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FY 2007 Stewardship Agreement with Maryland State Highway Administration

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TABLE OF CONTENTS

Section 1 – INTRODUCTION

Purpose, Authority and Scope
Definitions
Delegation of Authority to Local Agencies

Section 2 – STEWARDSHIP AND OVERSIGHT OF FEDERAL-AID PROJECTS

FHWA Responsibilities
SHA Responsibilities

Section 3 – STEWARDSHIP ROLES AND RESPONSIBILITIES FOR SPECIFIC FUNCTIONAL PROGRAM AREAS

Planning Program
Environment Program
Design Monitoring Program
Construction Monitoring Program
Financial Management Program
Bridge Program
Safety and Traffic Program
Civil Rights Program
Right-of-Way Program
Intelligent Transportation System Program
Materials Quality Assurance Program
Pavement Design and Management Program
Preventive Maintenance Monitoring Program
Research, Development and Technology Transfer (RD & T) Program
Miscellaneous Program

Purpose, Authority and Scope

[Table of Contents]

Pursuant to 23 U.S.C. 106 (c), the Maryland State Highway Administration (SHA) and the Federal Highway Administration DelMar Division, Maryland Office (FHWA) agree to follow the procedures set forth in this Stewardship and Oversight Agreement (Agreement) to carry out their respective oversight responsibilities in the delivery of Federal-aid Projects and Programs. This agreement supersedes all past agreements and plans, including the Stewardship Plan signed April 30, 2001, and shall become effective on the date listed below and remain in effect until superseded.

The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991, the Transportation Equity Act for the 21st Century (TEA-21) of 1998, and the Safe, Accountable, flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005 provided flexibility to the States in how to ensure project actions are carried out in accordance with applicable laws, regulations, and policies. TEA-21, Section 1305 (a) requires that FHWA and the State enter into an agreement showing the extent of the State's assumption of the Transportation Secretary's responsibilities. ISTEA and TEA-21 altered the FHWA role from full project oversight and approval of every project or activity funded with FHWA funds to program oversight and some targeted project level approval. The program and project assumptions made possible under Section 1016 of ISTEA and Section 1305 of TEA-21 require that the SHA accept these assumed responsibilities and provide greater program accountability due to less federal involvement. With the passage of SAFETEA-LU, the overall program has evolved requiring a more comprehensive agreement that covers all aspects of the Federal-aid Highway Program that provides a road map to effectively and efficiently execute the Federal-aid program relating to programs/project delivery to include financial integrity.

By signing this Agreement, the SHA and the FHWA agree to adhere to the provisions and responsibilities included herein. The SHA and the FHWA further agree to carry out their responsibilities in a true spirit of cooperation. Prior to the beginning of each Federal Fiscal Year, the FHWA will collaborate with SHA in the development of its annual work plan. FHWA will accomplish its stewardship and oversight responsibilities by implementation of the annual work plan in conjunction with this plan. The FHWA and the SHA will also commit the resources needed to effectively implement the work plan action items.

The SHA agrees that where it assumes FHWA's Title 23 oversight role and approval responsibilities, it is responsible for ensuring that projects are developed and constructed in full compliance with Federal requirements, and that necessary corrective action is taken when actions and approvals are found to be in non-compliance with applicable Federal requirements. The FHWA is available for consultation in such matters or may unilaterally become involved in determining corrective action.

The SHA further understands that nothing contained herein shall relieve it from ultimate accountability for compliance with Federal laws and regulations with respect to the expenditure of Federal-aid highway funds in the State of Maryland, including those funds passed through to local governments. This agreement does not preclude the FHWA access to and review of Federal-aid projects at any time, and does not replace the provisions of Title 23 United States Code (U.S.C.).

This Stewardship and Oversight Plan serves as a continuing plan of project and program oversight responsibilities for FHWA and SHA covering the following functional areas:

In general, FHWA will use Process Review/Product Evaluation (PR/PE) techniques to assess the capability and capacity of the SHA in those areas where the SHA has assumed FHWA's responsibilities. FHWA will also use these techniques to monitor and evaluate SHA's fulfillment of the responsibilities outlined in this Agreement. In cases where project level activity is still an integral part of FHWA's stewardship and oversight efforts, early involvement in project decisions combined with an assessment of the quality of the products produced during the project development process will be the primary focus.

As specified above, the Agreement includes stewardship responsibilities for various programs/functional areas with identified actions by each agency. FHWA will use Program Activities as defined later in this Plan to monitor and evaluate program performance and effectiveness. This Plan incorporates the concept of mutual service standards (Attachment 1) that include agreed upon formats, procedures and targeted timeframes for SHA and FHWA actions, including submissions, comments and approvals. The Agreement also takes into account the FHWA and SHA resources and capabilities, and the federal requirements where FHWA has a mandated role in the oversight process. This plan forms the principal basis for monitoring and evaluating the quality of the SHA's Federal-aid program, and the continued disbursement of federal funds based upon SHA policies, practices, and staffing resources.

While SHA can assume the responsibility for FHWA in many Title 23 U.S.C. actions, some Title 23 U.S.C. requirements remain FHWA responsibilities. These program elements include, but are not limited to:

FHWA will annually perform risk assessments of various program areas for the purpose of prioritizing its program level oversight activities for the coming year. The objective of these risk assessments is to focus the limited resources of the FHWA Division Office on those activities that represent the greatest risk to FHWA in fulfilling its stewardship responsibilities. A portion of the risk assessments will involve an evaluation of SHA's internal controls, operating procedures, and staffing. By this process, it is expected that the greatest possible confidence level will be achieved for the resources committed. SHA will be invited to participate in these risk assessments; however, FHWA will make all final determinations of risk categories and mitigation plan for identified risk statements.

Definitions

[Table of Contents]

For the purposes of this agreement, the following definitions apply:

Control Document
Applicable standards, policies, and standard specifications that are acceptable to FHWA for application in the geometric and structural design of highways.
Core Functions
Activities that make up the main elements of the FHWA's Federal-aid oversight responsibilities based on regulations and national policies. Core functions in the FHWA Division Office are Planning, Environment, Right-of-Way, Design, Construction, Finance, Operations, System Preservation, Safety, and Civil Rights.
Exempt Projects (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 project by project basis.
Full Oversight Projects
Projects that 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 project by project basis.
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.
Oversight
The act of ensuring that the Federal highway program is delivered consistent with laws, regulations and policies.
Performance/Compliance Indicators
These indicators track performance trends, health of the Federal-aid Highway Program, and compliance with Federal requirements.
Risk Management
The systematic identification, assessment, planning, and management of threats and opportunities faced by FHWA projects and programs.
Stewardship
The efficient and effective management of the public funds that have been entrusted to the FHWA.
3R Project
A project intended to extend the service life of existing highways, bridges, and related appurtenances; and/or restore safe, efficient travel on an existing facility. 3R (resurfacing, rehabilitation, and restoration) work includes the placement of additional surface material and other work necessary to return an existing roadway to a condition of structural or functional adequacy. This may include improving geometric features such as flattening curves, improving sight distance and minor roadway and/or shoulder widening. 3R projects are typically constructed within existing right-of-way, or require only minor acquisitions necessary to enhance safety.
Construction Cost
The cost of a specific project based on the engineer's estimate amount. The construction cost does not include: construction engineering and inspection, preliminary engineering, right-of-way, utility adjustments.
Force Account
The direct performance of highway construction work by a State transportation department, a county, a railroad, a public utility company by use of labor, equipment, materials, and supplies furnished by them and used under their direct control. 23 CFR 635.203(c)
Preventive Maintenance
The lowest level of 3R work. In general, any work that 1) prevents the intrusion of water into the pavement or pavement base (crack or joint sealing, under drains, restoration of drainage systems); 2) prevents deterioration of bridges including painting, scour protection, deck repair, deck drain cleaning, and seismic retrofit; 3) restores pavement rideability by profiling, milling, overlaying, or replacing a portion of the pavement structure.

Delegation of Authority to Local Agencies

[Table of Contents]

The SHA may, pursuant to 23CFR 1.11 and 635.105, delegate certain Federal-aid project authorities to a well-qualified and suitably equipped local public agency. The SHA is responsible for ensuring that appropriate procedures and guidelines are in place to facilitate the compliance of local public agency administered Federal-aid projects. FHWA will review and approve these practices and procedures for Federal-aid projects.

The SHA will determine if the local agency is well qualified and adequately staffed to administer projects before delegation of any activities. The SHA will review the local agency's ability to administer Federal-aid projects or specific activities on a case-by-case basis, and the extent of delegation will be dependent on their current staffing level and experience, and past performance. An Agency Agreement will be executed between SHA and the local agency to outline the responsibilities of both SHA and the local agency. The agreement will require FHWA concurrence.

The SHA retains responsibility under Federal law and regulations for all delegated activities. The SHA will have written procedures established for the local agency that provide the necessary processes, approvals, oversight and review that ensures the delegated projects receive adequate supervision and inspection, and are completed in conformance with approved plans and specifications and applicable federal requirements. While SHA will offer any training, advice, or other assistance as may be needed by a local agency to aid it in successfully completing its Federal-aid project, it is understood that the project is controlled by the local agency. As such, if the local agency is not following prescribed requirements, SHA's recourse would be to remove Federal-aid funds from the project.

The following program elements will not be delegated to local agencies:


Stewardship and Oversight of Federal - Aid Projects

[Table of Contents]

This section describes SHA and FHWA agreement on the stewardship and oversight responsibilities including those that are delegated to the SHA, along with those that are retained by FHWA. Next section, describes stewardship roles and responsibilities for specific functional program areas for SHA and FHWA. As a condition to accepting Federal-aid highway funds, SHA agrees to follow all applicable project and program requirements.

