DOT 23 CFR PART 1-2011 GENERAL.pdf

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1、7 SUBCHAPTER AGENERAL MANAGEMENT AND ADMINISTRATION PART 1GENERAL Sec. 1.1 Purpose. 1.2 Definitions. 1.3 Federal-State cooperation; authority of State highway departments. 1.5 Information furnished by State highway departments. 1.7 Urban area boundaries. 1.8 Reserved 1.9 Limitation on Federal partic

2、ipation. 1.11 Engineering services. 1.23 Rights-of-way. 1.27 Maintenance. 1.28 Diversion of highway revenues. 1.32 Issuance of directives. 1.33 Conflicts of interest. 1.35 Bonus program. 1.36 Compliance with Federal laws and reg-ulations. AUTHORITY: 23 U.S.C. 315; 49 CFR 1.48(b). SOURCE: 25 FR 4162,

3、 May 11, 1960, unless otherwise noted. 1.1 Purpose. The purpose of the regulations in this part is to implement and carry out the provisions of Federal law relating to the administration of Federal aid for highways. 1.2 Definitions. (a) Terms defined in 23 U.S.C. 101(a), shall have the same meaning

4、where used in the regulations in this part, ex-cept as modified herein. (b) The following terms where used in the regulations in this part shall have the following meaning: Administrator. The Federal Highway Administrator. Advertising policy. The national policy relating to the regulation of outdoor

5、 advertising declared in title 23 U.S.C. 131. Advertising standards. The National Standards for Regulation by States of Outdoor Advertising Signs, Displays and Devices Adjacent to the National System of Interstate and Defense High-ways promulgated by the Secretary (part 20 of this chapter). Federal

6、laws. The provisions of title 23 U.S.C., and all other Federal laws, heretofore or hereafter enacted, relat-ing to Federal aid for highways. Latest available Federal census. The latest available Federal decennial cen-sus, except for the establishment of urban area. Project. An undertaking by a State

7、 highway department for highway con-struction, including preliminary engi-neering, acquisition of rights-of-way and actual construction, or for high-way planning and research, or for any other work or activity to carry out the provisions of the Federal laws for the administration of Federal aid for

8、high-ways. Secondary road plan. A plan for ad-ministration of Federal aid for high-ways on the Federal-aid secondary highway system pursuant to 23 U.S.C. 117. Secretary. The Secretary of Transpor-tation. State. Any State of the United States, the District of Columbia and Puerto Rico. Urban area. An

9、area including and ad-jacent to a municipality or other urban place having a population of five thou-sand or more, as determined by the lat-est available published official Federal census, decennial or special, within boundaries to be fixed by a State high-way department, subject to the ap-proval of

10、 the Administrator. 25 FR 4162, May 11, 1960, as amended at 35 FR 18719, Dec. 10, 1970 1.3 Federal-State cooperation; au-thority of State highway depart-ments. The Administrator shall cooperate with the States, through their respec-tive State highway departments, in the construction of Federal-aid h

11、ighways. Each State highway department, main-tained in conformity with 23 U.S.C. 302, shall be authorized, by the laws of the State, to make final decisions for the State in all matters relating to, and to enter into, on behalf of the State, all contracts and agreements for projects and to take such

12、 other actions on be-half of the State as may be necessary VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00017 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-8

13、23 CFR Ch. I (4111 Edition) 1.5 to comply with the Federal laws and the regulations in this part. 1.5 Information furnished by State highway departments. At the request of the Administrator the State highway department shall furnish to him such information as the Administrator shall deem desirable i

14、n administering the Federal-aid highway program. 1.7 Urban area boundaries. Boundaries of an urban area shall be submitted by the State highway de-partment and be approved by the Ad-ministrator prior to the inclusion in a program of any project wholly or part-ly in such area involving funds author-i

15、zed for and limited to urban areas. 1.8 Reserved 1.9 Limitation on Federal participa-tion. (a) Federal-aid funds shall not par-ticipate in any cost which is not in-curred in conformity with applicable Federal and State law, the regulations in this title, and policies and proce-dures prescribed by th

