Source: http://www.fhwa.dot.gov/federalaid/stewardship/agreements/ar.cfm
Timestamp: 2014-03-11 13:12:54
Document Index: 362988509

Matched Legal Cases: ['art 710', 'art 625', 'art 626', 'art 627', 'art 630', 'art 633', 'art 645', 'art 646', 'art 650', 'art 652', 'art 655', 'art 771', 'art 772']

This Stewardship and Oversight Agreement (Agreement) is made between the Arkansas State Highway and Transportation Department (AHTD) and the Federal Highway Administration (FHWA), Arkansas Division Office. The purpose of this Agreement is to assist in the implementation of the provisions contained in the Safe, Accountable, Flexible, and Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005 and previous Federal Highway Authorization Acts. This Agreement covers all major aspects associated with the administration of the Federal-aid Highway Program (FAHP) under Title 23, Title 49 and other associated laws. This Agreement supersedes the existing Project Oversight Plan dated October 1, 1993 and revised December 3, 2001 and shall become effective on October 20, 2009 and remain in effect until superseded. It is understood that this Agreement may be supplemented by several laws, regulations, directives, manuals and operating guides as stated in Appendix A of this Agreement.
Dan Flowers, Director of Highways and Transportation
Sandra L. Otto, Division Administrator FHWA -Arkansas Division
2.1 AHTD Oversight Responsibilities
2.2 FHWA Oversight Responsibilities
2.3 Preventive Maintenance Projects
SECTION 3 – ROLES AND RESPONSIBILITIES FOR SPECIFIC PROGRAM AREAS
3.1 Civil Rights Program
3.2 Planning and Programming
3.3 Right Of Way Program
3.4 Environment Program
3.5 Design Program
3.6 Pavement Design and Management
3.7 Preconstruction Contract Administration
3.8 Construction Program
3.9 Materials Quality Assurance Monitoring Program
3.10 Local Public Agency (LPA) Program
3.11 Major Projects
3.12 Bridge Program
3.13 Safety Program
3.14 Financial Management Program
3.15 Public Private Partnerships
3.16 Intelligent Transportation System (ITS) Program
3.17 Emergency Relief (ER) Program
3.18 Emergency/Security Program
A – State / Federal Regulations, Directives, Manuals and Operating Guides B – Planning Process-Required Action List C – Public Involvement/Public Hearing Procedures
D – Memorandum of Agreement for Categorical Exclusions
SECTION 1 – INTRODUCTION 1.1 Purpose Pursuant to 23 USC 106 (c), the Arkansas State Highway and Transportation
Department (AHTD) and the Federal Highway Administration (FHWA), Arkansas Division
Office, agree to follow the procedures set forth in this Stewardship and Oversight
Agreement (Agreement) to carry out their respective stewardship and oversight
responsibilities in the delivery of the Federal-aid Highway Program.
The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991, the Transportation
Equity Act for the 21st Century (TEA-21) of 1998, and the Safe, Accountable,
of 2005 provided flexibility to the States in how to ensure project actions
are carried out in accordance with applicable laws, regulations, and policies.
TEA-21, Section 1305 (a) required that FHWA and AHTD enter into an agreement
showing the extent of AHTD's assumption of the United States Department
of Transportation Secretary's responsibilities. ISTEA and TEA-21 altered the Federal Highway Administration's role from
full project oversight and approval of every project or activity funded with
Federal-aid funds to program oversight and some targeted project level approval.
The program and project assumptions made possible under Section 1016 of ISTEA
and Section 1305 of TEA-21 require that AHTD accept these assumed responsibilities
and provide greater program accountability due to lesser Federal involvement.
With the passage of SAFETEA-LU, the overall program has evolved requiring a
more comprehensive agreement that covers all aspects of the Federal-aid Highway
Program (FAHP); including financial integrity and the administration of projects
sponsored by Local Public Agencies (LPA) or any other sub-recipient of Federal-aid
By signing this Agreement, AHTD and FHWA agree to adhere to the provisions
and responsibilities included herein. AHTD and FHWA further agree to carry
out their responsibilities in a true spirit of cooperation.
