Common use of PROJECT ACTION RESPONSIBILITY MATRIX Clause in Contracts

PROJECT ACTION RESPONSIBILITY MATRIX. This matrix identifies the Federal-aid highway program (FAHP) project approvals and related responsibilities. The matrix specifies which actions are assumed by the [State name DOT/STA abbreviation] pursuant to this Stewardship and Oversight Agreement (“Agreement”) and certain other applicable authorities as specified in the tables in this Attachment A. The [State name DOT/STA abbreviation] is responsible for ensuring all individual elements of the project are eligible for FAHP funding. Where the [State name DOT/STA abbreviation] assumes authority to make a decision, approval, determination or action, the [State name DOT/STA abbreviation] decision does not constitute an eligibility, obligation, reimbursement, authorization, or compliance decision by or for the Federal Highway Administration (FHWA). Final decisions on those matters must be made by FHWA. Table 1: Financial Management # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 1 Review and accept financial plan and annual updates for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA 2 Review cost estimates for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA 3 Obligate funds/authorize Federal-aid project agreement (including advance construction authorization and conversion), modifications, and project closures (project authorizations) [23 U.S.C. 106(a)(2), 23 CFR 630.106, 630.703, 630.709] FHWA FHWA 4 Authorize to advertise for bids when all preconditions are met [23 CFR 635.112(a), 635.309] FHWA or STATE STATE 5 Approve reimbursements including authorizing current bill (23 U.S.C. 121) FHWA FHWA 6 Approval of reimbursement for bond-issue projects [23 U.S.C. 122, 23 CFR Part 140, Subpart F] FHWA FHWA Table 2: Environment # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 7 EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations (Note: The FHWA may assign these NEPA actions and other environmental responsibilities to a State DOT as provided by 23 U.S.C. 327) FHWA or Administered in accordance with 23 U.S.C. 327 MOU FHWA or Administered in accordance with 23 U.S.C. 327 MOU 8 Categorical exclusion approval actions [Note: The FHWA may assign this action and other FHWA environmental responsibilities to a State DOT as provided by 23 U.S.C. 326 and 327. The FHWA also may administratively delegate responsibility for categorical exclusion determinations to a State DOT through a programmatic agreement pursuant to Section 1318(d) of MAP-21 and implementing regulations in 23 CFR 771.117(g)] FHWA or Administered in accordance with applicable 23 U.S.C. 326 or 327 MOUs, or Programmatic Categorical Exclusion Agreement FHWA or Administered in accordance with applicable 23 U.S.C. 326 or 327 MOUs, or Programmatic Categorical Exclusion Agreement Table 3: Preliminary Design # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 9 Approval before utilizing a consultant to act in a management support role for the contracting agency [23 CFR 172.7(b)(5)(i)] FHWA or Administered in accordance with procedures approved per 23 CFR 172.5(c) FHWA or Administered in accordance with procedures approved per 23 CFR 172.5(c) 10 Approval of noncompetitive procurement method for engineering and design-related services [23 CFR 172.7(a)(3)] FHWA or STATE STATE 11 Approve exceptions to design standards [23 CFR 625.3(f)] FHWA or STATE Not subject to 23 CFR 625.3(f) 12 Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104] FHWA or STATE STATE 13 Approve project management plan for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA 14 Approval of Interstate System access change [23 U.S.C. 111] FHWA Not subject to 23 U.S.C. 111 15 Determine the engineering and operational acceptability of points of ingress or egress with the Interstate System (justification reports) for new freeway-freeway interchanges (system), modification of freeway-freeway interchanges, and new partial interchanges or new ramps to/from continuous frontage roads that create a partial interchange [23 U.S.C. 111(e)] FHWA Not subject to 23 U.S.C. 111(e) 16 Determine the engineering and operational acceptability of points of ingress or egress with the Interstate System (justification reports) for new and modified freeway-to-crossroad (service) interchanges, and completion of basic movements at existing partial interchanges. [23 U.S.C. 111(e)] FHWA or Administered in Accordance with Programmatic Agreement Not subject to 23 U.S.C. 111(e) 17 Approve innovative and public-private partnership projects in accordance with TE-045, SEP-14, SEP- 15, or SEP-16. [23 U.S.C. 502(b)] FHWA FHWA 18 Approve any betterment to be incorporated into the project and for which emergency relief funding is requested (23 U.S.C. 125, 23 CFR 668.109) FHWA FHWA 19 Prior written approval of the Federal awarding agency for the direct charge of up-front acquisition cost of equipment (2 CFR 200.439) FHWA FHWA Table 4: Final Design # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 