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Stewardship and Oversight Agreement

APPENDIX B - PERFORMANCE INDICATORS/MEASURES

Performance indicators will be established for the program areas within twelve months of the execution of this agreement.

APPENDIX C - DEFINITIONS FOR RISK-BASED OVERSIGHT PARAMETERS

Major or unusual structures - A major structure is defined as a bridge estimated to cost $15 million or more. This criterion also applies to individual units of separated dual bridges. An unusual structure is one with non-standard or unusual foundation issues, new or complex designs involving irregular structures or operational features, or bridges for which the design standards or criteria may not be applicable. Use of new products and experimental or demonstration projects are also considered as unusual structures.

Other non-standard structures - These structures include stayed girder bridges, segmental bridges, any structure having a clear unsupported length in excess of 150 000 mm {500ft.}, steel structures with skew< 70Q, curved girders, or fracture critical structures.

Impact on identified freight corridors and facilities - Impact on freight corridors include roadways, rail lines, and waterways that are essential to efficient movement of goods to, from, and within a particular region of the state. The regional corridors and facilities are included in the Pennsylvania Mobility Plan, Pennsylvania State of the System Report.
Extremely high ADT- Daily traffic volume, which due to its amount and composition of traffic, results in level of service E or F for a period greater than three consecutive hours per day or ADT exceeding 150,000 vehicles per day.

Extremely high congestion and delay - Existing roadway with Level of Service (LOS) E or F for a period greater than three consecutive hours per day.

Bi-State projects - Bi-State projects involve the Commonwealth of Pennsylvania as well as one of its adjacent neighboring states in the identification of cross-boundary issues and strategies as they relate to the enhancement of each state's transportation network.

Project requiring an EIS or complex EA - An EA is prepared to evaluate if the short and long­ term effects of a proposed project or alternative will significantly affect the quality of the locations environment. It also includes identifying ways to minimize, mitigate, or eliminate these effects and/or compensate for their impact. If the impacts are determined to be insignificant, a Finding of No Significant Impact (FONSI) is prepared and is made a part of the decision. If the impacts are determined to be significant, the proposed action may be rejected, modified, or require the preparation of an Environmental Impact Statement (EIS).

The EIS includes all projects resulting in significant adverse impacts. EIS projects tend to be complex with significant impacts to a variety of environmental resources. Potential projects would include new limited-access highway; highways constructed on new alignment; construction or extension of fixed guideway systems expected to cause major shifts in travel and land use patterns; or construction involving extensive demolition, displacement of many individuals or businesses, or substantial disruption to local traffic patterns. An EIS would be required for projects that significantly affect properties protected under Section 4(f); are opposed on environmental grounds by a federal, state, or local agency, or by a considerable number of affected persons; significantly affect sensitive natural, cultural, or scenic resources; significantly disrupt established communities; significantly raise noise levels in sensitive areas such as schools, hospitals, or residential areas; significantly decrease air quality or violate a State Implementation Plan (SIP) for Air Quality; significantly affect water quality or a sole source aquifer or a public water supply system; or significantly increase energy consumption.

Complex Traffic Control significant project - This type project is one that, alone or in combination with other concurrent projects nearby is anticipated to cause sustained work zone impacts (as defined in §630.1004) that are greater than what is considered tolerable based on State policy and/or engineering judgment.

Complex utility relocations and ROW- A complex network of public/private utilities, whose relocation threatens mobility, increases safety risks, adversely affects nearby residents or businesses, and adds project delay and expense. Relocation results in the need to acquire right­ of-way from more than 20 property owners or at a cost greater than $1,000,000.

New alignment- The purposeful and justifiable location of a travelway along a previously undeveloped corridor greater then Y2 mile in length designed to connect logical termini while avoiding as many vital community and natural resources as possible.

Innovative contracting methods - Contracting methods that provide a means of motivating contractors to provide quality transportation facilities while minimizing travel delays and maintaining a competitive bidding process.

Construction duration exceeding two construction seasons- Construction of a project where its duration exceeds that part of two calendar years when construction is ongoing.