16、e Administrator. Federal funds shall not be paid on ac-count of any cost incurred prior to au-thorization by the Administrator to the State highway department to pro-ceed with the project or part thereof involving such cost. (b) Notwithstanding the provisions of paragraph (a) of this section the Ad-

17、ministrator may, upon the request of a State highway department, approve the participation of Federal-aid funds in a previously incurred cost if he finds: (1) That his approval will not ad-versely affect the public, (2) That the State highway depart-ment has acted in good faith, and that there has b

18、een no willful violation of Federal requirements, (3) That there has been substantial compliance with all other require-ments prescribed by the Administrator, and full compliance with requirements mandated by Federal statute, (4) That the cost to the United States will not be in excess of the cost w

19、hich it would have incurred had there been full compliance, and (5) That the quality of work under-taken has not been impaired. (c) Any request submitted under paragraph (b) of this section shall be accompanied by a detailed description of the relevant circumstances and facts, and shall explain the

20、necessity for incurring the costs in question. 38 FR 18368, July 10, 1973 1.11 Engineering services. (a) Federal participation. Costs of en-gineering services performed by the State highway department or any in-strumentality or entity referred to in paragraph (b) of this section may be el-igible for

21、 Federal participation only to the extent that such costs are directly attributable and properly allocable to specific projects. (b) Governmental engineering organiza-tions. The State highway department may utilize, under its supervision, the services of well-qualified and suitably equipped engineer

22、ing organizations of other governmental instrumentalities for making surveys, preparing plans, specifications and estimates, and for supervising the construction of any project. (c) Railroad and utility engineering or-ganizations. The State highway depart-ment may utilize, under its super-vision, th

23、e services of well-qualified and suitably equipped engineering or-ganizations of the affected railroad companies for railway-highway cross-ing projects and of the affected utility companies for projects involving util-ity installations. (d) Reserved (e) Responsibility of the State highway department

24、. The State highway depart-ment is not relieved of its responsibil-ities under Federal law and the regula-tions in this part in the event it uti-lizes the services of any engineering or-ganization under paragraphs (b), (c) or (d) of this section. 25 FR 4162, May 11, 1960, as amended at 53 FR 18276,

25、May 23, 1988; 57 FR 60728, Dec. 22, 1992; 66 FR 58666, Nov. 23, 2001 1.23 Rights-of-way. (a) Interest to be acquired. The State shall acquire rights-of-way of such na-ture and extent as are adequate for the VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00018 Fmt 8010 Sfmt 8010 Y:SGML223

26、076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-9 Federal Highway Administration, DOT 1.32 construction, operation and mainte-nance of a project. (b) Use for highway purposes. Except as provided under p

27、aragraph (c) of this section, all real property, including air space, within the right-of-way bound-aries of a project shall be devoted ex-clusively to public highway purposes. No project shall be accepted as com-plete until this requirement has been satisfied. The State highway depart-ment shall be

28、 responsible for pre-serving such right-of-way free of all public and private installations, facili-ties or encroachments, except (1) those approved under paragraph (c) of this section; (2) those which the Adminis-trator approves as constituting a part of a highway or as necessary for its op-eration

29、, use or maintenance for public highway purposes and (3) informational sites established and maintained in ac-cordance with 1.35 of the regulations in this part. (c) Other use or occupancy. Subject to 23 U.S.C. 111, the temporary or perma-nent occupancy or use of right-of-way, including air space, f

30、or nonhighway purposes and the reservation of sub-surface mineral rights within the boundaries of the rights-of-way of Fed-eral-aid highways, may be approved by the Administrator, if he determines that such occupancy, use or reserva-tion is in the public interest and will not impair the highway or i

31、nterfere with the free and safe flow of traffic thereon. 1.27 Maintenance. The responsibility imposed upon the State highway department, pursuant to 23 U.S.C. 116, for the maintenance of projects shall be carried out in accord-ance with policies and procedures issued by the Administrator. The State

32、highway department may provide for such maintenance by formal agreement with any adequately equipped county, municipality or other governmental in-strumentality, but such an agreement shall not relieve the State highway de-partment of its responsibility for such maintenance. 1.28 Diversion of highwa

33、y revenues. (a) Reduction in apportionment. If the Secretary shall find that any State has diverted funds contrary to 23 U.S.C. 126, he shall take such action as he may deem necessary to comply with said provision of law by reducing the first Federal-aid apportionment of pri-mary, secondary and urba

