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Stewardship and Oversight Agreement

Table of Contents

Stewardship and Oversight Agreement

Federal Highway Administration and Utah Department of Transportation

Purpose

The purpose of this Stewardship and Oversight Agreement is to formalize the roles and responsibilities of the Federal Highway Administration (FHWA), Utah Division and the Utah Department of Transportation (UDOT) in administering the Federal-Aid Highway Program (FAHP). This Stewardship and Oversight Agreement outlines a consistent risk-based approach for the FHWA, Utah Division and the UDOT to effectively and efficiently manage the public funds and to ensure the FAHP is delivered in accordance with laws, regulations, policies, and good business practices. The FHWA and the UDOT administer the FAHP through program and project management, and utilize a number of management tools to monitor the health of the FAHP including performance indicators/measures, program assessments such as the Risk Management Framework and the Program Delivery Improvement Tool (PDIT), program reviews including the Financial Integrity Review and Evaluation (FIRE) Program, and other tools. The UDOT accepts responsibility as the project approval authority for delegated activities in accordance with Section 106 of Title 23, United States Code (USC). The FHWA retains overall responsibility for the FAHP and this Agreement does not preclude the FHWA from accessing or reviewing any Federal-aid program and/or project.

Background and Introduction

Section 106 of Title 23, United States Code, requires the FHWA and the UDOT to enter into an agreement that documents the delegation of responsibilities. The FHWA Stewardship/Oversight Agreement Guidance issued May 8, 2006, encouraged all division offices to implement a comprehensive approach in developing their Stewardship and Oversight Agreement. The Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005 further defined the requirements of stewardship and oversight responsibilities including increased efforts pertaining to major projects. SAFETEA-LU builds on the foundation of two laws that brought surface transportation into the 21st century – the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) and the Transportation Equity Act for the 21st Century (TEA-21) of 1998. SAFETEA-LU promotes more efficient and effective federal surface transportation programs by focusing on transportation issues of national significance while giving state and local transportation decision makers the ability to enhance transportation systems and implement innovative solutions to transportation challenges. The FHWA is charged with administering the FAHP under Title 23 of the Code of Federal Regulations (CFR) and associated laws. SAFETEA-LU and the two preceding transportation laws allow the UDOT to accept certain delegated responsibilities for the FHWA including approvals related to the National Environmental Policy Act (NEPA), design, award, and construction of Federal-aid projects. This Agreement outlines the framework by which the FHWA and the UDOT will administer the FAHP efficiently and effectively to maintain a national highway network, improve operation, improve safety, and provide for national security while protecting and improving the environment. This Agreement addresses the comprehensive approach in administering the FAHP through stewardship and delegated roles and responsibilities to the UDOT.

Division and State Roles and Responsibilities

The FAHP roles and responsibilities are jointly administered by both agencies. This Agreement describes State versus Federal roles and responsibilities for each of the following program areas:

  1. Civil Rights
  2. Construction
  3. Design
  4. Environment
  5. Finance
  6. Operations
  7. Planning
  8. Research
  9. Right-of-Way
  10. Safety
  11. Transportation Systems Preservation

Roles and responsibilities are discussed further in this Agreement under Program and Project Responsibilities.

Federal Highway Administration, Utah Division

The FHWA will monitor the FAHP and maintains review and/or approval authority (as defined in Appendix B and C) of non-delegated activities. In addition, the FHWA and the UDOT are responsible for ensuring financial integrity and compliance with applicable laws and regulations. The FHWA is accountable for the FAHP and ensuring that it is delivered in an efficient and effective manner. The FHWA can review any program or project including those that have unique features, high-risk elements, unusual circumstances, or projects included in program and/or process reviews.

Utah Department of Transportation

The UDOT is empowered through delegation as provided under Federal law to monitor, review and/or approve activitiesrelated to the use of Federal-aid funds. The UDOT, in conformance with Title 23, USC accepts responsibilities for delegated duties in this Agreement. The UDOT is responsible for administering the FAHP in a manner which ensures efficient and effective use of the Federal-aid funds and compliance with federal laws and regulations.

Methods of Stewardship and Oversight

The FHWA and the UDOT will jointly administer the FAHP through methods of oversight that include Performance Indicators/Measures, Program Assessments, Program Reviews, and Program Management and contribute to the development of a Risk-Based Action Plan. The following is a detailed description of each technique used in providing stewardship and oversight of the FAHP:

Performance Indicators/Measures – Performance indicators/measures will be used to help assess the health of the FAHP on an ongoing basis enabling the FHWA and the UDOT to monitor program performance and proactively implement corrective actions when needed. The indicators/measures will also serve as a tool in conducting annual risk assessments and may trigger program reviews or program management techniques such as project inspections and/or project document reviews. At a minimum, the indicators/measures will be used to cover the eleven core program areas and will be arranged in a dashboard format that will be updated monthly, quarterly, or annually depending on the indicator/measure. A more detailed description of the performance indicators/measures is discussed later in this document. The performance indicators/measures may change as they are developed and used. Changes will be incorporated as needed.

Program Assessments – Program assessments provide another avenue to determine the performance of the FAHP. Assessments include joint risk assessments (Risk Management Framework), self-assessments, the PDIT, and others. These tools are based on the common concepts of identifying strengths, areas of concern, opportunities, and sharing "best" practices to continually improve the programs. Program assessments may be triggered by national requirements/initiatives or the desire to strive for continual improvement.

Program Reviews – The FHWA and the UDOT will manage the program through analysis of program components and processes. Reviews can be conducted by individuals or teams from the FHWA and/or the UDOT and/or other stakeholder groups or organizations. The reviews will:

  1. Ensure compliance with Federal requirements
  2. Identify opportunities for greater efficiencies and improvements to the program
  3. Identify exemplary practices
  4. Identify areas that need attention and make recommendations for improvement

These reviews may be referred to as program improvement reviews, process reviews, program/product evaluations, or continuous process improvement initiatives. Program reviews are often triggered by risk assessments or performance indicators/measures that suggest a need for improvement. Performance indicators/measures may also be developed as a part of program reviews to help highlight and quantify successes and problem areas.

Examples of program reviews are those conducted through the FIRE program, which is a review and oversight program in support of the FHWA's annual certification of internal and financial controls. The annual certification satisfies the financial, accounting and reporting requirements of the Federal Managers' Financial Integrity Act (FMFIA) of 1982. Required reviews include a Financial Management Review (selected from the risk assessment), Improper Payments Review, Inactive Federal-aid Project Review, Administrative Reviews, a review of the UDOT's Single Audit Review, and a Federal Audit Findings Review. Reviews are conducted to ensure financial integrity.

Program Management – Program management refers to the FHWA's daily stewardship of the FAHP including project and program oversight, and program assistance. Program management ensures Federal program requirements are met while proactively seeking opportunities to add value by:

  1. Promoting new initiatives and concepts
  2. Continually assessing the program through routine involvement in program and project level activities including inspections
  3. Conducting routine program and project approval actions
  4. Participating on joint task forces, joint committees, and joint quality improvement teams
  5. Assisting transportation stakeholders by answering questions related to program and project issues

Risk-Based Action Plan

The Risk-Based Action Plan delineates the focus of limited resources and time. Each spring the FHWA and the UDOT will jointly and collaboratively evaluate the performance indicators/measures and assess the current health of the FAHP using the PDIT. The findings will be incorporated into the formalized Risk Management Framework (risk assessment) to establish focus areas and implement methods of action to be taken.

The FHWA and the UDOT will schedule formal meetings to conduct the risk assessment in March/April. The final plan will include a list of action items, responsible parties, and due dates. It will be drafted by June 30, and finalized by September 30. Coordination will continuously occur between these dates. This will allow the FHWA and the UDOT to balance risk, efficiently allocate staffing resources, provide for adequate funding, and effectively and efficiently deliver the FAHP. The plan can be adjusted from time to time to accommodate changing conditions.

Control Documents

Control documents include standards, policies, and specifications that are acceptable to the FHWA and the UDOT for application in Federal-aid projects. The control documents in the appendix explain the FHWA and the UDOT agreements that comply with specific control standards. In assuming program/project-level responsibilities under Title 23, USC and SAFETEA-LU, the UDOT agrees to comply with the FHWA approved standards in accordance with 23 CFR and related Federal regulations and policies. The FHWA and the UDOT agree on the responsibilities and delegated authority of the control documents in the appendices. Changes will require the agreement of both parties including those amended by addendum.

Performance Indicators/Measures

Performance indicators/measures are incorporated and used in this agreement to help assess performance in administering the FAHP requirements and to help determine whether funds are being effectively utilized to improve the transportation system. Performance indicators/measures will be posted on the UDOT innerweb and updated monthly, quarterly, or annually depending on the measure.

