Common use of AND AMENDMENTS Clause in Contracts

AND AMENDMENTS. A. This S&O Agreement will take effect as of the effective date of the signature of the FHWA North Carolina Division Administrator, who shall sign this S&O Agreement last. B. The Division and NCDOT agree that updates to this Agreement will be considered periodically on a case-by-case basis when:  Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;  Leadership, or leadership direction, changes at NCDOT or FHWA; or  Priorities change at either NCDOT or Division Office. C. The Division and NCDOT agree that changes may occur to the contents of the Attachments to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except as provided in paragraph XII.D and E, changes to the attachments and documents incorporated by reference will not require the Division and NCDOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This Agreement and any changes to Attachment A shall be posted on the Division’s S&O Agreement internet site within five (5) business days of the effective date. D. Any changes to the high risk categories must be documented by an amendment to this S&O Agreement. E. Any changes to the Project Action Responsibility Matrix must be approved by the FHWA in writing and documented by an amendment to this S&O Agreement. REMAINDER OF PAGE LEFT BLANK INTENTIONALLY Executed this 12 day of May_ , 2017. Xxxx X. Xxxxxxxx, III Division Administrator Executed this 12th day of May , 2017. Secretary Xxxxx X. Xxxxxxx North Carolina Department of Transportation June 2, 2015 Original S&O Agreement January 15, 2016 S&O Agreement re-signed with signature of new NCDOT Secretary. May 12, 2017 S&O Agreement re-signed with signature of new NCDOT Secretary. NCDOT 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 xxxx (Note: this action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by FHWA FHWA State) 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 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 (5) 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 USC 109(a) and FHWA Policy] FHWA (4) N/A Provide approval of preliminary plans for unusual/complex bridges or structures (non-Interstate. [23 USC 109(a) and FHWA Policy] STATE (4) STATE Make feasibility/practicability determination for allowing authorization of construction prior to completion of Right-of-Way clearance, utility and railroad STATE STATE work. [23 CFR 635.309(b)] Make public interest finding on whether State may proceed with bid advertisement even though Right-of-Way 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 Right-of-Way certificate is in xxxxx [00 XXX 635.309(c)] STATE STATE Approve Hardship and Protective Xxxxxx [00 XXX 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 xxxxxxxxx [00 XXX 1.23(c)] FHWA for Interstate STATE for Non-Interstate (3) STATE (3) Approve disposal at less than fair market value of federally funded real property, 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 real property, 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-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 assumed by State) FHWA FHWA Accept Transportation Management Plans (23 CFR 630.1012(b)) STATE STATE Approval of System Engineering Analysis (for ITS) [23 CFR 940.11] XXXXX XXXXX Xxxxxxx XX&X [00 XXX 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 and railroad companies [23 CFR 645.109(b) & 646.216(b)] STATE STATE Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111] STATE STATE Authorize (approve) advertising for bids. [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 use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.411] 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 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] FHWA FHWA Approve addenda during advertising period [23 CFR 635.112] STATE STATE Concur in award of xxxxxxxx [00 XXX 635.114] STATE STATE Concur in rejection of all xxxx [00 XXX 635.114] STATE STATE Approval of Design-Build Requests-for-Proposals and Xxxxxxx [00 XXX 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 N/A Concur in settlement of xxxxxxxx xxxxxx [00 XXX 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 the State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] STATE STATE Acceptance of Bidder’s Good Faith Efforts to Meet Contract Xxxx [00 XXX 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor 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) STATE STATE Equal Opportunity (EO) Contract Compliance Review [23 XXX Xxxx 000, Xxxxxxx X]). XXXXX XXXXX Training Special Provision – STATE STATE Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A] Training Special Provision – FHWA FHWA Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)] FOOTNOTES: (1) State is responsible for ensuring that all individual elements of the project are eligible. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA. (2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance with those assignments or agreements. (3) State’s process and modifications to, or variation in process, require FHWA approval. (4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems) (5) The State will justify and document exceptions to its design standards according to its law, regulation, and directives. FHWA does not have oversight responsibility for this activity because there is no Federal requirement for design exceptions for Federal-aid projects off the NHS. This activity is not considered a Federal action; thus, does not by itself trigger a FHWA environmental analysis under NEPA.

