Source: http://www.fhwa.dot.gov/federalaid/stewardship/agreements/hi.cfm
Timestamp: 2014-10-20 09:54:43
Document Index: 611466463

Matched Legal Cases: ['art 1', 'art 771', 'art 772', 'art 777', 'art 710', 'art 750', 'art 751', 'art 752', 'art 771', 'art 772', 'art 777', 'art 24', 'art 7', 'art 116', 'art 650', 'art 630', 'art 655', 'art 940', 'art 18', 'art 501', 'art 2', 'art 26']

Letter of Agreement and Stewardship Plan -
Federal-aid Program Administration > Stewardship & Oversight > Letter of Agreement and Stewardship Plan
Letter of Agreement and Stewardship Plan
Federal Highway Administration and Hawaii Department of Transportation
Stewardship Planning Committee Members
Section 2: Oversight Activities
Section 3: HDOT-Highways Division Organization Chart
Section 4: Project/Program Oversight
4.2: Environment
4.3: Right-of-way
4.4: Consultant Services
4.6: Construction
4.7: Maintenance
4.8: Materials
4.9: Structures
4.10: Safety
4.11: Traffic Engineering and Intelligent Transportation Systems
4.12: Financial Management and Accounting
4.13: Research and Technology Transfer
4.14: Civil Rights
4.15: Risk Assessment
Section 6: Acronyms
Figure 1. Project Oversight Flowchart
Figure 2. Hawaii DOT Organizational Diagram Highways Division
The Hawaii Department of Transportation (HDOT) and the Federal Highway Administration, Hawaii Division (FHWA) agree to follow the procedures set forth in the FHWA and HDOT Stewardship Plan, dated January 5, 2007, which is attached to and made a part of this agreement, to carry out their respective oversight responsibilities in the delivery of Federal-aid projects. This Letter of Agreement supersedes all past agreements, including the agreement signed February 24, 1993.
The Stewardship Plan (Plan) accomplishes a major goal of the respective agencies, in partnership, to further improve program and project delivery in the State of Hawaii. Since 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, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005, FHWA's relationship with HDOT has changed from full project oversight and approval of every project or activity funded with FHWA funds to program oversight and some targeted project level approval. ISTEA, TEA-21 and SAFETEA-LU requires the FHWA Hawaii Division to share certain oversight responsibilities with its HDOT partner to a much greater extent than in the past and HDOT's acceptance has resulted in a greater program accountability due to less federal involvement in certain projects and programs.
Although stewardship roles have changed, accountability has not changed. FHWA remains responsible and accountable to Congress and the public. HDOT is also committed to being accountable and responsive to its constituents, the people of Hawaii.
This Plan embodies the shared vision:
"Together create a dynamic, Hawaii inspired, transportation system that improves the quality of life in Hawaii through a partnership based on mutual respect, trust, and cooperation that ensures the judicious use of public resources."
Narrative, matrix tables and flow charts in the Stewardship Plan outlines responsibilities and accountability for FHWA and HDOT. The purpose of the Plan is to clarify actions, prevent misinterpretation and avoid time delays.
The Stewardship Plan is a living document that can be modified to incorporate additional legislation, and other processes or changes that may impact the oversight responsibilities. The FHWA Hawaii Division Administrator or the Director of HDOT may initiate changes to this Stewardship Plan. Both parties, HDOT and FHWA, shall mutually agree upon all future changes.
It is the mutual objective of FHWA and HDOT to work toward providing the State of Hawaii the maximum flexibility as permitted by law and to implement the shared vision.
Abraham WongDivision AdministratorFederal Highway Administration Hawaii DivisionBarry Fukunaga
Interim DirectorHawaii Department of Transportation
Date: January 5, 2007Date: January 5, 2007
FHWA: Jodi Chew, Richelle Takara HDOT: Gary Choy, Gerald Dang
FHWA: Elizabeth Fischer HDOT: Wayne Kawahara, Dean Nakagawa, Pat Tom, Ron Tsuzuki
FHWA: Jodi Chew HDOT: Todd Nishioka, Nelson Sagum, Robert Sun, Ron Tsuzuki, Darrell Young
FHWA: Jodi Chew
HDOT: Mike Amuro, Dale Suzuki, Jerry Yamada, Dean Yogi
FHWA: Pat Phung HDOT: Jeffrey Fujimoto, Ben Hung
Design FHWA: Richelle Takara HDOT: Julius Fronda, Christine Yamasaki
FHWA: Clifford Chew HDOT: Stanly Arakaki, Sterling Chow, Jamie Ho, Blaine Kawamura, Kyle Oyasato, Sal Panem, Rudy Raralio, Charlene Shibuya
FHWA: Clifford Chew
HDOT: Jamie Ho, Kelly Lee Sato
FHWA: Pat Phung HDOT: Gerry Carnate, Herbert Chu, JoAnne Nakamura
FHWA: Domingo Galicinao HDOT: Herbert Chu, Curtis Matsuda, Paul Santo
FHWA: Wayne Kaneshiro HDOT: Jan Higaki, Sean Hiraoka
Traffic Engineers & Intelligent Transportation Systems
FHWA: Richelle Takara HDOT: Peter Chan, Benson Chow, Bryan Kimura, Karl Kunishige
FHWA: Dean Fujita HDOT: Philbert Allencastre, Kam Kin Sin, Gerals Dang, Eva Uchilhara, Scot Urada
FHWA: Domingo Galicinao, Wayne Kaneshiro HDOT: Steve Ege, Franci Terada
FHWA: Vincent Mammano HDOT: Rey Domingo, Blaine Kawamura
FHWA: Vincent Mammano HDOT: Brennon Morioka, Glenn Yasui
Congress has charged the Federal Highway Administration (FHWA) with administering the Federal-Aid Highway Program (FAHP) under Title 23, and other associated laws. In addition, FHWA's responsibility for administering the FAHP has been clearly outlined in the following legislations: the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991; the Transportation Equity Act of the 21st Century (TEA-21) of 1998; and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005. These laws allow States to assume certain delegated responsibilities for FHWA in certain National Environmental Policy Act approvals and in the design, construction, award and inspection of certain Federal-aid projects.
The FHWA and the State Departments of Transportation (SDOTs), the funds recipients, have jointly administered the FAHP for many years. With the enactment of ISTEA, the Stewardship Agreement was introduced and provided a documented provision that addressed how the SDOT and FHWA division office would handle the delegated authorities for certain project action. Since that time, and the passage of SAFETEA-LU, the overall program has evolved requiring a more comprehensive Agreement that covers all aspects of the FAHP. This new Agreement provides a road map to effectively and efficiently execute the Federal-aid program relating to program/project delivery. FHWA assistance is not just financial integrity; it is managerial and technical as well.
Stewardship goes beyond regulatory compliance or oversight. This Stewardship Plan (Plan) outlines the roles of both FHWA and HDOT. In order to distinguish stewardship from oversight the following definition will apply:
This Stewardship Plan serves as a continuing plan of program oversight and responsibilities for each agency covering the following functional areas:
Traffic Engineering and Intelligent Transportation Systems
The Plan takes into account FHWA's and HDOT's resources and capabilities, and the area of responsibilities and federal requirements where FHWA has an active role in the oversight process. The Plan sets the general framework for accomplishing FHWA's stewardship and oversight responsibilities. In general, FHWA will use Process Review/Product Evaluation (PR/PE) techniques to assess the capability and capacity of HDOT in those areas where HDOT has assumed FHWA's responsibilities. FHWA will also use these techniques to monitor and evaluate HDOT's fulfillment of the responsibilities outlined in this Plan.
In cases where project level activity is still an integral part of FHWA's stewardship and oversight efforts, early involvement in project decisions combined with an assessment of the quality of the products produced during the project development process will be the primary focus.
In addition the Plan includes the stewardship responsibilities for various programs with identified action by each agency. FHWA will use Program Activities as defined later in this Plan to monitor and evaluate program performance and effectiveness. This Plan incorporates mutual service standards that include agreed upon formats and procedures for HDOT and FHWA actions.
This Agreement between the HDOT and the Hawaii Division of the FHWA sets forth the respective roles and responsibilities of each party in the administration and oversight of the FAHP in the State of Hawaii.
FHWA has full oversight of all Federal-aid programs. FHWA will manage and provide oversight of Hawaii's Federal-aid programs in various ways. The methods used will include:
Division participation on HDOT task forces, quality teams, implementation committees reviews with individuals, attendance at HDOT meetings, etc.
PR/PE reviews.
CPI activities will be undertaken in cooperation with HDOT as needed. FHWA's PR/PE approach will comprise the traditional process of comprehensively reviewing and evaluating State and/or local agency policies, procedures, practices and controls for the development and implementation of Federal-aid projects and programs.