AASHTOAmerican Association of State Highway
ADEMArkansas Department of Emergency Management AHTDArkansas State Highway and Transportation Department
AHPArkansas Highway Police ASPArkansas State Police
BMSBridge Management System CECategorical Exclusion
COOPContinuity of Operations Plan
CUFCommercially Useful Function
CMAQCongestion Mitigation and Air Quality DBEDisadvantaged Business Enterprise
EFTElectronic Funds Payment
EREmergency Relief
FAHPFederal-aid Highway Program
FAPAFederal-aid Project Agreement
GARVEEGrant Anticipation Revenue Vehicle
HRRRHigh Risk Rural Roads
HSOHighway Safety Officer
IAIndependent Assurance
IBRDInnovative Bridge Research and Deployment
IPIAImproper Payment Information Act of 2002
LRFDLoad-Resistance Factor Design
MIHEMinority Institute of Higher Education
MUTCDManual of Uniform Traffic Control Devices
NEPANational
PMPProject Management Plan
PR/PEProcess Review/Product Evaluation
P&PDPlanning and Project Development
RASPSRapid Approval and State Payment System
RETCORegional Emergency Transportation Coordinator
SAFETEA-LUSafe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users of 2005
SEPSpecial Experimental Project
SIBState Infrastructure Bank
TEA-21Transportation Equity Act for the 21st Century of 1998
TMATransportation Management Area
TRCCTraffic Records Coordinating Committee
TS&LType, Size and Location
UPWPUnified Planning Work Progress
SECTION 2 – STEWARDSHIP AND OVERSIGHT OF FEDERAL-AID PROJECT
At the time a project is programmed (State job number and name is assigned) a preliminary determination of Federal (F) or State (S) oversight will be made and the appropriate (F) or (S) will be placed at the end of the job name. If oversight responsibility subsequently changes, the (F) or (S) designation will be changed accordingly. Oversight responsibility will be determined according to the criteria listed under this section of the Agreement. 2.1 AHTD Oversight Responsibilities AHTD agrees that where it assumes Title 23 oversight role and approval responsibilities, it will be responsible for ensuring that Federal-aid highway projects are developed and constructed in full compliance with Federal laws and regulations, and with current approved specifications, standards and manuals. Although FHWA is ultimately responsible for all Federal-aid highway projects, AHTD will assume oversight responsibility for the following projects: All non-Interstate projects, with exceptions noted in Section 2.2 All Interstate system projects which are estimated to cost less than $5
million (construction cost), and all preventive maintenance projects on the
Interstate system as described in Section 2.3. FHWA will continue to authorize the above-listed types of projects for fiscal
purposes on a project-by-project basis.
2.2 FHWA Oversight Responsibilities FHWA will retain oversight responsibility for:
All Interstate system projects which are estimated to cost more than $5
million (construction costs), including overpass and interchange projects
within the Interstate system, with the exception of preventive maintenance
projects as described in Section 2.3 All projects which are estimated to cost more than $5 million (construction
costs) on Congressionally-designated High Priority Corridors 1, 8, 18 and
39 (Highway 71, Highway 412, Future I-69 including the Pine Bluff-Monticello
connector, and Highway 63 (Future I-555) between Marked Tree and I-55) with
the exception of preventive maintenance projects as described in Section
2.3. All projects which are estimated to cost more than $5 million (construction
costs) on Highway 67 (freeway north of Interstate 40), North Belt, and Highway
65 north of Highway 412 with the exception of preventive maintenance projects
as described in Section 2.3. All projects where by mutual agreement FHWA and AHTD require Federal oversight
responsibility regardless of route designation or project cost. Design consultant contracts for any project for which it has oversight
responsibility for construction. All planning activities on all Federal-aid highway projects. FHWA will provide engineering support and technical assistance for project
development activities. FHWA will also provide engineering support for project
development and/or construction activities on other projects when requested
by AHTD.
The FHWA shall approve preliminary plans for unusual bridges and structures
on the Interstate System (See Memorandum dated November 13, 1998 from Director,
Office of Engineering to Division Administrators). Unusual bridges and structures
are defined as having: (1) difficult or unique foundation problems, (2) new
or complex designs with unique operational or design features, (3) bridges
with exceptionally long spans, or (4) bridges being designed with procedures
that depart form currently recognized acceptable practices. FHWA will continue to be responsible for the oversight of applicable non-Title
23 and non-Title 49 requirements. Such oversight will be conducted through a
combination of both project and program level activities. Applicable non-Title
23 and non-Title 49 requirements include, but are not limited to:
National Environmental Policy Act (NEPA) of 1969 Section 4 (f) of the DOT Act of 1966 Civil Rights Act of 1964 Uniform Relocation Assistance and Real Properties Acquisition Policies
Act of 1970 Disadvantaged Business Enterprise Program (DBE) Clean Air Act Amendments of 1990 Routine day-to-day FHWA program actions and other interaction. FHWA will manage and provide oversight of the FAHP in various ways. The methods
used will be: FHWA participation at AHTD's request on AHTD task forces, teams,
implementation committees, reviews and attendance at AHTD meetings. Joint AHTD-FHWA Process Reviews / Product Evaluation (PR/PE) reviews on
program areas as needed and determined in accordance with the FHWA's
risk assessment process and/or other high importance program areas. PR/PE
reviews consist of comprehensively reviewing and evaluating AHTD and/or LPA
policies, procedures, practices and controls for the development and implementation
of Federal-aid highway projects and programs. PR/PE reviews will be utilized
as the primary methods of program oversight. FIRE -Financial Integrity Review
and Evaluation Program to assess the financial aspects of programs and projects.