AND AMENDMENTS. ‌ This Agreement supersedes all previously executed Stewardship and Oversight Agreements between the FHWA and PennDOT. Upon execution, this S&O Agreement will apply immediately to all new Federal-aid projects and all existing Federal-aid projects under design. Federal-aid projects under construction will retain their current oversight designation through completion, unless FHWA and PennDOT mutually agree to change that designation. A. This S&O Agreement will take effect as of the effective date of the signature of the FHWA North Carolina Pennsylvania Division Administrator, who shall sign this S&O Agreement last. B. The Division FHWA and NCDOT PennDOT agree that updates to this Agreement will be considered periodically on a case-by-case basis or when:  • Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;  • Leadership, or leadership direction, changes at NCDOT PennDOT or FHWA; or  • Priorities change shift as a result of audits, public perception, or changes in staffing at either NCDOT PennDOT or the Division Office. C. The Division FHWA and NCDOT PennDOT agree that changes may occur to the contents of the Attachments Appendices to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except as provided in paragraph XII.D and E, changes to the attachments Appendices and documents incorporated by reference will not require the Division FHWA and NCDOT PennDOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This Agreement and any changes to Attachment A revised document shall be posted on the FHWA Pennsylvania Division’s S&O Agreement internet site within five (5) business days of the effective date. D. Any changes to the high risk categories must be documented by an amendment to this S&O Agreement. E. Any changes to the Project Action Responsibility Matrix must be approved by the FHWA Office of Infrastructure in writing and documented by an amendment to this S&O Agreement. REMAINDER OF PAGE LEFT BLANK INTENTIONALLY Executed this 12 day of May_ , 2017. Xxxx X. Xxxxxxxx, III Division Administrator Executed this 12th 11th day of May , 20172015 . Xxxxxx Xxxxxxxx Secretary Xxxxx X. Xxxxxxx North Carolina Department of Transportation June 2Executed this 26th day of May , 2015 Original S&O Agreement January 15, 2016 S&O Agreement re-signed with signature of new NCDOT Secretary. May 12, 2017 S&O Agreement re-signed with signature of new NCDOT Secretary. NCDOT 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 xxxx (Note: this action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by FHWA FHWA State) 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 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 (5) 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 USC 109(a) and FHWA Policy] FHWA (4) N/A Provide approval of preliminary plans for unusual/complex bridges or structures (non-Interstate. [23 USC 109(a) and FHWA Policy] STATE (4) STATE Make feasibility/practicability determination for allowing authorization of construction prior to completion of Right-of-Way clearance, utility and railroad STATE STATE work. [23 CFR 635.309(b)] Make public interest finding on whether State may proceed with bid advertisement even though Right-of-Way 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 Right-of-Way certificate is in xxxxx [00 XXX 635.309(c)] STATE STATE Approve Hardship and Protective Xxxxxx [00 XXX 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 xxxxxxxxx [00 XXX 1.23(c)] FHWA for Interstate STATE for Non-Interstate (3) STATE (3) Approve disposal at less than fair market value of federally funded real property, 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 real property, 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-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 assumed by State) FHWA FHWA Accept Transportation Management Plans (23 CFR 630.1012(b)) STATE STATE Approval of System Engineering Analysis (for ITS) [23 CFR 940.11] XXXXX XXXXX Xxxxxxx XX&X [00 XXX 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 and railroad companies [23 CFR 645.109(b) & 646.216(b)] STATE STATE Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111] STATE STATE Authorize (approve) advertising for bids. [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 use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.411] 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 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] FHWA FHWA Approve addenda during advertising period [23 CFR 635.112] STATE STATE Concur in award of xxxxxxxx [00 XXX 635.114] STATE STATE Concur in rejection of all xxxx [00 XXX 635.114] STATE STATE Approval of Design-Build Requests-for-Proposals and Xxxxxxx [00 XXX 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 N/A Concur in settlement of xxxxxxxx xxxxxx [00 XXX 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 the State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] STATE STATE Acceptance of Bidder’s Good Faith Efforts to Meet Contract Xxxx [00 XXX 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor 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) STATE STATE Equal Opportunity (EO) Contract Compliance Review [23 XXX Xxxx 000, Xxxxxxx X]). XXXXX XXXXX Training Special Provision – STATE STATE Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A] Training Special Provision – FHWA FHWA Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)] FOOTNOTES: (1) State is responsible for ensuring that all individual elements of the project are eligible. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA. (2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance with those assignments or agreements. (3) State’s process and modifications to, or variation in process, require FHWA approval. (4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems) (5) The State will justify and document exceptions to its design standards according to its law, regulation, and directives. FHWA does not have oversight responsibility for this activity because there is no Federal requirement for design exceptions for Federal-aid projects off the NHS. This activity is not considered a Federal action; thus, does not by itself trigger a FHWA environmental analysis under NEPA.

