Source: http://www.fhwa.dot.gov/federalaid/stewardship/agreements/nd.cfm
Timestamp: 2014-04-25 04:01:11
Document Index: 39339299

Matched Legal Cases: ['art 26', 'art 230', 'art 121', 'art 230', 'art 230', 'art 633', 'art 230', 'arts 1', 'art 2123', 'art 200', 'art 27']

Printable version (pdf, 0.5mb)
Developed in partnership by the North Dakota Division of FHWA and the North Dakota Department of Transportation.
EXEMPTIONS UNDER TITLE 23 SECTION 106
LOCAL AND TRIBAL GOVERNMENT PROCESSES
This Stewardship Agreement clarifies the roles and responsibilities of both Federal Highway Administration (FHWA) and NDDOT (North Dakota Department of Transportation) in implementing the Federal aid highway program. In situations where the NDDOT has accepted the responsibility for project oversight through the exemptions provided in 23 USC 106, the NDDOT is to have an action that takes the place of the prior role of FHWA. The Stewardship Agreement is intended to result in the efficient and effective management of public funds and to ensure that the Federal aid highway program is delivered consistent with laws, regulations, policies and good business practices.
Since 1991, Federal highway legislation has allowed the delegation of project level responsibilities to States for actions in design, plans, specifications, estimates, contract awards, and inspections of projects. This stewardship agreement is the documentation of the exemptions, under Section 106 of Title 23, from direct Federal oversight that are desired and accepted by NDDOT and recognized by FHWA. The exemption options of Section 106 are desirable for NDDOT for the streamlining of processes. Exemptions are desirable for FHWA because reduced project-level involvement allows for more effective application of personnel resources.
Only actions and authorities rooted in Title 23 are able to be delegated under 23 USC 106. Therefore, actions and authorities such as NEPA approvals and right-of-way approvals are not delegated when a State requests exemption of direct Federal oversight under 23 USC 106.
The Stewardship Agreement contains chapters on 17 broad program areas that address most of the Federal aid highway program. These program area chapters are arranged in alphabetical order based on a representative name given to the program area. Most of these program names reflect common divisions of work related to highway projects, such as design, construction, maintenance, etc.
II. EXEMPTIONS UNDER TITLE 23 SECTION 106
TYPE OF PROJECTPRIMARY OVERSIGHT RESPONSIBILITY
NHS-projects with construction cost >$3 millionFHWA
NHS-projects with construction cost <$3 million*NDDOT
Non-NHS-all projects*NDDOT
*Projects Selected by Mutual AgreementFHWA
NHS-projects are defined by system, irrespective of Federal funding source.
*Projects Selected by Mutual Agreement are to be selected by an FHWA & NDDOT team on an annual basis. Examples of projects likely to be selected:
Involvement by FHWA in Projects Selected by Mutual Agreement may be limited to key steps. The steps of FHWA involvement will be determined by mutual agreement at the time of selection.
For an overview of the steps of a project that FHWA is involved in on exempt and non-exempt projects, please see the chart on the following page.
For additional information on oversight responsibility by NDDOT and FHWA, see the discussion and charts in the various program area chapters.
FEDERAL AID PROJECT INVOLVEMENT
Categorical Exclusion, or Draft Environmental Assessment- Final Environmental Assessment – FONSI, or Draft Environmental Impact Statement – Final Environmental Assessment – ROD
Authorization Preliminary Engineering
Key: All steps shown require FHWA interaction on Full Involvement (Non-Exempt) Federal aid Projects.
The steps in Bold require FHWA interaction on Limited Involvement (Exempt) Federal aid Projects.
FHWA and NDDOT mutually agree to the exemptions defined in this section of the Stewardship Agreement as allowed by Title 23 Section 106 and further agree to abide by the procedures, practices, and business standards outlined throughout this Stewardship Agreement.
It is further agreed that incremental changes may be made to this agreement with the concurrent approval of the Deputy Director for Engineering of the NDDOT and the Assistant Division Administrator of FHWA for North Dakota, while retaining the integrity of the overall Stewardship Agreement.
APPROVED: Date: _______________ APPROVED: Date:_______________
_________________________________David SprynczynatykDirectorNorth Dakota Department of Transportation_________________________________Allen R. RadliffDivision AdministratorFederal Highway Administration
Programmatic Agreement for Inherently Low-Risk Oversight Projects
on the Interstate System between the Federal Highway Administration
North Dakota Division Office (FHWA) and the North Dakota
Department of Transportation (NDDOT)
The FHWA has the responsibility for administering Federal requirements with respect to all projects constructed with funds made available under title 23, United States Code, including responsibilities relating to design, plans, specifications, estimates, contract awards, contract administration, and inspections. There are some projects on the Interstate System that are routine and inherently low risk that are generally non-controversial and in which the State DOTs have a high-level of experience and documented procedures and processes in place for ensuring compliance with federal requirements.
It is mutually desirable to both the FHWA and NDDOT to streamline the approval process of these routine and inherently low risk projects.
Title 23 U.S.C. 106(c) (4) provides that the Secretary of the United States Department Transportation may not assume greater responsibility than the Secretary is permitted on September 30, 1997.
On September 30, 1997, 23 U.S.C. 106(b) permitted the States to approve, on a project-by-project basis, plans, specifications, and estimates for projects to resurface, restore, and rehabilitate highways on the National Highway System (NHS), and further permitted the States to request that the Secretary no longer review and approve highway projects on the NHS with an estimated construction cost of less than $1,000,000.
The FHWA and NDDOT agree as follows:
Inherently low risk oversight projects include those that are routine, low risk projects and generally non-controversial in which the State DOTs have 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, satisfy design standards, and would not jeopardize the safety or operation of the Interstate System. Complex projects that are classified as "major projects," or involve new partners (Public/private partnerships), or involve new, innovative contracting methods, or are viewed as high risk, are not considered inherently low risk oversight projects. For purposes of this agreement, inherently low risk oversight projects include all Interstate projects over $1,000,000 and under $5,000,000.
