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FHWA Pennsylvania Policies and Guidance


Stewardship and Oversight Agreement

Appendix A
FHWA/PENNDOT Oversight Agreement Policies

INTRODUCTION

The FHWA/PENNDOT Stewardship and Oversight Agreement (Agreement) presents the current procedures for the administration of the Federalaid Highway program in Pennsylvania. The general intent of the Agreement is to delegate much of FHWA's approval authority to PENNDOT for certain preliminary engineering, construction contract administration, and right-of-way activities on or related to Federalaid projects.

  1. Project Development Process (Including Public Involvement In The Development of Projects And Title VI Requirements As Related To Minority Group Participation)

    Procedures for project development and public involvement are as provided in the following:

    1. Design Manual, Part 1, Transportation Project Development Process (Publication 10) and Design Manual, Part 1A, Transportation Engineering Procedures (Publication 10A).
    2. Application of procedures as established in PENNDOT Design Manuals and Environmental Handbooks.
    3. Public Involvement Handbook (Pub. 295).
    4. Pennsylvania Act 120 of 1970 (This Act provides for coordination with certain State agencies).

  2. Application of Appropriate Design and Construction Standards

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

    1. Manual on Uniform Traffic Control Devices (MUTCD).
    2. Design Manual, Part 2, Highway Design (Pub. 13M).

      • Design criteria in Design Manual, Part 2 (DM-2) meets and in some cases exceeds the criteria in the AASHTO Green Book. For any designs on NHS projects that do not meet the criteria in DM-2, but conform to the minimum criteria in the AASHTO Green Book, a design exception is not required to be approved by FHWA, but requires Bureau of Design (BOD) approval.

    3. Design Manual, Part 3, Highway Plans Presentation (Publication 14M).
    4. Design Manual, Part 4 (3 Volumes (2 Volumes)), Structures (Pub. 15 (Pub. 15M)), Procedures – Design – Plans Presentation.
    5. Design Manual, Part 5, Utility Relocation (Publication 16M).
    6. Eminent Domain Appraisal Guide (Pub. 94).
    7. Standards for Roadway Construction, Series RC-1M – RC-100M.
    8. Standards for Bridge Design, BD-600 Series (Pub. 218) and BD-600M Series (Pub. 218M).
    9. Standards for Bridge Construction, BC-700M Series (Pub. 219M).
    10. Pavement Policy Manual (Pub. 242).
    11. Traffic Control Signing Standards, TC-8700 Series (Pub. 111M).
    12. Traffic Signal Standards, TC-7800 Series (Pub. 148).
    13. Handbook of Approved Signs (Pub. 236M) 2 parts.
    14. Guidelines for Design of Local Roads and Streets (Pub. 70M).
    15. Pennsylvania Department of Transportation - Rules and Regulations published as 67 PA Code Chapters.
    16. PENNDOT Specifications (Pub. 408) with applicable Bulletins.
    17. Contract Proposal Guide (Pub. 51).
    18. Geotechnical Engineering Manual (Pub. 293).
    19. Right-of-Way Manual.

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

  3. PENNDOT's Highway and Railroad Safety Programs

    The Department will administer a Highway Safety Improvement Program on a continuing basis according to 23 CFR Part 924.

    The Department will apply design and construction standards for new construction, reconstruction, resurfacing (except maintenance resurfacing), restoration, or rehabilitation of highways on the NHS as listed in Item 2 above, and in accordance with 23 CFR Part 625.

    The Department will administer a Federal-Highway Railroad Grade Crossing Safety Program and other associated railroad crossing projects on a continuing basis and in compliance with 23 CFR Part 646 – Railroads, 23 CFR Part 140, Subpart I, 23 CFR Part 172, and 23 CFR Part 924.

  4. Quality Control/Quality Assurance of Construction and Materials

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

    1. PENNDOT Specifications (Pub. 408) with applicable Bulletins.
    2. Field Test Manual (Pub. 19).
    3. Project Office Manual (Pub. 2).
    4. Field Computation Guidebook (Pub. 21).
    5. Quality Assurance Manual (Pub. 25).
    6. Finals Unit Manual (Pub. 11).
    7. Approved Construction Materials, Bulletin 15 (Pub. 35).
    8. Construction Manual (Pub. 8).

    PENNDOT Engineering Districts are responsible for managing construction projects and operations according to policies and procedures detailed in Pub. 408; Construction Specifications, and Pub. 8, Construction Manual. The Districts are held accountable to a level of performance through a Quality Assurance program administered by the Bureau of Construction and Materials. The Quality Assurance program provisions, including review frequencies and compliance levels, are specified in Pub. 25, Quality Assurance Manual. Compliance is determined and information obtained to determine performance levels. Specific training is developed to achieve compliance. Deficiencies are addressed according to severity as specified in Pubs. 8 and 25.

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

  5. Signing, Pavement Marking and Traffic Control Devices

    Provisions for adequate signing, pavement marking and traffic control devices are provided through application of the following Department publications and according to the Manual on Uniform Traffic Control Devices:

    1. Engineering and Traffic Studies (Pub. 201).
    2. Work Zone Traffic Control (Pub. 203).
    3. Traffic Control Devices (Pub. 211).
    4. Traffic Engineering and Operations Manual, Pavement Marking Handbook.
    5. Traffic Signal Design Handbook (Pub. 149).
    6. Pennsylvania's Traffic Calming Handbook (Pub. 383).