20 Approve retaining right-of-way encroachments [23 CFR 1.23(b), 1.23(c)] FHWA or STATE STATE 21 Approve use of publicly owned equipment [23 CFR 635.106] FHWA or STATE STATE 22 Concur in use of publicly furnished materials [23 CFR 635.407(a)] FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 23 Determine use of more costly signing, pavement marking and signal materials (or equipment) is in the public interest [23 CFR 655.606] FHWA or STATE STATE 24 Exception to designation of Interstate project as significant for work zones [23 CFR 630.1010(d)] FHWA or STATE Not subject to 23 CFR 630.1010(d) 25 Determination that a United States Coast Guard Permit is not required for bridge construction [23 CFR 650.805, 650.807, 23 U.S.C. 144(c)] FHWA FHWA Table 5: Realty # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 26 Completion of ROW clearance, utility, and railroad work concurrently with construction: Make feasibility/practicability determination for allowing authorization to advertise for bids or to proceed with force account construction prior to completion of ROW clearance, utility and railroad work [23 CFR 635.309(b)] FHWA or STATE STATE 27 Approve non-highway use and occupancy of real property interests [23 CFR 1.23(c), 710.405] FHWA for Interstate FHWA or STATE for Non-Interstate STATE 28 Approve disposal at fair market value of real property acquired with Federal-aid assistance, including disposals of access control [23 CFR 710.403(e), 710.409] FHWA for Interstate FHWA or STATE for Non- Interstate STATE 29 Approve disposal at less than fair market value of federally funded right-of-way, including disposals of access control [23 U.S.C. 156, 23 CFR 710.403(e)] FHWA FHWA 30 Conditional ROW certification, bid advertisement: Make public interest finding on whether State may proceed with bid advertisement even though ROW acquisition/relocation activities are not complete for some parcels [23 CFR 635.309(c)(3)(i)] FHWA or STATE STATE 31 Conditional ROW certification, construction - Make finding of exceptional circumstances that make it in the public interest to allow State to proceed with construction even though ROW acquisition/relocation activities are not complete for some parcels [23 CFR 635.309(c)(3)(ii)] FHWA FHWA 32 Approve hardship and protective buying [23 CFR 710.503] FHWA FHWA 33 Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project [23 U.S.C. 323, 23 CFR 710.507] FHWA FHWA 34 Federal land transfers [23 CFR Part 710, Subpart F] FHWA FHWA # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 35 Functional replacement of property [23 CFR 710.509] FHWA FHWA 36 Waiver of the policy of the availability of comparable replacement dwelling before displacement under specified circumstances [49 CFR 24.204(b)] FHWA FHWA 37 Approve PS&E [23 CFR 635.309(a)] FHWA or STATE STATE 38 Approve utility or railroad force account work (23 CFR 140.916, 645.113, 646.216) FHWA or STATE STATE 39 Approve utility and railroad agreements (23 CFR 140.916, 645.113, 646.216) FHWA or STATE STATE 40 Approve use of consultants by utility and railroad companies [23 CFR 645.109(b), 646.216(b)] FHWA or STATE STATE 41 Approve exceptions to maximum railroad protective insurance limits (23 CFR 140.916, 646.111) FHWA or STATE STATE 42 Approve use of guaranty and warranty clauses for projects other than design-build projects [23 CFR 635.413(b)] FHWA or STATE STATE 43 Recovery of railroad material - Approval of additional measures for restoration of areas affected by the removal of salvaged material for Railroad work (23 CFR 140.908) FHWA or STATE STATE 44 Approve use of lump sum payments to reimburse railroad for work by its forces [23 CFR 646.216(d)(3)] FHWA or STATE STATE 45 Waive Buy America provisions (23 CFR 635.410) FHWA FHWA 46 Training special provision - Approval of new project training programs [23 CFR 230.111(d), 230.111(e)] FHWA FHWA Table 7: Contract Advertisement and Award # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 47 Approve cost-effectiveness determinations for construction work performed by contract awarded by other than competitive bidding or by force account (23 CFR 635.104, 635.204) FHWA or STATE STATE 48 Approve emergency determinations for construction work performed by contract awarded by other than competitive bidding or by force account (23 CFR 635.104, 635.204) FHWA or STATE STATE 49 Subrecipient project administration - Approve arrangements for local agency to serve as the supervising agency for the project (23 CFR 635.105) FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 50 Approve advertising period less than 3 weeks [23 CFR 635.112(b)] FHWA or STATE STATE 51 Approve addenda during advertising period [23 CFR 635.112(c)] FHWA or STATE STATE 52 Concur in award of contract or rejection of all bids (23 CFR 635.114) FHWA or STATE STATE 53 Approval of design-build requests-for-proposals (RFP) and addenda for major changes to the RFP during solicitation period [23 CFR 635.112(i)(4)] FHWA or STATE STATE 54 Approve award to the next