FHWA will provide technical assistance to HDOT and local agencies on any aspect of eligible Title 23 projects. Such technical assistance activities will be identified on a case-by-case basis in consultation with HDOT and other interested partners.
FHWA will work with HDOT in carrying out the program related stewardship responsibilities.
HDOT Responsibilities
As a condition to accepting Federal-aid highway funds, HDOT agrees to follow all applicable project and program requirements. In addition, as party to this agreement, HDOT assumes project oversight responsibilities, in accordance with the following:
NHS Projects on the Interstate – HDOT assumes oversight responsibility for the design, plans, specifications, estimates, contract award and inspection for all NHS projects with an estimated construction cost of $5 million or less on the Interstate System. All Interstate projects must comply with all Title 23 U.S.C. and non-Title 23 U.S.C. requirements.
Other NHS Projects (not on the Interstate System) – HDOT assumes oversight responsibility for the design, plans, specifications, estimates, contract award and inspection of projects on the NHS with an estimated construction cost of $10 million or less. All NHS projects must comply with all Title 23 U.S.C. and non-Title 23 U.S.C. requirements.
Non-NHS Projects – HDOT assumes oversight responsibility for the design, plans, specifications, estimates, contract award and inspection of projects not on the NHS. Non-NHS projects are required to be designed, constructed, operated and maintained in accordance with State laws, regulations, directives, safety standards, design standards, and construction standards, in lieu of many Title 23 requirements. Requirements that are applicable to all Federal-aid projects include, but are not limited to, transportation planning, procurement of professional services, Davis-Bacon wage rates, advertising for bids, award of contracts and Buy America Act provisions. All non-NHS projects must also comply with all non-Title 23 U.S.C. requirements.
Local Agency Projects – HDOT is responsible for assuring that all local agency Federal-aid projects comply with all applicable Federal and State requirements.
While ultimately accountable for all Federal-aid highway projects, FHWA is responsible for full project level oversight as indicated below:
Special Projects – FHWA will retain full oversight responsibility for (1) Innovative Financing; (2) Innovative Contracting; and (3) Interstate Route H-3 Completion Projects. NHS projects on the Interstate and Certain Other Projects – FHWA will have full oversight on NHS projects on the Interstate System with an estimated construction cost greater than $5 million. FHWA will conduct project level oversight of Title 23 U.S.C. and non-Title 23 U.S.C. requirements on full oversight projects. FHWA will take approval action on project plans, specifications, estimates, contract awards and inspection of projects.
Other NHS Projects (not on the Interstate System) – FHWA will have full oversight on NHS projects with an estimated construction cost greater than $10 million. FHWA will conduct project level oversight of Title 23 U.S.C. and non-Title 23 U.S.C. requirements on full oversight projects. FHWA will take approval action on project plans, specifications, estimates, contract awards and inspection of projects
Non-Title 23 Responsibility – FHWA will continue to be responsible for the oversight of applicable non-Title 23 requirements. Such oversight will be conducted through a combination of both project and program level activities. In consultation with HDOT, FHWA may become involved with the project level oversight of any Federal-aid project, including those for which HDOT has assumed oversight responsibility. In addition, any Federal-aid project may be included in the project sampling for program level review activities.
Does the Federal-aid project use Innovative Financing/Innovative Construction. If yes, then full federal oversight. If no, ask "is it interstate completion?" If yes, then full federal oversight. If no, ask "is it Emergency Relief?" Then full federal oversight. If no, ask "is it on the NHS?" If no, then it is state administered. If yes, ask "is the construction greater than $10 million." If yes, then full federal oversight. If no, ask "is it on the interstate?" If no, it is state administered. If yes, ask "is construction estimated greater than $5 million?" If no, then state administered. If yes, then full federal oversight.
Note: If either agency wants to place a project in the other category, the proposing agency shall bring up the issue to the other agency at the STIP stage or at the beginning of the project.
Section 3: HAWAII DOT ORGANISATIONAL DIAGRAM
Figure 2. HAWAII DOT ORGANISATIONAL DIAGRAM (see discription below)
HDOT Organizational Chart (Top Level Down)
First Level: Director of Transportation
Second Level: Deputy Directors, Office of Special Compliance Programs, Deputy Director Staff Services, Office of Civil Rights, Public Affairs Office, Statewide Transportation Planning Office
Third Level: Airports Division, highways Division, Harbors Division
Fourth Level: Engineering Services Office State Services Office, Motor Vehicle Safety Office
Fifth Level: Planning Branch, Design Branch, Right-of-Way, Materials Testing and Research Branch, Construction and Maintenance Branch, Traffic Branch
Sixth Level: OAHU District, Kanu District, Maui District, Hawaii District
Section 4 - PROJECT/PROGRAM OVERSIGHT
SECTION 4.1 - PLANNING
APPLICABLE LAWS, REGULATIONS, POLICIES AND PROCEDURES
Title 23 –United States Code (U.S.C.) Highways and non-Title 23 U.S.C. requirements.
23 CFR 420: Planning & Research
23 CFR 450: Statewide Transportation Planning; Metropolitan Transportation Planning
23 CFR 460: Public Road Mileage for Apportionment of Highway Safety Funds
23 CFR 470: Highway Systems
23 CFR 669: Enforcement of Heavy Vehicle Use Tax
Guide to Reporting Highway Statistics - HPMS Heavy Vehicle Travel Information System Field Manual
SAFETEA-LU Section 1117 – TCSP Program
CMAQ Guidelines (February 2004)
Federal Register, Volume 60:96 p. 26759 (May 18, 1995) – Scenic Byways July 24, 2001 FHWA HQ Memo
Program ActivityLocal Agency ActionHDOT ActionFHWA ActionNotes
Statewide Planning & Research (SPR) Program
Work Program and Revisions:SPR – Part 1: Statewide Planning STP: ApproveHWY-P: ReviewApprove annual programPrior to program period
Annual Performance & Expenditure Reports STP: PrepareApprove90 days after end of period
Other Periodic Performance & Expenditure Reports STP: Prepare not more frequently than quarterly.Review30 days after end of period
Approval of Reports Before Publication STP: ConsolidateApprovePer Division requirements
Statewide Transportation Planning Products
Statewide Transportation Plan STP: Approve coordinated Departmental multi-modal planHWY-P: Approve coordinated and prioritized State Highway LRTP (prioritize & consolidate the county LRTPs)ReviewUpdate as needed
Public Involvement ProceduresReviewSTP: Approve Departmental PI PlanHWY-P: ReviewReviewUpdate as needed
Statewide Transportation Improvement Program (STIP)ReviewHWY-P: PrepareApprove jointly with FTAPrior to program period (2007 & n+4)
STIP AmendmentsReviewHWY-P: PrepareReviewAs needed
Federal Finding on STIP ReviewApprove jointly with FTAConcurrent with STIP approval
State Self-Certification on Planning Process HWY-P: ApproveReviewSubmitted with STIP. Update as needed
State Consultation Process(es) with Non-Metropolitan Local OfficialsReviewSTP: Approve process February 24 (2011 & n+5)(last in 2006)
Highway System Actions
Interstate HWY-P: SubmitReview and approveAs needed
Federal-aid Urban Area Boundaries HWY-P: Prepare and submit in required digital formatApproveWhen revised
Functional Classification HWY-P: Prepare and reviewApproveWhen revised
National Highway System (NHS) HWY-P: ApproveReview and approveAs needed
Official Work Program (OWP/UPWP)
Transportation Management Areas (TMAs) OWP/UPWPOMPO: Prepare and submitReviewApprove jointly with FTA Non-TMA MPOs OWP/UPWPOMPO: Prepare Approve jointly with FTAPrior to program period
OWP/UPWP Revisions/AmendmentsOMPO: PrepareReviewApprove jointly with FTAAs needed
Performance & Expenditure ReportsOMPO: Prepare & submitReviewReviewNot more frequently than quarterly.
Approval of Reports Before PublicationOMPO: ReviewReviewApprove jointly with FTAPer Division Office Requirements
Metropolitan Planning: Long-Range Transportation Plan (LRTP)
MPO LRTP UpdatesOMPO: Develop & ApproveReviewReviewUpdate at least every five years (2011 & n+5) (last 2006)
MPO Public Involvement ProceduresOMPO: Develop & ApproveReviewReviewUpdate as needed
Air Quality Conformity Determination on LRTP ReviewApprove jointly with FTAConcurrent with LRTP. Update at least every 4 years
Certification/Certification Reports
State/MPO Self-CertificationsOMPO: ApproveReviewReviewMay be included in TIP or OWP. Annual
FHWA/FTA TMA Certification Review ReportOMPO: PrepareReviewApprove jointly with FTAEvery 3 years
TIPOMPO: ApproveGovernor: ApproveReview & Incorporate into STIPReviewPrior to program period
TIP AmendmentsOMPO: Approval thru the STIP amendment processReview & Incorporate into STIPReview jointly with FTAAs needed
Air Quality Conformity Determination on TIPN/AN/AN/AHawaii attainment area.
