PROJECT ACTION RESPONSIBILITY MATRIX. The following matrix identifies Federal-aid highway program (FAHP) project approvals and related responsibilities on a program-wide basis. The matrix specifies which actions are assumed by the State under the provisions of 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as those which are reserved to FHWA. Projects classified as PoDI projects are not covered by the matrix, as those projects will be governed by a separate PoDI plan that specifies FHWA and State responsibilities for the project. In the matrix, actions marked with an asterisk (“FHWA*”) are those that FHWA has retained but that could have been assumed by the State through FHWA discretion (on the NHS) or by right (off the NHS). Projects requiring those actions are PoDI projects because of FHWA’s retained authority. Those projects will be governed by a separate PoDI Plan. The State DOT is responsible for ensuring all individual elements of the project are eligible for FAHP funding, but all final eligibility and participation determinations are retained by FHWA. Ensure project in Statewide Transportation Improvement Program (STIP)/Transportation Improvement Program (TIP) STATE STATE Identify proposed funding category STATE(1) STATE(1) Obligate funds/approve Federal- aid project agreement, modifications, and project closures (project authorizations) (Note: this action cannot be assumed by State) FHWA FHWA Authorize current ▇▇▇▇ (Note: this action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal FHWA FHWA Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Develop Financial Plan for Federal Projects between $100 million and $500 million. [23 U.S.C. 106(i)] STATE STATE All EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations. (Note: this action cannot be assumed by STATE except under 23 U.S.C. 327) FHWA(2) FHWA(2) Categorical Exclusion approval actions (Note this action cannot be assumed by the State except through an assignment under 23 U.S.C. 326 or 327, or through a programmatic agreement pursuant to Section 1318(d) of MAP-21 and 23 CFR 771.117(g))) FHWA(2) FHWA(2) Consultant Contract Selection STATE (3) STATE (3) Sole source Consultant Contract Selection STATE (3) STATE (3) Approve hiring of consultant to serve in a “management” role (Note: this action cannot be assumed by State) [23 CFR 172.9] FHWA FHWA Approve consultant agreements and agreement revisions (Federal non-Major Projects) STATE STATE [▇▇ ▇▇▇ 172.9] Approve consultant agreements and agreement revisions on Federal Major Projects [23 CFR 172.9] (Note: this action cannot be assumed by State) FHWA FHWA Approve exceptions to design standards [23 CFR 625.3(f)] STATE STATE Interstate System Access Change [23 USC 111] (Note: this action cannot be assumed by State) FHWA N/A Interstate System Access Justification Report [23 USC 111] (Note: action may be assumed by State pursuant to 23 USC 111(e)) FHWA* N/A Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104] STATE STATE Approve Project Management Plan for Federal Major Projects over $500 million [23 USC 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Approve innovative and Public- Private Partnership projects in accordance with SEP-14 and SEP- 15 (Note: this action cannot be assumed by State) FHWA FHWA Provide pre-approval for preventive maintenance project (until FHWA concurs with STATE procedures) (Note: this action cannot be assumed by State) FHWA FHWA Provide approval of preliminary plans for unusual/complex bridges or structures on the Interstate. [23 FHWA (4) N/A USC 109(a) and FHWA Policy] Provide approval of preliminary plans for unusual/complex bridges or structures (non-Interstate). [23 USC 109(a) and FHWA Policy] State (4) STATE Approve retaining right-of-way encroachments [23 CFR 1.23 (b) & (c)] STATE STATE Approve use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.106] STATE STATE Approve the use of proprietary products, processes [23 CFR 635.411] STATE STATE Concur in use of publicly furnished materials [23 CFR 635.407] STATE STATE Make feasibility/practicability determination for allowing authorization of construction prior to completion of ROW clearance, utility and railroad work [23 CFR 635.309(b)] STATE STATE 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)] FHWA for Interstate STATE for Non-Interstate STATE Ensure compliant ROW certificate is in ▇▇▇▇▇ [▇▇ ▇▇▇ 635.309(c)] STATE STATE Approve Hardship and Protective ▇▇▇▇▇▇ [▇▇ ▇▇▇ 710.503] (If a Federal-aid project) (Note: this action cannot be assumed by State) FHWA FHWA Approve Interstate Real Property Interest Use Agreements [23 CFR 710.405] (Note: this action cannot be assumed by State) FHWA N/A Approve non-highway use and ▇▇▇▇▇▇▇▇▇ [▇▇ ▇▇▇ 1.23(c)] FHWA for Interstate STATE for Non-NHS STATE (3) Approve disposal at less than fair market value of federally funded right-of-way, including disposals of access control [23 U.S.C. 156] (Note: this action cannot be assumed by State) FHWA FHWA Approve disposal at fair market value of federally funded right-of- way, including disposals of access control [23 CFR 710.409] (Note: 23 CFR 710.201 authorizes FHWA and STATE to agree to scope of property-related oversight and approvals for all actions except those on the Interstate System) FHWA for Interstate for Non-NHS STATE (3) Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project (note: this action cannot be assumed by State) FHWA FHWA Federal land transfers [23 CFR 710, Subpart F] (Note: this action cannot be assumed by State) FHWA FHWA Functional replacement of property [23 CFR 710.509] (Note: this action cannot be FHWA FHWA assumed by State)