The performance indicators/measures consist of three tiers and are based on information continuously updated through the UDOT data management systems. The indicators will change as methods change.

Tier 1 – Tier 1 includes 1-3 key measures per program area that leaders will evaluate routinely to assess overall program performance. Target indicators are included on the first tier to track how well targets are being met on previously selected criteria. Tier 1 is a two-page executive summary of Tier 2 measures.

Tier 2 – Tier 2 may include the same measures as Tier 1, but are further refined by unit, location, or other criteria to help program managers more closely identify problem areas. Additionally, Tier 2 may include measures that address other aspects of the program important to program managers. Tier 2 may be reviewed by leaders as desired, but most often only when the corresponding Tier 1 measures indicate a need.

Tier 3 – Tier 3 measures may include any additional measures or performance reports developed by the UDOT independently or in coordination with the FHWA to help program managers monitor program progress.

The performance indicators/measures of this Stewardship and Oversight Agreement are developed as a joint effort between the FHWA and the UDOT and involve program managers in all eleven of the previously identified program areas. Maintaining, updating, and improving the performance indicators/measures are the continuous responsibility of the FHWA and the UDOT. These performance indicators/measures are subject to modification or change as business measures change. Measures in all tiers can be evaluated at any time by the FHWA and the UDOT.

Appendix A is a working draft of the Utah Stewardship Dashboard and contains an example of the Tier 1 measures for ten of the eleven program areas and Tier 2 measures for the Safety Program. The target date for completing the development and implementation of performance indicators/measures is September 1, 2006.

Program and Project Responsibilities

The FHWA and the UDOT will review, monitor, and approve activities as necessary in the designated areas of responsibility to comply with applicable laws, regulations, directives, and standards as defined in detail in the Utah Program Responsibility matrix (Appendix B) and the Utah Project Responsibility matrix (Appendix C). The FHWA maintains authority for the actions and approvals in, but not limited to, the following categories:

  1. Planning and programming oversight specified in Title 23, USC
  2. Federal air quality conformity determinations required by the Clean Air Act
  3. Obligation of funds
  4. Waivers to Buy America requirements (FHWA approval required as noted in Mr. Horne's July 3, 2003 memorandum)
  5. SEP-14/SEP-15 methods (FHWA approval required for experimental contracting/project delivery methods)
  6. Civil Rights program approvals
  7. Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEALU
  8. Addition of access points on the Interstate System
  9. Use of Interstate airspace for non-highway-related purposes
  10. Hardship acquisition and protective buying
  11. Modifications to project agreements
  12. Final vouchers

Program Responsibility

The Utah Program Responsibility matrix defines the program level activities, roles, responsibilities, and the approval authorities where applicable. The Utah Program Responsibility matrix is broken down by program area and outlines the frequency of approvals and actions, identifies regulatory references, and provides the FHWA and the UDOT contact information.

Project Responsibility

The Utah Project Responsibility matrix identifies the responsible agency for project level actions. It is broken down by High Profile Projects, National Highway System (NHS) Projects, and non-NHS Projects. High Profile Projects will be identified and agreed to by the FHWA and the UDOT. The FHWA will have increased oversight and approval authority on projects where issues/controversy warrant. These projects are anticipated to be few and should be justified as to why they are considered high profile. All other Federal-aid projects including Interstate, NHS (non-Interstate), and non-NHS categories will be delegated, as outlined in the matrix, to the UDOT and monitored via Performance Indicators/Measures, Program Assessments, and Program Reviews. The delegation of projects to the UDOT does not preclude the FHWA from conducting project level activities as identified through the PDIT, Risk Management Framework and/or performance indicators/measures. These activities include project inspections, document reviews, and other day-to-day program management activities.

Projects identified as major projects (greater than $500 million) will be administered in accordance with SAFETEA-LU requirements including an approved Project Management Plan. The Project Management Plan will be project specific and documents the roles and responsibilities of both agencies. This includes procedures and processes to effectively manage the scope, costs, schedule, quality, and other stewardship and oversight activities necessary to meet Federal requirements.

Projects with approval authority delegated to the UDOT are not subject to further approvals by the FHWA unless both agencies agree. This agreement allows the FHWA to review any programs and/or projects that have unique features, high-risk elements, unusual circumstances, or if the project is included in a program or process review.

Title 23, USC and 23 CFR requirements apply to all Federal-aid projects. The UDOT minimal approval and oversight responsibilities, on all delegated elements of the program, include the following:

  1. The UDOT complies with Title 23, USC and certain non-Title 23, USC Federal-aid program requirements, such as metropolitan and statewide planning, environment, procurement of engineering and design related service contracts, Title VI of the Civil Rights Act, participation by disadvantaged business enterprises (DBE), prevailing wage rates, and acquisition of right-of-way.
  2. The UDOT assures that approval for right-of-way; utility; environmental; railroad; design; Plans, Specifications, and Estimates (PS&E); related activities; design exceptions; concurrence in award; and construction-related activities are performed in accordance with State policies, practices, and standards and in accordance with all requirements of Title 23, USC.
  3. The UDOT provides the necessary review and approval to assure compliance with Federal requirements for delegated projects or programs that are developed and administered by local agencies. The UDOT is responsible for determining that sub-recipients of Federal funds have adequate staffing, project delivery systems, and sufficient accounting control. The UDOT is ultimately accountable to the FHWA for ensuring compliance with the FAHP requirements on such projects.

This Stewardship and Oversight Agreement between the FHWA, Utah Division and the UDOT lists responsibilities and procedures required to administer the FAHP. Techniques used to determine where Program Reviews and Program Management activities will be focused include Performance Indicators/Measures and Program Assessments. The UDOT agrees to comply with the responsibilities and requirements in Title 23, USC, SAFETEA-LU, 23 CFR, and related Federal laws, regulations, and policies for successful delegation of Stewardship and Oversight responsibilities.

The FHWA and the UDOT enter into this Stewardship and Oversight Agreement to carry out respective responsibilities with mutual cooperation and collaboration. This agreement does not relieve either party from accountability for compliance with Federal laws and regulations of the FAHP. Signatures on this Stewardship and Oversight Agreement by the FHWA and the UDOT acknowledge delegation of responsibilities for stewardship and oversight under the provisions of SAFETEA-LU.

 

Signed by: Walter C. Waidlech, Jr. the Division Administrator of FHWA on July 11 2006

Signed by: John R. Njord, Executive Director of UDOT on July 13 2006

 

APPENDIX A – TIER1

Utah Stewardship Dashboard - Top level: Finance, Second level: Planning, Construction and Safety. Bottom Level: ROW and Operations

Utah Stewardship Dashboard: Environment, System Preservation and Design

APPENDIX A – TIER2

Bar graph on statewide fatalities from June to May. Bar grapjs for Regions 1 through 4 from June to May

Utah Stewardship Dashboard: Lane Departure Fatalities Bar Graphs

Utah Stewardship Dashboard: Interesection Fatalities Bar Graphs

Utah Stewardship Dashboard: Pedestrian Fatalities Bar Graphs

Utah Stewardship Dashboard: Percent of Fatalities Wearing Seatbelts

Proposed Stewardship Dashboard Measures – Status

Changes: Add Local Governments to Tier 2, possibly: Finance, Construction, Design, Environmental, and ROW. System Preservation-Roadway measures are agreed upon.

Program Measures

Green – complete
Blue – fairly firm but may change in creation process
Red – may require more development/ evaluation
Black – status uncertain

Finance Tier 1

* Dot Indicator based on % of Tier 1 targets met YTD

  1. Inactive Obligations $ Amount for Small, Med, Large projects (target=5% of apportionments)(quarterly)
  2. Obligation Rate for the entire program – current FFY only (target=curve to 90% by June)(monthly)

Finance Tier 2

  1. # of Projects with Inactive Obligations for Small, Med, Large projects (target=5%)(quarterly)(by Region)
  2. Obligation Rate for each Region - 4 charts (targets=same as above)(monthly)
  3. Obligation Rate for Local Governments by Region - 4 charts (targets=same as above)(monthly)

Planning Tier 1

* Dot Indicator based on % of 1 stYear STIP Projects Authorized

1.% of 1 stYear STIP Projects Authorized by month (target=80% by year end – straight line over the course of the year.) (monthly)

Planning Tier 2

  1. Local Government Projects - # planned vs. # bid (monthly)
  2. Planning Estimates vs. Actual Costs (annual)
  3. CMAQ – kilograms of pollutant removed per dollar of CMAQ funding (need more info)