Federal Finding on TIPOMPO: PrepareReviewApprove jointly with FTAConcurrent with S(TIP) submittal
Metropolitan Planning Area Designation
Metropolitan Planning Area BoundariesOMPO: Approve and submitReviewReviewWhen revised
Allocation Formulas for PL fundsReviewReviewApproveWhen revised
MPO AgreementsOMPO: Prepare and ApproveLocal Transit provider: ApproveApproveReviewWhen completed
Designation/Redesignation of MPOsOMPO: Prepare and SubmitSTP: ApproveHWY-P: ReviewReviewWhen completed
Data Submittal HWY-P: Prepare and Submit to FHWA-HPPIReview & ApproveJune 15
Certified Public Roads Miles HWY-P: Prepare and SubmitApproveJune 1
Annual Field Review Report ReviewApproveNovember 1
Highway Statistics ReportsMotor Fuel (551-M)
HWY-P: Submit via UPACSReview & ApproveDue 60 days after end of each reporting month
Motor Fuel (556) HWY-P: Submit via UPACSReview & ApproveApril 1
Finance (531, 532, 541, 542, and 543(optional)) HWY-P: Submit via UPACSReview & ApproveApril 1
Finance (534)OMPO: Submit bienniallyHWY-P: Submit annuallyReviewJune 15
Finance (536) HWY-P: SubmitReviewSeptember 30
Vehicles and Drivers (561, 562, 566 and 571) HWY-P: Submit annuallyReviewApril 1
State DOT/Toll Authority Audits & Published Annual Reports & Form 539 (optional) HWY-P: Prepare & Publish annuallyReviewDue as soon as available.
State DOT Budgets and Published Annual Reports HWY-P: Prepare & publishReviewWhen published
Transportation Bond Referendums HWY-P: Submit corresponding informationReviewWhen published
Highway Finance & Tax Legislation HWY-P: Submit changes in coordination with State TaxationReviewWhen published
Vehicle Classification Data HWY-P: Prepare & submit as part of annual HPMS reportReview & ApproveJune 15
Permanent ATR Data HWY-P: Collect & submit to FHWA-HPPIReview & ApproveMonthly
Continuous Automatic Vehicle Classifier Data HWY-P: Collect and submit to FHWA-HPPIReview & ApproveMonthly
Weight & Vehicle Classification Data collected at Weigh-in-Motion sites HWY: Collect and submitReview & ApproveJune 15 (or quarterly)
Annual Traffic Reports HWY-P: Submit to FHWA-HPPIReview & ApproveWhen published
Traffic Flow Maps HWY-P: Submit to FHWA-HPPIReview & ApproveWhen published
State Highway Maps (including Tourist, Bike, Route maps) HWY submit 100 copiesReviewWhen published
Motor Fuel Oversight Review & Annual progress reports and statement of verification HWY-P: submit via UPACS. Coordinate with State Tax DeptApproveJune 30
Heavy Vehicle Use Tax (HVUT)Proof of Payment HWY: ApproveReviewJuly 1
Compliance Review HWY-Prepare & submitApproveEvery three years (2006)
TCSP Evaluation Report HWY: ApproveReviewJune 30
CMAQ Annual Report HWY: ApproveReviewFebruary 1
Scenic Byways Program Grant Review & Progress Reports HWY: ApproveReviewQuarterly
The overall effectiveness of the stewardship agreement pertaining to the Transportation Planning Program will be determined through a performance evaluation related to the timely production of required documents, plan implementation, and the quality and timeliness of other products produced as part of the program. Timely review and approval of the administrative paperwork is necessary to authorize the program and to ensure the state's accountability for the use of state and federal moneys.
The HDOT and FHWA Transportation Planning Program Stewardship Agreement performance objectives will be evaluated through actions such as but not limited to the following:
Joint HDOT/FHWA reviews of the various Highway Performance Monitoring System (HPMS) data, traffic data, and various required statistical reports. FHWA Headquarters (Office of Policy and Information - HPPI) evaluates and checks HPMS data and conducts field reviews of the HPMS data in conjunction with the Division Office.
Joint HDOT/FHWA (may also include FTA) planning team reviews MPO annual self-certification, discuss work program emphasis areas and schedules in coordination with OMPO.
Quarterly review meetings between HDOT Planning Staff (STP & HWY-P) and FHWA to evaluate HDOT's progress in meeting work objectives contained in the SPR work program, overall planning program, and data collection and analysis processes.
SECTION 4.2 - ENVIRONMENT
23 CFR Part 771 – Environmental Impact and Related Procedures 23 CFR Part 772 – Procedures for Abatement of Highway Traffic Noise and Construction Noise
23 CFR Part 777 – Mitigation of Impacts to Wetlands and Natural Habitat
HDOT Noise Analysis and Abatement Policy
Public Involvement/Public Hearing Procedures for Federal-aid Highway Actions
Hawaii Revised Statues Chapter 343 Environmental Impact Statements (HRS 343)
Hawaii Administrative Rules, Chapter 11-200 Environmental Impact Statements
Hawaii Revised Statues Chapter 341 Environmental Quality Control (HRS 341)
Hawaii Administrative Rules, Chapter 11-201 Environmental Council Rules of Practice and Procedures
Hawaii Revised Statues, 6E
Act 50, Session Laws of Hawaii 2000 (cultural practices)
Comprehensive Exemption List for the State of Hawaii Department of Transportation, November 11, 2000
1995 MOU NEPA/404 Integration Process Revise and SignReview and SignUpdated MOU
PROJECT APPROVAL ACTIONS – HDOT PROJECTS
Full Federal OversightState Administered
Project ActivityHDOT ActionFHWA ActionHDOT ActionFHWA Action
Identify Environmental Document TypeIdentify NEPA document neededConcurIdentify NEPA document neededConcur
Documented Categorical ExclusionComplete Documented Cat Ex and SignConcur and SignComplete Documented Cat Ex and SignConcur and Sign
Pre-draft Environmental AssessmentComplete EA Review EAComplete EAReview EA
Environmental AssessmentComplete and Sign EA Approve and Sign EAComplete and Sign EA Approve and Sign EA
Public InvolvementReceive Public InputReceive Public InputReceive Public InputReceive Public Input
Final Environmental AssessmentComplete EAConcurComplete EAConcur
NEPA Finding of No Significant ImpactDraft FONSISign FONSI And IssueDraft FONSISign FONSI and Issue
Notice Of IntentDraft NOIApprove/Submit for Publication in Federal RegisterDraft NOIApprove/Submit Publication in Federal Register
Participating Agency and Cooperating Agency LettersDraft LettersReview and Issue LettersDraft LettersReview and Issue Letters
Public InvolvementPerform Public InvolvementMay Attend Perform Public InvolvementMay Attend Purpose and NeedDevelop Purpose and NeedConcurDevelop Purpose and NeedConcur
Interagency CoordinationPerform CoordinationFacilitate CoordinationPerform CoordinationFacilitate Coordination
Pre-Draft Environmental Impact StatementComplete Pre-Draft EISReview Pre-Draft EISComplete Pre-Draft EISReview Pre-Draft EIS
Draft Environmental Impact StatementComplete Draft EIS and SignReview Draft EIS and SignComplete Draft EIS and SignReview Draft EIS and Sign
Public HearingHold HearingMay AttendHold HearingMay Attend
Pre-Final Environmental Impact StatementComplete Pre-Final EISReview Pre-Final EISComplete Pre-Final EISReview Pre-Final EIS
Final Environmental Impact StatementComplete FEIS and SignReview by FHWA Legal and SignComplete FEIS and SignReview and Sign
NEPA Record of DecisionDraft RODSign ROD and IssueDraft RODSign ROD and Issue
Preliminary Programmatic Section 4(f) EvaluationPrepare 4(f)Review 4(f)Prepare 4(f)Review 4(f)
Programmatic Section 4(f) EvaluationComplete 4(f)Review and Sign 4(f)Complete 4(f)Review and Sign 4(f)
Pre-Draft Section 4(f) EvaluationComplete Pre-DraftReview Pre-DraftComplete Pre-DraftReview Pre-Draft
Draft Section 4(f) EvaluationComplete DraftReview Draft by FHWA LegalComplete DraftReview Draft by FHWA Legal
Final Section 4(f) EvaluationComplete 4(f)Review and SignComplete 4(f)Review and Sign
De Minimis FindingCoordinate with SHPD or owning agency, receive agency concurrence, give public opportunity to commentIssue De Minimis FindingCoordinate with SHPD or owning agency, receive agency concurrence, give public opportunity to commentIssue De Minimis Finding
Letter Identifying Area of Potential Effect and Request for Identification of 106 propertiesPrepare Letter Approve for HDOT to sign and send to SHPDPrepare Letter Approve for HDOT to sign and send to SHPD
Section 106 Coordination with Interested Parties and Native Hawaiian Organizations (NHOs)Prepare LetterApprove for HDOT to sign and send to Interested Parties or NHOsPrepare LetterApprove for HDOT to sign and send to Interested Parties or NHOs
Section 106 Coordination Traditional Cultural Properties and Cultural Impact AssessmentPerform Coordination and Impact AnalysisFacilitate CoordinationPerform Coordination and Impact AnalysisFacilitate Coordination
Section 106No Adverse EffectPrepare LetterReview and Sign Letter to SHPDPrepare LetterReview and Sign Letter to SHPD
Section 106 Adverse Effect DeterminationPrepare LetterReview and Sign Letter to SHPDPrepare LetterReview and Sign Letter to SHPD
Section 106 Memorandum of AgreementPrepare and Sign MOAReview and Sign MOA. Send to Advisory Council of Historic Preservation.Prepare and Sign MOAReview and Sign MOA. Send to Advisory Council of Historic Preservation.