For the projects listed in paragraph 1, FHWA's oversight will be satisfied by a risk management framework and process/progran1 reviews. It is understood that FHWA's approval of funds for these projects at either the pre-construction or construction phase constitutes a determination that the project in question is eligible for Federal-aid and that the appropriate federal requirements have been met to date or defined steps are to be taken to ensure that requirements will be met. Notwithstanding this determination, FHWA continues to retain overall responsibility for all aspects of Federal-aid programs and, as such, shall be granted full access to review any aspect or record of a Federal-aid project at any time.
III. STEWARDSHIP PLAN PROGRAM AREAS
1. BRIDGE AND STRUCTURES
The FHWA is responsible for administering the Highway Bridge Replacement and Rehabilitation Program (HBRRP). The purpose of the Program is to replace or rehabilitate public highway bridges over highways, railroads, waterways, or other topographical barriers, when it has been determined that a bridge is deficient because of structural or physical deterioration, or functional obsolescence.
Reimbursable scopes of work include:
replacement, rehabilitation, and low water crossing replacement.
The FHWA is responsible for administering the National Bridge Inspection Standards (NBIS) and National Bridge Inventory (NBI). The NBIS requires that all highway bridges over 20 feet in length be inspected at least once every two years. Certain structures, such as box culverts, may be inspected at a lesser frequency if past experience and favorable past experience and analysis justify the increased interval of inspection. NDDOT currently has received approval from FHWA to decrease inspection frequency of concrete box culverts from 2 years to 4 years.
The NBI also requires the State to ensure that all bridges within its borders including county and municipal owned bridges are inspected in accordance with the NBIS. All bridges over 20 feet in length are also required to be listed on the State's inventory and their inventory information is to be submitted annually to FHWA to be included in the NBI.
Other Federal aid highway funds administered by FHWA may also be used to construct or rehabilitate bridges. Project approval actions are similar to those that apply to the HBRRP program except the existing bridge need not be deficient.
Federal bridge funds may also be used for preventive maintenance on bridges included in the national inventory that are not owned by a federal agency. Other eligible items may include but are not limited to:
Bridge approach slab corrections,
23 CFR 650 Bridges, Structures, and Hydraulics Program Approval Actions and Required Submittals
NDDOT will submit the annual NBI data to FHWA Headquarters.
NDDOT will submit bridge unit cost data, to be reviewed by the FHWA Division Office and forwarded to FHWA Headquarters.
NDDOT will submit biannual reports of scour-critical bridges to the FHWA Division Office. Scour Plans of Action (POA) will be submitted to the Division Office as they are developed or updated. Project Approval Actions
FHWA will approve eligible bridge projects that are on the NHS according to the stewardship chart.
Unusual, complex, or large bridges located off of the Interstate or NHS system may be designated for increased FHWA oversight ranging from technical assistance, to preliminary plan review and approval, to complete PS&E approval, as appropriate. The NDDOT and the North Dakota Division Office will make this determination on a case-by-case basis.
NDDOT is required to carry out a Value Engineering (VE) analysis for: All Federal-aid highway funded projects on the Federal-aid system with an estimated total cost of $25 million or more,
A bridge project with an estimated cost of $20 million or more,
Any other Federal-aid project that the FHWA determines appropriate.
FHWA North Dakota Division Office will:
Screen bridges for eligibility for HBRRP based on the selection list.
Review environmental documents.
Review Critical Bridge Inspection reports.
Review Quarterly reports for bridge posting, critical findings, and inspection frequency.
Perform Bridge Maintenance Inspections.
NDDOT will allow FHWA 2 weeks, from receipt date, to review Project Concept Reports. NDDOT will submit the annual update of NBI data to FHWA by April 1st of each year.
NDDOT will submit the Construction Unit Cost data by March 1st of each year.
NDDOT Bridge Inspection Procedures
Technical Advisory T 5140.21, REVISIONS TO THE NATIONAL BRIDGE INSPECTION STANDARDS PROJECT ACTIVITY APPROVAL CHART
Approval ActionReference DocumentNHS ProjectsNon-delegatedNHS ProjectsDelegatedNon-NHS Projects DelegatedOther Projects by Mutual Agreement Non-delegated
HBRRP eligibility determinations23 CFR 650 Subpart DFHWANDDOTNDDOTFHWA/NDDOT
Bridge Project Concept Reports FHWANDDOTNDDOTFHWA/NDDOT
TS & L23 USC 10623 CFR 630FHWANDDOTNDDOTFHWA/NDDOT
PS & E23 USC 10623 CFR 630FHWANDDOTNDDOTFHWA/NDDOT
Exempt bridge from Coast Guard permit requirements23 CFR 650.805FHWAFHWAFHWAFHWA
NBIS Review23 CFR 650 Subpart CFHWA
Bridge Unit Cost submittal23 CFR 650 Subpart DNDDOT
Discretionary Bridge Candidate submittals23 CFR 650 Subpart GNDDOT
Innovative Bridge Research and Construction Program candidate submittals23 USC 503 (b)NDDOT
Construction InspectionsFAPG G 6042.8FHWA/NDDOT
Semi-Annual scour updates NDDOT
Quarterly reports for: Bridge Posting, Critical Findings, and Inspection Frequency NDDOT
The FHWA Division Office is committed to effectively implement and enforce civil rights programs within NDDOT in its planning, construction, and management of the multimodal North Dakota transportation system. Federal law establishes the State as responsible for nondiscrimination as the recipient of Federal aid, but does not allow the delegation of FHWA Civil Rights federal responsibilities to NDDOT at any project level. If projects are managed by a sub-recipient, NDDOT must ensure that the sub-recipient is well qualified and suitably equipped to perform the work (23 CFR 1.11). If sub-recipients are involved, NDDOT is obligated to ensure nondiscrimination in all programs and activities, and in the provisions of all services and benefits, as a basis for continued receipt of FHWA funds. NDDOT can delegate the activity but cannot delegate their responsibility.