Right of Way Tier 1

* Dot Indicator based on % of monthly Tier 1 targets met YTD

  1. For projects with ROW relocations, average time from FONSI/ROD to ROW Certification completion.

Right of Way Tier 2

  1. For projects with ROW relocations, average time from FONSI/ROD to ROW Certification completion. (by region)
  2. # of qualified personnel per Local Public Agency (based on attendance in training within 3 years)
  3. Outdoor Advertising - # of violations issued for signs
  4. Outdoor Advertising - # of permits for billboards (monthly)
  5. $ Amounts for Access breaks & excess land disposal (annual)
  6. Federal Land transfers - # and turnaround time for the legal review (sent data vs. response received date)
  7. # of Hardship Acquisitions (annual)
  8. # of days gained per $1,000 in condemnation incentives
  9. # and $ Amounts for corridor preservation acquisitions including hardship and development
  10. # of condemnations per year (lower the better) (cumulative monthly)

Construction Tier 1

* Dot Indicator based on % of Tier 1 targets met YTD

  1. % of projects within x # of days of the original contract time (monthly) (Target: 90%) – stacked bar: red, yellow, green

Construction Tier 2

  1. % of projects where the engineers estimate is within 10% of final cost (target 70%) (monthly?)
  2. Outstanding project charges - break out contractor claims – (Quarterly - already exists)
  3. Average # of Contractors Bidding per Project by Region (Quarterly)
  4. Materials - # of projects above or below minimum sampling testing
  5. Change Orders by Region and type (quarterly - $ and #) & statewide
  6. Final project cost vs. bid cost – (by region, annual, all projects closed that year)

System Preservation Tier 1

* Dot Indicator based on % of Tier 1 targets met YTD

  1. IRI smoothness - % VMT on Pavement with IRI < 95/mi (target=58) (annual)
  2. % Bridge deck area deficient NHS (target=20%) (annual)
  3. % Bridge deck area deficient non-NHS (target=20%) (annual)

System Preservation Tier 2

  1. Faulting (annual)
  2. Rutting (annual)
  3. Skid (annual)
  4. FWD (annual)
  5. IRI by Region: % VMT on Pavement with IRI < 95/mi (target=58)(annual)
  6. IRI by Interstate, NHS, & Non-Interstate (targets=60,60,58)(annual)
  7. Bridge-Estimated # of Inspections vs. Actual Inspections
  8. Bridge-Inspection Overdue: 30, 60, & 90 days
  9. Average Sufficiency Rating at Obligation
  10. # of Bridges Posted / # of Bridges that should be Posted (by county?)

Operations Tier 1

* Dot Indicator based on Tier 1 targets met YTD

  1. Travel Time Index
    1. monthly
    2. vehicle-hours per year
    3. target=1.3

Operations Tier 2

  1. Predictable delay / Travel times in major corridors: Provo to SL, Toole to SL, Park City to SL, Ogden to SL (4 measures)
    1. monthly
    2. vehicle-hours per year
  2. Incident clear time
    1. quarterly
    2. minutes
  3. Work zone delay
    1. quarterly
    2. vehicle-hours per year
    3. (will not be available immediately)
  4. Intersection delay
    1. Semiannually
    2. seconds per intersection on average
    3. (sample of 200 intersections)

Civil Rights

*No Tier 1 Measures

Civil Rights

  1. # of EEO Contract Compliance Reviews – # completed & % with violations
  2. Total number of DBE firms (certified – ready, willing, & able)
  3. # of DBE applications, # accepted
  4. # of DBE firms graduated & # decertified.

Safety Tier 1

* Dot Indicator based on meeting the UDOT's goal of 2% reduction in Fatalities per year from the year 2000 baseline.

  1. Monthly Fatalities (Target = average of previous 4 years.)

Safety Tier 2

  1. Dot indicators used for all tier 2 measures (same criteria as above)
  2. Monthly Fatalities by Crash Type by Region & Overall (25 charts below)
    1. Overall Fatalities by Region (target = average of 4 years)
    2. Lane Departure by Region (target = average of 4 years)
    3. Intersection Fatalities by Region (target = average of 4 years)
    4. Pedestrian Fatalities by Region (target = average of 4 years)
    5. # of Fatalities not using proper restraints (target = average of 4 years)
  3. Multi-year statewide charts also included in each category to show long term trends

(There is the potential of adding several more categories in the future)

Design Tier 1

* Dot Indicator based on % of Tier 1 targets met YTD

  1. % of projects advertised within the advertisement schedule (monthly) (target>70%)

Design Tier 2 (quarterly/monthly?)

  1. % of projects where the Engineer's estimate is within 10% of low bid (target > 70%) all projects, state, & local(by region?)
  2. % of projects advertised within the advertisement schedule by Region – 4 graphs (target=70%)
  3. # of Consultants that exceeded the pool cap (target = 0)(?)
  4. # and $ amounts of modifications requested by type by Region (?)
  5. # & % of all projects that have exceptions, waivers, deviations (by Region-quarterly)
  6. Measure from CSS Customer Survey Results(survey conducted in May and November – report annually?)

Environment Tier 1

* Dot Indicator based on % of Tier 1 targets met YTD

  1. EISs on Schedule - # and % (target 70%) (quarterly)
  2. EAs on Schedule - # and % (target 70%) (quarterly)

Environment Tier 2

  1. Median timeframes for EISs and EAs (annual)
  2. # of approved CEs (monthly)
  3. % of projects with 4(f) de minimis determinations (annual)
  4. # of EAs & EISs completed statewide (annually)

Spot Indicators Definitions

Spot indicators will vary based on the measure and program and will update in the same frequency as the related measures.

As a starting point:
Solid Green = 90% or better of Tier 1 targets met
Green/Yellow = 80% - 90% of Tier 1 targets met
Solid Yellow = 70% - 80% of Tier 1 targets met
Yellow/Red = 60% - 70% of Tier 1 targets met
Solid Red = less than 60% of Tier 1 targets met

Dashboard Structure

Spreadsheet Dashboard in Excel Format

The Dashboard will consist of a total of 11-12 Excel files: 1 main dashboard and 10-11 Tier 2, or program level dashboards. An optional third tier dashboard can be created at the program managers' option.

Main Dashboard – Tier 1 – will consist of:

  1. One to two pages of measures. 1-3 measures per program area.
  2. One worksheet of data, which is linked to Tier 2 data entry spreadsheets.
  3. There will be no data entry into the main dashboard. It will be linked to other data entry files.

Program Dashboards – Tier 2 – One Excel file per program area consisting of:

  1. One to five pages of presentation measures depending on what measures are agreed on. Graphs will increment automatically with data entry over time.
  2. One worksheet of data entry tables.

Data Entry Work Effort

The current IT efforts at UDOT cannot support automated links to a data warehouse at this time. So each measure will require data entry by someone in each program area. Data tables will be created in a simple, easy to use, and consistent format, so that this can be a data entry level task.

  1. Data entry will be required until UDOT's data warehouse is complete and linked – (years from now).
  2. Maintenance – worksheets will be created so that they will self-adjust over time. Maintenance should not be required unless a change is desired to the actual measures or presentation of those measures. Targets & data can be modified

APPENDIX B

UDOT Approval FHWA Approval  
AdministrationADMINAssistant Division AdminADA No Approval
Construction and MaterialsCON/MTLArea EngineerAE
Engineering Services/Division/Bridge DesignESD/BDBridge Program ManagerBPM  No Approval Authority
EnvironmentalENVEnvironmental Program ManagerEPM
Research Bridge OperationsRES/BOFinancial Program ManagerFPM  Approval Authority - On Interstate
Right-of-WayROWOperations Program ManagerOPM
Systems PlanningPLANProgram AssistantPA Approval Authority - Off Interstate
Systems ProgrammingPROGPlanning Program ManagerPPM
Traffic and SafetyT & SROW/Design Program ManagerROW/DPM 
Traffic Operation CenterTOC Safety Program Manager SPM 
UDOT ComptrollerCOMPTransportation SpecialistTS 
OTHER AGENCY APPROVAL   
Governor's Office of Economic DevelopmentGOED   
 UDNR   
Utah Department of Public SafetyUDPS   
Utah State Tax DivisionUSTD   