Forest Highway, Public Lands or other project types that are administered
by FHWA's Federal Lands Highway Division are subject to Federal oversight
in accordance with the agreement between AHTD and the FHWA Federal Lands Highway
Division. 2.3 Preventive Maintenance Projects For purposes of this Agreement, preventive maintenance projects include
all projects under $5 million (construction costs) that provide cost effective
treatments to an existing roadway system and its appurtenances with the intent
to preserve the system, retard future deterioration, and maintain or improve
the functional condition of the system without increasing structural or operational
capacity. These projects are routine, low-risk and generally non-controversial in
which AHTD has a high-level of experience and documented procedures and processes
in place for ensuring compliance with Federal requirements. These projects
would not include complex or unique engineering features, would not traditionally
involve major changes in scope or cost, would not jeopardize design standards,
and would not impact the safety and/or operation of the roadway systems. For these projects, FHWA will still provide oversight by using a risk based
approach and process/program reviews. It is understood that FHWA's
approval of funds for these projects at either the preconstruction or construction
phase constitutes a determination that the project in question is eligible
for Federal-aid funds and that the appropriate Federal requirements have
been met to date or defined steps are to be taken to ensure that requirements
3.1.1 Program Overview AHTD is responsible for developing and maintaining the following program documents: Title VI Plan Limited English Proficiency Plan Disadvantaged Business Enterprise (DBE) Program Plan Affirmative Action Plan Equal Employment Opportunity (EEO) Contract Compliance Plan American with Disabilities Act (ADA) and Access for Individuals with Disabilities
Under Section 504 FHWA has oversight for the DBE and On-the-Job Training (OJT) Supportive Services
programs, and the Minority Institute of Higher Education (MIHE) outreach. Further,
FHWA validates compliance with Title VI, Title VII and the DBE programs through
the Stewardship Review Program. AHTD will submit the following reports to FHWA: PR-1392 EEO-4 DBE Goal and Methodology Supportive Services Report (DBE and OJT) Affirmative Action Plan Update Title VI Plan Update EEO Contract Compliance Reports OJT Supportive Services Report Annual MIHE Report Appendix B includes a list of required actions associated with the FAHP. It also includes the responsibilities of FHWA and AHTD and the required frequency. 3.1.2 Operating Environment FHWA tracks the Civil Rights program through a variety of means. FHWA accomplishes
its oversight through DBE/EEO compliance reviews during construction inspections of FHWA oversight projects.
FHWA and AHTD may also undertake on-site reviews of Federal-aid highway projects
to interview trainees, apprentices, women and minority workers to ensure they
are being treated fairly on the jobs and being paid appropriately. 3.1.3 DBE Certification Process
AHTD ensures that the DBE Certification process is accomplished in accordance
with Federal requirements and will conduct sufficient Commercially Useful Function
(CUF) reviews of DBE subcontractors on active construction projects to be statistically
significant. In addition, AHTD will investigate all third-party complaints
in a timely and responsible manner.
3.2 Planning and Programming 3.2.1 Program Overview
Planning and programming is the initiation state of the project identification,
selection and development process. Planning and programming is broken down
into three distinct elements, all leading to the establishment of project scope,
budget and schedule: Statewide Planning, Metropolitan Planning and Research.
See Appendix B for a list of required actions and the responsibilities of AHTD
and FHWA associated with the FAHP.
3.2.2 Statewide Planning
Statewide Planning is the responsibility of AHTD and includes, but is not limited
to the following: Statewide Intermodal Transportation Plan Statewide Transportation Improvement Program Functional classification Urban area boundaries National Highway System modifications Traffic monitoring program Highway statistics program Highway Performance Monitoring System (HPMS) AHTD will follow its adopted Public Involvement Meeting / Public Hearing Procedures
included in Appendix C. FHWA's Planning and Program Development (P&PD)
Team issues eligibility determinations for CMAQ, Transportation Enhancement,
and Recreational Trails programs, and coordinates and assists with Federal
discretionary programs such as Scenic Byways. The P&PD Team also takes
the lead in conducting Motor Fuel Tax and Heavy Vehicle Use Tax reviews, but
it is AHTD's responsibility to ensure the reported figures are reasonable
and reconciled with the Arkansas Department of Finance and Administration. 3.2.3 Metropolitan Planning Metropolitan Planning is the responsibility of eight Metropolitan Planning
Organizations that are supported and monitored by AHTD and the FHWA P&PD
Team. To ensure that the cooperative process occurs at the MPO level, AHTD
has established a presence on each MPO Policy Board and Technical Committee.
FHWA is also represented on each Technical Committee as a non-voting member. AHTD and FHWA actively participate in the
planning process for each MPO. A Transportation Management Area (TMA) is an
area over 200,000 in population. These are monitored through joint FHWA/Federal
Transit Administration (FTA) Certification Reviews conducted every four years.
AHTD will work with the P&PD Team for review and approval of the MPO Unified
Planning Work Programs (UPWPs) to assure planning issues are addressed and
key deadlines are met. 3.2.4 Research
Research is managed by AHTD in accordance with 23 CFR 420.209, which includes
the sponsorship of a periodic peer exchange. FHWA will participate in the AHTD
Transportation Research Committee, the Research Advisory Council, various research
project subcommittees, and in the periodic peer exchange. 3.2.5 Air Quality Conformity FHWA is responsible for initiating formal transportation conformity consultation
and issuing conformity findings/ determinations on MPO Transportation Plans
and Transportation Improvement Programs (TIP) in non-attainment or maintenance
areas consistent with the requirements of the Environmental Protection Agency
(EPA)/DOT regulations. Project level conformity is demonstrated by FHWA within
the context of NEPA documents. Amendments to Transportation Plans and TIPs
that affect regional transportation emissions require new conformity determinations
and findings to be made by the MPO and the FHWA respectively. AHTD will ensure
that a conformity-finding letter is obtained from FHWA before TIPs/projects
can be approved or amended into the Arkansas Statewide Transportation Improvement
Program (STIP). 3.3 Right of Way (ROW) Program 3.3.1 Program Overview In accordance with 23 CFR 710, AHTD has overall responsibility for the acquisition,
management and disposal of real property on Federal-aid highway projects. This
responsibility includes assurance that acquisitions and disposals are made
in compliance with legal requirements of State and Federal laws and regulations.