Disadvantaged Business Enterprise Program and Supportive Service Plans49 CFR Part 26Title VI of the 1964 Civil Rights Act23 CFR Part 230 Subpart B13 CFR Part 121 SBA, Size StandardsFHWAFHWACoordination of approval with Washington Office Review Team. Division Administrator approves program. Division office reviews DBE/SS work plan and approves.
State Highway Agency Affirmative Action (External/ Internal) Plans23 USC 14023 CFR Part 230 Subpart CTitle VI of the 1964 Civil Rights ActEqual Employment Opportunity Act of 1972American with Disabilities Acts of 1967 & 1990FHWAFHWAPrograms are reviewed annually and approved by the Division Administrator
Contract Compliance Review ProgramSection 22(a.) 1968 Federal-Aid Highway Act (23 USC 140)23 CFR Part 230 Subparts A & DTitle VI of the 1964 Civil Rights ActExec. Order 1124623 CFR Part 633NDDOTFHWAFederal-aid highway contracts of $10,000 or more are monitored by NDDOT. Contract compliance reviews/audits are conducted by NDDOT. Reviews are audited by FHWA at annual review period.
Equal Employment Opportunity On-the-Job Training/ Supportive Services Programs23 USC 14023 CFR Part 230 Subpart A & CTitle VI of the 1964 Civil Rights ActEqual Employment Opportunity Act of 1972American with Disabilities Acts of 1967 & 1990FHWA/ NDDOTFHWAOJT Training Programs are reviewed and approved by NDDOT and FHWA concurrence. FHWA reviews the Supportive Services work plan and approves each year.
Labor Compliance29 CFR Parts 1, 3, 5, 6 & 7FHWAFHWAForwarded to HQ
Title VI/ Non-discriminationTitle VI of the 1964 Civil Rights Act49 CFR Part 2123 CFR Part 200Section 504 of the Rehabilitation Act of 197349 CFR Part 27Age Discrimination Act of 1975Civil Rights Restoration Act of 1987Uniform Relocation Act of 198723 USC 14223 USC 324FHWAFHWAPrograms are developed by NDDOT and reviewed and approved annually by FHWA Division Office
FHWA will review and approve NDDOT's programs on an ongoing basis through process and program reviews, and through active participation in continuous program evaluation and improvement. Appropriate FHWA representatives will actively participate in NDDOT's initiated reviews, task forces, and other civil rights initiatives upon request and to the extent feasible. Finally, FHWA will analyze civil rights reports submitted by NDDOT to help identify trends and provide feedback and recommendations to NDDOT.
WORK ACTIVITYNDDOT ACTIONFHWA ACTIONREMARKS
DBE Program Plan RevisionsPrepare and Submit as RequiredReview and Act On (20 Days)Updates Accurately Reflect Appropriate Program Changes
Title VI Program UpdatePrepare and Submit upon CompletionReview and Act Upon (20 Days)Updates Accurately reflect NDDOT's Title VI Program
(Includes EEO-4 Report)Prepare and Submit Within One Year From the Date of Approval of the Preceding ProgramReview and Act Upon (20 Days)Report is Accurate and Meets CFR Requirements
Annual Contractor Employment Report-PR1392Prepare and Submit No Later Than September 25Review and File. Submit to FHWA HQ Contractor Compliance Review Schedule and ReportsPrepare and Submit Upon CompletionReview and Act Upon (14 days) DBE and OJT Supportive Service Work Requests/ ReportsPrepare and Submit per ContractReview and Act Upon (14 days) On-the-Job Training ProgramPrepare and Submit (No Later than March 1)Review and Act Upon (20 Days) On-the-Job Training Goals and AccomplishmentsPrepare and Submit (No Later Than November 30)Review and Act Upon (14 Days)Previous year's accomplishments and current year's projection
Other Manuals Used by NDDOT Not Requiring FHWA Approval:
3. CONSTRUCTION & CONTRACT ADMININSTRATION
The FHWA is required to assure compliance with Federal-aid contract provisions on all projects that utilize Federal-aid funds. Federal responsibility includes assurance that specific procedures are followed in the advertisement and award of Federal-aid contracts. The FHWA specific contract administration responsibilities in accordance with Federal law include (but are not limited to):
By law, FHWA is responsible for the inspection of construction projects utilizing Federal-aid funds. The primary purpose of FHWA review and administration in construction is to protect the public investment, assure effective quality controls, and to verify that the project is completed in accordance with the plans, specifications, and Special Provisions. Title 23 of the US Code (23 USC) allows the delegation of FHWA construction review, oversight, and administration responsibilities, except those based on non-Title 23 Federal requirements to the state DOT. The FHWA specific construction monitoring responsibilities include stewardship in the following areas (but not limited to):
FHWA also provides technical assistance in problem solving and recommendations for improvements to State and local construction programs to ensure that high quality products are constructed.
FHWA also provides sharing of identified state-of-the-art practices and innovations in materials, equipment, construction practices, and contracting methods for the purposes of highlighting best practices.
FHWA will approve NDDOT Standard Specifications and Supplemental Specifications.
FHWA will approve the updates to the Liquidated Damages specification every two years. (Every even numbered year.)
FHWA will conduct routine project and final inspections on new construction or reconstruction of Interstate and NHS non-delegated highway projects and other projects as mutually selected by FHWA and NDDOT.
FHWA may conduct inspections, including finals, on any Federal-aid project. This may be on a specific project basis or, more typically, on a statewide sampling basis through annual QA reviews.
The NDDOT will conduct inspections including final inspections on delegated projects, as part of providing construction oversight of Federal-aid projects by local governments.