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
SYSTEMS PLANNING AND PROGRAMMING
Statewide Planning
Metropolitan Planning Organization
Designation/Redesignation of MPO's When Revised23 CFR 453 306PLANT5 Approved by the Governor
Metropolitan Planning Area Boundary changes When Revised23 CFR 453 308PLAN T5 Approval by Governor, shapefiles forwarded to HQ
Cooperative Planning Agreements in Attainment/Maintenance areas When revised23 CFR 453 310PLANTS 
Cooperative Planning Agreements in Non-attainment Areas   PLANTS 
  MPA Covers Entire Non-attainment Area  23 CFR 450.310 (d)PLANTSBetween MPO/State/Transit or in UP/WP or Prosectus (23 CFR 450.314 (c))
  MPA Covers Part of Non-attainment Area  23 CFR 450.310 (f)PLANTSBetween MPO/State DOT/State AQ
Other Metropolitan Planning Responsibilities
CMAO Eligibility Determination Annually04/28/99 HQ CMAQ Guidance MemoPLANPPM Non-attainment or maintenance areas
CMAO Annual ReportFeb 1 AnnuallyJuly 13, 1995 CMAO GuidelinesPLANPPM UDOT complete through UPACS
Public Involvement Procedures for Metropolitan Areas As needed23 CFR 450.316(b)(1)PLANPPMMust be developed and published. Update as needed
Congestion Management Systems  23 CFR 450.320.500.109PLANPPMMust be established and implemented in TMAs. Update as needed
Other Statewide Planning Responsibilities
Non Metropolitan Public Involvement Procedures Every 5 years23 CFR 452.212PLANPPM 
Public Involvement Procedures for Statewide Planning As needed23 CFR 450.212 (f)PLANPPMState publishers and allows 45 days for public review and written comments
Statewide Transportation Plan As needed23 CFR 450.214PLANPPMEvaluated and Peridically Updated
State Self Certification on Planning Process Every 2 years23 CFR 450.220 (b)PLANPPM Received with STIP
Certification
State/MPO Self-Certification Annually23 CFR 450.334 (a)PLANPPM  

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
United Planning Work Program (UPWP)
Approval in Transportation Management Areas (TMAs) Jul 1 Annually 23 CFR 453 314 PLAN TS Annual Approval in Conjunction with SPR-PL. Program Approval. Required by regulation every two years
Approval in Non TMAs Jul 1 Annually 23 CFR 453 314(d) PLAN TS Approved the same as TMA
Revisions/Amendments   As needed 23 CFR 420. 115 PLANTS 
Performance and Expenditures Reports   Annually 23 CFR 420. 117 (b) PLANTS Annual, not more frequently than quarterly. Includes final reports
Long Range Transportation Plan (LRTP)
Air Quality Conformity Determination on LRTP Concurrent with LRTP update   23 CFR 450.322 (d) PLANPPM Non-attainment areas only: After receipt of MPO determination. FHWA determination in consultation with FTA
LRTP Updates   Every 4 or 5 years 23 CFR 450.322 PLAN TS Every 4 years for nonattainment areas and 5 years for attainment area
  Cache   Every 5 years23 CFR 450.322PLAN TS 
  Wasaich Front   Every 4 years 23 CFR 450.322PLAN TS 
  Mountainland   Every 4 years 23 CFR 450.322PLAN TS 
  Dixie   Every 5 years 23 CFR 450.322PLAN TS 
Statewide Programming
State Planning and Reseach
State PL Funds Formula  As needed23 CFR 452.212PLAN TS 
SPR-PL Work Program Jul 1 Annually23 CFR 450.212 (f)PLAN TS Fwd to HQs; Draft due to Division by May 15
Annual Performance and Expenditure Report Sep 30 Annually23 CFR 450.214PLAN TS 
Statewide Transportation Improvement Program (STIP)
STIP Approval Oct 1 Every 4 years min. 23 CFR 450.334 (a), (c) 23 CFR 450.218 PROGPPM Approval in Consultattion with FTA
STIP Amendment   Are requested by State 23 CFR 450.334 (a), (c) 23 CFR 450.218 PROG PPM Per new TIP/STIP process
Transportation Improvement Program (TIP)
MPO/State Air Quality Agency Agreements   As needed or revised by MPO/State 23 CFR 450.310c PLANPPM Only required when MPO is not designated for air quality planning
TIP Approvals Oct 1 Every 4 years min. 23 CFR 450.312 (b)
23 CFR 450.324 (b)
23 CFR 450.328 (a)
PROGPPM TIPS are incorporated into the STIP without modification, Requires FTA
TIP/STIP Amendments for Non-attainment Areas   As requested 23 CFR 450.334-330PROGPPM May require consultation with FTA. Per new TIP/STIP process
TIP/STIP Amendments for Attainment Areas As requested 23 CFR 450.334-330PROGPPM May require consultation with FTA. Per new TIP/STIP process
Air Quality Conformity Determination on TIP Concurrent with TIP update or amendment of exempt projects  23 CFR 450 324 (b)
23 CFR 450.326 (a)
PLANPPM Non-attainment areas only; After receipt of MPO determination, FHWA determination in consulation with FTA
TIP Conformity Determination for Non-attainment Concurrent with TIP approval/modification (unless exempt projects) As needed (NTE 2 years) 23 CFR 450.330 (b)PLANPPM Non-attainment areas only: After receipt o MPO determination, FHWA determination in consultation with FTA. Perf FTA/FHWA Planning Collaboration Agreement
Project Level Conformity Determination for Non-attainment   As needed 23 CFR 450.332 PLANPPM Neede when a TIP is amended FTA/FHWA Planning Collaboration Agreement
CMAQ Funds Report Feb 1 Annually HQ CMAQ guidance memo dated 04/28/99 PLANPPM Urban program planning responsible for using UPACs to input data for report
CMAQ Funds Eligibility Determination   As requested by State HQ CMAQ guidance memo dated 04/28/99 PLANPPM Coordination w/FTA. Refer to FTA/FHWA Planning Collaboration Agreement
TE will coordinate with Planner

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
Highway Information
Federal Statewide Planning Finding Sep 30 Annually 23 CFR 450. 220 (b) PROG PPM Issued in Consultation with FTA as part of STIP Approval
System Actions
Federal-Aid Urban Area Boundaries   As revised by State 23 CFR 470.105 (a) PLAN TS  
Functional Classification   As requested by State 23 CFR 470.105 (a) PLAN TS "Highway Function Classification, Concepts, Criteria and Procedures" www.fhwa.dot.gov/planning/fctoc.htm
Interstate Additions & Revisions   As requested by State 23 CFR 470.111, 115(a) PLANTS Approval by HQ - Office Director
Natinal Highway System (NHS) revisions   As requested by State 23 CFR 470.113, 115 (a) PLANTS Approval by HQ - Office Director
High Performance Monitoring Systems
Certified Public Road Miles Jun 1 Annually 23 CFR 460.3 (b) PLAN TS To HQ with DO Review/Concurrence; approval by governor or delegated authority
Date Submittal Jun 15 Annually HPMS Field Manual PLAN TS UDOT sends directly to HQ; Division formally requests copy of data
Annual CPI Review Nov 1 Annually HPMS Field Review Guidelines; June 2000 PLAN TS Annual Review consists of High Priority Subject Areas. Field Inventory Review, and Data and Trend Analysis.
Vechicle Classification Data Jun 15 Annually HPMS Field Manua PLAN TS Part of HPMS Submittal
OPERATIONS
Traffic and Safety
Safety
402 Highway Safety Program Plan Sep 1 Annually 12/22/99 Guidelines T&S/UDPS SPM NHTSA (UDPS) has lead
Work Zone Safety Process Review of Effectiveness   Bi-Annually 23 CFR 630.1010 T&S SPM  
State-Prepared Traffic Control Manuals Within 2 years of MUTCD Issuance As needed 23 CFR 655.003 T&S SPM  
Traffic Safety in Highway & Sreet Work Zones   As needed 23 CFR 630.1008T&S SPM HSIP
Highway Safety Improvement Program Project Approval   As needed 23 CFR 924.15; 23 USC 130 T&S SPM  
Highway Safety Improvement Program Project (5% including RSI, High Hazard Rural, RR) Aug 31 Annually 23 CFR 924.15; 23 USC 148T&S SPM  
Safety Belt Compliance   Annually (each FY) 23 CFR 1215.6 T&S/UDPS SPM NHTSA (UDPS) will take lead
TOC, Mobility, ITS
Congestion Management Systems April 1 Annually 23 CFR 500.109 TOC OPM As revised by MPO/State & during Certification Review
Conformity with Regional ITS Structure   Annually 23 CFR 940.11 TOC OPM See ITS Checklist
Operations Support Program Summary Report Oct 1 Program Approval Aug 1 Annually Annual Memo from HQ TOC OPM Eligibility determination made by HQ
PROJECT DEVELOPMENT
Right-of-Way
State of ROW recertification Jan 1 Every 9 years 23 CFR 710.201(c) ROWROW Last recertification Jan 2006
ROW Oversight Agreement   As needed 23 CFR 710.201(l) ROW ROW  
Uso of ROW Manual Request (on Interstate System)   As needed on projects 23 CFR 710.405ROW ROW  
ROW Disposal Authorization Request  As needed on projects 23 CFR 710.409ROW ROW Review for Environmental Clearance
Outdoor Advertising Policies and Procedures Revisions   As needed or submitted by State 23 CFR 750.304
ROW ROW  
Uniform Relocation Assistance & Real Property Acquisition Report-(OMB Form 2125-0030) NLT Nov 15 Every 5 years 49 CFR 24.9(c) & Appendix B ROW ROW May 06
Lead Agency Uniform Act Monitoring Activities   As needed 49 CFR 24.603 ROW ROW Submit to HQ