AHTD has prepared and maintains a Right of Way Operations Manual as established
in Part 710. This manual, AHTD Right of Way Policy and Procedures Manual,
describes functions and procedures for all phases of its Right of Way Program
including appraisal and appraisal review, negotiation and eminent domain, property
management and relocation assistance. The functions and procedures contained
in the manual comply with 23 USC and 49 USC. The manual is updated and certified
by AHTD every five years. These updates are coordinated with and approved by
FHWA. The functions and procedures contained in the AHTD Right of Way Policy
and Procedures Manual are used by AHTD for both Federal-aid funded and non-Federal-aid funded highway projects.
3.3.2 Right of Way Acquisition and Utility Adjustments – State
Highway Projects The acquisition of right of way and the coordination of utility adjustment activities are performed by AHTD in adherence to the AHTD Right
of Way Policy and Procedures Manual as follows: Arterials – Project
ROW containing an Arterial as any part of the project is acquired by AHTD.
All necessary utility adjustment activities are coordinated by AHTD. Collectors
and Locals – AHTD acquires right of way in cooperation with
appropriate County Judge and/or City official. All necessary utility adjustment
activities are coordinated by AHTD. In order to expedite project schedule, other entities may participate in project
3.3.3 Right of Way Acquisition and Utility Adjustments – Non-State
Highway Projects The acquisition of right of way and the coordination of utility adjustment
activities are performed by the project Sponsor (appropriate County or City)
or by AHTD upon request of the project Sponsor. These activities will follow
the functions and procedures contained in the AHTD Right of Way Policy
and Procedures Manual. 3.3.4 Project Authorization and Right of Way Certification Prior to submittal to FHWA for authorization, AHTD will ensure that the project
is included in the STIP and subsequently satisfies National Environmental Policy
Act (NEPA) requirements. AHTD will ensure that projects located in MPO areas
are included in the applicable TIP.
AHTD provides Right of Way Certifications for all its projects. Federal oversight
projects are certified to FHWA by the AHTD Right of Way Division Head. State
oversight projects are certified by the Right of Way Division Head and concurred
with by AHTD Assistant Chief Engineer for Design and the AHTD Deputy Director
and Chief Engineer. Copies of the certifications of State oversight projects
are provided to FHWA. 3.4 Environment Program 3.4.1 Program Overview FHWA has a direct oversight role in assessing the impacts of actions affecting
the environment in accordance with NEPA. FHWA and AHTD will work to ensure
that all environmental factors are given full consideration along with engineering,
social, and economic factors in program and project decision-making and are
documented in the appropriate environmental documents that pertain to the projects
Under environmental stewardship, AHTD is responsible for the environmental
analysis for all Federal-aid transportation projects in the State of Arkansas,
including oversight of consultants working on LPA projects and Congressional
earmark projects using Federal-aid funding. Through direct involvement or through
project or program reviews, FHWA assures that appropriate evaluations are conducted,
FHWA approval actions are timely, and public involvement is a major element
of AHTD's environmental process. With assistance from AHTD, FHWA will
be responsible for leading consultation with Tribal Governments during the
NEPA process to address tribal concerns regarding the preservation of environmental,
scenic, cultural or historic values. FHWA retains formal approval of all environmental documents; however, the
approval of Tier I & II Categorical Exclusions (CE) has been delegated by agreement
to AHTD and is the responsibility of AHTD to document and process accordingly.
The Memorandum of Agreement concerning CEs between AHTD and FHWA is included
as Appendix D to this Agreement. The FHWA Arkansas Division Administrator has delegated to the FHWA Environmental Specialist review and approval authority for the following actions: Section 4(f) evaluation Environmental Assessment (EA) / Finding of No Significant Impacts (FONSI) Re-Evaluations/Re-Assessments
Tier III CEs
The FHWA Arkansas Division Administrator retains approval authority of each Record of Decision (ROD), Draft Environmental Impact Statement (EIS), Final EIS, and Supplemental EIS. 3.5 Design Program
This program is based on the project approval and oversight requirements of
Section 106 of Title 23. The purpose is to establish procedures for assuring
that Federal-aid highway projects are properly designed as outlined in 23 CFR,
in particular: Part 625 – Design standards for highways Part 626 – Pavement policy Part 627 – Value engineering Part 630 – Preconstruction procedures Part 633 – Required contract provisions Part 645 – Utilities Part 646 – Railroads Part 650 – Bridges, structures, and hydraulics Part 652 – Pedestrian bicycle accommodations and projects Part 655 – Traffic operations Part 771 – Environmental impact and related procedures Part 772 – Procedures for abatement of highway traffic noise and
construction noise 3.5.2 Design Monitoring Program
The design monitoring program focuses on design practices, policies, and procedures
to determine whether designs for Federal-aid highway projects comply with
Federal requirements and achieve the best overall design for the anticipated
traffic and use of a particular transportation facility. FHWA is responsible for design monitoring, review and approvals of Federal
oversight projects. AHTD is responsible for design monitoring, review and approvals
for AHTD oversight projects, including those conducted by LPAs (See Section
3.16). Upon mutual agreement, joint AHTD-FHWA Process Reviews may be conducted. In some cases, FHWA may conduct its own Process Review. In addition to determining whether Federal-aid highway projects comply with Federal requirements, FHWA objectives under this program are to: Maintain a close working relationship with AHTD design staff, Ensure the
integrity of the Interstate system through the review and approval of Interstate
access point additions or modifications, Promote Context Sensitive Design concepts and to ensure that environmental
commitments are incorporated in construction contracts, and Promote improved safety through appropriate use of design standards and
guidelines. 3.5.3 Operating Environment
The review of projects are scheduled at the selection of the typical section,
the selection of a corridor location (if applicable), the midpoint plan-in-hand
review, and the PS&E review; in accordance with oversight responsibilities
determined under Section 2. Design review activities will be documented by
report, either prepared by FHWA, AHTD or AHTD consultant firm. FHWA approves all freeway access modifications regardless of funding source, in accordance with the joint AHTD/FHWA Freeway Access
Approval Policy. 3.5.4 AHTD Lead Divisions
The lead division responsible for coordinating the design of projects on
the State Highway System, the design of projects on City Street Systems,
and the design of traffic control-type projects is the Roadway Design Division. The lead division responsible for coordinating the design of projects on
County Road Systems is the State Aid Division. The lead division responsible for coordination the development of safety projects
(high hazard location and rail/highway) is the Planning and Research Division.