FHWA Responsibilities:

The FHWA is ultimately accountable for all Federal-aid highway projects. The FHWA will fulfill its stewardship role at a project level as follows:

Route

Type of Work

Minimum Estimated Cost (Millions)

Interstate

New Construction Reconstruction

$5

NHS (Non-Interstate)

New Construction Reconstruction

$10

Projects funded through the Appalachian Development Highway Program

All

All

The FHWA reserves the right to make any Federal-aid highway project subject to full oversight. In making this determination, FHWA will consider factors such as, but not limited to, location of the project, congressional interest, unique contract procedures such as Design/Build projects, innovative financing, construction of unusual bridges or structures, or projects of national significance.

The FHWA will manage and provide oversight of SHA's Federal-Aid programs in various ways. The methods used will be:

  1. Routine day-to-day program actions and other interaction.
  2. Division participation on SHA task forces, teams, implementation committees, reviews, attendance at SHA meetings, etc.
  3. PR/PE reviews activities on program areas as needed and determined in accordance with the Division's risk assessment process and/or other high importance program areas. PR/PE reviews activities will be utilized as one of the primary methods of program oversight. PR/PE reviews comprise the process of comprehensively reviewing and evaluating State and or local agency policies, procedures, practices and controls for the development and implementation of Federal-aid projects and programs. Annual PR/PE's program will be jointly developed in accordance with "FHWA Maryland Division & Maryland State Highway Administration Joint Process Review Procedures, January 4, 2005" and are included in Division's annual work plan.
  4. The Division Office Financial Integrity Review and Evaluation (FIRE) Program to assess the financial aspects of programs and projects.

SHA Responsibilities:

SHA hereby advises FHWA that it wishes to assume project oversight responsibilities in accordance with the following:

For those projects that SHA has agreed to assume oversight responsibility, SHA will follow all applicable FHWA policies, regulations, Title 23, and non-Title 23 requirements as if FHWA were involved.


Planning Program

[Table of Contents]

BACKGROUND

States are required to conduct continuing, comprehensive and collaborative planning process that facilitates the effective and efficient movement of goods and people in all areas of the States including the metropolitan and local areas. FHWA role includes policy and program guidance as well as information and advice on FHWA, state, regional, and local transportation planning and program matters in Maryland.

The planning program is divided into five main categories: statewide; urban; highway information; air quality, and miscellaneous. The statewide and urban planning activities are performed jointly with the Federal Transit Administration (FTA). The statutory and regulatory references for the statewide and metropolitan functions are 23 U.S.C. 134, 23 U.S.C. 135, 49 U.S.C. 5303-5305, 23 CFR Part 450 (Subparts B and C), and 49 CFR Part 613 (Subparts B and C)

OPERATING PROCEDURES

FHWA provides technical expertise and assistance through participation in committees and teams set up by the SHA, MDOT, and the MPOs that address planning topic areas including: (1) Long Range Transportation Plans; (2) Statewide and Metropolitan areas Transportation Improvement Programs; (3) Unified Planning Work Programs; (4) Congestion Management, (5) Air Quality Conformity Determination, and (6) Data Collection and Reporting.

PROJECT OVERSIGHT

In all program areas FHWA and FTA work with the State, MPOs, and Local agencies to review, approve, and comment on planning programs to ensure consistency with Federal laws and regulations. In addition, FHWA provide the State and the MPOs with example of best practices to enhance their planning products such as the Long Range Transportation Plans, Transportation Improvement Programs, and Unified Planning Work Programs.

The following Table provides background information on the authority, action, and frequency for a variety of recurring planning-related activities in the five core areas.

Action

A= Approve, C= Compliance, I= Information, P= Prepare

 

Activity

SHA/MDOT/MPO Action

FHWA Action

A

Statewide Planning

1

20 yr Statewide Transportation Plan, (23 CFR 450.214)* (As updated)**

Prepare

R for C

2

4 yr State Transportation Improvement Program (STIP) & amendments, (23 CFR 450.216, 220)* (State submit it annually, amendment as requested)**

Prepare

R & Amp; A w/FTA

3

Statewide Planning & Research Part I, ((23 CFR 420)* (Annually August 15)**

Prepare

R & Amp; A

4

State Certification of their Planning Process, (23 CFR 450.220 (a))* (In conjunction with STIP approval)**

Prepare

R for C

5

Public Involvement for the State Planning Process, (23 CFR 450.212)* (As needed or revised by State)**

Prepare

R for C

6

Functional Classification of Highways, (23 CFR 105(b))* (As needed or revised by State)**

Prepare

R & Amp; A

7

Urban Area Boundaries, (23 CFR 470.105(a))* (As needed or revised by State)**

Prepare

R & Amp; A

8

National Highway System, (23 CFR 470.111, 115(a))* (As needed or revised by State)**

Prepare

Review and Recommend action to HQ

B

Metropolitan Planning

1

Unified Planning Work Program, 23 CFR 450.314 (a))* (Annually by June 30)**

Prepare

R & Amp; A

2

Transportation Plan for non-attainment Metropolitan Areas, (23 CFR 450.322)* (Every 4 yrs)**

Prepare

R & Amp; A

3

Transportation Plan n for Attainment Areas, (23 CFR 450.322)* (Every 5 yrs)

Prepare

R for C

4

Transportation Improvements Program

Prepare

R & Amp; A

 

(TIP) amendments for Non-attainments areas, (23 CFR 450.324-330 (b))* (As requested by MPO at least every four years)**

 

 

5

TIP amendments for attainments areas, (23 CFR 450.334 -330 (a))* (As requested by MPO at least every four years)**

Prepare

R & A

6

FHWA/FTA TMA Planning Certification, (23 CFR 450.334)* (Every 4 yrs)**

Prepare

Conduct w/FTA

7

Metropolitan Planning area Boundary Changes, (23 CFR 450.308)* (As needed/revised by MPO/State)**

Prepare

R for C

8

MPO/Sate certification of MPO Planning Process, (23 CFR 450.334)* (In conjunction with TIP approval)**

Prepare

R for C

C

Highway Information

1

HPMS data submission, FHWA HPMS Field Manual (Annually by June 15)**

Prepare

R for C

2

HPMS data review, FHWA HPMS Field Manual (Annually by Nov 1)**

Prepare

R & Amp; submit report to HQ

3

Public road mileage certification, (23 CFR 460.3)* (Annually June 1)**

Prepare

R for C

4

Traffic Monitoring System, (23 CFR 500.203)* (As needed )*

Prepare

R for C

5

Heavy Vehicle Use Tax Payment Proof of Payment, (23 CFR 669.7)* (Annually by July 1)**

Prepare

R for C




Environment Program

[Table of Contents]

Background

The FHWA is the lead federal agency in integrating the full range of environmental requirements under a single, unified process that results in efficient and timely transportation decisions in accordance with Section 6002 of SAFETEA-LU. These laws and regulations include the National Environmental Policy Act (NEPA) and implementing regulations CEQ 40CFR1500-1508 and FHWA 23CFR771 (proposed 23CFR1420); Section 4(f) of the Department of Transportation Act and implementing regulations 23CFR771 (proposed 23CFR1430); Section 106 of the National Historic Preservation Act and implementing regulations 36CFR800; Section 404 of the Clean Water Act; and Section 7 of the Endangered Species Act, as well as others. Furthermore, FHWA has a commitment to the "protection and enhancement of communities and the natural environment" as outlined in the USDOT Strategic Goals.

Operating Procedures

FHWA participates in task forces and teams set up by the SHA that address both broad policy or program environmental issues as well as individual topics of interest. Teams have been developed for the following: (1) Training, (2) Environmental Justice, and (3) Historic Bridges. Although the Secondary/Cumulative Effects Analysis and Environmental Streamlining teams have completed their tasks, follow up activities may be required. In addition, FHWA is a member of two Interagency Oversight teams: the Steering Committee and the Interagency Managers. SHA is in the process of integrating Community Impact Assessment/Environmental Justice. SHA has fully integrated Context Sensitive Solutions into the projects and is developing a work plan. FHWA and SHA partner in completing process reviews in the Environment Program Area.

Project Oversight

For all projects, FHWA and SHA work together in the project planning phase to ensure compliance with NEPA and other applicable laws before FHWA selects an alternative (location approval). The level of involvement is commensurate with the level of the environmental impacts or project complexity and follows a set procedure depending on environmental documentation class.

For Programmatic Categorical Exclusions, the SHA prepares a checklist documenting eligibility in accordance with the criteria outlined in previous FHWA/SHA agreements. SHA files the form. FHWA conducts a process review every 5 years to ensure that the projects are appropriately classified. Categorical Exclusions, Programmatic Section 4(f) Evaluations and Section 4(f) Evaluations are prepared by SHA and submitted to the FHWA for review. FHWA's goal is to respond to all submissions within timeframes shown in the table below. Coordination on Environmental Assessments/Findings of No Significant Impacts and Environmental Impact Statements are conducted following the "Maryland's Streamlined Environmental and Regulatory Process" guidelines and include interagency field meetings, concurrence points, reviews and approval procedures. SHA will update the streamlined procedures by September 2008 in accordance with SAFETEA-LU. The Maryland Action Plan which contains the Public Involvement Procedures will also be updated.

The Programmatic Memorandum of Agreement for Minor Projects between FHWA, SHA, Maryland Historic Trust, and the Advisory Council of Historic Preservation for carrying out the responsibilities of Section 106 of the National Historic Preservation Act is in the process of being updated.

FHWA is also an active member of individual project teams and help guide the project planning study. All documents requiring legal sufficiency review (the final EIS and Section 4(f) Evaluation) will be sent to the Assistant Chef Counsel for Eastern Legal Services, Offices of Chief Counsel (OCC) by the Division Office with summary comments prior to issuing these documents. Pre-Draft Section 4(F) documents will be submitted to OCC for comment regarding potential for legal sufficiency. The OCC's goal is to provide legal sufficiency review comments to the Division within 30 days after receipt of the document. Environmental Re-evaluations are conducted through informal consultation and formal written documentation. All project coordination is facilitated by monthly SHA/FHWA coordination meetings.