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
Locked Gate (Interstate)   As needed February 1998, Federal Register; Vol. 63. #28 ESD/BD ROW  
Real Property Acquisition Statistical Report Nov 15 Annually FHWA Order 6540.1 ROW ROW Prepare and submit to HQ
Environment
Environmental Document Determination   Annually 23 CFR 771.117 and 771.111(a)(b), TA6640.8A ENV EPM Performed after STIP Approval
Civil Rights - Construction
OJT goals & Accomplishments Jan 30 Annually 23 CFR 230.111 (b) CON/MTL ADA  
Supportive Services Funds Requests   As requested by State 23 CFR 230.113 CON/MTL ADA Recommendation sent to HQ for approval
Annual Contractor Employment Report (Construction Summary of Employment Data (Form PR-1392) Sep 25 Annually

23 CFR 230.121 (a)

CON/MTL ADA Recommendation sent to HQ for approval
Report on Supportive Services (On-the-Job-Training (OJT) & DBE) Apr 15/Jul 15/Oct 15/Jan 15 Quarterly 23 CFR 230.121 (e)
23 CFR 233.111, 113
CON/MTL ADA Recommendation sent to HQ for approval
Disadvantaged Business Enterprise (DBE) Awards & Commitment Jul 15 / Jan 15 Semiannually 49 CFR 26 Appendix B CON/MTL ADA When litigation is pending or there are significant changes, recommendations sent to HQ for approval. If no litigation pending or significant changes, approval is at Div office level
Disadvantaged Business Enterprise (DBE) Program Revisions   As needed or requested by State 49 CFR 26.21(b) Annual Procedures Memo from HQ CON/MTL ADA When litigation is pending or there are significant changes, recommendations sent to HQ for approval. If no litigation pending or significant changes, approval is at Div office level
State's DBE Program Goals Aug 1 Annually 49 CFR 26.41 Annual Procedures Memo from HQ CON/MTL ADA When litigation is pending or there are significant changes, recommendations sent to HQ for approval. If no litigation pending or significant changes, approval is at Div office level
Design
Procedures for Consultant Selection   As needed 23 CFR 172.9 ESD/BD FPM  
Design Standards   As needed 23 CFR 625 ESD/BD DPM Approval determined at Spec Cmte meetings
Standard Specifications   As needed 23 CFR 625 ESD/BD DPM Approval determined at Spec Cmte meetings
Local Public Agency Oversight Policies and Procedures   As needed 23 CFR 635.105 ESD/BD DPM  
ADA Design Standards Compliance   As needed 23 CFR 652 ESD/BD DPM  
Coordination of Projects near Airports   As needed 23 CFR 620.103 ESD/BD DPM  
Value Engineering projects over $25 million on NHS   As needed 23 CFR 627
Value Engineering
ESD/BD DPM  
Value Engineering bridge projects over $20 million on NHS   As needed 23 CFR 627
Value Engineering
ESD/BD DPM  
Value Engineering on Design/Build prior to RFQ   As needed 23 CFR 627
Value Engineering
ESD/BD DPM  
Value Engineering Report End of Nov Annually FAPG G 6011.9ESD/BD SPM Submitted to HQs
Access Justification Report   As needed February 1998, Federal Register, Vol. 63. #28 ESD/BD DPM coord w/headquarters as needed
Bridge - Type, Size & Location   As needed on Full Oversight Projects FHWA 5520.1 ESD/BD FPM Only required on major or unusual structures, otherwise included with design review process.
Federal Aid Progam Eligibility Determination   As needed USC 23 ESD/BD FPM  

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
Highway Information
Federal Statewide Planning Finding Sep 30 Annually 23 CFR 450. 220 (b) PROG PPM Issued in Consultation with FTA as part of STIP Approval
System Actions
Federal-Aid Urban Area Boundaries   As revised by State 23 CFR 470.105 (a) PLAN TS  
Functional Classification   As requested by State 23 CFR 470.105 (a) PLAN TS "Highway Function Classification, Concepts, Criteria and Procedures" www.fhwa.dot.gov/planning/fctoc.htm
Interstate Additions & Revisions   As requested by State 23 CFR 470.111, 115(a) PLANTS Approval by HQ - Office Director
Natinal Highway System (NHS) revisions   As requested by State 23 CFR 470.113, 115 (a) PLANTS Approval by HQ - Office Director
High Performance Monitoring Systems
Certified Public Road Miles Jun 1 Annually 23 CFR 460.3 (b) PLAN TS To HQ with DO Review/Concurrence; approval by governor or delegated authority
Date Submittal Jun 15 Annually HPMS Field Manual PLAN TS UDOT sends directly to HQ; Division formally requests copy of data
Annual CPI Review Nov 1 Annually HPMS Field Review Guidelines; June 2000 PLAN TS Annual Review consists of High Priority Subject Areas. Field Inventory Review, and Data and Trend Analysis.
Vechicle Classification Data Jun 15 Annually HPMS Field Manua PLAN TS Part of HPMS Submittal
OPERATIONS
Traffic and Safety
Safety
402 Highway Safety Program Plan Sep 1 Annually 12/22/99 Guidelines T&S/UDPS SPM NHTSA (UDPS) has lead
Work Zone Safety Process Review of Effectiveness   Bi-Annually 23 CFR 630.1010 T&S SPM  
State-Prepared Traffic Control Manuals Within 2 years of MUTCD Issuance As needed 23 CFR 655.003 T&S SPM  
Traffic Safety in Highway & Sreet Work Zones   As needed 23 CFR 630.1008T&S SPM HSIP
Highway Safety Improvement Program Project Approval   As needed 23 CFR 924.15; 23 USC 130 T&S SPM  
Highway Safety Improvement Program Project (5% including RSI, High Hazard Rural, RR) Aug 31 Annually 23 CFR 924.15; 23 USC 148T&S SPM  
Safety Belt Compliance   Annually (each FY) 23 CFR 1215.6 T&S/UDPS SPM NHTSA (UDPS) will take lead
TOC, Mobility, ITS
Congestion Management Systems April 1 Annually 23 CFR 500.109 TOC OPM As revised by MPO/State & during Certification Review
Conformity with Regional ITS Structure   Annually 23 CFR 940.11 TOC OPM See ITS Checklist
Operations Support Program Summary Report Oct 1 Program Approval Aug 1 Annually Annual Memo from HQ TOC OPM Eligibility determination made by HQ
PROJECT DEVELOPMENT
Right-of-Way
State of ROW recertification Jan 1 Every 9 years 23 CFR 710.201(c) ROWROW Last recertification Jan 2006
ROW Oversight Agreement   As needed 23 CFR 710.201(l) ROW ROW  
Uso of ROW Manual Request (on Interstate System)   As needed on projects 23 CFR 710.405ROW ROW  
ROW Disposal Authorization Request  As needed on projects 23 CFR 710.409ROW ROW Review for Environmental Clearance
Outdoor Advertising Policies and Procedures Revisions   As needed or submitted by State 23 CFR 750.304
ROW ROW  
Uniform Relocation Assistance & Real Property Acquisition Report-(OMB Form 2125-0030) NLT Nov 15 Every 5 years 49 CFR 24.9(c) & Appendix B ROW ROW May 06
Lead Agency Uniform Act Monitoring Activities   As needed 49 CFR 24.603 ROW ROW Submit to HQ

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
Construction
Title VI Plan Accomplishments and Next Year's Goals Oct 1 Annually 23 CFR 200.9 ADMIN ROW Courtesy copy in HQ
Title VI Plan Update   As needed or requested by State 23 CFR 200.9 ADMIN ROW Courtesy copy in HQ
EEO Contract Compliance Review Reports (Form FHWA 86)   As submitted by State 23 CFR 230.409
23 CFR 230.413
ADMIN EPM If contractor is found non-compliant, a courtesy copy is sent to EEO Specialist, Resource Center Midwest
DBE On-site Verification and Interviews   As needed 23 CFR 230.409(e) ADMIN EPM Coordinate fundings with Civil Rights Specialist
Approving Liquidated Damage Rate   Every 2 years 23 CFR 635.127 CON/MTL EPM  
Structures
TS&L Approval of Unusual Bridges and Structures on the Interstate   Project by Project 23 CFR 630 Subpart B HQ Memo 11/13/98 ESD/BD BPM HQ must approve
NBIS Review Statewide Report Jan 1 Annually 23 CFR 650 Subpart C HQ July 1, 2003 HQ Memo RES/BO BPM Submit to HQ
NBI Data Submittal Apr 1 Annually