AND AMENDMENTS. A. This S&O Agreement will take effect as of the effective date of the signature of the FHWA North Carolina New York Division Administrator, who shall sign this S&O Agreement last. B. The Division and NCDOT State DOT agree that updates to this Agreement will be considered periodically on a case-by-case basis or when:  • Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;  • Leadership, or leadership direction, changes at NCDOT the State DOT or FHWA; or  • Priorities change shift as a result of audits, public perception, or changes in staffing at either NCDOT the State DOT or Division Office. C. The Division and NCDOT State DOT agree that changes may occur to the contents of the Attachments to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except as provided in paragraph XII.D and E, changes to the attachments Attachments and documents incorporated by reference will not require the Division and NCDOT State DOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This Agreement and any changes to Attachment A revised document shall be posted on the Division’s S&O Agreement internet site within five (5) business days of the effective date. D. Any changes to the high risk categories must be documented by an amendment to this S&O Agreement. E. Any changes to the Project Action Responsibility Matrix (Attachment A) must be approved by the FHWA Office of Infrastructure in writing and documented by an amendment to this S&O Agreement. REMAINDER OF PAGE XXXX LEFT BLANK INTENTIONALLY EXECUTION BY THE FHWA NEW YORK DIVISION OFFICE Executed this 12 15 day of May_ June_, 20172015 . Xxxx X. Xxxxxxxx, III Division Administrator Signature EXECUTION BY THE NEW YORK STATE DEPARTMENT OF TRANSPORTATION Executed this 12th 15 day of May June , 20172015. Secretary Xxxxx X. Xxxxxxx North Carolina Department Signature Attachment A‌ 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 Transportation June 223 U.S.C. 106(c) or other statutory or regulatory authority, 2015 Original S&O Agreement January 15as well as those which are reserved to FHWA. Projects classified as PoDI projects are not covered by the matrix, 2016 S&O Agreement re-signed as those projects will be governed by a separate PoDI plan that specifies FHWA and State responsibilities for the project (see Attachment C). In the matrix, actions marked with signature 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 new NCDOT SecretaryFHWA’s retained authority. May 12, 2017 S&O Agreement re-signed with signature of new NCDOT SecretaryThose projects will be governed by a separate PoDI Plan. NCDOT 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 xxxx bill (Note: this action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA 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 State) Develop Financial Plan for Federal Projects between $100 million and $500 million. [23 U.S.C. 106(i)] STATE STATE All EA/FONSI, EISXXX/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 (2FHWA(2) FHWA (2FHWA(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 (2FHWA(2) FHWA (2FHWA(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 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 and grant Design Xxxxxxxx [23 CFR 00 XXX 625.3(f)] STATE STATE (5) 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 USC 109(a) and FHWA Policy] FHWA (4) N/A Provide approval of preliminary plans for unusual/complex bridges or structures (non-Interstate). [23 USC 109(a) and FHWA Policy] FHWA STATE Approve retaining right-of-way encroachments [23 CFR 1.23 (4b) & (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 Right-of-Way ROW clearance, utility and railroad STATE STATE work. work [23 CFR 635.309(b)] STATE (6) STATE (6) Make public interest finding on whether State may proceed with bid advertisement even though Right-of-Way ROW acquisition/relocation activities are not complete for some parcels [23 CFR 635.309(c)(3)] FHWA for Interstate STATE for Non-Interstate (6) STATE (6) Ensure compliant Right-of-Way ROW certificate is in xxxxx place [00 XXX 23 CFR 635.309(c)] STATE (6) STATE (6) Approve Hardship and Protective Xxxxxx [00 XXX 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 xxxxxxxxx [00 XXX 1.23(c)] FHWA for Interstate STATE for Non-Interstate (3) STATE (3) Approve disposal at less than fair market value of federally funded real propertyright-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 real propertyright-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-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 assumed by State) FHWA FHWA Accept Transportation Management Plans (23 CFR 630.1012(b)) STATE STATE Approval of System Engineering Analysis (for ITS) [23 CFR 940.11] XXXXX XXXXX FHWA STATE Xxxxxxx XX&X [00 XXX 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 and railroad companies [23 CFR 645.109(b) & 646.216(b)] STATE STATE Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111] STATE STATE Authorize (approve) advertising for bids. xxxx [23 CFR 00 XXX 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 use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.411] 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 FHWA(5) STATE Approve emergency determinations for contracts awarded by other than competitive bidding [23 CFR 635.104 &.204] STATE FHWA STATE Approve