34、n funds made to the State after the date of such find-ing. In any such reduction, each of these funds shall be reduced in the same proportion. (b) Furnishing of information. The Ad-ministrator may require any State to submit to him such information as he may deem necessary to assist the Sec-retary i

35、n carrying out the provisions of 23 U.S.C. 126 and paragraph (a) of this section. 1.32 Issuance of directives. (a) The Administrator shall promul-gate and require the observance of poli-cies and procedures, and may take other action as he deems appropriate or necessary for carrying out the provi-sio

36、ns and purposes of Federal laws, the policies of the Federal Highway Ad-ministration, and the regulations of this part. (b) The Administrator or his dele-gated representative, as appropriate, is authorized to issue the following type of directives: (1) Federal Highway Administration Regulations are

37、issued by the Adminis-trator or his delegate, as necessary, to implement and carry out the provi-sions of title 23 U.S.C., relating to the administration of Federal aid for high-ways, direct Federal programs and State and community safety programs; and title 49 U.S.C., relating to motor carrier safe

38、ty; and other applicable laws and programs under his jurisdic-tion. (2) Notices are temporary issuances transmitting one-time or short-term instructions or information which is expected to remain in effect for less than 90 days or for a predetermined pe-riod of time normally not to exceed one year.

39、(3) Orders are directives limited in volume and contain permanent or longlasting policy, instructions, and procedures. FHWA Orders are to be used primarily as internal FHWA direc-tives. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00019 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2

40、 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-10 23 CFR Ch. I (4111 Edition) 1.33 (4) Joint Interagency Orders and No-tices are used by FHWA and the Na-tional Highway Traffic Safety Admin-istration (NHTSA) to issue joint

41、poli-cies, procedures, and information per-taining to the joint administration of the State and Community Highway Safety Program. Where necessary, other joint directives may be issued with other modal administrations within the Department of Transpor-tation. (5) Manuals are generally designed for us

42、e in issuing permanent or long- lasting detailed policy and procedure. Some of the major manuals recognized by the FHWA Directives System fol-low: (i) The Federal-Aid Highway Pro-gram Manual has been established to assemble and organize program mate-rial of the type previously contained in the Polic

43、y and Procedure and Instruc-tional Memoranda which will continue in effect until specifically revoked or published in the new manual. Regu-latory material is printed in italics in the manual and also appears in this code. Nonregulatory material is print-ed in delegate type. (ii) The Administrative M

44、anual cov-ers all internal FHWA administrative support functions. (iii) The Highway Planning Program Manual covers the methods and proce-dures necessary to conduct the high-way planning functions. (iv) The Research and Development Manual series entitled, The Federally Coordinated Program of Research

45、 and Development in Highway Transpor-tation describes the FHWA research and development program. (v) The External Audit Manual pro-vides guidance to FHWA auditors in their review of State programs and processes. (vi) The Civil Rights and Equal Op-portunity Manual provides guidance to FHWA and State

46、Civil Rights and Equal Employment Opportunity Offi-cers. (vii) The BMCS Operations Manual provides program guidance for all field employees assigned to the motor car-rier safety program. (viii) The Highway Safety Program Manual, issued jointly by FHWA and NHTSA, contains volumes relating to the join

47、t administration of the pro-gram. (6) Handbooks are internal operating instructions published in book form where, because of the program area covered, it is desirable to provide greater detail of administrative and technical instructions. (7) Transmittals identify and explain the original issuance o

48、r page change, provide background information, and provide filing instructions for insertion of new pages and removal of changed pages, or both. (49 U.S.C. 1655) 39 FR 1512, Jan. 10, 1974 1.33 Conflicts of interest. No official or employee of a State or any other governmental instrumen-tality who is

49、 authorized in his official capacity to negotiate, make, accept or approve, or to take part in negotiating, making, accepting or approving any contract or subcontract in connection with a project shall have, directly or indirectly, any financial or other per-sonal interest in any such contract or subcontract. No engineer, attorney, ap-praiser, inspector or other person per-forming services for a State or a gov-ernmental instrumentality in con