Specification Committee Supplemental Instructions
- ODOT, Qualified Products List process
- ODOT, Approved List Procedure
- ODOT, Distribution of Standard Drawings, Design Manuals, Proposal
Notes, & Supplemental Specifications Policy, 16-004(P)
- ODOT, Distribution of Standard Drawings, Design Manuals, Proposal
Notes, & Supplemental Specifications standard procedure, 122-004(SP)
- ODOT, Locally-Administered Transportation Projects Policy, 25-001(P)
- ODOT, Construction and Material Specification books, Supplemental
Specifications, Supplements, and Proposal Notes
Top
TRAFFIC OPERATIONS
- Program Overview
Traffic Operations is a cross cutting program area that touches
many aspects of the highway program. Traffic operations
contributes heavily to project development through engineering
analysis of vehicle and pedestrian movement that are needed to
produce sound project level decisions affecting safe and efficient
highway operations. It is also an area that contributes heavily to
the operations and physical maintenance of highway facilities by
providing techniques, procedures, management practices/systems
and inventory tools.
ODOT and FHWA have formed partnerships in support of safety
and congestion relief initiatives with other State and local agencies,
including fire and law enforcement.
In Ohio, the FHWA's Traffic Operations Program includes the
following core elements and components:
- Management of Non-Recurring Congestion
- Traffic Incident Management Systems provide for identification
and response to vehicle crashes and breakdowns with
appropriate emergency services and to restore normal traffic
flow and to reduce secondary crashes.
- Work Zone Traffic Control helps to improve safety and efficiency
of vehicular movement through work zones. A new federal
regulation, 23CFR630, requires agencies receiving federal funds
to implement certain procedures. FHWA is an active participant
on ODOT committees and review teams that examine and
improve on ODOT standards, practices, and applications of work
zone traffic control and safety.
- Management of Recurring Congestion
- Freeway Management Operations improve traffic flow on high
volume roads by monitoring traffic conditions and providing
appropriate responses to those conditions, through the use of
Traffic Incident Management programs, ramp metering, and
Traveler Information Systems.
- Arterial Management Systems involve traffic signal coordination
and optimization of traffic flow by adjusting timing and patterns
either based on time-of-day or in response to real-time traffic
data.
- Improving Day-to-Day Traffic Operations
- Traffic Control and Standards includes the adoption and use of
standard traffic control devices - such as signing, pavement
markings, signals, and zones - detailed in the Manual on
Uniform Traffic Control Devices (MUTCD), and the conformance
of the State MUTCD to be in substantial conformance with the
national MUTCD. Changes to the national MUTCD issued by the
FHWA must be adopted by the states within two years of
issuance. FHWA is an active participant in ODOT committees to
prepare revisions to the Ohio MUTCD.
- Applicable Laws, Regulations, and Orders
- 23 USC Chapter 1, Sections 101, 104, 109, 114, 116
- SAFETEA-LU Title I, Subtitle A, Section 1110
- 23 CFR Part 1.27, Part 630, and Part 655 Subpart F
- Program Approval Actions
- FHWA will review and approve ODOT's work zone policies and
standards for conformance with FHWA Work Zone Role (23 CFR
630)
- FHWA reviews and approves the Ohio MUTCD for conformance
to the national MUTCD. FHWA also reviews and approves
modifications and supplements to the Ohio MUTCD.
- Project Approval Actions
- FHWA's specific approval of traffic operations elements of project
development will occur coincident with environmental approvals
when the traffic operations studies are supporting alternative
selection decisions.
- FHWA's specific approval of traffic operations elements of project
plans will be approved coincident with PS&E approval dependent
on the project's exemption status.
- FHWA's approval of traffic analyses that support
interchange/access modification will be approved coincident to
the interchange/access modification.
- Monitoring
- FHWA will conduct routine project and final inspections of traffic
operations aspects on FHWA Oversight projects. For all other
projects, FHWA may conduct process reviews.
- FHWA will conduct routine evaluation of the maintenance of
traffic on active Federal-aid projects to assure traffic operations
components are being adequately maintained.
- FHWA will provide ongoing technical assistance in the area of
traffic operations, will include this area in routine risk
assessment evaluations, and will work cooperatively with ODOT
to use process reviews to assess and improve processes and
procedures.
- FHWA will review and approve ODOT's workzone policies and
standards for conformance with FHWA Work Zone Role (23 CFR
630)
- Performance Indicators
- Monitor % of daily travel under congested conditions.
- Business Standards
- ODOT will notify FHWA of adoption or significant locally
produced application of regulatory provisions including the
MUTCD, AASHTO Policy and Work Zone Safety and Mobility
Regulations within 30 days of adoption.
- FHWA will follow prescribed processing requirements for
individual project actions related to Traffic Operations as defined
in this partnership agreement.
- ODOT will fully involve FHWA in all aspects of freeway
interchange addition or change studies and proposals
- Approved Procedures/Agreements/Manuals
- ODOT Location & Design Manuals
- ODOT Local Public Agency Manual
- ITS Regional Architectures and Strategic Plans
- ODOT Standard Specifications
- ODOT Standard Detail Drawings
- ODOT Maintenance Manual
- ODOT Construction Manual
- ODOT Supplemental Specifications and Special Provision
- Ohio MUTCD
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