Letter Identifying Area of Effect and Identification of Section 7 Resources Prepare Letter Approve for sending to USFWSPrepare Letter Approve for sending to USFWS
Section 7 No effectWrite Letter Approve and Sign letter to USFWSWrite LetterApprove and Sign letter to USFWS
Section 7 Biological Evaluation and Letter of EffectPrepare Letter Approve and Sign letter to USFWSPrepare Letter Approve and Sign letter to USFWS
Formal Written Re-evaluationPrepare Re-evaluationReview and Issue decision on Re-evaluationPrepare Re-evaluationReview and Issue decision on Re-evaluation
Draft Supplemental Environmental Impact StatementPrepare Draft SEISReview Draft SEISPrepare Draft SEISReview Draft SEIS
Final Supplementary Environmental Impact StatementPrepare Final SEIS and SignReview and Sign SEISPrepare Final SEIS and SignReview and Sign SEIS
PROJECT APPROVAL ACTIONS – County and Other Local Agency Projects
Project ActivityLocal Agency ActionHDOT ActionFHWA ActionLocal Agency ActionHDOT ActionFHWA Action
Identify Environmental Document TypeIdentify NEPA document neededConcurConcurIdentify NEPA document neededConcurConcur
Documented Categorical ExclusionComplete Documented Cat Ex and SignConcur and SignConcur and SignComplete Documented Cat Ex and SignConcur and SignConcur and Sign
Pre-draft Environmental AssessmentComplete EAReview EAReview EAComplete EAReview EAReview EA
Environmental AssessmentComplete EAConcur and Sign EAApprove and Sign EAComplete EAConcur and Sign EA Approve and Sign EA
Public InvolvementReceive Public InputReceive Public InputReceive Public InputReceive Public InputReceive Public InputReceive Public Input
Final Environmental AssessmentComplete EAConcurConcurComplete EAConcurConcur
NEPA Finding of No Significant I ImpactDraft FONSIReview Sign FONSI And IssueDraft FONSIReviewSign FONSI and Issue
Notice Of IntentDraft NOIConcurApprove/Submit for Publication in Federal RegisterDraft NOIConcurApprove/Submit Publication in Federal Register
Participating Agency and Cooperating Agency LettersDraft LettersReview LettersReview and Issue LettersDraft LettersReview LettersReview and Issue Letters
Public InvolvementPerform Public InvolvementMay AttendMay Attend Perform Public InvolvementMay AttendMay Attend Purpose and NeedDevelop Purpose and NeedConcur ConcurDevelop Purpose and NeedConcur Concur
Interagency CoordinationPerform CoordinationPerform CoordinationFacilitate CoordinationPerform CoordinationPerform CoordinationFacilitate Coordination
Pre-Draft Environmental Impact StatementComplete Pre-Draft EISReviewReview Complete Pre-Draft EISReviewReview Draft Environmental Impact StatementComplete Draft EIS and SignReviewReview Complete Draft EIS and SignReviewReview Public HearingHold HearingMay AttendMay AttendHold HearingMay AttendMay Attend
Pre-Final Environmental Impact StatementComplete Pre-Final EISReview Review Complete Pre-Final EISReview Review Final Environmental Impact StatementComplete FEIS and SignReview and SignReview by FHWA Legal and SignComplete FEIS and SignReview and SignReview and Sign
NEPA Record of DecisionDraft RODReview RODSign ROD and IssueDraft RODReview RODSign ROD and Issue
Preliminary Programmatic Section 4(f) EvaluationPrepare 4(f)Review 4(f)Review 4(f)Prepare 4(f)Review 4(f)Review 4(f)
Programmatic Section 4(f) EvaluationComplete 4(f)Review 4(f)Review and Sign 4(f)Complete 4(f)Review 4(f)Review and Sign 4(f)
Pre-Draft Section 4(f) EvaluationComplete Pre-DraftReviewReview Complete Pre-DraftReviewReview Draft Section 4(f) EvaluationComplete DraftReviewReview by FHWA LegalComplete DraftReviewReview by FHWA Legal
Final Section 4(f) EvaluationComplete 4(f)Review Review and SignComplete 4(f)Review Review and Sign
De Minimis FindingCoordinate with SHPD or owning agency, receive agency concurrence, give public opportunity to commentReviewIssue De Minimis FindingCoordinate with SHPD or owning agency, receive agency concurrence, give public opportunity to commentReviewIssue De Minimis Finding
Letter Identifying Area of Potential Effect and Request for Identification of 106 propertiesPrepare Letter Review Approve for local agency to sign and send to SHPDPrepare Letter Review Approve for local agency to sign and send to SHPD
Section 106 Coordination with Interested Parties and Native Hawaiian Organizations (NHOs)Prepare LetterReview Approve for local agency to sign and send to Interested Parties or NHOsPrepare LetterReview Approve for local agency to sign and send to Interested Parties or NHOs
Section 106 Coordination Traditional Cultural Properties and Cultural Impact AssessmentPerform Coordination and Impact AnalysisFacilitate CoordinationFacilitate CoordinationPerform Coordination and Impact AnalysisFacilitate CoordinationFacilitate Coordination
Section 106No Adverse EffectPrepare LetterReview Review and Sign Letter to SHPDPrepare LetterReview Review and Sign Letter to SHPD
Section 106 Adverse Effect DeterminationPrepare LetterReview Review and Sign Letter to SHPDPrepare LetterReview Review and Sign Letter to SHPD
Section 106 Memorandum of AgreementPrepare and Sign MOA Review and Sign Review and Sign MOA. Send to Advisory Council of Historic Preservation.Prepare and Sign MOA Review and Sign Review and Sign MOA. Send to Advisory Council of Historic Preservation.
Letter Identifying Area of Effect and Identification of Section 7 Resources Prepare Letter Review Approve for sending to USFWSPrepare Letter Review Approve for sending to USFWS
Section 7 No effectPrepare LetterReviewApprove and Sign letter to USFWSPrepare LetterReviewApprove and Sign letter to USFWS
Section 7 Biological Evaluation and Letter of EffectPrepare Letter ReviewApprove and Sign letter to USFWSPrepare Letter Review Approve and Sign letter to USFWS
Formal Written Re-evaluationPrepare Re-evaluationReview Review and Issue decision on Re-evaluationPrepare Re-evaluationReview Review and Issue decision on Re-evaluation
Draft Supplemental Environmental Impact StatementPrepare Draft SEISReview Review Draft SEISPrepare Draft SEISReview Review Draft SEIS
Final Supplementary Environmental Impact StatementPrepare Final SEIS and SignReview and Sign Review and Sign SEISPrepare Final SEIS and SignReview and Sign Review and Sign SEIS
Environment: Monitoring will be accomplished by the FHWA through project-by-project monitoring and environmental document approvals.
SECTION 4.3 - RIGHT-OF-WAY
Constitution of the United States of America, Article V, the Fifth Amendment.
Constitution of the United States of America, Article XIV, the Fourteenth Amendment.
Constitution of the United States of America, Decisions of The United States Supreme Court.
Title 23 U.S.C. – Highways.
Title 42 U.S.C. (The Public Health), Chapter 51 (Uniform Relocation Assistance and Real Property Acquisition Policies for Federal and Federally Assisted Programs) – The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Public Law 91-646, 84 Stat. 1894-1907, 91st Congress, S.1, January 2, 1971 [Uniform Act; Uniform Relocation Act or URA], as amended.
Title 49 U.S.C. – Transportation.