Track the cost of a sample of construction projects to determine the relationship of the final cost to the amount bid for the project.
Conduct and document construction inspections on
non-delegated projects, and in special circumstances, on delegated projects.
The NDDOT will allow FHWA 2 weeks, from receipt date, to review Supplemental Specifications, PS&E's, construction plans, and major Change Orders. The 2-week time frame may be reduced in emergency or unusual situations.
In conjunction with reducing the current backlog of projects requiring closeout, FHWA will establish a goal of completing 80% of its final acceptance reports for non-delegated NHS projects within 12 months of receipt of NDDOT final acceptance letter.
NDDOT Work Zone Safety and Mobility Program
NDDOT Design Guidelines
Federal-Aid Policy Guide (FAPG) See website for this guidance.http://www.fhwa.dot.gov/legsregs/directives/fapgtoc.htm
The following are mutually considered helpful measures or indicators of program effectiveness and efficiency:
Percent of contracts completed within the contract time plus approved time extensions.
Percent of project completed within 10% of the bid amount.
Authorize Construction23 CFR 635.112FHWAFHWAFHWAFHWA
Approve exceptions to competitive bidding23 CFR 635.104 & 204FHWAFHWANDDOTFHWA
Approve advertisement & addenda23 CFR 635.112FHWAFHWANDDOTFHWA
Approve advertising period of <3 weeks23 CFR 635.112FHWAFHWAFHWAFHWA
Concur in award of contracts23 CFR 635.114FHWANDDOTNDDOTFHWA
Concur in rejection of bids23 CFR 635.114FHWANDDOTNDDOTFHWA
Approve change and extra work orders23 CFR 635.120FHWANDDOTNDDOTFHWA
Approve time extensions23 CFR 635.121FHWANDDOTNDDOTFHWA
Accept material certifications23 CFR 637.207FHWANDDOTNDDOTNDDOT
Concur in settlement of claims23 CFR 635.124FHWAFHWANDDOTFHWA
Concur in termination of contracts23 CFR 635.125FHWAFHWANDDOTFHWA
Final Acceptance/Inspection23 USC 114a & 121FHWANDDOTNDDOTFHWA
Construction inspectionsFAPG G 6042.8FHWANDDOTNDDOTNDDOT
Emergency Relief *23 CFR668FHWANDDOTNDDOTFHWA
Local Public Agency Projects **23 CFR 635.105NDDOT
Project/ Construction Authorization23 CFR 635.112FHWA
Quality Assurance (Program) reviews23 USC Section 114FHWA
** See Local Government Section
Design is a phase of project development that can begin in the planning stage; occurs through the environmental stage; and, following the environmental decision, concludes in the final Plans, Specification, and Estimate (PS&E) development stage; and, as the project transitions to advertisement, bid and award. The FHWA-NDDOT stewardship arrangement provides for a mix of project-level and program-level Federal oversight of design.
To increase involvement and input in early project planning, FHWA participates in preconcept field reviews for projects in which FHWA retains full involvement (non-delegated NHS projects) and projects selected by mutual agreement. This allows FHWA to get a better understanding of early conceptual project planning and design considerations, and to participate in the transition between the transportation planning process and the earliest stage of plan development. It will also provide FHWA an opportunity for early input into the design considerations/parameters. This process will tie in with the long-range planning and management systems as a means of selecting projects. FHWA and NDDOT view this as an important step toward improving the partnership association and cooperation in joint stewardship.
For NHS projects delegated to NDDOT (limited FHWA involvement), periodic in-depth process review/product evaluations (PR/PE's) may be undertaken by FHWA or by FHWA and NDDOT. These reviews will normally be scheduled as part of FHWA annual work plan following discussion with NDDOT management. Such reviews may focus on design standards, as well as design exceptions, that NDDOT has executed. Other elements, such as pavements, structures, safety, materials, construction zone signing, and utilities, may also be selected for review. In addition, NDDOT's internal plan development and review process of these projects could also be included.
Non-NHS projects are excluded from detailed FHWA involvement in the project level design process. The Division conducts only limited checks for eligibility and limits involvement in project level design to issues directly related to environmental determinations and provides response to NDDOT requests for technical assistance.
FHWA operations staff will continue being involved on a programmatic basis in other elements of design irrespective of NDDOT's assumption of design responsibilities on certain projects. Examples of this involvement include pavement design, hydraulic design, and specification development.
FHWA will ensure that appropriate NDDOT personnel are informed of changes to Federal requirements; innovative processes, procedures, and equipment; and technological advances which may affect the design process and are likely to result in a better product.
The following are approved on a program basis (as opposed to project-by-project) by FHWA:
NDDOT Standard Drawings
Supplemental Specification updates
NDDOT Design Guidelines (which include 3R and preventive maintenance standards)
The Statewide Preliminary Engineering Agreement
NDDOT's consultant selection procedures
FHWA will approve all full involvement (non-delegated) project's and mutually agreed upon project's final plans, estimates, and Special Provisions. Various project approval actions applicable to design are included in the PROJECT ACTIVITY APPROVAL CHART below.
NDDOT is required to carry out a Value Engineering (VE) analysis for:
All Federal-aid highway funded projects on the Federal-aid system with an estimated total cost of $25 million or more,
FHWA will monitor project design through step-by-step involvement in full involvement (non-delegated) projects on the NHS as well as on other mutually agreed upon projects.
For delegated NHS projects (excluding Interstate), Design Exceptions are to be documented by NDDOT and will be monitored and reviewed by FHWA on a periodic basis. Design exceptions involving the Interstate, including delegated projects, must be approved by FHWA.
Other facets of design including cost and cost growth and including NDDOT's oversight of local agency design for Federal-aid projects, will be monitored on a programmatic basis, with special reviews normally precipitated through FHWA's risk assessment process and FHWA-NDDOT mutual risk assessment discussions.
