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Attachment 1 Federal Highway Administration - Tennessee Division Joint Process/Program Review Agreement
EFFECTIVE DATE: May 9, 2005
REFERENCE: September 8, 1998, Agreement with TDOT. Updated Stewardship and Oversight Letter of Agreement and Oversight Plan, September 28, 2006.
Objective: Based on ISTEA and TEA-21 legislation, much of FHWA’s Program oversight has been delivered to TDOT. Process/program reviews are one of FHWA’s tools to review all Federal-Aid Programs. Process/program reviews will be precipitated from the program/risk assessments performed in the second half of each fiscal year. Reviews can also be selected on topics with high Federal expenditures that have not been evaluated for some time. These process/program reviews will be considered in all functional areas. Success in process/program reviews is achieved by implementation of the final recommendations. Product evaluation is to be a part of all reviews.
- By June of each year, program/risk assessments will be performed by individual FHWA and TDOT offices. A prioritized list of potential review topics with their intended scope will be developed by FHWA office team leaders, considering these assessments, by August 31 and submitted to the FHWA DA and ADA for concurrence.
- The respective FHWA team leaders shall coordinate with their respective TDOT counterparts (via e-mail, phone of face-to-face meeting) to afford them the opportunity to review and substitute a topic, if appropriate; their concurrence should be received within two (2) weeks; FHWA DA/ADA concurrence on substitution required.
- FHWA will submit, via e-mail, the final process/program review topics to the following TDOT executive Directors, as appropriate, Chief Engineering Director, Chief Planning Director, and Chief Finance Director, indicating that these reviews had been chosen after coordinating with their staff; contacts will be requested for each review for future coordination.
- Prior to conducting the review, the Team Leader (FHWA) prepares and submits a work plan and guidelines to the FHWA DA/ADA by January 15. This work plan includes the scope and schedule of the review, a list of Team members, objectives and references. The Review Team will be selected by the Team Leader and will consist of at least one FHWA and one TDOT representative. The Team will normally not consist of more than five members, subject to the discretion of the Team Leader. The Team agrees on who will author the report.
- Prior to conducting the review, visit the Central Office or Regional Director to inform of your intent to review this area under his/her direction.
- The Team agrees on, and prepares, the draft report that includes observations and recommendations. This draft report shall be submitted to the DA/ADA for comments prior to September 15.
- By November 1, the office team leader with program responsibility will schedule a meeting with the appropriate TDOT Executive Director and submit a Draft Final Report. When appropriate, all Team members will present the Team findings and recommendations from the draft final report and the draft implementation plan. During this meeting, the review is discussed and the implementation plan is finalized, including assignments made to personnel to implement the plan.
- The Review Team Leader will be responsible for periodically reviewing progress with the responsible person(s) assigned to implement the plan to ensure it is being implemented on schedule and as approved. The FHWA office team leaders will discuss the progress of the implementation of recommendations during regular meetings with TDOT Directors.