Environment Program Summary Table
(Exempt and full oversight Projects)

 

Activity

SHA/MDOT/MPO Action

FHWA Action

Product

A

Statewide Planning

1

20 yr Statewide Transportation Plan, (23 CFR 450.214)* (As updated)**

Prepare

R for C

Statewide Transportation Plan

2

4 yr State Transportation Improvement Program (STIP) & amendments, (23 CFR 450.216, 220)* (State submit it annually, amendment as requested)**

Prepare

R & Amp; A w/FTA

State Transportation Improvement Program

3

Statewide Planning & Research Part I, ((23 CFR 420)* (Annually August 15)**

Prepare

R & Amp; A

Statewide Annual Work Program

4

State Certification of their Planning Process, (23 CFR 450.220 (a))* (In conjunction with STIP approval)**

Prepare

R for C

Planning Process

5

Public Involvement for the State Planning Process, (23 CFR 450.212)* (As needed or revised by State)**

Prepare

R for C

Public Involvement Plan

6

Functional Classification of Highways, (23 CFR 105(b))* (As needed or revised by State)**

Prepare

R & Amp; A

Functional Classification Highways System and Maps

7

Urban Area Boundaries, (23 CFR 470.105(a))* (As needed or revised by State)**

Prepare

R & Amp; A

Urban Area Boundaries

8

National Highway System, (23 CFR 470.111, 115(a))* (As needed or revised by State)**

Prepare

Review and Recommend action to HQ

National Highway System

B

Metropolitan Planning

1

Unified Planning Work Program, 23 CFR 450.314 (a))* (Annually by June 30)**

Prepare

R & Amp; A

Unified Planning Work Program

2

Transportation Plan for non-attainment Metropolitan Areas, (23 CFR 450.322)* (Every 4 yrs)**

Prepare

R & Amp; A

Transportation Plan

3

Transportation Plan for Attainment Areas, (23 CFR 450.322)* (Every 5 yrs)

Prepare

R for C

Transportation Plan

4

Transportation Improvements Program (TIP) amendments for Non-attainments areas, (23 CFR 450.324-330 (b))* (As requested by MPO at least every four years)**

Prepare

R & Amp; A

Transportation Improvements Program

5

TIP amendments for attainments areas, (23 CFR 450.334 -330 (a))* (As requested by MPO at least every four years)**

Prepare

R & A

TIP amendments

6

FHWA/FTA TMA Planning Certification, (23 CFR 450.334)* (Every 4 yrs)**

Prepare

Conduct w/FTA

Certification of TMA Planning Process

7

Metropolitan Planning area Boundary Changes, (23 CFR 450.308)* (As needed/revised by MPO/State)**

Prepare

R for C

Boundary Changes

8

MPO/Sate certification of MPO Planning Process, (23 CFR 450.334)* (In conjunction with TIP approval)**

Prepare

R for C

Certification of State/MPO Planning Process

C

Highway Information

1

HPMS data submission, FHWA HPMS Field Manual (Annually by June 15)**

Prepare

R for C

Annual HPMS Data Report

2

HPMS data review, FHWA HPMS Field Manual (Annually by Nov 1)**

Prepare

R & Amp; submit report to HQ

HPMS Review Report

3

Public road mileage certification, (23 CFR 460.3)* (Annually June 1)**

Prepare

R for C

Public Road Miles Data

4

Traffic Monitoring System, (23 CFR 500.203)* (As needed )*

Prepare

R for C

Part of HPMS Review Report

5

Heavy Vehicle Use Tax Payment Proof of Payment, (23 CFR 669.7)* (Annually by July 1)**

Prepare

R for C

Certification of HVUT

6

Heavy Vehicle Use Tax Payment review, (23 CFR 669.21)* (Every 3 years)**

Prepare

R

Process Review

7

Vehicle Size & Weight enforcement certification, (23 CFR 657. 13)* (Annually by January 1)**

Prepare

R & A w/evaluation Report

Certification of VS&WE Program

8

Vehicle Size & Weight enforcement plan, (23 CFR 657.11)* (Annually by July 1)**

Prepare

R & A w. Evaluation

Vehicle Size & Weight enforcement plan

9

FHWA Form 500 Series, Guidance on Highway Statistics Report (See Guidance for specific due date)*

Prepare

R & Amp; I

FHWA Form 500

D

Air Quality

1

Transportation Plan Conformity Determination for non-attainment Area, (23 CFR 450.322(d))* (After receipt of MPO Determination)**

Prepare

R & Amp; A

Conformity Report

2

TIP Conformity Determination for non-attainment Area, (23 CFR 450.322(b)) (After receipt of MPO Determination)**

Prepare

R & Amp; A

Conformity Report

3

CMAQ funds Report ,(23 USC 149, 104(b) (2), 126(c), 04/28/HQ CMAQ guidance memo)* (Annually February 1)

Prepare

R for C

CMAQ Report

4

CMAQ fund Eligibility , 04/28/HQ CMAQ guidance memo (As requested by state)

Prepare

R & Amp; A

Eligibility Determination Report/Letter

5

MPO/State air quality agency agreements, (23 CFR 450.310 (h))* (As needed or revised by MPO/State)**

Prepare

R for C

MOU/Agreements

E

Miscellaneous

1

Transportation & Community & System Preservation Pilot Program (TCSP), (SAFETEA-LU:1117)* (Annually)**

Prepare

R

Grant Report

2

Value Pilot Pricing Program (VPPP), (SAFETEA-LU:1604)* (As needed)**

Prepare

R

Process Review

Environment Program Performance/Compliance Indicators:

Objective: To meet timeliness targets for Environmental Impact Statements (EIS) and Environmental Assessments (EA).

Indicators:

Reporting: Annually by August 31 for the current FY year.

 


Design Monitoring Program

[Table of Contents]

The purpose of a design monitoring program is to establish procedures for assuring that Federal-aid projects are constructed in accordance with 23 CFR Part 625 Design Standards for Highways, 626 Pavement Policy, 627 Value Engineering, 630 Pre-construction Procedures, 633 Required Contract Provisions, 636 Design-Build Contracting, 645 Utilities, 646 Railroads, 650 Bridges, 652 Pedestrian and Bicycle Accommodations and Projects, 655 Traffic Operations, 771 Environmental Impact and Related Procedure, and 772 Noise. It is FHWA policy that FHWA personnel make sufficient reviews of Federal-aid projects to assure they are designed in accordance with applicable standards and in consideration of appropriate cost-effectiveness strategies.

All projects on the NHS, regardless of funding source, must follow FHWA approved AASHTO design standards except for non-freeway 3R projects where SHA may request FHWA approval to use state developed standards.

For Federal-aid projects on the NHS, including the Interstate System, the primary objectives of the design monitoring program are:

The types of design reviews that will be undertaken by FHWA include:

On Federal-aid projects where SHA has the delegated authority to act for FHWA in design monitoring, a similar type of program of independent reviews will be conducted. SHA administered projects are subject to joint FHWA-SHA process reviews and inspections and must comply with applicable Federal requirements.

Along with the general items listed above for FHWA project review, the following are specific requirements for bridge projects:


Construction Monitoring Process

[Table of Contents]

In general SHA has responsibility for the construction of all Federal-aid projects and for ensuring that such projects receive adequate supervision and inspection to ensure that Projects are completed in conformance with approved plans & specifications. The primary objectives of the FHWA construction-monitoring program are:

FHWA will use the following types of inspections to obtain these objectives:

Design and Construction Programs
Summary Table

WORK ACTIVITY

 

FULL OVERSIGHT PROJECTS

STATE ADMINISTERED PROJECTS

Authority

SHA Action

FHWA Action

SHA Action

FHWA Action

Program Approval (42-25C)

FHWA-SHA Agreement

Prepare

Approve (5 days)

Approve(1)

None

Interstate Access Point Approval (IAPA)

23 USC 111

Prepare

Approve (10 days)

Prepare

Approve (10 days)

Project Management Plan (PMP) for Major Projects*

23 USC 106

Prepare

Approve (30 days)

N/A

N/A

Major Project Finance Plan Cost Estimate review if needed. {This would depend on the time gap between FHWA Major Project FEIS Cost Estimate Review (see Environment program) and finance plan submittal, and changes to the project since the ROD}

23 USC 106, FHWA Guidance

Prepare Major Project Cost Estimate for the selected alternate.

Review cost estimate

 

 

FHWA Major Project* Independent Cost Review (see row above)

23 USC 106, FHWA Guidance

Provide cost estimates and documentati-on for the project, provide project personnel to answer questions concerning all parts of the estimate.

Perform independent cost estimate review prior to accepting Initial Finance Plan (IFP)

N/A

N/A

Financial Plan for Major Projects (Initial and annual)*

23 USC 106

Prepare

Approve (30 days)

N/A

N/A

Financial Plan for other projects (with estimated cost >$100M and <$500M) (Initial and annual)

23 USC 106

Prepare

Information

Prepare

Information

Consultant Settlements (Agreements)

23 CFR 172.9

Prepare

Approve (10 days)

Approve

None

Coordination for Projects Near Airports

23 CFR 620.104

Prepare

Approve (10 days)

Approve

None

Public interest finding with respect to airport-highway clearance

23 CFR 620.104

Prepare

Approve (10 days)

Approve

None

Highway Facility Relinquishment

23 CFR 620.203

Prepare

Approve (10 days)

Approve

None

Design Exception

23 CFR 625.3(f)

Prepare

Approve (10 days)

Approve(2)

None

Use of Public Owned Equipment

23 CFR 635.106

Prepare

Approve (10 days)

Approve

None

* These activities apply only to major project. A project with a total estimated cost of $500 million (including PE and ROW) or more that is receiving Federal financial assistance is designated as a Major Project. Refer to FHWA Major Project Guidance for further discussion.