23 CFR 650 Subpart C & D Annual Memo from HQ

RES/BO BPM Submit to HQ
Bridge Construction Unit Cost Submittal Apr 1 Annually 23 CFR 650 Subpart D Annual Memo from HQ ESD/BD BPM Submit to HQ
HBRRP Eligibility Determinations   Project by Project 23 CFR 650 Subpart D ESD/BD ADA  
Bridges Exempt from Coast Guard Permits   Project by Project 23 CFR 650 Subpart H ESD/BD AE  
Research
Vehicle Size & Weight Enforcement Certification Jan 1 Annually 23 CFR 657.13 X PPM Coordinate with UDPS
Vehicle Size & Weight Enforcement Plan Oct 1 Annually 23 CFR 657.11 X PPM Coordinate with UDSP
National Truck Network Modifications   As requested by State 23 CFR 659.11 X PPM Recommend actions to HQ UDPS. Must go through Federal Register PRoces
Traffic Incident Management Self Assessment Aug 1 Annually Annual Memo from HQ TOC PPM Complete with partners and forward to HQ
Work Zone Self Assessment Aug 1 Annually Annual Memo from HQ T&S AE Complete with partners and forward to HQ
Congestion Partnerships Assessment Jul 1 Annually Annual Memo from HQ TOC OPM Complete with partners and forward to HQ
State Planning & Research (SPR) Work Program Prior to Jul 1 Annually 23 CFR 420.115 PLAN AE  
Research Results Reports   Annually 23 CFR 420.117 RES/BO AE Report on Work Plan & Status of Projects
Management Process for Research, Development & Technology Transfer Jun 30 Annually 23 CFR 420.208 RES/BO AE  
LTAP Centers Work Plan and Funding   Annually FHWA LTAP Field Manual RES/BO AE  
Technology & Innovation Funding Program   Annually Memo from Resource Center, 11-18, 2004 RES/BO AE Administered by FHWA
Pavement and Materials
Materials Certification   As needed 23 CFR 637.207 CON/MTL AE Must be submitted for Full Oversight Projects ONLY
Quality Assurance Program   As needed 23 CFR 637.205 CON/MTL AE  
ADMINISTRATION
Financial Management
Transfer of Funds     23 USC 104 (c), (g), (k)
23 USC 199(b)
PROG FPM  
Federal Billing Reimbursement of Eligible Expenditures     23 CFR 140
23 CFR 635.122
COMP FPM  
Federal Aid Project Modifications     23 CFR 630.110 PROG AE  
Financial Intergrity Review and Evaluation   Oct 31 FHWA Order 4560.1 COMP FPM  
FMIS Reconciliations   Month End Cutoff OBF Policy 04-08 COMP FPM  

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
Highway Statistics Reports
Motor Fuel-551 M 60 days after end of each reporting month. Monthly Chapter 2, of the Guide to Reporting Highway Statistics COMP TS State sends directly to HQ, copy to Division; www.fhwa.dot.gov/policy/ohpi/hss/guide.htm
Motor Fuel - 556 Apr 1 Annually Chapter 2 COMP TS  
Vehicles & Drivers, 561, 532, 541, 542 & 543 (optional) Apr 1 Annually Chapters 3, 4, 5 & 6 COMP TS  
Transportation Bond Referendums Apr 1 Annually Chapters 8 and 9 COMP TS  
DOT/Toll Authority Audits and Published Annual Reports - 539 (optional)   Annually Chapter 9 X TS Coordinate with Utah State Treasurer
Transportation Bond Referendum   Annually Chapter 10 COMP OPM Annual - Due as soon as available
Finance - 536 Sept 30 Annually Chapter 11 COMP TS Biennial and on odd-numbered years. Due 9 months after end of reporting year.
Finance - 534 Jun 15 Annually Chapter 12 COMP TS Annually for State, Biennially for Local
Annual Truck Weight Data June 15 Annually Chapter 13 COMP TS  
DOT Budgets and Published Annual Reports   Annually Chapter 13 X TS Coordinate with State Department of Finance
Highway Finance and Tax Legislation   Annually Chapter 13 X TS Coordinate with State Treasurer
Permanent Automatic Traffic Recorder Data Monthly - DOT may forward it directly to HPPI 30 Annually Chapter 13 COMP TS Monthly within 20 days of the second month following the data collection month
Other Highway Information Responsibilites
Motor Fuel Review Sep 2005 Every 3 years 1989 HQ Memo X TS Coordinate with Utah State Tax Commission
Heavy Vehicle Use Tax (HVUT)         TS  
   Proof of Payment Certification Jul 1 Annually 23 CFR 669.7 X TS Governor approval delegated to Sec of Si
  Compliance Review Dec 2006 Every 3 years 23 CFR 669.21 X TS Coordinate with Utah State Tax Commission
MFT Evasion Project Funds Request   When requested HQ Memo soliciting appt. X TS Coordinate with Utah State Tax Commission
Transportation, Community and System Preservation (TCSP) Evaluation Report Jun 30 Annually TEA-21, Section 1221 PLAN TS  
Civil Rights - HR
State Internal EEO Affirmative Action Plan (Title VII) Accomplishments and Goals Oct 1 Annually 23 CFR 230.311 ADMIN FPM Courtesy copy to HQ
State Internal EEO (Title VII) Plan Update Oct 1 Annually 23 CFR 230.311 ADMIN FPM Courtesy copy to HQ
Minority Institute of Higher Education Planned Awards Report   Quarterly Pres. Exec. Orders 13021/13230 ADMIN ADA Prepared by Civil Rights Specialist and submitted to HQ
Minority Institute of Higher Education Performance Awards Report Nov 1 Annually Pres. Exec. Orders 13021/13230 ADMIN ADA Prepared by Civil Rights Specialist and submitted to HQ
State Employment Practices Report (EEO-4) Aug 1 Annually 23 CFR 230.311 ADMIN FPM Report sent to HQ quarterly for informational purposes and recommendations sent to HQ annually for approval
Americans with Disabilities Act Complaint Reviews   As requested by HQ Pres. Exec Order 11246 ADMIN FPM Conduct evaluation & medical for correction if no resolution reached, remand to HQ w/report
Americans with Disabilities Act Complaint Reviews Report Oct 1 Annually Pres. Exec Order 11246 ADMIN FPM  
Civil Rights Activity Report (Title VI, Limited English Proficiency, Title IX, Person with Disabilities Apr 15/Jul 15/Oct 15/Jan 15 Quarterly Pres. Exec Order 11250 ADMIN FPM Prepared by Civil Rights Specialist and submitted to HQ
OTHER
National Security
Transportation Plan Conformity Determination for Non-attainment Areas   Concurrent As needed (NTE 3 years) 23 CFR 450.322(d) PPM Non-attainment areas only; After receipt of MPO determination, FHWA determination in consultation with FTA. Per FTA/FHWA Planning Collaboration Agreement
Discretionary Funds
Federal Highways Discretionary Funds   Annually 23 CFR 660.101 PLAN PLAN Joint approval with UDOT, FLHD, Forest Service and TL Team
Innovative Bridge Research and Construction Program Administration As requested Annually 23 CFR 593(b), Annual Memo from HQ ESD/BD BPM Submit to HQ
Ferry Boat Discretionary (FBO)   As needed HQ Memo Soliciting Applications X PPM Recomment action to HQ

 