low bidder [23 CFR 635.114(f)] FHWA or STATE STATE 55 Approve contract changes and extra work (23 CFR 635.120) FHWA or STATE STATE 56 Approve contract time extensions [23 CFR 635.120, 635.121(b)] FHWA or STATE STATE 57 Concur in use of mandatory borrow/disposal sites (23 CFR 635.407) FHWA or STATE STATE 58 Approval of administrative settlements and contract claim awards and settlements (23 CFR 140.505, 635.124) FHWA or STATE STATE 59 Concur in termination of construction contracts [23 CFR 635.125(b)] FHWA or STATE STATE Table 9: Construction Manager/General Contractor (CM/GC) and Indefinite Delivery/Indefinite Quantity (ID/IQ) Contracting # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 60 Approval of advertising for bids or proposals for a CM/GC construction services phase contract [23 CFR 635.504(b)(6)] FHWA or STATE STATE 61 Determination of indirect cost rate for preconstruction services for a CM/GC project in accordance with [23 CFR 635.504(e)(2)] FHWA or STATE STATE 62 Approval of preconstruction price and cost/price analysis for preconstruction services for a CM/GC project [23 CFR 635.506(b)(2)] FHWA or STATE STATE 63 Approval of price estimate for construction costs for the entire project for CM/GC project [23 CFR 635.506(d)(2)] FHWA or STATE STATE 64 Approval of construction price analysis and agreed price for construction services of a CM/GC project or portion of the project [23 CFR 635.506(d)(4)] FHWA or STATE STATE 65 Approval of CM/GC project preconstruction services contract award [23 CFR 635.506(e)] FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 66 Concur in advertising an ID/IQ solicitation prior to completion of NEPA [23 CFR 635.605(a)(2)] FHWA or STATE STATE 67 Concur in awarding an ID/IQ contract prior to completion of NEPA [23 CFR 635.605(a)(3)] FHWA or STATE STATE 68 Approve a time extension of an ID/IQ contract [23 CFR 635.604(a)(6)(i)] FHWA or STATE STATE • Standard Specifications o Elements that require the Federal Highway Administration (FHWA) approval: ▪ Specifications that will be used on the National Highway System (NHS). (23 CFR 625.3) • Highway Design Manual - information and guidance to design road projects. o Elements that require FHWA approval: ▪ Roadway design standards for 3R and preventative maintenance projects on the NHS. [23 CFR 625.3, 625.4(a)(3)] o Elements required by Federal law or regulation included in this manual that do not require FHWA approval: ▪ Erosion and Sediment Control Guidelines (23 CFR 650.211) • Right of Way Manual - right-of-way organization, policies, and procedures. Describes functions and procedures for all phases of the real estate program, including appraisal and appraisal review, negotiation and eminent domain, property management, and relocation assistance. o Elements that require FHWA approval: ▪ All elements. Right-of-way organization, policies, and procedures (23 CFR 710.201)

PROJECT ACTION RESPONSIBILITY MATRIX. This matrix identifies the Federal-aid highway program (FAHP) project approvals and related responsibilities. The matrix specifies which actions are assumed by the [State name DOT/STA DOT abbreviation] pursuant to this Stewardship and Oversight Agreement (“Agreement”) and certain other applicable authorities as specified in the tables in this Attachment A. The [State name DOT/STA DOT abbreviation] is responsible for ensuring all individual applicable elements of the project are eligible for FAHP funding. Where the [State name DOT/STA DOT abbreviation] assumes authority to make a decision, approval, determination or action, the [State name DOT/STA DOT abbreviation] decision does not constitute an eligibility, obligation, reimbursement, authorization, or compliance decision by or for the Federal Highway Administration (FHWA). Final decisions on those matters must be made by FHWA. Table 1: Financial Management # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 1 Review and accept initial financial plan for Federal major projects [23 U.S.C. 106(h)] FHWA or STATE STATE 2 Review and accept financial plan annual updates for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA 2 Review cost estimates for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA or STATE STATE 3 Obligate funds/authorize Federal-aid project agreement (including advance construction authorization and conversion), modifications, and project closures (project authorizations) [23 U.S.C. 106(a)(2), ; 23 CFR 630.106, 630.703, 630.709] FHWA FHWA 4 Authorize to advertise for bids when all preconditions are met [23 CFR 635.112(a), 635.309] FHWA or STATE STATE 5 Approve reimbursements including authorizing current bill (23 U.S.C. 121) FHWA FHWA 6 Approval of reimbursement for bond-issue projects [23 U.S.C. 122, ; 23 CFR Part part 140, Subpart subpart F] FHWA FHWA Table 2: Environment # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 7 EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations (Note: The FHWA may assign these NEPA actions and other environmental responsibilities to a State DOT as