Use of mandatory borrow/disposal sites

23 CFR 635.407

Prepare

Approve (10 days)

Approve

None

Use of publicly furnished materials

23 CFR 635.407

Prepare

Approve (10 days)

Approve

None

Buy America waiver (all projects)

23 CFR 635.410

Prepare

Approve (10 days)

Prepare

Approve (10 days)

Use of proprietary products, processes

23 CFR 635.411

Prepare

Approve (10 days)

Approve

None

Warranties

23 CFR 635.413

Prepare

Approve (10 days)

Approve

None

Use of Convict Produced Material (all projects)

23 CFR 635.417

Prepare

Approve (10 days)

Prepare

Approve (10 days)

Use of consultants by utility companies

23 CFR 645.109(b)

Prepare

Approve (10 days)

Approve

None

Exceptions to maximum railroad protective insurance limits

23 CFR 646.111

Prepare

Approve (10 days)

Approve

None

Preliminary Investigation Report

FHWA-SHA Agreement

Prepare

Comment (10 days)

Approve

None

Semi-final review report

FHWA-SHA Agreement

Prepare

Comment (10 days)

Approve

None

TS&L

23 USC 109(a)

Prepare

Approve (10 days)

Approve

None

Technical Reports (3)

FHWA-SHA Agreement

Prepare

Comment (10 days)

Approve

None

Final Review Report

FHWA-SHA Agreement

Prepare

Comment (10 days)

Approve

None

Experimental Features

23 CFR635.411

Prepare

Approve (10 days)

Approve

None

Value Engineering Studies (4)

23 CFR 627

Prepare

Concur

Approve

None

Public Interest Finding

23 CFR 635

Prepare

Approve (10 days)

Approve

None

PS&E

23 CFR 630.205(c)

Prepare

Approve (10 days)

Approve

None

ROW Certification (Include in PS&E Package)

23 CFR 635

Prepare

Approve (10 days)

Approve

None

Utility PS&E

23 CFR 645

Prepare

Approve (10 days)

Approve

None

Utility Certification (Include in PS&E Package1)

23 CFR 635

Prepare

Approve (10 days)

Approve

None

Utility Agreement

23 CFR 645.113

Prepare

Approve (10 days)

Approve

None

Railroad Agreement

23 CFR 646.216

Prepare

Approve (10 days)

Approve

None

Exempt bridge from Coast Guard permit requirements

23 CFR 650.805

Prepare

Approve (10 days)

Prepare

Approve (10 days)

Advanced Construction (all projects)

23 CFR 630.705

Prepare

Approve (10 days)

Prepare

Approve (5 days)

Deviation from competitive bidding

23 CFR 635.104 23 CFR 635.204

Prepare

Approve (5 days)

Approve

None

Design-Build Request for Technical Proposal (RFQ or RFP #1)(6)

23 CFR 635.11223 CFR 636

Prepare

Approve(10 days)

N/A

N/A

Design-Build Request for Proposal (RFP #2) (6)

23 CFR 635.11223 CFR 636

Prepare

Approve (10 days)

N/A

N/A

Authorization to Advertise for bids (all projects)

23 CFR 635.30923 CFR 635.112

Prepare

Approve (10 days)

Prepare

Approve (5 days)

 

 

 

(10 days)

 

 

Project Authorizations (all projects)

23 CFR 630.106

Prepare

Approve (10 days)

Prepare

Approve (5 days)

Advertising period less than three weeks

23 CFR 635.112

Prepare

Approve (5 days)

Approve

None

Addenda

23 CFR 635.112

Prepare

Approve (5 days)

Approve

None

Consultant Selection

 

Execute

Approve (5 days)

Execute

None

Concurrence in Contract Award

23 CFR 635.11423 USC 112(d)

Prepare

Concur (2 days)

Approve

None

Rejection of all bids

23 CFR 635.114

Recommend

Concur

Approve

None

Supplemental Agreements

 

Prepare and Approve

Review & Approve (5 days)

Approve

None

Change Orders, Extra Work, and Additional Work Item Requests (5)

23 CFR 635.120

Approve

Approve (10 days)

Approve

None

Red Line Revision (5)

23 CFR 635.120

Approve

Approve (10 days)

Approve

None

Claims Settlements

23 CFR 635.124

Prepare

Approve (10 days)

Prepare

None

Time Extensions & Suspension of work(5)

23 CFR 635.121

Prepare

Approve (10 days)

Approve

None

Termination of contracts

23 CFR 635.125

Prepare

Approve (10 days)

Approve

None

Authorize utility or railroad force account work

23 CFR 645.113
23 CFR 646.216

Prepare

Approve (10 days)

Approve

None

Final inspection/acceptance of completed work

23 USC 114(a)
23 USC 121

None

Conduct

Conduct

None

State Construction Engineer's Certificate of Final Acceptance

 

Prepare

Accept

Approve

Information

Materials Certification

23 CFR 637.207

Prepare

Approve

Approve

Information

Statement of Materials and Labor (NHS projects of $1 million or more) (form FHWA-47)

23 CFR 635.126

Send to FHWA HQ

None

Send to FHWA HQ (1)

None

Design and Construction Program Performance/Compliance Indicators:

Objective: To deliver and steward federal-aid highway program with high performance and integrity.

Indicators:

  1. Annually, bid cost of projects (Funds 70, 71, 72) will not exceed 110% of estimated cost at the time the project is funded for construction in the CTP
  2. Percent of construction projects completed on time based on established contract completion date at time of award. (Target 90 %) (Project completion is defined as open to Traffic Date as established in the Notice to Proceed)
  3. Percent of Federal-aid projects completed within 10 % of the awarded amount (Target 90%).
  4. Number of joint process reviews conducted and findings implemented
  5. Major projects completed on time and within budget (baseline: initial financial plan schedule and cost)

Reporting: Annually by January 15 for the previous FY year.

 


Financial Management Program

[Table of Contents]

Background

Passage of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) provided specific guidance regarding financial integrity in the administration of the Federal-aid highway program. One requirement is that FHWA shall establish an oversight program to monitor the effective and efficient use of funds and be responsive to all areas relating to financial integrity and project delivery. Another SAFETEA-LU provision provides that the State shall be responsible for the monitoring of subrecipients of Federal funds and determine that subrecipients have sufficient accounting controls to properly manage Federal funs awarded. Previous legislation such as the Chief Financial Officers Act, Cash Management Improvement Act, Federal Managers' Financial Integrity Act, Improper Payment Information Act, remain in place. Finance core functions are discussed below.

Operating Environment

The accuracy and priority of Federal-aid reimbursement are the primary responsibility of the SHA whether the primary cost documentation originates within SHA or with a third party. SHA fulfills this responsibility by maintaining adequate operating policies and procedures, a sound accounting system with proper internal controls, and suitable audit activities. It is FHWA's responsibility to assure that such processes are in place and providing desired results, as well as, to provide technical assistance and advice in funding and financial areas. FHWA provides assistance and maintenance to SHA for the electronic data sharing and Electronic Signature environment.

Oversight Responsibilities

Project Agreements

Initial project authorization and agreement and amended authorizations are the responsibility of the pertinent FHWA program officer. Pursuant to 2 CFR 630, Subpart C, the reviewer will review and approve plans, specifications and estimates, as appropriate. SHA enters pertinent statistical, descriptive, and financial information in the FMIS and the project is signed electronically by both SHA and FHWA. The electronic signature process for FHWA Project Authorizations and Agreements (23 CFR 106) allows SHA and FHWA to electronically create and sign project Authorizations, Agreements, and Modifications. This process allows faster approvals and permits better control of funds on Federal-aid projects.

Amended agreement modifications are the responsibility of the FHWA Finance Team.
Costs incurred based on SHA's billing history report or other approved costs such as extra work orders, support additional obligations, or the conversion of advance construction. SHA enters the pertinent financial information and justification in FMIS and the agreement modifications is signed electronically by both SHA and FHWA.

The annual drug free work place certification is required to be updated annually by the State. FHWA will assure that current copy is on file.

Advance construction (23 U.S.C. 115; 23 CFR Subpart G) has been an effective tool in innovative financing to advance a project's construction time line. These projects must meet the same Agreement requirements and proceed in the same manner as a regular Federal-aid project, except for the following: FHWA authorization does not constitute any commitment of Federal funds and SHA will not be reimbursed until the project has been converted. Conversion of advance construction projects requires an amended Agreement which is electronically signed by both SHA and FHWA finance personnel.

The time frames for processing amended project authorizations agreements is 7 to 10 work days for full oversight projects; and 3 to 5 work days for State Administered (Exempt) projects.

Federal-aid Reimbursement of Eligible Expenditures

Federal-aid reimbursement to SHA for eligible expenditures incurred is found in 23 U.S.C. 121. In accordance with 23 CFR 1.9(a), Federal-aid funds shall not participate in any costs which is not incurred in conformity with applicable Federal and State Law, the regulations in 23 CFR, and policies and procedures prescribed by FHWA. The FHWA Maryland Division provides oversight of Cost Reimbursable Contracts, pursuant to 23 CFR Part 140, 49 CFR Part 18, and OMB Circular A-87, "Cost Principles for State, Local, and Indian Tribal Governments." Likewise, FHWA must comply with the requirements of the Federal Managers' Financial Integrity Act of 1982 (FMFIA).

Reimbursement to SHA is made through an electronic signature Federal-aid Rapid Approval and State Payment System (RASPS). The Single Audit Act does not preclude FHWA from performing program reviews and these activities are undertaken by FHWA to facilitate oversight of the Current Billing process. These routine financial management reviews may be conducted on SHA's accounting systems and records to assure conformance with applicable laws, regulations, and government-wide accounting principles and standards. Also, to maintain an adequate system of management control and to promote effective program delivery and efficiency, FHWA promotes the conduct of joint FHWA-SHA Quality Financial Management Initiatives (QFMI). The employment of these mechanisms will provide reasonable assurance that only allowable costs are reimbursed, thus ensuring the integrity of the Federal-aid program. Further these joint cooperative efforts between FHWA and SHA will help to establish opportunities for continuous improvements, specifically in areas with any potential compliance weaknesses.