ACTIVITY DUE FREQUENCY REFERENCE UDOT CONTACT FHWA CONTACT REMARKS
Interstate Maintenance Discretionary Funding Applications   Annually HQ Memo Soliciting Applications PLAN AE Recommend action to HQ
National Corridor Planning and Development Program   As needed HQ Memo Soliciting Applications X PPM Recommend action to HQ
Public Lands Highway (PLH)   As needed HQ Memo Soliciting Applications X DPM Coordinate with central Federal Lands; recommend action to HQ
Scenic Byways Discretionary Funds Application   Annually HQ Memo Soliciting Applications GOED DPM Coordinate with Governor's Office of Economic Development recommend action to HQ
Transportation & Community & System Preservation   As needed HQ Memo Soliciting Applications X PPM Coordinate with Governor's Office of Economic Development recommend action to HQ
Trails & Recreation Program   As needed   X DPM Coordinate with DNR, Division of Parks and Rec.
ITS Deployment Program   Annually TEA 21, Section 5208 and 5209
23 CFR 940
TOC OPM Recommend action to HQ
STATE MANUALS APPROVED BY FHWA FOR USE OF FEDERAL-AID PROJECTS
Accomodation of Utilities and the Control and Protection of State Highway Rights of Way       ROW ROW  
DBE Program Plan Manual       CON/MTL ADA  
Design Exceptions, Waivers, and Deviations       ESD/BD DPM  
Design Process Manual       ESD/BD DPM  
EEO Program Plan Manual       ESD/BD FPM  
Mapping and Aerial Photogrammetry Manual       ROW OPM  
Noise Policy       ENV EPM  
Pavement Design Policy Procedures       CON/MAT AE  
Public Involvement Plan       CON/MAT DPM  
Quality Assurance Program       CON/MAT AE  
Research Work Plan (LTAP)       ROW AE  
Standard Drawings       ESD/BD DPM  
Supplemental and Standard Specifications       ESD/BD DPM  
Supportive Services Program       ESD/BD ADA  
UDOT Construction Safety and Health Manual       CON AE  
UDOT MOI Construction       CON/MAT AE  
UDOT MOI Consultant Services       ESD/BD FPM  
UDOT MOI Drainage       ENV AE  
UDOT MOI Environmental Process       ENV EPM  
UDOT MOI Local Government       ESD/BD OPM  
UDOT MOI Right-of-Way       ROW ROW  
UDOT MOI Roadway Design       ESD/BD DPM  
UDOT MOI Structures       RES/BO BPM  
OPERATING AGREEMENTS
Environmental Stewardship Agreement       ENV FPM  
Section 7 Programmatic Agreement       ENV FPM  
Section 106 Programmatic Agreement       ENV FPM  

APPENDIX C

UTAH PROJECT RESPONSIBILITY
Approval Action Approval Authority
High Profile Projects NHS PROJECTS (Detegated Projects) Non-NHS PROJECTS
SYSTEMS PLANNING AND PROGRAMMING
Programming
Verify eligibility for proposed funding categoryFHWAFHWA/UDOTFHWA/UDOT
Verify project in STIPFHWAFHWA/UDOTFHWA/UDOT
Approve Federal-aid Project Agreement (PR-2)FHWAFHWAFHWA
Obligate fundsFHWAFHWAFHWA
PROJECT DEVELOPMENT
Right-of-Way
Accept Right-of-Way certificate as a condition of PS&E approval (23 CFR 635)UDOT(1)UDOTUDOT
Approve air space agreements (23 CFR 710)FHWA(4)FHWA(4)UDOT
Approve disposal of federally funded right-of-way (23 CFR 710.409)FHWA(4)FHWA(4)UDOT
Approve Hardship and Protective Buying (23 CFR 7710.307.503.509)UDOT(1)UDOTUDOT
Approve non-highway use and occupancy (23 CFR 713.2038)FHWAFHWAFHWA
Authorize Right-of-Way activities (23 CFR 710 Subpart B)FHWAFHWAFHWA
Control of Access (23 CFR 620.203(h))FHWAFHWAFHWA
Functional Replacement (23 CFR 710.509)UDOT(1)UDOTUDOT
Junkyard Control (23 CFR 751.25)FHWAUDOTUDOT
Outdoor Advertising Sign Removal Projects (23 CFR 750.307)UDOT(1)UDOTUDOT
Request for Credits (23 CFR 710.501FHWA(4)FHWA(4)UDOT
Request for Direct Federal Land Transfer (23 CFR 710.601)FHWAFHWAFHWA
Request for Federal Land Transfer (23 CFR 710.601)FHWAFHWAFHWA
Request for waivers (49 CFR 24.204(b))FHWAFHWAFHWA
ROW Relinquishment Request (23 CFR 620(b), 23 CFR 710.401, 23 CFR 710.403)FHWA(4)FHWA(4)UDOT
Witholding of Payments (23 CFR 710.203(c), 23 CFR 1.36)FHWAFHWAFHWA
Environment
Certification of Public Hearings (23 CFR 771.111(h)(2)(vi))UDOT(1)UDOT(1)UDOT(1)
Environmental Mitigation Measures (23 CFR 771.105(d))FHWAFHWAFHWA
Project Public Involvement and Interagency Coordination (23 CFR 771.111)UDOT(1)UDOTUDOT
Wetland Mitigation Measures (23 CFR 777)FHWAFHWAFHWA
Approval action for CE I & CE IIUDOTUDOTUDOT

 

Approval Action Approval Authority
High Profile Projects NHS PROJECTS (Detegated Projects) Non-NHS PROJECTS
Approval action for CE II FHWA FHWA FHWA
Environmental Assessment (23 CFR 771.119.TA.6640.8A) FHWA FHWA FHWA
FONSI or elevate to an EIS (23 CFR 771.121.TA.6640.8A) FHWAFHWAFHWA
Notice of Intent (NOI) (23 CFR 777.123(a), TA 6640.8A)FHWAFHWAFHWA
Draft Environmental Impact Statement (DEIS) (23 CFR 771.123, TA 6640.8A) Review and provide comments within 30 days (or approve 23 CFR 771.123 (e) FHWA FHWA FHWA
Federal Aid Project Modification (23 CFR 630.110) FHWA UDOTUDOT
Final Environmental Impact Statement (FEIS) Legal Sufficiency (23 CFR 771.125(b)) FHWA FHWA FHWA
Final Environmental Impact Statement (FEIS) 23 CFR 771.125, TA6640.8A) No sooner than 45 days after publishing the DEIS. Review and provide comments within 30 days for approve 25 CFR 771.125(c)) FHWA FHWA FHWA
Record of Decision (ROD) (23 CFR 771.127, TA 6640.8A) No sooner than 30 days after publishing FEIS FHWAFHWAFHWA
Re-evaluation (23 CFR 771.129, TA 6640.8A)FHWAFHWAFHWA
Section 4(f) Programmatic (23 CFR 771.135, TA 6640.8A)FHWAFHWAFHWA
Section 4(f) De Minimis Determination SAFETEA-LU (6007 & 6009), 49 USC 303 FHWA FHWA FHWA
Section 4(f) Individual (23 CFR 771.135, TA 6640.8A)FHWA FHWA FHWA
160-day Statute of Limitations (SAFETEA-LU 6002) UDOT(1)UDOTUDOT
Section 106 Actions (36 CFR 800) Pursuant to Delegation Letter of Agreement UDOT(1)/FHWA UDOT(1)/FHWA UDOT(1)/FHWA
Preliminary Design
Concept Definition Report (FDM 3-5-1) UDOT UDOT UDOT
Consultant Selection (FDM 8-30-1) UDOT UDOT UDOT
Project Design Criteria (PDC) FHWA UDOTUDOT
Interstate System Access Change FHWAFHWA NA
Public Interest finding with respect to airport-highway clearance (23 CFR 620.104) FHWA UDOT(3) NA
Detailed Design
Approve exception to design standards (23 CFR 625.3(f)) FHWA UDOT(1,2) UDOT
Approve preliminary plans for major and unusual structures FHWAFHWA UDOT
Approve retaining right-of-way encroachments (FDM 12-1-1, 12-30-1) FHWAUDOTUDOT
Approve use of negotiated contracts (FDM 3-20-11, 12) FHWA UDOT UDOT

 

Approval Action Approval Authority
High Profile Projects NHS PROJECTS (Detegated Projects) Non-NHS PROJECTS
Approve the use of proprietary products, processes (23 CFR 635.411) (FDM19-1-5) FHWA UDOT UDOT
Approve use of publicly owned equipment (23 CFR 635.106) FHWA UDOT UDOT
Concur in use of publicly furnished materials (23 CFR 635,407) FHWA UDOT UDOT
Federal Aid-Project Modification (23 CFR 630.110) FHWA UDOT UDOT
PS&E and Advertising
Access Justification Reports (Feb. 1998, Federal Register, Vol. 63, #28) FHWA FHWA FHWA
Approve consultant agreements (23 CFR 172.7 - 172.9) FHWA UDOTUDOT
Approve exceptions to maximum railroad protective insurance limits (23 CFR 646.111) FHWA UDOT UDOT
Approve hiring of consultant to serve in a "management" role FHWA UDOT UDOT
Approve plans, specifications and estimates (23 CFR 630.205.23 USC 106) FHWAFHWAFHWA
Approve use of consultants by utility companies (23 CFR 645.109 (b)) FHWA UDOT UDOT
Approve utility and railroad agreements (23 CFR 645.113 & 646.218) FHWA UDOT UDOT
Authorize advance construction and conversions (23 CFR 630.703 & 709) FHWA FHWA FHWA
Authorize advertising for bids (23 CFR 635.112) FHWA UDOT UDOT
Authorize utility or railroad force account work (23 CFR 645.113 & 646.216) FHWA UDOTUDOT
Design Exceptions (23 CFR 625.3) FHWA UDOT UDOT
Exempt bridge from Coast Guard permit requirments (23 CFR 650.805) FHWA FHWA FHWA
Value Engineering (23 CFR 627) FHWA FHWA FHWA
Construction
Accept materials certification (23 CFR 637.207) FHWA UDOTUDOT
Approve addends during advertising period (23 CFR 635.112) FHWA UDOT UDOT
Approve advertising period less than three weeks (23 CFR 635.112) FHWA FHWA FHWA
Approve changes and extra work (23 CFR 635.120) (C&M Manual, Chapter 2) FHWA UDOT UDOT
Approve construction engineering by local agency (23 CFR 635.105) FHWA UDOT UDOT
Approve contract time extensions (23 CFR 635.120 & 121) (C&M Manual, Chapter 2) FHWAUDOTUDOT
Approve cost effectiveness and emergency determinations for contracts awarded by other than competitive bidding (23 CFR 635,104 & 204) FHWA FHWA FHWA