provided by 23 U.S.C. 327) FHWA or Administered in accordance with 23 U.S.C. 327 MOU FHWA or Administered in accordance with 23 U.S.C. 327 MOU 8 Categorical exclusion approval actions [Note: The FHWA may assign this action and other FHWA environmental responsibilities to a State DOT as provided by 23 U.S.C. 326 and 327. The FHWA also may administratively delegate responsibility for categorical exclusion determinations to a State DOT through a programmatic agreement pursuant to Section 1318(d) of MAP-21 and implementing regulations in 23 CFR 771.117(g)] FHWA or Administered in accordance with applicable 23 U.S.C. 326 or 327 MOUs, or Programmatic Categorical Exclusion Agreement FHWA or Administered in accordance with applicable 23 U.S.C. 326 or 327 MOUs, or Programmatic Categorical Exclusion Agreement # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS section 1318(d) of MAP-21 and implementing regulations in 23 CFR 771.117(g)] Table 3: Preliminary Design # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 9 Approval before utilizing a consultant to act in a management support role for the contracting agency [23 CFR 172.7(b)(5)(i)] FHWA or Administered in accordance with procedures approved per 23 CFR 172.5(c) FHWA or Administered in accordance with procedures approved per 23 CFR 172.5(c) 10 Approval of noncompetitive procurement method for engineering and design-related services [23 CFR 172.7(a)(3)] FHWA or STATE STATE 11 Approve exceptions to design standards [23 CFR 625.3(f)] FHWA or STATE Not subject to 23 CFR 625.3(f) 12 Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104] FHWA or STATE STATE 13 Approve project management plan for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA or STATE STATE 14 Approval of Interstate System access change [23 U.S.C. 111] FHWA Not subject to 23 U.S.C. 111 15 Determine the engineering and operational acceptability of points of ingress or egress with the Interstate System (justification reports) for new freeway-freeway interchanges (system), modification of freeway-freeway interchanges, and new partial interchanges or new ramps to/from continuous frontage roads that create a partial interchange [23 U.S.C. 111(e)] FHWA Not subject to 23 U.S.C. 111(e) 16 Determine the engineering and operational acceptability of points of ingress or egress with the Interstate System (justification reports) for new and modified freeway-to-crossroad (service) interchanges, and completion of basic movements at existing partial interchanges. [23 U.S.C. 111(e)] FHWA or Administered in Accordance with Programmatic Agreement Not subject to 23 U.S.C. 111(e) 17 Approve innovative and public-private partnership projects in accordance with TE-045, SEP-14, SEP- 15, or SEP-16. [23 U.S.C. 502(b)] FHWA FHWA 18 Approve any betterment to be incorporated into the project and for which emergency relief funding is requested (23 U.S.C. 125, ; 23 CFR 668.109) FHWA FHWA 19 Prior written approval of the Federal awarding agency for the direct charge of up-front acquisition cost of equipment (2 CFR 200.439) FHWA FHWA Table 4: Final Design # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 20 Approve retaining right-of-way encroachments [23 CFR 1.23(b), 1.23(c1.23(b)-(c)] FHWA or STATE STATE 21 Approve use of publicly owned equipment [23 CFR 635.106] FHWA or STATE STATE 22 Concur in use of publicly furnished materials [23 CFR 635.407(a)] FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 23 Determine Approve use of more costly signing, pavement marking marking, and signal materials (or equipment) is in the public interest [23 CFR 655.606] FHWA or STATE STATE 24 Exception to designation of Interstate project as significant for work zones [23 CFR 630.1010(d)] FHWA or STATE Not subject to 23 CFR 630.1010(d) 25 Determination that a United States Coast Guard Permit is not required for bridge construction [23 U.S.C. 144(c); 23 CFR 650.805, 650.807, 23 U.S.C. 144(c)] FHWA FHWA Table 5: Realty # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 26 Completion of ROW clearance, utility, and railroad work concurrently with construction: Make feasibility/practicability determination for allowing authorization to advertise for bids or to proceed with force account construction prior to completion of ROW clearance, utility and railroad work [23 CFR 635.309(b)] FHWA or STATE STATE 27 Approve non-highway use and occupancy of real property interests [23 CFR 1.23(c), 710.405] FHWA for Interstate FHWA or STATE for Non-Interstate STATE 28 Approve disposal at fair market value of real property interests acquired with Federal-aid assistance, including disposals of access control [23 CFR 710.403(e), 710.409] FHWA for Interstate FHWA or STATE for Non- Interstate STATE 29 Approve disposal at less than fair market value of federally funded rightreal property interests acquired with Federal-of-wayaid assistance, including disposals of access control [23 U.S.C. 156, ; 23 CFR 710.403(e)] FHWA FHWA 30 Conditional Approve advertisement for bids based on a conditional