FHWA and Caltrans - Joint Stewardship and Oversight Agreement > Introduction

INTRODUCTION

Overview

The United States Congress (Congress) has charged the Federal Highway Administration (FHWA) with administering the Federal-Aid Highway Program (FAHP) under Title 23 of the United States Code (USC), Title 23 of the Code of Federal Regulations (CFR), and other associated laws and regulations. The FHWA and the California Department of Transportation (Caltrans) have jointly administered the FAHP for many years. With the passage of the Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA-LU), stewardship evolved to cover all aspects of the FAHP including financial integrity, local agency project delivery, and other mainstream FAHP program elements. With the changes in the law, Congress has tasked both agencies with managing the FAHP through stewardship and oversight to accomplish national, state and local goals of maintaining a national highway network, improving its operation and safety, and providing for national security while protecting and improving the environment.

The FHWA is charged with stewardship and oversight responsibilities for all federally funded programs, regardless of project approval authorities assumed by Caltrans. The FHWA must conduct activities to ensure that Caltrans’ implementation of the FAHP conforms to established laws, regulations, and policies; and that Caltrans is carrying out its roles and responsibilities according to established agreement with the FHWA.

Stewardship and oversight, as outlined in this document, are exercised through program management and project level activities. The FHWA and Caltrans have defined stewardship and oversight as follows:

Stewardshipis the efficient and effective management of the public funds that have been entrusted to the FHWA. Stewardship is a joint responsibility for the development and implementation of the federal highway programs. It involves all the FHWA activities in delivering the federal highway program, such as leadership, technology deployment, technical assistance, problem solving, program administration and oversight. Stewardship activities include continuous process improvement initiatives, technology assistance, technology deployment, performance measurement, project involvement activities, and sharing best practices. Stewardship can be considered “how” we meet program goals.

Oversight is the act of ensuring that the federal highway program is delivered in accordance with applicable laws, regulations and policies. Oversight is the compliance or verification component of the FHWA stewardship activities. Narrowly focused, oversight activities ensure that the implementation of the FAHP is done in accordance with the applicable laws, regulations, and policies. Broadly focused, oversight activities enable both agencies to ensure the effective delivery and operation of the transportation system envisioned in our governing laws and regulations. Oversight activities include process reviews, program evaluation, program management activities, and project involvement activities.

Caltrans and the FHWA will work in partnership to deliver the FAHP to ensure integrity, value, and quality for system stakeholders and all of its customers. In order to meet this desired outcome, the agencies will implement effective strategies, and employ a variety of tools to assess and continuously monitor the overall health of the FAHP to enhance the transportation system within the State of California.

Purpose

The purpose of this Joint Stewardship and Oversight Agreement (Agreement) is to provide a roadmap to effectively and efficiently manage the FAHP both in terms of program and project delivery. It defines roles and responsibilities, outlines authorities, and assures accountability.

The Agreement also defines how Caltrans and the FHWA will utilize a Comprehensive Risk-Based Approach to manage the FAHP. The approach includes a Joint Strategic Planning Process, Strategic Stewardship and Oversight, performance indicators/measures and the development of the FHWA Multi-Year Plan. All together, these tools help minimize program risks and develop strategies in managing the FAHP, in an effort to effectively and efficiently utilize resources. This innovative way of doing business represents a paradigm shift in the joint and collaborative management of the FAHP.

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