Cash Management

The Cash Management Act of l990 (31 CFR Part 205), prescribes rules and procedures for the transfer of funds between the federal government and the states for federal grant and other programs. The U.S. Treasury and the State of Maryland have entered into an agreement to describe its funds transfer procedures. FHWA's involvement is to provide assistance and guidance to the Maryland State Highway Administration (SHA) to facilitate compliance and to assist in the implementation of cash management improvements. FHWA and SHA have implemented electronic signature processes for reimbursement of the State's Current Billings and Project Authorizations and Agreements. The RASPS provides SHA with same day reimbursement.

Fiscal Management Information System (FMIS)

The Fiscal Management Information System (FMIS) is FHWA's major financial information system. It contains data related to all highway projects financed with Federal-aid highway funds. FHWA uses this information for planning and executing program activities, evaluating program performance, and depicting financial trends and requirements related to current and future funding. Electronic data sharing allows SHA to transmit their FMIS data electronically to the FMIS Warehouse database until FHWA reviews and approves the data. This process provides faster approvals and better control of funds. Both SHA and FHWA have the ability to access FMIS information to obtain current funding and project related reports.

Federal-aid Funding

The Federal-aid Highway Program is made up of a series of separately funded program categories, each having its own specific and separate funding as described in 23 U.S.C. Each of the programs has certain activities for which that funding may be used and are described in law. When an Authorization Act establishes a program, it sets certain ground rules under which the program operates. These rules include the amounts of funds available to the program for each fiscal year; period of availability; Federal participation ratio; Fund source; type of authority; and a listing of eligibility activities. In order to be more responsive to Federal budget policy, a limit is placed on total funds that can be obligated during the fiscal year (obligation limitation). The FHWA Maryland Division, in their role of administering and delivering the Federal-aid highway program, has a responsibility to provide information, guidance, and assistance to SHA. Although this oversight is ongoing, when a new Authorization Act modifies existing programs, or adds or eliminates programs, then FHWA has a responsibility to advise SHA that significant changes in the program have been made and that appropriate financing procedures are implemented by SHA.

Discretionary Funding Applications

Legislation provides for a Discretionary funding program to be used for specific Federal-aid projects. Program areas include Interstate Maintenance, Bridge, Public Lands, etc. Instructions are issued on an annual basis by the FHWA Headquarters' Office of Program Administration. Based on the type of call for applications, SHA must submit applications for projects that are either designated in the current legislation, or projects that are ready to be obligated. Instructions are provided to SHA for the discretionary application process and electronic submittal. The Division will review and evaluation the applications submitted to assure that the candidate projects meet the eligibility and submission requirements. The Division will then electronically submit the State's applications to the Headquarters office of Program Administration for a determination.

Transfer of Funds

SAFETEA-LU provided greater flexibility for the transfer of funds, specifically to other Federal agencies or to other States. (23 U.S.C. 104(k)(3) and 23 U.S.C. 132) Guidance and submission instructions for the various types of transfers allowable are provided by the Headquarters' office. The SHA must initiate the request for transfers to other agencies, or the transfer among their unobligated program funds. Transfers of High Priority Projects will require an agreement between the receiving agency (i.e. NPS) and the SHA. All requests for transfer are reviewed by the Division office for adherence to the Federal requirements prior to submission to the Headquarters' Office of the Chief Financial Officer (CFO).

Financial Integrity Review and Evaluation Program (FIRE)

The Financial Integrity Review and Evaluation Program (FIRE) (FHWA Order 4560.1A) requires each Federal-aid Division office to establish an effective oversight program to ensure that Federal funds are properly managed and effectively used in accordance with Federal policies. Under this program, each Federal-aid Division office is required to submit annual certifications of internal and financial controls to support the financial statements. To support the certifications, activities outlined in FIRE must be accomplished, annually. A grant financial management review in response to the performance of an annual risk assessment is required. [The purpose of the grant financial management process review is to assess one key State process to determine that (1) the process complies with Federal requirements, (2) the process complies with generally accepted accounting principles and standards and internal controls, and (3) areas of opportunity are identified for process improvement.]

The FIRE also requires a review of randomly selected billing transactions, as well as transactions selected by the CFO for the Improper Payment Review. The review of the transactions is to review documentation in order to verify the eligibility of the costs billed to FHWA by the SHA, local governments, etc.

The FIRE also requires the Division and the State to perform reviews of inactive Federal-aid projects and release any unneeded obligations.

Improper Payments Review (IPR)

Improper Payments Review is to determine the extent to which improper payments were made in the Federal-aid Highway program. An improper payment is any payment that should not have been made or was made in an incorrect amount (overpayment and underpayments); payments to an ineligible recipient, payment for ineligible services, duplicate payments, payment or services not received, etc. The randomly sampling process will be carried out by the Headquarters' Office of the Chief Finance Office (CFO) and involves two phases. In the first phase, the CFO will select a sample of payments from the RASPS and provide it to the Division Office. The Division office will obtain the State billing detail (object codes) that will support each payment in the sample. In Phase two, the CFO will identify the specific billing detail to test. Instructions and worksheets are also provided to the Division who will document the testing. Verifications will include the eligibility and accuracy of costs billed to FHWA; costs were incurred after FHWA approval; costs were charged to the correct project; costs were approved by the appropriate State/local official; and that SHA has sufficient supporting documentation to substantiate the billing. The final report and worksheets are reported to the CFO. IPR's are directed by the CFO twice a year.

Inactive Federal-aid Project Reviews

The FHWA Division office will work with the SHA to conduct and document the results of quarterly reviews of inactive projects in accordance with 23 CFR 630, Subpart A, Project Authorizations and Agreements. The Division shall work with the State to determine the validity of the amount obligated for each project. Once excess obligations are identified, MDHSA is required to take action to promptly deobligate the funds. This action will require a modification of the project agreement. The FHWA Strategic Plan has established a goal of inactive projects as 5% of the State's annual apportionments. Results of the inactive projects reviews shall be recorded by the Division Office in FHWA's standard work papers and submitted to the CFO.

SHA is responsible for establishing a funds management program that will ensure that funds are being used effectively and lapsable funds are limited. This would also include a review of older projects that have had no activity for possible release of funds for use on other eligible federal projects. Annually, FHWA will evaluate the effectiveness of SHA's funds management program.

Finance Plan for Major Projects

In accordance with SAFETEA-LU Section 1904, part (h) SHA is responsible for assuring that they have a Financial Plan for Major Projects. Finance Plans for Major Projects shall continue to be developed by SHA and submitted to the FHWA Division Office. The Division will approve finance plans prior to authorization of Federal-aid funds for construction. Major Projects are those projects receiving Federal financial assistance with an estimated cost of $500 million or more or projects that have been identified by the DOT Secretary as being "Major" as a result of special interest.

Audits

Office of Management and Budget (OMB) Circular No. A-133 was issued pursuant to the Single Audit Act of 1984 [P.L. 98-502] and Amendments of 1996 [P.L. 104-156] for the purpose of setting forth standards for obtaining consistency and uniformity among Federal agencies for the audit of States, local governments, and non-profit organizations expending Federal awards. The U.S. DOT Office of Inspector General is the cognizant agency for audit responsibilities for Maryland Department of Transportation. Since FHWA is the Federal awarding agency to SHA, the FHWA Maryland Division is administratively cognizant and has certain responsibilities in this area.

The Maryland State Highway Administration (SHA) is responsible for ensuring that its operations are audited. FHWA is responsible for ensuring that audits are completed and reports are received in a timely manner, assure that findings are resolved, and corrective actions are taken in a timely manner. Further FHWA has a responsibility to provide technical advice and assistance to SHA and auditors as appropriate, and advise SHA of requirements imposed by Federal laws, regulations or provisions of contracts.

Record Requirements/Retention

SHA maintains the official records for Federal projects. Supporting documentation will be retained by SHA for three years after the final voucher has been accepted and will include (but not limited to): the final contractor pay estimate, material certification, projects' agreement/modification, statement of overruns and underruns, PR-47 and final Right of Way certificate in accordance with current requirements. Supporting documentation retained by SHA will be available upon request to FHWA.

Reports

FIRE certifications are required to be submitted by the Division Administrator June 8th and September 23rd of each fiscal year.

Financial Management Program
Summary Table

Activity

SHA Action

FHWA Action

Product

Project Authorizations and Agreement (include provisions of drug free Workforce)

SHA submits approved request using Electronic Signature. PS&E data for non-exempt projects submitted as required.

Project reviewed & approved by FHWA engineers. Time frame is 3 to 5 work days for State Administered projects and 7 to 10 work days for full oversight projects

Obligations/fiscal data processed by FHWA

An Electronic Signed Project Authorization/Agreement has been executed between SHA and FHWA.

Federal funds have been obligated.

Amended Project Authorization and Agreements

SHA submits approved request electronic Signature; non-exempt supporting time submitted as needed

Amended authorization approved by FHWA area engineers. Amended Agreements approved by Financial Manager. Amended authorizations for non-exempt time frame are within7 to 10 days; all other amendments processed within 3 to 5 days.

Executed Electronic Signed Amended Authorization/ Agreement. Federal funds have been obligated.

Federal-aid Billing Reimbursement

SHA submits Current Billing to FHWA electronically, as often as desired

FHWA Financial Manager approves current billing electronically within one hour of receipt

EFT payment posted to SHA's account on same day requested.

OIG Audit Report Issued and forwarded to SHA for review/action

SHA Comments to audit findings requested within 30 days

FHWA staff reviews/concurs in SHA's response and forwards resolution to OIG;

OIG Audit Report

Closed

Discretionary Funding Requests

SHA submits Application(s) within the time frame, and format requested.

FHWA notifies SHA of Discretionary funding call for applications. Once received from SHA, applications reviewed, and concurrence made when forwarded to the HQ office for consideration.