ROW certification, bid advertisement: Make unless it is not in the public interest finding on whether State may proceed with bid advertisement even though ROW acquisition/relocation activities are not complete for some parcels to proceed. [23 CFR 635.309(c)(3)(i)] FHWA or STATE STATE 31 Conditional Approve physical construction under a contract or through force account work based on a conditional ROW certification, construction - Make finding of only if there are exceptional circumstances that make it in the public interest to allow State to proceed with construction even though ROW acquisition/relocation activities are not complete for some parcels proceed. [23 CFR 635.309(c)(3)(ii)] FHWA FHWA # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 32 Approve hardship and protective buying [23 CFR 710.503] FHWA FHWA 33 Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project [23 U.S.C. 323, ; 23 CFR 710.507] FHWA FHWA 34 Federal land transfers [23 CFR Part part 710, Subpart subpart F] FHWA FHWA # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 35 Functional replacement of property [23 CFR 710.509] FHWA FHWA 36 Waiver of the policy of the availability of comparable replacement dwelling before displacement under specified circumstances [49 CFR 24.204(b)] FHWA FHWA 37 Approve PS&E [23 CFR 635.309(a)] FHWA or STATE STATE 38 Approve utility or railroad force account work (23 CFR 140.916, 645.113, 646.216) FHWA or STATE STATE 39 Approve utility and railroad agreements (23 CFR 140.916, 645.113, 646.216) FHWA or STATE STATE 40 Approve use of consultants by utility and railroad companies [23 CFR 645.109(b), 646.216(b)] FHWA or STATE STATE 41 Approve exceptions to maximum railroad protective insurance limits (23 CFR 140.916, 646.111) FHWA or STATE STATE 42 Approve use of guaranty and warranty clauses for projects other than design-build projects [23 CFR 635.413(b)] FHWA or STATE STATE 43 Recovery of railroad material - Approval of additional measures for restoration of areas affected by the removal of salvaged material for Railroad work (23 CFR 140.908) FHWA or STATE STATE 44 Approve use of lump sum payments to reimburse railroad for work by its forces [23 CFR 646.216(d)(3)] FHWA or STATE STATE 45 Waive Buy America provisions (23 CFR 635.410) FHWA FHWA 46 Training special provision - Approval of new project training programs [23 CFR 230.111(d), 230.111(e230.111(d)-(e)] FHWA FHWA Table 7: Contract Advertisement and Award # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 47 Approve cost-effectiveness determinations for construction work performed by contract awarded by other than competitive bidding or by force account (23 CFR 635.104, 635.204) FHWA or STATE STATE 48 Approve emergency determinations for construction work performed by contract awarded by other than competitive bidding or by force account (23 CFR 635.104, 635.204) FHWA or STATE STATE 49 Subrecipient project administration - Approve arrangements for local agency to serve as the supervising agency for the project (23 CFR 635.105) FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 50 Approve advertising period less than 3 weeks [23 CFR 635.112(b)] FHWA or STATE STATE 51 Approve addenda during advertising period [23 CFR 635.112(c)] FHWA or STATE STATE 52 Concur in award of contract or rejection of all bids (23 CFR 635.114) FHWA or STATE STATE 53 Approval of design-build requests-for-proposals (RFP) and addenda for major changes to the RFP during solicitation period [23 CFR 635.112(i)(4)] FHWA or STATE STATE 54 Approve award to the next low bidder [23 CFR 635.114(f)] FHWA or STATE STATE 55 Approve contract changes and extra work (23 CFR 635.120) FHWA or STATE STATE 56 Approve contract time extensions [23 CFR 635.120, 635.121(b)] FHWA or STATE STATE 57 Concur in use of mandatory borrow/disposal sites (23 CFR 635.407) FHWA or STATE STATE 58 Approval of administrative settlements and contract claim awards and settlements (23 CFR 140.505, 635.124) FHWA or STATE STATE 59 Concur in termination of construction contracts [23 CFR 635.125(b)] FHWA or STATE STATE Table 9: Construction Manager/General Contractor (CM/GC) and Indefinite Delivery/Indefinite Quantity (ID/IQ) Contracting # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 60 Approval of advertising for bids or proposals for a CM/GC construction services phase contract [23 CFR 635.504(b)(6)] FHWA or STATE STATE 61 Determination of indirect cost rate for preconstruction services for a CM/GC project in accordance with [23 CFR 635.504(e)(2)] FHWA or STATE STATE 62 Approval of preconstruction price and cost/price analysis for preconstruction services for a CM/GC project [23 CFR 635.506(b)(2)] FHWA or STATE STATE 63 Approval of price estimate for construction costs for the entire project for CM/GC project [23 CFR 635.506(d)(2)] FHWA or STATE STATE 64 Approval of construction price analysis and agreed price for construction services of a CM/GC project or portion of the project [23 CFR 635.506(d)(4)] FHWA or STATE STATE 65 Approval of CM/GC project