New or innovative construction methods- The procedures and techniques utilized during construction designed to deploy innovation aimed at shortening project delivery, enhancing the construction safety of the roadway, and protecting the environment.

Projects with earmarks- Projects with funds provided by the Congress where the purported congressional direction (whether in statutory text, report language, or other communication) circumvents otherwise applicable merit-based or competitive allocation processes, or specifies the location or recipient, or otherwise curtails the ability of the executive branch to manage its statutory and constitutional responsibilities pertaining to the funds allocation process.

Locally administered project- For the purpose of the Agreement, a locally administered project is a Federal-aid project in which an entity other than PennDOT is a sub-recipient, and this entity is administering the particular phase being authorized, i.e., PE, ROW, or Construction. These would include projects where the non-traditional entity will either perform the work itself or enter into a contract for services or construction.

APPENDIX D- PROJECT ACTION MATRIX

Oversight Agreement Project Action Matrix

ACTIVITY

Basis of Delegation

NHS Projects
(FO)

NHS Projects
(PO)

Non-NHS (PO)

Design, Right-of-Way, Utility, and Construction Authorizations

----

FHWA

FHWA

FHWA

Design Exceptions

PennDOT
(Pub. 10)

FHWA (16)

PennDOT (3,16)

PennDOT

Engineering and Construction Engineering Agreements (Original and Supplements), Open End Consultant Agreements (Original and Supplements) and Work Order Approvals

PennDOT
(Pub. 93)
23 CFR 172

PennDOT (1)(1a)

PennDOT(1)(1a)

PennDOT(1)(1a)

Approvals and Authorization of Protective Buying or Hardship Acquisition

- - - -

FHWA

FHWA

FHWA

Approval of R/W Certificate

PennDOT
(R/W Manual)

PennDOT(2)

PennDOT(2)

PennDOT(2)

Authorization of Last Resort Housing

PennDOT
(Pub. 378)

PennDOT

PennDOT

PennDOT

Revisions to Access Control or Revised Access Points or New Access Points (Interchanges)

PennDOT
(Pub. 10 & Pub. 378)

PennDOT(3)

PennDOT(3)

PennDOT(3)

Donation Credits for Funds, Services, and Materials & Donation Credits for Right- of-Way

23 USC Section
323 49 CFR, Section 24

FHWA

FHWA

FHWA

PS&E Approvals and Addenda

Oversight Agreement

FHWA

PennDOT

PennDOT

Concurrence in Award

Oversight Agreement

FHWA

PennDOT

PennDOT

Construction Inspection

Oversight Agreement

FHWA

PennDOT

PennDOT

Approve Work Orders and Time Extensions

Oversight Agreement

FHWA(5)

PennDOT

PennDOT

Final Inspection and/or Final Acceptance

PennDOT
(Pub. 8)

FHWA

PennDOT

PennDOT

Construction Claim Reviews/Settlements

Oversight Agreement

FHWA

FHWA(6)

PennDOT

 

Oversight Agreement Project Action Matrix

ACTIVITY

Basis of Delegation

NHS Projects
(FO)

NHS Projects
(PO)

Non-NHS (PO)

Cancellation, Severance, Termination, or Default of Construction Contracts Oversight Agreement
FHWA PennDOT PennDOT
Warranty Specifications --- FHWA FHWA PennDOT
Structure Reviews & Approvals (ll) PennDOT
(Pub. 15M)
PennDOT(8) PennDOT PennDOT
ITS/Operations (12) Oversight Agreement FHWA PennDOT PennDOT
Signing/Traffic Signal Approvals PennDOT
(Pubs. 111, 148, 149)
PennDOT(13)(14) PennDOT(13)(14) PennDOT(13)(14)
Pavement Design PennDOT
(Pubs. 242)
FHWA PennDOT PennDOT
NEPA Approvals PennDOT
(Pub. 294)
FHWA(10) FHWA(10) PennDOT(10)
Proprietary/Patented Items Oversight Agreement FHWA PennDOT PennDOT
Agency Force Account Method of Construction (includes work accomplished by utility and railroad company forces) Oversight Agreement FHWA(17) PennDOT PennDOT
Construction Contracting by a method other than competitive bidding (negotiated contract method) Not Applicable
(23CFR)
FHWA FHWA PennDOT
Work Zone Alternatives Analysis PennDOT
(Pub. 46)
FHWA PennDOT PennDOT
Value Engineering PennDOT
(Pub. 10)
PennDOT(18) PennDOT(19) PennDOT(19)
Road Users Liquidated Damages PennDOT
(Pub. 51)
PennDOT PennDOT PennDOT