23 CFR Section 635.309 – Authorization
23 CFR Part 710 – Right-of-Way and Real Estate
23 CFR Part 750 – Highway Beautification
23 CFR Part 751 – Junkyard Control and Acquisition
23 CFR Part 752 – Landscape and Roadside Development
23 CFR Part 771 – Environmental Impact and Related Procedures
23 CFR Part 772 – Procedures for Abatement of Highway Traffic Noise and Construction Noise
23 CFR Part 777 – Mitigation of Environmental Impacts to Privately Owned Wetlands
49 CFR Part 24 – Uniform Relocation Assistance and Real Property Acquisition Policies for Federal and Federally Assisted Programs
Federal-Aid Policy Guide, December 9, 1991 (FAPG), as revised.
Right-of-Way Project Development Guide, FHWA-PD-92-020, September 1992 (Revised May 18, 2000).
Constitution of the State of Hawaii Section 20 (Eminent Domain), Article I (Bill of Rights).
Chapter 101, HRS -- Eminent Domain.
Chapter 171, HRS -- Management and Disposition of Public Lands.
Chapter 264, HRS –Highways.
Departmental Staff Manual, Department of Transportation, State of Hawaii, July 30, 1993 (DSM), as revised.
Procedures Manual, Highways Division, Department of Transportation, State of Hawaii, March 1969 (HDPM -- Outdated).
Right-of-Way Manual, Right-of-Way Branch, Highways Division, Department of Transportation, State of Hawaii, December 2005 (ROW Manual – Revised and submitted to FHWA by January 1, 2006).
Develop Right of Way ManualPrepare and submit/adoptReview and Concur-LPAPrepare – HDOTApprove5 year update/as required
Annual ROW Report Prepare and SubmitForward to HQAnnual
AppraisalsReview, Certify, Approve, and Authorize Review, Certify, Approve, and Authorize AcquisitionsPerform and Authorize Perform and Authorize Abstract (Title Search)Review, Certify, Approve, and Authorize Review, Certify, Approve, and Authorize RelocationsPerform and Authorize Perform and Authorize ROW Authorizations and AgreementsRequest and Approve Request and Approve ROW CertificationWrite Certification Letter with "Request for Authorization to Advertise" and public interest findingApprove PS&EWrite Certification Letter and public interest finding Functional Replacement (Public Involvements)Approve Approve Any Change in Access, Use or Occupancy (Interstate)Request and ReviewApproveRequest and ReviewApprove
Air Rights, Leases/joint use Agreements, Change in Access Control (Non-Interstate) Review Review Disposal of Excess ROWReview & Approve. Review less than Fair Market ValueApprove less than Fair Market ValueReview and Approve. Review less than Fair Market ValueApprove less than Fair Market Value
Early Acquisition, Hardship, Protective BuyingRequestApproveRequestApprove
Administrative, Legal & Court AwardsApprove Approve Early Acquisition CostRequestApprove Reimbursement/Matching CreditRequestApprove Reimbursement/ Matching Credit
AppraisalsReview, Certify, and ApproveReview and Authorize Review, Certify, and ApproveReview and Authorize AcquisitionsReview, Certify, and ApproveReview and Authorize Review, Certify, and ApproveReview and Authorize Abstract (Title Search)Perform and ApproveReview and Authorize Perform and ApproveReview and Authorize RelocationsPerform and ApproveReview and Authorize Perform and ApproveReview and Authorize ROW Authorizations and AgreementsRequestApprove RequestApprove ROW CertificationWrite Certification Letter with "Request for Authorization to Advertise"Review and prior to advertisement, public interest findings on all Federal-aid projectsApprove PS&EWrite Certification Letter with "Request for Authorization to Advertise"Review and prior to advertisement, public interest findings on all Federal-aid Functional Replacement (Public Involvements)Approve Concur ApproveConcur Any Change in Access, Use or Occupancy (Interstate)RequestReviewApproveRequestReviewApprove
Air Rights, Leases/joint use Agreements, Change in Access Control (Non-Interstate) Review and Approve Review and Approve Disposal of Excess ROWApprove (Non Interstate)Review and Approve Interstate. Review less than Fair Market ValueApprove less than Fair Market ValueApprove (Non-Interstate)Review and Approve Interstate. Review less than Fair Market ValueApprove less than Fair Market Value
Early Acquisition, Hardship, Protective BuyingPrepare SubmissionReview and AuthorizeApprovePrepare SubmissionReview and AuthorizeApprove
Administrative, Legal & Court AwardsApprove Approve Early Acquisition CostRequestConcurApprove Reimbursement/Matching CreditRequestConcurApprove Reimbursement/Matching Credit
Although there are no exemptions under the law for any functions covered in 49 CFR 24, there is a dual concern (a) to protect the rights of property owners and displaced persons and (b) the stewardship of the federal dollars. Continuous review of the State's activities has proven to be an effective means of assuring that the rights of owners and displaced persons are protected as well as monitoring the expenditure of federal funds. This will be continued under this stewardship plan.
Process reviews and program evaluations conducted jointly with HDOT personnel whenever possible will be the method for evaluating compliance and effectiveness of the program areas, activities, approving action and products.
Local Public Agencies (LPA), i.e. counties, are required to comply with the Uniform Act and its governing regulations found in 49 CFR 24 in the same manner as HDOT. As stipulated in 23 CFR 710.201(b), State Transportation Agencies are responsible for assuring that ROW acquisition programs and projects by LPAs are made in compliance with Federal and State laws and regulations.
HDOT has ultimate responsibility for assessing, ensuring and assuring LPA adherence to and conformance with applicable Federal, and State, regulations. HDOT exercises its oversight responsibilities of LPAs by scheduling annual, or more frequent, visits to conduct process reviews and provide technical assistance and overall guidance.
SECTION 4.4 – CONSULTANT SERVICES
Title 23 - Code of Federal Regulations (CFR), applies to all NHS projects, regardless of oversight responsibilities.
Section 103D-304, Hawaii Revised Statues (HRS), as amended
Chapter 3-122, Subchapter 7, Hawaii Administrative Rules
Department Staff Manual (DSM) Part 7 Procurement, Chapter 17 Professional Service
HDOT Consultant Selection Procedures PrepareFHWA approveApproved Consultant Selection Procedures
Local Agency Consultant Selection ProceduresPrepareReview FHWA approveApproved Consultant Selection Procedures
Request for Use of Consultant and Approval of Estimate FeePrepare and approveNonePrepare and approveNone
Posting of Request for Proposal Advertisement on InternetPrepare and approveReceive on E-mail CopyPrepare and approveReceive on E-mail Copy
Request for Approval of Selection CommitteePrepare and approveNonePrepare and approveNone
Approval of Selected ConsultantPrepare and ApproveApprove Prepare and ApproveNone
Selection LetterPrepare and ApproveNonePrepare and ApproveNone
Negotiated Consultant Fee Prepare and ApproveApprovePrepare and ApproveNone
Executed ContractPrepare and ApproveReceive a CopyPrepare and ApproveReceive a Copy
Notice to ProceedPrepare and ApproveNonePrepare and ApproveNone
Contract Change Order or Contract AmendmentPrepare and ApproveApprovePrepare and ApproveReceive a Copy
Consultant Performance EvaluationPrepare and ConcurReceive an E-mail CopyPrepare and ConcurNone
Work ActivityLocal Agency ActionHDOT ActionFHWA ActionLocal Agency ActionHDOT ActionFHWA Action
Approval of Selected ConsultantPrepare and ApproveApproveApprovePrepare and ApproveNoneNone
Selection LetterPrepare and ApproveNoneNonePrepare and ApproveNoneNone
Negotiated Consultant FeePrepare and ApproveApproveApprovePrepare and ApproveNoneNone
Executed ContractPrepare and ApproveReceive a CopyReceive a CopyPrepare and ApproveReceive a CopyReceive a Copy
Notice to ProceedPrepare and ApproveNoneNonePrepare and ApproveNoneNone
Contract Change Order or Contract AmendmentPrepare and ApproveApproveApprovePrepare and ApproveReceive a CopyReceive a Copy
Consultant Performance EvaluationPrepare and ConcurReceive an E-mail CopyReceive an E-mail CopyPrepare and ConcurNoneNone
The monitoring of consultant procedures for all Federal-Aid projects will be reviewed by FHWA and HDOT on an annual basis in compliance with applicable manuals, processes, and procedures.
SECTION 4.5 -DESIGN
A Policy on Geometric Design of Highways and Streets, AASHTO, as amended.
Project Development Manual, Highways Division, Design Branch, as amended.
Design Criteria for Highway Drainage, Highways Division, as amended.
Design Exception Procedures.