preconstruction services contract award [23 CFR 635.506(e)] FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 66 Concur in advertising an ID/IQ solicitation prior to completion of NEPA [23 CFR 635.605(a)(2)] FHWA or STATE STATE 67 Concur in awarding an ID/IQ contract prior to completion of NEPA [23 CFR 635.605(a)(3)] FHWA or STATE STATE 68 Approve a time extension of an ID/IQ contract [23 CFR 635.604(a)(6)(i)] FHWA or STATE STATE • Standard Specifications o Elements that require the Federal Highway Administration (FHWA) approval: ▪ Specifications that will be used on the National Highway System (NHS). (23 CFR 625.3) • Highway Design Manual - information and guidance to design road projects. o Elements that require FHWA approval: ▪ Roadway design standards for 3R and preventative maintenance projects on the NHS. [23 CFR 625.3, 625.4(a)(3)] o Elements required by Federal law or regulation included in this manual that do not require FHWA approval: ▪ Erosion and Sediment Control Guidelines (23 CFR 650.211) • Right of Way Manual - right-of-way organization, policies, and procedures. Describes functions and procedures for all phases of the real estate program, including appraisal and appraisal review, negotiation and eminent domain, property management, and relocation assistance. o Elements that require FHWA approval: ▪ All elements. Right-of-way organization, policies, and procedures (23 CFR 710.201)

PROJECT ACTION RESPONSIBILITY MATRIX. This matrix identifies the Federal-aid highway program (FAHP) project approvals and related responsibilities. The matrix specifies which actions are assumed by the [State name DOT/STA DOT abbreviation] pursuant to this Stewardship and Oversight Agreement (“Agreement”) and certain other applicable authorities as specified in the tables in this Attachment A. The [State name DOT/STA DOT abbreviation] is responsible for ensuring all individual applicable elements of the project are eligible for FAHP funding. Where the [State name DOT/STA DOT abbreviation] assumes authority to make a decision, approval, determination or action, the [State name DOT/STA DOT abbreviation] decision does not constitute an eligibility, obligation, reimbursement, authorization, or compliance decision by or for the Federal Highway Administration (FHWA). Final decisions on those matters must be made by FHWA. Table 1: Financial Management # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 1 Review and accept initial financial plan for Federal major projects [23 U.S.C. 106(h)] FHWA or STATE STATE 2 Review and accept financial plan annual updates for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA 2 Review cost estimates for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA or STATE STATE 3 Obligate funds/authorize Federal-aid project agreement (including advance construction authorization and conversion), modifications, and project closures (project authorizations) [23 U.S.C. 106(a)(2), ; 23 CFR 630.106, 630.703, 630.709] FHWA FHWA 4 Authorize to advertise for bids when all preconditions are met [23 CFR 635.112(a), 635.309] FHWA or STATE STATE 5 Approve reimbursements including authorizing current bill (23 U.S.C. 121) FHWA FHWA 6 Approval of reimbursement for bond-issue projects [23 U.S.C. 122, ; 23 CFR Part part 140, Subpart subpart F] FHWA FHWA Table 2: Environment # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 7 EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations (Note: The FHWA may assign these NEPA actions and other environmental responsibilities to a State DOT as provided by 23 U.S.C. 327) FHWA or Administered in accordance with 23 U.S.C. 327 MOU FHWA or Administered in accordance with 23 U.S.C. 327 MOU 8 Categorical exclusion approval actions [Note: The FHWA may assign this action and other FHWA environmental responsibilities to a State DOT as provided by 23 U.S.C. 326 and 327. The FHWA also may administratively delegate responsibility for categorical exclusion determinations to a State DOT through a programmatic agreement pursuant to Section 1318(d) of MAP-21 and implementing regulations in 23 CFR 771.117(g)] FHWA or Administered in accordance with applicable 23 U.S.C. 326 or 327 MOUs, or Programmatic Categorical Exclusion Agreement FHWA or Administered in accordance with applicable 23 U.S.C. 326 or 327 MOUs, or Programmatic Categorical Exclusion Agreement # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS section 1318(d) of MAP-21 and implementing regulations in 23 CFR 771.117(g)] Table 3: Preliminary Design # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 9 Approval before utilizing a consultant to act in a management support role for the contracting agency [23 CFR 172.7(b)(5)(i)] FHWA or Administered in accordance with procedures approved per 23 CFR 172.5(c) FHWA or Administered in accordance with procedures approved per 23 CFR 172.5(c) 10 Approval of noncompetitive procurement method for engineering and design-related services [23 CFR 172.7(a)(3)] FHWA or STATE STATE 11 Approve exceptions to design