Additional monitoring will be done through quarterly sampling of delegated projects authorized by FHWA. A checklist of basic –Federal-aid requirements will be used to review the selected projects.
NDDOT will provide FHWA two weeks, from receipt date, to review and comment on Project Concept Reports. (See also Section 7, Environment)
NDDOT will provide FHWA two weeks, from receipt date, to review/approve PS&E's.
FHWA will respond to NDDOT on changes to the Design Manual within 30 days of a request by NDDOT for input.
NDDOT Erosion Control Manual
NDDOT Right-of-Way Operations Manual (FHWA approved)
NDDOT Standard Specifications for Road and Bridge Construction and the approved supplements (FHWA approved)
2007 NDDOT Design Guidelines, as amended. (FHWA approved)
Statewide Preliminary Engineering Agreement (Also see Financial Management) (FHWA approved)
Work Zone Safety and Mobility Program (FHWA approved)
Percent of projects bid within 20% of the environmental documents estimate. [or STIP estimate?]
Percent of projects bid that meet approved standards (i.e., without a design exception).
Design standards, policies and standard specifications, for applications to geometric and structural design23 CFR 625.1 & 2FHWAFHWANDDOTFHWA
Design exceptions 23 CFR 625.3(f)FHWANDDOT*NDDOTNDDOT
Value engineering 23 CFR 627.5, SAFETEA-LU Section 1904 FHWANDDOTNDDOTNDDOT
Monitoring Federal-aid highway design projects 23 CFR 630.205 FHWANDDOTNDDOTFHWA & NDDOT
PS&E review and approval / project authorization 23 CFR 630.106 FHWANDDOTNDDOTFHWA & NDDOT
Traffic control plans 23 CFR 630.100223 CFR 655.601 FHWANDDOTNDDOTFHWA & NDDOT
Interstate highway new, revised, or temporary access 23 CFR 47023 CFR 710 FHWAFHWANANA
Material or product selection: proprietary products, recycled materials, public interest findings 23 CFR 635.411 FHWANDDOTNDDOTNDDOT
Design-build 23 CFR 636TEA-21, Section 1307 SEP-14FHWAFHWAFHWAFHWA
Utilities 23 CFR 645.113 FHWANDDOT*NDDOTNDDOT
Hydraulics design, erosion and sediment control design 23 CFR 650.11523 CFR 650.211FHWANDDOTNDDOTNDDOT
Pedestrian and bicycle accommodations and design23 CFR 652.13 FHWANDDOTNDDOTFHWA & NDDOT
ADA criteria and design 23 CFR 65228 CFR 35 & 3649 CFR 27 & 37FHWANDDOTNDDOTFHWA & NDDOT
* Except on Interstate, where FHWA approval is required.
Emergency Relief (ER) is a special program that uses non-formula funds for the repair or reconstruction of Federal-aid highways that have suffered serious damage as a result of (1) natural disasters or (2) catastrophic failures from an external cause. This program supplements the commitment of resources by States, their political subdivisions, or other Federal agencies to help pay for unusually high expenses resulting from extraordinary conditions.
ER funds are not intended to cover all damage repair costs nor interim emergency repair costs that will necessarily restore the facility to pre-disaster conditions. Disasters must be of such magnitude as to be considered extraordinary to be considered for ER funding. To be considered extraordinary, the estimated Federal portion of the damage must meet a threshold of $700,000. Individual sites must reach a threshold of $5,000 in total cost to be eligible. This threshold is to distinguish a qualifying disaster site from maintenance.
See the attached flow chart for a graphic program overview.
The NDDOT must specifically request assistance under the ER program for each natural disaster or catastrophic event. This should be initiated with a letter of intent to seek ER funds as soon as it is evident that there is eligible damage. (See FHWA ER manual for sequence of events.)
Following a site-by-site inspection, the NDDOT prepares a Damage Survey Summary Report, which is submitted to FHWA in support of the request for ER funding.
FHWA's Acknowledgement Letter will establish a date of eligibility for those emergency repairs and protective measures that must be undertaken immediately. These type of repairs are categorically excluded from NEPA by definition. Contracts to do this type of emergency repair may be accomplished through abbreviated procedures, but care should be taken to include applicable Federal aid requirements.
FHWA's Determination of Eligibility letter will inform the NDDOT of which projects are to be considered full involvement by FHWA and which projects may proceed under delegated authority. Because of the nature of the ER program, the thresholds used for this purpose for regular Federal aid apportioned funds, may or may not be found applicable for a particular disaster or particular damage sites.
All ER projects that do not fall into the category of work needed immediately to protect the facility from further damage or keep the route open for the safe flow of traffic (first response type work) will require environmental approval by FHWA. See Chapter 7, Environment.
The FHWA will either inspect separately or co-inspect with the NDDOT a sample of the damage sites during the development of the disaster estimate.
FHWA will respond to an NDDOT letter of intent to seek ER funding within 3 working days.
The NDDOT is expected to complete a reasonable survey of the damage (Damage Survey Summary Report) with associated estimates of cost within 4 to 6 weeks of the event. This may vary depending on the area of impact of the disaster.
FHWA will respond to NDDOT requests for ER disaster eligibility supported by the Damage Survey Summary Report within 2 weeks with a Determination of Eligibility.
NDDOT Emergency Relief Procedures Manual
Text Version: Show/Hide | status: open
Description of ER PROGRAM OVERVIEW CHART
From DISASTER OCCURANCE
To Governor's Proclamation/President's Declaration
To NDDOT's Letter of Intent to ND Division Office Letter of Acknowledgement
To Acknowledgement provides an eligibility date for immediate repairs to occur and be reimbursable. This type of repair is categorically excluded from NEPA by definition. Contracting procedures may be abbreviated, but contracts need to include basic Federal aid requirements.