Activity

  BASIS OF DELEGATION OVERSIGHT
ROW Joint Use Lease Approval PennDOT
(R/W Manual)
PennDOT (3)
Limited Access Highway Utility OccupancyPermit PennDOT
(DM-5)
PennDOT(4)
Limited Access Highway Occupancy Permit PennDOT
(Pub. 282)
PennDOT(15)
Disposal of Excess ROW from Federal-aid ROW or Construction Projects PennDOT
(R/W Manual & PA for Disposal of Real Property and Lease Agreements/Renewals)
PennDOT(3)
New/Experimental Products-Product Evaluations/Approvals-General Annual Work Program PennDOT(7)
Federal Lands Highway Program Approvals SAFETEA-LU, Section 6004 PennDOT (9)
Emergency Relief FHWA ER Manual FHWA
Highway/Railroad Crossings Oversight Agreement PennDOT
Funded Agency Positions SAFETEA-LU PennDOT
Research Annual Work Program FHWA
Recreational Trails Programmatic Agreement PennDOT
Bridge Preservation Programmatic Agreement PennDOT
Cultural Resources Programmatic Agreement PennDOT
  1. The justification for use of consultant services in management roles must be approved by FHWA when Federal-aid highway funds participate in the contract. Agreements and supplements do not require FHWA approval.
    la. Use of noncompetitive negotiation method of procurement (sole source, emergency, etc.) requires
    FHWA approval when federal funds are involved.
  2. FHWA approves all Right-of-Way Conditional Certifications.
  3. FHWA approval is required for actions affecting the Interstate System.
  4. FHWA's prior concurrence is required when:
    1. The proposed installation is not in accordance with 23 CFR or PennDOT Design Manual, Part 5.
    2. Longitudinal installation of private lines are proposed.
  5. Per Project Office Manual.
  6. Until written procedures for Construction Claim Reviews/Settlements are approved by FHWA, approval authority for PO NHS is with FHWA.
  7. FHWA approval of project specific specifications is also required.
  8. Consultation with FHWA per DM-4 Approval Matrix is required.
  9. NEPA & 4(f) approvals retained by FHWA.
  10. Penn DOT approval of Categorical Exclusion Evaluations (CEE's) is as specified in Pub. 294.
  11. Exceptions to HBP program eligibility criteria must be approved by FHWA.
  12. Projects must conform to systems engineering requirements in 23 CFR Part 940 and 49 CFR. Nonfacility specific ITS/operations projects require a joint determination, by FHWA and Penn DOT of oversight responsibilities.
  13. Projects must conform to MUTCD or FHWA approval is required.
  14. FHWA approves the initial project/funding request (4232- Federal Authorization); Systems Engineering/Concept of Operations document; Proprietary Item request; Federal-aid safety funded traffic signal projects; and federally funded Adaptive Traffic Signal projects.
  15. FHWA approval required for Permanent HOPs involving Interstates.
  16. Refer to Appendix A,2.b for designs that meet AASHTO, but not DM-2.
  17. PennDOT approves work accomplished by utility and railroad company forces on FO projects.
  18. FHWA invited to participate in VE study and FHWA sent a copy of VE report.
  19. FHWA receives copy of VE final report.

Appendix E.

FHWA and Penn DOT will jointly develop
BSS within twelve months of the
execution of this Agreement.