standards [23 CFR 625.3(f)] FHWA or STATE Not subject to 23 CFR 625.3(f) 12 Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104] FHWA or STATE STATE 13 Approve project management plan for Federal major projects [23 U.S.C. 106(h)] FHWA FHWA or STATE STATE 14 Approval of Interstate System access change [23 U.S.C. 111] FHWA Not subject to 23 U.S.C. 111 15 Determine the engineering and operational acceptability of points of ingress or egress with the Interstate System (justification reports) for new freeway-freeway interchanges (system), modification of freeway-freeway interchanges, and new partial interchanges or new ramps to/from continuous frontage roads that create a partial interchange [23 U.S.C. 111(e)] FHWA Not subject to 23 U.S.C. 111(e) 16 Determine the engineering and operational acceptability of points of ingress or egress with the Interstate System (justification reports) for new and modified freeway-to-crossroad (service) interchanges, and completion of basic movements at existing partial interchanges. [23 U.S.C. 111(e)] FHWA or Administered in Accordance with Programmatic Agreement Not subject to 23 U.S.C. 111(e) 17 Approve innovative and public-private partnership projects in accordance with TE-045, SEP-14, SEP- 15, or SEP-16. [23 U.S.C. 502(b)] FHWA FHWA 18 Approve any betterment to be incorporated into the project and for which emergency relief funding is requested (23 U.S.C. 125, ; 23 CFR 668.109) FHWA FHWA 19 Prior written approval of the Federal awarding agency for the direct charge of up-front acquisition cost of equipment (2 CFR 200.439) FHWA FHWA Table 4: Final Design # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 20 Approve retaining right-of-way encroachments [23 CFR 1.23(b), 1.23(c1.23(b)-(c)] FHWA or STATE STATE 21 Approve use of publicly owned equipment [23 CFR 635.106] FHWA or STATE STATE 22 Concur in use of publicly furnished materials [23 CFR 635.407(a)] FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 23 Determine Approve use of more costly signing, pavement marking marking, and signal materials (or equipment) is in the public interest [23 CFR 655.606] FHWA or STATE STATE 24 Exception to designation of Interstate project as significant for work zones [23 CFR 630.1010(d)] FHWA or STATE Not subject to 23 CFR 630.1010(d) 25 Determination that a United States Coast Guard Permit is not required for bridge construction [23 U.S.C. 144(c); 23 CFR 650.805, 650.807, 23 U.S.C. 144(c)] FHWA FHWA Table 5: Realty # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 26 Completion of ROW clearance, utility, and railroad work concurrently with construction: Make feasibility/practicability determination for allowing authorization to advertise for bids or to proceed with force account construction prior to completion of ROW clearance, utility and railroad work [23 CFR 635.309(b)] FHWA or STATE STATE 27 Approve non-highway use and occupancy of real property interests [23 CFR 1.23(c), 710.405] FHWA for Interstate FHWA or STATE for Non-Interstate STATE 28 Approve disposal at fair market value of real property interests acquired with Federal-aid assistance, including disposals of access control [23 CFR 710.403(e), 710.409] FHWA for Interstate FHWA or STATE for Non- Interstate STATE 29 Approve disposal at less than fair market value of federally funded rightreal property interests acquired with Federal-of-wayaid assistance, including disposals of access control [23 U.S.C. 156, ; 23 CFR 710.403(e)] FHWA FHWA 30 Conditional Approve advertisement for bids based on a conditional ROW certification, bid advertisement: Make unless it is not in the public interest finding on whether State may proceed with bid advertisement even though ROW acquisition/relocation activities are not complete for some parcels to proceed. [23 CFR 635.309(c)(3)(i)] FHWA or STATE STATE 31 Conditional Approve physical construction under a contract or through force account work based on a conditional ROW certification, construction - Make finding of only if there are exceptional circumstances that make it in the public interest to allow State to proceed with construction even though ROW acquisition/relocation activities are not complete for some parcels proceed. [23 CFR 635.309(c)(3)(ii)] FHWA FHWA # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 32 Approve hardship and protective buying [23 CFR 710.503] FHWA FHWA 33 Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project [23 U.S.C. 323, ; 23 CFR 710.507] FHWA FHWA 34 Federal land transfers [23 CFR Part part 710, Subpart subpart F] FHWA FHWA # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 35 Functional replacement of property [23 CFR 710.509] FHWA FHWA 36 Waiver of the policy of the availability of comparable replacement dwelling before displacement under specified circumstances [49 CFR 24.204(b)] FHWA FHWA 37 Approve PS&E [23 CFR 635.309(a)] FHWA or STATE STATE 38 Approve utility or railroad force account work (23 CFR 140.916, 645.113, 646.216) FHWA or STATE STATE 39 Approve utility and railroad