Actual project design will be performed by the Roadway Design Division.
3.5.3 Operating Environment The review of projects are scheduled at the selection of the typical section,
Approval Policy. 3.5.4 AHTD Lead Divisions The lead division responsible for coordinating the design of projects on
Actual project design will be performed by the Roadway Design Division
3.5.5 Design Standards Design criteria will conform to current AHTD and AASHTO policies. Geometric
design criteria for new construction and major reconstruction will be, at a
minimum, in accordance with criteria established in AASHTO's A Policy on
Design Standards-Interstate System or in the appropriate section of the
current, adopted edition of the AASHTO publication, A Policy on Geometric
Design of Highways and Streets as follows: Arterials
Arterial Standards Major
Collector Standards Minor
Exceptions to standards or procedures will be approved in writing by the Deputy
Director and Chief Engineer. All geometric design exceptions for projects on
the NHS, regardless of funding or oversight responsibility, will be submitted
to FHWA for consideration and approval. Each AHTD office requesting an exception
or waiver will keep a file of those approved actions. Such files will be available
to FHWA for review if needed.
The project design speed will meet or exceed AASHTO minimum values for the
functional classification of the facility being designed. On NHS routes,
use of design speeds less than AASHTO values may be recommended by AHTD to
FHWA for approval as required in the previous paragraph. On non-NHS routes,
use of design speeds less than AASHTO values may be recommended by the Assistant
Chief Engineer for Design and approved by the Deputy Director and Chief Engineer. The geometric design of a facility will take into consideration and incorporate,
as appropriate, findings and recommendations of the Congestion Management Systems
developed by MPOs in the TMAs. The geometric design of a facility will also
take in consideration the findings and recommendations made as part of a context
sensitive approach during the public involvement process. In considering these
findings and recommendations, AHTD will balance safety and environmental requirements
as prescribed by Federal and State laws, regulations, policies and guidelines. Structural design will be in accordance with the current edition of the AASHTO Standard
Specifications for Highway Bridges or the LRFD Bridge Design Specifications and
current AHTD specifications. All new bridges will be designed in accordance with LRFD Specifications with the exception of certain structures
whose TS&L plans had been approved before October 1, 2007. Bridge layouts
will be approved by the Assistant Chief Engineer for Design. FHWA will approve
TS&L plans and final Bridge PS&E's for projects where FHWA retains
its oversight responsibility and for all projects where a bridge crosses or impacts
a railroad. FHWA approval by the Division Bridge Engineer will be indicated by
a signed and dated “Structures Satisfactory” stamp.
On collectors and locals, shoulders may be surfaced across their entire width,
regardless of the widths of bridge structures.
Hydraulic design criteria will be in accordance with the current AHTD
Drainage Manual. Geotechnical design criteria for structures will be in accordance
with the current LRFD Bridge Design Specifications. For federally funded Resurfacing, Restoration, Rehabilitation (3R) and System
Preservation type projects, AHTD will adhere to the AHTD Geometric Design
Criteria for Non-freeway Resurfacing, Restoration, and Rehabilitation projects,
as approved by FHWA.
3.5.6 Work Zone Safety and Mobility in Design
AHTD will assist FHWA in assessing the work zone policies and procedures by completing a work zone self-assessment provided by FHWA, as required by Table 1b.
AHTD, with assistance from FHWA, will ensure that Federal-aid highway projects
and maintenance activities on Federal-aid highways comply with NCHRP Report
350 criteria, the AASHTO/FHWA agreement and subsequent FHWA guidance. AHTD and FHWA will ensure that all Federal-aid highway projects comply with
the most current version of the Manual on Uniaffic Control Devices (MUTCD)
and other applicable AHTD regulations and Federal guidelines. Bicycle facilities will be developed in accordance with the current AASHTO Guide for the Development of Bicycle Facilities and
other applicable AHTD policies. 3.5.7 Design-Build Projects
As stated in Section 1503 of the SAFETEA-LU and in accordance with State law,
AHTD or an LPA can issue a request for proposal (RFP), proceed with awards
of design-build contracts or issue a notice to proceed prior to the completion
of a NEPA process. However, AHTD shall receive concurrence from FHWA prior
to carrying out any of these activities. For Federal oversight projects, AHTD
is required to receive approval from FHWA prior to releasing the RFP document.