  6. Economic, Social and Environmental Impacts

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

    1. Public Involvement Handbook (Pub. 295).
    2. Environmental Impact Statement Handbook (Pub. 278).
    3. Categorical Exclusion Evaluation Handbook (Pub. 294).
    4. Environmental Assessment Handbook (Pub. 362).
    5. Agricultural Resource Handbook (Pub. 324).
    6. Project Level Air Quality Handbook (Pub. 321).
    7. Needs Study Handbook (Pub. 319).
    8. Geotechnical Waste Management (Pub. 292).
    9. Waste Site Evaluation Procedures for the Highway Development Process (Pub. 281).
    10. Wetland Resources Handbook (Pub. 325).
    11. Project Level Highway Traffic Noise Handbook (Pub. 24).
    12. Design Manual, Part 1, Transportation Project Development Process (Pub. 10) and Design Manual, Part 1A, Transportation Engineering Procedures (Pub. 10A).
    13. Section 4f handbook (Pub. 349).

  7. Equal Employment Opportunity

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

    1. Executive Order 1988.1, Affirmative Action and Contract Compliance.
    2. Executive Order 11246 (as amended), Notice of Requirements for Affirmative Action to ensure Equal Employment Opportunity.
    3. Title 23 U.S.C., Subchapter C - Civil Rights, Part 230 External Programs.
    4. CC-4297, Nondiscrimination and Equal Employment Clauses for all contracts.
    5. CC-4297A, Nondiscrimination Clause.

    The number of highway construction trainees and their training program is controlled by PENNDOT Circular Letters and conforms to Federal requirements.

    PENNDOT is firmly committed to fulfilling our goals for participation of DBE's in all contracts and projects involving Federal-aid funds. Our DBE Program is administered in accordance with 49 CFR Part 23.

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

    Competitive bidding procedures are provided in Departmental policy letters and conform to Federal requirements. Procedures governing the payment of prevailing wage rates on construction contracts are included in PENNDOT Publication 408 and in PENNDOT Publication 2, Project Office Manual.

  9. Design and Construction Claim Settlements

    Design claim settlements will be processed in accordance with procedures for the Administration of Engineering Contracts (Pub. 93).

    Construction claim settlements will be processed in accordance with PENNDOT's Project Office Manual.

  10. Federal-aid Contract Provisions

    1. Negotiated Contracts - The Department provides the required Federal-aid contract provisions as prescribed in 23 CFR, Part 172 - Administration of Engineering and Design Related Contracts.

    2. Construction Contracts - The Department provides the required Federal-aid contract provisions as prescribed in 23 CFR, Part 633, Subparts A and B - Required Contract Provisions.

  11. Retention of Records

    PENNDOT retains records on Federal-aid projects in accordance with 49 CFR Part 18 - Common Rule, as previously defined in detail in 23 CFR, Part 17 - Record Keeping and Retention Requirements for Federal-aid Highway Agencies (revised April 1, 1992). Involved local governments and other third party contractors are also required to retain records as specified above.

  12. State Transportation Improvement Program

    In conformance with the requirement of 23 CFR 450, the Department will submit to the FHWA and the Federal Transit Administration (FTA) the Statewide Transportation Improvement Program (STIP) of projects which it intends to implement over the succeeding four year period. The STIP will be updated every two years. It will include all approved Metropolitan Planning Organization (MPO) Transportation Improvement Programs (TIPs), as well as projects in rural areas of the state which are identified jointly by the Department and the Local Development Districts. Amendments and modifications to the STIP and to the metropolitan and rural TIPs can occur at any time during the life of these documents. Only after the STIP or its amendments or modifications are approved by the FHWA and the FTA can federal funds be obligated for individual transportation projects included in the document.

  13. Local Agency Procedures

    Administration of Federal-aid projects shall be in accordance with PENNDOT's current version of "Procedures for the Administration of Federal-aid Municipal Projects" (Pub. 39), and any revision thereto.

  14. Federal-Aid Financial Procedures

    1. Electronic Data Transfer -

      Current electronic data transfer techniques will be utilized wherever appropriate. When PENNDOT desires to initiate formal authorization of a project, the critical fiscal data will be uploaded directly from PENNDOT to the FHWA FMIS Warehouse. Simultaneously, PENNDOT will submit a request for authorization to the Division Office as set forth below.

    2. Project Authorization and Project Agreement -

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

      PENNDOT will electronically verify that the fiscal authorization has occurred by reviewing the FMIS transaction and EDS status logs.

      PENNDOT will assure that necessary environmental studies and approvals have occurred prior to submitting any request for authorization.

      PENNDOT agrees and is bound by all the provisions contained in 23 CFR 630.307. The project specific data contained in the Request for Authorization is sufficient for FHWA to place all projects under Project Agreement at the time of authorization; no further FHWA Project Agreement or PENNDOT Agreement Estimate is required. PENNDOT's Request for Authorization will serve as a concurrent request to place the project under Project Agreement in FHWA's FMIS system.

      When project funding adjustments are required due to bid adjustments or cost overruns/underruns, PENNDOT will submit a signed Request for an Amended Project Authorization with supporting information necessary for FHWA to adjust the Project Agreement amount.

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