FHWA Checklist and Guidelines for Review of Geotechnical Reports and Preliminary Plans and Specifications, as amended
Pavement Design Manual, Highways Division, Materials Testing and Research Branch, as amended
Pavement Preventive Maintenance Guidelines, Highways Division, Materials Testing and Research Branch, as amended
Context Sensitive SolutionsPrepare or AdoptPrepareApproveApproved Procedures
Interstate AccessPrepare and approveApprovePrepare and concurApprove
Design ExceptionsPrepareApprovePrepare and approveNone
Plan Sheets (60%)Prepare and approveCommentPrepare and approveNone
Plan Sheets (90%)Prepare and approveCommentPrepare and approveNone
Experimental WorkPrepareApprovePrepare and approveNone
Value EngineeringPrepare and recommendParticipateNot requiredNone
Proprietary MaterialsPrepareApprovePrepare and approveNone
Soils Engineering and Structure Foundation Investigation ReportPrepare and approveReviewPrepare and approveNone
Pavement Justification ReportPrepare and approveReviewPrepare and approveNone
Bridge CalculationsPrepare and submit to FHWA upon requestReview if FHWA requestsPrepare and approveNone
Traffic Signal WarrantsPrepare and approveReviewPrepare and approveNone
Hydraulic ReportPrepare and approveReviewPrepare and approveNone
Justification for Contract TimePrepare and approveReviewPrepare and approveNone
Traffic Management PlanPrepare and approveReviewPrepare and approveNone
Bridge Scour ReportPrepare and approveReviewPrepare and approveNone
Basis of Design ReportPrepare and approveReviewPrepare and approveNone
PS&E ApprovalPrepareApprovePrepare and approveNone
Unusual Bridge ProjectsPrepareApprovePrepare and approveNone
Permits – Section 404, SMA, etc.Prepare and obtain approvalsReviewPrepare and obtain approvalsNone
Concurrence on Contract AwardRecommendConcurPrepare and concurNone
Project Assessment ReportPrepare and approveParticipatePrepare and approveNone
Design ExceptionsPrepareReview and recommendApprovePrepareApproveNone
Plan Sheets (60%)PrepareReview and approveCommentPrepareCommentNone
Plan Sheets (90%)PrepareReview and approveCommentPrepareCommentNone
Experimental WorkPrepareReview and recommendApprovePrepareApproveNone
Value EngineeringPrepare and recommendParticipateParticipatePrepare and recommendParticipateNone
Proprietary MaterialsPrepareReview and recommendApprovePrepareApproveNone
Soils Engineering and Structure Foundation Investigation ReportPrepareReview and approveReview (Optional)PrepareApproveNone
Pavement Justification ReportPrepareReview and approveReview (Optional)PrepareApproveNone
Bridge CalculationsPrepareReview and approveReview (Optional)PrepareApproveNone
Traffic Signal WarrantsPrepareReview and approveReview (Optional)PrepareApproveNone
Hydraulic ReportPrepareReview and approveReview (Optional)PrepareApproveNone
Justification for Contract TimePrepareReview and approveReview (Optional)PrepareApproveNone
Traffic Management PlanPrepareReview and approveReview (Optional)PrepareApproveNone
Bridge Scour ReportPrepareReview and approveReview (Optional)PrepareApproveNone
Basis of Design ReportPrepareReview and approveReview (Optional)PrepareApproveNone
PS&E ApprovalPrepareReview and approveApprovePrepareApproveNone
Unusual Bridge ProjectsPrepareReview and approveApprovePrepareReviewNone
Permits – Section 404, SMA, etc.Prepare and obtain approvalReview and approveReviewPrepare and obtain approvalReviewNone
Concurrence on Contract AwardPrepareReview and approveConcurPrepareConcurNone
Project Assessment ReportPrepare and approveReview and approveNonePrepare and approveNoneNone
Design monitoring of all Federal-aid projects will be accomplished by the FHWA through the project-by-project monitoring of eligibility determinations and environmental document approvals.
Design monitoring of all Federal-aid projects will be through either periodic project status meetings (monthly status reports and/or quarterly over-the-shoulder reviews).
SECTION 4.6 - CONSTRUCTION
Title 23 –United States Code (U.S.C.) Highways and non-Title 23 U.S.C. requirements
Title 23 - Code of Federal Regulations (CFR)
Highways Division Procedures Manual Volume 10 – Construction
Hawaii Standard Specifications for Road, Bridge, and Public Works Construction ("Standard Specifications")
Hawaii Revised Statues (HRS)
Administrative Rules, Title 19, Highways Division
None PROJECT APPROVAL ACTIONS – HDOT PROJECTS
Contract AwardPrepareConcurPrepareInformation
Form FHWA-45PrepareNeed/RequirePrepareNeed/Require
Contract ExecutionPrepareInformationPrepare Preconstruction MeetingLead/ConductInformationLead/Conduct Notice to ProceedPrepareInformationPrepareInformation
Value Engineering Cost ProposalsEvaluate & ApproveEvaluate & ApproveEvaluate & ApproveInformation
Contract Change OrdersPrepareApprovePrepare & Approve Time ExtensionsPrepareApprovePrepare & Approve Work SuspensionsPrepareConcurPrepare Contract TerminationPrepareConcurPrepareConcur
Contract AmendmentsPrepareApprovePrepare ClaimsEvaluate & RecommendEvaluate & ConcurEvaluate & RecommendEvaluate & Concur
Form FHWA-1391PrepareNeed/RequirePrepareNeed/Require
Form FHWA-1392PrepareNeed/RequirePrepareNeed/Require
Prefinal InspectionLead/ConductInformationLead/ConductInformation
Final InspectionLead/ConductApproveLead/ConductInformation
Acceptance LetterPrepareNeed/RequirePrepareNeed/Require
Material CertificationPrepareNeed/RequirePrepareNeed/Require
Form FHWA-47PrepareNeed/RequirePrepareNeed/Require
Contract AwardPrepareRecommendConcurPrepareConcurInformation
Form FHWA-45PrepareProcessNeed/RequirePrepareNeed/RequireNeed/Require
Contract ExecutionPrepareInformationInformationPrepareInformation Preconstruction MeetingLead/ConductInformationInformationLead/ConductInformation Notice to ProceedPrepareInformationInformationPrepareInformationInformation
Value Engineering Cost ProposalsEvaluate & ApproveEvaluate & RecommendEvaluate & ApproveEvaluate & ApproveEvaluate & ApproveInformation
Contract Change OrdersPrepareRecommendApprovePrepareApprove Time ExtensionsPrepareRecommendApprovePrepareApprove Work SuspensionsPrepareRecommendConcurPrepareConcur Contract TerminationPrepareRecommendConcurPrepareRecommendConcur
Contract AmendmentsPrepareRecommendApprovePrepareApprove ClaimsEvaluate & RecommendEvaluate & RecommendEvaluate & ConcurEvaluate & RecommendEvaluate & ConcurEvaluate & Concur
Form FHWA-1391PrepareProcessNeed/RequirePrepareProcessNeed/Require
Form FHWA-1392PrepareProcessNeed/RequirePrepareProcessNeed/Require
Prefinal InspectionLead/ConductInformationInformationLead/ConductInformationInformation
Final InspectionLead/ConductRecommendApproveLead/ConductApproveInformation
Acceptance LetterPrepareProcessNeed/RequirePrepareProcessNeed/Require
Material CertificationPrepareProcessNeed/RequirePrepareProcessNeed/Require
Form FHWA-47PrepareProcessNeed/RequirePrepareProcessNeed/Require
FHWA in conjunction with the HDOT will do construction documentation reviews and construction site inspections including prefinal and final inspections on a statewide sampling basis.
SECTION 4.7 - MAINTENANCE
Title 23 –United States Code (U.S.C.) Part 116
Routine Maintenance of Federal-aid highways.
Adequately maintain highways.
Conduct windshield and in-depth inspections.
Division will provide all findings to appropriate HIDOT personnel.
SECTION 4.8 - MATERIALS
23 CFR Section 637 – Construction Inspection and Approval for all Federal-aid projects on the National Highway System (NHS)
Materials Acceptance ProgramSampling and Testing Frequency Guide Develop, update and implementApprove Qualified Technician Program (includes Field Sampling and Testing Personnel) Develop, update and implementApprove Qualified Laboratory Program Develop, update and implementApprove Independent Assurance Program (System based) Develop, update and implementApprove Independent Assurance Program (System based) Prepare annual reportReview, comment, recommend Materials Certification Program Develop and updateApprove Materials Certification Program Submit Letter of Certification AASHTO Accreditation Maintain AccreditationReview, comment (as necessary) MONITORING
FHWA will review and approve HDOT's Materials Quality Assurance Program on an on-going basis. The Materials Quality Assurance Program includes the Materials Acceptance Program, Qualified Technician Program, Qualified Laboratory Program, Independent Assurance Program, Materials Certification Program, and AASHTO Accreditation.
In general, FHWA will monitor the implementation and effectiveness of the Materials Quality Assurance Program through Process reviews.