To Disaster Assessment To
Traditional, Traditional/Expedited, or Quick Release
If to Traditional to Detailed Site Inspections, then to NDDOT Requests ER funds to Damage Survey Summary Report, o ND Division Office Review/Division administrator approval and requisition for HQ fund allocation Or
If to Traditional/Expedited, then to Windshield Survey, Damage Survey Summary Report, to ND Division Office Review/Division administrator approval and requisition for HQ fund allocation Or
If to Quick Release to Media Reports/Aerial Survey, to Damage Survey Summary Report, to Damage Survey Summary Report, o ND Division Office Review/Division administrator approval and requisition for HQ fund allocation From
Damage Survey Summary Report, to ND Division Office Review/Division administrator approval and requisition for HQ fund allocation To
FHWA Headquarters Allocates Funds
NDDOT Submits Program of Projects (if not previously included in Damage Survey Report)
ND Division Approves Program
NDDOT Secures Environmental Clearance for projects not categorically excluded by definition - See Chapter 7, Environment
NDDOT Requests Project Authorization
Permanent Repairs Begin
6. EMERGENCY/SECURITY
The other purpose of this program is to share our policies and guidance and keep FHWA and the North Dakota Department of Transportation (NDDOT) at an acceptable level of readiness in the event of an emergency.
FHWA approval is not required at the program level. The emergency/security program is based on cooperation between FHWA and NDDOT.
The emergency/security program is not project related and is based on cooperation between FHWA and NDDOT.
FHWA relies on the NDDOT to report information regarding significant highway related incidents. The incident types and reporting criteria are listed in FHWA Order 5181.1. These incidents should be reported to the FHWA at the earliest possible time. FHWA will maintain a list of contacts that would be available during non-working hours. See website for FHWA Order 5181.1.
FHWA will submit incident reports to the FHWA Emergency Coordinator based on the information supplied by the NDDOT.
FHWA will allow NDDOT 3 weeks, from receipt date, to review FHWA's Continuity of Operations Plan (COOP).
NDDOT will allow FHWA 3 weeks, from receipt date, to review the NDDOT Emergency Plan.
NDDOT Emergency Plan
Data collecting and reportingFHWA Order 5181.1NDDOT
Emergency CommunicationsFHWA Order 1910.2C
NDDOT Emergency PlanEO 12656NDDOT
Emergency Highway Traffic Regulation (EHTR) PlanEO 12656NDDOT
For projects using Federal funds administered by FHWA, FHWA is the lead Federal agency in integrating the full range of environmental requirements under a single, unified process that results in effective and sound transportation decisions.
Under current law and regulation, FHWA may delegate responsibility to NDDOT for activities to address the various environmental laws, Executive Orders, and regulations, but environmental approval authority has not been delegated to NDDOT. Therefore NDDOT is obligated to submit most environmental documents to FHWA for approval.
These documents include among others: Environmental Impact Statement (EIS), Environmental Assessment (EA), and categorical exclusion (CE) decisions for projects not specifically defined as categorically excluded from environmental documentation in regulation. An EIS is applicable to projects that significantly affect the environment. An EA is applicable to projects where the significance of the environmental impact is not clearly established. A CE is applicable to projects that do not have a significant environmental effect (excluded from the requirement to prepare an EIS or an EA). The final environmental documents will be prepared by NDDOT. Following a satisfactory final review, FHWA will issue the Record of Decision (ROD) and Finding of No Significant Impact (FONSI).
Section 401(b) of the Clean Water Act
42 USC 4321-4347, National Environmental Policy Act (NEPA) as amended (P.L. 91-190) (P.L. 94-83)
36 CFR 800, Section 106 of the National Historic Preservation Act
SAFETEA-LU, Public Law 109-59, 8/10/05
NDDOT has been delegated programmatic approval authority for specific categorical exclusions and categorical exclusion by 23 CFR 771.117(c) definition.
NDDOT, as joint lead agency, performs the informal Section 7 ESA consultation and Section 106 consultation.
NDDOT public involvement procedures are approved by FHWA.
As early as practicable in a project's development, NDDOT and FHWA will collaborate on the proper environmental (NEPA) classification for a project: Class I = EIS, Class II = CE (except for programmatic CEs and CE by definition), Class III = EA.
For all projects that require an action to be taken by FHWA, FHWA and NDDOT will work together in the project pre-engineering phase to ensure compliance with NEPA and other applicable laws before an alternative is selected. The level of involvement is commensurate with the level of environmental impacts or project complexity.
All projects that meet the approved Programmatic Categorical Exclusion agreement between FHWA and NDDOT are to be documented in accordance with FHWA and NDDOT agreements. Other Categorical Exclusions (except those clearly determined categorical exclusion by definition), EAs, EISs, Programmatic Section 4(f) Evaluations, and Section 4(f) Evaluations are prepared by NDDOT and submitted to FHWA for review and approval. Projects deemed categorical exclusion by definition are so marked on the project authorization documents transmitted to FHWA by NDDOT.
FHWA is also an active member of individual project teams and helps guide the project planning.
All documents requiring legal sufficiency review (Final EIS and Final Section 4(f) Evaluations) are sent to FHWA Legal Counsel by the Division Office prior to approving these documents. It is the goal of FHWA Legal Counsel to provide legal sufficiency review comments to the Division Office within 30 days after receipt of the document.
Environmental reevaluations are conducted through informal consultation and formal written documentation, when appropriate.
The NDDOT will review and monitor environmental documents produced by local governments and consultant firms to the degree necessary for NDDOT to determine that the project fits a defined programmatic categorical exclusion or to recommend those environmental documents for action by FHWA.
The NDDOT Environmental Section will review all EAs and EISs to assure the documents are of adequate quality and that the documents are in compliance with all Federal laws and regulations, as well as the policies and procedures outlined in NDDOT's Design Manual.