FHWA approval of the RFP document carries the same significance as PS&E
approval, and AHTD must submit a formal request for RFP approval. Table 1a – Design Monitoring Process Actions and Review Timeframes
Federal Oversight Projects
AHTD Oversight Projects on the NHS
AHTD Oversight Projects off the NHS
Preliminary and Intermediate Design
Plans Design Exceptions1
Prepare and Comment
Freeway Access Modification Requests:
General Concept Review, Engineering and Operations Analysis, Final Approval
Value Engineering Annual Summary
Provide response or forward to FHWA HQ for approval (15
Provide response or forward to HQ for approval (15 days)2
Provide response and forward to HQ (10 days)
Public Interest Finding (Special Products, Sole Source
Specs, Proprietary Items, etc.)
Bridge Preliminary Plan Review (TS&L,structure type, foundation review Consultant
services contracts (planning, environment, surveying, row and design)
Provide Technical Assistance3
Prepare and submit to FHWA for approval 14 days before
New/Revised Standard Drawings
Minor Revision: Prepare and approve. Major Revision: Prepare
and submit to FHWA for approval
Major Revision: Provide response4 (10 days)
and submit to FHWA for approve
Concurrence in Contract Award
Prepare and submit to FHWA for concurrence
Provide response (5 days)
3R Standards on the NHS
1 FHWA approves design exceptions for all projects on the NHS,
regardless of oversight responsibility. AHTD Deputy Director and Chief Engineer approves design exceptions on projects off the NHS.
2 FHWA Headquarters approves certain Interstate as per the AHTD/FHWA Freeway
Access Approval Policy
3 FHWA approves all bridges on or over the Interstate regardless of funding
4FHWA approves new Standard Drawings for use on NHS projects. AHTD and FHWA
will consult on a case-by-case basis on whether revisions are major or minor.
Table 1b – Work Zone Safety and Mobility in Design – Process Actions WORK ACTIVITY
OUTCOME Work Zone Safety and Mobility Process Review Implement new work zone policy and regulation. Conduct
Field Review and Process Review every year on an alternating basis. Provides
review report to FHWA by December 31s
Participate and oversee the process for the annual reviews
to ensure conformance with 23 CFR 630 Subpart J Final Rule. Assessment of work zone procedures NCHRP 350 (NCHRP 350 Testing Criteria) Comply with NCHRP 350 and AASHTO/FHWA agreement Review AHTD actions and perform reviews Crashworthy devices MUTCD (Traffic Control Devices on all public roads)
Comply with MUTCD (in particular, the target compliance dates shown
in the Introduction of the MUTCD).
Review AHTD actions and perform review of ongoing MUTCD issues Uniformity of Traffic Control Devices
3.6 Pavement Design and Management 3.6.1 Program Overview 3.6.1.1 Pavement Design
23 CFR 626.3 requires pavements to be designed to accommodate 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. Each
State Highway Agency is expected to use design procedures appropriate for their
respective conditions. AHTD follows the design procedures that are outlined
in AASHTO's Guide for Design of Pavement Structures. 3.6.1.2 Pavement Management 23 USC 303(a) directs the U.S. Secretary of Transportation to issue regulations
for State development, establishment and implementation of systems for managing
highway pavements through the implementation of a Pavement Management System
(PMS). AHTD has an operational Pavement Management System used to assist in the selection
of projects and maximize the effectiveness of the funding used in managing the
highway pavements. This system is operated by the Pavement Management Section
under the Planning and Research Division of AHTD. AHTD follows the procedures
that are outlined in AASHTO's Pavement Management Guide.
3.6.2 AHTD Responsibilities For projects on the NHS, pavement design procedures will be those approved
by the FHWA in accordance with 23 CFR 626.
For projects not on the NHS, pavement design procedures will be in accordance
with the currently adopted edition of the AASHTO Guide for Design of Pavement
Structures or other procedures adopted by AHTD. Minimum standards for low volume roads, overlays, and bituminous surface treatments
may be recommended by the Engineer of Roadway Design and approved by the Assistant
Chief Engineer for Design.
Pavement design standards on County projects will be in accordance with the
AASHTO's Guide for Design of Pavement Structures except that the
ultimate roadway section may be constructed in stages. 3.6.3 FHWA Responsibilities FHWA's Pavement and Materials Engineer, through active participation
in various task forces and meetings will ensure that pavement-related activities
are appropriately coordinated among functional/administrative areas of FHWA.
These pavement-related activities include new and rehabilitated pavement design
and construction, pavement management, and research and technology transfer. FHWA will review and provide comments on AHTD's pavement design/rehabilitation
procedures, policy and guidelines on an ongoing basis. Additionally, by being
a member of the individual task forces, teams, and committees, FHWA will have
ongoing involvement in the development, update and implementation of pavement
Table 2 – Pavement Design and Management Actions and Review Timeframe WORK ACTIVITY
OUTCOME Pavement Management System (PMS)
Develop and implement changes
Review and comment (10 days) PMS best practices are used and quality data collected
and used Selection of Preferred Rehabilitation Alternatives Prepare alternatives and make selection Review and comment (10 days) Document best practices for future reference Conduct Joint Review of Pavement Design and Construction Prepare report Review and provide recommendations (10 days) Report Pavement Design Guide, Policy and Procedures
Develop and submit to FHWA for approval
Roadway Design Guidelines/Manual
3.7 Preconstruction Contract Administration 3.7.1 Operating Environment Upon receipt of plans in AHTD's Programs and Contracts Division, a
plan review will be conducted and appropriate Supplemental Specifications dealing
with DBE goals, EEO, wage rates, etc., will be assembled. A detailed estimate based upon plan quantities will be prepared by the Roadway
Design Division or the State Aid Division. The project will be added to the list of potential projects for the upcoming
letting. This list will be submitted to the Assistant Chief Engineer for Planning
for review and approval and then to the Deputy Director and Chief Engineer
for review of the projects and total estimates. On Federal oversight projects, AHTD will submit a copy of the PS&E to FHWA
for approval, which FHWA will review and provide a response to the request.