SECTION - 4.9 STRUCTURES
23 CFR Part 650 – Bridges, Structures, and Hydraulics
Subpart B – Erosion and Sediment Control on Highway Construction Projects
Subpart D – Highway Bridge Replacement and Rehabilitation Program
23 USC 144, Highway Bridge Replacement and Rehabilitation Program
23 USC 151, National Bridge Inspection Program
23 USC 116(d), Preventive Maintenance
FHWA Hawaii Division and Hawaii Department of Transportation, Bridge Preservation Program Guidelines, January 2005
Hawaii Department of Transportation, Bridge Inspection Program (To be developed)
FHWA Hydraulic Engineer Circulars #18, #20, and #23
Bridge Inspection Program (State) Conduct inspections. Update inventory and send data to FHWA annually.Conduct annual review of each district and prepare report. Process data, furnish error listing and resolve differences. Bridge Inspection Program (Counties)Conduct inspections.Monitor NBIS compliance and maintain inventory. Conduct annual review of each County with FHWA.Conduct annual review of each County and prepare report. Bridge Replacement & Rehabilitation Program (HBRRP) (State) Select, design and construct projects. Furnish unit cost data to FHWA annually.Review full federal oversight projects and resolve eligibility concerns. Review unit cost data. Bridge Replacement & Rehabilitation Program (HBRRP) (Counties)Select, design and construct projects.Review all County HBRRP projects.Review full federal oversight projects and resolve eligibility concerns. Bridge Preservation Program Select, design and construct projects. Prepare prioritized list of preventive maintenance (PM) projects using BMS for annual submittal to FHWA for approval. Update NBI and element level inspection data after PM work completed.Review and approve projects meeting eligibility requirements. National Bridge Scour Evaluation Program (NBSE)(State) Conduct annual inspections and update NBSE inventory. Prepare Plan of Action *Conduct annual review of each District.* Consultant to prepare Plan of Action, scheduled for FY07-09.
National Bridge Scour Evaluation Program (NBSE)(Counties)Conduct inspections; update NBSE inventory and prepare Plan of ActionConduct annual review. Monitor NBSE of each County.Conduct annual review of each County. MONITORING
FHWA will perform an annual review, supplemented by other special reviews of specific program elements as appropriate, to evaluate State and each County's compliance with the National Bridge Inspection Standards (NBIS).
The selection of State bridges for replacement, rehabilitation or preventive maintenance activities will be reviewed by FHWA and HDOT prior to programming.
The selection of each County's bridges for replacement or rehabilitation will be reviewed by FHWA and HDOT prior to programming.
FHWA and HDOT will perform an annual review to evaluate each County's compliance with the National Bridge Scour Evaluation Program (NBSE).
SECTION 4.10 - SAFETY
23 USC 130 - Railway-Highway Crossing Program
23 USC 152 - Hazard Elimination Program (replaced by 23 USC 148)
23 CFR 924 - Highway Safety Improvement Program (elevated to core program; 23 USC 148)
23 USC 148 - HSIP, High-Risk Rural Roads Program (HRRR), Strategic Highway Safety Plan (SHSP)
HSIP Report(Highway Safety Improvement Program)N/APrepare program report, and recommendReview and comment Record document
Annual HSIP Evaluation Report 23 USC 152 and23 USC 130N/APrepare annual report, and recommendReview and comment on annual reportRecord document 5 Percent ReportN/APrepare annual report, and recommendReceivePosted on USDOT web site
Strategic Highway Safety Plan (SHSP)N/ADevelop and approve, and recommendAcceptanceApproved document
High-Risk Rural Roads Program (HRRR)N/APrepare annual report, and recommendReview and comment on annual reportRecord document
See Monitoring Below MONITORING
Individual project related approval actions are included in the Design and Construction sections of this plan. HDOT will evaluate and submit an annual HSIP report and evaluation by August 31 of each year.
SECTION 4.11 TRAFFIC ENGINEERING AND INTELLIGENT TRANSPORTATION SYSTEMS
23 CFR Part 630, Subpart J –Work Zone Safety and Mobility
23 CFR Part 655 – Traffic Operations
23 CFR Part 940 – Intelligent Transportation System (ITS) Architecture and Standards
National ITS Program Plan
Work Zone Safety and Mobility Policy, Processes and Procedures (to be developed)
FHWA Policy Memorandum: Program Guidance on High Occupancy Vehicle (HOV) Lanes, March 28, 2001
Hawaii Administrative Rules, Title 19, Subtitle 5, Chapter 128 Design, Placement, and Maintenance of Traffic Control Devices
Hawaii Administrative Rules, Title 19, Subtitle 5, Chapter 129 Use of Traffic Control Devices at Work Sites on or Adjacent to Public Streets and Highways
Update of ITS Regional Architecture Prepare and submitApprove NCHRP 350 Compliance Prepare and submit acceptance letterApprove Adoption of latest MUTCD Prepare and submit letterNo action MUTCD Interim Approval Prepare and submit request letterApprove Use of Proprietary Traffic Products Prepare and submitReview and approve Update of Work Zone and Mobility Policy, Processes, and Procedures Prepare and submitApprove Work Zone Review Conduct biennial review and submit results to FHWAReview and approve PROJECT APPROVAL ACTIONS – HDOT PROJECTS
MUTCD ExperimentationPrepare and submit request letter and work planApprove HOV Lane (Significant Operational Changes)Prepare and submit reportNo Action or Approve Project Level ITS ArchitecturePrepare and submitApprove ITS Operational Work PlanPrepare and submitApprove System Engineering AnalysisPrepare and submit reportApprove MONITORING
DESIGN: Design monitoring of all Federal-aid projects will be accomplished by the FHWA through the project-by-project monitoring of eligibility determinations and environmental document approvals.
SECTION 4.12 - FINANCIAL MANAGEMENT AND ACCOUNTING
Title 23 USC 302 State Transportation Department
Title 23 CFR Section 1.36 – Compliance with federal laws and regulations
Title 49 CFR Part 18 – Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments [Office of Management and Budget (OMB) Circular A-102]
Title 23 CFR Section 630.106 – Authorization to Proceed and Project Monitoring
OMB Circular A-123 – Management's Responsibility for Internal Control
Session Laws of Hawaii, Regular and Special Sessions
Financial Accounting and Management Information System (FAMIS) Procedures Manual
Departmental Staff Manual (DSM)
Department of Transportation, Highways Division Procedures Manual
Inactive Projects Review, 23 CFR 630Not ApplyReview inactive projects; prepare Form 1240.2 as requiredMonitor activity; implement actions required under 23 CFR 1.36 Implement quality program/internal audit programParticipate in State's ProgramReview operations for economy and efficiencyParticipate in State's program Inactive Projects Review, 23 CFR 630Not ApplyReview inactive projects; prepare Form 1240.2 as requiredMonitor Highways Division activity; implement actions required under 23 CFR 1.36 Implement quality program/internal audit programParticipate in State's ProgramReview operations for economy and efficiencyParticipate in State's program Inactive Projects Review, 23 CFR 630Not ApplyReview inactive projects; prepare Form 1240.2 as requiredMonitor activity; implement actions required under 23 CFR 1.36 Implement quality program/internal audit programParticipate in State's ProgramReview operations for economy and efficiencyParticipate in State's program Inactive Projects Review, 23 CFR 630Not ApplyReview inactive projects; prepare Form 1240.2 as requiredMonitor Highways Division activity; implement actions required under 23 CFR 1.36 PROJECT APPROVAL ACTIONS – HDOT PROJECTS
Form 1240.2,Project agreement, authorization, modification , processingPrepare Engineer's Estimate; forward to HWY-SM. Prepare Form 1240.2; enter into FMISPrepare Form 1240.2; enter into FMISPrepare Engineer's Estimate; forward to HWY-SM. Prepare Form 1240.2; enter into FMISPrepare Form 1240.2; enter into FMIS
State reimbursement – Rapid Approval & State Payment System (RASPS)Upload HWYAC to RASPS; notify FHWA. Perform twice a month.Approve RASPS. Perform Improper Payments ReviewUpload HWYAC to RASPS; notify FHWA. Perform twice a month.Approve RASPS. Perform Improper Payments Review
Project closing; Final Voucher (PR20) or equivalentReconcile actual costs to HWYAC, FMIS. Verify required documents available; prepare and process final voucher.Approve final voucher; close project in FMISReconcile actual costs to HWYAC, FMIS. Verify required documents available; prepare and process final voucher.Approve final voucher; close project in FMIS
Form 1240.2,Project agreement, authorization, modification , processingPrepare Engineer's Estimate; forward to HWY-SM; enter into FMISPerform subgrantee monitoring; Prepare Form 1240.2; enter into FMISApprove FMIS EntryPrepare Engineer's Estimate; forward to HWY-SM; enter into FMISPerform subgrantee monitoring; Prepare Form 1240.2; enter into FMISApprove FMIS Entry
State reimbursement – Rapid Approval & State Payment System (RASPS)Prepare reimbursement request forms to HWY-SFPerform subgrantee monitoring; enter Counties requests into HWYAC; upload HWYAC to RASPS; notify FHWA. Perform twice a month.Approve RASPS. Perform Improper Payments ReviewPrepare reimbursement request forms to HWY-SFPerform subgrantee monitoring; enter Counties requests into HWYAC; upload HWYAC to RASPS; notify FHWA. Perform twice a month.Approve RASPS. Perform Improper Payments Review
Project closing; Final Voucher (PR20) or equivalentPrepare final project accounting and submit to HWY-SFPerform subgrantee monitoring; Reconcile actual costs to HWYAC, FMIS. Verify required documents available; prepare and process final voucher.Approve final voucher; close project in FMISPrepare final project accounting and submit to HWY-SFReconcile actual costs to HWYAC, FMIS. Verify required documents available; prepare and process final voucher.Approve final voucher; close project in FMIS
FHWA provides guidance and financial management technical assistance to alleviate issues and concerns in the administration of the federal-aid program through daily contact with HDOT personnel. The FHWA will continue to monitor or perform all financial management activities including:
financial management review;
improper payments review;
inactive federal-aid project review;
single audit review, including sub-grantee reviews.