Successful applications are allocated discretionary funds.

Improper Payments Reviews

Assure that adequate controls are in place to detect improper payments

FHWA notifies SHA of the projects to be reviewed; information forwarded to HQ CFO

SHA provides documentation to support costs for projects selected for transaction testing

Project Funds Management/Monitoring of Inactive Obligations

Compliance with Final Rule, 23 CFR Part 630. Review inactive projects for potential release of funds

FHWA provides listing of projects to SHA for review based on FIRE criteria. Once SHA and FHWA reviews completed, a report is sent to HQ CFO.

SHA reviews project listing to determine if obligations are valid. Invalid obligations are de-obligated with the time frame requested by the FHWA Division Administrator

Major Project Plans

Requirement for the State to submit annual Financial plans for major projects ($500,000 or more) to FHWA

SHA submits Financial Plans to FHWA for review and approval

FHWA reviews Plans, coordinated with HQ program office, and provides response to SHA.

 

Financial Management Program Performance/Compliance Indicators:

Objective: To deliver and steward federal-aid highway program with high performance and integrity.

Indicators:


Bridge Program

[Table of Contents]

Background

23 CFR Part 650, Subpart C establishes National Bridge Inspection Standards (NBIS) that apply to all bridges carrying vehicular traffic that are greater than 20 feet in length and located on a public road.

23 CFR Part 650, Subpart D establishes the procedures for administering the Highway Bridge Program (HBP). The program was established to replace, rehabilitate and preserve deficient bridges.

23 USC 503(b) establishes the Innovative Bridge Research and Deployment Program (IBRD) to demonstrate the application of innovative material technology in the construction of bridges and other structures.

SAFETEA-LU Section 1804 continues the National Historic Covered Bridge Program (NHCBP) by providing funds to assist the States in the rehabilitation, repair, or preservation of the Nation's historic covered bridges.

Oversight Activities for the NBIS

Each year FHWA will conduct a NBIS compliance review of MSHA. The reviews will look at the following major NBIS elements: inspection procedures, frequency of inspection, qualifications of personnel, quality of reports, quality of inventory data, load ratings and postings, scour program, quality assurance and procedures established to review, prioritize and track recommendations for repairs. The review includes discussion with MSHA staff, a random sampling of bridge inspection reports and records, field reviews of selected bridges and quality assurance checks of inventory data.

FHWA will also review the State's management of the bridge inspection program for the Counties, Cities and other bridge owners (local public agencies) including their oversight of inspection procedures, maintaining the inventory data and providing technical assistance. The MSHA will conduct a formal review of each local public agency at least every four years. Each year FHWA will participate in at least four reviews of selected local public agencies.

FHWA prepares an annual report on the MSHA NBIS review. The report will establish if MSHA is compliant with the NBIS and include recommendations for improvement. The MSHA will prepare a report on the NBIS review of each local public agency. FHWA will furnish comments to be included in the MSHA report.

Oversight Activities for the HBP

Eligibility for this program is based on bridge condition and inventory data that MSHA submits annually to FHWA. FHWA reviews the data and furnishes MSHA with a selection list of eligible structures. The MSHA also annually submits bridge construction unit cost data which is reviewed by FHWA. The HBP funds apportioned to each State are based on the relative area of deficient bridges and the relative bridge construction unit costs. Not less than 15 percent of the apportioned funds shall be expended for projects located off the Federal-aid system. MSHA and the local governments may select any bridge on the selection list for replacement or rehabilitation under this program. A waiver request must be approved by FHWA for all projects that do not meet the eligibility requirements for rehabilitation versus replacement based on bridge sufficiency rating. As well a waiver request must be made for all rehabilitation and replacement projects that do not address all conditions that classify a bridge as structurally deficient or functionally obsolete. In addition, subject to the approval of FHWA, preventive maintenance activities and installation of scour countermeasures may be performed on bridges regardless if on the selection list. Refer to Maintenance Program section of this Stewardship Agreement for preventive maintenance requirements.

Oversight Activities for the Innovative Bridge Research & Deployment Program (IBRD)

Grants are distributed annually based on competitive application. MSHA in coordination with FHWA identifies potential projects, prepares application and submits to FHWA Division Office. Division reviews application and submits to Headquarters with endorsement. If grant is awarded, the Division handles as a non-exempt project. MSHA prepares and submits report to FHWA on evaluation of the innovative technology.

Oversight Activities for the National Historic Covered Bridge Preservation Program (NHCBP)

Grants are distributed annually based on competitive application. MSHA in coordination with FHWA identifies potential projects, prepares application and submits to FHWA Division Office. Division reviews application and submits to Headquarters with endorsement. If grant is awarded, the Division handles as a non-exempt project.

Leads

FHWA
Division Bridge Engineer
MSHA
Office of Bridge Inspection & Remedial Engineering, Office of Bridge Development

List of key approved standards, specifications and manuals:

Bridge Program
Summary Table

Activity

SHA Action

FHWA Action

Product

Bridge Inspection Program (State)

Update inventory data and submit to FHWA HQ by April 1.

Process data, furnish error listing, resolve errors with SHA.

An accurate and current inventory is maintained to support decision making and funding.

Bridge Inspection Program (State)

Manage inspection program.

Conduct review and prepare report by February 1.

Annual report.

Bridge Inspection Program (local public agencies)

Conduct review of six local public agencies annually and prepare report.

Participate in at least four reviews and furnish comments to SHA.

Report for each local public agency.

Highway Bridge Program (State)

Submit unit cost data to Division 10 business days prior to April 1.

Review unit cost data and submit to FHWA HQ by April 1, provide list of eligible projects, resolve questions concerning eligibility.

SHA receives their share of HBP funds and bridges are selected for rehabilitation, replacement or preventive maintenance.

Highway Bridge Program (State)

Design and construct projects.

Review and approve full oversight projects.

Rehabilitation, replacement or preventive maintenance projects constructed.

Highway Bridge Program (local public agencies)

Distribute funds to locals, provide list of eligible projects.

Resolve questions concerning eligibility.

Locals receive their share of HBP funds and bridges are selected for rehabilitation, replacement or preventive maintenance.

Highway Bridge Program (local public agencies)

Review and approve State administered projects.

Provide assistance.

Rehabilitation, replacement or preventive maintenance projects constructed.

Highway Bridge Program (State and local public agencies)

Request project specific waivers if scope of work (rehab versus replace) does not satisfy bridge sufficiency rating eligibility requirement

Approve within 10 days

Project funded

Highway Bridge Program (State and local public agencies)

Request project specific waivers for replacement and rehabilitation projects that do not address conditions that classify bridge as structurally deficient or functionally obsolete

Approve within 10 days

Project funded

Innovative Bridge Research & Deployment Program

Submit annual application to Division 10 business days prior to due date (date varies), prepare evaluation report.

Assist with application, review, endorse & submit application to FHWA HQ, review project design, construction and evaluation report.

Innovative technology is evaluated and implemented

National Historic Covered Bridge Program

Submit annual application to Division 10 business days prior to due date (date varies).

Assist with application, review, endorse & submit application to FHWA HQ, review project design and construction.

Historic covered bridge is repaired, rehabilitated or preserved.

Revisions to bridge design policies and standards

Prepare non-NHS policies, standards and specifications. Prepare NHS standards and specifications.

Approve NHS policies, standards and specifications within 10 days.

Policies, standards and specifications comply with federal requirements and are state-of-the-technology.

 

Bridge Program Performance/Compliance Indicators

Objective 1: Effectively use the Bridge Management Program to manage and allocate resources to improve performance of SHA's bridges.

Indicators:

Objective 2: Provide longer lasting highway infrastructure through improved research, design, and quality of construction, system preservation, and size and weight enforcement.

Indicators:

Reporting: Annually by August 31 for the current FY year.


Safety and Traffic Program

[Table of Contents]

Section 1401 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) includes the program and policy language for implementing the new "core" Highway Safety Improvement Program (HSIP), which is codified as the new Section 148 of Title 23 of the United States Code (23USC148).

SHA has the responsibility for carrying out the State's Highway Safety Improvement Program in accordance with Section 148 of Title 23 of the United States Code (23USC148). The FHWA Maryland Division exercises its oversight responsibilities through review of the annual programs, review of program processes, and review of annual reports. The FHWA and the SHA will work together on safety issues related to geometric design, roadside safety, safety appurtenances, the highway safety improvement program, work zone safety and traffic control, pedestrian safety and bicycle safety, Safe Routes to School program (SRTS), and the Strategic Highway Safety Plan. In each instance, sharing of knowledge occurs through discussions, meeting/committee/task force participation, and by performing periodic reviews. The Maryland Division's Safety Engineer currently participates with the State on the following task forces and teams:

The following is a general description of the new "core" Highway Safety Improvement Program (HSIP) codified in 23 USC 148 that identifies program requirements.

Highway Safety Improvement Program (HSIP): The purpose of the HSIP shall be to achieve a significant reduction in traffic fatalities and serious injuries on public roads. To obligate "core" safety funds SHA must have in effect an HSIP under which the State:

In accordance with 23 USC 148, the SHSP means a plan developed by SHA that:


As part of the SHSP, the State shall:

As a condition for obligating HSIP funds, under Section 148(c)(I)(D), SHA will prepare an annual report, in addition to the HSIP and rail-highway crossing safety report, that describes not less than 5 percent of their public road locations exhibiting the most severe safety needs. The legislation requires that the 5 percent reports include an assessment of potential remedies at the locations identified, the estimated costs of the remedies, and impediments to their implementation other than costs

High Risk Rural Roads Program (HRRP): SAFETEA-LU introduced a new set-aside provision known as the High Risk Rural Roads Program (HRRRP), codified as 23 U.S.C. §148 (f). This program is a component of the HSIP and is set-aside after HSIP funds have been apportioned to the States. Projects may be selected on any public HRRR to correct or improve hazardous road locations or features. The State's HSIP, including the HRRR element, shall consider the safety needs on all public roads, whether state or locally owned. SHA is required to identify HRRR roadways (and expend the HRRR funds) according to the following definition:

"...any roadway functionally classified as a rural major or minor collector or a rural local road –on which the accident rate for fatalities and incapacitating injuries exceeds the statewide average for those functional classes of roadway; or that will likely have increases in traffic volume that are likely to create an accident rate for fatalities and incapacitating injuries that exceeds the statewide average for those functional classes of roadway."