Programmatic Categorical Exclusion (CE)Prepare and ApprovePeriodic AuditApproved CE
Draft Project Concept Report (PCR) Non-Programmatic CEPrepare, review, and submit to FHWA for reviewReview and Comment (14 days)Comments
Final Project (PCR) Non-Programmatic CEPrepare, review, and submit to FHWA for approvalReview and approve CE (14 days)Approved CE
Draft Environmental Assessment (EA)Prepare, review, and submit to FHWA for reviewReview and comment (30 days)Comments
EAPrepare, review and submit to FHWA for approvalReview and approve EA for circulation or return for revision (14 days)Approved EA or instructions for revision
Draft Final EnvironmentalPrepare, review, and submit to FHWA for reviewReview and comment (30 days)Comments
Final Environmental DocumentPrepare FONSI request including approval of Final Environmental Document and conclusions and submit to FHWAPrepare and issue FONSI Statement or notify NDDOT of need for EIS (14 days)FONSI or NOI
Notice of Intent (NOI)Prepare Draft Notice of Intent and forward to FHWAReview and revise NOI and publish in the Federal Register (14 days)Published NOI in the Federal Register
Cooperating/Participating Agency Request LettersNonePrepare and distribute request lettersCooperating Agency identified
Preliminary Draft Environmental Impact Statement (DEIS)Prepare, review, and submit to FHWA for reviewReview and comment (30 days)Comments
DEISPrepare, review, and submit to FHWA for approvalReview and approve DEIS for circulation or return for revision (21 days)DEIS or instructions for revision
Preliminary Final Environmental Impact Statement (FEIS)Prepare, review, and submit to FHWA for reviewReview and comment (45 days)Comments
FEIS Legal SufficiencyPrepare, review, and submit to FHWA for reviewLegal Sufficiency by Legal Counsel (30 days)FEIS Legal Sufficiency
FEISPrepare, review, and submit to FHWA for approvalReview and approve FEIS or return for revision (21 days)FEIS or instructions for revision
Record of Decision (ROD)Prepare, review, and submit a Draft ROD to FHWA for reviewReview, revise, and issue ROD (30 days)ROD
Programmatic Section 4(f) EvaluationPrepare, review, and submit for FHWA approvalReview and approve Programmatic Section 4(f) Evaluation or return for revision (14 days)Approved Section 4(f) Evaluation or instructions for revision
Draft Section 4(f) EvaluationPrepare, review, and submit to FHWA for reviewReview and comment (14 days)Comments
Section 4(f) Legal SufficiencyPrepare, review, and submit to FHWA for reviewLegal Sufficiency by Legal Counsel (30 days)Section 4(f) Legal Sufficiency
Final Section 4(f) EvaluationPrepare, review, and submit for FHWA approvalReview and approve or return for revision (14 days)Final Section 4(f) Evaluation or instructions for revision
Section 106 Adverse Effect DeterminationPrepare, review, and submit to FHWA for DeterminationMake determination and forward to the Advisory Council on Historic Preservation (30 days)Adverse Effect Determination
Section 106 Memorandum of Agreement (MOA)Negotiate MOA, acquire other approvals, approve, and submit to FHWA for approvalSign MOA or return for revision (14 days)Executed Section 106 MOA or instructions for revision
Draft written ReevaluationPrepare, review, and submit to FHWA for reviewReview and comment (30 days)Comments
Written ReevaluationPrepare, review, and submit to FHWA for approvalReview and approve Reevaluation or return for revision (14 days)Reevaluation or instructions for revision
NDDOT Wetland Banking Procedures (approved)
Agreement for Programmatic Categorical Exclusions (approved)
Public Involvement Procedures (approved)
Programmatic Agreement for Tribal Consultation (approved)
EIS-ROD within agreed time
EA-FONSI within agreed time
Project bid openings postponed due to delay in environmental clearance or receipt of a permit.
Approval ActionReference DocumentNHS ProjectsNon-delegatedNHS ProjectsDelegatedNon-NHS ProjectsOther Projects by Mutual Agreement
Programmatic Categorical Exclusion23 CFR 771
NDDOTNDDOTNDDOTNDDOT
Categorical Exclusion23 CFR 771FHWAFHWAFHWAFHWA
Environmental Assessment23 CFR 771FHWAFHWAFHWAFHWA
Finding of No Significant Impact23 CFR 771FHWAFHWAFHWAFHWA
Environmental Impact Statement23 CFR 771FHWAFHWAFHWAFHWA
Record of Decision23 CFR 771FHWAFHWAFHWAFHWA
Section 4(f) Evaluation23 CFR 771FHWAFHWAFHWAFHWA
Section 106 Compliance36 CFR 800FHWAFHWAFHWAFHWA
While ISTEA and TEA-21 changed FHWA's stewardship of certain Federal-aid highway projects, it had little affect on the overall financial management and responsibilities of the Federal-aid program.
NDDOT recognizes that the correctness and propriety of all Federal-aid claims are its primary responsibility whether the primary cost document originates within NDDOT or with some third party. This responsibility is fulfilled by NDDOT maintaining adequate and tested operating policies and procedures and a sound accounting system with proper internal controls together with suitable audit activities. FHWA recognizes a need for complete understanding of all pertinent financial and operating policies and procedures of NDDOT. It is FHWA's responsibility to provide technical assistance and advice in funding and financial areas.
FHWA will approve the accounting process used to develop the payroll additive rates and indirect cost rates. At this time NDDOT, has opted not to develop an indirect cost plan and therefore, will not seek reimbursement for indirect costs.
FHWA will approve the resolution of OIG and State audit findings
FHWA will approve final vouchers, project agreements, and modified project agreements on all projects.
FHWA will monitor all financial management and accounting activities primarily through periodic contacts and program level Quality Financial Management Initiative (QFMI) reviews. Reviews will encompass both NDDOT and Local Agencies. Through periodic contact with NDDOT personnel FHWA will provide guidance and technical assistance in such areas as fiscal document processing, financial management and reimbursement. FHWA will, to the maximum extent possible, utilize the work of ND State Auditors to limit the scope of FHWA reviews. Risk assessment techniques will be used where appropriate to determine areas for review.