 

Approval Action Approval Authority
High Profile Projects NHS PROJECTS (Detegated Projects) Non-NHS PROJECTS
Approval action for CE II FHWA FHWA FHWA
Environmental Assessment (23 CFR 771.119.TA.6640.8A) FHWA FHWA FHWA
FONSI or elevate to an EIS (23 CFR 771.121.TA.6640.8A) FHWAFHWAFHWA
Notice of Intent (NOI) (23 CFR 777.123(a), TA 6640.8A)FHWAFHWAFHWA
Draft Environmental Impact Statement (DEIS) (23 CFR 771.123, TA 6640.8A) Review and provide comments within 30 days (or approve 23 CFR 771.123 (e) FHWA FHWA FHWA
Federal Aid Project Modification (23 CFR 630.110) FHWA UDOTUDOT
Final Environmental Impact Statement (FEIS) Legal Sufficiency (23 CFR 771.125(b)) FHWA FHWA FHWA
Final Environmental Impact Statement (FEIS) 23 CFR 771.125, TA6640.8A) No sooner than 45 days after publishing the DEIS. Review and provide comments within 30 days for approve 25 CFR 771.125(c)) FHWA FHWA FHWA
Record of Decision (ROD) (23 CFR 771.127, TA 6640.8A) No sooner than 30 days after publishing FEIS FHWAFHWAFHWA
Re-evaluation (23 CFR 771.129, TA 6640.8A)FHWAFHWAFHWA
Section 4(f) Programmatic (23 CFR 771.135, TA 6640.8A)FHWAFHWAFHWA
Section 4(f) De Minimis Determination SAFETEA-LU (6007 & 6009), 49 USC 303 FHWA FHWA FHWA
Section 4(f) Individual (23 CFR 771.135, TA 6640.8A)FHWA FHWA FHWA
160-day Statute of Limitations (SAFETEA-LU 6002) UDOT(1)UDOTUDOT
Section 106 Actions (36 CFR 800) Pursuant to Delegation Letter of Agreement UDOT(1)/FHWA UDOT(1)/FHWA UDOT(1)/FHWA
Preliminary Design
Concept Definition Report (FDM 3-5-1) UDOT UDOT UDOT
Consultant Selection (FDM 8-30-1) UDOT UDOT UDOT
Project Design Criteria (PDC) FHWA UDOTUDOT
Interstate System Access Change FHWAFHWA NA
Public Interest finding with respect to airport-highway clearance (23 CFR 620.104) FHWA UDOT(3) NA
Detailed Design
Approve exception to design standards (23 CFR 625.3(f)) FHWA UDOT(1,2) UDOT
Approve preliminary plans for major and unusual structures FHWAFHWA UDOT
Approve retaining right-of-way encroachments (FDM 12-1-1, 12-30-1) FHWAUDOTUDOT
Approve use of negotiated contracts (FDM 3-20-11, 12) FHWA UDOT UDOT

 

Approval Action Approval Authority
High Profile Projects NHS PROJECTS (Detegated Projects) Non-NHS PROJECTS
Authorization to Advertise and Approve Project Agreements (23 CFR 635.309, 23 CFR 630 subpart A) FHWA UDOT UDOT
BId Price Data (FHWA-45) (23 CFR 635.113, FAPG CH 6 G 6011.10) FHWA UDOT UDOT
Buy America Waiver (23 CFR 635.410) Submit to HQ if > $50K FHWA FHWA FHWA
Concur in award of contract (23 CFR 635.114) FHWA UDOT(1) UDOT
Concur in rejection of all bids (23 CFR 635.114) FHWA UDOT(1) UDOT
Concur in settlement of contract claims (23 CFR 635.124) (C&M Manual, Chapter 2) FHWA UDOT(1) UDOT
Concur in termination of contracts (23 CFR 635.125) FHWA UDOT(1) UDOT
Concur in use of mandatory borrow/disposal sites (23 CFR 635.407) FHWA UDOT UDOT
Federal Aid Project Modification (23 CFR 630.110) FHWA UDOT UDOT
Final Inspection/acceptance of completed work (23 USC 114(a)) FHWA UDOT UDOT
Force Account Waiver (23 CFR 635B) FHWA UDOT UDOT
Incentive/Disincentive Amount Justification (23 CFR 635.127) FHWA UDOT UDOT
Innovative Contracting Requirements (SEP 14 & 15) FHWA FHWA FHWA
Statement of Materials & Labor Used by Contractors on Hwy. Constr. Involving Fed Funds FHWA-47 (23 CFR 635.116) FHWA UDOTUDOT
Fed Funds FHWA-47 (23 CFR 635.126) FHWA UDOT UDOT
Subcontracting Requirements (23 CFR 635.116(b)) FHWA UDOT UDOT
Warranties (23 CFR 635.413) FHWA UDOT UDOT
Research
Experimental Features (FAPG Ch. 6, Sect G 6042.4) FHWA UDOTUDOT
ADMINISTRATION
Financial Management
Approve vouchers FHWA FHWA FHWA
1.9 Waiver FHWA FHWA FHWA
OTHER
Emergency Relief (ER) Damage Assessments and Reports (23 CFR 686. 23 USC 120 and 125) FHWA FHWA FHWA
Footnotes:
(1) Informational copy to FHWA. (Record keeping and reporting)
(2) Exceptions for vertical clearance are subject to coordination with the Military Traffic Management Command for the "26,000 mile priority
(3) Approvals, if any, will be those required by the State laws, regulations, policies, and procedures. However, this does not relieve the UDOT from
(4) FHWA approval on Interstate Projects only
NOTE: Major Projects (federally funded projects > $500M) will be administered in acoordance with an individual Project Management Plan

APPENDIX D – GLOSSARY OF TERMS

CFR – Code of Federal Regulations

Control Document – Applicable standards, policies, processes, procedures, and standard specifications that are acceptable and agreedto by the FHWA and the UDOT for application in the geometric and structural design and construction of highways.

Core Elements – Activities that make up the main elements of the Federal-aid oversight responsibilities based on regulations and national policies. Core elements in the FHWA, Utah Division Office, are Planning, Environment, Right-of-Way, Design, Construction, Finance, Operations, System Preservation, Safety, and Civil Rights.

Delegated Projects – Projects that do not require FHWA to review and approve actions pertaining to design, plans, specifications, estimates, right-of-way certification statements, contract awards, inspections, and final acceptance of Federal-aid projects on a projectby project basis.

FAHP – Federal-Aid Highway Program

FIRE – Financial Integrity Review and Evaluation

FMFIA – Federal Managers' Financial Integrity Act

FHWA – Federal Highway Administration

ISETEA – Intermodal Surface Transportation Efficiency Act of 1991.

Major Projects – Projects with an estimated total cost greater than $500 million, or projects approaching $500 million with a high level of interest by the public, Congress, or the Administration.

NHS – National Highway System

Oversight – The act of ensuring that the Federal-aid highway program is delivered consistent with laws, regulations, and policies.Oversight is the compliance or verification component of stewardship activities. Oversight activities allow the FHWA and the UDOT to verify the effective delivery and operation of the transportation system envisioned in statues

NEPA – National Environmental Policy Act

Performance Indicators/Measures – These indicators track performance trends, the health of the Federal-aid Highway Program, and indicate where compliance with Federal requirements may be a challenge.

PDIT – Program Delivery Improvement Tool – Draft Document used.

PS&E – Plans, Specifications, & Estimates

Risk Management – The systematic identification, assessment, planning, and management of threats and opportunities faced by FHWA projects and programs. Draft Document: An Interim User Guide to the Risk Management Framework, January 30, 2006.

Stewardship – The efficient and effective management of the public funds that have been entrusted to FHWA and delegated to the SHA.

SAFETEA-LU – Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users of 2005.

TEA-21 – Transportation Equity Act for the 21st Century of 1998.

UDOT – Utah Department of Transportation

USC – U.S. Code


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