construction engineering by local agency [23 CFR 635.105] STATE STATE Approve advertising period less than 3 weeks [23 CFR 635.112] FHWA FHWA STATE STATE Approve addenda during advertising period [23 CFR 635.112] FHWA or STATE, whichever approved PS&E (5) STATE STATE (5) Concur in award of xxxxxxxx [00 XXX 635.114] STATE STATE Concur in rejection of all xxxx [00 XXX 635.114] STATE FHWA STATE Approval of Design-Build Requests-for-Proposals and Xxxxxxx [00 XXX 635.112] STATE STATE Approve changes and extra work [23 CFR 635.120] STATE STATE Approve contract time extensions [23 CFR 635.120] extensions STATE STATE Concur in use of mandatory borrow/disposal sites [23 CFR 635.407] STATE FHWA STATE Accept materials certification [23 CFR 637.207] STATE N/A STATE Concur in settlement of xxxxxxxx xxxxxx contract claims [00 XXX 23 CFR 635.124] STATE STATE Concur in termination of construction contracts [23 CFR 635.125] STATE FHWA 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 the State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] STATE STATE Acceptance of BidderXxxxxx’s Good Faith Efforts to Meet Contract Xxxx [00 XXX 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor 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) STATE STATE Equal Employment Opportunity (EOEEO) Contract Compliance Review [23 XXX Xxxx 000, Xxxxxxx X]). XXXXX XXXXX Training Special Provision – STATE STATE Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A] STATE STATE Training Special Provision – FHWA FHWA Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)] FOOTNOTES:FHWA FHWA (1) State is responsible for ensuring that all individual elements of the project are eligible. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA. (. 2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance with those assignments or agreements. (3) State’s process and modifications to, or variation in process, require FHWA approval. (4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems) (5) The State will justify and document exceptions to its design standards according to its law, regulation, and directives. FHWA does not have oversight responsibility for this activity because there is no Federal requirement for design exceptions for Federal-aid projects off the NHS. This activity is not considered a Federal action; thus, does not by itself trigger a FHWA environmental analysis under NEPA.

AND AMENDMENTS. A. This S&O Agreement will take effect as of the effective date of the signature of the FHWA North Carolina South Dakota Division Administrator, who shall sign this S&O Agreement last. B. The Division and NCDOT SDDOT agree that updates to this Agreement will be considered periodically on a case-by-case basis or when:  • Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;  • Leadership, or leadership direction, changes at NCDOT the SDDOT or FHWA; or  • Priorities change shift as a result of audits, public perception, or changes in staffing at either NCDOT the SDDOT or Division Office. C. The Division and NCDOT SDDOT agree that changes may occur to the contents of the Attachments Appendices to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except , except as provided in paragraph Section XII.D and EE below, changes to the attachments and documents incorporated by reference will not require the Division and NCDOT SDDOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This Agreement and any changes to Attachment A revised document shall be posted on the Division’s S&O Agreement internet site within five (5) business days of the effective date. D. Any changes to the high risk categories categories, Section IX.B, must be documented by an amendment to this S&O Agreement. E. Any changes to the Project Action Responsibility Matrix (Appendix B) must be approved by the FHWA Office of Infrastructure in writing and documented by an amendment to this S&O Agreement. REMAINDER OF PAGE LEFT BLANK INTENTIONALLY Executed this 12 day of May_ , 2017. Xxxx X. Xxxxxxxx, III Division Administrator Executed this 12th day of May , 2017. Secretary Xxxxx X. Xxxxxxx North Carolina Appendix A – FHWA/SDDOT Communication Plan and Conflict Resolution Appendix B – Project Action Responsibilities Matrix Appendix C – Program Action Responsibilities Matrix Appendix D – Stewardship and Oversight Indicators Appendix E – PoDI/PoCI SD Program Appendix F – Control Documents Appendix G – Glossary Appendix H – Project Oversight Designation in the Fiscal Management Information System (FMIS) South Dakota Department of Transportation June 2(SDDOT) & the South Dakota Division of Federal Highway Administration (FHWA) share a common fundamental goal, 2015 Original S&O Agreement January 15which is to provide a safe and efficient transportation system. Both entities have different roles in delivering the transportation system to our customers. The purpose of this document is to improve relationships, 2016 S&O Agreement re-signed with signature of new NCDOT Secretary. May 12, 2017 S&O Agreement re-signed with signature of new NCDOT Secretary. NCDOT 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, modificationsproduct quality, and timeliness of transportation projects by strengthening the communication process. SDDOT & FHWA jointly agree that in order to continue to provide a quality product, the relationship