SECTION 4.13 - RESEARCH AND TECHNOLOGY TRANSFER
23 USC 307 –
23 USC Part 501-508
FHWA Transportation Pooled Fund Program Procedures (http://www.tfhrc.gov/site/procedures.pdf )
FHWA Policy Memo of 11/3/1994 – "State Planning and Research Administration; Guidelines"
FHWA Policy Memo of 1/16/1997 – "Use of State Planning and Research (SPR) Funds for Tech Certification Program Course Development"
FHWA Policy Memo of 1/26/2001 – "FHWA Development and Coordination of the Research and Technology Program"
FHWA Order of 9/19/2001 – "Processing Research Projects Under TEA-21 Section 5001"
HDOT Research, Development & Technology Transfer Program Manual, December 2004
FHWA Guidelines for Projects Using Experimental Features
A Guide to Federal-Aid Programs and Projects, FHWA-IF-99-006, Local Technical Assistance Program (LTAP) [formerly: Rural Technical Assistance Program (RTAP)]
LTAP Handbook
Administration of FHWA Planning and Research Funds, FHWA-PD-98-053
Guidance on Use of FHWA Planning and Research Funds for Travel and Training
Procurement Rules; Chapter 103D, HRS
Departmental Staff Manual
Peer Exchange Sponsor event or participate in otherStates' peer exchangeParticipate and support Draft SRP Part II Research Work Program (Annual work plan & budget) Prepare draft work plan & budget.(Submit by the third Monday in June of each year.) Review and approveFHWA, HWY-S, and HWY-L meet to discuss draft in mid-July of each year. FHWA approve as revised during the discussions.
Final SRP Program (Annual work plan & budget) Prepare and submit Review and ApproveSeptember 31 of each year.
SPR Work ProgramAmendments to Annual work plan & budget Prepare and submitReview and approve. HDOT Research Manual Prepare, revise and submitReview and approve Certification of SPR Program Prepare Review and ApproveCertified compliance with 23 CFR 420.
LTAP Draft Work Plan
Participate in the development of the work plan.
Request workshops.
Prioritize workshops.
Participate on the LTAP Advisory Board. Review and approve.Participate on the LTAP Advisory Board, Review, and approveDue no later than April 30 of each year.
LTAP Final Work Plan Review and approveReview and approveDue no later than June 01 of each year.
Individual Research Project Work Plan – (Projects that conduct the research)Obtains work plan and budget from project manager. Submit and approve.Review and commentNoneNone
SPR – Part 2 Research
FHWA exercises its oversight responsibilities through review of the annual program prior to approval actions, review of SPR Work Program amendments prior to approval, and ongoing participation of its technical specialists in pooled fund study technical panels. As appropriate, FHWA personnel participate in peer exchange reviews.
The FHWA Division Research and Technology Engineer oversee the administrative aspects and coordinates with the Division Office specialists for technical aspects.
FHWA reviews and approves an updated version of the manual when there are significant changes in the management process or new Federal regulation/policy are enacted.
FHWA & HDOT exercises their oversight responsibilities through review of the annual work plan prior to approval actions, review of work plan amendments prior to approval, participation in the Advisory Board, and participation or planning of various LTAP-related activities.
SECTION 4.14 - CIVIL RIGHTS
Title VI Program: Title VI of the Civil Rights Act of 1964, Executive Order 12898 (Environmental Justice in Minority & Low Income Populations).
DBE Program: U.S. Department of Transportation, Title 49, Code of Federal Regulations, Part 26
ADA Program: Americans with Disabilities Act of 1990, Title II; Section 504 of the Rehabilitation Act of 1973.
EEO Program: Title VI of the Civil Rights Act of 1964; Title I of the Americans with Disabilities Act of 1990.
Other related Civil Rights laws, rules and regulations.
Title VI Annual Report and Work PlanPrepare & submit Title VI activities to HDOTReview/ ApprovePrepareApprove DBE Annual Participation Goal Develop Goal Goal on August 1 of each year
Uniform Report of DBE Awards or Commitments and Payments Report Prepare June 1 and December 1
EEO Affirmative Action Plan Prepare upon request by FHWA MONITORING
Monitoring will include: reviewing of reports and program updates prepared by HDOT; analyzing such reports and updates to help identify trends, providing feedback and recommendations to HDOT; and participating, as appropriate, in HDOT task forces pertaining to civil rights initiatives. Additional monitoring activities include: review and recommendations to the counties regarding Title VI.
SECTION 4.15 - RISK MANAGEMENT
FHWA will employ a risk assessment process in consultation with HDOT to review and evaluate program areas that endeavor to balance risk with consideration of limited staffing resources, funding, and highway needs within the state. It will be the function of the Management Team to mutually endorse the results, agree to the recommendations, identify the necessary resources needed, and make resources available, either through administrative or legislative action, as soon as practical to address the recommendations from the program/process evaluations. The formal Risk Assessment will take place every two years (the odd number years). The Management Team will review the Risk Assessment every year to confirm its applicability.
Control Document – Applicable standards, policies and standard specifications that are acceptable to FHWA for application in the geometric and structural design of highways.
Core Functions – Activities that make up the main elements of the Division's Federal-aid oversight responsibilities based on regulations and national policies. Core functions in the Division Office are Planning, Environment, Right-of-Way, Design, Construction, Finance, Operations, System Preservation, Safety and Civil Rights.
Delegated Projects – Projects that do not require FHWA review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections and final acceptance of Federal-aid projects on a project by project basis.
Full Oversight Projects - Projects that require FHWA to review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections and final acceptance of Federal-aid projects on a project by project basis.
Performance/Compliance Indicators – These indicators track performance trends, health of the Federal-aid Highway Program and compliance with Federal requirements.
Risk Management – The systematic identification, assessment, planning and management of threats and opportunities faced by FHWA projects and programs.
SECTION 6 – ACRONYMS
C.F.R.Code of Federal Regulations
FAPGFederal-Aid Policy Guide, December 9, 1991
HRSHawaii Revised Statutes
ISTEAIntermodal Surface Transportation Efficient Act of 1991, Public Law 102-240, December 18, 1991
SAFETEA-LUSafe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users of 2005, Public Law 105-59, August 10, 2005
TEA-21Transportation Equity Act for the 21st Century of 1998, Public Law 105-18, June 9, 1998
23 U.S.C.Title 23 United States Code -- Highways
23 C.F.R.Title 23, CFR – Highways
42 U.S.C.Title 42 (The Public Health and Welfare), Chapter 51 (Uniform Relocation
URAThe Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Public Law 91-646, 84 Stat. 1894-1907, 91st Congress, S.1, January 2, 1971, as amended
49 U.S.C.Title 49, United States Code – Transportation
49 C.F.R.Title 49, Code of Federal Regulations – Transportation
Plans, Programs, Projects and Systems
ADAAmerican with Disabilities Act
CMAQCongestion Mitigation and Air Quality Improvement Program
DBEDisadvantage Business Enterprise
FAFederal-Aid
HPPPHigh Priority Projects Program
IMInterstate Maintenance Program
ISInterstate System
Non-NHSNon-NHS
NBSENational Bridge Scour Evaluation, National Bridge Scour Evaluation Program
OFWOfficial Work Program
ORTPOahu Regional Transportation Plan
PMPreventive Maintenance
SPRStatewide Planning & Research Program
STPSurface Transportation Program; or Statewide Transportation Plan
TMATransportation Management Areas
TTPTransportation Planning Program
Updated: 01/18/2013 FHWA Home |