SIB Annual ReportPrepare annually within 90 days from the end of the Federal FYReview and Forward to Finance Office in Washington, DC Project Funds ManagementAnnually review a designated list of inactive projects and submit justification by September 1st for those that must remain openReview for concurrence and forward to Finance Office in Washington, DC if required NDDOT Single AuditEnsure audit is completed as required and copies of audit reports are submittedReview and take action to ensure findings are resolved NDDOT Sub-Recipient Single AuditsReview and take action to ensure findings are resolved, submit summary listing to FHWAReview and take action to ensure compliance Project Authorizations/ Agreements and ModificationsPrepare and submitReview and act upon within 5 working days Final Vouchers/Final AcceptancePrepare and submitSee Contract Administration Section CMAQ Annual Project ListingSee Planning SectionSee Planning Section Monthly Status Of FundsPrepare and submitReview and monitor> Year End Document for Utilization of Federal-aid FundsPrepare and submit by September 15thReview and act upon within 5 working daysDocuments that require processing must be submitted to NDDOT Planning and Programming by September 1
Consultant AuditsAnnually conduct audits & submit listing of audits completedReview listing. Sample periodically to ensure compliance. Approved Procedures/Agreements/Manuals
Additive Rate Methodology – December 2004
Statewide Preliminary Engineering Agreement – Scheduled for revision (Also see Design)
Federal-Aid Policy Guide (FAPG) See website for this guidance.
9. INTELLIGENT TRANSPORTATION SYSTEMS (ITS)
NDDOT works cooperatively with FHWA to take a lead role in development of Intelligent Transportation Systems (ITS) initiatives in North Dakota and actively pursues ITS deployment, integration, research and operational testing. NDDOT has established a multi-disciplinary ITS Core Team, of which FHWA is a member, to provide a technical screening and ITS oversight function as well as lead NDDOT efforts in managing an ITS Strategic Plan and a Statewide ITS Architecture.
NDDOT and FHWA work cooperatively with the Bismarck, Fargo and Grand Forks Metropolitan Planning Organizations (MPOs) to promote ITS planning, regional architecture use, and adoption and integration of ITS at the local level. The three MPO areas are actively implementing planning studies related to ITS deployment in the metropolitan areas. NDDOT uses the Advanced Traffic Analysis Center (ATAC) as a primary resource in assessing overall ITS needs, application of ITS tools, development of ITS architecture and integrator of systems. NDDOT and FHWA will work cooperatively to assure that ITS projects are consistent with the National ITS Architecture, incorporate ITS Standards and are fully integrated.
A primary ITS goal of NDDOT is to ensure that transportation facilities operate efficiently and that no opportunities to provide integrated ITS features are overlooked during reconstruction.
See Appendix B for key definitions pertinent to stewardship of ITS projects.
Regional ITS architectures for each of the MPOs must be developed and maintained to document the ITS integration strategies and guide the development of specific projects and programs. FHWA will serve as a technical resource during the development of the regional architectures and will be furnished a copy of the adopted regional architectures and any amendments. It will be up to the owners of the regional architecture to decide whether they want to request FHWA approval, concurrence or acknowledgement of the regional architecture.
All ITS projects (stand alone or ITS incorporated in other work) need to accommodate the interface requirements and information exchanges specified in the regional ITS architecture and there must be a commitment to the operations, management and maintenance of the overall system. NDDOT will make a determination of conformity of ITS Projects with the regional ITS architecture. FHWA will concur in the project level determination of conformity with the regional ITS architecture consistent with partnership agreement procedures for involvement.
All ITS projects need to be developed based on a systems engineering analysis. NDDOT will make a determination of conformity of ITS Projects with the systems engineering analysis requirement. FHWA will concur in the project level determination of conformity with the systems engineering analysis consistent with partnership agreement procedures for involvement.
All ITS projects need to use applicable ITS standards and interoperability tests that have been officially adopted, by rulemaking, by US DOT. NDDOT will make a determination of conformity of ITS projects with the ITS standards requirement. FHWA will concur in the project level determination of conformity with the ITS standards requirement consistent with partnership agreement procedures for involvement.
Projects advanced under TEA – 21 Section 5208 (ITS Integration Program) are normally non-construction projects and will be advanced/approved on a case-by-case basis. Typically, the projects are designated by earmark in appropriations acts with specific implementation processes issued by FHWA Washington Headquarters for each appropriation cycle.
FHWA will provide ongoing technical assistance on the use of regional ITS architectures, systems engineering analysis, and ITS standards, include these areas in routine risk assessments evaluations, and work cooperatively with NDDOT to use process review techniques to assess and improve processes and procedures.
NDDOT will provide FHWA with copies of ITS regional architectures or amendments within 30 days of adoption. If the owners of the regional architectures choose to have FHWA approve or concur in the Architecture, FHWA will be allowed 3 weeks, from receipt date, to review and act on the document.
NDDOT and MPO ITS Strategic Plans
NDDOT and MPO Regional ITS Architectures
Regional Architecture Conformity Determination23 CFR 940.11FHWANDDOTNDDOTFHWA
Systems Engineering Analysis Determination23 CFR 940.11FHWANDDOTNDDOTFHWA
ITS Standards Determination
23 CFR 940.11FHWANDDOTNDDOTFHWA
"ITS projects" can be standalone construction projects or may be larger projects that include ITS features. The above listed approval actions apply whether the ITS project is advanced on either a standalone or included basis. All other stewardship and oversight functions such as environmental determination, right of way clearance, etc. are project size, system and work type dependent with no other special processing requirements for ITS purposes beyond routine stewardship and oversight.
Case by case determinationInstructions issued annually by Washington HeadquartersFHWA and NDDOTFHWA and NDDOTFHWA and NDDOTFHWA and NDDOT