between both offices must continually improve. Proper and open communication between offices is fundamental to the relationship and trust between entities. Communication and project closures (project authorizations) (Note: decisions should be made at the appropriate level. Figure 1 as noted on page 5 of this action cannot be assumed by State) FHWA FHWA Authorize current xxxx (Note: this action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by FHWA FHWA State) 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 document is intended 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 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 (5) 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 guide each office on the Interstatelines of proper communication when utilizing the conflict resolution process. [23 USC 109(a) and FHWA Policy] FHWA (4) N/A Provide approval Conflicting thoughts or ideas are inevitable in transportation delivery, which is why it’s critical that each organization adhere to the following rules of preliminary plans for unusual/complex bridges or structures (non-Interstate. [23 USC 109(a) and FHWA Policy] STATE (4) STATE Make feasibility/practicability determination for allowing authorization of construction prior to completion of Right-of-Way clearance, utility and railroad STATE STATE work. [23 CFR 635.309(b)] Make public interest finding on whether State may proceed with bid advertisement even though Right-of-Way 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 Right-of-Way certificate is in xxxxx [00 XXX 635.309(c)] STATE STATE Approve Hardship and Protective Xxxxxx [00 XXX 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 xxxxxxxxx [00 XXX 1.23(c)] FHWA for Interstate STATE for Non-Interstate (3) STATE (3) Approve disposal at less than fair market value of federally funded real property, 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 real property, 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-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 assumed by State) FHWA FHWA Accept Transportation Management Plans (23 CFR 630.1012(b)) STATE STATE Approval of System Engineering Analysis (for ITS) [23 CFR 940.11] XXXXX XXXXX Xxxxxxx XX&X [00 XXX 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 and railroad companies [23 CFR 645.109(b) & 646.216(b)] STATE STATE Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111] STATE STATE Authorize (approve) advertising for bids. [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 use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.411] 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 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] FHWA FHWA Approve addenda during advertising period [23 CFR 635.112] STATE STATE Concur in award of xxxxxxxx [00 XXX 635.114] STATE STATE Concur in rejection of all xxxx [00 XXX 635.114] STATE STATE Approval of Design-Build Requests-for-Proposals and Xxxxxxx [00 XXX 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 N/A Concur in settlement of xxxxxxxx xxxxxx [00 XXX 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 the State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] STATE STATE Acceptance of Bidder’s Good Faith Efforts to Meet Contract Xxxx [00 XXX 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor 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) STATE STATE Equal Opportunity (EO) Contract Compliance Review [23 XXX Xxxx 000, Xxxxxxx X]). XXXXX XXXXX Training Special Provision – STATE STATE Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A] Training Special Provision – FHWA FHWA Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)] FOOTNOTEScommunication: (1) State is responsible . Early identification and discussion of concerns 2. Decisions should be made at the appropriate level 3. Document decisions and provide an opportunity for ensuring that all individual elements of the project are eligibleeach organization to review 4. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA. (2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance Be timely with those assignments or agreements. (3) State’s process and modifications to, or variation in process, require FHWA approval. (4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems) (5) The State will justify and document exceptions to its design standards according to its law, regulation, and directives. FHWA does not have oversight responsibility for this activity because there is no Federal requirement for design exceptions for Federal-aid projects off the NHS. This activity is not considered a Federal action; thus, does not by itself trigger a FHWA environmental analysis under NEPA.responses