These activities will be accomplished within the timeframe established in Table
1a (page 18). 3.7.2 Project Advertisement Approximately two weeks prior to advertising project for a letting, a current
status of projects proposed for the letting will be forwarded to the Assistant
Chief Engineer for Planning for review. This status will reflect current information
on all projects regarding environmental review, railroad coordination, right-of-way
and utility handling, and any special conditions (see Appendix E). Prior to transmitting information to the newspapers for the advertisement,
an updated status of projects list for final authorization to advertise will
be forwarded by the Engineer of the Programs and Contracts Division through
the Assistant Chief Engineer for Planning to the Deputy Director and Chief
Engineer for approval. Upon approval of the Deputy Director and Chief Engineer and the approval of
FHWA for Federal oversight projects, the Programs and Contracts Division will
notify the Statewide newspaper(s) and trade journal(s) of the projects to be
advertised; will post the advertisement on the AHTD's website; and will
mail to all DBE firms and subscribing contractors the notices of upcoming projects. The advertising period will normally be four weeks. When an advertising period
of less than four weeks is justified, the Deputy Director and Chief Engineer
may approve a shorter period. Federal-aid highway projects with less than three
weeks of advertisement will be submitted for FHWA approval. In unusual circumstances where all preconstruction activities will not be complete
prior to advertising, the Deputy Director and Chief Engineer, with FHWA's
concurrence, may authorize the advertisement of Federal-aid highway projects.
Project addenda will be made available to proposal holders within a reasonable amount of time prior to the opening of bids. Project advertisements will meet all non-Title 23 requirements. 3.7.3 Bidding Bidding and non-bidding proposals will be issued in accordance with AHTD procedures which have been approved by FHWA.
Bids will be received and opened in accordance with all State and Federal
Bids will be reviewed by AHTD Programs and Contracts Division and recommended for consideration of award or rejection to the Assistant Chief Engineer for Planning. 3.7.4 Contract Award The Deputy Director and Chief Engineer, the Assistant Chief Engineer for Planning,
the Assistant Chief Engineer for Design, and other staff members will make
a tentative award or rejection recommendation for each project. The Director
of Highways and Transportation by authority of the Arkansas State Highway Commission
will make the decision on contract awards based on this recommendation. For Federal oversight projects, AHTD will seek FHWA concurrence in award prior
to contract execution or in rejection of all bids. In seeking FHWA concurrence
in award, AHTD will submit a copy of the bid tabulation, a bid analysis and
AHTD's recommendation to award the Contract. In seeking FHWA concurrence
in rejection of all bids, AHTD will submit a written request with supporting
information. Contractor notification, bonding, and contract execution will follow all Federal-aid
guidelines. 3.7.5 Public Interest Findings A request for a public interest finding of cost effectiveness (or a determination
that an emergency exists) shall be furnished by AHTD for FHWA review and approval
as required by 23 USC 112 when: construction by some method other than competitive bidding is to be used, AHTD seeks Federal-aid participation for State force account work, or any Federal-aid participating proprietary products or State-furnished equipment
or materials are specified in the plans or specifications. 3.8 Construction Program 3.8.1 Program Overview AHTD will be responsible for adequately supervising and inspecting the construction
of all Federal-aid highway projects to ensure that projects are completed in
conformance with the approved plans and specifications.
FHWA will be responsible for ensuring that AHTD provides the supervision and
inspection necessary on Federal-aid projects. To that effect, FHWA maintains
a construction monitoring program. The primary objectives of the FHWA construction
monitoring program are: to evaluate AHTD's control of the projects and the quality and progress
of work, to maintain a close working relationship with AHTD construction staff, to promote quality improvements, to promote work zone safety and mobility, to ensure that projects are completed in reasonably close conformance with
the approved plans and specifications and any approved changes, and to ensure compliance with environmental commitments. 3.8.2 FHWA Project and Program Administration In order to achieve the objectives stated in the previous section, FHWA will
use the following methods: 3.8.2.1 Program-Level Methods Construction Process Review/Product Evaluation (PR/PE)
PR/PEs are comprehensive reviews of AHTD's procedures and controls on
Federal-aid projects. The purpose of a PR/PE is to provide oversight of AHTD
construction and materials management activities and to determine compliance
with Federal-aid requirements on a statewide or district-wide basis. These
reviews also provide the opportunity to identify highly successful practices
as well as possible areas of improvement that may be incorporated in future
Federal-aid highway projects. 3.8.2.2 Project-Level Methods Inspection-In-Depth
Inspection-in-depth is a thorough on-site review to evaluate a specific contract
item, combination of items, or major phase of a Federal-aid project. Inspections-in-depth
may be accomplished on an individual project basis or on several projects
with the findings summarized as a region-wide or statewide review. Project Inspection In Federal oversight projects, project inspections are on-site reviews to
evaluate AHTD's construction management and inspection activities, the quality
and progress of the work, compliance with appropriate environmental commitments
and, if inspections allow, follow up on findings from final inspections Final inspection is a review to determine the extent to which AHTD has exercised
its control to assure that the project has been completed in reasonably close
conformance with the plans, specifications, and any authorized changes, including
implementation of environmental commitments. This inspection will be performed
in conjunction with AHTD personnel for all Federal oversight projects. 3.8.3 AHTD Project Administration The AHTD Resident Engineer and his staff are responsible for ensuring compliance
with the contract plans and specifications during construction of all Federal-aid
highway projects and generally have daily contacts with the projects.