Appears in 1 contract
Sources: Stewardship and Oversight Agreement
PROJECT ACTION RESPONSIBILITY MATRIX. The following matrix identifies Federal-aid highway program (FAHP) project approvals and related responsibilities on a program-wide basis. The matrix specifies which actions are assumed by the State of Tennessee under the provisions of 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as those which are reserved to FHWA. Projects classified as PoDI projects are not covered by the matrix, as those projects will be governed by a separate PoDI plan that specifies FHWA and State responsibilities for the project. For example, FHWA may identify an ITS project for oversight as a PoDI to approve the Systems Engineering Analysis under its Risk-Based Stewardship and Oversight Program. In the matrix, actions marked with an asterisk (“FHWA*”) are those that FHWA has retained but that could have been assumed by the State Tennessee Department of Transportation (TDOT) through FHWA discretion (on the NHS) or by right (off the NHS). Projects requiring those actions are PoDI projects because of FHWA’s retained authority. Those projects will be governed by a separate PoDI PlanPlan that specifies FHWA and TDOT responsibilities for the project. The State DOT TDOT is responsible for ensuring all individual elements of the project are eligible for FAHP funding, but all final eligibility and participation determinations are retained by FHWA. Ensure project in Statewide Transportation Improvement Program (STIP)/Transportation Improvement Program (TIP) STATE STATE Identify proposed funding category STATE(1) STATE(1) Obligate funds/approve Federal- aid project agreement, modifications, and project closures (project authorizations) (Note: this action cannot be assumed by State) FHWA FHWA Authorize current ▇▇▇▇ (Note: this FHWA FHWA action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal FHWA FHWA Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Develop Financial Plan for Federal Projects between $100 million and $500 million. [23 U.S.C. 106(i)] STATE STATE All EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations. (Note: this action cannot be assumed by STATE except under 23 U.S.C. 327) FHWA(2) FHWA(2) Categorical Exclusion approval actions (Note this action cannot be assumed by the State except through an assignment under 23 U.S.C. 326 or 327, or through a programmatic agreement pursuant to Section 1318(d) of MAP-21 and 23 CFR 771.117(g))) FHWA(2) FHWA(2) Consultant Contract Selection STATE (3) STATE (3) Sole source Consultant Contract Selection STATE (3) STATE (3) Approve hiring of consultant to serve in a “management” role (Note: this action cannot be assumed by State) [23 CFR 172.9] FHWA FHWA Approve consultant agreements and agreement revisions (Federal non-Major Projects) [23 CFR 172.9] STATE STATE [▇▇ ▇▇▇ 172.9] Approve consultant agreements FHWA FHWA and agreement revisions on Federal Major Projects [23 CFR 172.9] (Note: this action cannot be assumed by State) FHWA FHWA Approve exceptions to design standards [23 CFR 625.3(f)] STATE STATE Interstate System Access Change [23 USC 111] (Note: this action cannot be assumed by State) FHWA N/A Interstate System Access Justification Report [23 USC 111] (Note: action may be assumed by State pursuant to 23 USC 111(e)) FHWA* N/A Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104] STATE STATE Approve Project Management Plan for Federal Major Projects over $500 million [23 USC 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Approve innovative and Public- Private Partnership projects in accordance with SEP-14 and SEP- 15 (Note: this action cannot be assumed by State) FHWA FHWA Provide pre-approval for preventive maintenance project (until FHWA concurs with STATE procedures) (Note: this action cannot be assumed by State) activities outside the scope of the FHWA- approved TDOT standard operating guidelines, “Pavement Management Program” FHWA FHWA Provide approval of preliminary plans for unusual/complex bridges or structures on the Interstate. [23 USC 109(a) and FHWA Policy] FHWA (4) N/A USC 109(a) and FHWA Policy] Provide approval of preliminary plans for unusual/complex bridges State (4) STATE or structures (non-Interstate). [23 USC 109(a) and FHWA Policy] State (4) STATE Approve retaining right-of-way encroachments [23 CFR 1.23 (b) & (c)] STATE STATE Approve use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.106] STATE STATE Approve the use of proprietary products, processes [23 CFR 635.411] STATE STATE Concur in use of publicly furnished materials [23 CFR 635.407] STATE STATE Make feasibility/practicability determination for allowing authorization of construction prior to completion of ROW clearance, utility and railroad work [23 CFR 635.309(b)] STATE STATE 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)] FHWA for Interstate STATE for Non-Interstate STATE Ensure compliant ROW certificate is in ▇▇▇▇▇ [▇▇ ▇▇▇ 635.309(c)] STATE STATE Approve Hardship and Protective FHWA FHWA ▇▇▇▇▇▇ [▇▇ ▇▇▇ 710.503] (If a Federal-aid project) (Note: this action cannot be assumed by State) FHWA FHWA Approve Interstate Real Property FHWA N/A Interest Use Agreements [23 CFR 710.405] (Note: this action cannot be assumed by State) FHWA N/A Approve non-highway use and ▇▇▇▇▇▇▇▇▇ [▇▇ ▇▇▇ 1.23(c)] FHWA for Interstate STATE for Non-NHS Interstate (3) STATE (3) Approve disposal at less than fair market value of federally funded right-of-way, including disposals of access control [23 U.S.C. 156] (Note: this action cannot be assumed by State) FHWA FHWA Approve disposal at fair market value of federally funded right-of- way, including disposals of access control [23 CFR 710.409] (Note: 23 CFR 710.201 authorizes FHWA and STATE to agree to scope of property-related oversight and approvals for all actions except those on the Interstate System) FHWA for Interstate STATE for Non-NHS Interstate (3) STATE (3) Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project (note: this action cannot be assumed by State) FHWA FHWA Federal land transfers [23 CFR 710, Subpart F] (Note: this action cannot be assumed by State) FHWA FHWA Functional replacement of property [23 CFR 710.509] (Note: this action cannot be FHWA FHWA assumed by State) FHWA FHWA Accept Transportation Management Plans (23 CFR 630.1012(b)) STATE STATE Approval of System Engineering Analysis (for ITS) STATE STATE [▇▇ ▇▇▇ 940.11] Approve PS&E [23 CFR 630.201] STATE STATE Authorize advance construction and conversions [23 CFR 630.703 & 709] (Note: this action cannot be assumed by State) FHWA FHWA Approve utility or railroad force account work [23 CFR 645.113 & 646.216] STATE STATE Approve utility and railroad agreements [23 CFR 645.113 & 646.216] STATE STATE Approve use of consultants by utility companies [23 CFR 645.109(b)] STATE STATE Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111] STATE STATE Authorize (approve) advertising for bids (FHWA authorization done via construction authorization) [23 CFR 635.112, 309] STATE STATE Approve cost-effectiveness determinations for construction work performed by force account or by contract awarded by other than competitive bidding [23 CFR 635.104 &.204] STATE STATE Approve emergency determinations for contracts awarded by other than competitive bidding [23 CFR 635.104 &.204] STATE STATE Approve construction engineering by local agency [23 CFR 635.105] STATE STATE Approve advertising period less than 3 weeks [23 CFR 635.112] STATE STATE Approve addenda during advertising period [23 CFR 635.112] STATE STATE Concur in award of ▇▇▇▇▇▇▇▇ [▇▇ ▇▇▇ 635.114] ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇ [▇▇ ▇▇▇ 635.114] all bids STATE STATE Approval of Design-Build Requests-for-Proposals and ▇▇▇▇▇▇▇ [▇▇ ▇▇▇ 635.112] STATE STATE Approve changes and extra work [23 CFR 635.120] STATE STATE Approve contract time [23 CFR 635.120] extensions STATE STATE Concur in use of mandatory borrow/disposal sites [23 CFR 635.407] STATE STATE Accept materials certification [23 CFR 637.207] STATE STATE Concur in settlement of contract claims [23 CFR 635.124] STATE STATE Concur in termination of construction contracts [23 CFR 635.125] STATE STATE Waive Buy America provisions [23 CFR 635.410] (Note: this action cannot be assumed by State) FHWA FHWA Final inspection/acceptance of completed work [23 USC 114(a)] STATE STATE Approval of Disadvantaged Business Enterprise (DBE) Project Contract Goal set by TDOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] STATE STATE Acceptance of Bidder’s Good Faith Efforts to Meet Contract ▇▇▇▇ [▇▇ ▇▇▇ 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor STATE STATE When a DBE Subcontractor is Terminated or Fails to Complete Its Work [49 CFR 26.53(g)] (Note: this action cannot be performed by the FHWA) Equal Employment Opportunity (EEO) Contract Compliance Review [23 ▇▇▇ ▇▇▇▇ ▇▇▇, ▇▇▇▇▇▇▇ ▇]). ▇▇▇▇▇ ▇▇▇▇▇ Training Special Provision – Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A] STATE STATE Training Special Provision – Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)] FHWA FHWA FOOTNOTES:
Appears in 1 contract
Sources: Stewardship and Oversight Agreement