AND AMENDMENTS. A. This S&O Agreement will take effect as of the effective date of the signature of the FHWA North Carolina Division Administrator, who shall sign this S&O Agreement last. B. The Division and NCDOT agree that updates to this Agreement will be considered periodically on a case-by-case basis when:  • Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;  • Leadership, or leadership direction, changes at NCDOT or FHWA; or  • Priorities change at either NCDOT or Division Office. C. The Division and NCDOT agree that changes may occur to the contents of the Attachments to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except as provided in paragraph XII.D and E, changes to the attachments and documents incorporated by reference will not require the Division and NCDOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This Agreement and any changes to Attachment A shall be posted on the Division’s S&O Agreement internet site within five (5) business days of the effective date. D. Any changes to the high risk categories must be documented by an amendment to this S&O Agreement. E. Any changes to the Project Action Responsibility Matrix must be approved by the FHWA in writing and documented by an amendment to this S&O Agreement. REMAINDER OF PAGE LEFT BLANK INTENTIONALLY Executed this 12 2nd day of May_June , 2015. _/s/ Xxxx X. Xxxxxxxx, III_ , 2017. Signature Xxxx X. Xxxxxxxx, III Division Administrator Executed this 12th 1st day of May June , 20172015. Secretary Xxxxx Xxxxxxx X. Xxxxxxx Tata North Carolina Department of Transportation June 2, 2015 Original S&O Agreement January 15, 2016 S&O Agreement re-signed with signature of new NCDOT Secretary. May 12, 2017 S&O Agreement re-signed with signature of new NCDOT Secretary. NCDOT 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 xxxx (Note: this action cannot be assumed by State) FHWA FHWA Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State) FHWA FHWA Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by FHWA FHWA State) 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 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 (5) 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 USC 109(a) and FHWA Policy] FHWA (4) N/A Provide approval of preliminary plans for unusual/complex bridges or structures (non-Interstate. [23 USC 109(a) and FHWA Policy] STATE (4) STATE Make feasibility/practicability determination for allowing authorization of construction prior to completion of Right-of-Way clearance, utility and railroad STATE STATE work. [23 CFR 635.309(b)] Make public interest finding on FHWA for Interstate STATE for Non-Interstate STATE whether State may proceed with bid advertisement even though Right-of-Way 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 Right-of-Way certificate is in xxxxx [00 XXX 635.309(c)] STATE STATE Approve Hardship and Protective FHWA FHWA Xxxxxx [00 XXX 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 xxxxxxxxx [00 XXX 1.23(c)] FHWA for Interstate STATE for Non-Interstate (3) STATE (3) Approve disposal at less than fair FHWA FHWA market value of federally funded real property, 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 real property, 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-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 assumed by State) FHWA FHWA Accept Transportation Management Plans (23 CFR 630.1012(b)) STATE STATE Approval of System Engineering Analysis (for ITS) [23 CFR 940.11] XXXXX XXXXX Xxxxxxx XX&X [00 XXX 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 and railroad companies [23 CFR 645.109(b) & 646.216(b)] STATE STATE Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111] STATE STATE Authorize (approve) advertising for bids. [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 use of local force account agreements [23 CFR 635.104 & 204] STATE STATE Approve use of publicly owned equipment [23 CFR 635.411] 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 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] FHWA FHWA Approve addenda during advertising period [23 CFR 635.112] STATE STATE Concur in award of xxxxxxxx [00 XXX 635.114] STATE STATE Concur in rejection of all xxxx XXXXX XXXXX Xxxxxx xx xxxxxxxxx xx [00 XXX 635.114] all bids STATE STATE Approval of Design-Build Requests-for-Proposals and Xxxxxxx [00 XXX 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 N/A Concur in settlement of xxxxxxxx xxxxxx [00 XXX 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 STATE STATE Business Enterprise (DBE) Project Contract Goal set by the State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] STATE STATE Acceptance of Bidder’s Good Faith Efforts to Meet Contract Xxxx [00 XXX 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor 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) STATE STATE Equal Opportunity (EO) Contract Compliance Review [23 XXX Xxxx 000, Xxxxxxx X]). XXXXX XXXXX Training Special Provision – STATE STATE Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A] Training Special Provision – FHWA FHWA Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)] FOOTNOTES: (1) State is responsible for ensuring that all individual elements of the project are eligible. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA. (2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance with those assignments or agreements. (3) State’s process and modifications to, or variation in process, require FHWA approval. (4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems) (5) The State will justify and document exceptions to its design standards according to its law, regulation, and directives. FHWA does not have oversight responsibility for this activity because there is no Federal requirement for design exceptions for Federal-aid projects off the NHS. This activity is not considered a Federal action; thus, does not by itself trigger a FHWA environmental analysis under NEPA.