Highway-Rail Crossing Safety: Under SAFETEA-LU, highway-rail grade crossing safety (elimination of hazards and the installation of warning devices at railway-highway crossings) has also been established as a component of the HSIP and is set-aside after HSIP funds have been apportioned to the States. The purpose of this program is to reduce the number of fatalities and injuries at public highway-rail grade crossings through the elimination of hazards and/or the installation/upgrade of warning devices at crossings. Most requirements of the program remain unchanged, including the requirement that the State must conduct and systematically maintain a survey of all highway-rail crossings to identify those that may require separation, relocation, or additional warning devices, and establish and implement a schedule of projects for this purpose. At a minimum, this schedule is to provide cross buck signs for all highway-rail crossings. [23 USC 130(d)].

Additionally, FHWA has oversight responsibility for the following Highway Safety-related activities.

The following activities do not involve an FHWA oversight role with the State. Rather, this is a specific list of activities that FHWA Maryland Division and SHA needs to be aware of, either for funding purposes or for general information.

Safety and Traffic
Summary Table

Activity

SHA Action

FHWA Action

Product

HSIP Report (including HRRP) Rail-Highway Crossing Report 5 Percent Report

Prepare annual program and report, and Submit to FHWA (no later than by 8/31) Annually

Review and comment on the program and annual report within 14 days. Submit to HQ by Sept. 30

HSIP Program Approval and Report

MD Strategic Highway Safety Plan (SHSP)

Evaluate and update annually beginning in September 2008

Review and comment by Oct 15

Updated SHSP ensuring accuracy of data and priority of proposed improvements

159 Certification(Drug Offender's License Suspension Certification)

Prepare annual certification and Send to FHWA (no later than 1/1)

Review certification, and Forward to FHWA HQ.Take appropriate action

Law enacted, opposition stated, or funds withheld

Work Zone Safety and Mobility Process Review

Conduct Process Review every two years 1

Conduct review for conformance of 23 CFR 630 Subpart J Final Rule ongoing

Assessment of work zone procedures

NCHRP 350 (NCHRP 350 Testing Criteria)

Comply with NCHRP 350 and AASHTO/FHWA agreement

Actions and Process reviews ongoing

Crashworthy devices

MUTCD(Traffic Control Devices on all public roads)

SHA practices comply with MUTCD

Actions and Review of MUTCD issues ongoing

Uniformity of Traffic Control Devices

Safety and Traffic Program Performance/Compliance Indicators

Objective 1: To implement comprehensive, integrated and data-driven safety programs at the State and local-level that covers all public roadways.

Indicators:

Objective 2: To implement countermeasures to reduce highway-related fatalities.

Indicators:

Objective 3: Mitigate congestion and improve system reliability in work zones thorough actions targeted at key causes of congestion in Maryland.

Indicators:

Reporting: Annually by August 31 for the current FY year.


Civil Rights Program

[Table of Contents]

Background

The Maryland Division Office is committed to effectively implement and enforce the Civil Rights program within the Maryland Department of Transportation (MDOT) and Maryland State Highway Administration (SHA) in its design, planning, construction, and management of the multimodal transportation system and which receives federal funding or assistance from the Federal Highway Administration (FHWA). The SHA is obligated to ensure nondiscrimination in all programs and activities, and in the provisions of all services and benefits, as a basis for continued receipt of FHWA funds according to Title VI of the Civil Rights Act and codified federal regulations that outline these acts.

The Civil Rights Specialists, on behalf of the Division Office, review and approve all Civil Rights program documents, and provide comments and recommendations to the SHA. The Division Office Civil Rights Specialists provide training, technical assistance and interpretation, as needed, on the laws, executive orders, civil rights authorities, and regulatory requirements.

Operating Environment

The objectives of the Division Office's Civil Rights Stewardship Plan are to: (1) perform scheduled program reviews with the State; (2) provide technical assistance and guidance to SHA and MDOT; (3) ensure that program documents and other required reports are accurate, completed in a timely manner, and when appropriate, approved; and (4) serve as a resource to SHA and MDOT in its civil rights program and policy development meetings. Successful implementation of the civil rights activities will require support from the Division Administrator and Assistant Division Administrator. Technical assistance may be required from the Resource Center and the Washington Office of Civil Rights. The civil rights program elements are required through a collection of regulations, laws, and executive orders, and approval actions are outlined in these elements.

The Maryland State Highway Administration has an established Equal Opportunity Office comprising a central office and seven district offices. The Director of the Office of Equal Opportunity has direct and independent access to the both the Administrator, and the Deputy Administrator for Finance, Information Technology and Administration. The Director and Deputy Director of the Office of Equal Opportunity and the seven District Equal Opportunity Officers are primarily responsible for carrying out SHA's Civil Rights responsibilities in the following program areas:

Guided by laws (such as Title VI of the Civil Rights Act of 1964), statutes, regulations (essentially 49 CFR Part 21 & 26 and 23 CFR 200 & 230), policies, executive orders and other related instruments, the Maryland Division will perform oversight on SHA's Civil Rights activities in the respective program areas.

Applicable Legislation

Oversight Activities

As an essential component of the Federal Highway Administration, the Maryland Division Office is deep commitment to ensuring that our customers and partners enjoin discrimination, as well as foster equal opportunity and affirmative action in all their programs, practices and activities. We will endeavor to ensure that our immediate customers, SHA and MDOT, are in compliance with all the nondiscrimination, equal opportunity, and equal employment opportunity requirements. This will be achieved through collaborative, proactive and preventive measures, to include leadership, partnering, open communication, frank discussions, reviews, constructive feedback, technical assistance, and training.

The Division Office will perform oversight on SHA and MDOT's Civil Rights activities in the respective program areas. The Division Office will analyze civil rights reports submitted by SHA to help identify trends and will provide feedback and recommendations. The Division Office will periodically monitor SHA's oversight responsibility regarding the administration of projects by sub-recipients for determining that sub-recipients of federal funds have adequate project delivery systems for projects and sufficient accounting control to properly manage federal funds.

Civil Rights Program
Summary Table

Title VI, Environmental Justice and Limited English Proficiency Program

Division Office Roles and Responsibilities

States Office Roles and Responsibilities

1. Conduct nondiscrimination reviews (process and on-site in both the central office and districts) to determine program impact, effectiveness, and to ascertain compliance;

1. Submit signed Title VI Assurances;

2. Interpret and clarify Title VI laws and related authorities including Executive Orders and directives;

2. Establish a civil rights unit with adequate staff; and, designate a Title VI coordinator empowered to establish, implement, and enforce policies and procedures ensuring they have direct access to the head of SHA;

3. Review and approve SHA's Title VI Program document and annual updates;

3. Develop procedures for prompt processing and disposition of Title VI complaints;

4. Ensure that SHA's Program adheres to the requirements of the prevailing implementation approach (e.g., the systematic, interdisciplinary approach) and directives;

4. Civil rights personnel trained in compliance investigations;

5. Take lead and/or participate in activities related to controversial issues of alleged discrimination;

5. Collect statistical data (race, color national origin, sex) of participants in and beneficiaries of State highway programs, (i.e. relocates, impacted citizens, and affected communities);

6. Participate in compliance reviews of recipients, sub-recipients, including MPO's; conduct desk reviews on select compliance reviews conducted by SHA;

6. Conduct annual reviews of all pertinent programs and Title VI reviews of sub-recipients, (cities, counties, consultants, universities, etc.);

7. Perform evaluations on select program areas;

7. Conduct training programs on Title VI and related statutes;

8. In coordination with the Headquarters Office of Civil Rights, investigate, process, and assist in the resolution of Title VI complaints;

8. Prepare a yearly Title VI Accomplishment Report; and, submit an annual updated Title VI Implementation Plan to FHWA Division office;

9. Provide training, technical assistance and guidance on Title VI issues and requirements;

9. Develop Title VI information for dissemination to the general public, where appropriate in languages other than English;

10. Ensure that SHA accomplishes its previous year's goals;

10. Establish procedures for pre-grant and post-grant approval reviews;

11. Review and provide comments on Title VI issues in EIS's, and EA' s.

11. Establish procedures to identify and eliminate discrimination; promptly resolve deficiencies and reduce remedial actions to writing.

Internal Equal Employment Opportunity/Affirmative Action Program

Division Office Roles and Responsibilities

States Office Roles and Responsibilities

1. Ensure that SHA has an approved EEO Program that is being implemented in accordance with regulations;

1. Administer an EEO program and develop an affirmative action plan;

2. Review and approve SHA's affirmative action plan;

2. Conduct an annual workforce analysis to assess progress and shortfalls;

3. Ensure that SHA's annual updates of its AAP plan are submitted;

3. Submit an annual update to the FHWA Division office for approval;

4. Monitor SHA's progress in meeting its hiring goals and target dates for underutilized areas;

4. Process discrimination complaints, investigate and resolve complaints;

5. Participate in state program reviews (on-site as well as process) for impact, effectiveness and compliance;

5. Conduct an annual program evaluation to monitor the EEO program and to assess goals and objectives and results accomplished;

6. Ensure that SHA administers a complaint process that is effective and efficient;

6. Head of the STA should: (1) Issue a firm statement of personal commitment, legal obligations and importance of EEO as an agency goal, and (2) assign specific responsibility and accountability to each executive, manager, and supervisor.