agreements (23 CFR 140.916, 645.113, 646.216) FHWA or STATE STATE 40 Approve use of consultants by utility and railroad companies [23 CFR 645.109(b), 646.216(b)] FHWA or STATE STATE 41 Approve exceptions to maximum railroad protective insurance limits (23 CFR 140.916, 646.111) FHWA or STATE STATE 42 Approve use of guaranty and warranty clauses for projects other than design-build projects [23 CFR 635.413(b)] FHWA or STATE STATE 43 Recovery of railroad material - Approval of additional measures for restoration of areas affected by the removal of salvaged material for Railroad work (23 CFR 140.908) FHWA or STATE STATE 44 Approve use of lump sum payments to reimburse railroad for work by its forces [23 CFR 646.216(d)(3)] FHWA or STATE STATE 45 Waive Buy America provisions (23 CFR 635.410) FHWA FHWA 46 Training special provision - Approval of new project training programs [23 CFR 230.111(d), 230.111(e230.111(d)-(e)] FHWA FHWA Table 7: Contract Advertisement and Award # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 47 Approve cost-effectiveness determinations for construction work performed by contract awarded by other than competitive bidding or by force account (23 CFR 635.104, 635.204) FHWA or STATE STATE 48 Approve emergency determinations for construction work performed by contract awarded by other than competitive bidding or by force account (23 CFR 635.104, 635.204) FHWA or STATE STATE 49 Subrecipient project administration - Approve arrangements for local agency to serve as the supervising agency for the project (23 CFR 635.105) FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 50 Approve advertising period less than 3 weeks [23 CFR 635.112(b)] FHWA or STATE STATE 51 Approve addenda during advertising period [23 CFR 635.112(c)] FHWA or STATE STATE 52 Concur in award of contract or rejection of all bids (23 CFR 635.114) FHWA or STATE STATE 53 Approval of design-build requests-for-proposals (RFP) and addenda for major changes to the RFP during solicitation period [23 CFR 635.112(i)(4)] FHWA or STATE STATE 54 Approve award to the next low bidder [23 CFR 635.114(f)] FHWA or STATE STATE 55 Approve contract changes and extra work (23 CFR 635.120) FHWA or STATE STATE 56 Approve contract time extensions [23 CFR 635.120, 635.121(b)] FHWA or STATE STATE 57 Concur in use of mandatory borrow/disposal sites (23 CFR 635.407) FHWA or STATE STATE 58 Approval of administrative settlements and contract claim awards and settlements (23 CFR 140.505, 635.124) FHWA or STATE STATE 59 Concur in termination of construction contracts [23 CFR 635.125(b)] FHWA or STATE STATE Table 9: Construction Manager/General Contractor (CM/GC) and Indefinite Delivery/Indefinite Quantity (ID/IQ) Contracting # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 60 Approval of advertising for bids or proposals for a CM/GC construction services phase contract [23 CFR 635.504(b)(6)] FHWA or STATE STATE 61 Determination of indirect cost rate for preconstruction services for a CM/GC project in accordance with [23 CFR 635.504(e)(2)] FHWA or STATE STATE 62 Approval of preconstruction price and cost/price analysis for preconstruction services for a CM/GC project [23 CFR 635.506(b)(2)] FHWA or STATE STATE 63 Approval of price estimate for construction costs for the entire project for CM/GC project [23 CFR 635.506(d)(2)] FHWA or STATE STATE 64 Approval of construction price analysis and agreed price for construction services of a CM/GC project or portion of the project [23 CFR 635.506(d)(4)] FHWA or STATE STATE 65 Approval of CM/GC project preconstruction services contract award [23 CFR 635.506(e)] FHWA or STATE STATE # ACTION AGENCY RESPONSIBLE NHS AGENCY RESPONSIBLE Non- NHS 66 Concur in advertising an ID/IQ solicitation prior to completion of NEPA [23 CFR 635.605(a)(2)] FHWA or STATE STATE 67 Concur in awarding an ID/IQ contract prior to completion of NEPA [23 CFR 635.605(a)(3)] FHWA or STATE STATE 68 Approve a time extension of an ID/IQ contract [23 CFR 635.604(a)(6)(i)] FHWA or STATE STATE ATTACHMENT B (drafting example)‌‌‌ • Standard Specifications o Elements that require the Federal Highway Administration (FHWA) approval: ▪ Specifications that will be used on the National Highway System (NHS). (23 CFR 625.3) • Highway Design Manual - information and guidance to design road projects. o Elements that require FHWA approval: ▪ Roadway design standards for 3R and preventative maintenance projects on the NHS. [23 CFR 625.3, 625.4(a)(3)] o Elements required by Federal law or regulation included in this manual that do not require FHWA approval: ▪ Erosion and Sediment Control Guidelines (23 CFR 650.211) • Right of Way Manual - right-of-way organization, policies, and procedures. Describes functions and procedures for all phases of the real estate program, including appraisal and appraisal review, negotiation and eminent domain, property management, and relocation assistance. o Elements that require FHWA approval: ▪ All elements. Right-of-way organization, policies, and procedures (23 CFR 710.201)