The AHTD District Engineer oversees the Resident Engineer's work and
is also responsible for contract compliance. The District Engineer has routine
contact with projects in his/her District, though not necessarily on a daily
AHTD Staff Construction Engineers provide support to the Districts in ensuring
that AHTD policies and procedures, including contract compliance, are followed.
AHTD Staff Construction Engineers also act as liaisons between the Districts
and Central Office Divisions. All projects are audited by the Contract Estimates Section of AHTD's
Construction Division to ensure that all measurements of pay quantities and
subsequent payments are in accordance with the contract specifications. The
Contract Estimates Section also ensures that other project documents, such
as Materials Certifications, DBE forms, etc., are complete, correct and on
file before a project is closed. The Construction Inspection Report form shown in Appendix F1 is used by the
AHTD District Engineer for interim and semi-final inspections and the Final
Construction Inspection Report shown in Appendix F2 is used for the final inspection.
The AHTD District Engineer is responsible for the inspection and acceptance
of all State oversight projects. On Federal-aid highway projects on the NHS,
emphasis will be given to performing interim inspections on the major phases
The Final Construction Inspection Report is sent to the AHTD Construction
Division for distribution. This Inspection Report, as well as the final estimate
from the Contract Estimates Section, will serve as a notice to the AHTD Federal-aid
Section of the Fiscal Services Division that a project is complete and ready
to close. AHTD's Internal Audit Section audits Resident Engineers' records
and operations on selected construction projects to determine if the job specifications
and Department policies have being followed.
Table 4 – Materials Quality Assurance Actions and Review Timeframe
submit to FHWA
for approval Provide
(5 days) Prepare and
approve None Prepare and
approve None Standard
response (10
days) Prepare and
FHWA Provide
(10 days) Prepare and
approve None Buy America
FHWA for
approval Provide
(10 days) Prepare
to FHWA Provide
(10 days) Cancellation,
for approval Review and
(5 days) Executed Contract
submit to FHWA Acknowledge
file (2 days) Approve
submit to FHWA Review and
response(5
approve None FHWA Initial
necessary Conduct and
(10 days) None None
FHWA Intermediate
(10 days) None
prepare report Conduct and
report (10
days) Conduct and
report None Conduct and
report None State Construction
Certificate of Final
submit to FHWA Accept and
project file Prepare and
file Prepare and
approve None Materials
the AG's office
and FHWA,
approve (10
days) Coordinate
with the AG's
AG's office None
3.9 Materials Quality Assurance Monitoring 3.9.1 Program Overview FHWA monitoring of AHTD Quality Assurance (QA) Program is structured around
23 CFR 637. The overall purpose of the monitoring program is to ensure the
quality of materials incorporated into Federal-aid highway projects on the
National Highway System. For Federal-aid highway projects on the NHS, the primary objectives of the
monitoring program are: Maintain a close working relationship with AHTD's 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, specifications, and special provisions, and the
AHTD Materials and Construction Manuals, Provide oversight of construction materials and compliance with Federal
requirements on a statewide basis, and Ensure there is adequate and qualified AHTD staff to maintain AHTD Quality
Assurance and Independent Assurance (IA) programs. 3.9.2 Operating Environment FHWA will monitor AHTD's QA Program for materials used in the construction
of Federal-aid highway projects located on the NHS. Details of oversight provided
for monitoring AHTD's Materials QA Program for construction are included in
the AHTD Materials Manual. For Federal-aid highway projects not on the
NHS, AHTD will monitor the QA Program for construction except that AHTD does
not need to submit a materials certification to FHWA. 3.9.3 FHWA Oversight Activities FHWA will review and approve AHTD's Materials QA Program as included in AHTD's Materials
Manual on an on-going basis. The AHTD Materials QA Program includes the
Acceptance Program, the IA Program, the Materials Certification of projects
located on the NHS, the AASHTO Accreditation Inspection Reports, the Qualified
Laboratory Program and the Qualified Sampling and Testing Personnel Program.
Additionally. As a member of the individual task forces/teams/committees,
FHWA will have an ongoing involvement in the development and implementation
of the AHTD Materials QA Program. In addition, FHWA will monitor the implementation and effectiveness of the AHTD
Materials QA Program through joint AHTD/FHWA process reviews. Individual process
reviews will be identified in FHWA's Annual Strategic Plan. The FHWA's
Pavement and Materials Engineer will accompany FHWA area engineers for project
inspections of Federal oversight projects.
AHTD ACTION FHWA ACTION
FHWA ACTION QA Program
Materials Test Methods and
Updates, Materials QA Manual,
Frequency Guide Qualified Technician and
(ongoing) and
submit to FHWA Provide response
(optional) None Develop/
(optional) None
inspection report Provide response
Public Interest Findings (PIF) with
(10 days) Qualified Product List (QPL) (if
maintain, provide
copy to FHWA None Prepare and