7. When necessary or requested, provide technical assistance on the development of compliance and process review guidelines;

7. Evaluate and monitor progress in meeting its hiring goals and target dates for underutilized areas;

8. Ensure that SHA demonstrates that their own employment policies and practices are nondiscriminatory and representative of the local civilian labor force;

8. Coordinate, facilitate, and promote partnerships with external entities that represent the inclusion and promotion of the minority and female population (e.g., Historically Black Colleges and Universities, Minority Institutions of Higher Education, etc.).

9. Provide guidance on interpretation of regulations and other EEO laws (such as Title VII of the Civil Rights Act of 1964)

 

10. In cooperation with SHA, process, address, or resolve complaints of EO/EEO discrimination filed by external customers (contractors, associations, etc.) against SHA.

 

11. Provide or coordinate training on how to conduct effective program and onsite compliance reviews, develop affirmative action plans and analyze statistical data;

 

12. Coordinate activities or provide guidance on programmatic initiatives such as Summer Internships and Institutes, Welfare to Work, Urban Youth Corps, Garrett A. Morgan Technology and Transportation Futures;

 

13. Coordinate, facilitate, and promote partnerships with external entities that represent the inclusion and promotion of the minority and female population (e.g., Historically Black Colleges and Universities, Minority Institutions of Higher Education, etc.).

 

Contract Compliance Program

Division Office Roles and Responsibilities

States Office Roles and Responsibilities

1. Annually participate in contract compliance reviews with SHA.

1. Develop and implement a program to ensure that contractors comply with equal opportunity requirements;

2. Monitor, review, and approve all SHA's contract compliance reports;

2. Ensure that the required contract provisions are included in all federal-aid contracts valued at $10,000 or more (FHWA 1273);

3. Review and approve SHA's Contract Compliance Program;

3. Conduct compliance reviews of prime and subcontractors;

4. Ensure that annual Contract Compliance Program updates are submitted;

4. Enforce nondiscrimination clauses in required contract provisions as needed;

5. Ensure that SHA accomplishes its previous year's goals and/or that good faith efforts are demonstrated;

5. Prepare annual update on goals and accomplishments of the contractor compliance program to include OJT;

6. Provide technical assistance to SHA on the development of contract compliance and process review guidelines;

6. Provide training on how to conduct effective program and onsite compliance reviews;

7. Provide guidance on interpretation of regulations, Executive Orders, EEO laws, and other related instruments;

7. Investigate complaints of alleged discrimination filed by contractor employees or other external customers such as subcontractors, contractors, contractor organizations, etc.;

8. Provide or coordinate training on how to conduct effective program and onsite compliance reviews;

8. Establish procedures in setting annual OJT goals for FHWA approval.

9. Coordinate activities or provide guidance on programmatic initiatives such as Women in Highway Construction, Urban Youth Corps and Welfare to Work;

9. Promote partnerships among and with a variety of external partners and customers such as State DOT's, contractor organizations, minority firms and organizations, etc.

10. In cooperation with SHA investigate complaints of alleged discrimination filed by contractor employees or other external customers such as subcontractors, contractors, contractor organizations etc.;

 

11. Encourage and promote partnerships among and with a variety of external partners and customers such as State DOT's, Contractor organizations, minority firms and organizations; etc.

 

Disadvantaged Business Enterprise Program

Division Office Roles and Responsibilities

States Office Roles and Responsibilities

1. Provide interpretation and clarification on provisions of the new DBE Regulation and other related instruments;

1. Develop and implement a DBE Program that achieves its goals and objectives;

2. Review and approve MDOT and SHA's DBE Program;

2. Carry out all administrative requirements; and, maintain a signed and dated policy statement expressing commitment to the DBE program;

3. Monitor the implementation of the DBE Program through continual involvement, to ensure the stated objectives and program requirements are observed;

3. Employ a DBE Liaison Officer to implement all aspects of the DBE program to ensure compliance with the regulations;

4. Review and approve SHA's proposed DBE goals and methodology;

4. Establish prompt payment mechanisms and incorporated them into the DBE program;

5. Monitor on a quarterly basis, SHA's activities toward accomplishing its DBE goal including Race Neutral and Race Conscious accomplishments;

5. Develop and maintain a bidders list;

6. Review SHA's semi-annual reports on DBE awards and commitments for accuracy and completeness;

6. Develop monitoring and enforcement mechanisms to ensure that the work committed to DBE firms at contract award is actually performed by DBEs;

7. Participate in on-site reviews of selected federal-aid projects to determine DBE program compliance on the part of the DBE prime and/or sub and non-DBE prime;

7. Develop an annual overall goal for DBE participation on federally assisted contracts;

8. Monitor DBE hearings and certification appeals held on contractors;

8. Administer or participate in statewide Unified Certification Program to ensure that "only firms that fully meet" the eligibility standards participate in the program;

9. Perform program review and/or evaluation of a selected program element;

9. Develop and implement certification procedures that include on-site reviews, decisions within 90 days, due process in removal of eligibility, hearing and appeals process, etc.;

10. Provide technical assistance, training, guidance, information, best practices, and other resources on the DBE program as requested by SHA personnel;

10. Develop and implement mechanisms to ensure that program participants (i.e. contractors, subcontractors, sub-recipients, consultants, etc.) comply with DBE requirements.

11. Investigate or participate in investigations of allegations of discrimination;

11. Develop and implement a DBE Program that achieves its goals and objectives.

12. Monitor and participate in DBE activities pertaining to Mega Projects (e.g., Woodrow Wilson Bridge and Inter County Connector projects).

 

13. Provide interpretation and clarification on provisions of the new DBE Regulation and other related instruments.

 

DBE and On the Job Training (OJT) Supportive Services Program

Division Office Roles and Responsibilities

States Office Roles and Responsibilities

1. Review and approve detailed DBE Supportive Services (DBE/SS) and OJT/SS work statements;

1. Develop DBE/SS and OJT/SS work statements and submit to FHWA for approval;

2. Evaluate the impact of supportive services on DBEs in terms of work activity, success/failure, and proficiency;

2. Ensure that DBE/SS and OJT/SS provider(s) develop and achieve performance goals and objectives;

3. Review SHA's progress report on Supportive Services, offer constructive comments and feedback when necessary;

3. Continually monitor and evaluate supportive services programs so that needed improvements can be identified and instituted;

4. When applicable conduct investigations of alleged complaints of discrimination;

4. Collect data on participants and submit progress reports and annual accomplishments reports to FHWA

5. Continually monitor and evaluate supportive services programs so that necessary improvements can be identified and instituted;

5. Monitor training opportunities on FHWA projects ensuring that these training opportunities are provided in a nondiscriminatory manner;

6. Ensure that SHA is providing training opportunities on FHWA projects and that these training opportunities are provided in a nondiscriminatory manner;

6. Monitor training goals; and, evaluate the contractor's efforts for addressing any contract violations that may occur;

7. Ensure that SHA has approved procedures for assigning training goals, monitoring and evaluating the contractor's efforts, and for addressing contract violations that may occur;

 

8. Conduct periodic process reviews/evaluations to identify areas where process improvements/changes are needed;

 

9. Provide technical assistance, training, guidance, information, best practices, and other resources on the program as maybe requested by SHA personnel

 

Section 504/American with Disabilities Act Program

Division Office Roles and Responsibilities

States Office Roles and Responsibilities

1. Ensure that recipients/sub-recipients of federal funds are informed of their responsibilities to provide reasonable accommodation in their employment practices; and provide accessibility in their programs, activities, and facilities (i.e., public rights-of-way);

1. Develop and implement a Transition Plan that outlines which structural modifications must be made to those programs and services that are not accessible, (including a curb ramp installation schedule for pedestrian facilities that SHA owns, operates, or maintains);

2. Ensure that recipients/sub-recipients of federal funds are applying appropriate accessibility standards to all transportation facilities;

2. Conduct self-evaluations of current services, policies, and practices and analyze the effects thereof to determine needed modifications to achieve program accessibility;

3. Investigate/process ADA complaints; and ensure that all complaints filed under Section 504 or the ADA are processed in accordance with established complaint procedures.

3. Make reasonable accommodation and ensure existing facilities are accessible;

4. Provide technical assistance, training, guidance, information, best practices, and other resources on the ADA program as requested by SHA personnel;

4. Investigate/process ADA complaints; and, administer the SHA internal complaint procedure to resolve proven complaints in a timely fashion;

5. Ensure that recipients/sub-recipients of federal funds are informed of their responsibilities to provide reasonable accommodations in their employment practices; and provide accessibility in their programs, activities and facilities (i.e., public rights-of-way);

5. Ensure the wide dissemination of a non-discrimination notice stating that SHA does not discriminate on the basis of disability regarding admission and access to its programs and activities, and regarding its employment practices.

6. Ensure that recipients/sub-recipients are applying appropriate accessibility standards to all transportation facilities;

6. Ensure compliance with Title II of ADA and Section 504 of all sub-recipients;

 

7. Employ an ADA Coordinator and identify essential functions of the position;

 

8. Install curb ramps when roadways or crosswalks are newly constructed or altered;

 

9. Ensure that facilities and equipment are readily accessible, and meet accessibility standards for new construction or alterations;

 

10. Provide auxiliary aids (i.e., sign language interpreters, readers, Braille, large print text) upon request for participation in SHA programs and services;

 

11. Ensure that pedestrian over-passes, under-passes, ramps, and rest areas on interstate highways meet accessibility standards;

 

12. Develop and implement a Transition Plan that outlines which structural modifications must be made to those programs and services that are not accessible, (including a curb ramp installation schedule for pedestrian facilities that SHA owns, operates, or maintains);

 

13. Conduct self-evaluations of current services, policies, and practices and analyze the effects thereof to determine needed modifications to achieve program accessibility;

Civil Rights Program Performance/Compliance Indicators:

Objective: To deliver and steward federal-aid highway program with high performance and integrity.

Indicators:

Reporting: Annually by August 31 for the current FY year.

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